some remarks on the asymptotic iteration method · approach to solving second-order linear...
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Journal of Innovative Technology and Education, Vol. 3, 2016, no. 1, 251-264
HIKARI Ltd, www.m-hikari.com
https://doi.org/10.12988/jite.2016.6613
Some Remarks on the Asymptotic
Iteration Method
W. Robin
Engineering Mathematics Group
Edinburgh Napier University
10 Colinton Road, EH10 5DT, UK Copyright © 2016 W. Robin. This article is distributed under the Creative Commons Attribution
License, which permits unrestricted use, distribution, and reproduction in any medium, provided the
original work is properly cited.
Abstract
The asymptotic iteration method is shown to arise naturally from the continued
fraction approach to solving second-order homogeneous linear ordinary differential
equations. This emergence of the asymptotic iteration method from the continued
fraction approach follows when the continued fraction method is (a) conjoined with
the operator factorization method and (b) ‘completed’ by the explicit consideration
of the continued fraction convergents. As well as a specific example being consid-
ered, a general discussion of the emergent methodology is presented.
Mathematics Subject Classification: 30B70, 33C45, 34A05, 34A25, 40A15
Keywords: ordinary differential equations; operator factorization; Riccati equa-
tion; continued fractions; convergents; asymptotic iteration method
1. Introduction
Over the past few years, the asymptotic iteration method (AIM) has proved a pop-
ular technique for the solution of second-order linear homogeneous ordinary differ-
ential equations (ODE) [2, 3, 6, 7 and 18]. The AIM has been applied across a wide
variety of problems arising in the solution of second-order linear ODE and its pro-
ponents can claim a considerable amount of success in such enterprises. Naturally,
the foundations of the AIM have been subject to certain amount of scrutiny and it
has become apparent that the AIM is intimately related to two other well-known
methodologies for solving second-order linear ODE: the factorization method [19]
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252 W. Robin
and the continued fraction method (CFM) [4, 10 and 13]. In this paper, we show
that the AIM, for second-order linear ODE, can be deduced from the CFM, but only
by first exhibiting the full formalism of the CFM (see below and [4]); once this is
done, the AIM emerges, then, from the CFM via a basic mathematical induction
argument. This leaves us with an interesting synthesis of the factorization method,
the CFM and the AIM for solving second-order linear homogeneous ODE, a syn-
thesis that effectively ‘completes’ the AIM, when applied to second-order linear
homogeneous ODE, as we discuss below.
The paper is organized as follows. In section 2, we review the CFM in conjunc-
tion with the factorization method and derive, in a compact form, the standard CFM
approach to solving second-order linear homogeneous ODE. As an example of this
approach, we consider the CFM solution of the hypergeometric-type of ODE in
section 3; at this point, we encounter the problem emphasised by Matamala et al
[14] about applying the CFM to the solution of second-order linear ODE – ‘within
CFM a previous laborious backward process is required for the integration of Eq.(6)
[essentially finding the solution of the ODE in question]’.However, as shown in
section 4, this problem can be eliminated, entirely within the theory of continued
fractions (CF), by use of a well-known result from the basic theory of CF [11, 12]
to ‘complete’ the CFM in such a manner that a fully forward iterative solution
scheme can be presented for the CFM (see, in particular [4]). Then, in section 4, it
is shown, also, how the AIM emerges naturally from this ‘complete’ form of the
CFM, through a basic mathematical induction argument. Section 4 is followed, in
section 5, by a general discussion of the ‘pros and cons’ of the AIM, as well as a
consideration of further methodological points in the application of the AIM, and
we then round-off the paper with a summary of our conclusions on the analysis and
discussion presented in the paper.
2. Applying the CFM with the Factorization Method
The problem in question is the solution of the second-order linear ODE [7]
0)()()()()( xyxqxyxpxy (2.1)
for given (sufficiently smooth) functions )(xp and ).(xq Of course, the solution of
(2.1), ),(xy may also depend on initial/boundary conditions. As usual, the dashes
in (2.1) refer to differentiation with respect to the independent variable, .x
To solve (2.1) using the factorization method, we assume that we may rewrite
(2.1) in the factorized form [19]
0)()]()][([ xyxDxD (2.2)
where dxdD / is the usual differential operator, and the (sufficiently smooth)
functions )(x ( )(/)( xyxy from (2.2)) and )(x must be determined such
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Some remarks on the asymptotic iteration method 253
that (2.1) and (2.2) are identical. So, evaluating the brackets in (2.2) and compar-
ing the resultant equation with (2.1), we find that )(x and )(x must be solu-
tions of
)()()( xpxx (2.3a)
and
)()()()( xqxxx (2.3b)
Eliminating )(x in (2.3a) in terms of )(x and substituting for said )(x in
(2.3b), we find that )(x must be the solution of the Riccati equation
0)()()()()( 2 xqxxpxx (2.4)
and, given )(x as the solution of (2.4), )(x follows from (2.3a).
In principle, we can now solve (2.1) by integrating (2.2), when we find that
dtduuuccdttxy
x
a
t
a
x
a
)]()([exp)(exp)( 21
(2.5)
with ,xa 1c and 2c constants. The constants 1c and 2c are, of course, the con-
stants of integration and the relation (2.5) is the ’in principle’ general solution of
equation (2.1).
We now consider the basics of the solution of (2.1) via the CFM. The essential
mechanics behind the solution of (2.1), using the CFM, involves the repeated dif-
ferentiation of (2.1) with respect to x [8, 10, 14]. So, differentiating (2.1) k times
with respect to ,x we get the thk )2( - order linear ODE (for integer 0k )
0)()()()()( )()1()2( xyxQxyxPxy kk
kk
k (2.6)
where, for integer 1k
)(
)()()(
1
11
xQ
xQxPxP
k
kkk
(2.7a)
and
)(
)()()()()(
1
1111
xQ
xQxPxPxQxQ
k
kkkkk
(2.7b)
with )()(0 xpxP and ).()(0 xqxQ
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254 W. Robin
At this point, instead of requiring a CF solution of (2.1) per se, we realize that
(2.6) can be considered, for every value of ,k as a second-order linear ODE for
),()( xy k that is, we may rewrite (2.6) as ( ,3,2,1,0k )
0)()()()()( )()()(
xyxQxyxPxy kk
kk
k (2.8)
with a corresponding sequence of Riccati equations
0)(),()(),(),( 2 xQkxxPkxkx kk (2.9)
and general solutions along the line of (2.5).
However, from (2.8) the ),( kx are related through the recurrence relation
,,,,, kkxαxP
xQ
xy
xykxα
k
kk
k
3210)1,()(
)(
)(
)(),(
)(
)(
(2.10)
when ),0,()( xαx the solution of (2.4), is given by the CF expansion
)(
)()(
)()(
)()(
)(
)(
)(
)(
)()(
3
32
21
10
0
0
xP
xQxP
xQxP
xQxP
xQ
xP
xQK
xy
xyx
k
k
k (2.11)
The relation (2.10) is a linear fractional transformation and is no surprise, as the
Riccati equation is well-known to be invariant under such transformations, which
are also well-known as generators of CF [11]. Indeed it is relation (2.10) that is
usually applied to obtain CF solutions, (2.11), to the ODE (2.1).
In practice, from (2.11), we are guaranteed a solution of (2.9), and hence (2.8),
if we have (or demand) for some integer nk
0)( xQn (2.12)
The condition (2.12) will terminate the CF expansion (2.11) and yield the actual
form of the solution, ),0,()( xαx to (2.4) and hence (2.1). (If the condition (2.12)
is not guaranteed, or is incapable of being forced, convergence problems will arise:
see below).
As mentioned in the introduction, Matamala et al [14] criticize this approach:
‘within CFM a previous laborious backward process is required for the integration
of Eq.(6) [essentially finding the solution of the ODE in question]’. This is indeed
the case as the resolution of (2.11) as a rational (algebraic) function does require
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Some remarks on the asymptotic iteration method 255
(2.11) to be multiplied out (resolved). However, there is an alternative approach to
the CFM and, in section 4, we will derive the AIM from this alternative CFM. First,
we consider an example of the original CF formalism developed above.
3. The Hypergeometric-Type Equation
As an example of the formalism of section 2, we consider an ODE that encompasses
many well-known and important special cases [8, 16, 20], the hypergeometric-type
equation [16]
0)()()()()( xyxyxbxyxa (3.1)
with )(xa (at most) a quadratic function, )(xb a linear function and independent
of .x Apart from its inherent importance, the immediate interest of (3.1), is that
when we apply the methodology of section 2 to (3.1), the technical elements of the
CF solution process appear in closed-form and we achieve an ‘in principle’ com-
plete analytic solution of (3.1), a class of ODE that subsumes a considerable number
of important particular ODE [16].
Another reason for considering the CF solution process for (3.1), if one were
needed, is the relation of (3.1) to the more general equation of Nikiforov and Uva-
rov [16], that is
0)()(
)(~)(
)(
)(~
)(2
xzxa
xaxz
xa
xbxz (3.2)
with )(~ xa (at most) a quadratic function and )(~
xb a linear function. Equation (3.1)
is related to equation (3.2) by the substitution ),()()( xyxxz with )(x the so-
lution of a particular ODE (see reference [16] for details).
Moving on, we consider the CF solution of (3.1). So, following the procedure
of section 2, we differentiate (3.1) k times, with ,,,,k 3210 and get
0)()()()()( )()()(
xyxQxyxPxy kk
kk
k (3.3)
where
)(
)()()(
xa
xbxakxPk
and
)()(
xaxQ k
k
(3.4)
and
)()(2
)1(xbkxa
kkk
(3.5)
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256 W. Robin
with (3.3) having a corresponding sequence of Riccati equations (2.9), with the
),( kx related through the recurrence relation (2.10), when ),(x the logarithmic
derivative of the solution of (3.1), is given by the CF expansion (2.11).
We expect to have a sequence of polynomial solutions to (3.1) if we apply, to
(2.11), the natural termination condition (2.12) or 0)( xQn exactly; that is, if
,n .,3,2,1,0 n In this case ),(x the solution of the Riccati equation corre-
sponding to (3.1), is
)(
)()()(
1
11
xy
xyxx
n
nn
(3.6)
and, after the CF (2.11) is reduced to lowest form, we expect also that we may pick-
off these polynomial solutions to (3.1) from the denominator of (3.6).
As a particular example, we consider (one form of) the Hermite equation
0)()()( xnyxyxxy (3.7)
which, when differentiated k times, yields
0)()()()( )()()(
xyknxxyxy kkk (3.8)
and we have, in agreement with (3.4) and (3.5)
xxPk )( and nkxQk )( (3.9)
We will work out the first few eigenvalues and eigenvectors of (3.7) using
(2.10)/(2.11). First, from (2.10) and (3.9), we have
,,,,, kkxαx
nk
xy
xykxα
k
k
3210)1,(
)(
)(
)(),(
)(
)(
(3.10)
To get, for example, the first four eigenvalues with corresponding eigenvectors,
from (3.10), we consider (from (2.11))
)4,(
)3(
)2(
)1()(
)()0,(
xαx
nx
nx
nx
n
xy
xyxα
(3.11)
So, first, in (3.11), set 0n and we find that constant,0 y which we choose as
one. Next, in (3.11), set 1n and
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Some remarks on the asymptotic iteration method 257
xxy
xyxα
1
)(
)()0,(
1
1
(3.12)
and, to within a constant, x.1 y Now, in (3.11), set 2n and
1)1()(
)()0,(
22
2
x
x
x
nx
n
xy
xyxα (3.13)
And, again to within a constant, .122 xy Finally, in (3.11), set 3n and
xx
x
xx
xxy
xyxα
3
33
1
2
3
)(
)()0,(
3
2
3
3
(3.14)
and ,333 xxy correct to within a constant factor. For further examples of this
type of solution to (3.1), see David [8] (see, also, Sous and Al-Hawari [21]).
In the above example the termination condition 0)( xQn arose quite naturally;
this is not the case for eigenvalue problems in general, when the condition (2.12)
must be imposed and a more technical numerical solution of the problem must be
found (for an example of this, see reference [3]). We consider, next, how the AIM
can be recovered from the (more complete) CFM.
4. The AIM Arising from the CFM
As mentioned above, there is another way of developing a CF solution of (2.1)
directly,
that is, through an entirely ‘forward-moving’ calculation. If we set 0)( xQn in the
CF in (2.11), we get the nth-convergent or approximant of the CF in (2.11) [5, 11.
12], which, as a rational function, we write as (see also Ince [9] and Camacho and
Movasati [4])
,3,2,1 ,)(
)(
)(
)( 1
01
1
nxP
xQK
xv
xu
k
kn
kn
n (4.1)
In fact, following an induction argument [12], the nth-convergent of the CF in (2.11), can be determined through the well-known recursive relations (again, see
Camacho and Movasati [4])
)()()()()( 21 xuxQxuxPxu kkkkk (4.2a)
)()()()()( 21 xvxQxvxPxv kkkkk (4.2b)
provided [4, 12]
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258 W. Robin
0)( ,1)( 12 xuxu (4.3a)
1)( ,0)( 1 2 xvxv (4.3b)
Equations (4.2) and (4.3), along with (2.7), then yield a purely forward iterative
scheme for the solution of the Riccati equation (2.4). When we approximate ),(x
the solution of the Riccati equation (2.4), using the nth-convergent (4.1) as
,3,2,1 ,)(
)()()(
1
11
n
xv
xuxx
n
nn (4.4)
then, from a particular case of (2.5), we get a series of approximations to the solu-
tion of (2.1) of the form ( 1nc constant, ,3,2,1n )
x
a n
nnn dt
tv
tucxyxy
)(
)(exp)()(
1
111 (4.5)
with the hope that, in the absence of a natural termination, ).()( 1 xyLimxy nn
Curiously, Matamala et al [14] actually derive the relationships (2.7) and then
(4.2) and (4.3), via a comparison of (2.8) with the AIM. However, they appear to
have overlooked the primacy of (4.2) and (4.3) in the CFM.
If we substitute (4.4) into the left hand side of (2.4), then we get the residual
equation for the Riccati equation (2.4), that is
)()()(
)()(
)(
)(
)(
)(
1
1
2
1
1
1
1 xRxqxv
xuxp
xv
xu
xv
xun
n
n
n
n
n
n
(4.6)
where the residual, ),(xRn may be expressed as (for example)
2
1
1111111 ][][
n
nnnnnnnn
v
pvuvuvqvuR (4.7)
and is a measure of the error involved in the approximation (4.4). If the solution is
exact, as in the example of section 3, then 0nR [2].
We now show that the AIM emerges from the above CFM via a ‘strong’ induc-
tion proof. With ,,3,2,1 k the AIM may be summarized as the following set of
equations
11)( kkk quuxu (4.8a)
111)( kkkk pvuvxv (4.8b)
with initial conditions
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Some remarks on the asymptotic iteration method 259
)()( ),()( 0 0 xpxvxqxu (4.9)
and terminating conditions
0)()()()( 11 xvxuxvxu kkkk (4.10)
We wish to extract the formalism (4.8), (4.9) and (4.10) from the CFM (4.2)
and (4.3), with (2.7) in mind. Apparently, from (4.2) and (4.3), the proposition is
true for .0k We assume, now, that the AIM holds for k and 1k and derive it
for .1k We begin by differentiating (4.2a), to get
)()()()()()()()()( 2121 xuxQxuxPxuxQxuxPxu kkkkkkkkk (4.11)
Next, we eliminate )(xPk and )(xQk in (4.11) using the defining equations (2.7) in
the form
)()]()([)( 1 xQxPxPxQ kkkk (4.12a)
and
)]()()[()()()( 11 xPxPxPxQxQxP kkkkkk (4.12b)
(where we have eliminated )(xQk from (4.12b) using (4.12a)) to get, after collect-
ing like terms
)()()]()()()()[()( 11211 xuxQxuxQxuxPxPxu kkkkkkkk
)}]()()()({)()[( 211 xuxQxuxPxuxP kkkkkk
)]()()[( 12 xuxuxQ kkk
)()()()( 111 xuxQxuxP kkkk )]()()[( 1 xuxuxP kkk
)]()()[( 12 xuxuxQ kkk (4.13)
where we have used (4.2a). Making the induction assumption that (4.8) holds for k
and ,1k and making use of (4.2a) again, we find that (4.13) becomes
)()()()( 1 xuxqxuxu kkk (4.14a)
which was to be proven.
Moving on, we can repeat the above process for )(xvk from (4.8b), when we get
equation (4.13) again, but with )(xvk replacing ).(xuk As before, we make the in-
duction assumption that (4.8) holds for k and ,1k and, allowing for (4.2) yet
again, we find that
)()()()()( 1 xvxpxuxvxv kkkk (4.14b)
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260 W. Robin
which was to be proven. The terminating condition (4.10) follows when we set
0)( xQk in (4.2).
Naturally, the equation in section 3 can be handled using either the CFM (4.2)
and (4.3) (with 0)( xQk ), or the AIM (4.8) to (4.10).
5. General Discussion and Conclusions
We have established the fact that the AIM is actually another way of determining
the CFM formalism, which, with its (the CFM formalism that is) full development
via the factorization method and relations (4.2) and (4.3), appears now in its most
complete and coherent form. However, a big advantage of the AIM representation
is that the AIM defining relations (4.8) and (4.9) deliver the convergent components
)(/)( xvxu nn directly, without actually considering the CF process that they are in-
timately connected with, and this may simplify the construction of solutions or ap-
proximate solutions. On the other hand, the basic factorization/CF approach devel-
ops the theory of the solution of (2.1) in a manner that enables the wholesale incor-
poration of the relevant CF theory into the solution process; in particular, we can
incorporate the theory of the convergence of CF into the factorization/CF method-
ology. For example, for the case of the hypergeometric equation itself, that is [24]
0)()())1(()()1( xyxyxxyxx (5.1)
with , and constants, we find, on differentiating (5.1) k times, with
,,3,2,1,0 k that
)())12(()()1( )()( xyxkkxyxx kk
0)())(( )( xykk k (5.2)
a result which is consistent with the scheme (3.1) to (3.4). Unless otherwise speci-
fied, there is no reason to set 0))(( kk and the CF [(2.11)] would not ter-
minate. In this case it is necessary to discuss the convergence of the CF and it is on
the matter of convergence in problems like this that the AIM has struggled [2].
Recently, following the original work on the convergence of CF solutions of (5.2)
by Ince [9], Camacho and Movasati [4], using a theorem of Poincare’s [17] (see
also Mate and Nevai [15]) discuss the convergence of CF solutions to (2.1) (specif-
ically Fuchsian ODE) and conclude (in the current notation) that the nth-convergent
(4.1) converges to the solution )(/)()( xyxyx of the Riccati ODE (2.4). This
general result seems to cap-off the CFM/AIM techniques for the solution of a wide
class of second-order linear homogeneous ODE.
Given the above, there are still a number of points that require further discus-
sion. First, as Amore et al [2] have shown, the AIM equations are not unique and
their analysis leads to the transformations
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Some remarks on the asymptotic iteration method 261
)()()(
xuexu kxp
k
and )()(
)(xvexv k
xpk
(5.3)
which transform the AIM equations (4.8) into a second pair of recurrence relations
for the AIM [2] (compare (4.10) with (5.3))
111 )( kkkk puqvxuu (5.4a)
11 kkk uvv (5.4b)
provided we replace the initial conditions (4.9) with
)()()(
0 xpexuxp
and )()(
)(0 xqexv
xp
(5.5)
It is easy to show that the transformations (5.3) leave the residual analysis basi-
cally unchanged [2].
With this ‘ambiguity’ set aside, another problem that requires attention is the
solution of the AIM recurrence relations, (4.8). Naturally, it is possible to simply
step-through the relations one iteration at a time, but another possibility exists: the
recurrence relations (4.8) may have a solution in series. Cho et al, in a review of the
AIM [6], make use of Taylor series expansions of ku and kv which they substitute
into the (differential) recurrence relations (4.8) to (4.10) and reduce ‘the AIM into
a set of recursion relations [for the Taylor series coefficients] which no longer re-
quire derivative operators.’ However, as noted at the end of section 3, when used in
its more general form in eigenvalue problems [3] it proves necessary to force the
termination of the (CF) expansion and determine the eigenvalues and eigenvectors
numerically.
The third matter that arises for discussion is the necessity, in general, to trans-
form the variables to force the given problem (ODE) into a standard form to which
the AIM may be applied, that is, (2.1). This point was mentioned at the start of
section 3 in relation to the link between the equation (3.2) of Nikiforov and Uvarov
[16] and the hypergeometric-type ODE (3.1). However, more general examples of
this process abound and the technical points of these transformations have a life
independent of any particular solution method; see, for example, references [1],
[22] and [23].
In conclusion, we can say that we have shown that the CFM for second-order
linear ODE can be presented through the factorization method and ‘completed’ by
the well-known relations (4.2)/(4.3) (for example, Camacho and Movasati [4])
when the solution process is expressed as a forward iteration method for the solu-
tion of second-order linear ODE. And, when this ‘completed’ form of the CFM is
considered, it has proven possible to derive the AIM directly from the full CFM
formalism. In addition, we have drawn attention to a recent general theorem on the
convergence of CFM/AIM solutions for a wide class of second-order linear homo-
geneous ODE
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262 W. Robin
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Received: June 17, 2016; Published: November 2, 2016