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CHAPTER II

POLYNOMIAL EQUATIONS

Finding roots of polynomials is the simplest problem which may be addressed by perturbation theory. Nevertheless, this type of problem may give us insight into proper formulation of the perturbation problem, singular and regular cases, uniform and nonuniform solutions, rescaling coordinates and rescaling parameters. We will consider the following examples adapted from Simmonds and Mann, pp. 3-17.

Regular Expansion. EXAMPLE 2.1: Consider

(2.1)

D

#  #D  Þ!" œ !Þ

with roots D

and a perturbation method is not required. But our methods will also work for polynomials of higher degree which are not solvable by the quadratic formula. In this case we will "cheat" and use the quadratic formula to verify our results. The following discussion outlines the general method of attack in solving a problem using perturbation techniques. First, we notice that the constant .01 is relatively small when compared with the other constants in the equation. If we replace it by zero, the equation is easily factored with roots

"

ab%

and D

#

ab%

. These roots may be found exactly by the quadratic formula

D " Ð!Ñ œ !

D Ð!Ñ œ #Þ

#

Second, we create a family of problems intermediate between the easy, factorable problem and the original problem by replacing Þ!" with %. Equation (2.1) now has the form

(2.2)

D

#  #D  % œ !

and it represents a family of equations, one for each value of %. When % œ ! we have the factorable or so called reduced problem and when % œ Þ!" we have the target problem. Third, we find an approximate solution to (2.2) assuming each root has a regular perturbation expansion of the form

16

(2.3)

then

D

#

ab %

%Ñ œ +  + %% +  SÐ% Ñ

!"

#

#

\$

#

œ +  #+ +  ˆ #+ +  +

!

!"

%

!#

##

"

 S

%%

\$

ˆ‰

substituting these expressions into a2.2b we get

+

#

!

ˆ

 #+ +  #+ +  +

!"

%

!#

##

"

%

#

 #+  #+ %  #+ %%   S

!

"

#

\$

ˆ‰ %

œ !

17

combining terms and using the fundamental theorem of perturbation theory

therefore,

 + ! #  #+ œ ! ! Ê + ! œ !ß # a b % #+ +  #+  " œ ! !" " Ê + " œ " #  " ß # a # #+ +  +  #+ !# " # b % # œ ! Ê + # œ " )  " ß ) " " D " ab % œ  %% # S ˆ % \$ ‰ # ) " # \$ D # ab % %% S ˆ % ‰ Þ

œ# " # 

)

We see that these are the roots of the reduced equation when % œ !. Fourth, whenever possible, say something about the error of these approximations. In this case we may compare our approximation when % œ Þ!" to the actual roots of the target equation. Exact Roots:

Approximate Roots:

D " œ Þ!!&!"#&'

D

D

"

#

D

#

œ "Þ**%*)(%

a Þ!" b œ Þ!!&!"#&

a Þ!" œ "Þ**%*)(&

b

with error of Þ!!!!!". If the approximation is not good enough with six decimal digits of accuracy then one may compute more terms of the root expansions.

18

This short example reveals an important aspect of regular perturbation problems. That is, these methods can only be applied when the target problem is close to a solvable problem (the reduced problem). In fact, we see that the target problem is replaced by a sequence of problems of which the reduced problem is the first. Since the solution of the reduced problem gives us the first term of the series solution it must be solvable for the target problem to be solvable by the regular perturbation method.

Singular Expansion. EXAMPLE 2.2: Find the roots of the singular problem

a2.4b

#

%D  #D  " œ !

.

Substituting a2.3b we get

ˆ

% +

#

!

 #+ +  ˆ #+ +  +

!"

%

!#

##

"

‰ ‰ˆ  # +  +  +

%

!

"

%%

#

#

 " œ !

collecting terms and using the fundamental theorem

 #+  " œ ! ! Ê " + ! œ # a + ! #  #+ œ ! " b % Ê + " œ " ) a #+ +  #+ !" b % # œ ! Ê " # + # œ "'

so, we discover only one root!

D

"

ab %

œ

""

"

#

%%

)

"'

#

S

ˆ

%

\$

What are the characteristics of the missing root? We try to find the second root by using the quadratic formula. Applied to a2.4b, the quadratic formula gives

a

2.5

b

ab

%

"

" È "

%

%

ab

%

#

" È "

%

%

.

Taking l%l" we can expand expansion

È " %%in a power series in . Using the binomial

È " œ" 

%

#

"

"

%% # â

)

and substituting into a2.5b we find

19

D

"

ab %

œ

"

#

 " ) S

ˆ

%%

2

D

#

ab %

œ

#""  

% #

)

ˆ

%%

S

#

Þ

So, the missing root D

indicating a singularity in the model. The singularity arises when % œ !. We say that the

expansion for D

uniform. The form of D

# a%b

has the characteristic that it approaches infinity as

%

p!,

is

#

ab%

does not hold uniformly for all

# a%b

%%ab

, but the expansion for D

"

suggests the change of variable

a2.6b

=%ab œD% ab% Þ

This change (rescaling coordinates) converts a2.4b to

# # =%  œ!

=

where the problem has been transformed from singular to regular behavior. The general procedure of singular perturbation theory is to extract the singular behavior of a solution and by a change of variable and/or parameter to reduce the singular problem to a regular one. We have already solved this reduced problem. The solutions of example 2.2 were

"

ab œ " # 

=%

"

%

)

%

#

S

ˆ

%

\$

ab œ# " # 

=%

#

%

"

)

%

#

S

ˆ

%

\$

Þ

Restoring the original variable using a2.6b we obtain

D

"

ab %

œ

"

#

 " ) S

ˆ

%%

2

ab %

D œ

#

#""  

% #

)

ˆ

%%

S

#

Þ

where we have reproduced the roots of the singular problem by a change of variable without recourse to the quadratic formula. This is satisfactory since our new method will work for polynomials of degree  #Þ We also notice that it was necessary, by a change of variable, to include negative powers of the parameter in the assumed form of our perturbation expansion, a2.3b. D ab is not a regular expansion because it is not expressed in positive integer powers of the expansion parameter as it must be to be of the form a2.3b. As a result it does not approach a finite value as % p !Þ The change of variable

#

%

20

=%ab œ %Dab% worked for the specific case of a2.4b but will not work in general. In the general case we will proceed by making the change of variable =%ab œ % Dab% and allow the specifics of the problem to determine a value for P which will transform singular behavior to regular. This is a specific case of the method of undetermined gauges.

P

Undetermined Gauges. EXAMPLE 2.3: Find an expansion for the roots of

a2.7b

#

D # D œ!

%

%

.

Using expansion abab2.3

in

2.7

we have

#

+ !

%a

 #+ +  # +  +

!"

%

!

"

%%b

  S

which gives us

ˆ

%

#

œ !

 # + œ! ! Ê ! + œ ! a b% #+ +  #+  " œ ! !" ! Ê ! " œ

a contradiction. Thus, we find no roots, indicating that this equation has no roots of form a2.3b. Consider the change of variable

Dab% œ%=%ab P

where

with +

!

a2.8b

Á !Þ Then

a

2.7

b

#

=%a bœ+ + %+ % â

!"

#

becomes

%

2P

#

= %

ab #

P"

% =%

ab  œ!.

%

"

We solve for P by equating all possible pairs of gauge function exponents. Consider the three possibilities that result.

 i Ñ # PP œ " Ê P œ" ii Ñ P "œ" Ê P œ! iii Ñ # P œ" Ê P œ " #

Case i Ñ Case ii Ñ

would leave % in the first and second terms and the singular behavior remains. ÊDab% œ =%ab and the singular behavior remains.

 Case iii Ñ let P œ " # , then a 2.9 b

a

2.8

b

becomes

#

%= ab %

#

%

\$Î#

= ab %

% œ!

#

= ab %

#

"Î#

% =%

ab

"œ!.

Ê

21

Make a change of parameter (rescaling parameter)

"œ% "Î#

to get rid of the fractional exponent. Then a2.9b becomes

a2.10b

"= "

= # ab # ab "œ!.

"

The regular expansion for = in parameter "

="a b

#

œ, , , S

!"

"

#

"

ˆ

"

\$

is substituted into a2.10b to get

,

#

!

 #, ,  #, ,  ,

!"

!#

"

ˆ

##

"

"

#

 #, ""  #,  "  S

!

"

\$

ˆ‰ "

œ ! .

Collecting terms and using the fundamental theorem we find

 # , "œ! ! Ê , ! œ "ß " a b " #, ,  #, œ ! !" ! Ê , " œ "ß " a # #, ,  ,  #, !# " " b " # œ ! Ê , # œ " # ß " Þ # a =" " a =" # b œ"  " " # " " # S ˆ \$ ‰ b œ "  "  " # " #  S ˆ " ab œ" =% " % "Î# "  S # % ˆ % \$Î# \$ ‰ ‰ . =% ab œ "  # % "Î#  "  S ˆ % \$Î# ‰

# %

Therefore,

Restore original parameter %

and then restore original variable z to obtain the final result.

a

2.11

b

D

D

"

#

ab

%%

œ

"Î#

 

%

"

#

%

\$Î#

S

ˆ

%

ab %

œ

%

"Î#

"

 

%%

#

\$Î#

S

#

ˆ

%

#

.

22

We now see that in the case of singular problems it is necessary to include fractional powers of % as well as negative powers in our perturbation expansions. These unknown gauge exponents are determined after substitution into the target problem. Since the regular series expansion will not work, the method of undetermined gauges is classified as a singular perturbation method. As a check on these results we see that the roots of the reduced equation are accurately represented by a2.11b when % p !Þ We will now state and prove a theorem giving us a procedure to obtain an approximation for any polynomial perturbation. We will then illustrate the method with an example. THEOREM 2.1: Each root of

a

2.12

b

ab

T D œ

%

%

!

!

ˆ

#

+ , - â ‰ˆ

!!

%%

!

%

!

"

#

+ , - â D

""

%%

"

â %

!

8

ˆ

#

+ , - â D œ!

88

%%

8

8

is of the form

a

2.13

b

Dab% œA%%ab P

where Aa%b is a continuous, analytic function of %%for in some neighborhood of !, Aa!b Á !, and !− ß 4 œ 0ßá ß 8Þ Without loss of generality, ! is nonnegative and at least one of them is zero. Clearly we may also assume + Á! unless

œ , œ â œ !Þ Proof: First we find the proper values of P which cause theorem 2.1 to be satisfied. Substituting ab2.13 into ab2.12 we have

+

4

4

5

5

5

P

T % A ab%

%

œU a A b V a A b œ!

%%

where

2.14

b

a

a b %%

U A œ

%

!!

!"

+ 

P

!"

+ Aâ

%

!

8

8P

+ A

8

8

.

Note that a2.14b collects all the terms with the lowest power of % for each power of A.

Then if %

P Aab

%

is a root of

a

2.12

b

T

%

P

%%ab A

œ!

for all

%

23

a2.15b

Ê

lim U

% Ä!

%

a a%bb

A

œ !Þ

If we are to satisfy Aab!

Á!, a2.15b implies that at least two of the exponents of the set

I œ e!!ß  ß! # ßáß! 8 f

!"

PP

#

8

P

must have identical, minimal values. We agree that if the coefficient of D

! <  <T does not appear in set I. If we take a value of P for which there is only a

single minimal value in say ! % ! 5 5P and from a2.14b we have

< œ! then

5

 5P, then we may divide 2.12 by the gauge function

a

b

a2.16b

lim %

%

Ä!

! 5

5

P

T

%

P

%%

A

ab

œ+ A ! œ!

5

5

ab

.

Since Aa!b Á !ß +

gauge exponent would not be in the set So there must be more than one exponent in I with identical minimal values for each proper value of P. We also see that if the exponent value is not minimal then the resulting limit a2.16b would be undefined. We proceed by finding all the proper values of P and their associated minimal exponents to form the set

a2.17b

5

œ ! is implied. This is a contradiction because if +

5

œ ! then its

eaP , baP , b

/

""

ß

##

/ ßáß

aP , bf.

/

44

We use the elements of this set to rewrite a2.12b in the form

a

2.18

b

X Aà

a

%%4

%% œ

b

/

4

T

ˆ

%

P

4

A œ X A  L Aà

!4

%4

ab

a

%

b

where X

!4

ab A

is the part that has no

%%lim a b

's and

% Ä!

L Aà œ !. By multiplying T by

% 4

%

%

/

and changing the variables from DAto

polynomial X

we have extracted the dominant part of T as a

%

%

. The solutions of X

!4

a

A

b

œ! for each 4 will

!4

which is independent of

4

give values of A which, when substituted into ab2.13 , will give is the 8 roots of ab2.12 .

In general, the non-zero roots of the polynomials X %4 a b

A

œ! need not be regular.

The !'s in ab2.12

integer rationals. Thus, to obtain a regular expansion, new parameters must be introduced. Let

a2.19b

and the associated proper values and exponents aP ,

4

/

4

b may be non-

%œ" ; 4

where ; is the least common denominator of the set of exponents Then from a2.18b we form

4

V

"4

ab

A œ X Aà

4

a

"

;

4

b

e!

!

f

ßáß 8P Þ

!

84

where

The roots of X

%4

ab

A

24

X

%4

ab

A œ X Aà Þ

4

a

%b

œ! are identical to those of V

"4

ab

A œ!, but the non-zero roots of

the latter will have regular expansions in " of the form

Aa bœ, , â,

"

!"

"

R

""

S

R

ˆ

R"

.

EXAMPLE 2.4: Construct expansions for the roots of

a

2.20

b

T

%

ab

D œ "  

%%

#

ˆ‰ #  \$

%

D 

%

\$

a

"'  D 

%

b

%

%

#

ˆ

%  

%%

\$

D

'

Step 1. Set % A

P

% ab

T

b

D œ "  

in

a

2.20

and determine the set of exponents I.

P"

ˆ‰

#  \$ A 

%

#

%

\$%PP% #'

a

"'  % b A 

%

%%

ˆ

%  %%

e

I œ !ß "  ß \$  % ß #  '

P

PP

f

\$

A

'

Step 2. Determine the pairs (P

polynomials. Proper values and associated exponents may be determined by trial and error or with the aid of a graph. A computer program illustrating the algorithm is

included as Appendix I. Figure 1 shows a plot of the exponent lines. The intersections

of minimal value may be found at P œ

4

ß/

4

) of proper values with associated exponents and

%

and P œ

\$

& 2+6P
-3+4P
1+P
-5/2
3/4
-13
Figure 1.

Proper Values

P

Œ

Œ

\$

% ß !

À X

%

"

ab

%

œ "  

%%

(Î%

ˆ

#

#  \$ A  "'  A

%

a

%

b

%

&

#

ß "\$ À X ab

%

#

%

œ

%

"\$

%

"\$Î#

a

" 

ˆ

%  A

%%

\$

'

%%

b

#\$Î#

ˆ

#

#  \$ A  a "'  b A

%

%

ˆ % %

%

\$

A

'

%

Step 3.

For each 4 determine ;;, where

exponents of X polynomials V

4

4

is the least common denominator of the set of

%

œ

"

;

4

and list the associated

%4

. Make the change of parameter

"4 a A b .

a

a

2.21

2.22

b %"

œ

b

%"

œ

%

#

À V

À V

"

"

"

#

a

a

b

A œ " 

b

A œ

"

#'

"

%

"

"

"

#

#'

(

ˆ

#  \$ A  "' 

ˆ

"

%

‰ˆ

"#

)

"

%%

A

% 

ˆ

"

"

""

#\$

#

"

''

A

%

A

'

ˆ

" 

ˆ

 % 

#  \$ A  "' 

"

‰ˆ

"

#

A

%

Step 4.

The roots of XA

%4

ab

are identical to those of V

"4

ab

A

will have a regular expansion in of the form

but the non-zero roots of the latter

25

26

a

2.23

b

Aa bœ, , â,

"

!"

"

R

""

S

R

ˆ

R"

.

Substitute a2.23b into V

and obtain a sequence of equations in , ß, ßáß,

, ß, ßáß,

From a2.2 b we get

"4

abA œ!, collect like powers of

"

!"

" , use the fundamental theorem

R

. Solve in order for the unknowns

!"

R .

%

"  "', œ !

!

"  '%, ,  , œ !

!

%

!

\$

%

Ê

, ! œ

Ê %

"

"'

œ

"

#

/

a

5" b1 3 Î#

ß

5 œ

"ß #ß \$ß %

From a2.22b we get

"&

, œ ,

%

'%

!

"',  %, œ !

!

!

%

'

'%, ,  ,  #%, ,  , œ !

!! #

!! #

\$%

&'

Ê

,

!

œ È

% œ # " ß 5 œ &ß '

a

b

5

Step 5. Write down the roots D

"

D

5

ab %

œ

\$

,œ ,

%

\$#

!

ab%%ab

ßáßD

'

via the change of variable D œ

% P

A.

"

#

/

a

5" b1 3 Î#

" 

"&

'%

ˆ

%%

 S

(Î%

ß

5 œ "ß #ß \$ß %

D

5

ab

%

a

œ # "

b

5 &Î#

%

" 

\$

\$#

ˆ

%%

 S

#

ß

5 œ &ß '