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**optimization for vehicle reidenti®cation on freeways
**

Carlos Sun

a,

*

, Stephen G. Ritchie

b,1

, Kevin Tsai

c,2

, R. Jayakrishnan

b,3

a

Department of Civil and Environmental Engineering, Rowan University, 201 Mullica Hill Road, Glassboro,

NJ 08028-1701, USA

b

Department of Civil and Environmental Engineering, Institute of Transportation Studies, University of California, Irvine,

CA 92697-2175, USA

c

Department of Electrical and Computer Engineering, University of California, Irvine, CA 92697, USA

Received 12 August 1998; accepted 3 June 1999

Abstract

The vehicle reidenti®cation problem is the task of matching a vehicle detected at one location with the

same vehicle detected at another location from a feasible set of candidate vehicles detected at the other

location. This paper formulates and solves the vehicle reidenti®cation problem as a lexicographic optimi-

zation problem. Lexicographic optimization is a preemptive multi-objective formulation, and this lexico-

graphic optimization formulation combines lexicographic goal programming, classi®cation, and Bayesian

analysis techniques. The solution of the vehicle reidenti®cation problem has the potential to yield reliable

section measures such as travel times and densities, and enables the measurement of partial dynamic origin/

destination demands. Implementation of this approach using conventional surveillance infrastructure

permits the development of new algorithms for ATMIS (Advanced Transportation Management and In-

formation Systems). Freeway inductive loop data from SR-24 in Lafayette, California, demonstrates that

robust results can be obtained under dierent trac ¯ow conditions. Ó 1999 Elsevier Science Ltd. All

rights reserved.

Keywords: Vehicle reidenti®cation; Section measures; Lexicographic optimization

Transportation Research Part C 7 (1999) 167±185

www.elsevier.com/locate/trc

*

Corresponding author. Tel.: +1-856-256-5327; fax: +1-856-256-5242.

E-mail addresses: sun@rowan.edu (C. Sun), sritchie@uci.edu (S.G. Ritchie), wtsai@uci.edu (K. Tsai), rjayakri@

uci.edu (R. Jayakrishnan)

1

Tel.: +949-824-5333; fax: +949-824-2117.

2

Tel.: +949-824-2164; fax: +949-824-2321.

3

Tel.: +949-824-2172; fax: +949-824-8385.

0968-090X/99/$ - see front matter Ó 1999 Elsevier Science Ltd. All rights reserved.

PII: S0968- 090X( 99) 00018- 2

1. Introduction

Even though new technologies are being investigated for transportation surveillance and data

collection, the inductive loop detector still remains as the most prevalent surveillance system in the

US and in many countries of the world. For example, a medium-sized city in the US can contain a

signi®cant inductive loop detector infrastructure consisting of freeway mainline and ramp de-

tectors, advance detectors, and system detectors. However, the existing inductive loop detector

infrastructure only provides ``point'' measures such as ¯ow, occupancy, and ``point'' speeds where

the measurement is taken from a particular ``point'' in space. Section measures are dierent from

``point'' measures in that they measure trac conditions over an extended length of roadway as

opposed to a single point. Since inductive loop detector manufacturers are incorporating the

ability to monitor and output vehicle inductance values (or waveforms), this information can be

utilized to derive useful trac information such as section travel times (or section speeds), section

densities, per lane trac movements, and partial origin/destination demand proportions. The

direct measurement of section measures of trac system performance such as travel times and

densities avoids the inaccuracies associated with estimating such values from ``point'' speeds and

occupancies. Some results of this research show that values of ``point'' and section measures

derived from freeway data dier signi®cantly. The use of section measures has the potential to

improve many Intelligent Transportation System strategies which have only used ``point'' mea-

sures as inputs. Some of these strategies include ramp control, route guidance, traveller infor-

mation system, and incident detection.

A general transportation network can be modeled using individual links where each link has

only one ingress point and one egress point. Some examples of network links include multi-lane

freeway sections, arterial sections, and ramps. If both the beginning and the end of each link is

appropriately instrumented with a detector station, say a loop station with vehicle waveform

output, then vehicle waveforms can be obtained from the beginning (upstream) and ending

(downstream) detectors. A vehicle waveform pair can then be formed by using one downstream

waveform and one upstream waveform. The vehicle reidenti®cation problem is to ®nd the

matching upstream vehicle from a set of upstream vehicle candidates given a downstream vehicle.

One way to directly measure section travel times, section densities, per lane trac movements, and

partial origin/destination demand proportions is by solving the vehicle reidenti®cation problem

over a set vehicles. The single solution of the reidenti®cation problem produces the tracking of a

single vehicle, while the sequential solution of a stream of vehicles will produce measures such as

section density and group travel time. Both kinds of solutions produce valuable data that are of

interest to operating agencies, researchers, and individual travelers.

2. Preceding work

Some manufacturers of detectors that output vehicle waveforms include 3M Intelligent

Transportation Systems, Peek Trac Sarasota, and Intersection Development Corporation in the

US, and ave Verkehrs-und Informationstechnik in Germany. IDC (1997) and AVE (1995) have

commercial systems that will also produce section related measures. But, as commercial products,

the details of these algorithms are not available in the public domain for evaluation.

168 C. Sun et al. / Transportation Research Part C 7 (1999) 167±185

The published literature on the use of inductive vehicle waveform analysis and reidenti®cation

is scarce. B ohnke and Pfannerstill (1986) discussed the use of inductive waveforms and the

Karhunen-Lowe transformation in reidentifying vehicle sequences. K uhne in cooperation with

other researchers have published several reports of section measure instrumentation for obtaining

inductive loop vehicle waveforms. A freeway control system using a dynamic trac ¯ow model

and vehicle reidenti®cation technique was published by K uhne (1991). Another system discussed

by K uhne and Immes (1993) detailed a freeway control system using section-related trac vari-

able detection. More recently, K uhne et al. (1997) presented an overview of European projects

and initial ideas for a study approach in an early phase of this project. One dierence between

previous approaches and the proposed approach is that the proposed approach utilizes square

loop geometries that are common in the US while previous approaches have used loop geometries

from Europe that are ``shorter'' in the traversal direction. Since loops integrate the inductance

signal over the entire loop geometry, the square loops produce a less distinctive waveform that is

more dicult to reidentify compared with the ``shorter'' European loops. Another dierence

between the current and previous approaches is the fact that the current approach presents a

solution to the vehicle reidenti®cation problem while previous approaches solve the reidenti®-

cation of vehicle sequences. An approach that utilizes sequences is suitable for the case when

sequences of vehicles are preserved from upstream to downstream. The preservation of sequences

occurs when there is very little lane changing and the speeds across all trac lanes are similar. In

contrast, the current vehicle reidenti®cation approach is suitable for cases where there is signi®-

cant dierence in lane speeds. The solution of the vehicle reidenti®cation problem yields not only

section measures, but has the potential to yield partial origin/destination demands and individual

lane changing information.

3. Vehicle reidenti®cation problem

The vehicle reidenti®cation problem de®ned by using inductive waveforms is to ®nd the

matching upstream vehicle waveform from a set of candidate upstream vehicle waveforms given a

downstream vehicle waveform. Instead of using upstream and downstream waveforms indepen-

dently, one can form pairs of upstream and downstream waveforms. Another way of stating the

vehicle reidenti®cation problem is:

Given a set of vehicle waveform pairs x

i

, where x

i

÷ S; i = 1; . . . ; N

c

; and S is the set of vehicle

waveform pairs, and N

c

is the number of waveform pair combinations, ®nd the waveform pair

which is produced by the same vehicle.

The vehicle waveforms contain a wealth of information including maximum magnitude of

inductance, length, and the shape of the metal mass of the vehicle. Each piece of information

embedded in the waveform can be extracted straightforwardly into individual feature vectors. In

addition, vehicle lane number, vehicle speed, and vehicle arrival time are recorded with the vehicle

waveform and can also be considered as feature vectors. The waveform pair x

i

mentioned pre-

viously is actually the following matrix of feature vectors that are measured using inductive loops

detectors that output inductance values:

C. Sun et al. / Transportation Research Part C 7 (1999) 167±185 169

x

i

=

x

us1

x

us2

x

usN

s

x

um

x

ul

x

uv

x

ud

x

ut

2

6

6

6

6

6

6

6

6

6

6

6

6

6

6

6

6

4

3

7

7

7

7

7

7

7

7

7

7

7

7

7

7

7

7

5

x

ds1

x

ds2

x

dsN

s

x

dm

x

dl

x

dv

x

dd

x

dt

2

6

6

6

6

6

6

6

6

6

6

6

6

6

6

6

6

4

3

7

7

7

7

7

7

7

7

7

7

7

7

7

7

7

7

5

:

The feature vectors from each vehicle are indicated with subscripts, s for shape, m for maximum

magnitude, l for lane number identi®cation, v for speed, d for vehicle length, and t for arrival time.

The subscript u indicates upstream while d indicates downstream. The shape feature vector is a

waveform that was transformed from the ``raw'' inductive waveform. The transformation involves

magnitude normalization and conversion of the abscissa from time to distance through the use of

measured vehicle speeds. A spline interpolation at ®xed intervals is then performed on this

transformed waveform to provide consistent points of comparison between dierent waveforms.

The shape feature vector contains N

s

number of spline-interpolated waveform ordinates. The

waveform pair x

i

which contains dierent feature vectors is the input to the vehicle reidenti®cation

algorithm.

4. Multi-objective optimization

A multi-objective optimization approach is used in the solution of the vehicle reidenti®cation

problem. Note that even though ``vehicle matching'' is the overall objective, matching of each

individual feature vector value pair in a pair of feature vectors can be considered an objective by

itself. For instance ``matching magnitude'' is one objective and ``matching speed'' is another.

A multi-objective approach combines these multiple objectives, the relative ``importance'' of each

becoming signi®cant. The ``optimization'' on any given objective here refers to minimizing the

mismatches between feature vector pairs based on the given objective. Note that in this regard,

the optimization based on any objective is equivalent to a matching based on the given feature

as the ``criterion''. Thus the approach may also be called a ``multi-criteria'' approach. The multi-

objective optimization in this case is performed over a matrix space instead of a vector space since

the waveform pair x

i

is actually a matrix.

Even though the optimization ®eld is still dominated by single objective optimization ap-

proaches, the multi-objective approach merits consideration in many applications such as the

vehicle reidenti®cation problem. In many real world problems, more than one objective is often

considered. For example in the ®eld of transportation, a speci®c problem can involve minimizing

several objectives such as ®nancial cost, travel time, pollution, and interjurisdictional con¯ict

while maximizing the total throughput. In fact, the human decision making process seldom relies

on a single objective but trades o between dierent factors in order to obtain an optimum.

170 C. Sun et al. / Transportation Research Part C 7 (1999) 167±185

Examples of applications of multi-criteria optimization in engineering and the sciences can be

found in Stadler (1988), and examples in transportation systems can be found in Kapur (1970).

Mathematically, the multi-objective optimization problem can be written as:

min f

1

(x) = z

1

;

min f

2

(x) = z

2

;

min f

m

(x) = z

k

;

s:t: x ÷ S;

where f

1

; . . . ; f

m

are objective functions, z

1

. . . ; z

k

are objective values, and x represents points in

the feasible set S.

Qualitatively speaking, multi-objective optimization involves ®nding optimum points x

+

within

a feasible set x that are ``as good as can be obtained'' when judged according to multiple criteria

(Rentmeesters, 1998). The optimum solutions for multi-objective problems are called the Pareto

set. The Pareto set contains all points for which there does not exist any other point that would be

uniformly better on all objectives. In other words, it is not possible to move from one ecient

point feasibly to another so as to increase one of the objectives without necessarily decreasing at

least one of the others (Steuer, 1986). A Pareto set is also known as an ``eciency frontier'', and

the points in the set are called ``ecient points''.

5. Lexicographic optimization formulation and solution

The lexicographic method is a sequential approach to solving the multi-objective optimization

problem. In this approach, each objective is ordered according to its importance. In other words,

the ®rst level minimization is

^

f

1

= min[f

1

(x) : x ÷ S[;

where f

1

is the objective function,

^

f

1

the optimum objective value, and x represents points in the

feasible set S. The optimization yields the optimal decision set

S

1

= [x ÷ S : f

1

(x) =

^

f

1

[:

The next level minimization yields

^

f

2

= min[f

2

(x) : x ÷ S

1

[;

S

2

= [x ÷ S

1

: f

2

(x) =

^

f

2

[:

This process continues until all m objectives have been considered. Alternatively, a level in the

lexicographic scheme could be a search-space reduction scheme using a criterion rather than a

pure minimization. The upper levels of the vector matching method in this research is incidentally

of this type. It is interesting to note that in lexicographic optimization, the prior level optimization

C. Sun et al. / Transportation Research Part C 7 (1999) 167±185 171

constrains the feasible set of the current level optimization. More importantly, each level ought to

yield a set of multiple solution points for such a scheme to be implemented.

Another approach to multiple-criteria techniques is to use any of several methods broadly

classi®ed as ``weighted averaging schemes'' where the dierent objectives are reconciled using

trade-os of weights between the objectives. One advantage that the lexicographical method has

over weighted average schemes is the way the goals measured in dierent units can be placed at

dierent priority levels. This avoids the problem of specifying relevant weight values when the

objectives are measured in dierent units. For example, if the objectives are to maximize GNP

measured in billions of dollars and to maximize the fraction of the population that is above the

poverty level as measured by a number between zero and one, then equal weights of these two

objective will actually render the second objective useless (Zionts, 1985).

Another advantage that the lexicographical method has over weighted average schemes is that

each optimization level or objective is performed sequentially. This method has the ability to

examine the eects of each individual level. In other words, the sensitivity of the overall algorithm

to a particular level of optimization could be analyzed. This method also allows new optimization

levels to be incorporated easily into the overall algorithm.

Lexicographic optimization can be treated as ``a form of multi-criteria optimization in which

the various objectives under consideration cannot be quantitatively traded o between each

other'' (Rentmeesters et al., 1996). Furthermore, under simple requirements of convexity of the

objectives, every Pareto point of a vector valued objective function is the lexicographic minimum

of some prioritized sequence of weighted averages of the original objectives under consideration.

Therefore all Pareto optima in general can be satis®ed by the basic lexicographic optimum

characterization.

One concept that is used within the optimization framework is lexicographic goal program-

ming. Goal programming in its broadest de®nition refers to the establishment of a level of

achievement for each criterion. The well known goal programming methods deal with setting

target or goal values on each objective and optimizing a single objective which is the sum of

deviations from the goals for all objectives. In the broadest de®nition of goal programming,

however, a goal or set of targets can be used to form the constraint set. In the vehicle reidenti-

®cation problem presented here, since certain target areas readily appear in the feature vector pair

space, goals are introduced to reduce the search space to those areas. Since goals for such search

space reduction are introduced in a hierarchical order with an explicit ordering among the features

in the feature vector pairs, this may be called lexicographic goal programming.

The vehicle reidenti®cation problem is formulated here as a lexicographical optimization

problem with ®ve levels. The ®rst three levels are implemented as goal programs having a range of

values as solutions. These three levels are used to reduce the feasible set by eliminating unlikely

vehicle waveform pairs. The fourth level objective is a multi-objective optimization that is solved

with the weighted averaging approach. The last level has a stochastic objective that is solved by

using Bayesian analysis.

The ®rst three levels of the optimization problem re¯ect the real-time requirements of the al-

gorithm. These levels also result from the assumption that ¯ow conditions are normal and no

incidents have occurred. In other words, an upstream vehicle cannot have near in®nite travel time

to arrive downstream. Incident detection through the use of vehicle reidenti®cation is a logical

application, but it is not the topic of the current paper.

172 C. Sun et al. / Transportation Research Part C 7 (1999) 167±185

The ®rst level objective is the following goal program:

goal (f

1

(x) = t(x) = z

1

) such that (z

1

÷ [L

t

; U

t

[); x ÷ S;

S

1

= [x ÷ S : f

1

(x) = z

1

[;

where, x represents a vehicle pair vector as de®ned earlier, t(x) is the measured time dierence

between the downstream and the upstream vehicle arrival times at their respective loop stations,

L

t

and U

t

are the lower and upper bound for feasible travel time, and S is the feasible set of

vehicle pairs which can be very large in practice. Note that rather than a maximum or minimum, a

goal is used in the notation above, since the optimization here is a goal-based search space re-

duction.

The ®rst level optimization constrains the set of vehicle pairs composed of feasible upstream

candidates to a probable set of vehicle pairs thus reducing the computational requirements of the

algorithm. The ®rst level optimization says that the travel times of vehicles cannot be either in-

®nite or zero and are bounded by a lower and upper limit (i.e., a time window). Care must be

taken in the determination of this time window because of the trade os between computational

eciency and accuracy. If this time window is too wide, then the constraint set is enlarged so more

computations are required and the possibility for misclassi®cation is increased. If the time window

is too small, then the correct vehicle waveform pair might be excluded from the constraint set, and

once again misclassi®cation can result. Reasonable time windows can either be determined a

priori or set dynamically. Some methods for determining dynamic time windows include the use

of current local speeds, the use of historical travel times, or the use of recently computed maxi-

mum and minimum travel times. Since the algorithm is currently implemented o-line, historical

travel times were used in this determination.

The second level objective is the following goal program that selects the pairs of vehicles that

contain a candidate upstream vehicle magnitude that is within a certain percentage of the

downstream vehicle that is being reidenti®ed.

goal (f

2

(x) = m(x) [ [ = z

2

) such that (z

2

< T

m

); x ÷ S

1

;

S

2

= [x ÷ S

1

: f

2

(x) = z

2

[;

where, m(x) is percent magnitude dierence between the upstream and the downstream vehicle

waveforms, T

m

is the percentage tolerance for inductance magnitude, and S

1

is the feasible

constraint set that resulted from the ®rst objective.

This optimization eectively limits the candidate vehicles to be from the same vehicle class as

the downstream vehicle. This results from the fact that the inductance magnitude is inversely

proportional to the height of the vehicle. For example, trucks would have much smaller magni-

tudes than passenger vehicles, so the candidate set is limited to trucks by using this constraint.

The third level objective is the following goal program that limits the candidate vehicle's length

to be within a certain percentage of the downstream vehicle.

goal (f

3

(x) = l(x) [ [ = z

3

) such that (z

3

< T

l

); x ÷ S

2

;

S

3

= [x ÷ S

2

: f

3

(x) = z

3

[;

C. Sun et al. / Transportation Research Part C 7 (1999) 167±185 173

where l(x) is the percent dierence of the electronic lengths between the downstream and upstream

vehicles, T

l

the percentage tolerance for the electronic length, and S

2

is the feasible set derived

from the second objective. The magnitude tolerance used in the second objective and the length

tolerance used in the third objective can be set by using historical data in the present o-line case,

or they can be set adaptively in future on-line implementations. Thus the ®rst three optimization

levels reduced the feasible set to a set of similar vehicle waveform pairs, the similarity being de-

®ned by travel time, maximum waveform magnitude, and lane position.

The fourth level lexicographic optimization objective is

min f

4;x

i

= min f

a;x

i

(x); f

b

(x); f

c

(x); f

d

(x)); i = 1; 2; . . . ; N

s:t: x ÷ S

3

where

f

a;x

i

(x) = distance measure;

f

b

(x) = [Dm(x)[;

f

c

(x) = [Dl(x)[;

f

d

(x) = [Dv(x)[;

x ÷ S

3

x

i

indicates a particular distance measure, N total number of distance measures used, Dm(x) the

change in inductance magnitude between upstream and downstream, Dl(x) the lane change be-

tween upstream and downstream, and Dv(x) is the change in speed between upstream and

downstream. Note that each distinct distance measure produces a dierent discriminant function

composed of the objective functions f

a;x

i

, f

b

, f

c

, and f

d

. This fourth level optimization seeks to

minimize the discrepancies between the upstream feature vector and the downstream feature

vector in a vehicle waveform pair. f

a;x

i

seeks to minimize the waveform shape feature vector

dierence, f

b

seeks to minimize the magnitude feature vector dierence, f

c

seeks to minimize the

lane feature vector dierence, and f

d

seeks to minimize the speed feature vector dierence. The

dierent discriminant functions used during this optimization produces dierent optimum points.

The collection of the set of optimum points produces the feasible set for the next level optimi-

zation.

Some eective candidate distance measures de®ning f

a;x

i

(x) are:

City-block f

a;x

1

(x) =

X

N

s

k=1

[x

dk

÷ x

uk

[;

Correlation f

a;x

2

(x) = 1 ÷

P

N

s

k=1

(x

dk

÷ x

d

)(x

uk

÷ x

u

)

P

N

s

k=1

(x

dk

÷ x

d

)

2

P

N

s

k=1

(x

uk

÷ x

u

)

2

;

Similarity f

a;x

3

(x) = 1 ÷

x

d

x

u

x

d

x

d

÷ x

u

x

u

÷ x

d

x

u

;

where the waveform pair matrix x was de®ned earlier, u and d are the indices for the upstream and

downstream vehicle waveforms, and k is the index for a component of the waveform.

174 C. Sun et al. / Transportation Research Part C 7 (1999) 167±185

Lebesgue f

a;x

4

=

X

N

1

k=1

[(y

ik

÷ y

jk

) ÷ Dy[

2

÷

X

N

2

k=N

1

÷1

[(y

ik

÷ y

jk

) ÷ Dy[

2

÷ ÷

X

N

p

k=N

p÷1

÷1

[(y

ik

÷ y

jk

) ÷ Dy[

2

;

where, y

i

and y

k

are y axis transformed values of the variable x and p is the total number of piece-

wise continuous segments that form the waveform x. (The reader is referred to Sun et al. (1998)

for details on this distance measure.)

Neural network f

a;x

5

(x) = 1 ÷output neuron;

where, output neuron is trained to measure the closeness of waveforms. During training, output

neuron=1, if the vehicle waveforms are from the same vehicle, and output neuron =0, if the

vehicle waveforms are from dierent vehicles. Note that for correlation, similarity and neural

network, one is subtracted from the distance measure in order to minimize the objective.

The use of the fourth level optimization exploits the magnetic characteristics of individual

vehicles as well as the trac characteristics of vehicles within freeway sections. The fourth level

optimization is formulated with the following objectives:

· The distance between processed waveform shapes, which represents the inductance shape of ve-

hicles, should be minimized. Thus, distance metrics measure the ``closeness'' between two pro-

cessed waveform shapes. Temporal variability of the individual vehicles and spatial variability

among dierent detectors is removed by the waveform transformation mentioned previously.

The ®ve measures that have proved to be eective are: city-block, correlation, similarity, Le-

besgue, and neural network. However, it is not always necessary to use all ®ve measures if a

subset of these prove to be particularly eective.

· The magnitude dierence between the downstream vehicle and the match candidate should be

minimized, since the amplitude of the inductance represents the height of the vehicle body from

the ground. However, due to variability in suspension height and the possibility that the vehicle

is oset from the center of the loop, this objective is less signi®cant than the processed wave-

forms.

· Lane changes should be minimized as the lane changing inertia of a high percentage of driv-

ers is maintained. The frequency of lane changes is a function of the length of the segment,

the number of ingress/egress points near the segment, the current trac conditions, and in-

dividual driver behavior. The importance of this objective varies depending on the aforemen-

tioned factors. However, empirical evidence (Chang and Kao, 1990) including the Lafayette

freeway data, show that the lane changing inertia of a high percentage of drivers is main-

tained.

· Speed dierence between the prototype vehicle and candidate vehicles should be minimized.

This objective is similar to the previous objective of lane change minimization as it also express-

es the conservation of the trac inertia.

Even though the distance measures used as f

a;x

i

are not completely independent (i.e., the infor-

mation in these measures overlap), they de®ne ``closeness'' in dierent ways. The city-block dis-

tance is a straightforward measure of the absolute values of two dierent waveforms. The

C. Sun et al. / Transportation Research Part C 7 (1999) 167±185 175

correlation measures the linear association between two waveforms. The similarity metric re-

sembles a normalized vector dot product, thus it produces a measure analogous to the angular

displacement of two waveform vectors.

One major diculty encountered with the use of the processed waveform is the fact that

waveform shift was present due to the detector sampling period and detector thresholding. When

the downstream and the upstream waveforms are shifted versions produced by the same vehicle,

then the shift is constant throughout the waveform. In this case, the distance measure between

the upstream and downstream waveforms would result in signi®cant errors despite the fact that

the distance is derived from the waveforms originating from the same vehicle. One way of ad-

dressing the problem of waveform shifting is to use a technique of horizontal dierencing mo-

tivated by the Lebesgue integral (Hawkins, 1970). In horizontal dierencing, an axis

transformation is performed where the ordinate and abscissa are interchanged. Then the variance

of the shift between the new ordinates of the two waveforms is measured. Two identical wave-

forms that are shifted versions of each other would have a zero shift variance (constant shift),

while two dissimilar waveforms would have a large shift variance. The objective is to ®nd the

waveform pair with the minimum shift variance. A graphical illustration of this technique is

found in Sun et al. (1998).

The last candidate distance measure is the neural network classi®er. The multi-layer feed-for-

ward (MLF) neural network was chosen for its nonlinear classi®cation capabilities and for its

well-developed formulation. The reader is referred to Lippmann (1987) and Wasserman (1989) for

more details on the MLF. The MLF performs like a traditional classi®er and is trained on a test

data set. The back propagation algorithm is used to train the MLF. The back propagation uses a

gradient search technique to minimize the mean square dierence between the desired and the

actual net outputs.

The last level objective utilizes the following loss function:

r

k

(f

4;x

i

(x)) =

X

N

i=1

p(f

4;x

i

(x)=x

i

)p(x

i

); i = 1; 2; . . . ; N; i ,= k;

x ÷ S

4

;

where, f

4;x

i

(x) is the minimum objective value obtained from distance measure x

i

from the pre-

vious level optimization, p(f

4;x

i

(x)=x

i

) is the conditional probability function that using the dis-

tance measure x

i

is best given the value f

4;x

i

(x), and p(x

i

) is the a priori probability of the distance

measure x

i

.

In order to minimize the average loss, the following decision rule is utilized:

1. Calculate the expected losses r

i

(f

4;x

i

(x)) of deciding that the distance measure x

i

is best given

the value f

4;x

i

(x), "i, i = 1; . . . ; N.

2. Decide that x

k

is best given the value f

4;x

i

(x), if r

k

(f

4;x

i

(x)) 6r

i

(f

4;x

i

(x)); \i; i ,= k.

This objective results in the minimization of the average loss of deciding on the use of the distance

measure x

k

given the value f

4;x

i

(x). Equivalently, this results in the choosing of the ``most likely''

distance measure that would identify the correct match between a vehicle pair.

The estimation of the probabilities for the last level objective is accomplished by using the

historical/calibration dataset. The conditional probabilities, p(f

4;x

i

(x)/x

i

), is estimated by the

176 C. Sun et al. / Transportation Research Part C 7 (1999) 167±185

frequency distribution of the correct vehicle matches within each f

4;x

i

(x) bin value for each dis-

criminant function, x

i

. The probability, p(x

i

), is estimated by computing the number of correct

matches for each discriminant function, x

i

, for the historical dataset. After the probabilities

p(f

4;x

i

(x)/x

i

) and p(x

i

) are tabularized, then the posterior probability that using the discriminant

x

i

will maximize the correct matches given a value for f

4;x

i

(x) can be computed from the prob-

ability tables.

This last objective is useful in a general formulation of the vehicle reidenti®cation problem

because it serves as an indicator of the current trac conditions. When adequate historical

data are available, probability functions for the dierent distance measures can be obtained.

These dierent distance measures perform dierently under dierent trac conditions. For

example in low ¯ow conditions, vehicles travel faster and the total number of waveform

samples is small. In this instance, the sampling error is much more signi®cant since the

waveform shift due to the sampling period is a much greater percentage of the total number of

samples. The Lebesgue distance measure would then be a better distance measure for dealing

with the waveform shift problem. In other trac ¯ow conditions, another distance measure

might prove to be better.

The solution of the lexicographic optimization problem is straightforward since the vehicle

reidenti®cation problem is computationally tractable. The ®rst goal program involves a sequential

search of vehicle pairs (or equivalently the candidate upstream vehicles). This is simple compu-

tationally since the upstream vehicles are recorded sequentially in time. This critical optimization

reduces a very large feasible set into one that can range between twenty to sixty vehicle pairs in

practice.

The second and third goal programs involve the selection of vehicles that are within the

magnitude and length tolerances. Since the feasible set is now a manageable size, the percent

magnitude dierence and the percent length dierence can be easily computed for the entire

feasible set derived from the ®rst optimization.

The fourth level multi-objective optimization problem is solved by forming a utility function

from the various objective functions. The advantage of the utility function is that a multiple-

objective problem is reduced to a single objective function problem for which many methods exist

for solution (Kapur, 1970). So the new fourth level problem becomes

min h(f

a;x

i

(x); f

b

(x); f

c

(x); f

d

(x))

s:t: x ÷ S

By formulating h as a linear function using weighted averaging, the problem is reduced to the

following simple optimization problem

min

X

d

k=a

k

k

f

k

(x)

s:t: x ÷ S; k ÷ K K = k

X

d

k=a

k

k

= 1; k

k

P0; k = a; b; c; d

!

:

Thus, k represents the set of weights associated with the various objective functions. In order to

attain feasible solutions, the weights are constrained to be ®nite and non-negative. In the

current o-line case, the weights are determined a priori with historical data. However, there

C. Sun et al. / Transportation Research Part C 7 (1999) 167±185 177

are no restrictions preventing this process to be done at set time periods when the algorithm

becomes implemented in real-time. The sequential determination of weights is done in the

following manner by ®nding the weights that minimizes the mismatches over the historical

dataset.

(i) min

X

all x

d(x; k

a

; k

b

)

s:t: k

a

; k

b

÷ K; k

a

÷k

b

= 1;

where d( ) = 0; if vehicle matched correctly;

d( ) = 1; if vehicle is mismatched:

At the ®rst stage, (i), the ideal weight ratio of the ®rst two objective functions is found by a grid

search over the feasible weight values. The matching of each individual vehicle pair x to ®nd d(x,

k

a

, k

b

) is determined by using the following minimization:

min k

a

f

a

(x) ÷ k

b

f

b

(x)

s:t: x ÷ S

h

;

where S

h

= historical=calibration dataset

The correctness of the vehicle matching is determined by comparing with the ground truth. After

the ®rst stage, the weight ratio is ®xed for the second stage, (ii), where a third objective function is

added. Again, a grid search is used to minimize the total mismatches, and the weight ratios of all

three objectives are set.

(ii) min

X

all x

d(x; k

/

a

; k

/

b

; k

/

c

)

s:t: k

/

a

; k

/

b

; k

/

c

÷ K; k

a

=k

b

= k

/

a

=k

/

b

; k

/

a

÷k

/

b

÷ k

/

c

= 1:

The matching of each individual vehicle pair x

i

is determined by using the following minimization

that incorporates an additional objective and weight:

min k

/

a

f

a

(x) ÷ k

/

b

f

b

(x) ÷ k

/

c

f

c

(x)

s:t: x ÷ S

h

At the last stage, (iii), the previous procedure is applied again by keeping the previously optimized

weight ratios.

(iii) min

X

all x

d(x; k

//

a

; k

//

b

; k

//

c

; k

//

d

)

s:t: k

//

a

; k

//

b

; k

//

c

; k

//

d

÷ K; k

/

b

=k

/

c

= k

//

b

=k

//

c

; k

//

a

÷k

//

b

÷k

//

c

÷k

//

d

= 1:

The minimization to determine individual vehicle matches has again been augmented to include

the fourth objective and weight.

min k

//

a

f

a

(x) ÷k

//

b

f

b

(x) ÷ k

//

c

f

c

(x) ÷k

//

d

f

d

(x)

s:t: x ÷ S

h

:

178 C. Sun et al. / Transportation Research Part C 7 (1999) 167±185

Once the weights are determined in the utility function, the computation of the utility function for

the fourth level multi-objective optimization problem and the subsequent minimization is

straightforward.

In order to choose the most appropriate distance measure for the fourth level multi-objective

optimization, the ®fth level optimization is performed. Since ground truthing is available for the

entire data set, a priori classi®cation probabilities can be obtained for each of the distance

measures. The entire data set then is divided into a training (or historical) set and a testing set. The

training set is also used for deriving the optimum weights in the fourth level multi-criteria opti-

mization.

In Bayesian analysis, a priori information for each distance measure is estimated using the

historical data set. A symmetric loss function is used since the cost of misidentifying any distance

measure is the same. A Bayes decision function with symmetric loss then becomes a maximum

likelihood decision.

6. Results

The test data were obtained from a ®eld site on the westbound SR-24 freeway in Lafayatte,

California in December 1996. This freeway section was 1.2 miles long, bounded by an upstream

and a downstream detector station, and consisted of four lanes. There were no ramps within this

freeway section. Two data acquisition stations were instrumented with video, loop waveform

dataloggers, and speed trap dataloggers. Standard 6 ft × 6 ft (1:82 m × 1:82 m) loops were used

at both stations. Several hours of data were collected, but a smaller portion of the data was re-

duced into two datasets. The reduced dataset contains the waveforms of the upstream and

downstream vehicles along with their speeds, electrical length (derived from occupancy time),

arrival time at stations, lane number, and the ground truth vehicle identi®cation number. One

dataset was composed of moderate ¯ow trac (1000 VPHPL) and contained approximately 2000

vehicles (~1/2 h). Another dataset was composed of congested ¯ow trac (1800 VPHPL) and

contained approximately 1000 vehicles (~10 min). Both data sets were divided into training and

testing data sets. The calibration of the algorithms was performed on the training data only.

The solution of a single vehicle reidenti®cation problem using the lexicographical optimization

approach ®xes the vehicle arrival times at the upstream and the downstream surveillance stations.

When this problem is solved repeatedly for a group of vehicles, section measures such as travel

time and density can be derived in a straightforward fashion.

The true travel times and the local travel times are used for comparison with the estimated

results from the lexicographical optimization method. The true travel times are derived from the

manually correlated video database. The local travel times are derived using the upstream speed

trap speed and extrapolated to the entire section. Similarly, the true section densities and the local

densities are used for comparison with the estimated results from the lexicographical optimization

method. The true section densities are derived from the manually correlated video database. The

local densities are derived by using the upstream speed trap speeds and the upstream ¯ows. The

results of this approach based on data from the SR-24 freeway segment show that estimated

section measures are good estimates of the true measures, and the results also show that local and

section measures dier greatly.

C. Sun et al. / Transportation Research Part C 7 (1999) 167±185 179

Fig. 1(a) and (b) shows the 15 s average travel time comparisons for the moderate ¯ow dataset.

In both the case the training data and the test data, the estimated section travel times followed the

true travel times closely. The moderate ¯ow case is a less challenging case, as most trac

maintained the same speed from upstream to downstream in the absence of congestion. In this

case, one would expect the extrapolation of point speeds to accurately estimate travel times for the

section. The average percent error of the training results was 2.31%, while the average percent

error of the test results was 1.88%. The fact that the test data actually performed better than the

training data shows that once the algorithm is calibrated, it can perform well under the same

trac conditions. The standard deviation of the test data of 2% shows that individual ®fteen

second travel times are being estimated accurately in addition to the accurate performance over

the entire ®fteen minute period.

Fig. 1. Comparison of average travel times.

180 C. Sun et al. / Transportation Research Part C 7 (1999) 167±185

Fig. 1(c) shows a comparison of the estimated section travel time (section) results with the true

travel times (true) and the locally estimated travel times (local) for congested data. The congested

data averaged around 1800 vphpl. These data are more interesting than the moderate ¯ow be-

cause congestion causes trac to deviate from a constant speed. The congested case shows the

inadequacy of using local or point measures for estimating section travel times. Fig. 1(c) shows

that the point travel times or point speeds ¯uctuate signi®cantly and should not be extrapolated

over the entire section. On the other hand, the estimated section travel times once again followed

the true travel times closely. Due to the more challenging trac conditions the results had an

average error of 3.24% which is just slightly higher than the moderate case results. The standard

deviation of the error was 3.034%. The estimated local travel times has a signi®cant average error

of 45.82% with a standard deviation of 31.53%.

Instead of using all the reidenti®ed vehicles, a subset of vehicles with higher match probability

can be used for the derivation of section travel times. Because discriminant probabilities are

computed as part of the lexicographic optimization, a discriminant threshold can be used to

retain only ``highly probable'' vehicle matches. The use of a subset of vehicles results in lower

average error as shown in Table 1. The subset results show that the matching percentage in-

creases with a lower discriminant threshold (higher discriminant probability), and the resulting

average travel time error generally decreases with an increase in matching percentage. The size

of the subset which is a function of the discriminant threshold should be chosen carefully since

the variance might increase with a smaller match set. With a smaller subset there is also a

danger of the vehicles being biased toward trucks which are slower but possess more unique

waveforms.

Fig. 2(a) and (b) shows the 15 s average section densities for the moderate ¯ow training and test

data. The results show that the estimated section densities were tracking the true densities closely.

The average percent errors for the training and test data are 1.25% and 1.30% respectively. The

standard deviations for the errors were 1.53% and 1.18% respectively. The use of the training and

the test data both resulted in similar performance. In contrast, the local or occupancy-based

densities are clearly not able to follow the section densities. The average error was 31.1% and

33.5% for the training and test cases respectively. The standard deviations of the errors were

25.3% and 24.2%, respectively, which shows that the point densities are a poor surrogate for

section densities.

Table 1

Average travel times computed from subsets using moderate ¯ow data

Discriminant

threshold

Additional

constraints

Average % travel

time error

r % travel

time error

Size of

subset (veh)

% Total

vehicles (918)

%

Match

0.1 none 3.01 2.83 490 53.4% NA

0.07 none 2.62 2.89 262 28.5% 73.7%

0.07 >3 veh's 2.14 2.2

0.06 none 2.17 3.09 191 20.8% 74.9%

0.06 >2 veh's 1.86 2.47

0.05 none 2.30 4.60 127 13.8% NA

0.04 none 1.69 3.66 56 6.1% 82%

C. Sun et al. / Transportation Research Part C 7 (1999) 167±185 181

Fig. 2(c) shows a comparison of the estimated section densities (section) with the true densities

(true) and the occupancy-based densities (occ) for congested ¯ow data. The estimated section

densities had an average error of 3.64% and a standard deviation of 2.15%. The error is slightly

higher than the moderate ¯ow case and is due to a lower vehicle reidenti®cation rate. The con-

gestion causes more variability in the trac stream and translates into more mismatches. The

point or occupancy-based densities showed an even worse performance than in the moderate ¯ow

case. The average error of 46.52% and standard deviation of 24.66% shows that the variability of

the occupancy-based density is great while the accuracy is also poor.

Table 2 shows the vehicle match percentages in terms of vehicle types. This analysis is only done

for a small sample of the dataset because of the time consuming nature of manual classi®cation

using video. The dataset was composed of the ®rst 128 moderate ¯ow test vehicles. This analysis is

necessary since the trac characteristics between the dierent types of vehicles are dierent. For

example, since semi-trailer trucks are restricted to the two slowest lanes, and since they tend to

Fig. 2. Comparison of section densities.

182 C. Sun et al. / Transportation Research Part C 7 (1999) 167±185

travel slower than the rest of the trac, a high semi-trailer truck match percentage could bias the

computed section travel times to be slower than the actual value. However, from the test results of

actual data, this bias has not been found to be signi®cant since semi-trailer trucks accounted for

less than 6% of the vehicle trac. The results listed in Table 2 are intuitive, because non-passenger

vehicles tend to be longer than passenger vehicles and have more distinguishable features which

leads to higher vehicle match percentages.

The match percentages are very signi®cant because of the following two constraints. First, the

physical loops were the standard Caltrans (California Department of Transportation) 6 ft × 6 ft

(1:82 m ×1:82 m) loops. Because of their dimensions, these loops integrate the waveform signal

over the six foot distance and essentially eliminate more distinctive edges. By contrast, loops one

meter (3.3 foot) long in the traversal direction are used in Europe for waveform collection, and

they are able to produce sharper curves in the waveforms. The second constraint is the sampling

period of 13 to 14 ms. With this low sampling rate, sharp corners in the waveforms are also

missed.

7. Conclusion

This paper discussed the de®nition of the vehicle reidenti®cation problem, the formulation and

solution of the lexicographic optimization, and the derivation of section-related measures of

trac system performance. The vehicle reidenti®cation problem was de®ned by using downstream

and upstream waveform pairs of vehicles but is equivalent to scanning the upstream vehicle set for

a given downstream vehicle. The unique usage of pairs of vehicles as variables enables the use of

an optimization formulation.

This paper also discussed the formulation and solution of the lexicographical optimization of

the vehicle reidenti®cation problem. Since this is a multi-objective optimization approach, it al-

lows the incorporation of many optimization criteria. The reduction of the feasible set by using

goal programming improves the reidenti®cation accuracy as well as reduces the computational

burden of the algorithm. Bayesian analysis was incorporated in the lexicographic optimization to

utilize historical data and to compensate for the stochasticity of the vehicle waveforms. The

Bayesian posteriori probability can also be used as a con®dence measure of the vehicle reiden-

ti®cation. In other words it can be used as an origin/destination demand measurement proba-

bility.

A direct consequence of the lexicographic solution is section-related measures of trac system

performance. The proposed system is cost eective, since it utilizes the current surveillance

Table 2

Vehicle reidenti®cation percentages by type of vehicle

Car Station wagon Sports utility Pickup Trucks Van Semi-trailer

75% 75% 100% 80% 61% 92% 100%

Passenger vehicles (49% of total

number of vehicles)

Non-passenger vehicles (51% of total number of vehicles)

75% 78%

C. Sun et al. / Transportation Research Part C 7 (1999) 167±185 183

infrastructure. The current inductive loop detector infrastructure is extensive which allows net-

work-wide measurements of section density and travel time which can be used in various ATMIS

strategies. Traveller information systems, trac routing systems, and transportation management

centers can all use accurate travel times as a direct input.

The results of this research show that point measures over short time periods yield values that

¯uctuate much more than section measures. This research shows that signi®cant errors can result

from the estimation of section measures by extrapolating point measures. Thus, the granularity of

time versus the granularity of space must be considered carefully in the development of dynamic

algorithms.

Acknowledgements

The research reported in this paper was supported by the California Department of Trans-

portation PATH (Partners for Advanced Transit and Highways). The contents of this paper

re¯ect the views of the authors who are responsible for the facts and the accuracy of the data

presented herein. The contents do not necessarily re¯ect the ocial views or policies of the State of

California. This paper does not constitute a standard, speci®cation, or regulation.

The authors gratefully acknowledge the assistance provided by Mr. Joe Palen of the California

Department of Transportation, Mr. Craig Gardner of Gardner Transportation Systems, Dr.

Reinhart K uhne from Steierwald Sch onharting und Partner, and Peek Trac Sarasota.

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