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Appendix B: Solving Recurrence EquationsWith

Applications to Analysis of Recursive Algorithms


The analysis of recursive algorithms is not as straight forward as it is for iterative algorithms. Ordinarily, however, it is not
difficult to represent the time complexity of a recursive algorithm by a recurrence equation. The recurrence equation must then
be solved to determine the time complexity. We discuss techniques for solving such equations and for using the solutions in
the analysis of recursive algorithms.
B.1 Solving Recurrences Using Induction
Mathematical induction is reviewed in Appendix A. Here we show how it can be used to analyze some recursive algorithms.
We consider first a recursive algorithm that computes n!.
Algorithm B.1: Factorial
Problem: Determine n! = n (n 1) (n 2) (3) (2) (1) when n 1.
0! = 1
Inputs: a nonnegative integer n.
Outputs: n!.
int fact ( int n)
{
if ( n == 0)
return 1;
else
return n * fact ( n - 1) ;
}
To gain insight into the efficiency of this algorithm, let's determine how many times this function does the multiplication
instruction for each value of n. For a given n, the number of multiplications done is the number done when fact (n 1) is
computed plus the one multiplication done when n is multiplied by fact (n 1). If we represent the number of multiplications
done for a given value of n by t
n
, we have established that
An equation such as this is called a recurrence equation because the value of the function at n is given in terms of the value of
the function at a smaller value of n. A recurrence by itself does not represent a unique function. We must also have a starting
point, which is called an initial condition. In this algorithm, no multiplications are done when n = 0. Therefore, the initial
condition is
We can compute t
n
for larger values of n as follows:
Continuing in this manner gives us more and more values of t
n
, but it does not enable us to compute t
n
, for an arbitrary n
without starting at 0. We need an explicit expression for t
n
. Such an expression is called a solution to the recurrence equation.
Recall that it is not possible to find a solution using induction. Induction can only verify that a candidate solution is correct.
(Constructive induction, which is discussed in Section 8.5.4, can help us discover a solution.) We can obtain a candidate
solution to this recurrence by inspecting the first few values. An inspection of the values just computed indicates that
is the solution. Now that we have a candidate solution, we can use induction to try to prove that it is correct.
Induction base: For n = 0,
Induction hypothesis: Assume, for an arbitrary positive integer n, that
Induction step: We need to show that
If we insert n + 1 in the recurrence, we get
This completes the induction proof that our candidate solution t
n
is correct. Notice that we highlight the terms that are equal by
the induction hypothesis. We often do this in induction proofs to show where the induction hypothesis is being applied.
There are two steps in the analysis of a recursive algorithm. The first step is determining the recurrence; the second step is
solving it. Our purpose here is to show how to solve recurrences. Determining the recurrences for the recursive algorithms in
this text is done when we discuss the algorithms. Therefore, in the remainder of this appendix we do not discuss algorithms;
rather, we simply take the recurrences as given. We now present more examples of solving recurrences using induction.
Example B.1
Consider the recurrence
The first few values are
It appears that
We use induction to prove that this is correct.
Induction base: For n = 1,
Induction hypothesis: Assume, for an arbitrary n > 0 and n a power of 2, that
Induction step: Because the recurrence is only for power of 2, the next value to consider after n is 2n. Therefore, we need to
show that
If we insert 2n in the recurrence, we get
Example B.2
Consider the recurrence
The first few values are
It appears that
We use induction to prove that this is correct.
Induction base: For n = 1,
Induction hypothesis: Assume, for an arbitrary n > 0 and n a power of 2, that
Induction step: We need to show that
If we insert 2n in the recurrence, we get
This completes the induction proof. Finally, because
the solution to this recurrence is usually given as
Example B.3
Consider the recurrence
The first few values are
There is no obvious candidate solution suggested by these values. As mentioned earlier, induction can only verify that a
solution is correct. Because we have no candidate solution, we cannot use induction to solve this recurrence. However, it can
be solved using the technique discussed in the next section.
B.2 Solving Recurrences Using the Characteristic Equation
We develop a technique for determining the solutions to a large class of recurrences.
B.2.1 Homogeneous Linear Recurrences
Such a recurrence is called "linear" because every term t
i
appears only to the first power. That is, there are no terms such as
t
2
ni
, t
ni
t
nj
, and so on. However, there is the additional requirement that there be no terms t
c(ni)
, where c is a positive
constant other than 1. For example, there may not be terms such as t
n/2
, t
3(n4)
, etc. Such a recurrence is called "homogeneous"
because the linear combination of the terms is equal to 0.
Example B.4
The following are homogeneous linear recurrence equations with constant co-efficients:
Example B.5
The Fibonacci sequence, which is discussed in Subsection 1.2.2, is defined as follows:
If we subtract t
n1
and t
n2
from both sides, we get
which shows that the Fibonacci sequence is defined by a homogeneous linear recurrence.
Next we show how to solve a homogeneous linear recurrence.
Example B.6
Suppose we have the recurrence
Definition A recurrence of the form
where k and the a
i
terms are constants, is called a homogeneous linear recurrence equation with constant
coefficients.
Notice that if we set
then
Therefore, t
n
= r
n
is a solution to the recurrence if r is a root of
Because
the roots are r = 0, and the roots of
These roots can be found by factoring:
The roots are r = 3 and r = 2. Therefore,
are all solutions to the recurrence. We verify this for 3
n
by substituting it into the left side of the recurrence, as follows:
With this substitution, the left side becomes
which means that 3
n
is a solution to the recurrence.
We have found three solutions to the recurrence, but we have more solutions, because if 3
n
and 2
n
are solutions, then so is
where c
1
and c
2
are arbitrary constants. This result is obtained in the exercises. Although we do not show it here, it is possible
to show that these are the only solutions. This expression is therefore the general solution to the recurrence. (By taking c
1
= c
2
= 0, the trivial solution t
n
= 0 is included in this general solution.) We have an infinite number of solutions, but which one is
the answer to our problem? This is determined by the initial conditions. Recall that we had the initial conditions
These two conditions determine unique values of c
1
and c
2
as follows. If we apply the general solution to each of them, we get
the following two equations in two unknowns:
These two equations simplify to
The solution to this system of equations is c
1
= 1 and c
2
= 1. Therefore, the solution to our recurrence is
If we had different initial conditions in the preceding example, we would get a different solution. A recurrence actually
represents a class of functions, one for each different assignment of initial conditions. Let's see what function we get if we use
the initial conditions
with the recurrence given in Example B.6. Applying the general solution in Example B.6 to each of these conditions yields
These two equations simplify to
The solution to this system is c
1
= 0 and c
2
= 1. Therefore, the solution to the recurrence with these initial conditions is
Equation B.1 in Example B.6 is called the characteristic equation for the recurrence. In general, this equation is defined as
follows.
The value of r
0
is simply 1. We write the term as r
0
to show the relationship between the characteristic equation and the
recurrence.
Definition The characteristic equation for the homogenous linear recurrence equation with constant coefficients
is defined as
Example B.7
The characteristic equation for the recurrence appears below it:
We use an arrow to show that the order of the characteristic equation is k (in this case, 2).
The steps used to obtain the solution in Example B.6 can be generalized into a theorem. To solve a homogeneous linear
recurrence with constant coefficients, we need only refer to the theorem. The theorem follows, and its proof appears near the
end of this appendix.
Theorem B.1
Let the homogeneous linear recurrence equation with constant coefficients
be given. If its characteristic equation
has k distinct solutions r
1
, r
2
, , r
k
, then the only solutions to the recurrence are
where the c
i
terms are arbitrary constants.
The values of the k constants c
i
are determined by the initial conditions. We need k initial conditions to uniquely determine k
constants. The method for determining the values of the constants is demonstrated in the following examples.
Example B.8
We solve the recurrence
1. Obtain the characteristic equation:
2. Solve the characteristic equation:
The roots are r = 4 and r = 1.
3. Apply Theorem B.1 to get the general solution to the recurrence:
4. Determine the values of the constants by applying the general solution to the initial conditions:
These values simplify to
The solution to this system is c
1
= 1/5 and c
2
= 1/5.
5. Substitute the constants into the general solution to obtain the particular solution:
Example B.9
We solve the recurrence that generates the Fibonacci sequence:
1. Obtain the characteristic equation:
2. Solve the characteristic equation:
From the formula for the solution to a quadratic equation, the roots of this characteristic equation are
3. Apply Theorem B.1 to get the general solution to the recurrence:
4. Determine the values of the constants by applying the general solution to the initial conditions:
These equations simplify to
Solving this system yields
5. Substitute the constants into the general solution to obtain the particular solution:
Although Example B.9 provides an explicit formula for the nth Fibonacci term, it has little practical value, because the degree
of precision necessary to represent increases as n increases.
Theorem B.1 requires that all k roots of the characteristic equation be distinct. The theorem does not allow a characteristic
equation of the following form:
Because the term r 2 is raised to the third power, 2 is called a root of multiplicity 3 of the equation. The following theorem
allows for a root to have a multiplicity. The proof of the theorem appears near the end of this appendix.
Theorem B.2
Let r be a root of multiplicity m of the characteristic equation for a homogeneous linear recurrence with constant coefficients.
Then
are all solutions to the recurrence. Therefore, a term for each of these solutions is included in the general solution (as given in
Theorem B.1) to the recurrence.
Example applications of this theorem follow.
Example B.10
We solve the recurrence
1. Obtain the characteristic equation:
2. Solve the characteristic equation:
The roots are r = 1 and r = 3, and r = 3 is a root of multiplicity 2.
3. Apply Theorem B.2 to get the general solution to the recurrence:
We have included terms for 3
n
and n3
n
because 3 is a root of multiplicity 2.
4. Determine the values of the constants by applying the general solution to the initial conditions:
These values simply to
Solving this system yields c
1
= 1, c
2
= 1, and c
3
=
5. Substitute the constants into the general solution to obtain the particular solution:
Example B.11
We solve the recurrence
1. Obtain the characteristic equation:
2. Solve the characteristic equation:
The roots are r = 3 and r = 1, and the root 1 has multiplicity 2.
3. Apply Theorem B.2 to obtain the general solution to the recurrence:
4. Determine the values of the constants by applying the general solution to the initial conditions:
These equations simplify to
Solving this system yields c
1
= 0, c
2
= 1, and c
3
= 1.
5. Substitute the constants into the general solution to obtain the particular solution:
B.2.2 Nonhomogeneous Linear Recurrences
Definition A recurrence of the form
where k and the a
i
terms are constant and f(n) is a function other than the zero function, is called a
nonhomogeneous linear recurrence equation with constant coefficients.
By the zero function, we mean the function f(n) = 0. If we used the zero function, we would have a homogeneous linear
recurrence equation. There is no known general method for solving a nonhomogeneous linear recurrence equation. We develop
a method for solving the common special case
where b is a constant and p(n) is a polynomial in n.
Example B.12
The recurrence
is an example of Recurrence B.2 in which k = 1, b = 4, and p(n) = 1.
Example B.13
The recurrence
is an example of Recurrence B.2 in which k=1, b=4, and p(n)= 8n+7.
The special case shown in Recurrence B.2 can be solved by transforming it into a homogeneous linear recurrence. The next
sample illustrates how this is done.
Example B.14
We solve the recurrence
The recurrence is not homogeneous because of term 4
n
on the right. We can get rid of that term as follows:
1. Replace n with n1 in the original recurrence so that the recurrence is expressed with 4
n1
on the right:
2. Divide the original recurrence by 4 so that the recurrence is expressed in another way with 4
n1
on the right:
3. Our original recurrence must have the same solutions as these versions of it. Therefore, it must also have the same
solutions as their differnce. This means we can get rid of the term 4
n1
by substracting the recurrence obtained in Step 1
from the recurrence obtained in Step 2. The result is
We can multiply by 4 to get rid of the fractions:
This is a homogeneous linear recurrence equation, which means that it can be solved by applying Theorem B.1. That is, we
solve the characteristic equation
obtain the general solution
and use the initial conditions t
o
= 0 and t
1
= 4 to determine the particular solution:
In Example B.14, the general solution has the terms
The first term comes from the characteristic equation that would be obtained if the recurrence were homogeneous, whereas the
second term comes from the nonhomogeneous part of the recurrencenamely, b. The polynomial p(n) in this example equals
1. When this is not the case, the manipulations necessary to transform the recurrence into a homogeneous one are more
complex. However, the outcome is simply to give b a multiplicity in the characteristic equation for the resultant homogeneous
linear recurrence. This result is given in the theorem that follows. The theorem is stated without proof. The proof would follow
steps similar to those in Example B.14.
Theorem B.3
A nonhomogeneous linear recurrence of the form
can be transformed into a homogeneous linear recurrence that has the characteristic equation
where d is the degree of p(n). Notice that the characteristic equation is composed of two parts:
1. The characteristic equation for the corresponding homogeneous recurrence
2. A term obtained from the nonhomogeneous part of the recurrence
If there is more than one term like b
n
p(n) on the right side, each one contributes a term to the characteristic equation.
Before applying this theorem, we recall that the degree of a polynomial p(n) is the highest power of n. For example,
Now let's apply Theorem B.3.
Example B.15
We solve the recurrence
1. Obtain the characteristic equation for the corresponding homogeneous equation:
2. Obtain a term from the nonhomogeneous part of the recurrence:
The term from the nonhomogeneous part is
3. Apply Theorem B.3 to obtain the characteristic equation from the terms obtained in Steps 1 and 2. The characteristic
equation is
After obtaining the characteristic equation, proceed exactly as in the linear homogeneous case:
4. Solve the characteristic equation:
The roots are r = 3, and the root r = 4 has multiplicity 2.
5. Apply Theorem B.2 to get the general solution to the recurrence:
We have three unknows, but only two initial conditions. In this case we must find another initial condition by computing the
value of the recurrence at the next-largest value of n. In this case, that value is 2. Because
and t
1
= 12,
In the exercises you are asked to (6) determine the values of the constants and (7) substitute the constants into the general
solution to obtain
Example B.16
We solve the recurrence
1. Obtain the characteristic equation for the corresponding homogeneous recurrence:
2. Obtain a term from the nonhomogeneous part of the recurrence:
The term is
3. Apply Theorem B.3 to obtain the characteristic equation from the terms obtained in Steps 1 and 2. The characteristic
equation is
4. Solve the characteristic equation:
The root is r = 1, and it has a multiplicity of 3.
5. Apply Theorem B.2 to get the general solution to the recurrence:
We need two more initial conditions:
In the excercise you are asked to (6) determine the values of the constants and (7) substitute the constants into the
general solution to obtain
Example B.17
We solve the recurrence
1. Determine the characteristic equation for the corresponding homogeneous recurrence:
2. This is a case in which there are two terms on the right. As Theorem B.3 states, each term contributes to the
characteristic equation, as follows:
The two terms are
3. Apply Theorem B.3 to obtain the characteristic equation from all the terms:
You are asked to complete this problem in the exercises.
B.2.3 Change of Variables (Domain Transformations)
Sometimes a recurrence that is not in the form that can be solved by applying Theorem B.3 can be solved by performing a
change of variables to transform it into a new recurrence that is in that form. The technique is illustrated in the following
examples. In these examples, we use T(n) for the original recurrence, because t
k
is used for the new recurrence. The notation T
(n) means the same things as t
n
namely, that a unique number is associated with each value of n.
Example B.18
We solve the recurrence
Recall that we already solved this recurrence using induction in Section B.1. We solve it again to illustrate the change of
variables technique. The recurrence is not in the form that can be solved by applying Theorem B.3 because of the term n/2. We
can transform it into a recurrence that is in that form as follows. First, set
Second, substitute 2
k
for n in the recurrence to obtain
Next, set
in Recurrence B.3 to obtain the new recurrence,
This new recurrence is in the form that can be solved by applying Theorem B.3. Therefore, applying that theorem, we can
determine its general solution to be
This general solution to our original recurrence can now be obtained with the following two steps:
1. Substitute T(2
k
) for t
k
in the general solution to the new recurrence:
2. Substitute n for 2
k
and lg n for k in the equation in Step 1:
Once we have the general solution to our original recurrence, we proceed as usual. That is, we use the initial condition T(1) =
1, determine a second initial condition, and then compute the values of the constants to obtain
Example B.19
We solve the recurrence
Recall that we were unable to solve this recurrence using induction in Example B.3. We solve it here with a change of
variables. First, substitute 2
k
for n to yield
Next, set
in this equation to obtain
Apply Theorem B.3 to this new recurrence to obtain
Perform the steps that give the general solution to the original recurrence:
1. Substitute T(2
k
) for t
k
in the general solution to the new recurrence:
2. Substitute n for 2
k
and lg n for k in the equation obtained in Step 1:
Now proceed as usual. That is, use the initial condition T(1) = 0, determine two more initial conditions, and then compute the
values of the constants. The solution is
Example B.20
We solve the recurrence
Substitute 2
k
for n in the recurrence to yield
Set
in Recurrence (B.4) to obtain
This recurrence does not look exactly like the kind required in Theorem B.3, but we can make it look like that as follows:
Now apply Theorem B.3 to this new recurrence to obtain
Perform the steps that give the general solution to the original recurrence:
1. Substitute T(2
k
) for t
k
in the general solution to t
k
:
2. Substitute n for 2
k
and lg n for k in the equation obtained in Step 1:
Use the initial condition T(1) = 0, determine a second initial condition, and then compute the values of the constants. The
solution is
B.3 Solving Recurrences by Substitution
Sometimes a recurrence can be solved using a technique called substitution. You can try this method if you cannot obtain a
solution using the methods in the last two sections. The following examples illustrate the substitution method.
Example B.21
We solve the recurrence
In a sense, substitution is the opposite of induction. That is, we start at n and work backward:
We then substitute each equality into the previous one, as follows:
The last equality is the result in Example A.1 in Appendix A.
The recurrence in Example B.21 could be solved using the characteristic equation. The recurrence in the following example
cannot.
Example B.22
We solve the recurrence
First, work backward from n:
Then substitute each equation into the previous one:
for n not small. The approximate equality is obtained from Example A.9 in Appendix A.
B.4 Extending Results for n, a Power of a Positive Constant b, to n in General
It is assumed in the material that follows that you are familiar with the material in Chapter 1.
In the case of some recursive algorithms, we can readily determine the exact time complexity only when n is a power of some
base b, where b is a positive constant. Often the base b is 2. This is true in particular for many divide-and-conquer algorithms
(see Chapter 2). Intuitively, it seems that a result that holds for n a power of b should approximately hold for n in general. For
example, if for some algorithm we establish that
for n a power of 2, it seems that for n in general we should be able to conclude that
It turns out that usually we can draw such a conclusion. Next we discuss situations in which this is the case. First we need
some definitions. These definitions apply to arbitrary functions whose domains and ranges are any subsets of the real numbers,
but we state them for complexity functions (that is, functions that map the positive integers to the positive reals) because these
are the functions that interest us here.
The function shown in Figure B.1(a) is strictly increasing. (For clarity, the domains of the functions in Figure B.1 are all the
nonnegative reals.) Many of the functions we encounter in algorithm analysis are strictly increasing for nonnegative values of
n. For example, lg n, n, n, lg n, n
2
and 2
n
are all strictly increasing as long as n is nonnegative.
Figure B.1: Four functions.
Any strictly increasing function is nondecreasing, but a function that can level out is nondereasing without being strictly
increasing. The function shown in Figure B.1(b) is an example of such a function. The function in Figure B.1 (c) is not
nondecreasing.
The time (or memory) complexities of most algorithms are ordinarily nondecreasing because the time it takes to process an
input usually does not decrease as the input size becomes larger. Looking at Figure B.1, it seems that we should be able to
extend an analysis for n a power of b to n in general as long as the function is nondecreasing. For example, suppose we have
determined the values of f(n) for n a power of 2. In case of the function in Figure B.1(c), anything can happen between, say, 2
3
= 8 and 2
4
= 16. Therefore, nothing can be concluded about the behavior of the function between 8 and 16 from the values at 8
and 16. However, in the case of a nondecreasing function f (n), if 8 n 16 then
So it seems that we should be able to determine the order of f (n from the values of f (n) for n a power of 2. What seems to be
Definition A complexity function f (n) is called strictly increasing if f (n) always gets larger as n gets larger. That is, if n
1
>
n
2
, then
Definition A complexity function f (n) is called nondecreasing if f (n) never gets smaller as n gets larger. That is, if n
1
> n
2
,
then
true intuitively can indeed be proven for a large class of functions. Before giving a theorem stating this, we recall that order has
to do only with long-range behavior. Because initial values of a function are unimportant, the theorem requires only that the
function be eventually nondecreasing. We have the following difinition:
Any nondecreasing function is eventually nondecreasing. The function shown in Figure 3.1(d) is an example of an eventually
nondecreasing function that is not nondecreasing. We need the following definition before we give the theorem for extending
the results for n a power of b:
Example B.23
The functions lg n, n lg n, and n
k
, where k 0, are all smooth. We show this for lg n. In the exercises you are asked to show it
for the other functions. We have already noted that lg n is eventually nondecreasing. As to the second condition, we have
Example B.24
The function 2
n
is not smooth, because the Properties of Order in Section 1.4.2 in Chapter 1 imply that
Therefore,
We now state the theorem that enables us to generalize results obtained for n a power of b. The proof appears near the end of
this appendix.
Theorem B.4
Let b 2 be an integer, let f (n) be a smooth complexity function, and let T (n) be an eventually nondecreasing complexity
function. If
then
Furthermore, the same implication holds if is replaced by "big O," , or "small o."
By "T (n) (f (n)) for n a power of b," we mean that the usual conditins for are known to hold when n is restricted to
being a power of b. Notice in Theorem B.4 the additional requirement that f (n) be smooth.
Definition A complexity function f (n) is called eventually nondecreasing if for all n past some point the function never
gets smaller as n gets larger. That is, there exists an N such that if n
1
> n
2
N, then
Definition A complexity function f (n) is called smooth if f (n) is eventually nondecreasing and if
Next we apply Theorem B.4
Example B.25
Suppose for some comlexity function we establish that
When n is a power of 2, we have the recurrence in Example B.18. Therefore, by that example,
Because lg n is smooth, we need only show that T (n) is eventually nondecreasing in order to apply Theorem B.4 to conclude
that
One might be tempted to conclude that T (n) is eventually nondecreasing from the fact that lg n + 1 is eventually
nondecreasing. However, we cannot do this because we know only that T (n) = lg n + 1 when n is a power of 2. Given only this
fact, T (n) could exhibit any possible behavior in between powers of 2.
We show that T (n) is eventually nondecreasing by using induction to establish for n 2 that if 1 k < n, then
Induction base: For n = 2,
Therefore,
Induction hypothesis: One way to make the induction hypothesis is to assume that the statement is true for all m n. Then, as
usual, we show that it is true for n + 1. This is the way we need it to be stated here. Let n be an arbitrary integer greater than or
equal to 2. Assume for all m n that if k < m, than
Induction step: Because in the induction hypothesis we assumed for k < n that
we need only show that
To that end, it is not hard to see that if n 1, then
Therefore, by the induction hypothesis,
Using the recurrence, we have
and we are done.
Finally, we develop a general method for determining the order of some common recurrences.
Theorem B.5
Suppose a complexity function T (n) is eventually nondecreasing and satisfies
where b 2 and k 0 are constant integers, and a, c, and d are constants such that a > 0, c > 0, and d 0. Then
Furthermore, if, in the statement of the recurrence,
is replaced by
then Result B.5 holds with "big O" or , respectively, replacing .
We can prove this theorem by solving the general recurrence using the characteristic equation and then applying Theorem B.4.
Example applications of Theorem B.5 follow.
Example B.26
Suppose that T (n) is eventually nondecreasing and satisfies
By Theorem B.5, because 8 4
2
,
Example B.27
Suppose that T (n) is eventually nondecreasing and satisfies
By Theorem B.5, because 9 > 3
1
,
Theorem B.5 was stated in order to introduce an important theorem as simply as possible. It is actually the special case, in
which the constant s equals 1, of the following theorem.
Theorem B.6
Suppose that a complexity function T (n) is eventually nondecreasing and satisfies
where s is a constant that is a power of b, b 2 and k 0 are constant integers, and a, c, and d are constants such that a > 0, c >
0, and d 0. Then the results in Theorem B.5 still hold.
Example B.28
Suppose that T (n) is eventually nondecreasing and satisfies
By Theorem B.6, because 8 = 2
3
,
This concludes our discussion of techniques for solving recurrences. Another technique is to use "generating functions" to
solve recurrences. This technique is discussed in Sahni (1988). Bentley, Haken, and Sax (1980) provide a general method for
solving recurrences arising from the analysis of divide-and-conquer algorithms (see Chapter 2).
B.5 Proofs of Theorems
The following lemma is needed to prove Theorem B.1.
Lemma B.1
Suppose we have the homogeneous linear recurrence
If r
1
is a root of the characteristic equation
then
is a solution to the recurrence.
Proof: If, for i = n k, , n, we substitute r
i
1
for t
i
in the recurrence, we obtain
Therefore, r
n
1
is a solution to the recurrence.
Proof of Theorem B.1 It is not hard to see that, for a linear homogeneous recurrence, a constant times any solution and the sum
of any two solutions are each solutions to the recurrence. We can therefore apply Lemma B.1 to conclude that, if
are the k distinct roots of the characteristic equation, then
where the c
i
terms are arbitrary constants, is a solution to the recurrence. Although we do no show it here, one can prove that
these are the only solutions.
Proof of Theorem B.2 We prove the case where the multiplicity m equals 2. The case of a larger m is a straightforward
generalization. Let r
1
be a root of multiplicity 2. Set
where q (r) means the first derivative. If we subsitute ir
i
1
for t
i
in the recurrence, we obtain u (r
1
). Therefore, if we can show
that u (r
1
) = 0, we can conclude that t
n
= nr
n
1
is a solution to the recurrence, and we are done. To this end, we have
Therefore, to show that u (r
1
) = 0, we need only show that p (r
1
) and p (r
1
) both equal 0. We show this as follows. Because r
1
is a solution of multiplicity 2 of the characteristic equation p (r), there exists a v (r) such that
Therfore,
and p (r
1
) and p (r
1
) both equal 0. This completes the proof.
Proof of Theorem B.4 We obtain the proof for "big O." Proof for and can be established in a similar manner. Because
T (n) O (f (n) for all n such that n is a power of b, there exist a positive c
1
and a nonnegative integer N
1
such that, for n > N
1
and n a power of b,
For any positive integer n, there exists a unique k such that
It is possible to show, in the case of a smooth function, that if b 2, then
That is, if this condition holds for 2, it holds for any b > 2. Therefore, there exist a positive constant c
2
and a nonnegative
integer N
2
such that, for n > N
2
,
Therefore, if b
k
N
2
,
Because T (n) and f (n) are both eventually nondecreasing, there exists an N
3
, such that, for m > n > N
3
,
Let r be so large that
If n > b
r
and k is the value corresponding to n in Inequality B.7, then
Therefore, by Inequalities B.6, B.7, B.8, and B.9, for n > b
r
,
which means that
Exercises
Section B.1
1. Use induction to verify the candidate solution to each of the following recurrence equations.
a. t
n
= 4t
n 1
for n > 1
t
1
= 3
The candidate solution is t
n
= 3(4
n 1
).
b. t
n
= t
n 1
+ 5 for n > 1
t
1
= 2
The candidate solution is t
n
= 5n 3.
c. t
n
= t
n 1
+ n for n > 1
t
1
= 1
The candidate solution is t
n
= 3 (4
n-1
)
d. t
n
= t
n 1
+ n
2
for n > 1
t
1
= 1
The candidate solution is
e.
t
1
=
The candidate solution is
f. t
n
= 3t
n 1
+ 2
n
for n > 1
t
1
= 1
The candidate solution is t
n
= 5 (3
n 1
) 2
n + 1
.
g. t
n
= 3t
n/2
+ n for n > 1, n a power of 2
t
1
=
The candidate solution is
h. t
n
= nt
n 1
for n > 0
t
0
= 1
The candidate solution is t
n
= n!.
2. Write a recurrence equation for the nth term of the sequence 2, 6, 18, 54, , and use induction to verify the candidate
solution s
n
= 2 (3
n-1
).
3. The number of moves (m
n
for n rings) needed in the Towers of Hanoi problem (see Exercise 17 in Chapter 2) is given by
the following recurrence equation
Use induction to show that the solution to this recurrence equation is m
n
= 2
n
- 1.
4. The following algorithm returns the position of the largest element in the array S. Write a recurrence equation for the
number of comparisons t
n
needed to find the largest element. Use induction to show that the equation has the solution t
n
= n - 1.
index max_position ( index low, index high)
{
index position;
if ( low == high)
return low;
else{
position = max_position ( low + 1, high) ;
if ( S[ low] > S[ position] )
position = low;
return position;
}
}
The top-level call is
max_position (1, n).
5. The ancient Greeks were very interested in sequences resulting from geometric shapes such as the following traingular
numbers:
Write a recurrence equation for the nth term in this sequence, guess a solution, and use induction to verify your solution.
6. Into how many regions do n lines divide a plane so that every pair of lines intersect, but no more than two lines intersect
at a common point? Write a recurrence equation for the number of regions for n lines, guess a solution for your equation,
and use induction to verify your solution.
7. Show that is the solution to the following recurrence equation:
8. Write and implement an algorithm that computes the value of the following recurrence, and run it using different
problem instances. Use the results to guess a solution for this recurrence, and use induction to verify to your solution.
Section B.2
9. Indicate which recurrence eqations in the problems for Section B.1 fall into each of the following categories.
a. Linear equations
b. Homogeneous equations
c. Equations with constant coefficients
10. Find the characteristic equations for all of the recurrence equations in Sections B.1 that are linear with constant
coefficients.
11. Show that if f (n) and g (n) are both solutions to a linear homogeneous recurrence equation with constant coefficients,
then so is c f (n) + d g (n), where c and d are constants.
12. Solve the following recurrence equations using the characteristic equation.
a.
b.
c.
d.
13. Complete the solution to the recurrence equation given in Example B.15.
14. Complete the solution to the recurrence equation given in Example B.16.
15. Solve the following recurrence equations using the characteristic equation.
a.
b.
c.
d.
16. Complete the solution to the recurrence equation given in Example B.17.
17. Show that the recurrence equation
can be written as
18. Solve the recurrence equation in Exercise 17. The solution gives the number of derangements (nothing is in its right
place) of n objects.
19. Solve the following recurrence equations using the characteristic equation.
a.
b.
c.
d.
e.
Section B.3
20. Solve the recurrence equations in Exercise 1 using the substitution method.
Section B.4
21. Show that
a. f (n) = n
3
is a strictly increasing function.
b. g (n) = 2n
3
- 6n
2
is an eventually nondecreasing function.
22. What can we say about a function f (n) that is both nondecreasing and nonincreasing for all values of n?
23. Show that the following functions are smooth.
a. f (n) = n lg n
b. g (n) = n
k
, for all k 0.
24. Assuming in each case that T (n) is eventually nondecreasing, use Theorem B.5 to determine the order of the following
recurrence equations.
a.
b.
c.
25. Assuming in each case that T (n) is eventually nondecreasing, use Theorem B.6 to determine the order of the following
recurrence equations:
a.
b.
26. We know that the recurrence
has solution
in the case a > c, provided that g (n) (n). Prove that the recurrence has the same solution if we assume that