Proceedings

International Conference
on Intelligent Computation Technology
and Automation

ICICTA 2008

Volume 1
 Proceedings

International Conference
on Intelligent Computation Technology
and Automation

ICICTA 2008

Volume 1

20-22 OCTOBER 2008 • Changsha, Hunan, China

Los Alamitos, California

Washington • Tokyo
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 2008 International Conference
on Intelligent Computation
Technology and Automation

ICICTA 2008
Table of Contents
Volume - 1
Preface - Volume 1.........................................................................................................................................xxiii
Organizing Committee - Volume 1 .......................................................................................................xxiv

Session 1: Intelligent Computing and Application - Volume 1

A New Discrete Traffic Network Design Problem with Evolutionary Game
Algorithm ......................................................................................................................................................................3
Haiyan Xiao, Xianjia Wang, and Wei Du
A Study of Co-evolutionary Genetic Algorithm in Relay Protection System ....................................................8
Qingliang Wang, Zhouxing Fu, Xiaojian Wang, Yuanbin Hou, Ning Li, and Qing Liu
A Study of Compulsive Genetic Algorithm and Its Performance ......................................................................12
Lei Pan, LiangXian Gu, and Yuan Gao
AGC Unit Selection Based on Hybrid Particle Swarm Optimization ...............................................................17
Tao Zhang and Jin-ding Cai
An Improved Particle Swarm Optimization Algorithm for Unit Commitment ...............................................21
Wei Xiong, Mao-jun Li, and Yuan-lin Cheng
Application of Genetic Algorithm to Network Design Problem ........................................................................26
Guoqiang Zhang, Jian Lu, and Qiaojun Xiang
Application of Immune Classifier Based on Increment of Diversity in
the Model Species Genomes Identification ...........................................................................................................30
Lianhong Wang, Jing Zhang, Gufeng Gong, and Minfang Peng
Automatic Threshold Selection Based on Particle Swarm Optimization
Algorithm ....................................................................................................................................................................36
Zhiwei Ye, Hongwei Chen, Wei Liu, and Jinping Zhang

v
Combinatorial Kernel Matrix Model Selection Using Feature Distances .........................................................40
Lei Jia and Shizhong Liao
Constrained Competitive Learning Algorithm for DNA Microarray Gene
Expression Data Analysis .........................................................................................................................................44
Shuanhu Wu, Hong Yan, Qingshang Zeng, Yanjie Zhang, and Yibin Song
Evolutionary Mechanism of Port Clusters Based on the Theory of Dissipative
Structure ......................................................................................................................................................................52
Yuan Zhao, Shaoqiang Yu, and Zan Yang
Genetic Algorithm Based Robot Path Planning ....................................................................................................56
WeiQiang Liao
HDN-GEP: A Novel Gene Expression Programming with High Density Node .............................................60
Yu Chen, Changjie Tang, Chuan Li, Yue Wang, Ning Yang, and Mingfang Zhu
Hybrid Particle Swarm Optimization Based on Parallel Collaboration ............................................................65
Yong Zhao, Xueying An, and Wencai Luo
iDistance Based Interactive Visual Surveillance Retrieval Algorithm ..............................................................71
Lin Qu, Yaowu Chen, and Xiaofan Yang
Improved Ant Colony Optimization for the Traveling Salesman Problem ......................................................76
Lijie Li, Shangyou Ju, and Ying Zhang
Integrated Location-Routing Problem Modeling and GA Algorithm Solving .................................................81
Yong Peng
Multilateral Multi-issue Automated Negotiation Model Based on GA ............................................................85
Li Liu, Yan Ma, Cuimei Wen, and Lian Li
Multi-objective Optimization with Modified Pareto Differential Evolution ....................................................90
Xiao-qing Chen, Zhong-xi Hou, and Jian-Xia Liu
One Improved Discrete Particle Swarm Optimization Based on Quantum
Evolution Concept .....................................................................................................................................................96
Xuyuan Li, Hualong Xu, and Zhaogang Cheng
Optimal Allocation of Test Poles for Grounding Grids Diagnosis Based
on Genetic Algorithm ..............................................................................................................................................101
Jian Liu, Zengli Li, Jianxin Wang, Wei Lu, and Zhizhong Li
Optimal Reactive Power Planning Based on Simulated Annealing Particle
Swarm Algorithm Considering Static Voltage Stability ....................................................................................106
Yingni Mao and Maojun Li
Optimum Configuration of Asphalt Pavement Construction Machines Based
on Immune Genetic Algorithm ..............................................................................................................................111
Ronghua Du
Optimum Design of Network Structures Based on Hybrid Intelligence
of Genetic - Ant Colonies Algorithm ...................................................................................................................116
Fengli Huang, Jinghong Xu, Jinmei Gu, and Yongjian Lou
Particle Filter Based on PSO ..................................................................................................................................121
Gongyuan Zhang, Yongmei Cheng, Feng Yang, and Quan Pan

vi
Path Planning for Deep Sea Mining Robot Based on ACO-PSO Hybrid
Algorithm ..................................................................................................................................................................125
Chunxue Shi, Yingyong Bu, and Ziguang Li
Region Water Supply System Optimization Based on Binary and Continuous
Ant Colony Algorithms ..........................................................................................................................................130
Qin Zhang and Xiong-hai Wang
Research on Re-use Reverse Logistics Network of Disused Household
Appliances Based on Genetic Algorithm .............................................................................................................135
Fengjiao Wan and Qingnian Zhang
Research on Self-Adaptive Float Evolution Algorithm Based on DE .............................................................140
Mingyi Cui
The Application of Saving Hybrid Genetic Algorithm on Optimization
of Distribution Routes .............................................................................................................................................145
Qichao He, Wei Yu, and Wusheng Liu
The Clustering Algorithm Based on Particle Swarm Optimization Algorithm .............................................148
Zhenkui Pei, Xia Hua, and Jinfeng Han
The Model Based on Grey Theory and PSO for Electricity Consumption
Forecasting ................................................................................................................................................................152
Wei Sun and Yujing Yan

Session 2: Neural Network Theory and Application - Volume 1

A Classification Method for the Dirty Factor of Banknotes Based on Neural
Network with Sine Basis Functions ......................................................................................................................159
Kexue He, Shurong Peng, and Shutao Li
A New Method of Traffic Atmosphere Environment Impacts Assessment
Based on Kohonen Network ..................................................................................................................................163
Zhi-bin Qin, Zhao-hui Liu, and Yu-zhi Li
Adaptive Neural Network in Logistics Demand Forecasting ..........................................................................168
Yanling Yin, Xuhui Bu, and Fashan Yu
Algorithm for Multi-joint Redundant Robot Inverse Kinematics Based on
the Bayesian - BP Neural Network .......................................................................................................................173
Youhang Zhou, Wenzhuang Tang, and Jianxun Zhang
Applying Artificial Neural Network Model in Assessing East Dongting Lake
Wetland's Ecosystem Carrying Capacity .............................................................................................................179
Y. Z. Shi and D. J. Xin
Elevator Group Dynamic Dispatching System Based on Artificial Intelligent
Theory ........................................................................................................................................................................183
Liting Cao, Shiru Zhou, and Shuo Yang
Environment Air Quality Evaluation System Based on Genetic Arithmetic
and BP Neural Network ..........................................................................................................................................187
Liting Cao

vii
Fuel Injection Control and Simulation of EFI Engine Based on ANFIS ........................................................191
Haijun Chen
Grouting Stratum Classification with Support Vector Machines .....................................................................195
Fengling Li, Zhixiang Hou, Quntai Shen, and Lisheng Xu
Improved SPIHT Algorithm Based on Associative Memory Neural Network
and Human Visual System .....................................................................................................................................200
Xing-hui Zhang, Jing-lei Guo, Kuan-sheng Zou, and Zhi-dong Deng
NdFeB Magnet Composite Design Based on BP Network ...............................................................................204
Huiyu Wang, Yuanhua Ren, and Jianfeng Pan
Neural Network Simulation-Based Research on Highway Safety Evaluation ...............................................209
Jia Cheng, Hongxia Guo, Qingyao Li, and Wen Du
Nonlinear System Identification Using Dynamic Neural Networks Based
on Genetic Algorithm ..............................................................................................................................................213
Xinli Li, Yan Bai, and Congzhi Huang
Parameter Estimation of Reliability Model of Hydraulic System for Vibratory
Roller Based on Adaptive Linear Neural Network .............................................................................................218
Heqing Li and Qing Tan
Passivity Analysis of Impulsive Neural Networks with Time Delays
and Markovian Jump Parameters ..........................................................................................................................222
Xiaomei Zhang, Yufan Zheng, Yanbo Gao, and Xun Li
Prediction of Railway Passenger Traffic Volume Based on Weighted LS-SVM ..........................................227
Hu Han, Jian-Wu Dang, and En-En Ren
Recognition of Reliability Model of Vibratory Roller Based on Artificial
Neural Network ........................................................................................................................................................231
Heqing Li and Qing Tan
Research on Leakage State Classification of Pipelines Based on Wavelet
Packet Analysis and Support Vector Machines ..................................................................................................235
Na Liu, Lixin Zhang, and Yanyan Zhao
Research on the Fouling Prediction of Heat Exchanger Based on Support
Vector Machine ........................................................................................................................................................240
Lingfang Sun, Yingying Zhang, Xinpeng Zheng, Shanrang Yang, and Yukun Qin
Searching Optimal Welding Parameters with GA and BP ................................................................................245
Jian-Xiong Ye, Fa-Yun Zhang, and Jian-Feng Xie
Short-Term Traffic Flow Forecasting Based on Wavelet Network Model
Combined with PSO ................................................................................................................................................249
Yafei Huang
Study on Adjustment of Learning Rate and Its Application of ART2 ............................................................254
Haixia Chen
Study on Peak Discharge Periodicity of Zi River Based on Wavelet Analysis .............................................259
Fei-Yan Guo and Dong-Zheng Liu

viii
Surface Reconstruction Method Based on GRNN .............................................................................................262
Fuzhong Wu
The Improvement and Application of Lowry Model Based on Genetic
Algorithm ..................................................................................................................................................................266
Xianghai Meng, Guanming Qin, and Bin Xu
Total Least Square Support Vector Machine for Regression ............................................................................271
Guanghui Fu and Guanghua Hu

Session 3: Control Theory and Application - Volume 1

A Simplified Algorithm for Dynamic Matrix Control with PID Structure .....................................................279
Ping Ren, Guang-Yi Chen, and Hai-Long Pei
Adaptive Neuro Sliding Mode Control of Nonlinear System ...........................................................................284
Zi-bin Xu, Jian-qing Min, and Jian Ruan
Adaptive PID Control of Indoor Air Quality for an Air-Conditioned Room .................................................289
Xiaosong Gu, Heng Li, Litie Zhao, and Hanqing Wang
Adaptive Robust Fuzzy Control for a Class of Uncertain Nonlinear Systems
in Pure-Feedback Form ...........................................................................................................................................294
Qiang Kang, Wei Wang, and Yanjun Liu
An Improved Generalized Predictive Control Algorithm Based on PID ........................................................299
Wei Guo, Wei Wang, and Xiaohui Qiu
Analysis of Vehicle Rotation during Passage over Speed Control Road Humps ..........................................304
J. P. Hessling and Pingyu Zhu
Application of Improved PID Model Algorithmic Control Algorithm ...........................................................309
Wei Guo, Xin Chen, and Xiaohui Qiu
Application of Variable Structure Control in Missile Electromechanical
Actuator System .......................................................................................................................................................313
Yuan Gao, Liang-xian Gu, and Lei Pan
Catastrophe Control Technique in High Dimension System ............................................................................317
Yao Sun, Xiao-bin Wang, and Hong-wei Mo
Chattering-Free LS-SVM Sliding Mode Control for a Class of Uncertain
Discrete Time-Delay Systems with Input Saturation .........................................................................................322
Jianning Li, Yibo Zhang, and Haipeng Pan
Current Control of Active Power Filters Assisted by Repetitive Controller ..................................................327
Xin Tang, Yingzhao Ma, and Hongtao Li
DC Servo Motor PID Control in Mobile Robots with Embedded DSP ..........................................................332
Hongfu Zhou
Design of Autopilot for Aerodynamic/Reaction-Jet Multiple Control Missile ..............................................337
Qi SHeng Sui, Xin Li, and Yong Hua Fan
Design of Combustion Control System for MSW Incineration Plant .............................................................341
Yufei Qin, Yan Bai, Zhongli Shen, and Keming Zhang

ix
Exploiting Sequential-Valve-Gate Molding To Control Weld Lines ..............................................................345
Feng Ruan, Yi Liu, Zujun Zhang, Juan Liao, and Bo Chen
Freeway Feedback Ramp Metering Based on Neuron Adaptive Control
Algorithm ..................................................................................................................................................................349
Chi Qi, Zhongsheng Hou, and Xingyi Li
Global Chaos Synchronization of the Lorenz–Stenflo Systems via Linear State
Error Feedback Control ..........................................................................................................................................354
Yun Chen, Xiaofeng Wu, and Zhifang Gui
Globally Exponentially Stabilizing Control for a Class of Continuous-Time
Bilinear Systems ......................................................................................................................................................359
Xian Zhang and Xin-Rong Yang
Guaranteed Cost H Infinity Robust Control for Uncertain Multiple
Time-Varying Delays Systems with Nonlinear Perturbation ............................................................................364
Xinjun Ma, Bugong Xu, and Yongjun Cao
H Infinity Controller Design of the Synchronous Generator ............................................................................370
Jianying Gong, Rong Xie, Weiguo Liu, and Shuanqin Xie
H Infinity State Feedback Control for the Stabilization of the Three Euler
Angles of Helicopter Based on LMI .....................................................................................................................375
Rong Xie, Xinmin Wang, and Yan Li
H Infinity Control of Switching Delayed Stochastic Hopfield Neural Network
Systems with Markovian Jumping Parameters ...................................................................................................380
Xiaole Xu, Lixin Gao, and Haiwa Guan
H Infinity Control for Nonlinear System via Piecewise Fuzzy Lyapunov
Approach ...................................................................................................................................................................385
Yun Zhu and Zhicheng Ji
Intelligent Greenhouse Control-System Based on Agent ..................................................................................390
Dahua Xu and Hua Li
Model Reference Adaptive Tension Control of Web Packaging Material .....................................................395
Baosheng Wang, Jianmin Zuo, Mulan Wang, and Hongyan Hao
Research of Optimizing Ignition Control System in Gaseous Fuel Engine
Based on RBF Neural Network .............................................................................................................................399
Hongwei Cui
Output Feedback Adaptive Control of Uncertainty Robot Using Observer
Backstepping ............................................................................................................................................................404
Jianxian Cai, Xiaogang Ruan, and Xinyuan Li
Parameter Space Approach for Active Fault Tolerant Control Design ...........................................................409
Bo Yuan and Jun Yang
Pole-Placement for Generalized Systems Simultaneous Stabilization ............................................................413
Jing Ma and Zhiwei Gao

x
Pyrocondensation Material Radiation Control System Based on Virtual
Instrument .................................................................................................................................................................418
Wei He and Yunfei Li
Quadratic Robust Stabilization of a Class of Switched Linear Systems
with Uncertainties ....................................................................................................................................................423
Xingmin Ji
Random Vibration Optimal Control of Vehicle Based on Semi-active
Suspension System ..................................................................................................................................................427
Jia Xu, Hong-Li Wang, Zhi-Wen Zhu, and Gen Ge
Research Quality Pig Growth Temperature Control System ............................................................................432
Congguo Ma and Dean Zhao
Research on Temperature Control Algorithm in Pipe Production Process .....................................................437
Wanzhi Chen
Robust Control for Uncertain Linear Differential Algebraic Systems with Time
Delays ........................................................................................................................................................................441
Xingmin Ji
Robust Controller Design for Boiler System .......................................................................................................445
Zhiqi Hu, Hanbai Fan, and Yujun He
Robust H Infinity Controller Design for Wheeled Mobile Robot
with Time-Delay ......................................................................................................................................................450
Wenping Jiang
Robust H Infinity Control for Discrete-Time Switched Linear Systems Subject
to Exponential Uncertainty .....................................................................................................................................455
Changlin Li, Fei Long, and Changzhen Cui
Robust Output Feedback Stabilization for Uncertain Switched Systems .......................................................460
Wei Shao, Jiabin Wang, and Yanmei Ding
Robust Reliable H Infinity Control for Discrete-Time Markov Jump Systems .............................................463
Zhongyi Tang, Weiping Duan, Wei Ni, and Jiaorong Chen
Self-Adapted Construction Control Analysis of Long Span Pre-stressed
Concrete Cable-Stayed Bridge ..............................................................................................................................468
Chang-song Chen
Self-Adapting Fuzzy-PID Control of Variable Universe in the Non-linear
System .......................................................................................................................................................................473
Mingqian Gao and Shanghong He
Service-Oriented Organization Management and Coordination Control
of MAS ......................................................................................................................................................................479
Jiquan Shen and Zhiqiang Wu
Sliding Mode Control of Single-Phase AC-DC Boost Converter Using
Time-Varying Sliding Surface ...............................................................................................................................484
Yiwen He, Weisheng Xu, and Hongrun Wang

xi
Sliding Mode L2-L Infinity Control for Uncertain Stochastic Nonlinear Jump
Systems ......................................................................................................................................................................488
Wei Ni, Zhongyi Tang, and Weiping Duan
Study of Control Logic for Automobile Anti-lock Braking System ................................................................493
Xin Zhang, Yuanyuan Lou, and Xiufang Yang
Study on the Control of 6-DOF Manipulators System with Force Feedback .................................................498
Zhuxin Zhang and Tiehua Chen
Synchronization of Two Chaotic Fly-Ball Systems via Sinusoidal Feedback
Control .......................................................................................................................................................................503
Meili Lin, Mihua Ma, and Jianping Cai
The Design of the BRT Signal Priority Control at the Intersection .................................................................507
Yong Luo, Yun Yao, and Hongli Gao
The Inclinometer Research for Attitude Control ................................................................................................512
Qianyun Li, Guowei Gao, Xiuqin Wu, and Zhenfeng Li
The Output Feedback Variable Structure Control for Discrete-Time Systems
with Uncertainties and Time Delay ......................................................................................................................516
Minxiu Yan, Yuanwei Jing, and Youguo He
The Research of Three Phase Voltage PWM Rectifier Based
on Variable-Structure Control ...............................................................................................................................521
Hua Li, Liu He, and Bo Wang

Session 4: Modeling and Simulation - Volume 1

A 1-D Theoretical Receiving Model for CMUT ................................................................................................529
Wenchao Zhou, Ting Yu, and Fengqi Yu
A Bi-criteria Optimization Model and Algorithm for Scheduling in
a Real-World Flow Shop with Setup Times ........................................................................................................535
Kaibing Yang and Xiaobing Liu
A Modeling and Connectivity Analysis Method for Electricity Distribution
Network Based on Relation Database in GIS ......................................................................................................540
Tiefeng Zhang, Jinsha Yuan, Xueming Yang, and Yinghui Kong
A New Approach to Simulation of Combustion in Gasoline Engines ............................................................544
Yuelin Li and Zhiqiang Liu
A New Epidemic Disease Predicting Method .....................................................................................................550
LI-Zhen Peng, LI-Xiao Yi, and Shi-Yan Hua
A New Parallel Segmentation Model Based on Dictionary and Mutual
Information ...............................................................................................................................................................554
Bo Liu, Liang Gui Tang, and Can Tang
A Square Root Extended Set Membership Algorithm with Applications
to Nonlinear System Estimation ............................................................................................................................559
Qing He and Jing Zhang

xii
An Improved Green Ratio Model Based on Attemperment Priority
in Oversaturated Traffic ..........................................................................................................................................563
Zeming Tao, Xiancai Jiang, and Yulong Pei
An Improved Mass-Spring Model to Simulate Draping Cloth .........................................................................568
Haiyan Yu and Zhaofeng Geng
Application of Data Fusion Theory in Coal Gas Fire Prediction System .......................................................572
Xian-Min Ma
Application of Grey-Markov Model in Order Forecasting of Distribution
Center ........................................................................................................................................................................576
Tiexin Liu and Weijian Jiang
Bi-level Programming Model and Solution Algorithm for Decision-Making
on Passenger Route Allocation of Coach Stations ..............................................................................................580
Jie Yang, Jing Guo, and Xiucheng Guo
Creation of the Finite Element Model of Complicated Structure Cylindrical
Involute Internal Spur Gear ....................................................................................................................................585
Qiang Li, Haishan Weng, and Lijun Liu
Design of Intelligent Business Process System and Process Remodeling ......................................................589
Yan Li and Shao-Ling Deng
Holonic Reconfiguration Model Based on Time Petri-Net and Its Solution
Method .......................................................................................................................................................................594
Shangxiong Sheng
Location Model and Algorithm of Public Parking Facilities ............................................................................598
Zhengwu Wang, Zhenxia Tan, and Hui Xu
Manufacturing Quantity Model for an Unreliable Production Systems ..........................................................603
Dai-jun Wei and Qiong Mou
Mathematical Modeling for the Health Care System .........................................................................................608
Jian Yang, Zhong Zhang, and Hong Feng
Modeling and Simulation of 1025t/h CFBB Combustion Chamber ................................................................613
Chang-liang Liu, Yuan-liang Ma, and Lin Chen
Modeling and Simulation of Aircraft Movement Based on Matlab/S-Function ............................................618
Chunpeng Kang, Zhong Su, and Qing Li
Modeling and Simulation of the Automated Pharmacy System .......................................................................621
Xuefeng Zhao, Chao Yun, Xiangquan Liu, and Wei Wang
Modeling Capacity of Road Network Based on Level of Service of Network ..............................................626
Binglin Li, Feng Li, and Renying Wang
Modeling of a Type of Networked Cascade Control System ...........................................................................631
Congzhi Huang, Yan Bai, and Xinli Li
Modeling of Driver Controlling at Car-Following Based on Preview Follower
Theory ........................................................................................................................................................................636
Dan Yu and Yi-hu Wu

xiii
Modeling of Urban Traffic Environmental Carrying Capacity ........................................................................642
Xiao-yan Li and Zhong-ke Shi
Nonlinear Mixed Modeling Approach – An Application to Tree Growth Data ............................................646
Lichun Jiang and Yaoxiang Li
Observer Design and Analysis for Switched Systems with Mismatching
Switching Signal ......................................................................................................................................................650
Weiming Xiang, Mingxia Che, Chenyong Xiao, and Zhengrong Xiang
Observer Design for Discrete-Time Positive Systems with Delays .................................................................655
Qinzhen Huang
Optimization of Regional Coverage Reconnaissance Satellite Constellation
by Improved NSGA-II Algorithm .........................................................................................................................660
Si-wei Cheng, Hui Zhang, Lin-cheng Shen, and Jing Chen
Qualitative Simulation for the Global Performance of Conceptual Design ....................................................665
Hailin Feng and Guanghui Li
Research of Interconnection Based on OPC for Simulation System and DCS
in Power Plants .........................................................................................................................................................670
YuXiong Luo, Huimin Zhao, Zhongli Shen, and Yucai Zhou
Research of Mathematical Model of the Ball Mill with Double Inlets
and Outlets ................................................................................................................................................................674
Gang Yuan, Wei-jia Pan, Su-zhen Li, and Qin Han
Research on Auto Compensation of High Temperature Verification Furnace
Based on Model Reference Adaptive Control .....................................................................................................680
Ping Li, Wang Hui, and Hui Wen
Research on Consistent Measurement of Uncertainty Based on Entropy .......................................................684
Zunhua Tian, Long Zhao, and Yan Jia
Research on Nonlinear Dynamic Characteristics of Semi-active Suspension
System with SMA Spring .......................................................................................................................................688
Zhi-Wen Zhu, Zhong-Biao Gou, Jia Xu, and Hong-Li Wang
Set Pair Analysis for Mass Transit Grey Model Selection ................................................................................693
Chen Wang and Jun Chen
SIMMOD Based Simulation Optimization of Flight Delay Cost
for Multi-airport System .........................................................................................................................................698
Wei Gao, Xiaohao Xu, Lin Diao, and Hongjun Ding
Simulating and Modeling of Intake Pipe Fuel Film Dynamic Characteristic
under Gasoline Engine Transient Condition ........................................................................................................703
Yi-hu Wu, Huanchun Gong, Lin-li Ou, Li Zhou, and Cui Wang
Simulation and Analysis of High-Speed Train Running Quality Affected
by Route Alignment Condition ..............................................................................................................................708
Xu-you Long, Qing-chao Wei, Jin Shi, and Ying-jie Wang

xiv
Study of Flame Propagation Model in the Combustion Process of
an Oxygen-Enriched Combustion Engine ............................................................................................................713
Shengqin Li, Qiang Guan, and Wenhui Zhang
Study on a New System for Inventory Control ...................................................................................................718
Xiaoyu Zhu and Xiaojiu Li
Study on Modeling of Mckibben Pneumatic Artificial Muscle ........................................................................721
Kejiang Zang, Yuhua Wang, Xiaoqing Fu, and Xiaoping Hu
Study on Real Options Model of Operating Capital Value of Generator
for Spinning Reserve and Risk Assessment Based on Monte Carlo Methods ...............................................726
Xin Ma
Study on Simulation for Humanoid Robot ..........................................................................................................732
Xing-qiao Deng, Jin-ge Wang, and Wei-bin Zhu
VISSIM-Based Simulation of the Left-Turn Waiting Zone at Signalized
Intersection ...............................................................................................................................................................736
Hui Chen, Ning Zhang, and Zhendong Qian
Variable Structure Control for Stabilizing Double Inverted Pendulum ..........................................................741
Jun-feng Wu, Chun-tao Liu, and Yong Deng

Session 5: Rough Set and Data Mining - Volume 1

A Rough Set Model for Software Defect Prediction ..........................................................................................747
Weimin Yang and Longshu Li
An Attribute Reduction Algorithm Based on Conditional Entropy
and Frequency of Attributes ...................................................................................................................................752
Cuiru Wang and Fangfang Ou
An Efficient Frequent Pattern Mining Algorithm for Data Stream .................................................................757
Hualei Liu, Shukuan Lin, Jianzhong Qiao, Ge Yu, and Kaifu Lu
An Index Selecting Model for Complex System Based on Grey System
and Rough Set Theory and Its Application ..........................................................................................................762
Chongming Li and Qiqi Jiao
Constructing Galios Lattice in Hybrid Datasets Based on Rough Set Theory ...............................................767
Qiang Wu, Zongtian Liu, and Zhenguo Shi
Financial Data Mining in Chinese Public Companies: Corporate Performance
and Corporate Governance in Business Groups ..................................................................................................772
Qi Yue, Hai-lin Lan, and Luan Jiang
Grey Measurement Based on Rough Set Granule Calculations .......................................................................777
Jian Liu, Zhili Huang, Shunxiang Wu, and Ruiyi Chen
Knowledge Creation in Marketing Based on Data Mining ...............................................................................782
Guozheng Zhang, Faming Zhou, Fang Wang, and Jian Luo
Knowledge Discovery in Information-Service-Oriented Experimental
Transportation System ............................................................................................................................................787
Xiaoguang Yang and Mei Tong

xv
Mining Positive and Negative Association Rules in Multi-database Based
on Minimum Interestingness ..................................................................................................................................791
Shi-ju Shang, Xiang-jun Dong, Jie Li, and Yuan-yuan Zhao
Research and Application of Data Mining for Runoff Forecasting .................................................................795
Cailin Li and Xiaohui Yuan
Research on Model and Method for Product Data Distributed Storage
in Internet/Intranet Environment ...........................................................................................................................799
C. Song, Mi. Kang, and Z. Wei
Rough Set Based Study of the Competency for Chinese Seafarers .................................................................806
Donghua Xu and Zhaolin Wu
Support Vector Clustering of Facial Expression Features .................................................................................811
Shu-ren Zhou, Xi-ming Liang, and Can Zhu

Session 6: Intelligent System - Volume 1

An Integrated Artificial Immune Systems Model Based On Ontology ...........................................................819
Tao Li, Yiwen Liang, Huan Yang, and Jia Chen
Analysis of Workspace and Kinematics for a Tomato Harvesting Robot ......................................................823
Zhiguo Li, Jizhan Liu, Pingping Li, and Wei Li

Session 7: Fuzzy System and Application - Volume 1

A Dynamic Fuzzy Clustering Scheme in Overlay Multicast ............................................................................831
Jun Lu and Qi Bing
A New Method for Assessing the Weights of Fuzzy Opinions in Group
Decision Environment .............................................................................................................................................836
Yanbing Gong and Jiguo Zhang
A Study of Fixed-Structure Variable-Parameter Digital Controller Based
on Fuzzy Control for DC/DC Converters ............................................................................................................840
Yuying Yao, Donglai Zhang, and Dianguo Xu
An Advanced Control Method for ABS Fuzzy Control System ......................................................................845
Jing-ming Zhang, Bao-yu Song, and Gang Sun
Application of Adaptive Fuzzy Sliding-Mode Controller for Heat Exchanger
System in District Heating .....................................................................................................................................850
Jian Zhang, He-xu Sun, and Jiang-tao Zhang
Application of Fuzzy Modeling to Identify the Soil Resistivity of Dynamic
Grounding System ...................................................................................................................................................855
Shao-sheng Fan and Bing Wang
Application of Self-Adaptive Fuzzy Control in the MDJ Palletizer ................................................................859
Ning Fengyan, Wang Gang, and Yun Chao
Based on the Fuzzy Math of the Major Rivers in Hunan Province Water
Quality Assessment .................................................................................................................................................864
Dong-Zheng Liu, Fei-Yan Guo, Zhi-jun Zhang, and Cailei

xvi
Control of Four-Wheel-Steering Vehicle Using GA Fuzzy Neural Network ................................................869
Shijing Wu, Enyong Zhu, Ming Qin, Hui Ren, and Zhipeng Lei
Design and Implementation of a Regional Economic Evaluation System Based
on Fuzzy Neural Control ........................................................................................................................................874
Shi Zheng, Wen Zheng, and Xia Jin
Design of Main Steam Temperature Cascade Control System Based on Fuzzy
Self-Tuning PID Controller ....................................................................................................................................878
Jing Zeng, Youcheng Xie, and Lei Chen
Development and Evaluation of a Fuzzy Logic Control Approach
for Pedestrian Crossing ...........................................................................................................................................882
Wanjing Ma, Wanda Ma, and Xiaoguang Yang
The Fuzzy Appraising of Mining Geological Environment ..............................................................................887
Z. H. Wang and H. J. Zhang
Fuzzy Control Systems Based on the Varying Universe and Switching Fuzzy
Rule Bases .................................................................................................................................................................890
Jin-Song Wang, Ren-zhong Zhang, and Ru-Jun Dai
Improving Adaptive Fuzzy Control for MIMO Nonlinear Time-Delay Systems .........................................894
Zhenbin Du, Tao Li, and Zifang Qu
Long Term Forecast of Annual Maximum Peak Discharge at Yangtze Three
Gorges Based on Fuzzy Method ............................................................................................................................899
G. H. Hu, S. Q. Sun, and X. Yin
Maneuvering Target Tracking Based on ANFIS and UKF ...............................................................................904
Anfu Zhu, Zhanrong Jing, Weijun Chen, Yan Yang, and Anxue Zhang
Research on VRPB under Time-Division Fuzzy Velocity ................................................................................909
Sifa Zheng, Jiandong Cao, and Xiaomin Lian
Research on Fuzzy Genetics-Based Rule Classifier in Intrusion Detection
System .......................................................................................................................................................................914
Yu-Ping Zhou, Jian-An Fang, and Dong-Mei Yu
Research on Multi-system Coupling System Dynamics Model Simulation
Combining with Fuzzy Theory ..............................................................................................................................920
Huaqi Wang, Zengchuan Dong, and Zhao Wu
Robust Fault-Tolerant Control Studies of State and Control Time-Delay
System Based on T-S Fuzzy Model ......................................................................................................................925
Xinmei Wang, Hailong Pei, and Wu Wei
Study on Fuzzy Dynamic Programming for Optimization of Reactive Power
Compensation of Power System Including Distributed Generation ................................................................931
Peng Peng, Shi-ping Su, Xi Luo, and Li-quan Fan
Study on Optimal Control and Simulation for Urban Traffic Based on Fuzzy
Logic ..........................................................................................................................................................................936
Junce Li and Huazhong Zhang

xvii
Study on Project Experts' Evaluation Based on Analytic Hierarchy Process
and Fuzzy Comprehensive Evaluation .................................................................................................................941
Tianbiao Yu, Jing Zhou, Kai Zhao, Wei Wang, and Wanshan Wang
Traffic Coordination and Control Model of Regional Boundary Based
on Fuzzy Control .....................................................................................................................................................946
Yuan Wang, Zhaosheng Yang, and Qing Guan

Session 8: Factory Automation - Volume 1

A New Evaluation Method about the Reliability of the Electrical Products ..................................................953
Shao-hua Jin, Yan-ping Wan, Shu-guang Sun, and Nan Li
A New Power Quality Monitoring and Management System Based
on Embedded Computer Technique ......................................................................................................................957
Shiping Su, Guiying Liu, and Xi Luo
A Novel Modulation Strategy and Simulation Study for Matrix Converter ...................................................961
Hao Cai, Zhiyong Li, Xiaoying Li, Haixia Chen, and Ping Li
A Study on Milling Burr Expert System in Micro-machining .........................................................................965
Yunming Zhu, Guicheng Wang, Shutian Fan, Zhi Wang, and Hongjie Pei
A Telecontrol Net Based on Power Line Carrier Communication ..................................................................970
Chenglong Gong, Yuan Feng, Naibao He, and Ming Zhang
An Ultrasonic System for Detecting Channel Defects in Flexible Packages .................................................974
Cunfu He, Hongmei Yuan, Bin Wu, and Guorong Song
Analysis and Identification of Active Compensation Topology for Electrified
Railway Load ...........................................................................................................................................................978
Guo Wang, Enen Ren, and Mingxing Tian
Analysis and Research for Network Management Alarms Correlation Based
on Sequence Clustering Algorithm .......................................................................................................................982
Sizu Hou and Xianfei Zhang
Analysis of Thermal Shock on the Failure of Thin-Walled Vessel
under Thermo-solid Coupled Load .......................................................................................................................987
Qin-man Fan, Yong-hai Wu, and Cheng Xu
Application of Intelligent Computation to Promote the Automation of Flight
Control Design .........................................................................................................................................................991
Ming-tao Zhang and Jin-wen An
Application of Phase Correlation Algorithm in Vehicle License Plate
Character Identification ..........................................................................................................................................995
Liying Lang and Xiaofang Zhang
Application of PLC and Industrial Control Configuration Technique in Middle
or Small Water Works .............................................................................................................................................999
Su-ling Li and Jun-ying Liu
Application of Robust Regulator in Crystallization Process ...........................................................................1004
Chao-ying Liu, Wei Li, Xue-ling Song, and Zhe-ying Song

xviii
Application of Self-Adapting Weighted Algorithm to Nuclear Pulse
Measurement ..........................................................................................................................................................1008
Lanjun Li, Shouyi Yu, Yaogeng Tang, and Song Gao
Complex Product Collaborative Design and Simulation Based on Product
Master Model Technology ...................................................................................................................................1012
Jun Ji, Ding-hua Zhang, Shan Li, Bao-hai Wu, and Bing Chen
Congestion Management of Pool Model in China Power Market .................................................................1017
Wei Du, Yanjun Wang, and Lirui Guo
Design of an Automatic Control System for Coal Preparation Process ........................................................1021
Jing Zhang, Maojun Li, and Qing He
Detection of Welding Torch Inclination Based on Rotating Arc Sensor ......................................................1025
Jian-xiong Ye, Hui Wei, and Ming-fei Wei
Development of Control System of Electro Hydraulics Servo Leaf Spring Mill ........................................1029
Jun-ying Liu and Su-ling Li
Development of the New Comprehensive Performance Evaluation Equipment
for Enhanced Convective Heat Transfer Techniques .......................................................................................1034
Lingfang Sun, Gong Wang, Yuheng Zhang, Shanrang Yang, Zhiming Xu, and Lijun Chen
Distribution Network Reconfiguration Based on Load Forecasting ..............................................................1039
Limin Huo, Jinliang Yin, Yao Yu, and Liguo Zhang
E-Automation and the Development of Substation Automation Architecture .............................................1044
He Li and Chen Zhong
Error Correction for the Tracking Mirror ...........................................................................................................1048
Yonggang Yan, Jianfei Ouyang, Wanli Liu, Xiaoling Deng, and Xiaobo Wang
Field Measurement Studies on Shunt Coefficient of Lightning Shield Line ................................................1052
Dechao Li, Jinglu Li, and Yuhuan Zhang
Fusion Method for Uncertain Multi-sensor Information .................................................................................1056
Shuping Wan
Improved Automatic Keyphrase Extraction by Using Semantic Information .............................................1061
XiaoLing Wang, DeJun Mu, and Jun Fang
Influence Analysis of the Damper Parameters to the Vehicle Vertical Dynamic
Performance ............................................................................................................................................................1066
Rongrong Song
Integration Control Strategy Research on Dual-PWM Inverter .....................................................................1070
Zheng Zheng and Yonggang Yao
Intelligent Monitoring System of Quality Pig Breeding Environment ..........................................................1075
Congguo Ma
Intelligent Control and Application of All-Function Active Power Filter ....................................................1078
Guiying Liu, Shiping Su, and Peng Peng
Intelligent Identification on Hydraulic Parameters of Ship Lock Based
Generalized Genetic Algorithms .........................................................................................................................1082
Zhenghua Gu and Zhiyong Dong

xix
New Track Correlation Algorithm of Distributed Multi-sensor System .......................................................1087
Weihua Zhang, Hongbo Li, and Li Zhou
Novel Traveling Wave Location Algorithm for Transmission Network Based
on Information Fusion Technology .....................................................................................................................1091
Feng Deng, Xiangjun Zeng, Chao Yuan, Xiao’an Qin, and Zhihua Wu
On-Line Measurement Method of Water in Coal Based on Microwave Heating ........................................1096
Linhui Liu, Yucai Zhou, Huimin Zhao, and Zhongli Shen
Positive Real Control of Singularly Perturbed System ....................................................................................1101
Han-mei Wu, Chen-xiao Cai, and Yun Zou
Power Quality Auto-monitoring for Distributed Generation Based on Virtual
Instrument ...............................................................................................................................................................1106
Xi Luo, Shiping Su, Guiying Liu, Peng Peng, and Liquan Fan
Reliability Analysis of 100MN Multi Way Die Forging Water Press's
Computer Control System ....................................................................................................................................1111
Yucai Zhou and Jieming Li
Reliability Analysis of a Seepage Monitoring System Based on Distributed
Optical Fiber Sensing ............................................................................................................................................1116
Pingyu Zhu, Yuanbao Leng, B. S. Dhillon, and Guangfu Bin
Research of Dynamic Model of Flexible Two-Wheel Upright Self-Balance
Humanoid Robot ....................................................................................................................................................1121
Jian-wei Zhao and Xiao-gang Ruan
Robotic 3D Structured Light Scanning System Based on External Axle .....................................................1126
Huang Jin, Ma Zi, Hu Ying, and Wang Yang
Selection of Protection Scheme against Lightning Impulse Waves Based
on Chaos Theory for 500kV GIS Substation .....................................................................................................1130
Yi Li and Lixing Zhou
Semantics Driven Decision Making and Its Dynamic Semantics Presentation ...........................................1135
Bo Zhang, Yang Xiang, Bei Zhang, and Guobing Zou
Smoothing Parametric Method to Design Addendum Surface .......................................................................1140
Chi Dy, Ruijun Liu, Ping Hu, and Yuquan Song
Study on Influence Factors of Thermal Hysteresis in Paraffin Actuator ......................................................1145
Bing-ya Chen, Ying Liu, Xiao-hai Zhang, and Chang-cun Sun
Study on Intelligent Control of Three Phase Grid-Connected Inverter of Wind
Power Generation ..................................................................................................................................................1149
Zhiqing Qin, Shiping Su, Jianing Lei, and Hang Dong
Study on Non-linear Twist Vibration of Main Transmission System
for Vertical Rolling Mill .......................................................................................................................................1153
Lingqi Meng and Jianxun Wang
Study on the Application of Dynamic Balanced Scorecard in the Service
Industry ....................................................................................................................................................................1158
Tiezhu Zhang and Le Gao

xx
Temperature Control of Continued Hyperthermic Celiac Perfusion Based
on Generalized Predictive Self-Tuning Control ................................................................................................1163
Xing-hui Zhang, Hui-min Jiang, Zhao-lin Gu, and Zeng-qiang Chen
The Automatic Monitoring System of Rubber Conveyer Paste Mixing .......................................................1167
Xinchun Li
The Feature Extraction Based on Nonlinear Partial Orthogonal Analysis
with B-Spline Function for Signal of Vibrational Sensors ..............................................................................1171
Gui-Guo Liu, Bin Yue, Dao Huang, and Hai-Yan Huang
The Investigation of Data Transfer in Gasoline Engine Electronic-Controlled
Injector Test System ..............................................................................................................................................1176
Derong Tan, Li Zhang, and Zhongkai Song
The System of Fire Check and Alarm about Low Voltage Distribution Box ..............................................1180
Zeng-huan Liu, Hui-xian Fan, and Jia Guo
Voltage Transfer Characteristic Analysis of Dual-Bridge Matrix Converter ...............................................1184
Zhiyong Li, Hao Cai, Xiaoying Li, Haixia Chen, and Ping Li

Session 9: Optimization Theory and Application - Volume 1

A General Kind of g-Expectation and Their Properties ...................................................................................1191
Kun He
A Global Optimization Algorithm Based on Plant Growth Theory: Plant
Growth Optimization ............................................................................................................................................1194
Wei Cai, Weiwei Yang, and Xiaoqian Chen
A New Development of Sum of Squares Optimization in Control Application ..........................................1200
Xiangyong Chen, Chunji Li, and Ning Li
A Topological Optimization Method Considering Stress Constraints ..........................................................1205
Jian Hua Rong, Qing Quan Liang, Seng Guo, and Rang Ke Mu
A Topological Optimization Method of Similar Periodic Structures Based
on Variable Displacement Limits ........................................................................................................................1210
Zhi Jun Zhao, Jian Hua Rong, Xiao Hui Wang, and Qiang Zhang
An Efficient Algorithm for Transforming LTL Formula to Büchi Automaton ...........................................1215
Anping He, Jinzhao Wu, and Lian Li
An Optimization Framework of Reused Product for Secondary Market ......................................................1220
De Xia and Zhao-xia Zheng
Numerical Optimization Based Field-Oriented Control of Induction Motor ...............................................1225
Sihua Liu, Ying Wang, and Guangda Hu
Optimal Allocation of Reactive Power Source in Wind Farms Using
Sensitivity Analysis and Tabu Algorithm ..........................................................................................................1230
Ping Zhang, XiangJun Zeng, and Ling Li
Optimization of the Supply Chain Production Planning Programming
under Hybrid Uncertainties ..................................................................................................................................1235
Dongbo Liu, Yujuan Chen, Hongwei Mao, Ziqiang Zhang, and Xingsheng Gu

xxi
Optimization of the Top Guard for Excavator Based on Neural Genetic
Algorithm ................................................................................................................................................................1240
Suli Feng, Zhigang Tian, Xuhua Zhai, Guangyu Zhang, and Yan Li
Optimization of Traffic Flow in a Road Network ............................................................................................1244
Li-xin Liu
Optimum Design and Calculation of Ackerman Steering Trapezium ...........................................................1248
Kai Yao, Youjun Wang, Zhongming Hou, and Xiaowen Zhao
Research of Transmission Optimization Design Based on Collaborative
Optimization ...........................................................................................................................................................1253
Yong-hai Wu, Qin-man Fan, Chang-long Lu, and Cheng Xu
The Optimization of Plastic Injection Molding Process Based on Support
Vector Machine and Genetic Algorithm ............................................................................................................1258
Mei Yi and Shan Zhi
The Optimization Research on the Artery Control System of Jianshe
Boulevard in Wuhan ..............................................................................................................................................1262
Yingwei Cheng, Xiaoming He, and Ming Yang
The Researches of Quadratic System Decoupling by Optimization Method ...............................................1267
Jihong Shen and Shujuan Wang
Wind Farms Reactive Power Optimization Using Genetic/Tabu Hybrid
Algorithm ................................................................................................................................................................1272
Ling Li, XiangJun Zeng, and Ping Zhang
An Optimization Method of Dynamic Lane Assignment at Signalized
Intersection .............................................................................................................................................................1277
Zhangjian Zhong, Haode Liu, Wanjing Ma, and Kejun Long

Author Index - Volume 1 ...........................................................................................................................1281

xxii
 Preface
The International Conference on Intelligent Computation Technology and Automation (ICICTA 2008) aims to
provide a high-level international forum for scientists, engineers, and educators to present the state of the art of
intelligent computation and automation research and applications in diverse fields. The conference will feature
plenary speeches given by renowned scholars and regular sessions with broad coverage. In order to share the best
practices and innovative ideas among the fields of traffic information and logistic engineering, ICICTA organizes the
international symposium on traffic information and logistic engineering. It is also expected that a synergy can be
established between the academia and the industry, which will pave the way for further collaboration.
ICICTA 2008 was sponsored by Changsha University of Science and Technology, Central South University, and
Hunan University of Science and Technology, and was held in Changhsa, China, 20-22 October 2008. It will
become an annual forum dedicated to the emerging and challenging topics in intelligence computation and
automation fields.
ICICTA 2008 received 1292 submissions from 14 countries and regions. All papers went through a rigorous
peer review procedure and each paper received at least two review reports. Based on the review reports, the Program
Committee finally selected 495 high-quality papers for presentation at the ICICTA 2008 conference, of which 483
papers have been included in the proceedings published by IEEE Computer Society. The other 12 papers will be
included in an international journal.
On behalf of the organizing committee, we thank Changsha University of Science and Technology, Central
South University, and Hunan University of Science and Technology for their sponsorship and logistics support. We
gratefully acknowledge technical support from IEEE Computer Society. We also thank the members of the
organizing committee and the Program Committee. We wish to express our heartfelt appreciation to the keynote
speakers, reviewers, and students for their help. Last but not least, we thank all the authors and participants for their
great contributions that have made this conference possible and all the hard work worthwhile.
We look forward to seeing all of you next year at the ICICTA 2009 conference.

Deshun Liu, Yihu Wu,

Zhixiang Hou, Junnian Wang
October 2008

xxiii
Organizing Committee

Organizing Committee Chairs

Zhixiang Hou, Changsha University of Science and Technology, China
Junnian Wang, Hunan University of Science and Technology, China

Program Committee Chairs

Bin Xie, Carnegie Mellon University, USA
Zhixiong Huang, Central South University, China

Publication Chairs
Zhixiang Hou, Changsha University of Science and Technology, China
Weiming Zhou, University of Metz, France

Finance Chairs
Zhixiang Hou, Changsha University of Science and Technology, China
Yihu Wu, Changsha University of Science and Technology, China

Publicity Chair
P. Zhang, Victoria University, Australian

xxiv
 Program Committee
Bin Xie, Carnegie Mellon University, USA
Helen Shang, Laurentian University, Canada
Hua Deng, Central South University, China
Jianxun Liu, Hunan University of Science and Technology, China
Yucel Saygin, Sabanci University, Turkey
Zhixiong Huang, Central South University, China
Xiaojiao Tong, Changsha University of Science and Technology, China
Jonas Larsson, Linköping University, Sweden
Ming Fu, Changsha University of Science and Technology, China
Jiafu Jiang, Changsha University of Science and Technology, China
Ben K. M. Sim, Hong Kong Baptist University, Hong Kong
Xiaoxiong Weng, South China University of Technology, China
Sanjay Chawla, University of Sydney, Australia
Xichun Liu, Hunan Normal University, China
Jianhua Rong, Changsha University of Science and Technology, China
Sharma Chakravarthy, University of Texas at Arlington, USA
J. H. Rong, Changsha University of Science and Technology, China
W. D. Xie, Hong Kong City University, Hong Kong
F. M. Zhou, Zhejiang University, China
P. Zhang, Victoria University, Australian
Shanghong He, Changsha University of Science and Technology, China
Zhongxiang Huang, Changsha University of Science and Technology, China
Yuefen Li, Queensland University of Technology, Australia
Richeng Luo, Hunan Agriculture University, China
Yong Yang, Guangzhou University, China
Hua Guang, Hong Kong City University, Hong Kong
Hongmei He, University of Bristol, UK
Changyue Sun, Hunan University of Science and Technology, China
Weiming Zhou, University of Metz, France
Nanjun Li, Nanhua University, China
Yanli Deng, Wuhan University of Technology, China
Minghai Xu, Nanjin University of Post and Communications, China
Ukop V., Bradley University, USA
Zhi Wang., Hunan University, China
Yishan Chen, Chang An University, China
Xianchen Zhou, Hunan University of Commerce, China

xxv
 Session 1

Intelligent Computing
and Application

ICICTA 2008
 2008 International Conference on Intelligent Computation Technology and Automation
A New Discrete traffic Network Design Problem with Evolutionary Game
Algorithm
Haiyan Xiao 1, 2, Xianjia Wang1 ,Wei Du1
1
Institute of Systems Engineering ,Wuhan University ,Wuhan 430072,Hubei, China
2
Department of Mathematics and Econometrics, Educational Institute of Hubei, Wuhan
430205,Hubei ,China
Email: hyxiao1011@126.com
Abstract
The discrete network design problem deals with the
selection of link additions to an existing road network,
with given demand from each origin to each
destination. The objective is to make an optimal
investment decision in order to minimize the total
travel cost in the network, while accounting for the
route choice behaviors of network users. The discrete
network design problem is considered as a two-stage
Stackelberg game and is formulated as a combinatorial
bi-level programming problem. The traditional lower-
level model is user equilibrium based on path flow. The
key to solve the lower-level model is to enumerate all
the paths between each pair of origin and destination,
which is difficult to a large-scale complex network. So
in this paper, at first a traditional bi-level
programming model for the discrete network design
problem is introduced, and then a new bi-level
programming model is proposed, in which the lower-
level model is based on link flow. Then a new
algorithm for upper-level problem is proposed by using
evolutionary game algorithm (EGA), and the lower-
level by Frank-Wolfe Algorithm. Finally, the
applications of the new algorithm are illustrated with a
numerical example. The numerical results show that
the algorithm is feasible and effective.
1. Introduction
The urban traffic network design problem is called
NDP generally, which is the optimal investment
decision-making problem, that is ,under certain
investment constraints and considering route choice
behaviors of the network users, we improve certain
paths or add new links to an existing road network in
order to achieve some kind of system optimization.
Historically, this problem has been posed in two
978-0-7695-3357-5/08 $25.00 © 2008 IEEE 3
DOI 10.1109/ICICTA.2008.260
different forms: a discrete form dealing with the adding
new links to an existing road network which is called
as the discrete network design problem (DNDP), and a
continuous form dealing with the optimal capacity
expansion of existing links which is called as the
continuous network design problem (CNDP). In
whichever form, the objective of NDP is to optimize a
given system performance measure such as to
minimize total system travel cost, while accounting for
the route choice behaviors of network users. From the
past researches, we find people pay more attention to
the CNDP , but less to DNDP. This is because the
variable in the objective function of CNDP is
continuous which is easy for mathematics processing.
A large number of scholars have investigated the
DNDP in one way or another over the past three
decades. Steenbrink(1974) discussed the DNDP, and
reviewed the branch-and-bound techniques for solving
this problem. He also gave an excellent introduction to
modeling the urban road DNDP, including a discussion
of techniques for the traffic assignment and Braess
paradox. He then suggested a new approach to the
network design problem in which user optimal flows
were approximated by system optimal flows. This
technique was an iterative decomposition algorithm.
However, it does not always converge to the optimum
network. Magnanti and Wong(1984) presented a
unified view of modeling the DNDP, and proposed a
unifying framework for describing a number of
algorithms, of which the Lagrange relaxation and dual
ascent procedures have been very successful in
providing bounds for the special cases of the DNDP.
Chen and Alfa(1991) studied the DNDP using a logit-
based stochastic incremental traffic assignment
approach and presented some computational
experience in solving design problems with some
road .Gao and Sun(2005) proposed a new solution
algorithm by using the support function concept to
express the relationship between improvement flows
and the new additional links in the existing urban s.t.Ewrs = irs qrs , ∀(r , s ) ∈ K (4) (4)
∑
network.
xij = wij , rs , ∀(i, j ) ∈ A (5)
In this paper, at first a traditional bi-level ( r , s )∈K
programming model for the DNDP is introduced, and
wij , rs ≥ 0, ∀(i, j ) ∈ A, (r , s ) ∈ K (6)
then a new model for bi-level network design problems
is proposed. In the upper-level ,we proposed a new xij is the flow on link (i, j ) ； f k
rs
is the flow on
algorithm-EGA for optimization problem solving based path k from origin node r to destination node s ; qrs is
on economic game theory .The proposed approach sets
the total traffic demand between origin r and
up relevant mappings between the search space and
objective function of optimization problem and the destination s ; tij ( xij , yij ) is the travel cost function on
strategy profile space and utility function of non- link (i, j ) ; cij is the investment cost on
cooperative game respectively, and achieves the link (i, j ) ∈ A2 ; B is the upper limit of total investment
optimization objective through the dynamic
evolutionary game process of adaptive agents .The cost; yij is the binary variables, if link (i, j ) is built,
lower-level of traditional DNDP model is user then yij = 1 and otherwise yij = 0 . wij , rs is the flow on
equilibrium based on path flow. The key to solve the
link (i, j ) assigned by qrs ， wrs = ( wij , rs ) A ×1 ;
lower model is to enumerate all the paths between each
pair of origin and destination, which is difficult to a E = (eia ) K × A is the link-node incidence matrix, whose
large-scale complex network. The lower-level in the element eia equals −1 if node i is the origin node of
new model is user equilibrium based on link flow.
link a, 1 if node i is the destination node of link a, and
2. The new DNDP model 0 otherwise; irs = (irs , j ) K ×1 is the OD pair-node
incidence matrix, whose element irs , j equals −1 if node
2.1. The lower-level user equilibrium
assignment j is the origin node of OD pair (r , s ) , 1 if node j is
The lower-level of traditional DNDP model is user the destination node of OD pair (r , s ) , and 0 otherwise.
equilibrium based on path flow. The key to solve the Constraint (4) is the node flow equilibrium condition.
lower model is to enumerate all the paths between each In constraint (4), for each OD pair (r , s ) the outflow
pair of origin and destination, which is difficult to a qrs of the origin node r equals the inflow qrs of the
large-scale complex network. We give the lower-level destination node s ;for each node j ( j is not origin
based on link flow, so the new model can be
node r or destination node s ) the outflow of node j
expressed as follows: Given a traffic network
represented as a graph G = ( N , A) where A and N are equals the inflow of node j ,i.e. the flow of node j is
the set of nodes and links. Let A = A1 ∪ A2 be the set of 0.
links, with A1 = {(i, j ) : (i, j ) = 1, 2, ", n} the set of 2.2. The analysis of the lower-level model
existing links which will not be modified, We can verify that the constraints (4)-(6) satisfy
A2 = {(i, j ) : (i, j ) = n + 1, n + 2, ", n + m} the set of the Wardrop’s user equilibrium principle and formulate
new candidate links. K is the set of origins and the Wardrop conditions in terms of link flow only. We
destinations(OD) pairs. The bi-level programming define Lagrange function
∑∫ ∑
xij
model is: L( w, π , μ ) = tij ( w)dw − π rsT ( Ewrs − irs d rs )
0
( i , j )∈ A ( r , s )∈K
(U2) min F ( y ) = ∑
( i , j )∈ A
xij* .tij ( xij* , yij ) (1) − ∑ ∑ μij , rs wij , rs
( r , s )∈K ( i , j )∈ A

π and μ are Lagrange coefficient , the K-K-T

s.t. ∑ cij yij ≤ B, yij = 0 or 1, (i, j ) ∈ A2 (2)
( i , j )∈ A2 condition can be written as follows:
Where the equilibrium flow xij* is obtained by solving ⎧ ∂L
the lower-level problem: ⎪ ∂w = tij ( xij ) − (π j , rs − π i , rs ) − μij , rs = 0
⎪ ij , rs
⎪
∑∫
xij
(L2) min G ( w) = tij ( w， yij )dw (3) ⎨ μij , rs ≥ 0, wij , rs ≥ 0, μij , rs wij , rs = 0 (7)
⎪
0
( i , j )∈ A
π j , rs ≥ 0, π i , rs ≥ 0
⎪
⎪⎩ ∀(i, j ) ∈ A, (r , s ) ∈ K

4
(7) can be written as simple form:
tij ( xij ) − (π j , rs − π i , rs ) ≥ 0
wij , rs [tij ( xij ) − (π j , rs − π i , rs )] = 0
wij , rs ≥ 0
∀(i, j ) ∈ A, (r , s ) ∈ K
from the inequality (8) ,(10)and equation (9), we can
draw the following conclusions:
if wij , rs > 0 ,then tij ( xij ) = (π j , rs − π i , rs ) ;
if wij , rs = 0 ,then tij ( xij ) ≥ (π j , rs − π i , rs ) .
Where, π j , rs can be considered as the ideal travel
cost from the origin node r to the node j when the
road network is a equilibrium state, i.e. π j , rs is the price
of node j . π j , rs − π i , rs can be thought as the ideal travel
cost on link (i, j ) ,so π s , rs − π r , rs is the ideal travel cost
from origin node r to destination node s . It can be
referred that for each origin-destination pair (r , s ) , the
travel cost of the route utilized is equal to
π s , rs − π r , rs and minimal for each individual user,which
is satisfied with the Wardrop’s user equilibrium
principle.
3. The evolutionary game algorithm for the
upper-level problem
3.1. Game structure
Agent k
0 1 0 1 1 0 1 1 1 0 BRCs in sequence once is defined as a round, the
Fig. 1. The strategy profile s
The general non-cooperative game can be
formulated as follows: G = [ I , S ,U ] , where
I = {1, 2, , m} is the agents that take a part in the
game, S is the strategy sets of the agents, U is the
payoff(or utility) of the agents in every possible
strategy profile. In this paper, there are m agents and
the strategy set of each agent is {0,1} , sk ∈ {0,1} is the
strategy of agent k ∈ I , s = ( s1 , s2 ,… , sm ) .
y = ( yij )1× m is the decision variable in the model (U2)-
(L2), here we can consider s = y, sk = yij .The utility of
each agent in each group is defined as follows:
⎧ 1 , if feasible
⎪ F (s)
U = {uk ( s ), k ∈ I } = ⎨ m
⎪ B − ∑ ck sk , otherwise
⎩ k =1
that s = y is feasible states s is satisfied with (2), ck is
(8) the cost of investment on link k ∈ A2 .
(9) Theorem 1.The corresponding strategy profile of the
(10) optimal solution of problem (1)-(6) is a Pareto-optimal
Nash equilibrium point of the non-cooperative game G
describe above.
Proof: Let s* denote the corresponding strategy profile
of the optimal solution y * . ∀y is feasible, we have
F ( y ) ≥ F ( y* ) , s = y
and U = {u ( s ), k ∈ I } = 1 = 1 ,then ∀s is
k F (s) F ( y)
feasible,
uk ( s ) ≤ uk ( s* ), ∀k ∈ I
and ∀s is infeasible, we also have
m
uk ( s ) = B − ∑ ck sk < 0 ≤ uk ( s* ), ∀k ∈ I
k =1
therefore, s* is an equilibrium point of the non-
cooperative game, and apparently, is Pareto-optimal.
3.2. Equilibrium process
When the strategies of other agents are fixed, the
choice of strategy of a agent that maximizes its utility
is called the Best-Response Correspondence (BRC) of
that agent. In the phase of EGA main loop, agents will
do a deterministic process to reach an equilibrium point.
This equilibrium state is achieved through the Best-
Response dynamic of agents. The order of the Best-
Response dynamic of agents is based on a predefined
order of the objects(the ascending sort of the
investment cost). If the process that all agents do their
strategy profile of all agents will reach Nash
equilibrium point in two-round. We get the start at the
initial strategy profile point s (0) for the main loop of
EGA. If the utility of strategy profile obtained after this
equilibrium process is greater than the utility of the
current one, the agents will adopt the new strategy
profile for the next round of game. Otherwise, the
agents will hold the original strategy profile without
any change.
For each agent k , if the random number
rand (0,1) is less than the perturbation probability pd ,
then the current strategy of agent k , is replaced with
the opposite strategy. This phase represent the
stochastic perturb on strategy profiles by system
“noise”.
In order to obtain Theorem 2, we must introduce
“Braess paradox” firstly. These paradoxical
phenomena are but two real examples of the Braess
paradox, named after Dietrich Braess who, in 1968,
noted that in a user-optimized network, when a new
5
link is added, the change in equilibrium flows might The conclusion of Theorem 2 is held.
result in a higher cost, implying that users were better At last, we can draw the conclusion that EGA for
off without that link. We define y l > y m as follows: if DNDP converges to the global optimal solution with
probability 1 by literature [9].
the component i of y l takes 1 the component i of y m
takes 1 too, i.e., network expansion strategy 4. Steps of the solution procedure
y l includes y m . Now if we neglect Braess paradox in
this network, it means that if y l > y m ,then Step1: Initialize G , s (0) ∈ R m ， t := 0 , T is the largest
number of iterations;
∑
( i , j )∈ A
xij* .tij ( xij* , yij l ) < ∑
( i , j )∈ A
xij* .tij ( xij* , yij m ) . Step2: If s ( t ) is feasible, we obtain the optimal
Theorem 2. The strategy profile of all agents will reach solution x* = ( , xij* , ) of the lower-level problem by
Nash equilibrium point in two-round.
Proof: Firstly, we verify that the strategy profile Frank-Wolfe algorithm, U = ∑
( i , j )∈ A
xij* .tij ( xij* , s (t ) ) ; if s ( t )
obtained after the first-round is feasible without fail.
m
(1) Suppose that the strategy profile s obtained after is infeasible , U = B − ∑ ck sk(t ) ;
the first-round is infeasible, and then there is at k =1
least one agent whose strategy takes value 1, Step3: For each s , if rand (0,1) < pd then
(t )
k
because the 0 strategy profile is feasible. Suppose
sk is the last one taking value 1 in the BRC sk( t )′ = 1 − sk( t ) , else sk( t )′ = sk( t ) ;
sequence and its utility is uk , then the agent k can Step4: for each sk( t )′ do
increase its utility by taking value 0, and its utility
s ( t )′′ = ( Bk ( s−(tk)′ ), sk( t )′ ) = {sk( t )′* ∈ Sk : uk ( sk( t )′* , s−( tk)′ ) ≥
is uk ′ now, but
uk ( sk(t )′ , s−(tk)′ ), ∀sk(t )′ ∈ S k , s−( tk)′ = Π si( t )′ , i ≠ k}
uk ′ − uk = ck > 0 , Step5:If t >T ,stop; else t := t + 1 ,if
So value 1 is not the BRC of agent k , hence there
U ( s ) > U ( s ′′ )
(t ) (t )
,then s ( t +1)
=s (t )
， otherwise
exits a contradiction. The first conclusion is held.
Secondly, we verify that the strategy profile will s ( t +1) = s ( t )′′ , return to Step2
reach Nash equilibrium point after the second-round.
(2) The utility of the infeasible solution is always less 5. Numerical example
than that of feasible solution and the start strategy
profile in the second-round is feasible, so all the In this section, to illustrate the applications of the
strategy profile experiencing in the second-round model and algorithm proposed in this paper, we present
are feasible. Suppose that the strategy profile a numerical example for optimal network design
obtained after the second-round is not an problem.
equilibrium state, and then there is at least one 1 3 5

agent can increase its utility by changing its 1 11

2
2 12
4
3 13
6
4

strategy. We denote that agent as k , its origin

12 11.5 12
12
strategy and utility as sk and uk , its new strategy
11

35 13
9

12

14
7

36
10
8

and utility as sk ′ and uk ′ , then we will have 5 12.5

15
6 13
17
7
19
13 8
16 18 20

uk ′ > uk , but 12.2

11.8 11
23

24
22

28
27

Ⅰ. if sk = 1 , sk ′ = 0 then both strategy profile are

21

26

37
25

13

feasible. If neglecting the “Braess paradox” , 9 10.8

29
10 12
31
11 12.8
33
12
34
we get 30 32

38

F ( s ′) > F ( s) ⇒ uk ′ < uk
Fig. 2. The test network. Solid lines indicate
hence in contradiction with uk ′ > uk . existing links, and dashed lines potential new links.
Ⅱ.if sk = 0 , sk ′ = 1 , the new strategy profile is Note that the data here are assumed for
feasible, which is contradiction with that value simplification of computation. In practice, the data
0 is the BRC of agent k after the second-round. should be identified observations of the actual

6
network design projects. The discrete network is shown Table 1: The parameters of new links
in Fig. 2 with four OD pairs (1,12), (4,9), (9,4) and Index 17 35 36 37 38
(12,1) and the OD demands are 5,8,6,10. There are a (i , j ) (6,7) (1,6) (4,7) (7,9) (9,11)
total of four involve construction of new links and one
aij (minute) 9 19 19 30 25
to be improved, these links are numbered in Fig 2 by
dashed lines. The travel cost function on link (6,7) after cij (yuan) 4000 7000 6000 9000 10000
adding lanes is: t67 = 9 + 0.01x67 4 ,and the parameters of
the new links are given in Table 1.

Table 2: Movement process of the, CPU time and results (1 stands for the new link should be built and 0
should not).
Budget (thousand yuan) 10 15 20 25 30 35 40
HEA y* (00010) (01010) (11010) (01011) (11011) (11011) (11111)
y* (00010) (01010) (11010) (01011) (11011) (11011) (11111)
GA CPU(second) 144.9370 203.2660 162.4530 155.9690 124.1410 58.4690 31.0160
y* (00010) (01010) (11010) (01011) (11011) (11011) (11111)
EGA CPU(second) 133.7660 122.0310 84.9690 63.7030 18.5780 15.1870 12.1560
Acknowledge
6. Conclusion National natural science fund subsidization project
(60574071)
In order to test the convergence of the algorithm,
we use different algorithms, hidden enumerative 7. References
algorithm (HEA), genetic algorithm (GA) and
evolutionary game algorithm(EGA), to solve the [1]A bdulaal M, Le Blanc L J. Continuous equilibrium
problem , the results are same, which can partly network design models[J ]. Transportation Research(B),
illustrate the convergence of the EGA. The results 1979, 13(1):19- 32.
obtained by HEA are exact, therefore, we can believe [2]Ben-ayed O , et al. A General bi-level programming
that the solution may be close to the global solution of formulation of the network design problem[J].
Transportation Research(B), 1988, 22(3): 311- 318.
the problem.
[3]Chen M Y, Alfa A S. A Network design algorithm using a
Table 2 gives the results and the process of the stochastic incremental traffic assignment approach [J ].
movement with different budgets by three algorithms. Transportation Science, 1991, 25 (3) :215- 224.
From Table 2, Firstly, we find the computing time [4]Gao Z Y and Sun H J. Solution algorithm for the bi-
of GA is longer than that of EGA. This is because in level discrete network design problem[J].
EGA we only need to compute the value of objective Transportation Research(B), 2005, 39(6): 479-495.
function and compare the utility of each strategy profile, [5]Magnanti T L and Wong R T. Network Design and
while in GA select operator, cross operator and Transportation Planning: Models and Algorithms[J ].
mutation operator is time-consuming. Secondly, the Transportation Science, 1984, 18(1): 1- 55.
CPU time decreases when B increases. Because the [6]S.-H. Chen and C.-C. Ni. Co-evolutionary instability in
number of feasible solutions increase with B games: an analysis based on genetic algorithms[C]. In the
increasing, the probability of achieving the optimal Proceedings of 1997 IEEE International Conference on
Evolutionary Computation:703-708.
solution is higher. For example, when B=40, we get
[7]Steenbrink, A. Transport network optimization in the
a y by random, y is a feasible solution, and the time Dutch integral transportation study. Transportation
of achieving the optimal solution is shorter. When Research B,1974,8,:11–27.
B=10, the probability of producing non-feasible [8]YANG H,BELL M G H. Models and algorithms for
solution in the evolutionary process is higher, so the road network design: a review and some new
time of achieving the optimal solution is longer. development[J]. Transport Review,
1998,18(3):257-278.

7
 2008 International Conference on Intelligent Computation Technology and Automation

A Study of Co-evolutionary Genetic Algorithm in Relay Protection System

Qingliang Wang 1, Zhouxing Fu1, Xiaojian Wang2, Yuanbin Hou1, Ning Li3, Qing Liu1
1
School of Electrical and Control Engineering, Xi’an University of Science and Technology,
Xi’an 710054, China
2
Chang’an University, Xi’an 710064, China
3
Huangling Gangue Thermal Power Co. Ltd, Shaanxi Huangling 727307, China
wangxjql@163.com

Abstract using optimization theory was first presented in

In view of the coordination difficulty problems
existing in relay protection system and high security
demand of power supply, the global optimization
model for protection settings was set up in power
supply network based on the analysis of relay
characteristics. A new multi-parameter Co-
evolutionary Genetic Algorithm, used to optimize the
protection settings, was presented and improved with
establishing sub-population, cooperative operator and
density operator. According to the specific demands of
relay protection, the constraint interval coding method
was adopted and the weight coefficients in the model
were studied. The model with its algorithm was
validated with an distribution system test that gave the
applicable results. Security and reliability can be
effectively guaranteed based on the integrated
operation time decreasing in power supply network.
reference [1]. Luis et al presented an optimal
coordination model of directional protection[2].
However, these studies mainly focus on the
optimization of inverse-time relay and distance relay
protection, while for time-delay overcurrent
protection(TDOP) which is the common protection
used in distribution system, specifically in the
industrial enterprises power network[3], the reports are
few. This is because the pickup curve of TDOP is
discontinuous step type and the conventional
optimization techniques cannot be applied.
In this paper, optimal setting model of TDOP was
introduced and a new multi-parameter Co-evolutionary
Genetic Algorithm was proposed to solve the setting
model. Finally the proposed approach was verified in a
distribution system test.
2. Optimal model

1. Introduction The aim of relay optimal coordination is to

The main function of relay protection on power
system is to detect faulted parts and to remove them
selectively as fast as possible for the safety of people
and facilities. At present, the method of stepwise
cooperation and piecewise setting is employed for
setting calculation of relay protection. That is to say,
setting values are calculated and then the severest
value is selected as the ultimate operation setting. The
setting method is simple, but it is very difficult to get a
set of setting values concerning all coordination
protection relationship and impossible to realize the
optimal protection properties of the whole power
system. So the mal-operation or resist-operation of
breaker is often caused, which is a serious threat for the
production and personal safety.
The problem of determining the settings of relays
determine the most suitable settings that can meet the
basic requirements of sensitivity, selectivity, reliability,
and speed. Taking operation parameters of relay
protection as control variables and four basic
requirements as constraints of the objective function,
the optimal model of TDOP is presented as follows:
min[Z (s, p)] (1)
s∈S
Where z is a suitable performance index, s is the
protective device settings. The TDOP has two types of
setting: operation time t and operation current I , so
s = (t , I ) . S is the set of permissible settings, and p is
the perturbations or fault conditions. According to the
setting principles of TDOP, the three-phase faults are
generally selected to setting calculation. On the basis
of the physical meaning of basic requirements for relay

978-0-7695-3357-5/08 $25.00 © 2008 IEEE 8

DOI 10.1109/ICICTA.2008.217
protection [3], the following constraints can be
obtained.
(1) Interval constraint
ti.b − ti.m ≥ Δt
I i.m − I i.b ≥ ΔI
(2) Selectivity constraint
t i.b ≥ t (i −1).m + Δt
I i.b ≥ k rel I ( i −1).m
t i.b ≥ t (i −1).b
(3) Value range constraint
ti. min ≤ ti ≤ ti. max
I i. min ≤ I i
(4) Sensitivity constraint
I i(.2min
)
≥ k i .s I i
k i.s ≥ k (i −1).s
Where t i.m and t i.b are respectively the operation
time of main and backup protection of relay i ,
I i.m and I i.b are respectively the operation current of
main and backup protection of relay i , Δt and ΔI are
the time interval and the current interval between main
and backup protection, I i and ti are the operation
settings of relay i , I i. min and t i. min are respectively the
minimum value of the operation current and time
setting of relay i , I i . min equal to the maximum load
current flown through the relay where it locates,
I i(.2min
)
is the two-phase fault current, k i .s and k ( i −1).s are
the sensitivity coefficient of relay i and its adjacent
relay protection, t(i-1).m and t(i-1).b are the operation time
of main and backup protection of adjacent relay
protection, I(i-1).m is the operation current of adjacent
relay protection, k rel is the reliability coefficient.
Now, the optimal settings of TDOP can be
abstracted to a global optimal model with multi-
objective, multi-variable and multi-constraint but its
objective function cannot be explicitly expressed with
control variables. The fault parts should be removed as
fast as possible to prevent fault extension and even
explosion accident. So, the shorter operation time of
relay protection, the higher is the safety of the power
supply. In optimal settings of TDOP, the shortest
integral operation time of time-delay zones are taken as
an objective and the constraints are treated using
penalty function method[4]. The global optimal mode
for relay protection with single-target and multi-
constraint is defined as Eq.(6):
I J
min[ ∑∑ tij + α ∑ tint + β ∑ t sen + δ ∑ t sel ] (6)
(2) i j
Where t ij is the operation time of the j-th time-
delay zone of relay i , t int is the sum of the addition
time of interval constraint violation, t sen is the sum of
(3) the addition time of sensitivity constraint violation,
t sel is the sum of the addition time of selectivity
constraint violation, α 、 β 、 δ are respectively the
weight coefficient of interval constraint, sensitivity
constrain and selectivity constraint. The reliability of
(4)
relay protection, which is up to the quality of the
protection device and the level of operation and
maintenance, does not take into consideration in
(5) Eq.(6).
3. Optimization for protection settings
From the analysis in section 2, it can be found that
these constraints are simultaneously related to the two
setting parameters ( I and T ), which are totally
different in searching space and dimension and are co-
evolutionary with the characterization of reciprocity
and synchronism in the process of global searching. In
view of co-evolutionary relation in biologics or
biologics with environment[4], this paper presents a
new multi-parameter Co-evolutionary Genetic
Algorithm(CGA) to optimize the relay settings.
According to the co-evolutionary theory, two sub-
populations (sub-population I and sub-population T )
are established in the evolutionary population. The
searching process in the CGA model is shown as
follows: designing the sub-population I and the sub-
population T ; independently evolving using GA
operator in each sub-population; co- evolving with
cooperative operator between two sub-population.
3.1. GA operator
(1) Coding and Initialization. Constraint interval
coding is adopted to simplify the searching process.
Suppose a certain TDOP i ,which needs to co-ordinate
with its main protection, main protection and back-up
protection of adjacent zone. From the constraints
shown in Eq.(2)~(5), the coding space of sub-
population I can be divided into 5 sections shown in
figure1, and the coding space of sub-population T can
be divided into 4 sections shown in figure2. Have
every section coded with a binary character, then
connected all characters to form a gene code chain, or a
9
individual. A binary character valued 1 denotes that it
can meet the requirement of a certain constraint, while
valued 0 denotes that it cannot meet the requirement of
a certain constraint. Adopting the constraint coding
technique, the length of individual in sub-population
I is 5 bits (such as 11011) and the length of individual
in sub-population T is 4 bits (such as 1110).
(i-1).b (i-1).m i.m sen Δi
Figure1. Division of the space of sub-population I
i.m (i-1).m (i-1).b Δt
Figure2. Division of the space of sub-population T
In figure 1 and figure 2, (i-1).m and (i-1).b are
respectively the co-ordination with main protection and
back-up protection of adjacent zone, i.m is the co-
ordination with its main protection, sen is the co-
ordination guaranteeing sensitivity, ΔI and Δt are the
co-ordination guaranteeing interval.
For each individual represents a potential solution
of the optimization problem, it is advisable to generate
random initial population in the code scale from the
lower limit to the upper limit of setting parameters.
The number N of initial population should be
appropriately decided according to the scale of
(10~100).
(2) Fitness function. The fitness function is changed
from the objective function of the studied
problem[4].The fitness function value of each
individual is calculated to evaluate the searching
orientation in GA optimal process in the population.
The greater the value is, the better the quality of the
individual and the more suited will it be. The optimal
objective function in this paper is to meet the shortest
integral operation time and to meet the minimum
constraint violations. Eq.(7) is the fitness function for
sub-population I . And Eq.(8) is the fitness function
for sub-population T .
f ( I ) = 1 /[ α∑ t int + β ∑ t sen + δ ∑ t sel ]
f ( I ) = 1 /[ α ∑ t int + δ ∑ t sel ]
(3) Genetic Operation. By applying genetic
operation, such as duplication, cross and mutation, the
fitness function value of individual is improved
gradually. According to the proportional fitness
assignment method[4], the higher probability of fitness
function value is, the greater of the individual
duplication is. The duplication probability of a certain
individual is defined as Eq.(9).
m mine power network which consists of 14 relay
pi = fi / ∑ fi
i =1
Where f i is the fitness value of a certain individual.
Once pi > (0.6 ~ 0.7) , the individual is duplicated.
Cross and mutation operation is performed when
fitness function value tends to be steady in the iterative
max-step number. When pi is lower 0.005 , mutation
is taken place. And the cross probability is usually set
to the scale of (0.25 ~ 0.1) .
3.2. Cooperative Operator
The sub-population I and sub-population T are
independently evolved, so the searching is performed
in the two distinct areas. Co-evolving is guaranteed by
cooperative operator, which exchanges information
between the two sub-populations. Cooperative operator
is defined by Eq.(10).
I J
f co = 1 /[∑∑ t ij + γ ∑ t I + λ ∑ t T ]
(10)
i j
Where f co is cooperative operator, t I and t T are
the optimum solutions of sub-population. γ 、 λ are
respectively the weight coefficients.
4. Weight coefficients discussion
The weight coefficient( γ or λ ) is the proportion of
optimal solution for the sub-population( I or T ) in the
cooperative operator. The value of coefficient( γ or λ )
is inversely proportional to the density operator which
is defined as a measurement for searching space where
no other individuals around a individual l in the sub-
population. The density operator is write as Eq.(11).
N
ϕ（ l） = ∑ ξ l
i =1
(11)
min[ f (m) − f (n)]
ξl =
max[ f (m) − f (n)]
(7) Where ϕ (l ) is the density operator, ξ l is the crowd
(8) space, f (m) and f (n) are the fitness function of the
individual m and n near the individual l . f (l ) is the
fitness function of the individual l . The relation of
them is presented as follows: f (m) > f (l ) > f (n) .
5. Test case
The proposed methodology in the paper was applied
to the system shown in figure 3. This is the typical
(9) protections. The optimal setting values of 1-14 time-
delay protections are calculated using the new method.
10
When any constraint can not be met, 0.2s will be added
as a penalty. The time interval is set as 0.3s. 4.5

4
1 2 3 6 7 14 13

3.5

4 5 8 9 10 11 12
3

Figure3. Diagram of power supply system 2.5

100 200 300 400 500 600 700
Applying the new method, the settings of CGA are
listed in Table1. And the relation between the objective Figure4. Diagram of fitness and generation number
value of individuals in each generation and the
number of generations are shown in figure4.
Table 1. Main settings of CGA
Population size Duplication probability Cross probability Mutation probability Max-step α δ β
30 0.6 0.35 0.001 700 0.6 0.4 0.2

Table2. Coordination results with CGA

Relay NO. 1 2 3 4 5 6 7 8 9 10 11 12 13 14
Operation time(s) 0.4 0.4 0.4 0.7 0.7 0.6 1.6 0.9 1 1.2 0.7 0.9 1.2 1.4

Table 3. Coordination results with traditional method

Relay NO. 1 2 3 4 5 6 7 8 9 10 11 12 13 14
Operation time(s) 0.4 0.4 0.5 1.2 1.6 1.2 1.2 1.2 1.6 2 2.4 1.8 2 1.6

Table 2 and Table 3 show the setting results using
the proposed new method and traditional method
respectively. From the results of Table 1 and Table 2, it
can be found that the integrated operation time of
remove fault parts is reduced 39 percent compared with
that using the traditional method.
6. Conclusions
The optimal model for the TDOP system is
established. A new CGA method is proposed in order
to obtain the model solutions. With the good
parallelization and immune to the local optimal, the
CGA can simplify the solving process and meet the
requirement of the discontinuous step-type curve of
TDOP. According to the control variables in the model,
this method divides the initial population into the two
sub-populations and the evolving process is performed
based on the co-ordination of genetic operator and
cooperative operator. With the CGA, the setting model
proposed overcomes the flaw of the traditional method
and obtains the optimal parameter configuration
scheme. Security and reliability can be effectively
guaranteed due to the integrated operation time
decreasing in power supply system. The further
research is to determine the value of the weight
coefficients ( α , β and δ ) in the model.
7. Acknowledgment
The authors gratefully acknowledge the financial
support of Cultivation Science & Technology
Foundation of Xi’an University of Science and
technology (NO. 200625).
8. References
[1] ALBERTO J.U., RAMON N., and LUIS G.P.J., “Optimal
coordination of directional overcurrent relays in
interconnected power systems”, IEEE Trans on Power
Delivery, 1988, 3(3), PP. 903-911.
[2] LUIS G.P.J., and ALBERTO J.U., “Optimal coordination
of directional overcurrent relays considering definite time
backup relaying”, IEEE Trans on Power Delivery, 1999, 14
(4), PP. 1276-1284.
[3] LIU Xuejun, Principle of Relay Protection, China Electric
Power Press, Beijing, 2006.
[4] WANG Xiaoping, and CAO Liming, Theory, Application
and Software of GA, Xi’an Jiaotong University Press, xi’an,
2002.

11
 2008 International Conference on Intelligent Computation Technology and Automation

A Study of Compulsive Genetic Algorithm and Its Performance

Pan Lei Gu LiangXian Gao Yuan

College of Astronautics,
Northwestern Poly-technical
University, Xi’an ShaanXi,
China, 710072
dongeast007@hotmail.com
College of Astronautics,
Northwestern Poly-technical
University, Xi’an ShaanXi,
China, 710072
gulx@nwpu.edu
College of Astronautics,
Northwestern Poly-technical
University, Xi’an ShaanXi,
China, 710072
gaoyuannwpu@163.com

Abstract generations are generated. The representations of this

The convergence and local research ability of
Genetic Algorithm is a well concerned research field in
recent years. New evolution law of species is
introduced in the paper, and based on the new
evolution law, compulsive operator was introduced
and a new Genetic Algorithm – Compulsive Genetic
Algorithm (CGA) was proposed to improve the
convergence of GA. CGA takes advantage of the fitness
of current and past generations to create an
approximation of the evolution process, identify the
evolution direction and improve their evolution
progress, which will accelerate the convergence of GA.
Two experimental examples were computed to test the
convergence and local research ability of CGA. The
experimental results show that CGA is of good
convergences and good local research ability.
1. Introduction
Since the Genetic Algorithm was first introduced by
Pro J. Holland of Michigan University in 1992, the
research of GA has become an important field of
optimization, and GA has now been a widely used
optimization method. There are many improved
methods of GA, and the original GA method is usually
called Simple GA (SGA) for the sake of distinguishing
different methods. However, all these methods may be
classified into four categories [1, 2]:
1) Research on the parameters of the GA. Some
researches concentrate on the optimization of the
parameters, and some suggests making the parameters
a variable that changes according to the progress of the
GA. The typical methods of this category are
optimizing the operators of GA, changing the fitness
scaling method of GA and so on [3, 4].
2) To change the way how the operators work.
Usually, these methods change the way how the next
method are differential GA [5], heuristics GA [6].
3) To introduce new operators according to the
law how the society and culture evolve. The
representations of this category are Immunity GA,
Small tether GA and so on [7].
4) To set the step and search direction of GA
according to the knowledge of the target problem or
some heuristic knowledge. The representation of this
method is mixed GA. The mixed GA combines the
traditional optimization method based on gradient with
the GA, which effectively improves the local research
ability of GA and the GA convergence [8, 9]
The first consideration of all the improvements is
the convergence of GA, and then the local research
ability. This paper introduces a compulsive GA
(CGA). It is a combination of the second and third
category. A compulsive operator is designed based on
the evolution law, and the flow of CGA is discussed.
Examples of GA and CGA are given to compare the
convergence and local research ability of these
methods. The result show that the CGA has better local
research ability and converge faster.
2. The biologic foundation of CGA
The evolution direction of species is to fit the
environment better. In genetic algorithm, it’s measured
by the fitness. An important question is, can species
improve their fitness to certain environment infinitely?
In his Evolution Theory of the Universe [10], Mr. Tao
Tong points out that species evolve because the
universe is also evolving, and the evolution of the
universe is the impetus of the evolution of species. If
the universe didn’t evolve, that’s to say, species will
stop evolve at certain level.
During a small period of evolution, the evolution of
the universe/environment is so tiny that it can be

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DOI 10.1109/ICICTA.2008.200
neglected. Then, under such environment, the 4) To every individual xs , find the individual
evolution direction of species will be simple: to fit the
environment best. And then, the direction of species xa that is closest to it among the current individual,
may be found by comparing the species of different compare their fitness and modify xs according to the
generations. In order to get the best species under this
environment, compulsive evolution may now be follows:
introduced: drive the species to evolve at a larger step xs' = xs + λ ( f ( xs ) − f ( xa ) ) (2)
towards their evolution direction. Actually, gene
5) Return all the na new individuals that
modification technology may be considered as kind of
generated in step 4. Add these individuals to the next
compulsive evolution: find the direction of evolution,
generation.
and then enlarge the evolve step.
The flow of compulsive operator is shown in the
The process of finding the best species of the
following:
whole evolution progress is the process of finding the C a lc u la te n a
Because the
best species under current environment and the
new compulsive S e le c t n a in d iv id u a ls
evolution of environment. To find the best species
operator takes the
under current environment, compulsive evolution may C a lc u la te s te p ?
advantage of the
be introduced to accelerate the evolution. After getting
fitness of the group
the best species under certain environment, the S e le c t a n in d iv id u a l
to find the potential
evolution of environment may be taken into count.
optimum individuals, L o o k fo r th e c lo s e s t
And this process repeats until it converges. in d iv id u a l
the CGA can
The Compulsive GA (CGA) may be described as
perform local C o m p a r e fitn e s s a n d
follows: calculate the evolution direction of the species c h a n g e th e in d iv id u a l
research effectively.
according to its fitness, and then enlarge the step of
It can be concluded N H a s a ll th e n a in d iv id u a ls
evolution to accelerate the evolution velocity by the
that if there are many b e e n s e le c te d ?
compulsive operator.
different optimums Y

in the problem, the R e tu rn th e n e w g ro u p

3. Compulsive operator and Compulsive CGA will keep
GA. generating not so good Figure 1. The flowchart
children and then be of compulsive operator
In SGA, the first step is to initialize the weights of trapped. However, if
reproduction, crossover and mutation, and then the there are only a few optimums, then the CGA can
children are generated according to the given weights. quickly find an optimum point and converge quickly.
For this reason, the children are generated only by Both being good at local search, the CGA and
these operators: reproduction, crossover and mutation. Mixed GA are quite different in many facets:
As the SGA, the weights of different operators have to 1) The biological foundation of CGA is that
be initialized first as well. The difference is that there species under certain environment is evolving towards
is another operator: compulsive operator. It’s necessary a certain direction, but there is not a biological
to initialize the weight of compulsive operator too. foundation for Mixed GA.
After initialization, then the algorithm may advance 2) There is a new operator in CGA, compulsive
with the given weight. The compulsive operator may operator, and this operator has a weight. But there is
be described as follows: not such an operator in Mixed GA, and no weights
1) Calculate the number of the children na need to be initialized.
produced by the compulsive operator according to the 3) The CGA takes the advantage of the fitness of
given weight; the group, while Mixed GA does not.
2) select na individuals from current generation;
3) Set the step λ according to the follow 4. Experimental Results
formula:
xb − xw Two classical functions are optimized
λ= (1) respectively by SGA and CGA to evaluate the
f ( xb ) − f ( xw ) performance of CGA. The functions are proposed for
Where xb and xw are respectively the best and testing constrained global optimization algorithms [11,
12]. Example 1 is an example with a few optimum
worst individual among the na individuals, and f ( xb ) points and Example 2 is an example with many
and f ( xw ) are the relevant fitness. optimum points.

13
 The convergence process of best fitness
-1.01

4.1. Example 1 CGA Best Fitness

SGA Best Fitness

-1.015

This example test the performance of CGA with

-1.02
the Six-hump Camel Back Function, the function is

Fitness
shown as follows: -1.025

⎛ x4 ⎞
f ( x, y ) = ⎜ 4 − 2.1x 2 + ⎟ x 2 + xy + ( 4 y 2 − 4 ) y 2
⎝ 3⎠ -1.03

s.t. − 3 ≤ x ≤ 3, −2 ≤ y ≤ 2 (3) 0 10 20 30 40 50 60

There are six local minimum points and two Generation

global minimum points in this function. The two global Figure 2 Convergence process of the fitness of the best
minimum points are (-0.0898, 0.7126) and (0.0898, - individual of each generation
0.7126), the minimum value is -1.031628. The aim is
to estimate the ability of the algorithm of local
research.
CGA and SGA are respectively adopted to
optimize this function. The selection operator of SGA
is Roulette selection, crossover operator is two points
crossover, and the mutation operator is adaptive
operator. The initial population size is 100, crossover
fraction is 0.8., and the termination condition is that the
difference of fitness between two generations is less
than 10-3. The CGA takes the same population as SGA,
and the crossover fraction is 0.7, the compulsive Figure 3 Convergence process of mean fitness of each
fraction is 0.1, that’s to say, 10 percent of the children generation
are generated by the compulsive operator.
The followed figure shows the convergence
process of SGA and CGA during one optimization.
Figure 3 is the convergence process of the fitness of
the best individual, and figure 4 is the convergence
process of the mean fitness of one generation.
Figure 2 shows that the CGA can find the best
individual more quickly than the SGA. After the tenth
generations, CGA began to research nearby the
optimum solution. Figure 3 shows that the mean fitness
of the CGA is also better than SGA, it also improves
very quickly.
GA is a kind of random search method, usually, Figure 4 Fitness of the best individual in each repeat
one computation can hardly prove the performance of
an algorithm. The optimization was repeated 100 times
then to check the GA performance. And the followed
figures show the results of the 100 repeats. Figure 4
shows the fitness of the best individuals found by
different algorithm in different repeat. Figure 5 shows
the mean fitness of the last generation of different
repeat.

Figure 5 Mean fitness of the last generation in each

repeat
Figure 4 shows that the CGA can find the best
individual most of the times, however, SGA will

14
sometimes converges to a local optimum solution. fitness of the best individuals found by different
Also, figure 5 shows that the mean fitness of the last algorithm in different repeat.
generation of CGA is usually better than those of SGA. 3
Convergence Process of Best Fitness

CGA
That’s to say, CGA can improve the fitness of the 2.5
SGA

group better than SGA.

Table 1 shows the convergence generations of the 2

Best Fitness
100 repeat. It shows that the mean convergence 1.5

generation of CGA is about 6 generations/10 percent 1

less than the SGA, that is to say, the CGA convergence

0.5
faster than the SGA.
Table 1 Termination generation frequency of CGA and 0
0 10 20 30 40 50 60
Generations
SGA
Gen
*
SGA CGA Gen
*
SGA CGA Figure 6 Convergence process of the fitness of the best
individual of different generations
54 3 0 48 0 1 Convergence process of mean fitness
30
53 7 0 47 0 5 CGA
SGA

52 12 0 46 0 27 25

51 45 0 45 0 51 20

Mean Fitness
50 31 0 44 0 12 15

49 2 1 43 0 3 10

mean 51.0 44.4 5

*: The termination generation of one repeat

0
0 10 20 30 40 50 60
Generations

4.2. Example 2 Figure 7 Convergence process of mean fitness of the

individual of each generation
This experimental example tests the performance 14
The mean fitness of the last generation in 100 repeat

CGA
of CGA when there are many local optimum points. 12
SGA

The Rastrigin function was used. The function is given 10

as follows:
f ( x) = 20 + x12 + x22 −10( cos2π x1 + cos2π x2 )
8
M ean Fitness

−10 ≤ x1, x2 ≤ 10 (4) 4

2
There are many local optimum points in this
0
function, and the only global optimum function is got 0 10 20 30 40 50
Repeat time
60 70 80 90 100

at point [0, 0], correspond function value is 0.
CGA and SGA were used to optimize this
function respectively, and the parameters of CGA/SGA
were the same as experimental example 1. The
following figure shows the convergence process of
SGA and CGA. Figure 6 illustrates the convergence
process of mean fitness of the individual of each
generation. Figure 6 shows that the CGA converges
more slowly than the SGA at the beginning, but it
converges faster after 20th generation. And it
terminates at almost the same generation as SGA.
Figure 7 shows that the mean fitness of CGA
converges after the 25th generation, that is to say, the
CGA is possibly trapped in a local optimum solution.
However, the group of CGA is still better than the
group of SGA.
The optimization also was repeated 100 times
then. And the followed figures show the results of the
100 repeats. Figure 8 shows the mean fitness of the last
generation of different repeat. Figure 9 shows the
Figure 8 Mean fitness of the last generation in each
repeat
Figure 8 shows that the mean fitness of CGA is
better than the SGA. Most of the time, the mean fitness
of the last generation of SGA is higher than the CGA.
However, figure 9 shows that sometimes the CGA will
converge to a local optimum point. Although SGA will
also converge to a local optimum point, it does not
happen frequently. Fortunately, the global optimum
points found by CGA is better than those found by
SGA. And the mean fitness of the best individuals
found by CGA is better than SGA.

15
 7
x 10-3 The fitness of the best individuals of 100 repeat If the fraction of mutation is large enough, the
CGA best fitness
SGA best fitness
CGA will probably not be trapped in local optimum
6
solutions. Further research on this facet will be carried
5
out.
4
fitness

3 6 References
2
[1] Wu JiaYing, Zheng JinHu, “Research and Developmental
1
Trend for Genetic Algorithms”, Journal of Hengyang
0 Normal University (Natural Science), March 2003. Vol. 24,
0 10 20 30 40 50 60 70 80 90 100
Repeat Time pp. 30-33
Figure 9 Fitness of the best individual in each repeat. [2] J. Holland. Adaptation in Natural and Artificial System.
Table 2 shows the convergence generation of the MIT Press, Massachusetts, 1992.
100 repeat. The table shows that the mean generations [3] T. Zhang, H.W. Wang and Z.C. Wang, “Mutative Scale
chaotic optimization algorithm and its application”, Control
of CGA and SGA are similar, but CGA still converge a
and Decision, March 1999 Vol. 14, pp. 285-288,
little faster than SGA. [4] Takatoshi Yamagishi, Takehiko Tomikawa, “A Study of
Table 2 Termination generation frequency of CGA and Line-Fitting Method by Using Genetic Algorithm”, Journal
SGA of Robotics and Mechanics, July 1995 Vol.1 pp. 86-90
Gen* SGA CGA Gen* SGA CGA [5] Storn R. “Differential Evolution Design of an IIR-filter”,
60 2 0 54 1 2 Proc IEEE Conf Evolutionary Computation. Nagoya, Japan:
59 1 0 53 0 32 IEEE, 1996. pp. 268-273.
[6] Semya Elaouda, Taicir Loukila and Jacques Teghemb,
58 21 0 52 0 53
“The Pareto Fitness Genetic Algorithm: Test Function
57 37 0 51 0 10 Study”, European Journal of Operational Research, Nov
56 36 0 50 0 3 2007, No. 177, Vol. 3, pp. 1703-1719
55 2 0 mean 56.9 52.2 [7] B. Manderick, M. de Weger and P. Spiessens. “The
*: The termination generation of one repeat Genetic Algorithm and the Structure of the Fitness
Landscape”, 4th International Conf. on Genetic Algorithms,
Aug 1991, pp. 143-150.
5. Conclusion [8] Raymond R. Hill, “A Monte Carlo Study of Genetic
Algorithm Initial Population Generation Methods”,
Compulsive operator was introduced and its Proceedings of the 1999 Winter Simulation Conference, P.
biological proof was discussed. Based on this, A. Farrington, 1999: pp. 543-547
Compulsive Genetic Algorithm was proposed by [9] Miki Mitsunori, Hiroyasu Tomoyuki and Nakamura
introducing a compulsive operator in Simple Genetic Yasunori, “A Study on Parallel Distributed Genetic
Algorithms”, Transactions of the Japan Society of
Algorithm. Discussion shows that compulsive operator
Mechanical Engineers, May 2000, No.66 Vol.645, pp.: 972-
can accelerate the convergence of GA, and local 977
research ability may be improved by the compulsive [10] Tao Tong, The Evolution of the Universe, BeiJing:
operator. The experimental results show that: Economic Daily Press, 2002.
1. CGA converges faster than the SGA. No [11] Floudas C A, Pardalos P M. A Collection of Test
matter it converges to a local optimum solution or a Problems for Constrained Global Optimization Algorithm.
global optimum solution, CGA always converges LNCS, Springer Verlag, 1987, Vol. 455, pp. 92-99
faster. [12] Hock W, Schittkowski K. Test Examples for Nonlinear
2. CGA converges much faster in a problem Programming Codes. Lecture Notes in Economics and
Mathematical Systems, Spring Verlag, 1981, Vol. 187, pp.
with a few optimum solutions, and when there is lots
53-60
of optimum solutions, CGA may some times be
trapped into local optimum solutions.

16
 2008 International Conference on Intelligent Computation Technology and Automation
AGC Unit Selection Based on Hybrid Particle Swarm Optimization
Zhang Tao Cai Jin-ding
College of Electrical Engineering and Automation, Fuzhou University, P.R.China, 350002
E-mail:zhangtao@fzu.edu.cn
Abstract
AGC unit selection problem has been getting more
attention due to economical operation of the power
industry. This problem is formulated as a constrained
nonlinear mixed integer programming problem with
variable unit regulation capacity. Due to the problem
including continuous and integral variables, it is difficult
to solve the problem using integer programming. PSO has
been successfully applied to a wide range of applications,
mainly in solving continuous nonlinear optimization
problems. Therefore, this paper presents an improved
hybrid PSO algorithm to solve the AGC unit selection
problem. And then a novel PSO algorithm using dynamic
inertial weight was introduced, which enhanced the
global search ability of the algorithm and improved its
convergence speed. The hybrid algorithm was
successfully validated for a test system consisting of 15
units. Numerical simulation results show that the
improved hybrid PSO algorithm outperformed standard
PSO algorithm and genetic algorithm on the same
problem and can save considerable cost of AGC ancillary
service. It is concluded that the algorithm is supposed to
be an effective way to deal with the optimization problems
in the power market, and has a wide potential application
in power system planning and operation.
1. Introduction
Power generation companies are independent
economic entities in power market. They are certainly
unwilling to supply ancillary services without
compensation. Therefore, it is necessary to change the
objective of power grid AGC ancillary services
correspondingly. The current objective of the AGC unit
selection problem, which is a nonlinear mixed integer
programming problem, is to select the AGC unit so as to
meet the demand of frequency modulation at the lowest
AGC ancillary service cost possible while satisfying all
unit and system constraints[1-2].
At present, there are two relevant prices to be paid to
generators. One is the price paid for service capacity and
the other is the price paid for energy that is dispatched
under defined condition [3-4]. A framework of AGC unit
selection on the generation-sided power market was
introduced, and established integer linear programming
978-0-7695-3357-5/08 $25.00 © 2008 IEEE
DOI 10.1109/ICICTA.2008.254
model of AGC unit selection in the literature [5]. This
problem has been formulated as a constrained nonlinear
mixed integer programming problem with continuous
variables and integer variables [3]. Such these models can
meet the operational actual demands and decrease
ancillary service costs of AGC unit selection. AGC unit
selection problem can be solved by integer programming.
However ， when AGC unit regulation capacity is
unfixed, it is difficult to provide an optimal solution based
on the integer programming.
Recently, PSO algorithm based on swarm searching
intelligence theory has been given much attention by
many researchers due to their ability to find an almost
global optimal solution. Therefore, this paper propose that
the improving hybrid PSO solving for AGC unit optimal
selection model [6-7].
2. Mathematical model
When AGC unit regulation capacity is unfixed, AGC
unit selection can be expressed as follows [1-3]:
n
min F , F = ∑ CiQi X i (1)
i =1
n
s.t.∑ Qi X i ≥ Q AGCneed (2)
i =1
n
∑V upi
X i ≥ VAGCupneed (3)
i =1
n
∑V
downi
X i ≥ VAGCdwonneed (4)
i =1
Qi max ≥ Qi ≥ Qi min (5)
Where: Ci is average electricity price of AGC unit i
corresponding to 48 basis points on that day
(Yuan/MWh); Qi is regulation capacity of AGC unit
i(MW); Xi represents integer 0 or 1; when AGC unit i is
assigned to regulate system frequency and (or) power of
contact line,Xi=0; otherwise Xi=1;Vi is regulation speed
of AGC unit i (MW/Min); Qimax and Qimin are,
respectively, the output of the minimum and maximum
regulation capacity of AGC unit i (MW); QAGCneed is the
total regulation capacity (MW) of AGC system; VAGCupneed
and VAGCdownneed are , respectively ,demands of the
17
upwards and downwards regulation speed (MW/min);
Vupi and Vdowni are upwards and downwards regulation
speed of AGC unit i, respectively (MW/min).
Of the above-mentioned mathematical model, equation
(1) shows the cost function of selected AGC units is the
lowest; equation (2) is the total regulation capacity
constraints; equation (3) and equation (4) are the total
regulation speed constraints. Equation (5) is range of
regulation capacity of AGC unit i.
The penalty-based method can be handled the
constraints relating to the problem. So, fitness function of
PSO mathematical model can be expressed as follows:
n The inertia weight ( ω ) can control the global and
min F ( X ), F ( X ) = ∑C Q X i i i
+ σ P ( X ) (6)
i =1
m
P( X ) = ∑ [max{0, − g ( X )}] i
α
(7)
i =1
Where: σ is punishment coefficient; P ( X ) is the
penalty function; m = 2, corresponding parameters for
constraint conditions the total regulation capacity and
regulation speed of units.
3. Implementation of hybrid PSO
3.1. Standard particle swarm optimization
PSO is a robust stochastic optimization technique
based on swarm intelligence, which implements the
simulation of social behavior. Where each member is seen
as a particle and each particle is a potential solution to the
problem. Each particle in PSO has a randomized velocity
associated to it, which moves through the search space of
the problem looking for the best solution. Every particle is
affected by three factors: its own velocity, the best
location it has achieved so far called pbest and the overall
best location achieved by all particles called gbest. The
process for implementing the PSO as in [8] is as follows:
V k +1i ,d = ω × V k i ,d + ϕ1 × r1 × ( pbesti ,d
− x k i ,d ) + ϕ 2 × r2 × ( gbesti − x k i ,d ) (8)
x k +1i ,d = x k i ,d + V k +1i ,d (9)
where i=1,2,…,D indicates the number of particles of
population; k=1,2,…kmax , indicates the iterations, ω is a
parameter called the inertia weight;
Vi = [Vi1 ,Vi 2 ,...,Vid ] stands for the velocity of the i-th
particle, X i = [ X i1 , X i 2 ,..., X id ] stands for the position
of the i-th particle of population,
pi = [ pi1 , pi 2 ,..., pid ] represents the best previous
position of the i-th particle. Positive constants ϕ1 and
ϕ 2 are the acceleration constants responsible for varying
the particle velocity towards pbest and gbest, respectively.
Index gbest represents the index of the best particle
among all the particles in the swarm. Variables r1 and r2
are two randomly generated numbers in range [0, 1].
Equation (9) represents the position update, according to
its previous position and its velocity. Particle velocities in
each dimension are clamped to a maximum velocity Vmax.
If the sum of accelerations causes the velocity in that
dimension to exceed Vmax, which is a parameter specified
by the user, then the velocity in that dimension is limited
to Vmax. Generally we set the Vmax to 20% of variable
range in each dimension.
local search behavior of the PSO algorithm. Due to its
importance, a dynamic variation of inertia weight as in [9]
is proposed by linearly decreasing ω as shown in
equation (10).
ω k = (ωini − ωend )k / k max + ωend (10)
Where ωini and ωend are initial and final weight,
respectively; k and kmax are current and maximum
iteration number respectively. The inertia weight ω is
decreased linearly from about 0.9 to 0.4 during a run in
PSO. The PSO with linearly decreasing ω can improve
convergence speed and precision. However, the ω only
changes with the number of iterations linearly, which can
not meet complex nonlinear optimization.
3.2. Improved particle swarm optimization
Standard PSO is easy to trap into local extremum, and
its convergence speed is lower and the precision is worse
in the late evolution. Aiming at these disadvantages, it
was modified by means of restricting the search space in
this paper. If the limits of positions are violated, then they
are replaced by the respective limits [7].
Moreover, a PSO algorithm with dynamic inertia
weight was introduced and named dynamic ω PSO as
DCW PSO, which takes advantage of the self adaptation
inertia weight idea [10]. Dynamic ω can dynamically
change in accordance with measure function of PSO
performance.
Two variables were defined in DCW PSO. e is
particle evolution degree and a is particle polymerization
degree.
e = Pgbest ( k ) / Pgbest ( k −1) (11)
Where: Pgbest ( k −1) , Pgbest ( k ) are the previous iteration of
the global optimal value and the current the global
optimal value respectively. To a certain extent, these
and parameters can show evolution degree of particle swarm
speed.
Psize
a = Psize ∗ Pgbest ( k ) / ∑ Pibest ( k ) (12)
i =1
18
 Psize are calculated using equation (11), (12) and (13),
Where: Psize is particle number, ∑ Pibest ( k ) is the all respectively.
i =1 Step7) If the terminate criterion are satisfied, printing
particles’ fitness of current iteration. The parameter shows optimal solution. Otherwise update iteration counter and
its concentration-dispersion properties of the current go to Step2.
particle swarm.
The ω decreased with increasing evolution degree, 4. Example
and raised with increasing polymerization degree.
Therefore, dynamic ω can be expressed as shown in (13). This paper takes example for a test system consisted of
ω = f ( e, a ) = ω0 − 0.5 ∗ e + 0.1 ∗ a (13) 15 AGC units of generation. In this case study, the
regulation capacity demand expected was SAGCmax =
Where, ω0 is the initial value of inertia weight, which 133MW, regulation speed demand expected was VAGCmax
generally equal 0.9. The performance of PSO algorithm = 33MW/min; and other parameters as shown in Table 1.
can be improved by dynamically changing ω , in These data are also available in [3] and [6]. The
accordance with e and a value running in the process improving hybrid PSO algorithm is simulated by C++
[10] program language (Visual C++ 6.0). It was successfully
.
applied to resolve the problem of example data in Table1.
3.3. Binary particle swarm optimization In this case study, the population size D was 20 and the
Standard PSO is used in real continuous space; terminate criterion tmax was 500 generations for the
however, there are a lot of practical problems in the modified hybrid PSO approach (using ϕ1 = ϕ 2 =2.05).
combinational optimization. For binary discrete search
The ω0 is 0.9 during a run in modified hybrid PSO.
space, Kennedy and Eberhart [11] have adapted the PSO
to search in binary spaces. It can be formulated as follows: The results obtained of 50 independent runs shows
that the modified PSO succeeded in finding the best
S (Vid ) = 1/(1 + exp(-Vid )) (14)
solution for the tested system.
⎧⎪ xid k = 1 if ( rand () < S (Vid ) ) Table 1. AGC unit regulation indices and their bids
⎨ k (15)
⎪⎩ x id = 0 otherwise Regulation
Regulation Regulation
Price
Unit Capacity Capacity
Where: equation (14) is a sigmoid transformation of Speed (Yuan/
name Lower- Upper bound
(MW/min) Mw·h)
the velocity component, which can compress velocities in bound (Mw) (Mw)
a range [0, 1], and force the component values of the 1 5 17 34 126.7
2 5 17 34 126.7
positions of particles to be 0 or 1. The equation for 3 5 17 34 126.7
updating positions (9) is then replaced by (15). 4 6 17 34 126.7
5 5 17 34 126.7
3.4. The procedure of hybrid PSO 6 5 17 34 126.7
7 4 17 34 196.87
Since the control variables of AGC unit selection not 8 4 27.5 55 196.945
only have continuous variables Qi, but also discrete 9 4 27.5 55 278.05
variables Xi (0-1). The problem can be solved by using 10 2 27.5 55 293.995
hybrid PSO which combined standard PSO and Binary 11 4 27.5 55 264.82
12 3 28 56 210
PSO algorithm. The procedure of hybrid PSO technique 13 2 28 56 127.09
can be expressed as follows: 14 3 18 36 127.04
Step1) Generate randomly n particles, initialize their 15 3 18 36 127.04
positions and velocities within their specified range.
Table 2, 3 compares the results obtained in this paper
Step2) Evaluate fitness of each particle (pbesti) using
with other studies reported. The results of genetic
the objective function and store the particle with the best
algorithm and integer programming are 16870.2 and
fitness (gbest) value.
30526.8 Yuan in the literature [3] respectively, while the
Step3) Update the velocities using equation (8).
minimum cost obtained is 16859.30 Yuan using hybrid
Step4) Update positions of particles using equation (9)
PSO in each run. It is indicated that the result reported
and (15), respectively.
here using hybrid PSO is comparatively lower than recent
Step5) Check the limits of velocities (8) and positions
studies presented in the literature. Therefore, it showed
(9). If the limits are violated, then they are replaced by the
that the improved hybrid PSO algorithm can save
respective limits.
substantial AGC ancillary service costs compared with
Step6) Particle evolution degree e , particle
other methods such as integer programming, PSO and
polymerization degree a and dynamic inertia weight ω
genetic algorithm.

19
 Table 2. AGC service selection results

Improved HPSO Genetic Algorithm

6. References
Unit Participation Participation
Selection Selection
[1] Xiao Baoling, Zhao Qingbo et al., “Discussion on the Pattern
name Regulation Regulation of Competitive Trade in the AGC Ancillary Service Market”,
Result Result
Capacity Capacity Modern Electric Power, 2004.21(2):81-86.
1 17.00 1 17 1
[2] Ding Junwei ， Shen Yu ，Xia Qing et al., “Competition
2 20.50 1 17 1
models for automatic generation control in deregulated power
3 17.00 1 17 1
systems”, Journal of Tsinghua University (Science and
4 17.00 1 17 1 Technology), 2003, 43(9):1191-1194.
5 17.00 1 17 1
6 17.00 1 17 1 [3] Li Weidong,Wu Haibo,Wu Yaguang ,Zhang Rui ,Jin
7 0.00 0 24 0 Zhonghe. “Application of Genetic Algorithm to AGC Service
Dispatch in a Deregulated Power System”, Automation of
8 0.00 0 40 0
Electric Power Systems, 2003, 27(15):08-10.
9 27.50 1 30 0
10 0.00 0 42 0 [4] Cheung Kwok W, Shamsollahi Payman，Sun David，et al.
11 0.00 0 38 0 “Energy and Ancillary Service Dispatch for the Interim ISO
12 0.00 0 48 0 New England Electricity Market”,IEEE Trans on Power
13 0.00 0 30 0 Systems, 2000, 15(3):968-974.
14 0.00 0 23 1
[5] Wu Yaguang, Li Weidong et al., “Framework of AGC Unit
15 0.00 0 25 1 Selection on the Generation-Sided Electricity Market”,
Automation of Electric Power Systems, 2003, 27(2):37-40.
Table 3. Comparison of the results by PSO algorithm,
Genetic algorithm and integer programming methods
[6] Wang Yanjun, Fang Dazhong, “Research on AGC unit
Total Total dispatch based on particle swarm optimization algorithm”,
Total
Algorithm Regulation Regulation Relay, 2007, 35(17):58-61.
Cost
Capacity Speed
Integer Programming[3] 240.00 34 30526.8 [7] Zhang Tao, CAI Jinding. “Application of Improved Particle
Genetic Algorithm[3] 133.08 35 16870.2
PSO [6] 133.06 35 16870.0
Swarm Optimization in Power Purchase Model Optimization
Improved HPSO 133.00 35 16859.3 Problem”, High Voltage Engineering, 2006, 32(11):131-134.

[8] Kennedy J, Eberhart R. “Particle Swarm Optimization”,

5. Conclusion
The contribution of this paper is blending standard
PSO with dynamic inertia weight and BPSO. The hybrid
methodology, which enhances the global search ability of
the algorithm, was successfully validated for a test system
consisting of 15 units. Numerical simulation results show
that the improved hybrid PSO algorithm has significant
advantages both in global convergence speed and
convergence precision compared with PSO algorithm.
Moreover, it is capable of obtaining higher quality
solution efficiently and also saves considerable cost
compared with other optimization methods. Due to the
powerful search ability of modified hybrid PSO, it is
supposed to be an effective way to deal with the
optimized issue and has a wide potential application in the
power market.
Proceedings of IEEE International Conference on Neural
Networks, 1995, 4:1942-1948.
[9] Eberhart R, Shi Y. “Comparing Inertia Weights and
Constriction Factors in Particle Swarm Optimization”.
Proceedings of the Congress on Evolutionary Computing, 2000,
84-88.
[10] Zhu Xiaoliu, Xiong Weili, Xu Baoguo. “A Particle Swarm
Optimization Algorithm Based on Dynamic Inertia Weight”,
Computer Simulation, 2007, 24(5): 154-157
[11] J. Kennedy and R. C. Eberhart, “A Discrete Binary Version
of the Particle Swarm Algorithm”, Proc. of the conference on
Systems, Man, and Cybernetics SMC97, pp.4104-4109, 1997.

Acknowledgement
The paper is supported by Natural Science Fund
Projects in Fujian province under Grant No. 2007J0017
and Education Department Science Fund Projects in
Fujian province under Grant No. JB06045.

20
 2008 International Conference on Intelligent Computation Technology and Automation

An Improved Particle Swarm Optimization Algorithm for Unit Commitment

Wei Xiong1, Mao-jun Li1, Yuan-lin Cheng2

1. School of Electrical & Information Engineering, Changsha University of Science and
Technology, Changsha 410076 China
2. Hunan Electric Power Design Institute, changsha 410007 China
xwei1983@163.com

Abstract programming [3], neural network approaches [4], and

This paper presents a new approach via multi-
particle swarm optimization (MPSO) to solve the unit
commitment (UC) problem. A new strategy which can
generate feasible particles and make the search space
narrow within the feasible solutions is presented. Some
particle swarms are generated by the new strategy,
and location optimum solutions are searched in each
particle swarm, then a new particle swarm is made up
of location optimum solutions, and the global optimum
solution is searching in this new particle swarm. The
application of the new generating strategy in PSO can
efficiently improve the global searching capability and
escape from local minima. The simulation results show
that the method is more efficient than genetic
algorithm, and could obtain the global optimum
solution more probably.
1. Introduction
Unit commitment (UC) in a power system involves
determining a start-up and shut-down schedule of units
to meet the required demand over a short-term period
[1]. In solving the UC problem, generally two basic
decisions are involved, namely, the “unit commitment”
particle swarm optimization [5], [6].
Particle swarm optimization (PSO) is suggested by
Eberhart and Kennedy based on the analogy of swarm
of bird [7]. The PSO mimics the behavior of
individuals in a swarm to maximize the survival of the
species. The PSO can be easily applied to nonlinear
and non-continuous optimization problems. And also
the PSO can generate high-quality solutions within
shorter computation time and have more stable
convergence characteristic than other stochastic
methods.
2. Formulation of Unit Commitment
In this section, the problem of UC was
formulated. The objective function of the UC problem
is the minimization of the total production costs over
the scheduling horizon. Therefore, the objective
function is expressed as the sum of fuel and start-up
costs of the generating units. For generators, the
operation cost is defined mathematically as shown in
the following: [8]
T N
min F = ∑∑ ⎡⎣ f i ( Pi t ) + Cit (1 − uit −1 ) ⎤⎦ uit (1)
t =1 i =1

decision and the “economic dispatch” decision. The 1) Power balance constraint
N

∑P u
“unit commitment” decision involves the
determination of the generating units to be running i
t t
i = PDt (2)
during each hour of the planning horizon, considering i =1

system capacity requirements, including the reserve, 2) Spinning reserve constraint

N

∑u P
and the constraints on the start-up and shut-down of
units. The “economic dispatch” decision involves the
t
i i ,max ≥PDt + R t (3)
i =1
allocation of the system demand and spinning reserve
capacity among the operating units during each 3) Generation limit constraint
specific hour of operation. uit Pi ,min ≤ Pi t ≤ uit Pi ,max (4)
Over the past few years, in order to solve this 4) Minimum up-time and down-time constraint
problem, many salient methods have been developed
such as genetic algorithm [2], evolutionary

978-0-7695-3357-5/08 $25.00 © 2008 IEEE 21

DOI 10.1109/ICICTA.2008.363
 ⎧⎪tij ≥ Ti on tij > 0
⎨ (5)
⎪⎩−tij ≥ Ti tij < 0
off

5) Start-up cost constraint

⎧⎪ S h Ti off ≤ − tij ≤ H ioff
C =⎨ i
t
(6)
⎪⎩ S c − tij > H ioff
Where the notations used are as follows:
F is the total production cost of the power generation;
N is the number of generators; T is the number of
hours; (a) local optimum solution searching process
t
f i ( Pi ) is the fuel cost function of the i th unit with
generation output pit at the t th hour. Usually, it is a
quadratic polynomial with coefficients a i , bi and ci as
follows:
f i ( Pi t ) = ai + bi Pi t + ci ( Pi t ) 2 (7)
t
u is on/off status of the i th unit at the t th hour
i

and uit =0when off, while uit =1when on; PDt load
demand at the t th hour; pit is the generation output of
the i th unit at the t th hour; Rt is the spinning reserve
(b) global optimum solution searching process
at the t th hour; Pi ,min is the minimum generation limit Fig. 1 particles searching process
In a physical n-dimensional search space, the position
of the i th unit; Pi ,max is the maximum generation
and velocity of individual i are represented as the
limit of the i th unit; Ti on is the minimum up-time of vectors X i = ( xi1 , xi 2 ...xin ) , Vi = (vi1 , vi 2 ...vin ) in
off
the i th unit; Ti is the minimum down-time of the the PSO algorithm. Set pi , d and pg , d be the best
i th unit; tij is the duration during which the i th unit position of individual i and its global best position so
far, respectively. Using the information, the updated
is continuously on; - tij is the duration during which the
velocity and position of individual i is modified under
i th unit is continuously off. Cit is the start-up cost of the following equation in the PSO algorithm.
vd +1 = wvd + c1r ( pi ,d − xd ) + c2 r ( pd − xd ) (8)
the i th unit; Sh is the hot start-up cost of the i th unit;
vd +1 = vmax if vd +1 > vmax (9)
Sc is the cold start-up cost of the i th unit; H ioff is
the duration during which the i th unit cold start-up. vd +1 = −vmax if vd +1 < −vmax (10)
xd +1 = xd + vd +1 (11)
3. The Search Process of the Improved
Where vd is the velocity at iteration d ; ω is the
Particle Swarm Optimization
weight parameter; c1 , c 2 is the weight factors; r is a
The figure 1 shows the process of searching the randomly generated value between 0 and 1; pi , d is the
global optimum solution. Figure 1(a) shows that the
local optimum solutions were searched by multi- pd is the
best position of individual i until iteration d ;
swarms, and figure 1(b) shows that the global optimum
solution was searched through all local optimum best position of the local optimum solution pb , d or
solution.

22
 '
global optimum solution pg , d ; x d is the position at be stopped from the t th hour to the t th hour when the
system cannot satisfy the power balance constraint and
iteration d ; vmax is the Maximum of velocity.
spinning reserve constraint if the generator j stopped

4. Improved Particle Swarm Algorithm for at the t th hour, then set K J 2 (t '' , i ) = 0 ,
Unit Commitment Problem t '' ∈ [t , t ' ] during the t ' th ( t ' ∈ [t + 1, t + Ti off ] ) hour,
(3) Select one or several generators from the all
4.1 New strategy for producing individuals
generators in the array of K J (t , i ) ≠0 (i=1, 2,…,N),
Define 3 arrays with T×N change the state of them, if the scheme satisfied the
N
(1) Array K D (t , i ) = X ti , duration during which the
i th unit is continuously on or duration during which
spinning reserve constrain and ∑U
i =1
P
it i min ≤ Dt , then

the i th unit is continuously off at the t th hour.
(2) Array K J is made up of the sign ‘1’, ‘0’ or ‘-1’.
The sign ‘1’ represent the i th unit could be started at
the t th hour; the sign ‘-1’ represent the i th unit could
be stopped at the t th hour; the sign‘0’ represent the
i th unit cannot be started or stopped at the t th hour.
(3) Feasible solutions are set to the array of K R , that
K R (t , i ) = uit , which represents the state of the
is
i th unit at the t th hour. The number of 1 represents
generator is on and number of 0 represents off. Fig.2
shows the process producing feasible solution.
K D (t , i ) → K J (t , i ) → K R (t , i)
t = t +1
Fig. 2 process producing feasible solution
The process of finding feasible solution which
considered the minimum up-time and down-time
constraint and spinning reserve constraint as follow:
(1)The array of K D (1, i ) ( i =1, 2, … N) was
determined by the operation state of each generator
X i1 , and sets the number of 1 to the array of K J 2 ;
(2) The array of K J 1 (t , i ) was determined by the
array of K D (t , i ) ( i =1, 2,…,N)
⎧1 K D (t , i ) ≤ −Ti off
⎪⎪
K J 1 (t , i ) = ⎨−1 K D (t , i ) ≥ Ti on
⎪ t
⎪⎩0 − Ti off < K D (t , i ) < Ti on
Ωcoff is used to represent the set which could be
stopped at the t th hour,
Ωcoff = {i / K J 1 (t , i ) = −1} , whether the generator
j ( j ∈ Ω coff ) could be stopped or not is determined
by the array K J 1 and K J 2 . The generator j cannot
we obtained a feasible solution K R (t , i ) (i=1,2,…,N)
at the t th hour, if not returned to the step (3).
(4) If t=T, then turn to the step (5), else
determine K D (t + 1, i ) from the array of K R (t , i ) ,
returned to the step (2).
⎧ K D (t , i ) + 1, ( K R (t , i ) = 1, K D (t , i ) > 0)
⎪1, ( K (t , i ) = 1, K (t , i ) < 0)
⎪ R D
K D (t + 1, i ) = ⎨
⎪ −1, ( K R (t , i ) = 0, K D (t , i ) > 0)
(13)
⎪ K (t , i ) − 1, ( K (t , i ) = 0, K (t , i ) < 0)
⎩ D R D
(5) Obtain a feasible solution of K R which satisfy
minimum up-time and down-time constraint and
spinning reserve constraint.
4.2. Constraints satisfaction and fitness function
Minimum up-time and down-time constraint and
spinning reserve constraint and generation limit
constrain were considered during the process of
generating the feasible particle. The power balance
constraint and Start-up cost constraint were used the
penalty functions to solve. Fitness function was made
up with the objective function and constrains solved by
the penalty functions.
2
A(uit , Pi t ) = F (uit , Pi t ) + ∑ ck Rk (uit , Pi t ) (14)
k =1
(12) Where F (uit , Pi t ) is the objective function;
t
Rk (u , Pi ) (k=1,2) is penalty function for the power
i
balance constraint and Start-up cost constraint
respectively; ck （k=1、2）is penalty factor [9].
where
4.3. Steps of the PSO Algorithm for UC
Step 1 set the parameters of the PSO, and set current
iteration i =1.

23
Step 2 initialize individual through the new strategy particle swarm to parallel arithmetic, escaped the local
presented above. optimum solution. The equality and inequality
t
Step 3 compute the fitness value A(ui , Pi ) of each
t constraints treatment methods have always provided
the solutions satisfying the constraints without
individual. disturbing the optimum process of the PSO. The
t t
Step 4 compare the fitness value A(ui , Pi ) with its simulation results show that the presented method is more
t t efficient than genetic algorithm, which could obtain the
personal best fitness value pi ,best , and if A(u , Pi ) >i global optimum solution more probably.
pi ,best , then pi ,best = A(u , Pi t ) , and pi ,d is set by the
t
i
7. References
current position.
t t
Step 5 compare the fitness value A(ui , Pi ) with the [1] A. J. Wood and B. Wollenberg, Power Generation
Operation and Control [M], 2nd ed. New York: Wiley, 1996.
local optimum solution pb ,best (when the iteration [2] SWARUP K S, YAMASHIRO S. “Unit commitment
receive the max iteration turn to the global optimal solution methodology using genetic algorithm” [J], IEEE
t t
Trans on Power Systems, 2002, 17(1):87-91.
solution pb ,best ), and if A(ui , Pi ) > pb ,best (or [3] H. T. Yang, P. C. Yang, and C. L. Huang, “Evolutionary
programming based economic dispatch for units with non-
pg ,best ), then set pb ,best (or pg ,best )= A(uit , Pi t ) , and smooth fuel cost functions”[J], IEEE Trans. on Power
Systems, Vol. 11, No. 1, pp. 112-118, Feb. 1996.
pb is set by the current position. [4] Simi P Valsan, K S Swarup. “Hopfield neural network
Step 6 update the velocity and position respectively approach to the solution of economic dispatch and unit
with the equation of (8), (9), (10), (11). commitment”[C], Intelligent Sensing and Information
Step 7 set i = i + 1 , and return to Step 3 until Processing, 2004. Proceedings of International Conference
on. On Piscataway, N J: IEEE 2004 Page(s):311 – 316
satisfying stopping criteria. [5] J. B. Park, K. S. Lee, J. R. Shin, and K. Y. Lee, “A
Step 8 output the results including the minimum cost particle swarm optimization for economic dispatch with non-
and the generators state during the whole periods. smooth cost functions”[J], IEEE Trans. on Power Systems,
Vol. 20, No. 1, pp. 34-42, Feb. 2005.
5. Numerical examples [6] T. A. A. Victoire and A. E. Jeyakumar, “Hybrid PSO-
SQP for economic dispatch with valve-point effect”[J],
Electric Power Systems Research, Vol. 71, No. 1, pp. 51-59,
The improved particle swarm optimization
2004.
algorithm program was implemented in the simulation [7] J. Kennedy and R. C. Eberhart, “Particle swarm
which was carried out on a ten-generator system; the optimization”[C], Proceedings of IEEE International
data of the ten –generator system was given in the Conference on Neural Networks (ICNN’95), Vol. IV, pp.
document [8]. Table addenda presents the best result of 1942-1948, Perth, Australia, 1995.
ten-generator system (at the end of this paper), tab.1 [8] T. O. Ting, , M. V. C. Rao, and C. K. Loo. “A novel
compare the result with the result of document [8]. approach for unit commitment problem via an effective
hybrid particle swarm optimization”[J], IEEE Trans on
Tab.1 Simulation analysis and Comparison Power Systems, 2006 VOL. 21, NO. 1: 411-418.
operatio starting Whole [9]Li Mao-jun. “A partheno-genetic algorithm and its
application in unit optimal commitment of power system”[J],
n cost﹩ cost﹩ cost﹩ Proceedings of the CSU-EPSA. 2001, 13(4):16-19
Result of this paper 554144.8 3970 558114.8
Result of paper [6] 563942.3 4090 568032.3

6. Conclusion
This paper presented a new strategy to produce
particle, which all of them are feasible solution,
enhanced the convergence speed, and applied multi-

24
 Tab. Addenda Optimized solution of the 10-unit system with the proposed method

hour Operation cost/＄ Starting cost/＄ State of generator 1 2 3 4 5 6 7 8 9 10

1 13683.13 0 1100000000 455 245 0 0 0 0 0 0 0 0

2 14554.5 0 1100000000 455 295 0 0 0 0 0 0 0 0
3 16834.89 900 1100100000 455 360 0 0 35 0 0 0 0 0
4 18597.67 0 1100100000 455 455 0 0 40 0 0 0 0 0
5 19608.54 0 1100100000 455 455 0 0 90 0 0 0 0 0
6 21860.29 560 1101100000 455 455 0 130 60 0 0 0 0 0
7 23284.81 1100 1111100000 455 455 85 130 25 0 0 0 0 0
8 24150.34 0 1111100000 455 455 130 130 30 0 0 0 0 0
9 26588.96 340 1111110000 455 455 130 130 110 20 0 0 0 0
10 29365.95 520 1111111000 455 455 130 130 162 43 25 0 0 0
11 31219.63 60 1111111100 455 455 130 130 162 80 25 13 0 0
12 33205.89 60 1111111110 455 455 130 130 162 80 25 53 10 0
13 29365.55 0 1111111000 455 455 130 130 162 43 25 0 0 0
14 26588.06 0 1111110000 455 455 130 130 110 20 0 0 0 0
15 24150.34 0 1111100000 455 455 130 130 30 0 0 0 0 0
16 21514.42 0 1111100000 455 310 130 130 25 0 0 0 0 0
17 20642.2 0 1111100000 455 260 130 130 25 0 0 0 0 0
18 22387.65 0 1111100000 455 360 130 130 25 0 0 0 0 0
19 24150.34 0 1111100000 455 455 130 130 30 0 0 0 0 0
20 29994.03 430 1111111000 455 455 130 130 162 33 35 0 0 0
21 26588.96 0 1111111000 455 455 130 130 85 20 25 0 0 0
22 22735.33 0 1100111000 455 455 0 0 145 20 25 0 0 0
23 17645.42 0 1100000000 455 425 0 0 0 20 0 0 0 0
24 15427.85 0 1100000000 455 345 0 0 0 0 0 0 0 0

25
 2008 International Conference on Intelligent Computation Technology and Automation

Application of Genetic Algorithm to Network Design Problem

Guoqiang Zhang, Jian Lu, Qiaojun Xiang

Key Laboratory of Transportation Planning and Management of Jiangsu Province
Transportation College, Southeast University, Jiangsu Province, China 210096
flyingfeather_zhang@yahoo.com.cn

Abstract models are known as Network Design Problem.

Network Design Problem has originated in the
practice of traffic engineering. Planning and designing
road system has always been the most important task
of traffic engineers. The objective of Network Design
Problem is to plan and design an improvement project
for a road network systematically so that the total
travel cost of the whole road system is minimized.
Because of the complexity of the models, which are
expressed as non-convex and bi-level programming,
satisfactory solutions of Network Design Problem are
rather difficult to obtain by the traditional non-linear
optimization algorithms. The Paper has studied the
models of Network Design Problem and has designed a
genetic algorithm. With a test road network as an
example, it has shown the application of the new
genetic algorithm to Network Design Problem. Impacts
of a model parameter upon solutions are then carefully
analyzed and some meaningful conclusions and
suggestions have been drawn.
1. Introduction
Traffic demand is almost always increasing with
increase of population and economy and urbanization,
which will eventually lead to traffic congestion and
safety problems. In fast-developing countries such as
China, the situation is even more serious. When traffic
demand increases to a level beyond the capacity of the
road network, improvement of the whole road system
will have to be planned and implemented. Because the
road network is very complicated, planner’s personal
experience and wisdom alone cannot produce the best
plan or even a satisfactory plan for road network
improvement. A more reasonable way is to model the
structure, mechanism and objective of road network
system and design efficient and reliable algorithms for
the models, which can be run by computer to obtain
the best plan or at least a satisfactory plan. Such
Although all kinds of models have been developed,
their solutions have been proved to be rather difficult.
In fact, study on algorithms for Network Design
Problem have been pursuing by many scholars and it
has become one of the most difficult and challenging
problems of transportation science [1].
Traffic demand and traffic supply of road system
interact with each other in a very huge space and an
improvement plan of a huge investment in
transportation infrastructure might not improve the
whole situation obviously as has expected. The
improvement project might not be sufficient enough to
bring amelioration or it perhaps only shift congestion
from one place to another. For example, widening a
congested road will improve level of service, which
will in turn lure more people to use that road. New
congestions might thus be caused [2]. Therefore, it is
the hugeness and complexity of road network that have
led to the intrinsic complexity of the models of
Network Design Problem.
Network Design Problem can be roughly divided
into two classes: The first class is Discrete Network
Design Problem (DNDP), which aims at how to choose
a set of positions to build new road links [3]. Decision
variables are either 0 or 1; The second class is
Continuous Network Design Problem (CNDP), which
deals with how to enhance capacity of some road links
in order to optimize efficiency of the whole network.
Decision variables change continuously in an interval.
Except for decision variables, the two classes of
Network Design Problems are very similar in their
programming models. Both of the two classes of
models are designed to minimize total travel cost of the
whole system with the constraint of budget. Besides,
both of them take users’ route choice into
consideration [4]. The paper will mainly discuss
genetic algorithm for Continuous Network Design
Problem, idea and method put forward in the paper can
also be applied to Discrete Network Design Problem.

978-0-7695-3357-5/08 $25.00 © 2008 IEEE 26

DOI 10.1109/ICICTA.2008.252
2. Model of Network Design Problem
Decision variable y (enhancement of road link
capacity) is confined by many social, economical, and
technical factors. Assume that it can only be chosen in
set S, which is defined as follows.
⎧ ⎫
⎨(" , ya ,") | ∑ g a ( ya ) ≤ B, 0 ≤ ya ≤ ua , a ∈ A⎬ , (1)
⎩ a ⎭ through the work of John Holland in the early 1970s,
where ya is the capacity enhancement of road link a ;
g a ( ya ) is the cost function of capacity enhancement;
B is the budget of network improvement; ua is the
upper bound of ya ; A is the set of links optional for
improvement in the network.
Assuming that the behavior of the network user’s
route choice follows the Deterministic User
Equilibrium, the programming model for Network
Design Problem can be expressed as follows:
min F (y ) = ∑ va ⋅ ta (va , ya ) , (2)
y∈S
a∈ A
hi ( y ) ≤ ci , i = 1, 2," , n . (3)
Equation 2 gives the objective of Network Design
Problem, which is the minimization of total travel cost.
Equation 3 expresses the constraint conditions inflicted
upon decision variable y. In Equation 2, ta (va , ya ) is
the travel cost function of link a , va is the traffic
volume of link a and can be obtained by solution of
the following programming:
min ∑ ∫ t a ( x , y a ) d x
va
(4)
v 0
a∈ A
s.t. ∑
r∈Rw
f rw = qw , w ∈ W , (5)
va = ∑∑
w∈W r∈Rw
f rwδ arw , a ∈ A , (6)
f rw ≥ 0, r ∈ Rw , w ∈ W , (7)
where V is the vector of link flow; W is the set of O-D
pairs; Rw is the set of routes between O-D pair w ∈ W ;
f rw is the path flow on route r ∈ Rw .
In the above mathematic model, it is assumed that
travel cost function ta (va , ya ) is an increasing,
continuous and differentiable function with respect to
link volume va and the cost function of capacity
enhancement g a ( ya ) is continuous, differentiable and
convex.
3. Genetic algorithm for the model
Generally speaking, the model of Network Design
Problem is not a convex programming. Therefore,
conventional optimization methods are not effective
27
for global optimization. Thus, it is necessary to apply a
global optimization method such as genetic algorithm
to solve the programming. Genetic Algorithm is rather
suitable for the model examined here because it is a
stochastic method to avoid getting stuck in a local,
non-global optimum and can find the global optimum
for a problem without the convex requirement.
Genetic algorithm in particular became popular
and particularly his book “Adaptation in Natural and
Artificial Systems” (1975). A genetic algorithm is an
iterative procedure which borrows the ideas of natural
selection and survival of the fittest from natural
evolution. Genetic algorithm is categorized as global
search heuristics [5]. Genetic algorithm is implemented
as a computer simulation in which a population of
abstract representations (called chromosomes) of
candidate solutions (called individuals) to an
optimization problem evolves toward better solutions.
Traditionally, solutions are represented in binary as
strings of 0s and 1s, but integers and floating point
numbers can also be used. The evolution usually starts
from a population of randomly generated individuals
and happens in generations. In each generation, the
fitness of each individual in the population is evaluated.
Based upon their fitness, multiple individuals are
stochastically selected from the current population and
modified (recombined and possibly randomly mutated)
to form a new population. The new population is then
used in the next iteration of the algorithm. The
algorithm terminates when either a maximum number
of generations has been produced, or a satisfactory
fitness level has been reached.
Through study on the characteristics of the model,
the paper has developed a genetic algorithm
particularly for Network Design Problem. In order to
improve efficiency, floating point numbers are used to
represent chromosomes and genetic operators such as
crossover and mutation can be performed directly upon
a pair of parent solutions. A penalty function is then
devised to ensure feasibility of solutions. Based upon
the objective function and the penalty function, a
fitness function is designed and the genetic algorithm
is then put forward.
For any given capacity enhancement y, the
equilibrium link flows va , a ∈ A can be obtained by a
traffic assignment procedure. Therefore, va , a ∈ A can
be regarded as implicit functions of y and the bi-level
programming can be regarded as a single level
optimization with respect to variable y. In this case,
there remain the budget constraints expressed by
Equation 1 and the other constraints expressed by
Equation 3. The genetic operators of crossover and
mutation are designed especially to ensue that the
budget constraints be satisfied. The constrains defined
by Equation 3 are complicated and have to be
transferred into a penalty function and then be added to
the objective function.
Let y1 ∈ S and y2 ∈ S be two parent solutions
(also called chromosomes) and the crossover operator
is defined as follows: take a number λ randomly from
the finite open interval (0, 1) and the crossover of the
two chromosomes is as follows:
y = λ ⋅ y1 + (1 − λ) ⋅ y 2 . (8)
Because capacity enhancement g a ( ya ) a ∈ A is
convex, the set S is convex. Therefore, we can draw the
conclusion that the chromosome defined by Equation 8
also belongs to S. This means that the crossover
operator defined above can ensue that the budget
constraints be satisfied.
For any chromosome y ∈ S , the mutation operator
is defined as follows: take a link a randomly from A;
assuming capacity enhancements of the other links are
fixed, calculate the upper limit ua of capacity
enhancement ya under the budget constraints; take a
number y a randomly from interval [0, ua]; with other
link capacity enhancements of y intact, substitute y a
for ya and the new chromosome y is a mutation of y. It
is easy to see that the mutation of y still belongs to S
and the budget constraints can be guaranteed by the
mutation operator.
According to Equation 3, the penalty function can
be defined below:
n
α ( y ) = ∑ max {0, hi ( y ) − ci } . (9)
i =1
Combining the objective function with the penalty
function, we define the fitness function as follows:
Fitness ( y ) = F ( y ) + λ ( t ) ⋅ α ( y ) , (10)
where t is the number of generations; λ ( t ) is the
penalty factor. Assuming that best(i) is the best
solution of Generation i and β1 and β 2 are two
different constants, which are bigger than 1, λ ( t ) can
be defined as follows: if for any i∈ [t-m+1, t], best(i) is
feasible, λ (t+1) = (1/ β1 ) ⋅ λ (t ) ; if for any i∈ [t-m+1, t],
best(i) is unfeasible, λ (t+1) = β 2 ⋅ λ (t ) ; in the other
situations, λ (t+1) = λ (t ) .
Based upon the crossover operator, the mutation
operator and the penalty function defined above,
genetic algorithm for Network Design Problem is
developed below.
Step 1. Initialization. Give the maximum generation
T, the number of chromosomes in each generation N,
the number of mutation in each generation k and an
28
initial population Pop(0), whose members are taken
randomly from S. Set t = 0.
Step 2. Selection. Calculate fitness of each
chromosome of Pop(t) by application of Equations 2, 9
and 10. Arrange Pop(t) in such a way so that
chromosomes with smaller fitness are placed before
those with smaller one. If t > T, go to Step 4. For each
member of Pop(t), perform the following procedure:
replicate a chromosome with the order i for N – i + 1
times and put the replicas in the breeding pool. Finally,
there will be N ⋅ ( N + 1) / 2 chromosomes in the
breeding pool.
Step 3. Reproduction. Take N-1 pairs of
chromosomes from the breeding pool randomly and
perform the crossover operation between each pair.
Finally, N-1 new chromosomes are produced, forming
a population NewPop(t). Take k chromosomes from
NewPop(t), perform the mutation operation upon them
and put the mutated ones into NewPop(t).
Step 4. formation of new generation. Keep the first
chromosome of Pop(t) intact and replace the rest with
the N-1 chromosomes of NewPop(t). Set t = t + 1.
Step 5. Termination. Stop calculation and put out
Pop(t).
4. Case study
Figure 1 shows a road network. It has two OD pairs,
which are from Point 1 to Point 4 and from Point 2 to
Point 4 respectively. Let q1,4 = 400 and q2,4 = 200 are
traffic demands of the two OD pairs.
Link 3
1 4
Link 1
Link 4
3
Link 2
2
Figure 1. A road network example
There are four links in the network and Link 1 and
Link 2 are the links that need to be improved. Assume
that capacity enhancements for Link 1 and Link 2 are
y1 and y2 and the traffic volumes of the four links are v1,
v2, v3 and v4 respectively. Travel cost functions of the
links are as follows:
v1
t1 ( v1 ) = 0.15 + , (11)
200 + y1
v2
t2 ( v2 ) = 0.2 + , (12)
400 + y2
 v3 objective value for Network Design Problem without
t3 ( v3 ) = 1 + , (13) the constraint of Equation 16 and when parameter c is
400
bigger that 1.14, Equation 16 will become ineffective.
v
t4 ( v4 ) = 0.1 + 4 . (14) Besides, it can be seen that when parameter c is bigger
400 than 1.1, total travel costs decrease very slowly with
The budget constraint of capacity enhancements is the increase of c. Therefore, decision makers should
defined below. chose parameter c from the interval [0.981, 1.1]
y1 + 20 ⋅ y2 ≤ 1200 . (15)
The other constraints are as follows: 5. Conclusion
⎧ t1,4 ( y1 , y2 ) t2,4 ( y1 , y2 ) ⎫
max ⎨ , ⎬≤c, (16) Theory of Network Design Problem offers an
⎩ t1,4 t 2,4 ⎭ important approach to plan and design of road network
t1,4 ( y1 , y2 ) and the development of efficient algorithms plays great
≤ c1,4 , (17)
t 1,4 roles in promotion of its application in traffic
where t1,4 and t2,4 are travel costs of the two OD pairs engineering practice. The paper has given a general
programming model for Network Design Problem.
after the improvement project; t 1,4 and t 2,4 are travel Through study on the characteristics of the model,
costs of the two OD pairs before the improvement genetic operators such as crossover and mutation are
project. designed, penalty function and fitness function are
Set T=500, N=20, k=4 and c1,4=0.981. Choose a defined and based upon those, a genetic algorithm is
series of values for c from the interval [0.98, 1.14] and developed. Finally, a case study is used to explain
calculate the best solutions of the model through application of the algorithm and some meaningful
application of the genetic algorithm. The calculations conclusions are drawn concerning improvement of the
have been very efficient and the results are listed in test road network. Although the genetic algorithm put
Table 1. forward by the paper can be of great help for decision
Table 1. Best solutions of the model makers, public opinions should be carefully studied
before final decisions concerning improvement of road
c y1 y2 Total travel cost network are made.
0.981 46.026 57.545 978.47
1.00 96.207 55.184 973.26
Acknowledgment
1.02 160.89 51.868 968.09 This paper has been substantially supported by the
1.04 242.15 47.891 963.24 National Natural Science Foundation Council of China
through two projects (50778040, 50522207).
1.06 346.04 42.691 958.87
1.08 467.99 36.557 955.43 Reference
1.10 644.96 27.739 952.44
[1] H. YANG, M G H BELL, “Models and algorithms for
1.12 852.75 17.34 950.8 road network design: a review and some new developments”,
1.14 1042.2 7.8861 950.4 Transport Review, 1998,18(3), pp. 257-278.
[2] Liu Canqi, “Discrete network design problem with budget
constraint”, Journal of China Highway, 1998,18(3), pp. 257-
Table 1 shows the change of best solutions and total 278.
travel cost versus the value of parameter c. From the [3] Qiang Meng, Hai Yang, “Benefit distribution and equity
table, we can observe that with the increase of in road network design”, Transportation Research Part B
parameter c, Link 1 gets more and more capacity 36(2002). pp. 19-35.
enhancement while Link 2 gets less and less [4] Huang Haijun, Theory and Practice of Analysis of Urban
enhancement and during the process, total travel costs Traffic Network Equilibrium, Publishing House of People’s
become less and less. This means that improvement of Transportation, Beijing, 1994.
Link 1 is more efficient than that of Link 2 and when [5] Xing Wenxun, Xie jinxing, Modern Optimization
Algorithm, Publishing House of Tinghua University,
the constraint of Equation 16 is less stringent, more
Beijing,.1998.
and more budget is transferred from Link 2 to Link 1
to help decrease total travel costs. In fact, with the
increase of parameter c, total travel costs will decrease
monotonically to a fixed value that is the optimal

29
 2008 International Conference on Intelligent Computation Technology and Automation
Application of Immune Classifier Based on Increment of Diversity in the
Model Species Genomes Identification
Lianhong Wang Jing Zhang Gufeng Gong Minfang Peng
College of Electric and Information Engineering, Hunan University, Changsha Hunan, 410082
wanglh@hnu.cn, zhangj@.hnu.cn
Abstract
The model species genomes project has played a
very important role in the research of human genomes.
By comparing and identifying the genomes’
information in the different biological evolution stages
with the model species genomes, it is favorable to
understand deeply the genomes’ structure and function
of the advanced species , especially the human being ,
and to reveal the life’s essential law. In the paper, the
DNA sequences of three model species including C.
elegans , S. cerevisiae and A.thaliana are divided into
three types: intron, exon,intergenic DNA at first. The
bases of each sequence are given number (1, 2,…,
N)base by base from the beginning. According to three
phases of the codons, we can extract three
subsequences which numbers are respectively 3n+1,
3n+2 and 3n+3 (n=0, 1, 2, …,N/3-1).Calculating
respectively the probability of four bases in three
subsequence we can attain 12 parameters which are
regarded as the state parameters of the diversity
sources. Each sequence of intron, exon and intergenic
DNA is expressed by a 12-dimension eigenvector. All
of these sequences’ 12-dimension samples are divided
into the training sample set and the testing sample set.
Then, according to the immune network theory, a
immune classifier based on the diversity increment is
constructed, which considers the reciprocal of the
diversity increment as affinity function and makes the
immune network evolve in the direction of identifying
the antigens by submitting unceasingly the antigens
one by one, which is a record of the training sample
set. Finally, the classifier has high performance and its
prediction accuracy is up to 85% by test.
1. Introduction
With the actuation and enforcement of Humanity
Genomes Project, the gene sequence joins the genome
database at the speed of more than 500,000 base pairs
every day. The amount of submitting sequence
978-0-7695-3357-5/08 $25.00 © 2008 IEEE 30
DOI 10.1109/ICICTA.2008.126
increases in exponential order and the genome data
will be twice every 14 months. So, in the times of
genome information explosion, the humanity
encounters a great challenge that multitudinous
sequences need to be distinguished, classified and
interpreted its life connotation, which is a hard task in
the after-genome times. Bioinfomation is a subject
which extracts, stores, handles and analyses all sorts of
biological data via computers and interrelated
technology. There are two keys: ① mathematics
analysis of biological information: for example, how is
DNA sequence, which is composed of four characters
A, C, G, and T, mapped to data space, and valid
eigenvalue of the sequence is attained. ② handling
database derived from the first key: e.g. mining
information from a large amount of data and seeking
for new gene or predicting gene’s function till
molecule evolution study. In the first key, we can
extract DNA sequence feature information by statistic
methods, for example counting the frequency of A
,C,G and T which appear respectively in each DNA
sequence, counting the numbers of（A+G）, (C+T）
,(A+C)and (T+G)which appear in each DNA sequence,
or counting the numbers of 64 codons. On the other
hand, calculating the diversity measure and the
information entropy from the angle of information
theory. In the second key, some scholars now deal with
and analyze DNA data and mine information by
intelligence computing methods (such as artificial
neural networks, support vector machine, fuzzy
operation [1-3]). In this paper feature information of
intron, exon and intergenic DNA , which is three sorts
of three model species: C. elegans , S. cerevisiae and
A.thaliana, is firstly extracted by the way of the
diversity measure. These data sets are divided into the
training sets and the testing sets. Then A classifier is
constructed which uses immune evolution network
algorithm, and is trained under the guidance of the
training sets. Finally, the category attribute of the
testing set is predicted by the trained classifier.
2. The diversity measure and the diversity
increment
The information entropy and the diversity measure
have different connotations: the former is a measure of
an information symbol’s indeterminacy and is also a
description of the state’s uncertainty and chaos, and the
latter is a measure of the whole indeterminacy.
Although either of them describes the state space from
the angle of information theory, they are expressed by
similar logarithm function.
2.1 The definition and the properties of the
diversity measure
According to references [4,5], ni describes the
number of the i state in the state space which has s
symbols ,then the diversity measure of the diversity
source (X : (n1 , n2 ," ns ) )is:
s
D ( X ) = D(n1 , n2 ," ns ) = N log b N − ∑ ni log b ni ,(1.1)
i =1
s
where, N = ∑ ni . When the bottom of logarithm b is
i =1
10, the unit of the diversity measure is Hart. The
properties of the diversity measure are as follows:
1) No negation
D (n1 , n2 ," , ns ) ≥ 0 (1.2)
2) Symmetry
D (n1 ," , ni ," , n j ," , ns ) = D (n1 ," , ni* ," , n*j " , ns ) ,
here, ni* = n j , n*j = ni , (i ≠ j ) ,which expresses the
diversity measure is invariant after two arbitrarily
variable quantity ni and n j mutually exchange.
3) Extension
D (n1 , n2 ," , ns ) = D (n1 , n2 ," , ns , 0) (1.3)
4) Addition
D(n11 , n12 ," , n1s ; n21 , n22 ," , n2 s ;"; nr1 , nr 2 ," , nrs ) =
r These B cells with the highest affinity will be cloned
D(m1 , m2 ," , mr ) + ∑ D (ni1 , ni 2 ," nis ) , (1.4)
i =1
s
where, mi = ∑ nik , (i = 1, 2," , r )
k =1
5) Extremum If the s ni of the diversity source is
s system. Along with the new antigens unceasingly
equal, that is, n × s = N = ∑ ni , the diversity measure
i =1
is up to the maximum extreme value. The formula is as
follows:
D (n1 , n2 ," , ns ) ≤ Ds (n, n," , n) = sn log s (1.5)
6) Equal multiplication If the diversity measure
and the diversity sources are multiplied by the equal
31
number, D (kn1 , kn2 ," , kns ) = kD (n1 , n2 ," , ns ) or
D (kX ) = kD( X ) .
2.2 The diversity increment
The diversity increment with two diversity sources
X : (n1 , n2 ," ns ) and Y : (m1 , m2 ," , ms ) is defined by:
Δ ( X , Y ) = D ( X + Y ) − D( X ) − D(Y ) =
s
= D( M + N ) − ∑ D (mi + ni ) , (1.6)
i =1
s s
where, M = ∑ mi , N = ∑ ni ,
i =1 i =1
D( M + N ) = ( M + N ) log b ( M + N ) − M log b M − N log b N
D(mi + ni ) = (mi + ni ) log(mi + ni ) − mi log mi − ni log ni
According to the definitions of the diversity measure
and the diversity increment, we can know that the
value scope of the diversity increment is:
0 ≤ Δ( X , Y ) ≤ D ( M + N ) (1.7)
The transformation of the diversity increment from 0
to D( M + N ) reflects the similarity of the diversity
sources X and Y. The smaller Δ ( X , Y ) is, the more
similar the two diversity sources are.
3. Constructing the immune classifier
based on the diversity increment
The two most successful kind of immune network
models in the data analysis field of AIS are the
resources limited artificial immune system (RLAIS)[6]
and aiNet[7], which are proposed by Timmis and DE
Castro respectively. According to immunity network
theory, the RLAIS simulates the B cells interaction
mechanism in the data cluster analysis. If the
eigenvector of cluster question is regarded as antigens,
then the B cells in the system should be the randomly
produced vector in the same eigenspaces. In RLAIS,
these antigens are presented to the B cells system.
and mutated. The system does not retain the same B
cells, but retains their representatives of the same cells
in each group, which are called artificial recognition
balls（ARBs）。These ARBs will compete with each
other to strive for the right to be retained by the
introduced, the new B cells will be produced by clone
and mutation. If the present B cell or ARBs are
exposed to antigen for some time but the stimulation is
not enough, it will be eliminated. After some time,
only the ARBs which have the most intense response
to the antigens will survive. The final system forms an
antigen cluster system. De Castro has studied the
cluster analysis of high dimensional raw data based on
immune network model aiNet. The redundant data can
be eliminated by the artificial immune network's
evolution. De Castro has researched the data's structure
expression and the spatial distribution thoroughly and
further revealed the relationship in the data bunch. The
algorithm simulates the responsive process of the
immune network stimulated by antigens such as
antibody-antigen recognition, immune clonal
reproduction, affinity maturation and network
suppression. The two above-mentioned network
models are all based on a series of biological immune
response triggered after the antigens invade antibody
network such as clonal reproduction and affinity
maturation. The sophisticated biological process is
simulated to solve the actual engineering problems by
AIS algorithms. Therefore the affinity maturation is the
key in the algorithm, which guides immune network
evolution. Some scholars usually use Euclid-distance
and Hamming-distance as an affinity function[8,9]. In
this paper we adopt the reciprocal of the diversity
increment as the affinity function of the antigen-
antibody and the similarity function of the antibody-
antibody to train a classifier .Then the category of the
testing set is predicted by the classifier.
2.2 The immune classifying algorithm
procedure
The classification is a supervised learning process.
Through the learning process, the unknown data can be
forecasted. Constructing a classifier, we need to have a
training sample dataset as an input. The training set is
composed of database record or element. Each record
is an eigenvector which is composed of related fields
(called attribute or eigenvalue). In addition, the
training sample set also has a category mark. A sample
can be written as (v1 ， v2 ， … ， vs ； cj), where, vi
(i=1,2,…, s) represents attribute value, and cj
(j=1,2,…, m) denotes the category. If the training set
have r training samples, the scale of the training set is r
×s .In this article, the classified algorithm treats the
training data set as antigen(Ag), and treats the data of
reflection antigen attribute characteristic
antibody(Ab ).Then the stimulation and reaction
between the antigens and the immunity network
antibodies should be simulated to realize the evolution
of the immunity network to fulfill the process of
training data (antigens), and finally to preserve the
memory cell pools Mj (j=1,2, … , m) which
corresponds to m categories to carry on the forecast
classification to the unknown category data, e.g. the
testing set. The algorithm steps are as follows：
Step1. Each category randomly produces N=100
initial antibodies Abj=(w1，w2，…，ws)，j=1,2, …,N,
namely, the scale of the antibody population is N×S,
and suppose that the training generation number is:
P=100, where P is the training end label.
Step2. The training sets are looked at as the
antigens. According to category, once an antigen of
this category is provided for immunity training and
recognition.
Step3. Using the reciprocal of the diversity
increment seeing formula (2.1), computing the antigen
- antibody affinity (dij), and then arranging the order by
the affinity, the most affinitive m antibody will be
selected as network cells, and they are going to be
cloned, and the numbers of clone have a direct ratio
with the affinity. Here we can get the antibody network
cells group C.
1
dij = (2.1)
Δ( Agi , Ab j )
Δ ( Agi , Ab j ) = D ( Agi + Ab j ) − D( Agi ) − D( Ab j ) =
s
= D(V + W ) − ∑ D(vi + wi ) , (2.2)
i =1
s s
where, V = ∑ vi ,W = ∑ wi ，
i =1 i =1
D (V + W ) = (V + W ) log b (V + W ) − V log b V − W log b W
D(vi + wi ) = (vi + wi ) log(vi + wi ) − vi log vi − wi log wi
Step4. Making hypermutation operation on the
antibodies network cells group C, its way is as
follows:
C* = C – α.*(C-CAg), (2.3)
here, C is the network cells group which are obtained
in the third step, and CAg is the antigens after being
cloned. The α calls the study rate matrix or the
hypermutation rate matrix. This hypermutation
operation may cause the evolution to the direction of
antibody recognizing antigen. The scales of CAg and α
matrix are the same as C.
Step5. Calculating the affinity between the provided
antigen this time and the mutated network cells group
C*. According to affinity sorting, selecting the optimal
network cells by a certain percentage η( generally
as
25%) ,which are regarded as the memory cells MAgi of
this provided antigen Agi . Then according to the
category value of the antigen Agi, putting MAgi into the
memory cell pond Mi corresponding to the same
category.
Step6. Judging if all the stimulation of antigens
ends, if not, returns to step 2.
Step7. According to the idiotype network theory,
making network suppression operation on the m
memory cell pond Mi by calculating the similarity Sij
of the antibodies in each memory cell pond. Here we
32
still use the reciprocal of the diversity increment, Exon 16739 18057 34796
seeing the formula (2.4). The memory cells should be Intergenic 7617 8167 15784
eliminated while their similarities more than the DNA
threshold σs=98%. Then we get the compressed S. Intron 58 63 121
memory cell pond Mi. cerevisiae
Exon 1484 1469 2953
1 Intergenic 2899 2873 5772
Sij = (2.4)
Δ( Abi , Ab j ) DNA
A.thaliana Intron 20329 20456 40785
Δ ( Abi , Ab j ) = D ( Abi + Ab j ) − D ( Abi ) − D ( Ab j ) (2.5)
Exon 22728 22267 44995
Step8. Checking whether the number of training
generation is reached. If not, do the followings: Intergenic 9747 10337 20084
combine the memory cells of each category in memory DNA
cell pond with the random produced N antibodies to
form new antibodies, then returns to step 2. Each DNA sequence is a character string which is
Step9. Providing unsorted datasets, and calculating composed of adenine(A) and cytosine (C) and guanine
the affinity with each antibody in m memory cell pond. (G) and the thymine (T). The DNA sequence’s
Then estimating the category attribute of each antigen structure mainly includes three aspects: the sequence
by the nearest-neighbors principle, and outputting the length, each base’s content in sequence, and the order
final results. of the base. The bases of each sequence are given
number (1, 2,…,N)base by base from the beginning in
this paper. According to three phases of the codons we
4. Application of Immune Classifier Based can extract three subsequences which numbers are
on the Diversity Increment in the Model respectively 3n+1, 3n+2 and 3n+3 (n=0, 1, 2, …,N/3-
Species Genomes 1).Calculating respectively the probability of four
bases in three subsequence we can attain 12 parameters
We have made great progress in gene sequence which are regarded as the state parameters of the
information study of E.coli, S. cerevisiae, A.thaliana diversity sources. Thus, we can attain 12 dimension
,D.melanogaster and C. elegans at present, which have diversity measure Ag=(v1，v2，…，vs；cj), here, s is
become main model species materials in the after- equal to 12, which indicates that there are 12
genome times, and have obtained great achievements eigenvalues in each intron, exon or intergenic DNA; cj
in the research of genomes function , transcriptome and （j=1,2,3）respectively correspond to three categories
proteome. All of these help the study of advanced ： intron, exon and intergenic DNA. At first, we
species and humanity genomes and provide the basic
calculate 12 parameters value of each sequence by
information to deeply recognize them and life
procedure which is picked out in Table 1. Then we
evolution process.
respectively and randomly split them in two sets: the
The genomes data of three model species of C.
training set and the testing set. Each training set is used
elegans, S. cerevisia, and A.thaliana are from
to train the immune classifier in the Section 3. Finally
GenBank database .The gene sequences of C. elegans ,
each sequence class in the testing set is predicted by
S. cerevisiae and A.thaliana are divided into three
the immune classifier.
kinds: intron, exon and intergenic DNA, namely, the
Sensitivity, specificity and accuracy are commonly
category number m is three in the classifier. There are
used measures of gene-finding performance, and we
35823 intron, 34796 exon and 15784 intergenic DNA
adopt them here [10]. The definition is as follows:
applied in six chromosome of C. elegans , and 121
If there are M 1 intron sequences , M 2 exon
intron, 2953 exon and 5772 intergenic DNA in sixteen
chromosome of S. cerevisiae, and 40785 intron, 44995 sequences and M 3 intergenic DNA, in fact, the
exon and 20084 intergenic DNA in four chromosome predicted result of sequences is by procedure that N I
of A.thaliana. Then three class data of each model
sequences are identified as intron which N I is equal to
species are divided into the training set and the testing
set which sample scales see Table1. N I 1 + N I 2 , here , N I 1 ∈ M 1 ， N I 2 ∈ M 2 or
Table1 Three class sample dataset’s distribution of the three M 3 and N E sequences are identified as exon which
model species’ DNA sequences N E is equal to N E1 + N E 2 , here , N E1 ∈ M 2 ，
Three model species Training Testing Total N E 2 ∈ M 1 or M 3 . The sensitivity Sn of intron
set set prediction result sees formula (3.1).The specificity Sp
C. elegans Intron 17354 18469 35823 of intron prediction result sees formula (3.2).

33
 N I1 than the testing set. The reason lies in the fact that the
Sn = (3.1) classifier itself studies guided by the training set and
M1
the constructed classifier by the immune classifying
N I1 algorithm in the Section Three can reflect the feature of
Sp = (3.2)
NI the training set with more accuracy but not the testing
The sensitivity Sn of exon prediction result sees set. Compared with the method of the standard
formula (3.3).The specificity Sp of exon prediction diversity source and the minimum of the diversity
result sees formula (3.4) increment in references [11,12] , only one standard
N diversity source in the training set of each category in
S n = E1 (3.3) three model species is constructed , the antibody
M2 population can be got and realize self-adjustment by
N E1 the classifying algorithm in this paper. After the
Sp = (3.4)
NE antigens (e.g. the training set ) unceasingly stimulate ,
the left antibody population of immune response ,
Sn denotes the prediction ability of the procedure
which is memory cells Mi in the paper can’t only
and Sp the credit level of prediction result. The mean
embody the accord of the training samples but also the
value of sensitivity and specificity is defined as
variety and the specificity of the samples. Finally, a
accuracy of prediction result. Sensitivity, specificity
well-pleasing result was got on the prediction of the
and accuracy of the intergenic DNA are the same as
testing set by the classifier. There are also
the above definition. By employing the immune
shortcomings that the computing work of the
classifier in this paper, the prediction results of the
classifying algorithm is large and the procedure
three model species see Table 2.
executing time is long.
From Table 2, we can see that the prediction
performance of the training set is universally higher
Table2 The prediction result of the three model species
Training set Testing set
Sensitivity Specificity Accuracy Sensitivity Specificity Accuracy

C. elegans Intron 92.3％ 93.5％ 92.9％ 89.6％ 91.6％ 90.6％

Exon 93.5％ 92.8％ 93.2％ 90.2％ 89.3％ 89.8％
Intergenic 91.6％ 92.2％ 91.9％ 87.8％ 86.7％ 87.3％
DNA
S. cerevisiae Intron 92.5％ 94.3％ 93.4％ 85.4％ 85.4％ 86.7％
Exon 91.7％ 95.2％ 93.5％ 86.2％ 87.1％ 86.7％
Intergenic 93.4％ 93.9％ 93.7％ 86.7％ 88.5％ 87.6％
DNA
A.thaliana Intron 94.4％ 95.7％ 95.1％ 90.2％ 91.4％ 90.8％
Exon 93.6％ 94.5％ 94.1％ 87.8％ 89.8％ 88.8％

Intergenic 92.8％ 95.3％ 94.1％ 88.8％ 90.8％ 89.8％

DNA
5. Conclusions
In the paper, the DNA sequences of three model
species including C. elegans , S. cerevisiae and
A.thaliana are divided into three kinds: intron, exon,
intergenic DNA. A group of status parameters of the
diversity source are composed of the respective
frequency number of the AGCT four letters of three
subsequences of each DNA sequence which are
calculated by the procedure. Each sequence of intron,
exon or intergenic DNA is expressed by a 12-
dimension eigenvector. All of these sample data in the
three model species are divided into training sample set
and testing sample set according to respective category
attribute. The training set is looked at as antigens and
the reciprocal of the diversity increment is regarded as
the affinity function. A classifier is constructed which
introduces antibody-antigen identification, immune
colonel reproduction, hypermutation, affinity mature
and the network suppress, by simulating how the
antigens stimulate the immune network and how the
immune network responds. At last, we find that the
classifier’s performance is good and the classifying

34
accuracy is up to 85% after using the classifier to
predict the training set and the testing set. We can
apply the signal or simple model species to interpret
the inner relation of the advanced living things,
especially the humanity genomes in the structure and
the species evolution. The similarity and specificity of
sequences are found among genomes of the model
species and the humanity. Meanwhile, the classifying
method is tried to predict the protein structure and
function.
Acknowledge
This work is supported by National Nature Science
Foundation under Grant 60634020 and Grant
60673084.
References
[1] Wei You, Yaxiu Liu, “ Classifying DNA sequences by
artificial neural network model”, Science& Technology
Information, 2007, 25, pp.89-90.
[2] Huanping Zhang, Xiaofeng Song, Huinan Wang, “Feature
gene selection base on binary particle swarm optimization
and support vector machine”, Compute &Applied Chemistry,
2007, 24(9) , pp.1159-1162 .
[3] Yinshan Li, Chunyan Yang, Wei Zhang, “The Neural
Network Method of DNA Sequence Classification”,
Compute Simulation, 2003, 20(2), pp.65-68.
35
[4] Kexue Xu, Biological Mathematics, Science Press,
BEIJING ,2001.
[5] Zhiqing Lu, Qianzhong Li, “The prediction of the
structural class of protein: App lication of the measure of
diversity”, ACTA BIOPHYSICA SINIC, 2001,17(4), pp.703-
711.
[6] J. Timmis, M. Neal, “A resource limited artificial
immune system for data analysis”, Knowledge-Based system,
2001, 14, pp.121-130.
[7] L. N. De Castro, F. Von. Zuben, “Artificial immune
system : Part -Basic theory and application”, Technical
Report TR-DCA 01/99 December, 1999.
[8] Lin Cong, Yuheng Sha, Licheng Jiao, “Application of
Immune Clone Selection Algorithm to Image Segmentation”,
Journal of Electronics & Information Technology , 2006 ,
28(7), pp.1170-1173.
[9] Ruochen Liu, Jian Jia, Mengling Zhao, Licheng Jiao, “An
immune memory dynamic clonal strategy algorithm”,
Control Theory & Applications, 2007, 24(5), pp.777-783.
[10] Burset M. , Guigo R., “Evaluation of gene structure
prediction program”, Genomics, 1996(34), pp. 353- 367.
[11] Weihua Bao, Qianzhong Li, “The Diversity Increment
Method of Exon Intron and Intergenic DNA Prediction of
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Universitatis NeiMongo, 2004, 35(1), pp.60-64.
[12] Cuixia Chen, etc. , “The Identification of Exon Intron
and Intergenic DNA in the Model Species Genomes”, Acta
Scientiarum Naturalium Universitatis NeiMongol, 2005(7),
pp.166-172.
 2008 International Conference on Intelligent Computation Technology and Automation

Automatic threshold selection based on Particle Swarm Optimization algorithm

Ye zhiwei1 Chen hongwei1 Liu wei1 Zhang jinping2

1School of Computer Science, Hubei University of Technology, Wuhan, P.R.China,430068
2School of Remote Sensing and Information Engineering Wuhan University, Wuhan 430079,China
E-mail : weizhiye121@163.com chw2001@sina.com liuwei001@vip.sina.com jp-zhang@tom.com

Abstract 2 Principle of Particle Swarm Optimization

Image segmentation is a long-term difficult problem,
which hasn’t been fully solved. Thresholding is one of
the most popular algorithms. Particle Swarm
Optimization (PSO) was recently proposed algorithm,
which has been successfully applied to solve many
optimization problems. Based on the analysis of Otsu
threshold selection can be viewed as a continuous
optimization problem. Thus, a new method to select
image threshold automatically based on PSO algorithm
is employed in the paper. The performance of this
algorithm is compared with Otsu, and experimental
results show that PSO algorithm can reveal very
encouraging results in terms of the quality of solution
found and the processing time required.
1. Introduction
In the analysis of the objects in images it is essential
that we can distinguish between the objects of interest
and "the rest." This latter group is also referred to as the
background. The techniques that are used to find the
objects of interest are usually referred to as segmentation
techniques. Thresholding is a significant technique for
image segmentation, which is applied broadly in many
fields such as computer vision, character recognition
etc[1-2]. A number of methods concerning threshold
selection have been put forward on the effort of
technological workers. However, it is a pity that most of
these algorithms suffer from local optimization and bad
efficiency in practice. Hence, how to select a threshold
of global optimization efficiently is a hot topic in the
domain of image processing.
The Particle Swarm Optimization (PSO), proposed by
Kennedy and Eberhart[3-5], has proved to be a very
effective approach in the global optimization for
complicated problems. There is much ongoing activity in
the scientific community to extend and apply PSO
algorithms to solve a great deal of discrete optimization
problems for it’s parallel and robust characters.
PSO is originally motivated by social behavior of
organisms such as bird flocking and fish schooling. PSO
shares many similarities with evolutionary computation
techniques such as Genetic Algorithms (GA). The
system is initialized with a population of random
solutions and searches for optima by updating
generations. However, unlike GA, PSO has no evolution
operators such as crossover and mutation. In PSO, the
potential solutions, called particles, fly through the
problem space by following the current optimum
particles. Compared to GA, the advantages of PSO are
that PSO is easy to implement and there are few
parameters to adjust. PSO has been successfully applied
in many fields: function optimization, artificial neural
network training, fuzzy system control, and other areas
where GA can be applied [3-6].
PSO simulates the behaviors of bird flocking.
Suppose the following scenario: a group of birds are
randomly searching food in an area. There is only one
piece of food in the area being searched. All the birds do
not know where the food is. But they do know how far
the food is in each iteration. So what's the best strategy
to acquire the food? The effective one is to follow the
bird that is nearest to the food. PSO learned from the
scenario and used it to solve the optimization problems.
Like the genetic algorithms, PSO is initialized with a
group of random particles and then searches for optima
by updating generations. Each particle is represented as
Xi=(xi1,xi2,…,xin),i =1,2,...,N, where N is the swarm size.
Thus, each particle is randomly placed in the n-
dimensional space as a candidate solution in every
iteration; each particle is updated by following two
"best" values. The first one is the best solution (fitness) it
has achieved so far. (The fitness value is also stored.)
This value is called pbesti. Another "best" value that is
tracked by the particle swarm optimizer is the best value,
obtained so far by any particle in the population. This
best value is a global best and called gbest. When a

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DOI 10.1109/ICICTA.2008.51
particle takes part of the population as its topological
neighbors, the best value is a local best and is called Lbest.
After finding the two best values, the particle updates
its velocity and positions with following equation (1)
and (2).
vijk 1 wvijk  c1r1 ( pbestijk  xijk )  c2 r2 ( gbest kj  xijk ) (1)
xijk 1 x ijk  vijk
Where k is the current iteration number,w is inertia
weight, vij is then updated velocity on the jth dimension
of the ith particle,c1and c2are acceleration constants,
c1and c2 are positive constant parameters, usually c1 = c2
= 2. r1 and r2 are the real numbers drawn from two
uniform random sequences of U(0, 1).
Particles' velocities on each dimension are clamped to
a maximum velocity Vmax. If the sum of accelerations
would cause the velocity on that dimension to exceed
Vmax, which is a parameter specified by the user, then the
velocity on that dimension is limited to Vmax. The above
particle swarm algorithm has been used to solve
optimization problems.
As a matter of fact, to get the optimal “threshold” can
be viewed as an optimization problem which can be
solved by PSO. In the paper, the optimal threshold of
image is formulated as a procedure of bird flocking, a
particle’s location in the 1-dimensional problem space
represents one candidate threshold for the problem.
When a particle moves to a new location, a different
solution is generated. This solution is evaluated by a
fitness function that provides a quantitative value of the
solution’s utility, after several iterations, the optimal
“threshold” will generate, details will be illuminated at
the next section.
The remainder of this paper is organized as follows.
Section 3 describes the step involved the advanced
algorithm to solve threshold selection problem, while
Section 4 reports evaluation of the experimental results
of proposed algorithm and Otsu’s algorithm. Finally,
conclusions of the current work are reported in Section5.
3 PSO for threshold selection problem
In many application of image processing, the gray
levels of pixels belonging to the object are substantially
different from the gray levels belongs to the background.
Thresholding then becomes a simple but effective tool to
separate objects from the background. There are many
methods to select threshold, which can be categorized
relying on the information they are exploiting, such as
histogram, classes square error, fuzzy set, entropy and so
forth. General speaking, different criteria as minimum
error, cross-entropy, maximum entropy etc are employed
by different algorithm for threshold selection method.
All these algorithms have their own merits and defects at
the same time. Performances of these algorithms are
concerned with the concrete images to be handled.
According to evaluation result of lee and Sahoo etc it is
suggested that maximum between-class square error
should be a good method to select proper threshold on
(2) the condition that images must be processed on real time
and the number of pixels in each class are close to each
other.
In nature, maximum classes square error belongs to
Otsu method, which employs a criterion for maximizing
the between-class variance of pixel intensity and can
detect proper threshold to segment picture automatically.
In the case of bi-level thresholding of an image, the
pixels are divided into two classes, C0 with gray levels
[1, …, t] and C1 with gray levels [t+1, …, L].
Using discriminant analysis, Otsu defined the
between-class variance of the thresholded image by
V (t )2 Z1(t ) u Z2 (t ) u (P1(t )  P2 (t ))2 (3)
Where Z1 (t ) is the amount of pixels in C0 , Z2 (t ) is
the amount of pixels in C1 , P1 (t ) is the means for C0 ,
P 2 (t ) is the means for C1 .
For bi-level thresholding, Otsu verified that the
optimal threshold T is chosen so that the between-class
variance V (t ) 2 is maximized when t is altered from 0 to L;
that is,
T= Arg max( V (t ) 2 ) 1 d t d L (4)
The essence of Otsu algorithm is to compute the
between-class variance. More gray level the image has,
more time for computation will be needed. In practical
image processing, to eliminate the influence by uneven
light, local threshold selection method is often utilized.
That is, an image is divided into K blocks with size of
M u N pixels, and for every subimage the Otsu method
is applied to select threshold. Here, the total times of
variance computation for local threshold is K multiples
of that of the global threshold. For instance, a 256 gray
level image with size of 2000×2000 pixels is divided
into 400 blocks by100×100, then 1024000 times of
variance computation will be needed to get all the local
thresholds. It is no doubt this millions of computations
will degrade the efficiency of the algorithm and makes it
unsatisfying to process images of large size[7].
As is mentioned above, the inward of Otsu is a
process to pursue the maximum between-class variance,
which can be viewed as an optimization problem. Hence,
we can employ PSO to deal with it.
3.1Particle Representation and Fitness Function
37
 One of the key issues in designing a successful PSO
algorithm is the representation step, i.e. finding a
suitable mapping between problem solution and PSO
particle. In the paper, we set up a search space of 1-
dimension for one threshold seeking problem. Each
dimension has continuous set of possible values. In
regard to 256 gray level images, the candidate threshold
is between 0 and 255.which can be encoded by an
integer lies in [0 255].Namely, the candidate threshold
are coded from 0 to 255. If we try all 256 thresholds to
get the optimal threshold, it is the Otsu method. Here
PSO is employed to solve it.
The quality of solution is measured by the objective
function as between-class square error. According to the
optimization objective function Eq. (3), mathematically,
the fitness function f (t) of each particle can be
formulated as.
f (t ) Z 0 (t ) u Z1 (t ) u ( P 0 (t )  P1 (t )) 2 (5)
Such that t is a gray level between 0 and 255 which
can be obtained through the particle’s position. Z0 (t ) is
amount of pixels whose gray value is lower than
t ; Z1 (t ) is amount of pixels whose gray value is higher
than t ; P 0(t ) is the means of pixels with gray value less
than t ; P 1 ( t ) is the means of pixels with gray value
more than t .
3.2Procedures of the algorithm
As stated before, in proposed PSO algorithm, a
candidate threshold is mapped into corresponding a
particle’s position. Firstly, the algorithm starts by
generating randomly initial population of the PSO.
Every particle is initialized with a locations and a
velocities, the value of locations can be generated in
range of [0 256]. Thus, these locations composed the
initial solutions for the optimal threshold. Secondly, the
particles’ fitness is measured by Eq. (5). The algorithm
keeps an updated version of two special variables
through out the course of its execution: “global-
best”(gbest) position and “local-best”(Pbesti) position. It
does that by conducting two ongoing comparisons: First,
it compares the fitness of each particle being in its
“current” position with fitness of other particles in the
population in order to determine the global-best position
each generation. Then, it compares different visited
positions of a particle with its current position, in order
to determine a local-best position for every particle.
These two positions affect the new velocity of every
particle in the population according to Eq. (1). As shown
in this equation, two random parameters control amount
of effect the two positions (i.e. global and local best
positions) impose over the new particle velocity. The
purpose of these parameters is to introduce a randomize
38
and unbiased affect from either positions; hence,
introduces a bit of exploration at some times and a bit of
exploitation at another time randomly. The algorithm
uses the new velocity to update the particle current
position to a new position according to Eq. (2). Once all
particles adjust their positions, they will constitute the
new status of the PSO population. Then, the algorithm
evaluates the fitness of these particles according to their
new positions. Thirdly, the algorithm repeats this whole
process of determining the global and the local best
positions, updating particle position and evaluating new
particle position until a user-determined criterion is
satisfied. In our case, we mapped this criterion to a
maximum number of generations. Finally, we can get the
best particle and optimal threshold.
As mentioned in the paper[7],In a general way, As for
a 256 gray level image, the quasi threshold often vary 25
gray levels around the optimal threshold.Therefore, to
avoid falling into local optimal threshold a fluctuant
threshold A is imposed in our test. That is ,after main
circle ends we get a quasi threshold .Then another local
search is performed , that we change t in the rang of [t-A,
t+A] and compute between-class variance to get optimal
threshold .The procedure of the proposed PSO algorithm
for solving the optimization problem of threshold
selection is described as follows:
Step1.Initialize N particles with random positions
x1,x2,…xN according to Eq. (1). Generate velocities Vi , i
= 1,2,...,N.
Step 2. Evaluate each particle according to Eq. (5).
Step 3. Update individual and global best positions: If
f (pbesti) < f (xi) , then pbesti = xi , and search for the
maximum value fmax among f (pbesti) , If max f (gbest) <
fmax gbest = x max ,xmax is the particle associated with fmax .
Step 4. Update velocity: update the ith particle
velocity using the Eq.(2) restricted by maximum and
minimum threshold vmax and vmin .
Step 5. Update Position: update the ith particle
position using Eq. (1)and (2)
Step 6. Repeat step 2 to 5 until a given maximum
number of iterations is achieved or the optimal solution
so far has not been improved for a given number of
iteration.
Step 7. In the light of given fluctuant threshold A,
another local search is executed to get the optimal
threshold on the rule of biggest between- class variance.
4 Experiment and discussion
We implement the algorithm to segment 10 images
including Lena and several aerial images. To evaluate
the performance of our algorithm, we have performed
PSO on every image for 100 times and compared it with
Otsu algorithm. Parameters of the algorithm are set as: N How to apply PSO to generic image segmentation
is 5 ,the inertia weight w is set to from 0.4 to 0.1 in the problem?
way of linear decline, the Vmax is set to 50, the
maximum number of iteration is 16,A is set 20.Two
images and segmented results are showed in Figure 1.
As we can see from Table 1 that the worst quasi
threshold has only 9 gray levels difference to the best
threshold, in addition, the best quasi threshold has no
difference with corresponding optimal threshold.
Furthermore, the method can get the same optimal
threshold as that of Otsu. In contrast, all maximum times
of variance computation is below 120, while the Otsu
algorithm need 256 times of computation. It is obvious
that our method can reduce the computation time and
enhance the efficiency of old class square error
method.(in table 1. Times is the total times of variance
computation, quasi and best denote quasi threshold and
best threshold respectively.).Eventually, it is worth
noting that PSO has been tested on trial images for 1000
times, it can obtain the optimal threshold 998 times, Fig. 1 Test Images and Segmented Result
which shows that PSO is an efficient and robust
algorithm for threshold selection . Acknowledgements
This paper is financially supported by Excellent
Table 1 Experimental result Young Teachers Program from bureau of education in
Our method Otsu Hubei province (No.20081409ˈNo.20081402)
No.
times quasi best times best References
1 120 145 145 256 145
[1]Kenneth Casteleman. Digital image processing,
2 120 143 143 256 143
Prentice Hall, 1995
3 120 145 145 256 145 [2]Mehmet Sezgin, etc, Survey over image thresholding
4 120 111 120 256 120 techniques and quantitative performance evaluation
5 120 89 86 256 86 Journal of Electronic Imaging January 2004, 13(1)
6 120 97 97 256 97
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[3]Kennedy J,Eberhart R.Particle Swarm Optimization.
7 120 81 83 256 83 Proc.IEEE International Conference on Neural
8 120 126 126 256 126 Networks, IV.Piscataway, NJ IEEE Service Center,
9 120 101 101 256 101 1995, pp.1942~1948.
10 120 99 95 256 95
[4]Eberhart R, Kennedy J.A New Optimizer Using
Particle Swarm Theory. Proc of the Sixth International
Symposium on Micro Machine and Human Science,
5 Conclusions 1995, pp.39~43.
[5]Eberhart R C,Shi YˊParticle Swarm Optimization
In summary, PSO algorithm has been developed to Development,Applications and Resources Proc.
segmentation problem. Simulation results indicate that Congress on Evolutionary Computation 2001,
newly proposed algorithm can succeed in finding Piscataway,NJ IEEE Press,2001,pp.81~86.
optimal threshold to segment images. Surely, it can be [6]Ayed Salman, Imtiaz Ahmad, Sabah Al-Madani,
applied to seek muti-threshold for image segmentation. Particle swarm optimization for task assignment
However, some drawbacks of our algorithm mainly lies problem, Microprocessors and Microsystems, 2002,
in that the number of threshold must be given as priori Vol.26 ,PP.363~371.
knowledge Hence, further work can be done along two [7]Zheng hong, Pan Li the automatic selection of image
main research directions. threshold on the basis of genetic algorithm. journal
How to use this algorithm without being given the of image and graphics (in Chinese) vol 4(A), No .4
number of the threshold? 1999 327~330

39
 2008 International Conference on Intelligent Computation Technology and Automation

Combinatorial Kernel Matrix Model Selection

Using Feature Distances

Lei Jia, Shizhong Liao

School of Computer Science and Technology
Tianjin University, Tianjin 300072, P. R. China
{ljia,szliao}@tju.edu.cn

Abstract value, but only assert certain criteria in form of regulari-

Constructing an optimal combinatorial kernel matrix is
crucial in kernel methods. We propose a criterion for this
model selection problem in the feature space. Differing
from the previously popular kernel target alignments cri-
terion, which is subject to limiting the combinatorial matrix
that projects the inputs into two additive inverse features,
the proposed criterion overcomes the limitation and mea-
sures the goodness of a combinatorial kernel matrix based
on the feature distances. We first introduce the kernel tar-
get alignment and discuss its limitation for combinatorial
kernel matrix. Then we present the feature-distances based
combinatorial kernel matrix evaluating criterion formally.
Finally, we analyze the properties of the proposed criterion
and examine its performance on simulated data base. Both
theoretical analysis and experimental results demonstrate
that the proposed combinatorial kernel matrix evaluating
criterion is sound and effective, and lays the foundation for
further research of combinatorial kernel methods.
1. Introduction
Kernel-based algorithms such as Support Vector Ma-
chine (SVM) [10] takes a modular approach, where first the
embedding of the data is entirely specified by kernel ma-
trix, and then a linear algorithm will exclusively use kernel
matrix to seek for linear relations amongst the embedded
data points. These algorithms are based around the notation
of kernel matrix or Gram matrix, which is always symmet-
ric positive semi-definite. As all the information need by
the learning machine is contained in the Gram matrix, mea-
suring its goodness is of primary interest in kernel model
selection.
There are many ways to measure the goodness of a com-
binatorial kernel matrix, such as risk bound [8], posterior
probability [9], et al. These measures do not give a specific
ties in certain spaces [7], and all of these kernel measures
require an optimization procedure for evaluation.
Recently, a much more efficient kernel target alignment
(KTA) [3] measure is widely used to evaluate the goodness
of a kernel matrix aligns to a target (or another kernel ma-
trix), which is defined as the (normalized) Frobenius inner
product between the kernel matrix and the covariance ma-
trix of the target vector. KTA is efficiently calculated and
has been used in many methods for feature and model selec-
tions, such as learning conic combinations of kernels[6, 1],
learning idealized kernels [5] and kernel design using boost-
ing [2]. However, KTA has a fundamental limitation that a
high KTA is only a sufficient condition to be a good kernel
matrix. It is possible for a kernel matrix to have a very good
performance even though its KTA is still low [7].
In this paper, we propose a more effective model se-
lection criterion for combinatorial kernel matrix, which is
based on the distance between features. We first introduce
the extensively used KTA and discuss its limitation that it
is only a sufficient condition and has redundancy for eval-
uating a matrix in section 2. Then we present in section
3 the definition of the proposed criterion, and analysis its
computation complexity that is the same as KTA. In sec-
tion 4, we experiment the feature distance based criterion
on simulation data and compare its performance with KTA.
Conclusions are drawn in section 5.
2. Limitation of Kernel Target Alignment
Kernel target alignment is a measure of the similarity
between two kernel matrix or the degree of agreement be-
tween a kernel matrix and target matrix [3]. which is de-
fined as the normalized Frobenius inner product between
the kernel matrix and the covariance matrix of the target
vector.
Suppose the train set is X = {xi } ⊂ Rn , the label set
 m
is Y = {yi } ⊂ {1, −1} , i ∈ {1, . . . , m}, and the target

978-0-7695-3357-5/08 $25.00 © 2008 IEEE 40

DOI 10.1109/ICICTA.2008.225
matrix is Y Y  . Let the kernel matrix under feature map- is the optimal combinatorial coefficient. Assume
m
ping φ : X → F is K = {kij = φ (xi ) , φ (xj )}i,j=1 ,    
   
Frobenius inner product is defined as {xi }yi =+1  = m+ , {xi }yi =−1  = m− ,
m 
 m where m+ + m− = m, φα projects subset {xi }yi =1 and
K1 , K2 F = (k1 )ij (k2 )ij . {xi }yi =−1 into φ+ −
α and φα respectively. Let
i=1 j=1
φ+ + − − + − − +
α φα = φα φα = 1, φα φα = φα φα = π,
Then the kernel target alignment is defined as follows.
−1 ≤ π ≤ 1,
Definition 2.1. The alignment between a kernel matrix K
then
and target matrix Y Y  on training set X and label set Y is
m2 − 2πm+ m− + m2−
K, Y Y  F Y  KY 0≤A= + ≤ 1.
A (X, K, Y ) =  = , m m2+ − 2π 2 m+ m− + m2−
K, KF Y Y  , Y Y  F m KF
(1) When π = −1, A = 1.
and the alignment between K1 and K2 on X is However, having a high KTA is only a sufficient but not
necessary condition to be a good kernel matrix. Since K is
K1 , K2 F
A (X, K1 , K2 ) =  . positive and A (X, K (α) , Y Y  ) is cosine of the angle be-
K1 , K1 F K2 , K2 F tween K and Y Y  , we have A (X, Y Y  , Y Y  ) = 1. There-
Kernel target alignment actually compute the cosine of fore, maximizing (2) will make K (α) approach to Y Y 
the angle between two bi-dimensional vector K and Y Y  , gradually, and the {αk } satisfying the following two con-
which based on the consideration that the ideal kernel ma- dition should be chosen
trix should satisfy (a) φα projects all samples of the same class into the same
 feature in F , ie. kij = 1, which is shown in Figure 1.
k (xi , xj ) = +1, yi = yj ,
(b) φα projects all samples of different class into the addi-
k (xi , xj ) = −1, yi = yj .
tive inverse feature in F , i.e. kij = −1.
That means if xi and xj belong to the same class, then their Actually, it has redundancy. First, if φα maps all examples
corresponding entity in K is 1. A certainly bad kernel ma- of a class to one vector in the feature space, the kernel ma-
trix is identity diagonal, where all points are orthogonal: trix is powerful enough for a classification task and should
no more cluster, no more structure. Formula (1) will reach be evaluated as optimal. Second, although {αk } needs only
maximum when K = Y Y  . condition (a) to ensure K (α) being optimal, it is also too
KTA has been extensively used as criterion in kernel ma- strict and not applicable in many cases, as it is possible for a
trix model selection in practice. It can be efficiently com- kernel matrix to have a very good performance even though
puted before any training of the kernel machine take place, its KTA is still low. Moreover, a common sense about lin-
and based only on training data information. It is sharply ear classifier is that varying samples along the separating
concentrated around its expected value, and hence its empir- hyperplane in the feature space will not affect the classifi-
ical value is stable with respect to different splits
 of  data [4]. cation margin (see Figure 2). Therefore, we in this paper
Moreover, its computation complexity is O n2 . Hereby soften the (a) condition and derive a feature distance based
Kandola et al. developed a general algorithm for optimiz- criterion for combinatorial kernel matrix model selection.
ing the alignment over linear combinations of kernels [4].
Considering now the kernels linear combination 3. Feature Distance Based Criterion
 
m
K (α) = αk Kk = φα (xi ) , φα (xj ) , Definition 3.1. Let
i,j=1
1  1 
k
T
α = {α1 , . . . , αk } ≥ 0, φ+α = φα (xi ) , φ−
α = φα (xi )
m+ m−
{+} {−}

dout = η2 , η = φ+α − φα

−

then the solution of  2

  d+
in = φα (xi ) − φ+
α,η ,
Y Kk Y {+}
max  k  2
m kl αk αl Kk , Kl F d− = φα (xi ) − φ−
in α,η ,
s.t. α ≥ 0 (2) {−}

41
^ xi ` y ^ xi ` y 1 ^ xi ` y ^ xi ` y 1
^ xi ` y ^ xi ` y
i 1 i 1 i
i

i 1 d out i 1

d in
ID ID ID ID
ID

ID
d in

Figure 1. When using KTA Figure 2. Projecting sam-

ples parallel to the separat- Figure 3. Geometric signifi-
for evaluating kernel ma-
ing hyperplane in the feature cance of d+ −
in , din and dout in
trix, samples are projected
space is sufficient for a ker- FCMC. φα and φ−
+
α denote the
into two additive inverse fea-
center of the two classes.
tures: φ+ −
α , φα optimally.
nel matrix to be optimal.

where {+} and {−} denote set {xi }yi =1 and {xi }yi =−1 It easily can be seen that d+ +
in , din and dout can be all calcu-
respectively. Then lated by pass through the kernel matrix K  (α). Therefore,
the FCMC is efficiently calculated in O km2 time com-
d+ −
in + din
F CM C (X, K (α) , Y ) = plexity, which equals to that of KTA criterion. Then the op-
dout timal combinatorial coefficients can be obtained by solving
is called feature distance based combinatorial kernel matrix the following optimization model
evaluation criterion and denoted as FCMC.
d+ −
in + din
The geometric significance of all entities in FCMC are min ,
shown in Figure 3, where φ+ − dout
α and φα denote the center
of the two classes. dout denotes the distance between two s.t. αk ≥ 0. (3)
class, and d+ −
in , din denote the sum of the distance between
the features and their center (in direction perpendicular to FCMC is similar to the radius margin bound R2 /Δ in
hyperplane) within a class. When a combinatorial kernel statistic learning theory, as dout actually measure the mar-
projects samples of the same class into more concentra- gin Δ and d+ − 2
in , din reflect the R in some degree. Their
+ +
tive features and sample of different class into much further main difference is that din and din do not compute the fea-
ones, it will have a smaller FCMC value. Comparing with ture distances directly but compute their components in the
KTA, FCMC wipes off condition (b) while considering the direction perpendicular to hyperplane.
inner distance of a class and the inter distance between two
classes simultaneously. 4. Experiment
We then analysis the computation complexity of FCMC.
First, In this section, experiments on simulated data are de-
1  1  signed to assess the validity and feasibility of FCMC in
φ+ +
α φα = k ij , φ − −
α φ α = kij ,
m2+ m2− SVM.
{+} {+} {−} {−}
 The first experiment compares the performance of KTA
1
φ+ − − +
α φα = φ α φα = kij , and FCMC in kernel parameter tuning. We use a simulated
m+ m− data set Xtrain for training, where m+ = m+ = 600, and
{+} {−}
 choose Gaussian kernel matrix
where kij = αk (kk )ij , then we have
k  
G
 G m G xi − xj 2
dout = φ+ + − − + −
α φα + φα φα − 2φα φα , K = kij i,j=1 , k (xi , xj ) = exp −
 2 2γ 2
 1
 1
 + + + −
m− kij − m+ kij + φα φα − φα φα and polynomial kernel matrix
{+} {−} {+}
d+ = ,  P m γ
in
(m+ − 1) dout K P = kij i,j=1
, k P (xi , xj ) = (xi xj − 1)
 2
 1
 1

m+ kij − m− kij + φ− −
α φα − φ+ −
α φα
as subjects.
{−} {+} {−} As γ ranging in [−6, 6], we first train SVM with K G and
d−
in = . P
(m− − 1) dout K on Xtrain , then we calculate the KTA value and FCMC

42
 Gaussian Kernel Polynominal Kernel
0.9 0.9
Err Err
FCMC FCMC
0.8 0.8 1
KTA KTA
0.9 FCMC
0.7 0.7
Err
0.8
0.6 0.6
0.7

0.5 0.5 0.6

0.5
0.4 0.4
0.4
0.3 0.3
0.3

0.2 0.2 0.2

0.1
0.1 0.1
0
−3
0 0 −2 3
−6 −5 −4 −3 −2 −1 0 1 2 3 4 5 6 −6 −5 −4 −3 −2 −1 0 1 2 3 4 5 6 −1 2
0 1
(a) (b) 1 −1
0
2 −2
3 −3

Figure 4. Relations among KTA, FCMC and

Figure 5. FCMC and Err of combinatorial
Err of Gaussian kernel (a) and of polyno-
kernel matrix with different α1 and α2 .
mial kernel (b).

value of the two kernel matrix, after that we test their er-
ror rate Err on a test set Xtest , where m+ = m− = 100.
The values of KTA, FCMC and Err in K G and K P SVM
are shown in Figure 4. One can easily see that the low-
est Err corresponding to the smallest FCMC, while it is not
aligned with the biggest KTA strictly (although conversely
the smallest KTA corresponding to a lowest Err), which
matches up the analysis in previous section.
The second experiment verifies the effectiveness of
FCMC in combinatorial kernel matrix model selection. We
choose the linear combination of Gaussian kernel matrix
and cubic polynomial kernel matrix
K (α) = α1 K G + α2 K P ,
  3 Research, 1:1–31, 2002.
with k G = exp −xi − xj 2 /2 , k P = (xi xj − 1) . By
fixing the kernel parameters, we calculate the FCMC and
Err with α1 , α2 ∈ [−3, 3] on Xtrain and Xtest . The re-
sult planes are shown in Figure 5. There are four extremum
in each plane, where three of them are aligned strictly (in-
cluding the minimum), except that one extremum of FCMC
corresponding to a peak value of Err.
In brief, comparing with KTA, FCMC is more effective
in reflecting the trend of Err and then more feasible in mea-
suring the goodness of a combinatorial kernel matrix.
5. Conclusion
We have proposed a feature distance based model selec-
tion criterion for combinatorial kernel matrix,which over-
comes the redundancy of KTA criterion, and shows validity
and feasibility both in theoretical analysis and comparative
experiments.
As this criterion also provides a foundation for further
researches of model combination in kernel methods, atten-
tions to implement it large scale benchmark data base is
deserved and efficient optimization algorithm of model (3)
needs to be investigated in future works.
References
[1] S. Cheng, A. Smola, and R. Williamson. Learning the kernel
with hyperkernels. Journal of Machine Learning Research,
6:1043–1071, 2005.
[2] J. Crammer, A. Elisseeff, and J. Shawe-Taylor. Kernel de-
sign using boosting. In Advances in Neural Information Pro-
cessing Systems 14, pages 537–544, Cambridge, MA, 2002.
MIT Press.
[3] N. Cristianini, J. Kandola, A. Elisseeff, and J. Shawe-Taylor.
On kernel-target alignment. Journal of Machine Learning
[4] J. Kandola, J. Shawe-Taylor, and N. Cristianini. Optimizing
kernel alignment over combinations of kernel. Technical Re-
port NC-TR-2002-121, NeuroCOLT, 2002.
[5] J. Kwok and I. Tsang. Learning with idealized kernels. In
Proceedings of the 20th International Conference on Ma-
chine Learning, pages 400–407, 2003.
[6] G. Lanckriet, N. Cristianini, P. Baltlett, L. El Ghaoui, and
M. Jordan. Learning the kernel matrix with semidefinite pro-
gramming. Journal of Machine Learning Research, 5:27–
72, 2004.
[7] C. Nguyen and B. Tu. Kernel matrix evaluation. In
M. Manuela, M. & Veloso, editor, Proceedings of the 20th
International Joint Conference on Artifficial Intelligence,
pages 987–992, 2007.
[8] B. Shölkopf and A. Smola. Learning with Kernels. MIT
Press, Cambridge, MA, 2002.
[9] P. Sollish. Probability methods for support vector machines.
In S. Solla, T. Leen, and K. Müller, editors, Advances in
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[10] V. Vapnik. The Nature of Statistical Learning Theory.
Springer, New York, 1995.

43
 2008 International Conference on Intelligent Computation Technology and Automation

Constrained Competitive Learning Algorithm for DNA Microarray Gene

Expression Data Analysis

Shuanhu Wu1,2 , Hong Yan2,3 , Qingshang Zeng1 ,Yanjie Zhang1 and Yibin Song1
1
School of Computer Science and Technology, Yantai university,
Yantai 264005, Shandong, China
2
Department of Electronic Engineering, City University of Hong Kong,
Tat Chee Avenue, Kowloon, Hong Kong
3
School of Electronic and Information Engineering, University of Sydney,
NSW2006, Sydney, Australia
wushuanhu@gmail.com

Abstract have been proposed for gene expression data analysis,

Cluster analysis is an important tool for discovering
the structures and patterns hidden in gene expression
data. In this paper, a new algorithm for clustering gene
expression profiles is proposed. In this method, we find
natural clusters in the data based on a competitive
learning strategy. Using partially known modes as
constraints in our method, we reduce the sensitivity of
the clustering procedure to the algorithm initialization
and produce more reliable results. Also the proposed
algorithm can give the correct estimation of the
number of clusters in the data. Experiments on
simulated and real gene expression data demonstrate
the robustness of our method. Comparative studies with
several other clustering algorithms illustrated the
effectiveness of our method.
1. Introduction
A large amount of microarray gene expression data
has become available in several databases and cluster
analysis of such massive data has proved to be a useful
tool for discovering the structures and patterns hidden
in the data. This approach may further help understand
the functions of many genes for which information has
not been available previously. Co-expressed genes in
the same cluster are likely to be involved in the same
cellular processes and a strong correlation of
expression patterns between those genes indicates co-
regulation [1,2]. Furthermore, clustering analysis of
gene expression data can be useful in modeling a gene
regulation network [3].
Clustering belongs to the category of unsupervised
classification, which means that the learning process
does not rely on predefined classes and training
examples. So far, many different clustering algorithms
but they all suffer from various shortcomings. For
example, statisticians have noted that hierarchical
clustering suffers from robustness, uniqueness and the
inversion problems, which complicate interpretation of
the resulting hierarchy [4]. Algorithms based on
optimization [5, 6] cannot guarantee that the resulting
solution corresponds to the global optimum. K-means
method [4] and SOM algorithms [7] produce clustering
results dependent on initialization and need to pre-
define the numbers of clusters. Although some
algorithms exist for estimating the number of clusters
[8], most of them cannot be used for clustering gene
expression data directly in which clusters may be
highly intersected with each other or even embedded
one in another [9], [10]. In addition, these algorithms
do not incorporate partial data classification
information, which can potentially improve the quality
of clustering.
In this paper, we propose a new clustering
framework for analyzing gene expression data base on
one-prototype-take-one-cluster (OPTOC) competitive
learning strategy [11, 12] and partially known gene
modes that typically exist for biological data for
experimental observation and validation. The OPTOC-
based competitive learning method can produce natural
clusters in the data. With partially known modes as
constraints in this algorithm, the sensitivity of
clustering results to initialization can be reduced and
the clustering results become more reliable. Also, new
algorithm can provide reasonable cluster numbers.
2. OPTOC competitive learning paradigm
Different from conventional clustering algorithms,
the OPTOC-based competitive learning paradigm [11]
can be used to find natural clusters in the input data

978-0-7695-3357-5/08 $25.00 © 2008 IEEE 44

DOI 10.1109/ICICTA.2008.7
 G G GK
even when the number of actual clusters is unknown. αGi → 0 . On the other hand, if | Pi X |<<| Pi Ai | , i.e.,
G
During the learning process of most conventional X is Gwell inside
G the dynamic neighborhood
G of Pi ,
clustering algorithms, if the number of prototypes both Ai and Pi Gwould shift toward X according to
(cluster centers) is less than the number of natural (1) and (5), and Pi would have a large learning rate α i
clusters in the dataset, there must be at least one
GK
according GK
to (5). During learning, the neighborhood
prototype that wins patterns in more than two clusters, | Pi Ai | will decrease monotonically. When | Pi Ai | is
G
and this behavior is called one-prototype-take-multiple- less than a tiny quantity ε , Pi would eventually settle
clusters (OPTMC). Figure 1(a) shows an example of at the center of a natural cluster in the input pattern
learning based on the OPTMC paradigm, where P1 space and the learning stops. Thus, with the “help” of
actually wins all three clusters and finally settles at the
the APV, each prototype will locate only one natural
center of three clusters S1, S2 and S3. In contrast, the
cluster and ignore other clusters. Figure 1(b) shows an
one-prototype-take-one-cluster (OPTOC) idea allows
example of learning based on the OPTOC paradigm. In
one prototype to characterize only one natural cluster in
the dataset, regardless of the number of clusters in the this figure, P1 finally settles at the center of S3 and
data. Figure 1(b) shows an example of learning based ignores the other two clusters S1 and S2.
0.5 0.5
on the OPTOC paradigm, where P1 actually wins only S1 P1 S1 P1
the one of three clusters and finally settles at the center
of cluster S3. The above property of the OPTOC-based 0
o
0

learning strategy is important in discovering the correct o

structure hidden in the data. -0.5
S2 S3
-0.5
S2 S3

OPTOC is achieved by constructing a dynamic G -0.5

(a)
0 0.5 -0.5
(b)
0 0.5

neighborhood using an online learning vector Ai ,

Figure 1. Comparison of two learning methods: OPTMC
G
called the asymptotic property vector (APV), for the versus OPTOC. (a) One prototype takes the center of all three
prototype Pi , G such that patterns inside the clusters if OPTMC based learning is used. (b) One prototype
neighborhood of Pi Gcontribute
G more to its learning than takes only one cluster and ignores the other two clusters if
those outside.
G G Let | x y | denotes G
the Euclidean distance OPTOC based learning is used.
from x to y , and assume that PGi is the winning
prototype for the input pattern X based G on the 3. New clustering strategy
minimum distance criterion. The APV Ai is updated
by Although the OPTOC-based competitive learning
G K G G G G G strategy overcomes limitations of the OPTMC-based
Ai* = Ai + ( X − Ai ) • Θ( Pi , Ai , X ) • δ i / n AG (1)
i learning method, its clustering results still depend on
where Θ is a function given by initialization and can be unstable for gene expression
GG GG
G G G ⎧1 if | μυ |≥| μω | data analysis. First, microarray gene expression data
Θ( μ , υ , ω ) = ⎨ (2) are often corrupted by a large amount of noise and
⎩0 otherwise outliers. Second, gene expression data often contain
and δ i , with range 1 < δ i ≤ 1 , is defined as clusters that are highly intersected with each other or
GG 2
even embedded one in another [9,10]. Therefore, more
⎛ | Pi Ai | ⎞ robust clustering algorithms must be developed to
δ i = ⎜⎜ G G G G ⎟
⎟
(3) solve these problems.
⎝ | Pi Ai | + | Pi X | ⎠ Most conventional clustering algorithms require the
n AGi is the winning counter which is initialized to specification of the correct number of clusters in the
zero and is updated as follows dataset. Moreover, there is no guarantee that the
G G G
n AG = n AG + δ i • Θ( Pi , Ai , X ) (4) resulting clusters correspond to natural clusters even if
i i
G the correct number of clusters is known. In many cases,
The winning prototype Pi is then updated by the clusters obtained by a clustering algorithm heavily
G G G G
Pi * = Pi + ( X − Pi ) • α i (5) depend on the formulation of the objective function
GG 2 used. In other words, the algorithm itself imposes an
⎛ |PA | ⎞ assumed cluster structure on the data. These algorithms
where α i = ⎜⎜ G G i i G K ⎟⎟ might result in following clustering results: (1) a
⎝ | Pi Ai | +G| Pi X | ⎠ natural clusters might be erroneously divided into two
G X is Gwell
If the input pattern G outside
G K the dynamic or more clusters; (2) several clusters or part of them are
neighborhood of Pi , i.e., | Pi X |>>| Pi Ai | , itG would erroneously grouped into one class. Such behaviors
have very little influence on the learning of Pi since obviously lead to wrong data classification.

45
 Typically a gene expression dataset includes genes,
for which the characteristics of their expression data
are known to biologists. For example, in the yeast cell
cycle expression data [13], 416 genes have been
interpreted biologically and their expression data
correspond to five cell cycle phases: early G1, late G1,
S, G2 and M, respectively. Some applications just
utilize those known information to verify the
performance of their clustering algorithm, but this
clustering strategy is not useful for finding the correct
cluster structure hidden in the data. Based on the above
observation, we propose in this paper a new clustering
framework using the information of partially known
gene modes. When such information is incorporated
into the one-prototype-take-one-cluster (OPTOC)
competitive learning procedure, we can obtain
improved clustering results.
Since it is very difficult to estimate the correct
number of natural clusters reliably in a complex high-
dimensional dataset, we adopt an over-clustering and
merging strategy. The over-clustering procedure can
minimize the chance of missing natural clusters in the
data. The merging procedure attempts to merge similar
clusters until all remaining clusters are finally distinct
from each other. Different from other clustering
algorithms, such as our earlier work [12], the merging
criteria used in our new algorithm also takes the
advantage of the partially known gene mode
information.
4. The new clustering algorithm
Our clustering algorithm is implemented as a
divisive clustering followed by an agglomerative
clustering process. The divisive step adopts the
OPTOC competitive learning paradigm with
constraints from known gene information to ensure the
resulting clusters are not sensitive to initialization. Also
we adopt an over-clustering strategy to avoid missing
any natural clusters in the data. The agglomerative step
estimates the number of correct clusters.
4.1. Divisive Clustering Step
G with the mother prototype Pi [11]. The idea is to
Let { xik | k = 1,2,..., K ; i ∈ C k } be the partially
known expression data that have been biologically
G G
characterized a priori, where x ∈ R p represents a
vector in the p-dimensional space (p indicates sampled
time points or conditions in a microarray experiment),
subscript k represents the group label of the genes with
correspondingly, their centroids can be regarded as the
approximate clustering center of relevant clusters that
can be calculated as follows:
G G
C k = G ∑ x ik ,
1
k = 1,2,..., K (6)
| C k | i∈C k
K
where | C K | represents the numbers of genes in the
same group.
Different from conventional division or partitioning
based clustering techniques, our clustering algorithm
starts
G from these K known modes. We use
{ Pk | k = 1,2,...K } to represent K initial prototypes.
Since these K known modes can be considered as an
approximation to Gcorresponding K real cluster
G
prototypes, we set Pk = C k . Our divisive algorithm
starts from these K prototypes that are kept unchanged
all the time in the partitioning process. This has two
advantages: (1) it can make the clustering process
insensitive to initialization, and (2) it is useful for
finding the number of correct clusters.
When the number of clusters in the input data is
more than K, Kwe can detect additional clusters G as
follows. Let Ci denote the center that Pi wins
according to the minimum-distance rule ( i = 1,2,...GK K in
the beginning of clustering). The distortionG | Pi C Ki |
representing the Euclidean distance from Pi to CGi
measures the discrepancy between the prototype Pi
found by the OPTOC learning process and the actual
clusterK structure in the data. For example, in Figure
1(b), Ci would be located in Gthe center of the three
K S3, while Pi settles at the center of
clusters S1, S2G and
S3. A large | Pi C i | indicates the presence of the other
natural clusters in the data and a new prototype would
be generated from the prototype with the largest
distortion when this distortion exceeds a certain
threshold. Since it is difficult to set a suitable threshold
to terminate the cluster splitting process when all
natural clusters in the data are found, we propose to
over-cluster the dataset to avoid missing any natural
clusters.
The new prototype is initialized at Kthe position
specified by a distant property G vector Ri associated
initialize the new prototype far from its mother
prototype to avoid unnecessary competition between
them. Each time when a new pattern X is presented,
K
Ri of the winning prototype is updated as follows:
G G G G G G G
Ri* = Ri + ( X − Ri ) • Θ( Pi , X , Ri ) • ρ i / n RG (7)
i

similar gene function or co-expressed in a biological where Θ is the function given by

GG GG
phase, i is the index of the corresponding gene in the G G G ⎧1 if | μ υ |≥| μ ω |
Θ ( μ ,υ , ω ) = ⎨
same group. The known patterns can be regarded as the ⎩0 otherwise
samples randomly extracted from some cluster k and

46
 G G 2
⎛ | Pi X | ⎞
and ρ i = ⎜ G G G G ⎟
⎜| PR | + | P X |⎟
⎝ i i G Gi ⎠ In this section, we first test our algorithm on
G
Note that unlike A i , Ri always try to move away from
PGi . After
G a successful split, the property vectors
( Ai , Ri ) of every prototype are reset and the OPTOC
learning procedure is restarted.
4.2. Cluster Agglomerating Step
Through over-clustering, it is possible that a natural
cluster in the dataset is split into two or more clusters.
Therefore, some clusters would be similar and should
be merged together. In this section, we propose a
criterion for merging the resulting clusters from the
previous over-clustering step. The aim of our merging
scheme is to produce final clusters with distinct
patterns.
There are a number of criteria for merging similar
clusters in the literatures, but most of them are not
applicable for the gene expression data in which
clusters may be highly intersected with each other or
even embedded one in another [9,10]. A merging
scheme we developed earlier [12] is adopted here. Let
G cluster, the data along each time point k have a
Ci be the centers of cluster i and σ i be its standard
deviation. If the two clusters satisfy the condition
G G
|| C i − C j ||≤ (σ i + σ j ) / 2 ，they should be merged into
one. Unfortunately this criterion may result in clusters
with very large variance, in which some patterns are
dissimilar to each other. In fact, a reasonable
5. Results and discussions
simulated gene expression profiles, where correct
solution was known a priori, to show the robustness of
our algorithm and its ability in finding natural clusters
and the correct numbers of clusters. Then we validate
the algorithm on real gene expression data. The real
gene expression data we used is the yeast cell cycle
data set provide by Cho et al. [13], which has
established itself as a standard for the assessment of
newly developed clustering algorithm.
5.1. Clustering validation on simulated gene
expression data
We have generated many different groups of
simulated expression data. We first randomly produce
20 seed patterns, and then transform each pattern into a
cluster by generating many profiles by adding Gaussian
white noise. 20 clusters of different sizes are finally
generated that contain profiles from 30 to 300
unequally with total 1915 profiles in the dataset. Figure
2 shows the plots of one of generated clusters. For each
standard deviation of σ k . We set all σ k to 0.15 in our
data, which is the typical variation along each time
point observed in the published expression profiling
experiments [14].
1 C1/300 1 C2/160 1 C3/150 1 C4/140

assumption is that in a microarray experiment, all the 0.5 0.5 0.5 0.5

0 0 0 0
data have the approximately equal measurement errors 5 10 15 5 10 15 5 10 15 5 10 15
1 C5/130 1 C6/120 1 C7/105 1 C8/95
and therefore, all the clusters in the data have
0.5 0.5 0.5 0.5
approximately equal variance so that patterns in the 0 0 0 0

same clusters is similar enough to each other. Thus, the 1

5

C9/90
10 15

1
5

C10/85
10 15

1
5

C11/80
10 15

1
5

C12/75
10 15

above criterion is changed to:

G G 0.5 0.5 0.5 0.5

|| C i − C j ||≤ σ (8) 0
5 10 15
0
5 10 15
0
5 10 15
0
5 10 15

where σ is the standard deviation of all clusters in the

1 C13/70 1 C14/60 1 C15/55 1 C16/50

0.5 0.5 0.5 0.5

data. The approximate value of σ can be estimated 0 0 0 0

5 10 15 5 10 15 5 10 15 5 10 15
from K known gene modes, in which the patterns can 1 C17/45 1 C18/40 1 C19/35 1 C20/30

be considered as samples extracted randomly from the 0.5 0.5 0.5 0.5

corresponding clusters. In order to estimate σ 0

5 10 15
0
5 10 15
0
5 10 15
0
5 10 15

accurately, we choose the dataset with the maximum

number of patterns from K known modes. By using this
σ as threshold, two closest clusters satisfying
condition (8) are merged into one cluster. When two
clusters are merged into one, the mean and standard
deviation of merged cluster are calculated. Then the
process is repeated, until no more clusters satisfy
condition (8).
Figure 2: 1915 randomly generated temporal patterns of gene
expression grouped in 20 clusters. Each cluster is represented
by the average profile pattern in the cluster (dot line). Two
curves in each graph indicate the standard deviation of
average expression. Cm/n denotes cluster#m containing n
individual profiles. The standard deviation of each dimension
in each cluster is equal to 0.15.

47
 is 0.1531, 0.1532, 0.1489, 0.1459 and 0.1503,
1
Samples f rom cluster #1
respectively. These are nearly the same as the true
0.5
standard deviation of the clusters.
0
2 4 6 8 10 12 14
Samples f rom cluster #5
1 1 C2/130 1 1
1 0.5 0.5 0.5 0.5
0 C1/300 0 0 C3/91 0 C4/70
0.5
5 10 15 5 10 15 5 10 15 5 10 15
0 1 C5/45 1 C6/150 1 C7/120 1
2 4 6 8 10 12 14 0.5 0.5 0.5 0.5
Samples f rom cluster #9
0 0 0 0 C8/85
1
5 10 15 5 10 15 5 10 15 5 10 15
0.5 1 1 1 C11/79 1 C12/7
0.5 0.5 0.5 0.5
0
2 4 6 8 10 12 14 0 C9/105 0 C10/140 0 0
Samples f rom cluster #13 5 10 15 5 10 15 5 10 15 5 10 15
1 1 1 1 1
0.5 0.5 0.5 0.5
0.5
0 C13/54 0 C14/23 0 C15/50 0 C16/41
0 5 10 15 5 10 15 5 10 15 5 10 15
2 4 6 8 10 12 14 1 C17/61 1 1 1 C20/159
Samples f rom cluster #17
0.5 0.5 0.5 0.5
1
0 0 C18/35 0 C19/31 0
0.5 5 10 15 5 10 15 5 10 15 5 10 15
1 1 1 1 C24/11
0
2 4 6 8 10 12 14 0.5 0.5 0.5 0.5
0 C21/18 0 C22/26 0 C23/12 0
5 10 15 5 10 15 5 10 15 5 10 15
1 1 1 1 C28/20

Figure 3: Five datasets with different modes extracted 0.5 0.5 0.5 0.5
0 C25/18 0 C26/22 0 C27/12 0
from cluster #1, #5, #9, #13 and #17. 5 10 15 5 10 15 5 10 15 5 10 15

Many conventional partition-based clustering

algorithms are sensitive to initialization even if the
exact number of clusters is known a priori. Poor
initialization often leads to incorrect partitions, where a
natural cluster in the dataset is either divided into
several visually similar clusters or a cluster in the final
clustering results may contain data from several
clusters. Typically, real gene expression data measured
in the DNA microarray experiments often contain some
of biologically well characterized patterns used for
experiment validation by biologists. These data can be
regarded as coming from different cellular processes
Figure 4: The clustering results by setting the number of
clusters to 28.
To verify whether our method can merge similar
clusters and stop at the exact number of clusters that is
given beforehand, we set the number of clusters to 28.
The cluster that contain maximum number of samples
is used to compute the merging threshold in terms of
the criterion described in Section 4.2. It is estimated by
M

that correspond to different groups. The sub-dataset σ= ∑σ

from different cellular process can be regarded as
random samples from some clusters and have the
approximatly same variance as the corresponding
clusters. Instead of using them for clustering validation
by conventional unsupervised clustering algorithms, we
utilize them to reduce the effect of algorithm to
initialization and to improve the quality of cluster
solution. We simulate those known patterns by
randomly extracting samples from k different clusters.
In our experiment, we set k equal to 5 and the
corresponding subsets were randomly extracted from
cluster #1, #5, #9, #13 and #17, which contains 300,
130, 90, 75, 40 profiles, respectively. The extracted
subsets include 50, 35, 30, 25, 20 samples respectively
and their centroids are used as constraints in our
algorithm. Figure 3 is the plot of these 5 extracted
known modes. The average standard deviation of the
samples corresponding to five modes at each time point
k =1
k = σ k M = 0.1531 * M
Since the typical variance along each time point is
approximately equal to σ , a reasonable
GK value used for
estimating the converging of | Pi Ai | is ε = 0.5 *σ .
After those settings, we started the clustering process
with five known modes as constraints. Figure 4 shows
the resulting 28 clusters before the merging procedure.
The agglomerating step is then performed and stopped
automatically when exactly 20 clusters were found. To
verify the robustness of our algorithm, we perform the
algorithm 15 times and the worst results are given in
Figure 5. A Careful examination of the results shows
that clusters #3, #11 and #13 miss one profile
respectively that is wrongly grouped into cluster #20,
#17 and #16 respectively due to the similarity between
them and the effect of noise. Further tests on other
randomly generated gene expression profile data also
indicate that our algorithm is robust with respect to

48
finding natural clusters and estimating the correct correspond to clusters #3, #9 and #14 in Figure 8,
number of clusters. respectively. Clusters #9 and #16 in Figure 2 are
grouped into cluster #1 in Figure 6 and clusters #15 and
1 1 C2/130 1 1

0.5 0.5 0.5 0.5

#18 in Figure 2 are grouped into cluster #15 in Figure 6.
0 C1/300 0 0 C3/91 0 C4/70
5 10 15 5 10 15 5 10 15 5 10 15
1 C5/45 1 C6/150 1 C7/120 1 5.2. Clustering analysis on real gene expression
0.5

0
0.5

0
0.5

0
0.5

0 C8/85
data
5 10 15 5 10 15 5 10 15 5 10 15
1 1 1 C11/79 1 C12/30

0.5 0.5 0.5 0.5 The real gene expression data we tested are the yeast
0 C9/105
5 10 15
0 C10/140
5 10 15
0
5 10 15
0
5 10 15
cell cycle profiles [13]. This dataset contains 6601
1 1 1 1
genes with 17 time points in which 416 genes are
0.5 0.5 0.5 0.5

0 C13/54 0 C14/75 0 C15/50 0 C16/41

biologically characterized and are assigned to five
1
5
C17/61
10 15
1
5 10 15
1
5 10 15
1
5
C20/159
10 15
different phases of the cell cycle. The raw data are
0.5 0.5 0.5 0.5 downloaded from http://genomics.stanford.edu. First,
0
5 10 15
0 C18/35
5 10 15
0 C19/95
5 10 15
0
5 10 15
we find the genes whose expression levels are
relatively low and do not show significant changes
Figure 5: The worst clustering results from the results in during the entire time course according to the following
Figure4 after cluster merging by running our algorithm 15 rules: (1) the values of the expression profile of a gene
times. The corresponding clusters between input (in Figure 2) at all 17 time points are greater than or equal to 100
and outputs are #1~#1, #2~#5, #3~#9, #4~#13, #5~#17, (raw data units); (2) the ratio of the maximum and the
#6~#3, #7~#6, #8~#10, #9~#7, #10~#4, #11~#11, #12~#20, minimum values of each profile is at least greater than
#13~#15, #14~#12, #15~#16, #16~#18, #17~#14, #18~#19, or equal to 2.5. A total of 1368 genes passed the filter,
#19~#8 and #20~#2.
in which there are 103 genes with known
characteristics. These 103 genes profiles correspond to
1 1 1 C3/43 1 C4/45
five cell cycles phases: early G1, late G1, S, G2 and M
0.5 0.5 0.5 0.5 with 21, 44, 17, 8 and 13 genes, respectively. Figure 7
0 C1/135
5 10 15
0 C2/105
5 10 15
0
5 10 15
0
5 10 15
shows the five patterns. From this figure, we can see
1 1 1 C7/80 1 that the data are noisy and there exist outliers in each
0.5 0.5 0.5 0.5
subset that corresponds to each cycle phase. However,
0 C5/95 0 C6/60 0 0 C8/140
5 10 15 5 10 15 5 10 15 5 10 15 the centroid of each mode does not seem to be affected.
1 1 1 1 C12/130
This is the reason why we use the centers of known
0.5 0.5 0.5 0.5

0 C9/56 0 C10/35 0 C11/150 0

modes rather than individual profiles in each mode as
5 10 15 5 10 15 5 10 15 5 10 15 constraints. This strategy can reduce the effect of noise
1 1 C14/65 1 1

0.5 0.5 0.5 0.5

and outliers and make the clustering process more
0 C13/70 0 0 C15/95 0 C16/85 reliable.
5 10 15 5 10 15 5 10 15 5 10 15

1 C17/121 1 1 1 early G1
1
0.5 0.5 0.5 0.5
0.5
0 0 C18/300 0 C19/75 0 C20/30
5 10 15 5 10 15 5 10 15 5 10 15 0
2 4 6 8 10 12 14 16
late G1
1

0.5
Figure 6: The best clustering results obtained by running the
0
2 4 6 8 10 12 14 16
k-mean algorithm 15 times with different initialization. The 1
S phase

corresponding clusters between the input (in Figure 2) and 0.5

output are #1~#9 ∪ #16, #2~#7, #3~#2, #4~#17, #5~#8, 0

2 4 6 8 10 12 14 16
G2 phase
#6~#14, #7~#11, #8~#4, #9~#2, #10~#19, #11~#3, #12~#5, 1

#13~#13, #14~#2, #15~#15 ∪ #18, #16~#10, #17~#6, 0.5

0
2 4 6 8 10 12 14 16
#18~#1, #19~#12 and #20~#20. M phase
1

0.5

For the purpose of comparison, we have also tested 0

2 4 6 8 10 12 14 16
the performance of the k-means clustering algorithm on
the same simulated gene expression dataset. Figure 8 Figure 7: Five biologically characterized gene modes
shows the best clustering results (in terms of lowest corresponding to five cycle phases. The filled cycles in each
within-cluster sum of square error) by running the k- graph indicates the center of corresponding known patterns in
means algorithm 15 times with different initialization. each phase.
Cluster #2 in Figure 2 is divided into three clusters that

49
 1 1 C2/239 1 1
1 1 1 1
0.5 0.5 0.5 0.5
0.5 0.5 0.5 0.5
0 C1/46 0 C2/87 0 C3/29 0 C4/24 0 C1/60 0 0 C3/42 0 C4/47

5 10 15 5 10 15 5 10 15 5 10 15 5 10 15 5 10 15 5 10 15 5 10 15

1 C5/31 1 C6/182 1 1 C8/39 1 1 1 1

0.5 0.5 0.5 0.5 0.5 0.5 0.5 0.5

0 0 0 C7/48 0
0 C5/78 0 C6/54 0 C7/31 0 C8/60
5 10 15 5 10 15 5 10 15 5 10 15 5 10 15 5 10 15 5 10 15 5 10 15
1 1 1 1
1 1 1 1
0.5 0.5 0.5 0.5
0 C9/54 0 C10/24 0 C11/26 0 C12/22 0.5 0.5 0.5 0.5

5 10 15 5 10 15 5 10 15 5 10 15 0 C9/73 0 C10/160 0 C11/30 0 C12/81

1 C13/70 1 1 1 5 10 15 5 10 15 5 10 15 5 10 15
0.5 0.5 0.5 0.5 1 1 1 1
0 0 C14/43 0 C15/23 0 C16/33
0.5 0.5 0.5 0.5
5 10 15 5 10 15 5 10 15 5 10 15
1 1 1 C19/177 1 C20/13 0 C13/58 0 C14/69 0 C15/76 0 C16/71
5 10 15 5 10 15 5 10 15 5 10 15
0.5 0.5 0.5 0.5
1 1 1 1
0 C17/44 0 C18/61 0 0
5 10 15 5 10 15 5 10 15 5 10 15 0.5 0.5 0.5 0.5
1 1 1 1
0 C17/42 0 C18/34 0 C19/21 0 C20/42
0.5 0.5 0.5 0.5 5 10 15 5 10 15 5 10 15 5 10 15
0 C21/40 0 C22/46 0 C23/35 0 C24/16
5 10 15 5 10 15 5 10 15 5 10 15
1 1 1 1
0.5 0.5 0.5 0.5 Figure 10: The best clustering results obtained by running
0 C25/38 0 C26/11 0 C27/22 0 C28/27
5 10 15 5 10 15 5 10 15 5 10 15
the k-means algorithm 20 times with different initialization
1 1 for grouping Yeast cell cycle expression profile data into 20
0.5 0.5
0 C29/35 0 C30/22 clusters. Clusters #2, #10 and #16 are similar visually.
5 10 15 5 10 15

We use the centers of five known patterns as

constraints and keep them unchanged in the divisive
Figure 8: Clustering results. The number of clusters is set to
30. The dot line in each plot indicates the center of each clustering step in our algorithm. The merging threshold
cluster. The solid line indicates the standard deviation level of σ =0.777 is obtained from 44 patterns in late G1 phase
the expression data in each cluster around the mean. that have the maximum number of profiles. In the
divisive step, we set the maximum number of clusters
1 C1/512 1 1 1
to 28. Figure 3 shows the resulting 28 clusters. The
0.5 0.5 0.5 0.5

0 0 C2/87 0 C3/29 0 C4/50

process of merging results stopped finally at 20 clusters.
1
5
C5/31
10 15
1
5 10 15
1
5 10 15
1
5 10 15
Figure 9 shows the merged results. We observe that the
0.5 0.5 0.5 0.5 resulting 20 clusters have no apparent visual similarity
0
5 10 15
0 C6/172
5 10 15
0 C7/79
5 10 15
0 C8/24
5 10 15
except for the first five modes that belong to five
1 1 1 1 different cycle phases and should not be merged.
0.5 0.5 0.5 0.5
In addition, we have compared our results with the
0 C9/22 0 C10/116 0 C11/23 0 C12/33
5 10 15 5 10 15 5 10 15 5 10 15 results with the results obtained by the simulated
1 1 1 1

0.5 0.5 0.5 0.5

annealing (SA) based clustering algorithm proposed by
0 C13/44 0 C14/13 0 C15/35 0 C16/16 Alexander and Rainer [14] and the k-means algorithm.
5 10 15 5 10 15 5 10 15 5 10 15

1 1
0.5 0.5
0 C17/11
5 10 15
0 C18/22
5 10
Figure 9: Clustering results after merging. Finally, 20
clusters are obtained.
We use the centers of five known patterns as
constraints and keep them unchanged in the divisive
clustering step in our algorithm. The merging threshold
σ =0.777 is obtained from 44 patterns in late G1 phase
that have the maximum number of profiles. In the
divisive step, we set the maximum number of clusters
to 28. Figure 3 shows the resulting 28 clusters. The
process of merging results stopped finally at 20 clusters.
Figure 9 shows the merged results. We observe that the
resulting 20 clusters have no apparent visual similarity
except for the first five modes that belong to five
different cycle phases and should not be merged.
1 1
In the SA algorithm, 1306 genes passed a variation
0.5 0.5 filter similar to ours and 20 clusters were produced, in
15
0 C19/27
5 10 15
0 C20/22
5 10 15
which many patterns are consistent with ours. For
example, clusters #1, #2, #3, #4, #7, #8, #11, #12, #13,
#14, #15, #17, #18, #19, #20 obtained from the SA
algorithm in [14, Figure 5] correspond to clusters #1,
#16, #5, #3, #10, #12, #7, #4, #18, #15, #9, #6, #2, #19,
#13 by our algorithm in Figure 9, respectively.
However, it is worth pointing out the clusters showing
different patterns between the SA algorithm and our
method. Clusters #1 and #6 from the SA algorithm in
[14, Figure 5] are similar visually and they should be
grouped into one cluster. Cluster #9 in [14] has very
large variance, and is therefore unlikely to be a natural
cluster. The results from our method do not have these
kinds of problems. For the k-means algorithm, we set
the number of clusters to 20 and ran the algorithm 20
times using different initializations. Figure 10 shows
the best clustering results in terms of the lowest within-

50
cluster sum of square error. Obviously, clusters #2, #10
and #16 are similar in appearance and are not distinct
clusters.
6. Conclusions
Clustering is a useful technique for microarray gene
expression data analysis. Although many clustering
algorithms exist, they may not find natural clusters and
estimate the number of clusters correctly. In this paper,
we have introduced a new clustering scheme based on
the OPTOC learning technique and using a priori
biological knowledge. With the OPTOC competitive
learning technique, our clustering method can find
natural clusters effectively. Using known modes as
constraints and incorporating them into the clustering
process, we can enhance the ability of the algorithm for
finding the correct cluster structure and estimating the
correct number of clusters. Experimental results and
comparison studies using both simulated and real gene
expression data show that our method works
effectively.
Acknowledgments: This work is supported by a grant
from National Natural Science Foundation of China
(project 60772028) and a CityU SRG Grant (Project
7001183)
References
[1] M. B. Eisen, P. T. Spellman, P. O. Brown and D.
Botstein, “Cluster analysis and display of genome-wide
expression patterns,” Proc. Natl Acad. Sci. USA, 95(8),
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[2] S. Tavazoie, D. Hughes, M.J. Cambell, R.J. Cho, and
G.M. Church, “ Systematic determination of genetic
network architecture,” Nature Genetics, 1999, pp. 281-
285.
[3] P.D’haeseleer, X.Wen, S.Fuhrman, and R. Somogyi,
“Mining the gene expression matrix: Inferring gene
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relationships from large scale gene expression data,”
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203-212.
[4] J. Hartigan, Clustering algorithms. New York: Wiley,
1975.
[5] P. Tamayo, D. Slonim, J. Mesirov, Q. Zhu, S.
Kitareewan, E. Dmitrovsky, E. S. Lander and T. R.
Golub, “Interpreting patterns of gene expression with
self-organizing maps: methods and application to
hematopoietic differentiation,” Proc. Natl Acad. Sci.
USA, 96(3), 1999, pp. 2907–2912.
[6] U. Alon, N. Barkai, D. A. Notterman, K. Gish, S.
Ybarra, D. Mack and A. J. Levine, “Broad patterns of
gene expression revealed by clustering analysis of tumor
and normal colon tissues probed by oligonucleotide
arrays” Proc. Natl Acad. Sci. USA, 96, 1999, pp. 6745–
6750.
[7] T. Kohonen, Self-Organizing Maps. Berlin, New York:
Springer, 2001.
[8] S. Theodoridis and K. koutroumbas, Pattern recognition.
New York: Academic press, 1999.
[9] L.M.Jakt, L.Cao, K,S,E, Cheah, and D.K.Smith,
“ Assessing clusters and Motifs from gene expression
data”, Genome Research, 11, 2001, pp.1112-1123.
[10] D. Jiang, J. Pei, and A. Zhang, “DHC: A Density-Based
Hierarchical Clustering Method for Time-Series Gene
Expression Data,” Proc. BIBE2003: Third IEEE Int’l
Symp. Bioinformatics and Bioeng., 2003.
[11] Y.J.Zhang, and Z.Q.Liu, “Self-Splittng competitive
learning: A new on-line clustering paradigm,” IEEE
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[12] S. Wu, A.W.C.Liew and H.Yan, “Cluster analysis of
gene expression data based on self-splitting and merging
competitive learning”, IEEE Trans. on information
technology in biomedicine, 8, 2004, pp.5-15.
[13] R.J.Cho, M.J.Campbell, etc., “A genome-wide
transcriptional analysis of the mitotic cell cycle,” Mol.
Cell, 2, 1998, pp. 65-73.
[14] A. V. Lukashin, and F. Rainer, “Analysis of temporal
gene expression profiles: clustering by simulated
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clusters,” Bioinformatics, 17, 2001, pp. 405-414.
 2008 International Conference on Intelligent Computation Technology and Automation
Evolutionary Mechanism of Port Clusters Based on the Theory of Dissipative
Structure
ZHAO Yuan, YU Shaoqiang, YANG Zan
Department of Transportation Management, Dalian Maritime University, P.R.China, 116026
xddzy@126.com
Abstract
This paper aims to investigate the internal
developing mechanism of a port cluster system. It was
proved that a regional port cluster is a typical
dissipative structure system, which presents the
characteristics of openness, non equilibrium, non
linearity and stochastic fluctuation. Considering the
port cluster system is a continuous time system, we
established the basic evolutionary equations according
to the evolutionary model of biological population.
Then, suppose there are only two ports in this cluster in
the initial stage, the evolutionary mechanism were
discussed in three different situations. The results show
that symbiosis of both ports only appears in one
situation and at least one port dies out in the other two
situations. Besides, symbiotic evolution can promote
further exploitation of potential resources and improve
the effectiveness of the whole system. In the end, some
further researching directions were suggested.
1. Introduction
In recent years, port development presents a scaled,
intensive and modernized trend, and the construction
and managements of port have run into a new era. The
relationships among ports are getting more and more
intimate these years, and the port cluster pattern is
more and more popular [1]. Why do the port clusters
form under regional environment, and what is the
internal mechanism of such structures? Hayuth (1978)
developed a conceptual model of container load center
to explain the evolution of regional container port
systems in the 1970s through 1980s from the angle of
technological innovation and diffusion [2]. Reading
through the related references [3][4][5], they are mostly
studied with time schedule data and use the method
based on the principle of minimum cost. And this kind
of researches hide a hypothesis that total costs is the
determinants of port development, which to some
extent is unilateral. So we attempted to analyze the port
978-0-7695-3357-5/08 $25.00 © 2008 IEEE
DOI 10.1109/ICICTA.2008.67
cluster phenomenon from a new angle.
Over the years, evolutionary analogies have been
used and refined to make us aware of the role of
change at all levels of system organization [6]. It is
useful to make analogies by employing a theory
established in other disciplines. System is defined as a
“set of elements in relation” by L.V. Bertalanffy, who
considers “the whole is larger than the sum of parts”
[7]. According to this definition, we can define a
regional port cluster as a synthesis system of a set of
ports with intimate interactions and close interrelations.
Therefore, further researches can be done with
systematology. System science theory, biology
evolutionism, self-organized theory are three effective
tools for studying evolution problems. This paper
integrated the quintessential ideas of those three
subjects. Considering a regional port cluster as an open
system, we analyzed the evolutionary mechanism of
regional port cluster systems and made an in-depth
investigation with the theory of dissipative structure.
Then, we established an evolutionary equation to
analyze the internal mechanism of the developing
process of port cluster systems. At the end of the paper,
we summed up the main achievements.
2. Dissipative Structure Characteristics
2.1. Open System
Considering whether or not the system exchanges
energy and substances with the environment, systems
can be divided into three kinds as isolated systems,
closed systems and open systems [8]. And an open
system keeps exchanging both substances and energy
with the outer environment.
A regional port cluster system is a typical complex
open system according to the above definition. As a
traffic hub, port takes on the responsibility of transfer,
trade, and logistics and so on. And all of them require
substances and energy exchange, such as, personnel,
information, technology, fund, products, etc. These
various large exchanging flows make the system keep
52
developing from lower level to higher level.
2.2. Non Equilibrium
With the thermodynamic definition, when system
state variables are not changing with time and no
macro flows of substance and energy, we call the
system is in a thermodynamic equilibrium state, or else
we call it in a non equilibrium state [9]. Making an
analogy, we easily know that a regional port system is
in a non equilibrium state for its openness. Then,
what’s the representation of this characteristic? Non
equilibrium of regional port system reflects on the
differences among port subsystems, for instance,
different locations, different service levels, different
throughput capabilities, different demand and supply
and other economic factors etc. The internal differences
provide an exchanging condition of substance, energy
and information among port subsystems.
Beside, this non equilibrium trait also makes the
growth of regional port system possible. The initiator
of dissipative structure I. Prigogine believed that non
equilibrium is the headstream of system order [10]. An
equilibrium system has no vigor to develop and turns
into a static “dead” system.
2.3. Non Linearity
A regional port system is not a simple stack of
several single ports, and its core factor is the non linear
correlations. It means that the relationship of system
variables shows an obvious non linearity. Any port
cluster system is a complex non linear dynamic system,
in which the elements or subsystems have common non
linear interactions.
To understand it deeply, we must mention the state
division of a system. Self-organization theory divides
system states into three kinds, namely the equilibrium
state, the near equilibrium state and the non
equilibrium state [11]. In the area of near equilibrium
state, irreversible force and irreversible flow can be
approximated to linearity, and the system will change
from non equilibrium stationary state to equilibrium
state spontaneously, viz. there will be no new ordered
structures. But when the system enters an area far away
from the equilibrium state, the linear relationship will
be broken down, and a new ordered structure will be
set up as the external condition reaching a certain
threshold. That is to say the non linear interactions lead
to the variety and uncertainty of a system.
2.4. Fluctuation
Fluctuation is a departure from the statistic average
of the real variables. Stochastic and chaotic fluctuations
happen commonly to a macro system for both internal
and external reasons. To some extent, fluctuation is
inevitable, and its form and size are determined by
53
chance [12].As a proverb says “a little leak will sink a
great ship”, once the micro fluctuations are enlarged to
macro fluctuations, the entire system will face a
mutation and probably gain a new spatial, temporal or
functional dissipative structure, when system state
nears to the critical points. Correspondingly, as long as
the fluctuations do not across the critical points, the
system will conquer micro fluctuations and back to the
primary non equilibrium stationary state by its
self-organization power.
In regional port cluster system, fluctuations may be
from personnel flow, information asymmetry, technical
improvement, competition and cooperation among
internal ports, hinterland demand change and all other
latent possibilities. One small change of those factors
may lead to a chain reaction and cause a huge influence
on the original stabilization, which can be called a
butterfly effect.
3. Hypotheses and Methodology
Suppose the port cluster system is a continuous
time system, and there are n sub-port-systems in this
system. Let Qi be the throughput of port i, and Di
(Di>Qi) be the saturation capacity of throughput
(equivalent to potential shipping demand) for port i.
The change rate of port i is proportional to both its own
throughput and the potential developing space, and
inversely proportional to the decreasing market share.
With above analysis, we can get a set of the
evolutionary equations according to the evolutionary
model of biological population:
d Qi (t ) ⎛ n ⎞
= μi ⋅ Qi ⋅ ⎜⎜ Di − ∑ aij ⋅Q j ⎟⎟ − λi ⋅ Qi (1)
dt ⎝ j =1 ⎠
where t is time; μi is the average natural growth
coefficient of throughput for port i (μi>0); aij is the
competition coefficient between port i and port j
(0≤aij≤1, if j = i, aij =1); λi is the average natural
reduction coefficient of port i. Port i and port j are in
the same port cluster, so they must have crossed
hinterlands. And which means their competition
coefficient should be during the open intervals of (0, 1),
viz. 0<aij<1 (if i≠j).
The evolution phenomenon manifested as a
diachronic changing process which needs quite a long
period of time. In the original stage, there may be only
one port in the port cluster. When n=1, equation (1)
turns to a Logistic equation as follows:
dQ
= μ Q ( D-Q ) − λ Q= ( μ D −λ ) Q − μ Q 2 (2)
dt
The solution of equation (2) is:
D−λ μ
Q= (3)
1 + C ⋅ ( D − λ μ ) e −( μ −λ )⋅t
where C is a constant. When dQ/dt → 0, namely the
change rate of Q tends to zero, the system enters a To sum up, in situation One, arbitrary point Q will
stationary state, and the stationary solution is: move to S1 with the time passing by, and S1(D1-λ1/μ1, 0)
Q* = D − λ μ . (4) is a stable solution. In this condition, development of
port 2 will be restrained and completely replaced by
In this condition, the system runs into a dissipative
port 1 in the end. The throughput of port 1 will be
structure with single subsystem.
stabilized on (D1-λ1/μ1).
Q2 Q2
4. Evolutionary Mechanism
L1 L1
With the lapse of time, the number of ports may II II I
increase (or decrease). In initial evolution stages, if a I
new port’s appearance turns into a macro fluctuation, S2
the system will evolve into a new dissipative structure. III L2
In order to analyze this changing process, we suppose L2 S1 III IV
there appears a new subsystem: port 2, which will O Q1 O Q1
compete with port 1. When n=2, the new equations are (a) (b)

⎧ d Q1 = μ ⋅ Q ⋅ ⎡ ( D −λ μ ) − Q − a ⋅ Q ⎤
⎪ dt 1 1 ⎣ 1 1 1 1 12 2⎦
⎨ (5)
⎪ d Q2 = μ2 ⋅ Q2 ⋅ ⎣⎡( D2 −λ2 μ2 ) − Q2 − a21 ⋅ Q1 ⎦⎤
⎩ dt
The initial state is Q1°=D1-λ1/μ1, Q2°=0.
In order to search out the stable solution, let
d Q1 d Q2
= =0
dt dt
With equation (6), there comes
⎧⎪Q1 + a12 Q2 = D1 − λ1 μ1
⎨ (7)
⎪⎩Q2 + a21Q1 = D2 − λ2 μ 2
Consider equations in (7) as two function expressions,
they can form two beelines about variable Q1 and Q2.
Let ki be the slope of Li, then k1= -1/a12; k2= -a21. As
0<aij<1, we can get k1< -1 and k2 >-1. The intercept of
the two lines on lateral and longitudinal axes are
L1: (D1-λ1/μ1, 0), (0, a12-1(D1-λ1/μ1))
-1
L2: (a21 (D2-λ2/μ2), 0), (0, D2-λ2/μ2).
Therefore, there are three possibilities of locations for
L1 and L2. Draw the two lines in the same rectangular
coordinates (see Figure 1).
(1) Situation One (see Figure 1-(a))
⎧⎪( D2 − λ2 μ 2 ) a21 < D1 − λ1 μ1
When ⎨ is available,
⎪⎩( D1 − λ1 μ1 ) a12 > D2 − λ2 μ 2
⎧⎪ D2 − λ2 μ 2 < a21 ( D1 − λ1 μ1 )
viz. ⎨ , (8)
⎪⎩ D1 − λ1 μ1 >a12 ( D2 − λ2 μ2 )
L1 and L2 have no intersection, and the first quadrant
were divided into three parts I, II, III. Suppose there is
an arbitrary point Q(Q1,Q2) in the first quadrant, and its
changing rate is denoted as (dQ1/dt, dQ2/dt).
In area I, dQ1/dt > 0, dQ2/dt < 0, Q will move to S1;
In area II, based on the premise condition (see (8)),
we can find out that dQ1/dt < 0 and dQ2/dt < 0, which
means Q will move to L1 (equivalent to area I);
In area III, dQ1/dt > 0 and dQ2/dt > 0, Q will move
to L2 (equivalent to area I).
Q2
S3
L2
II
L1 I
III
(6)
O Q1
(c)
Figure 1 Possible locations of L1 and L2
(2) Situation Two (see Figure 1-(b))
⎧⎪( D2 − λ2 μ 2 ) a21 > D1 − λ1 μ1
When ⎨ is available,
⎪⎩( D1 − λ1 μ1 ) a12 > D2 − λ2 μ 2
⎧⎪ D2 − λ2 μ 2 > a21 ( D1 − λ1 μ1 )
viz. ⎨ , (9)
⎪⎩ D1 − λ1 μ1 >a12 ( D2 − λ2 μ2 )
L1 and L2 have one intersection S2, and the first
quadrant were divided into four parts I, II, III, IV. We
can analyze the moving trend in a similar way as in
situation one, the arrow in Figure 1-(b) shows the
moving direction of Q, and S2 is a stable solution.
In this situation, the system presents a symbiosis
phenomenon. Port 2 could coexist with port 1 and gain
enough increment for further growth. The coordinates
of S2(Q1°,Q2°) is the final state of this evolution process,
and it can be found by solving equation(7),
⎧ D ( D1 − λ1 μ1 ) − a12 ( D2 − λ2 μ2 )
⎪Q1 =
⎪ 1 − a12 ⋅ a21
⎨
⎪Q D = ( D2 − λ2 μ2 ) − a21 ( D1 − λ1 μ1 )
⎪ 2 1 − a21 ⋅ a12
⎩
The integrated state of the system is Q°=Q1°+Q2°.
(1 − a21 )( D1 − λ1 μ1 ) + (1 − a12 )( D2 − λ2 μ2 )
QD = (10)
1 − a21 ⋅ a12
Suppose a21= a12=β, equation (10) can be simplified as
follows:

54
 ( D1 − λ1 μ1 ) + ( D2 − λ2 μ2 )
QD = > D1 − λ1 μ1 (11)
1+β
The stable solution in situation two is larger than the
initial state, which means that system evolution could
improve the effectiveness of each resource.
(3) Situation Three (see Figure1-(c))
⎧⎪( D2 − λ2 μ2 ) a21 >D1 − λ1 μ1
If ⎨ is satisfied, then
⎪⎩( D1 − λ1 μ1 ) a12 <D2 − λ2 μ2
the premise condition should be:
D1 − λ1 μ1 <a12 ( D2 − λ2 μ2 ) . (12)
And the stable solution will be S3(0, D2-λ2/μ2). In this
condition, port 1 will be supplanted by port 2, and the
throughput of port 2 will be stabilized on D2-λ2/μ2.
Q Q
Q1 Q1
Q2
Q2
t t
(a) (b)
Q Air Transport Management, No.11, 2005, pp. 161–174.
Q2
Q1
(c) t 45-50.
Figure 2 Schematic diagram of port cluster
evolution
In all, when there are only two ports in the port
cluster in the initial stage, port 1 and port 2 coexist only
in one situation (see equation (9)), and at least one port
will die out in other situations. Figure 2 gives a
schematic evolution path of the port cluster in different
conditions which are corresponding to Figure 1.
5. Conclusions
A port cluster system is an open non linear system
far away from equilibrium state, and has the typical
characteristics of a dissipative structure. Enlightened
by the evolutionary model of biological population, we
established the evolutionary equations of a port cluster,
which explain the internal competition mechanism
among subsystems. Through the evolutionary
mechanism analysis, the effectiveness of the equations
was confirmed. Symbiosis of two ports only appears in
55
one situation and at least one port dies out in the other
two situations. And symbiotic evolution can promote
further exploitation of potential resources and improve
the effectiveness of the whole system. With regard to
evolution problems of the port cluster system referring
to multiple subsystems, further discussions are strongly
recommended.
6. References
[1] ZHAO Yuan, LIU Peng, and YANG Zan, Evolution of
Regional Port System in Modern Logistics, ICAL 2007, pp.
2851-2856.
[2]James J. Wang, Brian Slack, The evolution of a regional
container port system: the Pearl River Delta, Journal of
Transport Geography, No.8, 2000, pp. 263-275.
[3]Guillaume Burghouwta, Jacco Hakfoort, The evolution of
the European aviation network, 1990-1998, Journal of Air
Transport Management No.7, 2001, pp. 311–318.
[4]Guillaume Burghouwt, Jacco Hakfoort, Jan Ritsema van
Eck, The spatial configuration of airline networks in Europe,
Journal of Air Transport Management, No.9, 2003, pp.
309–323.
[5]David Gillen, William G. Morrison, Regulation,
Competition and Network Evolution in Aviation, Journal of
[6]Matthias Ruth, Evolutionary Economics at the Crossroads
of Biology and Physics, Journal of Social and Evolution
Systems 19(2): 1996, pp. 125-144.
[7]Ludwig.Von. Bertalanffy, General System Theory:
Foundation, Development, Applications (revised edition,
1973), Translated by QIU Tong and YUAN Jia-xin, Social
Science Literature Press, Beijing, China, Jun. 1987, pp.
[8]MIAO Dong-sheng, Essentials of Systems Science
(Second Edition), China Renmin University Press, Jun. 2006,
pp.20-21.
[9]YANG Jia-ben, Introduction to System Engineering,
Wuhan University of Technology Press, China, Jan. 2002,
pp.10-11.
[10]G. Nicolis, I. Prigogine, Self organization in
nonequilibrium systems (Chinese Edition), Science Press,
China, 1986, 3, pp.42-43, pp.261-264.
[11]SONG Yi, HE Guo-xiang, The theory of dissipative
structures, China Zhanwang Press, Beijing, China, 1986,
pp.55-57.
[12]LIANG Jun-guo, ZHANG Jian-hui, System Fluctuation,
synergetics and evolution, Social Sciences Journal of
Colleges of Shanxi, No.3, 1995.
[13]Hermann Haken, Erfolgsgeheimnisse der Natur
Synergetik: Die Lehre vom Zusammenwirken (Third edition,
1983), translated by DAI Ming-zhong, Shanghai Science
Popular Press, China, 1988.
[14]ZHANG Yan, YANG Zhi-feng, LI Wei, Analyses of
urban ecosystem based on information entropy, ecological
modeling, Elsevier, Vol.197, Issues 1-2, Aug. 2006, pp. 1-12.
 2008 International Conference on Intelligent Computation Technology and Automation
Genetic Algorithm Based Robot Path Planning
Liao WeiQiang
Department of Electrical Automation, Jimei University,Xiamen 361021, China
wq_liao@jmu.edu.cn
Abstract
In the environment with partially-known
information, the real time path planning can be
steadily performed by using the grid method and
genetic algorithm; one-dimensional coding problems
can be simplified into Two-dimensional path coding
problems, at the same time, the obstacle avoidance
requirements and shortest paths requirements are
integrated into a simple appropriate function.
Simultaneously, insertion operator and deletion
operator are set to guarantee the path continuity and
conciseness. In the end, stimulations are conducted to
compare the paths planned in varied environments,
and it can that proved that algorithm has great
applicability.
1. Introduction
The application of robot in industrial area is getting
wider, so that requirement of the interaction ability
between the machine and the environment is quiet
important. But there are still several problems to be
solved: how to determine the target, where to go and
how to get there. “How to get there” is the problem so
called path-planning, which now is a major branch of
the robot researching area. Path-planning is a complex
whole including inquiring the information, planning a
proper path from the original position to the target and
avoiding the obstacles [1].
Due to the development of genetic algorithm as well
as other intelligence algorithms, researchers
increasingly focus on the intelligence algorithms based
path-planning. Genetic algorithm has been applied to
many occasions since its first introduction as a global
optimizing algorithm. The application of genetic
algorithm in Soccer Robot path-planning has great
significance for it can contribute to the solution of
the problem and play a stimulating role in the
development of genetic algorithm.
978-0-7695-3357-5/08 $25.00 © 2008 IEEE
DOI 10.1109/ICICTA.2008.216
2. Genetic algorithm based path-planning
construction
2.1. Grid identification
A robot works in the two-dimensional structured
space with the given location and size of the
obstructions and all the location and size of the
obstructions do not change. In the letter, the two-
dimensional work space is divided by the same grids.
A grid is a free grid, when it excludes any obstacles;
contrarily it is a barrier grid. Free space and
obstructions both can be described as groups of the
grids. The divided work space of the robot is given by
Figure.1, where the shadow means obstructions
Figure 1.Divided work space of the robot
According to Figure 1, the grids can be identified in
two methods [2]:
（ 1 ） Rectangular coordinates. As shown in
Figure1,define the upper left corner of the grid array as
the coordinate’s origin, the horizontal x-axis directs to
the right while the vertical y-axis directs downward.
Each grid correspondingly equals to a unit of length.
Therefore, each grid can be identified by
corresponding（x, y）exclusively.
（2）Serial number. As shown in Figure 1, from
left to the right, from top to bottom, we can mark every
grid with a serial number p (from zero), and then the
grid can be identified by the number exclusively.
As we can see that this two methods of identification
is mutually mapping.
p = x + 10 y （1-1）
or
56
 x = mod( p,10)
y = int( p,10)
（1-2）
Where, mod is remainder of p/10, int is integer of
p/10.In Figure 1, the obstacle① can be described as
((2,2), (3,2)) in rectangular coordinates or as {22,23}
in the method of serial number. Therefore, serial
number is a more concise presentation and save more
memorial space. In the path evaluation, the serial
number will be converted into the form of coordinates.
As a more convenient method, coordinate grid can
represent the relative positions of the grids and
calculate the path length as well as the path feasibility.
2.2. Individual coding
Individual is a path of the robot in the work space.
As shown in Figure.2, the robot’s movement is an
individual which is from the original position S along
the red line to the target E. The individual can be
represented in coordinate grid as: {(0, 0), (1, 1), (2, 2),
(3,2),(4,3),(5,3),(6,4),(6,5),(7,6),(8,7),(8,8),(9,9)}.
we convert all these numbers into 4 bit binary number,
the same individual can also be identified as: { （
0000,0000）,（0001,0001）,（0010,0010）……,（
1001,1001 ） }. Otherwise, the individual can be
identified in the form of serial numbers:
{0,11,22,32,43,53,64,65,76,87,88,99}. Obviously, the
form of serial number is more convenient and concise
than the other two forms, so that we choose the serial
number to mark the grids in this paper.
The motion path of the robot is variable; hence the
individual length is uncertain. In the computer
simulation, we make the individual array dimension
the greatest possible length of the individual.
Figure 2. Individual in the grid array
2.3. The generation of the initial population
The initial population is the starting point of the
genetic algorithm, which is made up by a certain
number of individuals. In order to ensure the
optimization function of the genetic algorithm, the
initial population should randomly distribute in every
region of the search space. The selection of the initial
population usually follows two methods ： artificial
selection and randomly generated selection. Using the
randomly generated selection will increase the
difficulties and time needed in the selection of the
initial population. To resolve this problem, we
introduce the concept of intermittent barrier-free path
in this paper.
Definition: Connection of a series of randomly
selected but not necessarily continuous free grids
between S and E is known as an intermittent barrier-
free path.
According to the definition, some barrier-free paths
are selected: {0, 20, 45, 75, 87, 99}, {0,
99},{0,11,23,43,54,65,75,85,95,97,99}. Using the
intermittent barrier-free path as genetic algorithm
initial population, select some grids at random between
the starting point and target, and shorten the path using
the insertion operator, thus it will be easier to generate
the initial population.
2.4 Individual Evaluation
If
Individual evaluation function directly affects the
calculation efficiency of GA and calculation time. In
this paper, define the individual evaluation function
as[3] :
15
f =100−(1+ )A (1−3)
n−1
Where n is the total number of grids the individual
contains, A is the sum of the linear distance between
every two adjacent points. According to the evaluation
function, f is inversely proportional to the distance
robot moves. Therefore, the optimization considers the
shortest distance as the objective function. But, if the
distance A is the objective function, the individual {0,
99} has the minimum objective value and after several
iterations, the grid number of such individuals will
increase, which is not expected. Therefore, we
introduce a modification to eliminate the short path
with long distance between each point [4].
2.5 Genetic operator
（1）Algorithm selection: Based on the individual
fitness, the individual breed according to a certain
probability. In this letter, the probability which
determines the copies of the next generation is
proportional to the fitness of each individual. The
specific operational process can be described as
follows: First of all we calculate the sum of all the
individuals’ fitness. Secondly, we calculate the relative
fitness size of every individual respectively, which is
the probability for every individual to breed the next
57
generation. Each probability makes up a region and the The insertion operation is repeated until the individual
sum of all the probabilities is 1. Lastly, we generate a becomes a feasible path.
number between 0 and 1 randomly and determine the （ 5 ） Deletion operator: Deletion is to delete the
number of individuals being selected based on the redundant number between two same serial numbers
random numbers which appeared in the various and one of those same serial numbers. Deletion can
regions. simplify and shorten the path.
（2）Crossover operator: Traditional crossover and
two-point crossover. Two-point cross-over operator 3. Simulation Platform Implementation
needs to set two individuals at random, and find the
grids with the same serial number for the crossover A simulation platform is accomplished using the
operation. If more than one grid are found, one of them genetic algorithm and C++ programming.
are selected randomly for the crossover operation.
Obviously, conventional crossover operation will
easily generate a discontinuous path while the Two-
point crossover will not generate any new break point
[5].
（ 3 ）Mutation operator: there are three operating
methods: randomly delete a serial number from an
individual (not including the serial numbers of
initiation and termination point); or randomly select a
point from the individual and insert a new serial
number; or use another randomly generated number to Figure 3. Interface of simulation tools
replace a serial number which were randomly selected
The scopes of parameters of this platform are: grid
from the individual. Obviously, three mutation
height and width must range from 1 to 20; crossover
operators mentioned above all could disconnect the
and mutation probability must range from 0-1;
path. In this paper we follow the third method [6].
population size must range from 1 to 200; evolution
（ 4 ）Insertion operator: insert some free grids into
algebra must range from 1 to 1000.
the intermittent path to make it a continuous path. Use
the following method to determine if the consecutive
numbers is continuous.
4. Simulation results
D = max{abs(xk+1 − xk ), abs(yk+1 − yk )} (1−4) The robot path planning simulation has been
xk 、 yk 、 xk +1 、 yk +1 is the coordinates of pk 、 conducted on the simulation platform mentioned
above. All the assumptions of this simulation are as
pk +1 respectively which can be given by (1-2). follows: the working space of the robot is known as a
If D =1, then pk and pk +1 is continuous grid array of 10 × 10, and the location of the starting
point and goal point are (0 , 0) and (9,9) respectively;
otherwise, they are discontinuous. When they are the black regions represent the obstacles; the rest are
discontinuous, alternative points for insertion can be free regions. The robot is supposed to plan the proper
given by: path from the starting point to the goal point and avoid
1 possible obstructions. Bold lines in the figures are the
x 'k = int[ ( xk + xk +1 )] paths mapped out.
2
(1) Feasibility study. Firstly, Simulations are
1
y 'k = int[ ( yk + yk +1 )] performed to prove the feasibility of this method. As
2 shown in figure 4, the results indicate that genetic
pk′ = xk′ + 10 yk′ (1 − 5) algorithm can successfully find proper paths in
different environments.
Where, int is to get integer of the object.
If the calculation result is a free grid, we can insert
directly. If the result is a barrier grid, then we choose a
nearest grid as a new alternative point. If no new
alternative point can be found, the insertion fails, and
this individual should be abandoned. Otherwise, new
alternative points are inserted between pk and pk +1 .

58
 Figure 4. Planning paths of different environment
(2) Randomness. As shown in figure 5, two
experiments choose the same parameters: population
size=50, crossover probability=0.6. The experimental
results have shown that the paths are different. The
reasons for these results are due to the randomness of
the genetic algorithm. The random initial population
generation, individual selection, crossover and
mutation lead to different paths. Therefore, more than
one path can satisfy the objective function. For us, it
will be enough to get any of them. Therefore, the
results will not be affected by the uncertainty of
genetic algorithm.
Figure 5. Different paths in the same environment
(3) Error analysis. As shown in figure 6 (a), the
robot is not able to plan a proper path to the target
since the variation point is set randomly to the target in
the process of mutation operator setting. In this
situation, the path will lose the target point. The
probability of mutation is very low, generally between
0.0001 and 0.1; in the other word, the probability of
this situation is quite low either. As shown in figure 6
(b), the robot not only can not plan the path to the
target but also collide with a barrier. This situation can
be distributed to following reasons: the insertion
operator use medium measure to set the alternative
insertion points; if the medium point is a barrier, it will
be replaced by another close point. That is, suppose the
medium point is (x,y), the alternative points are
selected in the priority scheduling of (x+1,y) ，
(x,y+1),(x-1,y),(x,y-1). The priority scheduling is the
reason for the collision.
59
（a） （b）
Figure 6. Error paths
5. Conclusion
The simulations performed indicate that the
algorithm can successfully map out a better path.
Simulation results show that this method is feasible.
In addition, we should also be aware that it is not
realistic to find a perfect path-planning algorithm
which suits every kind of situation. The information of
special issues will be helpful. Therefore, the research
in this field remains to be constantly explored in future.
6. References
[1] R A Brooks. Solving the Find-path problem by Good
Representation of Free Space [J]. IEEE Trans on Sys Man
and Cybern.1983.13 (3):190-197.
[2] Pere. Automatic Planning of Manipulator Movements [J].
IEEE Trans on Sys Man and Cyb.1981, 11(11):681-691
[3]HongBingRong,GAOQunaSheng,CHUHaiTao.Robot
soccer simulation competion Platform based on multi-agent
[J].Journal of Harbin Institute of Technolog,2001,8(3):203-
206.
[4] Brooks R A. Solving the Find-path Problem by good
representation of free space [J] .IEEE Trans on Sys Man and
Cybern，1983，13(3):190-197.
[5] Kim Jon-Hwan, Kim Kwang Choon.Path Planning and
Role Selection Mechanism for Soccer Robots [A].In:
Proceedings of the 1998 IEEE International Conference on
Robotics and Automation [C].Leuven ， Belglum.1998 ，
(3):216-221.
[6] Chatila R.Path Planning and Environment Learning in a
Mobile Robot System [A].In:Proc of the European Conf on
AI，1982
 2008 International Conference on Intelligent Computation Technology and Automation
HDN-GEP：A Novel Gene Expression Programming with High Density Node*
Yu Chen1, Changjie Tang1, Chuan Li1, Yue Wang1, Ning Yang1, Mingfang Zhu1,2
1 2
College of Computer Science, Sichuan
University, Chengdu, China
{chenyu05, tangchangjie} @cs.scu.edu.cn
Abstract
Gene expression programming (GEP) is a new
member of evolutionary computation family, and is
successful in symbolic regression and function finding in
the field of data mining. However, GEP is difficult to find
power functions with high ranks. To tackle this problem,
this study proposes a novel GEP algorithm named HDN-
GEP. The main contributions include: (1) a new structure
named HDN (high density node) is proposed that makes
each bit in chromosome express more genetic
information， (2) a HDN-GEP algorithm is proposed to
solve the high or super-high power polynomial function
funding, (3) the efficiency of evolution and the ability of
GEP in function finding is improved based HDN-GEP,
and (4) extensive experiments demonstrate that HDN-
GEP algorithm can find high power functions with short
chromosome, whereas it can not be solved efficient by
traditional GEP.
1. Introduction
GEP proposed by Candida Ferreira in 2001 is a new
member of the evolutionary computation family [1], and is
successful in symbolic regression and function finding in
the field of data mining. GEP adopts the advantages of
both Genetic Algorithms (GA) and Genetic Programming
(GP), while overcoming their respective limitations.
GEP performs well in global optimization, and is
powerfully in function finding [1]. In GEP, the polynomial
function f(x) = a0+a1x+a2x2+…+anxn would be expressed
with chromosome easily. However, if the power n in the
polynomial function f(x) is high or super-high, the
chromosome would be very complex and oversize. For
example, if n=200, in perfectly case, there have to not less
than two hundred ‘x’ and one hundred and ninety nine ‘*’
* This work was supported by the National Natural Science Foundation
of China under Grant No.60773169, the11th Five Years Key
Programs for Sci. &Tech. Development of China under grant
No.2006BAI05A01, and Youth Foundation of Sichuan University No.
06036.
978-0-7695-3357-5/08 $25.00 © 2008 IEEE
DOI 10.1109/ICICTA.2008.212
Department of Computer Science and
Technology, Shaanxi University of Technology,
Hanzhong, China.
in chromosome, and this can only express the element ‘xn’
in f(x). Obviously, this would make the chromosome is
huge and oversize singularly. What’ more, GEP would
lose the ability for expression the polynomial function
when the power n is very large, such as, n=1.0×E10 or
1.0×E200.
GEP is powerfully in function finding, and has been
applied in many fields. However, traditional GEP has
some limitations:
1) Traditional GEP expresses functions by combining
some simple function, such as “+,-,*, /”. To express a
polynomial function, there have to need many
functions ‘*’ in chromosome if the power is high or
super-high. This leads to the shape and the size of
chromosome very huge, especially, when the power
n is super-high.
2) The larger the length of chromosome, the lower of
the efficient of evolution in GEP. According to the
schema theorem in GA, the longer the length of the
schema, the lower of the success rate. During the
evolution, the probability of long schema being
destroy is higher than the short schema.
3) The complex structure of expression tree (ET) or
chromosome of the best solution is difficult to
interpret, especially in function finding and symbol
regression.
Example 1. Given the task to finding a complex function
“f1(x)=x11+5x6+1” through GEP, after several generations
evolution, the best solution would be found, and the
function f1(x) is expressed by chromosome R. The element
“x11” in function f1(x) has to be expressed by chromosome
R0, which is a sub-chromosome of R. R0 is likely below,
and the ET of R0 is shown in Fig.1.
R0: * * * * * * x * * * * x x x x x x x x x x x x
Fig.1. The ET of sub-chromosome R0
60
 In Fig.1, to express element “x11” in f1(x), the ET is
complexly and very huge. If the power of x is high than 11,
the shape of R0 has to be more complex, and the ET would
be more huge and complex too. It is predicted that the
chromosome and the ET would be very huge and
indigestibility if the chromosome or ET in GEP can
express the function f1(x).
To solve these problems, a novel algorithm HDN-GEP
is proposed. The main contributions of this paper include:
1) Proposing a new structure named HDN (High
Density Node, HDN) that makes each bit or node
in chromosome or ET express more genetic
information.
2) Proposing a novel algorithm HDN-GEP algorithm
based HDN. In HDN-GEP, both chromosome and
ET become shortly, for each node or bit in ET or
chromosome is complex, and this makes the ET
and chromosome simplify.
3) Improving the efficiency of evolution in GEP
drastically through HDN-GEP.
4) Expressing the complex polynomial function with
chromosome as concise as possible in HDN-GEP.
5) Making the intelligibility of the best solution
become easy to interpret.
6) Extending the ability of GEP to find high and
super-high polynomial function in function
finding through HDN-GEP.
The paper is organized as follows. Section 2 discusses
related work. Section 3 introduces the preliminary
concepts. Section 4 presents and analyzes the HDN-GEP
algorithm. Section 5 reports the experimental results, and
Section 6 concludes this paper.
2. Related Work
GEP has been applied in various fields, such as
symbolic regression [2], function finding [3], classification
[4]
, clustering analysis [5], time series analysis [6], and
neural networks design [7]. However, the ability of
traditional GEP is limited when the power of target
function is high or super-high, and few literatures tackle
this problem. In [8-9], PENG Jing proposed the M-GEP
and MEOE algorithm. In the model of M-GEP and MEOE,
each bit in chromosome is used effectively through the
reusability mechanism. M-GEP and MEOE shorten the
generation of evolution in GEP, and this is due to the
efficiency that each bit in chromosome is used adequately.
However, when the power of target function is high or
super-high, these proposed methods in GEP can not do.
This paper proposes a novel GEP algorithm HDN-GEP
algorithm. In HDN-GEP, each bit or node in chromosome
or ET is high density, which contains more genetic
information. Through HDN-GEP, the efficiency of
evolution in GEP can be drastically improved, and the
result of evolution can be easily interpreted. Moreover,
61
HDN-GEP could deal with the super complex polynomial
functions, whereas the traditional GEP can not.
3. Preliminary concepts
In GEP, each gene in an individual chromosome is
divided into a gene head and a gene tail. The gene head
contains symbols which are selected from function set (FS)
and terminal set (TS), while the gene tail contains only
terminals which are selected from TS. The length of the
gene head h is selected, while the tail’s length t is a
function of h. The number of arguments of the function
with more arguments n and is defined by Equation 1[1]:
t=h* (n-1) +1 (Equation 1)
A gene is valid if Equation 1 is satisfied. For this
special structure characteristic, some unused gene bit
exists in the chromosome as shown in Example 2.
Definition 1(Applied Gene). Let gene segment r be a sub-
segment in gene g. Then r is called Applied Gene if r is
attended in fitness calculating.
Literature [10] proved that the number of functions and
the number of terminals in Applied Gene satisfy the
Equation 2:
NF
NT = N F + 1 + ∑ [ f (i ) − 2] (Equation 2)
i =1
where NF is the number of functions, NT is the number
of terminals, and f (i) is the number of parameters of the i-
th bit in gene. The front NT+NF bits in chromosome form
the Applied Gene.
In GEP, the fitness calculation of each chromosome is
another fundamental job in function finding, and it is very
time-consuming [10]. To calculate the fitness, in traditional
GEP, every chromosome is first mapping into an ET with
a width-first fashion. Then, the fitness of the chromosome
can be calculated by decoding the ET through inorder
traversal, an example is shown in Example 2.
Example 2. The head length of chromosome R0 in
Example 1 is eleven, and the tail length is twelve. By
Equation 2, only the front twenty one gene bits are
Applied Gene in R0 when calculating its fitness. By the
rule in traditional GEP, Fig.1 shows the ET of R0. To
calculate the fitness of R0, the ET in Fig.1 has to be
traversed, and the fitness of R0 can be calculated through
function: “x11”.
4. HDN-GEP algorithm
As analyzed in Section 1, traditional GEP expresses
polynomial function through combing some simple
functions. This leads to large or oversized chromosome
and ET. Note that, in practice, the rank of many practical
polynomial functions is very high so that traditional GEP
would be inefficiency in function finding. To express the
complex polynomial functions, we construct a novel
structure, HDN, which has the ability to express high or
super-high power polynomial functions with proper short
chromosome. Based on HDN, we propose a novel
algorithm HDN-GEP algorithm. By HDN-GEP, the length
or size of chromosome or ET becomes shorter and simpler.
Moreover, the ability of function finding is extended, and
the task could be solved in high or super-high power
polynomial function finding. The main steps in HDN-GEP
are shown in Algorithm 1.
Algorithm 1 HDN-GEP algorithm
Input: fitness cases, the parameters for GEP
Output: the best solution
{ following characteristics: (a) it can express more complex
(1) Initialize the population;
(2) Fitness_Calculate ( ); // Calculate the fitness
of every individual on chromosome, detail in
section 4.3.
(3) If get the goal then exit;
(4) Keep the best individual to the next generation;
(5) Prepare the next generation by the roulette-
wheel sampling;
(6) Recombine the chromosome by probability pc;
(7) Mutate the chromosome by probability pm;
(8) Inverse the chromosome by probability pi;
(9) Transpose the chromosome by probability pt;
(10) goto (2);
} represents a polynomial function. The set of the values of
In HDN-GEP, the best solution is obtained through
several round evolutions, and the details are analyzed in
the following sections.
4.1 Encoding the Chromosomes
In traditional GEP, each bit in gene is mapped into one
node, which only contains one bit. The function is
expressed through combining these nodes. This structure
characteristic limits the ability of GEP to express the
complex functions. To express a complex polynomial
function, there has to combine many nodes in traditional
GEP, and lead to the larger size ETs or chromosomes. To
tackle this problem, an exponent bit and a coefficient bit is
introduced into HDN-GEP. The structure of one node in
HDN-GEP is shown in Fig.2, and an example is shown in
Example 3.
Fig.2. The structure of one gene bit
62
In Fig.2, the exponent bit is the power of gene bit, and
the coefficient bit is the coefficient of gene bit. Specially,
both the exponent bit and the coefficient bit are 1 when
the gene bit is in FS.
Example 3. To express a polynomial function
“x17+x16+2x15 ” with a chromosome in HDN-GEP, Fig. 3
shows one of the possible chromosome.
Fig.3. The structure of chromosome in HDN-GEP
In Fig.3, each bit in chromosome has an exponent bit
and a coefficient bit. This structure is featured with the
polynomial function with a short chromosome, for the
exponent bit and the coefficient bit can be a large numeral,
and (b)it carry more genetic information within one gene
bit, and this lead to a high efficiency of evolution.
Definition 2(Exponent Set, ES). Let G be a gene
represents a polynomial function. The set of the values of
the exponent bits in G is called Exponent Set.
Commonly, the ES is between zero and n, and n is the
largest power in polynomial function. In Example 3, the
largest power in polynomial function is seventeen, then,
the numeral between zero and seventeen form the ES, and
ES= {0, 1, 2,…, 17}.
Definition 3(Coefficient Set, CS). Let G be a gene
the coefficient bits in G is called Coefficient Set.
Commonly, the CS is between zero and m, and m is the
largest coefficient in polynomial function. In Example 3,
the largest coefficient in polynomial function is two, then,
the numeral between zero and two form the CS, and CS=
{0, 1, 2}.
Definition 4(High Density Node, HDN). The node in ET
or the gene bit in chromosome is called HDN, which is
comprised of the exponent bit, the gene bit, and the
coefficient bit.
Fig.4. The structure of chromosome and the ET
of R2
Compared with the simple node in traditional GEP, in
HDN-GEP, each node has more genetic information, and
could express more complex function easily. According to (1) FOR each Applied_chrom[i] DO {
the structure of node in HDN-GEP, the function f1(x) in (2) IF Applied_chrom[i] not in FS THEN
Example 1 could be expressed with chromosome R2 (3) FOR each j∈ {0, 1,…, n} DO
simply in Fig. 4(a), and Fig.4 (b) shows the ET. Data[i][j]=coefficient[i]*EXP(fitcase[j],exp
Fig.4 shows that the complex function f1(x) is onent[i]) ;} //here, n is the number of fitness
expressed in HDN-GEP simply, whereas, in traditional cases, and fitcase[j] is the j-th fitness cases.
GEP, the complex structure of ET in Fig.1 can only }
express the element ‘x11’ in function f1(x). Function CalOperand (Applied_chrom)
{
4. 2 Fitness Calculation (1)FOR （i=0; i<n; i++)
FOR (j=0; j<f (i), j++)
Literature [10] proposed a novel linear decoding OPj← Data [childj] [i];
algorithm LDecode algorithm. With LDecode algorithm, (2)Data [q] [i] ←q (OP1…OPf (i));
the fitness can be calculated on the chromosome }
immediately. In HDN-GEP, we calculate the fitness based
on LDecode. The mainly steps of fitness calculation is In above functions, n is the size of fitness cases, and
shown in Algorithm 2. childj is the j-th child of function q in Applied_chrom, f(i)
is the number of parameters of function q, and OPi is the
Algorithm 2 Fitness_Calculate i-th operand of function q.
Input: chromosome, fitness cases
Output: the fitness of chromosome 5. Empirical Study and Discussions
{
(1)Applied_chrom=Identify_Applied_Gene (chrom); An AMD Anthon 1.53GHz PC with 512M RAM is
(2)Fitness_Calc (Applied_chrom) used for testing. In our experiments, we implement HDN-
} GEP and traditional GEP in Java. All algorithms are run
Function Identify_Applied_Gene (chrom) on Windows XP with JDK1.4.
{
(1) NF=0, NT=0, i=0; 5.1 Fitness Calculation Efficiency
(2) L←LEN (chrom);
(3) WHILE (i .LE. L) DO { To evaluate the efficiency of HDN-GEP, we run HDN-
(4) IF each chrom[i] in FS THEN NF ++; GEP and traditional GEP on function f1: x17+x16+2x15. The
ELSE NT++; experiment is focused on the performance difference in
NF

∑ [ f (i) − 2] )) EXIT ;}
calculating the fitness of chromosome. Each experiment is
(5) IF (NT .EQ. ( N F + 1 + conducted one hundred times and the average value is
i =1 recorded for the evaluation.
(6) Return chrom [0,…, (NF +NT)];//return the front Theoretically, to express f1, in HDN-GEP, there are
(NF +NT) bits in chrom. only need 3 gene bits in gene head. However, in
} traditional GEP, the length of gene head has to be set by
Function Fitness_Calc (Applied_chrom) 63 at least. We generate a population (the size of
{ population is 100) and a group fitness cases (the size of
(1) ImportDataset ( ); fitness cases is 20) by f1 randomly, and run HDN-GEP and
(2) q ←LEN (Applied_chrom); traditional GEP on the same population and fitness cases
(3) ch← Applied_chrom [q]; respectively. The main parameters in HDN-GEP and
(4) IF ch in TS traditional GEP are illustrated in Tab.1, and the result is
THEN q--，goto (3); shown in Tab.2.
ELSE CalOperand (Applied_chrom);
(5) q--; Tab.1. Parameters for f1
(6) IF q >0 goto (3); f1
n

∑ Data[i][0] − T
Traditional GEP HDN-GEP
(7) Return i ; //here, Ti is the Gene head length 63 3
i =0
Number of genes 1 1
value of the i-th fitness case. ES null {0,1, 2,…,17}
} CS null {0,1,2}
Function ImportDataset ()
{

63
 Tab.2 shows the difference in fitness calculation
between traditional GEP and HDN-GEP. The result
reveals that the efficiency of fitness calculation in HDN-
GEP is well above the efficiency in traditional GEP.
Tab.2. Time cost on f1 (ms)
Traditional GEP HDN-GEP
f1 71.66 1.314
5.2 Discussions
Section 5.1 analyze the efficiency between HDN-GEP
and traditional GEP, and the experiment results illustrate
that the efficiency of HDN-GEP is excellent than
traditional GEP in fitness calculation. Moreover, HDN-
GEP can express a complex polynomial function with
chromosome as concise as possible, whereas it is difficult
in traditional GEP.
There is a problem that the value of function f(x) would
be a very huge numeral when the power of f(x) is high or
super-high. Such as, the value of “f(x) =x1100” would be
very huge. The value of f(x) should exceed the upper
bound in java, even if x is a small value 2. In this case, the
fitness calculation would loss much precision even loss
the ability of calculation, and leads to unsatisfactory
solutions. To deal with these complex problems with
HDN-GEP or traditional GEP, the traditional calculated
method should be modified. However, to tackle these
complex problems, the chromosome of the best solution in
HDN-GEP should be very concise if both traditional GEP
and HDN-GEP can get the best solution with the modified
calculated method.
6. Conclusions
This study proposes a new structure HDN and a novel
algorithm HDN-GEP algorithm based on HDN. Through
HDN-GEP, many complex high or super-high power
polynomial function in function finding could be solving
easily, and efficiently. Furthermore, the efficiency of
evolution is improved drastically. Moreover, the
chromosome of the best solution in HDN-GEP is concise,
which is easy to implement and interpret. Extensive
experiments demonstrate that HDN-GEP algorithm is
effective to deal with function finding with high or super-
high ranks. More extensive, this structure HDN can also
be introduced into GA and GP.
7. References
[1] Ferreira, C., Gene Expression Programming-Mathematical
Modeling by an Artificial Intelligence (2nd Edition). Springer-
Berlin Heidelberg, New York, 2006.
64
[2] Cai Zhihua, Li Qu, Jiang Siwei, et al. Symbolic regression
based on GEP and its application in predicting amount of gas
emitted from coal face. In Proceedings of the 2004 International
Symposium on Safety Science and Technology, pp. 637-641,
2004.
[3] Huang Xiaodong, Tang Changjie, Li Zhi, et al. Mining
Functions Relationship Based on Gene Expression Programming.
Journal of Software, 2004, 15(suppl.):96-105.
[4] Chi Zhou, Peter C. Nelson, et al. Discovery of Classification
Rules by Using Gene Expression Programming. In Proceedings
of the International Conference on Artificial Intelligence, pages
1355-1361, Las Vegas, USA, 2002.
[5] Yu Chen, Changjie Tang, Jun Zhu, et al. Clustering Without
Prior Knowledge Based on Gene Expression Programming.
Third International Conference on Natural Computation,
ICNC2007, Vol.3, pp.451-455, 2007.
[6] Zuo Jie, Tang Changjie, Li Chuan, et al. Time Series
Prediction based on Gene Expression Programming. WAIM2004.
LNCS, Vol.3129, pp.55-64. Springer, Heidelberg (2004).
[7] Kangshun Li, Yuanxiang Li, et al. A new algorithm of
evolving artificial neural networks via gene expression
programming. Journal of the Korea Society for Industrial and
Applied Mathematics, Vol. 9, No. 2: 83-90, 2005.
[8] PENG Jing, TANG Chang-Jie, LI Chuan, et al. M-GEP: A
New Evolution Algorithm Based on Multi-Layer Chromosomes
Gene Expression Programming. Chinese journal of computer,
Vol.28, No.9:1459-1466, 2005.
[9] PENG Jing, TANG Chang-Jie, YUAN Chang-An, et al. A
Multi-Gene Evolutionary Algorithm Based on Overlapped
Expression. Chinese journals of computers, Vol.30 No.5:775-
785, 2007.
[10] Yu Chen, Changjie Tang, Chuan Li, et al. LDecode: A
Novel Decoding Algorithm on Gene Expression Programming
with Linear Complexity. Journal of Sichuan University
(Engineering Science Edition), Vol.40 No.1:107-112, 2008.
 2008 International Conference on Intelligent Computation Technology and Automation

Hybrid Particle Swarm Optimization Based on Parallel Collaboration

Yong Zhao *, Xueying An†, Wencai Luo‡

College of Aerospace and Materials Engineering,
National University of Defense Technology，Changsha, China, 410073
E-mail: * nudtzhy@163.com, † nudtaxy@163.com, ‡ luowencai@sina.com

Abstract global optimization (GO) problems. Therefore, after a

Particle Swarm Optimization (PSO) is
characterized as simple in concept, easy to implement,
and efficient in computation, but some enhancements
to its basic algorithm’s stability and global
convergence still need to be investigated. A number of
improvements on the PSO algorithm are summarized
to overcome its shortcomings. Then, an improved PSO
(IPSO) algorithm is proposed to move a particle in the
swarm to the best position along the direction of its
updated velocity with an optimized time step.
Subsequently, a hybrid PSO (HPSO) algorithm based
on the parallel collaboration is presented, which is a
combination of Powell, pattern search and IPSO.
Finally, the performances of the IPSO and HPSO are
tested through numerical simulation, in which the
global optimum solutions of four typical test functions
need to be searched for. The results show that the
IPSO method increases the stability of the basic PSO
and results in faster convergence to the global
optimum solution, and the HPSO does better in solving
complex global optimization problems and carrying
out parallel operations.
1. Introduction
In 1995, an adaptive stochastic search algorithm,
called Particle Swarm Optimization (PSO), was first
proposed and introduced by Kennedy and Eberhart. It
is motivated by the behavior of flocks of birds and
schools of fish to find rich sources of food. In PSO, a
set of randomly generated solutions propagate in the
design space towards the optimal solution over a
number of iterations based on large amount of
information about the design space that is assimilated
and shared by all the members of the swarm. The
particle swarm optimization method is characterized as
simple in concept, easy to implement, and efficient in
computation, and has been proved to be good at
searching for the global optimum solutions of many
short period of time, the PSO algorithm finds
application in the nonlinear constrained optimization,
nonlinear system identification, multi-objective
flexible job-shop scheduling and traveling salesman
problems [1, 2].
But several disadvantages of the basic PSO
algorithm have been found, and its corresponding
enhancements are summarized here. To balance its
ability of global and local search, some strategies of
weight adjustment have been formed, such as the linear
decreasing, nonlinear decreasing, stochastic and fuzzy
inertia weight [3]. To avoid the premature
convergence, the position and velocity of some
particles in the swarm should be reset to new values
according to some criteria [4]. To modify the formulas
of the position and velocity is another method to
control the search direction and improve the capability
of global search in Particle Swarm Optimization [5].
Furthermore, a hybrid PSO algorithm introducing
evolutionary computation techniques can be easier to
escape from the local minimum and more efficient in
global search.
In spite of the above improvements upon the basic
PSO algorithm, its stability and global convergence
still need to be studied. Therefore, an improved PSO
algorithm is brought forward to locate one particle in
the swarm along the direction of its updated velocity
by time step optimization. On the basis of IPSO, a
hybrid PSO algorithm is presented, integrating IPSO
with Powell and pattern search. And the performances
of the Powell, pattern search, IPSO and HPSO are
compared through numerical simulation with four
typical GO test functions.
2. Improved Particle Swarm Optimization
2.1. Basic Particle Swarm Optimization
In the basic PSO algorithm, an initial set of particles
are randomly distributed throughout the design space;

978-0-7695-3357-5/08 $25.00 © 2008 IEEE 65

DOI 10.1109/ICICTA.2008.455
and the velocity vector for each particle is determined
by the memory of each particle as well as the
knowledge gained by the swarm as a whole, and its
position is updated using its current position and
modified velocity; then, the estimation of the velocity
and position is repeated until convergence to the global
optimum solution.
Given that m represents the total number of
particles in the design space of D dimensions, and the
position and velocity vectors of particle i are
expressed as X i = { xi1 , xi 2 ,..., xiD } and Vi = {υi1 ,υi 2 ,
...,υiD } , respectively. Particle i has its own fitness
value f i , which is pertinent to the objective function
of optimization problems. Furthermore, the objective
function is usually looked upon as the fitness function
of particles. Pi = { pi1 , pi 2 ,..., piD } represents the best
position vector found by particle i so far and also
known as the individual extremum PBest ,i . And Pg =
{ g1 , g2 ,..., g D } denotes the best position vector of all
the particles in current swarm, i.e. the swarm
extremum GBest . At every iteration, particle i makes
use of the information of PBest ,i and GBest to update its
position and velocity. Therefore, the position and
velocity vectors of particle i at iteration k + 1 can be
written as follows [6]:
⎧υij ( k + 1) = ωυij ( k ) + c1r1 ⎡⎣ pij − xij ( k ) ⎤⎦ Δt +
⎪⎪
⎨ c2 r2 ⎡⎣ g j − xij ( k ) ⎤⎦ Δt
⎪
x ( k + 1) = xij ( k ) + υij ( k + 1) Δt
⎩⎪ ij
where xij ( k ) and υij ( k ) are respectively the j th
position and velocity components of particle i at
iteration k , Δt represents the time step; r1 and r2 are
random numbers between 0 and 1, ω denotes the
inertia weight; c1 and c2 are the acceleration weights
and also known as the “trust” parameters.
2.2. Improved Particle Swarm Optimization
model
As shown in Eqs. (1), the expression of the velocity
component for each particle at the next iteration,
υij ( k + 1) , contains two random parameters to ensure
good coverage of the design space and avoid
entrapment in local optima. If an improvement is made
on the velocity computation, it is very difficult to
greatly increase the performance of the PSO algorithm.
As a result, the efforts concentrate on the
enhancement to the position update. After the velocity
component, υij ( k + 1) is specified, the position
component at the next iteration, xij ( k + 1) is only
determined by the time step Δt . In the basic PSO, the
time step is fixed, thereby the modified algorithm with
an alterable time step has been discussed. But, the
increment of the ability of global search is very
limited. In fact, when the velocity is obtained, the
particle will relocate its position along the direction of
the velocity υij ( k + 1) . For a specified time step, the
new position of the particle is only one point in this
direction. So we can optimize the time step Δt to find
the optimum position at the next iteration, meanwhile
the direction of the corresponding velocity υij ( k + 1) is
maintained. As the swarm size m is very large in PSO,
if all the particles want to update their positions using
an optimized time step, the design process will slow
down and the computation efficiency will decline
drastically. Consequently, only one particle in the
swarm carries out the time step optimization. This kind
of improved Particle Swarm Optimization is
abbreviated to IPSO.
In comparison with the basic PSO, the data flow of
the IPSO algorithm is as follows: renew the velocity of
each particle according to Eqs.(1); select one particle
and optimize its time step, and then move it to the
optimum location along the direction of its
corresponding velocity; update the positions of the
other particles as shown in Eqs.(1); repeat the above
steps until convergence to the global optimum solution.
（1 ）
2.3. Test examples
2.3.1. Test function. The performances of the PSO and
IPSO algorithms are compared through numerical
simulation, in which the global optimum solutions of
four typical test functions with several local minima
need to be searched for [7]. As shown in Eqs.(2) ~
Eqs.(5), X = ( x1 , x2 ,..., xn ) represents a vector of real
number type, n is the number of dimensions, and xi is
the i th element of the vector X .
„ Function I——Rosenbrock Function
Rosenbrock Function is referred to as Banana
Function and its expression is given by
n
f ( X ) = ∑ ⎡100 ( xi −1 − xi2 ) + ( xi − 1) ⎤
2 2
（2）
i =1
⎢
⎣ ⎥⎦
where −5 ≤ xi ≤ 5 , n = 10 .
This function has infinite local optima. Its unique
global optimum solution is X = (1,1," ,1) and the
corresponding minimum is zero.
„ Function II——Shubert Function
66
 ⎧ 5 ⎫ ⎧ 5 ⎫ This function has infinite optimal solutions. When
f ( X ) = ⎨∑ i cos [ (i + 1) x1 + i ]⎬ ⋅ ⎨∑ i cos [ (i + 1) x2 + i ]⎬ its only one global optimum solution ( 0, 0 ) is obtained,
⎩ i =0 ⎭ ⎩ i =0 ⎭
the corresponding minimum of Schaffer Function is
+ 0.5 ⎡⎣ ( x1 + 1.42513) + ( x2 + 0.80032) ⎤⎦
2 2
−1 .
（3 ）
where −10 ≤ x1 , x2 ≤ 10 . 2.3.2. Test results. In the following test, the PSO and
This function has 760 local optimal solutions. When IPSO’s parameters are defined as follows: the swarm
size m is set to be 200, the inertia weight ω linearly
its global optimum solution ( −1.42513, −0.80032 ) is
decreases from 1.0 to 0.25, the self confidence c1 = 2.0,
found, the value of Shubert Function is equal to
−186.7309 . the swarm confidence c2 = 1.5, the maximum time of
„ Function III iterations = 10000, the time step Δt = 0.005, the
1 10 stopping tolerance ε = 10-6, the time of consecutive
f ( X ) = ∑ ( x 4j − 16 x 2j + 5 x j ) （4） design iterations n is the same as the product of m
2 j =1
and the number of dimensions.
where −10 ≤ x j ≤ 10 , ( j = 1, 2,...,10 ) . For every test function, the initial values of the
This function has infinite local optima, too. Its design parameters are generated randomly and the
unique global optimum solution is x j = −2.903534 optimization process is repeated one hundred times;
then the statistic characteristic of the PSO and IPSO
( j = 1, 2,...,10 ) and the corresponding minimum is algorithms are compared, as shown in Table 1.
-391.6617 .
„ Function IV——Schaffer Function

f ( X ) = −0.5 +
sin 2 ( )
x12 + x22 − 0.5
（5）
2
⎡1 + 0.001( x 2 + x 2 )2 ⎤
⎣⎢ 1 2
⎦⎥
where −100 ≤ x1 , x2 ≤ 100 .
Table 1. Performance comparison between PSO and IPSO

Test Function Function I Function II Function III Function IV

PSO 0.6777 -186.5357 -368.6188 -1.0000
Average minimum
IPSO 0.1229 -186.6489 -387.4206 -1.0000
Time of convergence to global optimum PSO 83 39 14 100
solution IPSO 93 79 73 100
Standard deviation between true PSO 1.4975 0.1951 15.6981 0.0000
minimum and average minimum IPSO 0.6803 0.1590 7.3457 0.0000
Average time of objective function PSO 1999800 242584 808358 187980
evaluation IPSO 2958080 208758 1188422 177925

The average minima of IPSO for 100 runs are
mostly smaller than that of PSO and much closer to the
actual global optimum. For Function I and IV, the
times of convergence to global optimum of two
algorithms are all near or equal to 100; for Function II
and III, the time of IPSO is much more than that of
PSO and its corresponding probability to obtain the
global minimum reaches about 70 percent. As to the
standard deviation between true minimum and average
minimum, the difference in the best positions found by
particles in IPSO is smaller than that of PSO except
Function IV. This indicates that the IPSO method is
more robust in global search compared with the basic
PSO. But, their average times of objective function
evaluation are on the same order of magnitude.
To sum up, for those aforementioned global
optimization (GO) test functions, the performance of
the improved PSO algorithm is not worse than that of
the basic PSO; and as shown in Table 1, PSO doesn’t
do well in searching for the global optimum of
Function II and III, whereas IPSO results in faster
convergence and better robustness.

67
3. Hybrid Particle Swarm Optimization
In comparison with the basic PSO, the improved
PSO’s capacity of global search is enhanced
noticeably, but the time of objective function
evaluation also increases on occasion. Therefore,
combining IPSO with other optimization algorithms
may be an effective measurement taken to further
improve the performance of IPSO.
3.1. Hybrid algorithm
The particle swarm optimization algorithm has the
characteristics of randomicity and convergence to
global optimum, so PSO could be improved or
integrated with other search techniques in terms of the
hybrid genetic method. As a result, there are mainly
two kinds of advances in PSO, as follows:
One is to increase the performance of PSO. Similar
to the evolutionary rule in GA, the above improved
particle swarm optimization method with an optimized
time step makes some enhancements to the
performance of the basic PSO algorithm. The other is
to cooperate with other optimizers. Combining PSO
with other search techniques will yield a novel
optimization algorithm. And the optimum solution
found by PSO can be considered as the initial or
iterative value of the design variables in the
optimization process of other optimizers.
3.2. Hybrid Particle Swarm Optimization
model
The hybrid particle swarm optimization algorithm
(HPSO) is composed of the improved PSO, Powell and
Pattern Search Method (PSM). Powell and Pattern
Search Method are both direct search techniques,
which have the virtue of local search, but the IPSO
algorithm is good at global search. As a result, HPSO,
a combination of three optimizers, will have advantage
of their total performance.
The data flow of the HPSO algorithm in the
optimization process is shown in Fig.1 and its outline
is as follows [8]:
Step1: initialize the algorithm parameters of pattern
search, Powell and IPSO, respectively. And these
parameters of three search methods are independent of
one another.
a) Pattern Search Method: define an initial point
x ( ) ∈ E n , a set of n unit vectors {e1 , e2 ,..., en } ,
1
an initial time step δ , an acceleration factor
α ≥ 1 , a decreasing rate β ∈ ( 0,1) , and a
tolerance ε > 0 ;
68
b) Powel optimization algorithm: specify an initial
solution x ( ) , a set of n unit vectors of linear
0
independence {d (
1,1)
, d (1,2) ,..., d (1,n ) }, and a
tolerance ε > 0 ;
c) IPSO algorithm: initialize the swarm size m ,
inertia weight ω , “trust” factors c1 and c2 ,
maximum velocity vector Vmax , tolerance
ε > 0 , initial position X ( 0 ) and velocity V ( 0)
of all the particles, individual extremum PBest ,
and swarm extremum GBest ;
Step2: compare the fitness values of three
algorithms to obtain the current optimum solution of
the hybrid optimization method;
Step3: judge whether the optimum solutions of three
search techniques are consistent with that of the Hybrid
PSO or not. If not, each single algorithm’s current
optimum is set to be that of the HPSO.
Step4: run three optimization algorithms
independently for one time;
Step5: compare their fitness values to get the
current optimum solution of the HPSO;
Step6: estimate whether their convergence criteria
are satisfied or not. If not, return to Step3; otherwise
stop the optimization process.
3.3. Test examples
The global optimization test functions are the same
as the above ones. The tolerances of Powell and
Pattern Search Method are both equal to 10-7, the
Powell optimization adopts a search method of one
dimension, the improved 0.618 algorithm, and the
parameter values of IPSO is similar to the ones
aforementioned.
For 100 runs; the statistic results from the PSM,
Powell IPSO and HPSO algorithms are compared, as
shown in Table 2.
As can be seen in Table2, the average minima of the
hybrid particle swarm optimization are smaller than
those of the other three single search techniques.
Furthermore, they are all close or equal to their
corresponding global optima. The statistic results
indicate that the HPSO algorithm has enhancements to
the search capacity compared with IPSO. The times of
convergence to global optimum solution of HPSO are
mostly much more than those of any other optimization
method. Especially for Function III, the HPSO finds
the global minima in almost 100 runs and the IPSO
searches for them in just 73 runs. As to the standard
deviation between true minimum and average
minimum, the data show that HPSO has noticeable
advantage of the search stability over the other
methods. In particular, its standard deviations of
Function I and III are much smaller than those of the
PSM, Powell and IPSO. The average times of objective
function evaluation of HPSO are much less than those
of IPSO. That is to say, the introduction of the PSM
and Powell into the optimization process of IPSO can
result in faster convergence to the global minimum
solution.
To sum up, the hybrid particle swarm optimization
algorithm makes evident improvements in the ability of
global search, robustness and computation efficiency,
due to the integration of the PSM and Powell with the
IPSO method.

Table 2. Results Comparison between HPSO and IPSO

Test Function Function I Function II Function III Function IV
PSM 16.2665 -147.8203 -315.1820 -0.7430
Average Powell 38.1523 -139.9070 -389.3998 -0.7375
minimum IPSO 0.1229 -186.6489 -387.4206 -1.0000
HPSO 0.0000 -186.6568 -391.3789 -1.0000
PSM 63 13 0 5
Time of convergence to Powell 0 11 84 10
global optimum solution IPSO 93 79 73 100
HPSO 100 81 98 100
PSM 72.6030 53.5656 19.8010 0.2035
Standard deviation Powell 97.2801 49.2759 5.1826 0.2069
between true minimum
and average minimum IPSO 0.6803 0.1590 7.3457 0.0000
HPSO 0.0000 0.1531 1.9791 0.0000
PSM 55867 414 2867 341
Average time of objective Powell 23090 590 2095 491
function evaluation IPSO 2958080 208758 1188422 177925
HPSO 2732788 135514 570717 119619

4. Conclusions „ The hybrid particle swarm optimization, which

The particle swarm optimization is characterized as
simple in concept, easy to implement, and efficient in
computation, but some enhancements to its basic
algorithm’s stability and global convergence still need
to be investigated. To overcome the weakness of the
PSO algorithm, two kinds of improved PSO methods,
IPSO and HPSO, are proposed. And their performances
have been tested through a large number of simulation
experiments.
„ For different optimization problems, the
parameter tuning has a great effect on the
performance of the basic PSO algorithm.
Therefore, in the improved PSO, the
optimization of time step is exerted to find the
best position of one particle along the direction
of its updated velocity. The statistic results
illustrate that the IPSO method dose better in
faster convergence and stability, relative to the
single PSO. Consequently, the effectiveness of
IPSO is validated, too.
is a combination of the IPSO, Powell and Patter
Search Method, has the virtues of three single
search techniques’ performance. In comparison
with the above single optimization method, the
HPSO is good at solving the intricate global
optimization problems and its feasibility has
been proved in the optimization processes of
four typical GO test functions.
5. References
[1] Y. Shi and R.A. Krohling, “Co-evolutionary particle
swarm optimization to solve min-max problems”, Proceeding
of the 2002 Congress on Evolutionary Computation, Hawaii,
USA, 2002, pp. 1682-1687.
[2] R.C. Eberhart, “Comparing Inertia Weights and
constriction factors in particle swarm optimization”,
Proceeding of the 2000 Congress on Evolutionary
Computation, La Jolla, CA, USA, 2000, pp. 84-88.

69
[3] Y. Shi and R. Eberhart, “Fuzzy Adaptive Particle Swarm
Optimization”, The IEEE Congress on Evolutionary [7] Luo Wencai, Study and Application of Theory of
Computation, San Francisco, USA, 2001, pp. 101-106. Multimethod Collaborative Optimization in the System
Design of Flying Vehicles, Graduate School of National
[4] G. Venter and J. Sobieszczanski- sobieski, “Particle University of Defense Technology, Changsha, Hunan, China,
Swarm Optimization”, AIAA 2002-1235, 2002. 2003.

[5] Y. Shi and R. Eberhart, “Parameter Selection in Particle [8] Zhao Yong, Study on the Theory and Application of
Swarm Optimization”, Proc of the 7th Annual conf on Multidisciplinary Design Optimization for the Satellite
Evolutionary Programming, Washington DC, 1998, pp. 591- System, Graduate School of National University of Defense
600. Technology, Changsha, Hunan, China, 2006.

[6] J. Kennedy and R.C. Eberhart, “Particle Swarm

Optimization”, Proc. IEEE International Conference on
Neural Networks , Perth, Australia, 1995, pp. 1942-1948.

e1 ," en , δ , α , β , ε d (1,1) , d (1,2 ) ," , d (1,n ) m, ω , c1 , c2 ,Vmax , ε , PBest

(1) (1)
= x ,k =1 x ( 0) , ε , k = 1 GBest , X ( ) ,V ( ) , k = 1
0 0
y
f1 = f ⎡⎣ x ( ) ⎤⎦ f 2 = f ⎡⎣ x( ) ⎤⎦ f3 = f ( GBest )
1 0

f ( x ) = min { f1 , f 2 , f 3 }

x(
k −1)
x( k ) = x ? = x? GBest = x ?

x( k ) = x x( k −1) = x PBest , GBest

y (1) = x( k ) + α ⎡⎣ x( k ) − x( k −1) ⎤⎦
d(
k ,1)
= d ( ) ," , d (
k ,n)
= d(
1,1 1, n )

f ⎡⎣ y ( ) ⎤⎦ < f ⎡⎣ y ( ) ⎤⎦ ?
n +1 1

PBest , GBest
x(
k + 1)
= y(
n +1 )

y ( ) = x(
k +1)
+ α ⎡⎣ x ( ) − x ( ) ⎤⎦
1 k +1 k

x(
k +1)
= x( ) , δ = βδ , y ( ) = x(
k 1 k)

f1 = f ⎡⎣ x( ) ⎤⎦ f 2 = f ⎡⎣ x( k ) ⎤⎦ f3 = f ( GBest )
k +1

f ( x ) = min { f1 , f 2 , f3 }

k = k +1

Figure 1. Flowchart of HPSO

70
 2008 International Conference on Intelligent Computation Technology and Automation
iDistance Based Interactive Visual Surveillance Retrieval Algorithm
Lin Qu1, Yaowu Chen1, Xiaofan Yang2
1. Institute of Advanced Digital Technology and Instrumentation, Zhejiang University, China
2. Hangzhou Applied Acoustics Research Institute, Hangzhou, China
cyw@mail.bme.zju.edu.cn
Abstract
This paper proposes an iDistance based interactive
retrieval algorithm to accomplish semantic retrieval in
visual surveillance system and improve the retrieval
performance. The concept of user is interactively
learned by training a SVM classifier from the user
feedbacks. The search range of the algorithm is re-
duced by an iDistance based optimization algorithm.
The surveillance objects are characterized by the color,
texture and coefficient trajectory features. Experimen-
tal results on real scenes demonstrate the effectiveness
of the proposed algorithm.
1. Introduction
The current prevalent use of the visual surveillance
system has prompted more research activities at the
effective indexing and retrieval from the surveillance
video database.
Retrieval from surveillance database using motion
information has been investigated in the recent years.
Bashir et al. [1] apply principal component analysis
(PCA) to reduce the dimensionality of trajectory data.
A two-level PCA operation with coarse-to-fine re-
trieval is used to identify trajectories close to a query
trajectory. Hsieh et al. [2] propose a hybrid motion-
based video retrieval system. The hybrid method in-
cludes a sketch-based scheme and a string-based
scheme to analyze and index a trajectory with more
syntactic meanings. Hu et al. [3] propose a semantic-
based video retrieval framework for visual surveillance.
The activity model is learned by hierarchically cluster-
ing. The framework supports queries by keywords,
multiple object queries, and queries by sketch.
Relevance feedback is an effective scheme bridging
the gap between high-level semantics and low-level
features which is widely used in text and content based
image retrieval (CBIR). Early approaches to relevance
The corresponding author is Yaowu Chen.
978-0-7695-3357-5/08 $25.00 © 2008 IEEE
DOI 10.1109/ICICTA.2008.13
feedback are mainly query point refinement [4] and
re-weighting [5] based techniques. Recently, classifi-
cation techniques are introduced to achieve relevance
feedback. Among them, SVM-based techniques [6]
are considered as the more promising techniques.
In visual surveillance retrieval system, objects are
often indexed by high dimensional feature vectors
whose dimensionality varies from tens to thousands.
To speed up searches, a few multidimensional indexes
were developed, such as R-tree, M-tree [7] and iDis-
tance [8] . Among them, iDistance is a more applicable
index for high dimensional metric space.
To accomplish semantic retrieval in visual surveil-
lance system and improve the retrieval performance,
this paper proposes an iDistance based interactive re-
trieval algorithm. A SVM-based relevance feedback
mechanism is used to interactively learn the concept of
user and identify the most relevant objects from the
surveillance database. An iDistance based optimization
algorithm is proposed to reduce the search range and
improve the retrieval performance. The raw features
used in the relevance feedback process consist of the
coefficient trajectory features, the color features and
the texture features. Experimental results on real
scenes demonstrate the effectiveness of the proposed
algorithm.
2. Relevance feedback algorithm
2.1. Support vector machine (SVM)
SVM [9] is an effective binary classification algo-
rithm. It separates the two classes of points by a hy-
perplane. When the data is not linearly separable, the
input data can be mapped through a nonlinear mapping
onto a high-dimensional feature space in which the
optimal separating hyperplane can be constructed. The
nonlinear transformation can be constructed by replac-
ing the inner product of data points by a kernel func-
tion:
x i ⋅ x j → φ ( x i ) ⋅ φ ( x j ) = K ( x i ,x j ) (1)
71
 The radial basis function (RBF) is chosen as the
kernel function in this paper:
(
K ( x i , x j ) = exp −γ x i -x j
2
), γ >0
Thus, the SVM classifier can be given by
F ( x ) = sgn ( f ( x ) )
where f ( x ) = ∑ i =1α i yi K ( x i , x ) + b is the output hy-
l
perplane decision function of the SVM.
|f(x)| shows the confidence of the prediction. A lar-
ger |f(x)| means the input data is far away from the
hyperplane while a lower |f(x)| means the input data is
near the hyperplane.
2.2. SVM based relevance feedback
A SVM based classifier can be constructed from the
feedback of the user to reflect the semantic of the
query. Firstly, k objects are randomly chosen and re-
turned to the user for labeling. During each round of
the relevance feedback, the user is further required to
mark several objects as either relevant or irrelevant.
The SVM based classifier is constructed by learning
the objects labeled by the user. Then, each object in
database can be classified into relevance and irrele-
vance by its feature vector. At the same time, all the
objects can be ranked by their individual distances to
the hyperplane (decision values). The top N objects are
returned as the retrieval results. Similar to [6] , the k
unlabelled objects with least confidence (nearest to
hyperplane) are returned to the user for labeling.
2.3. Trajectory feature extraction
The trajectories are acquired by tracking moving
objects. Image sequences are sampled at fixed time
intervals (frames) to acquire object centroids through
object tracker. Centroids in different samples are con-
nected to form the trajectory. The trajectory features
are extracted in the coefficient space by Discrete Fou-
rier Transform (DFT) [10] .
Firstly, the trajectory is smoothed by a moving av-
erage filter and resampled to a fixed number of points.
Then, the spatial sequence of the motion trajectory can
be defined as:
t = { (x1,y1), (x2,y2), … , (xn,yn) }
The trajectory can be considered as two independ-
ent one-dimensional sequences:
tx = { x1, x2, … , xn }, ty = { y1, y2, … , yn }
Therefore, the trajectory can be mapped onto the
frequency domain by DFT:
X k = ∑ i = 0 xi e − j 2π ik n , Yk = ∑ i = 0 yi e − j 2π ik
n −1 n −1
where j2=-1, k=0,1,...,n-1. Xk and Yk are all complex
values. So, the kth coefficients can be represented by
the following real number vector:
fk={ real(Xk), imag(Xk), real(Yk), imag(Yk) }
Finally, trajectory can be represented by the follow-
ing feature vectors:
F={ f1, f2,…, fi,…, fn } (2)
2.4. Object characterization
The raw features used in the relevance feedback
process consist of the image features and the trajectory
features. The former includes color features and tex-
ture features.
The color features are extracted by a 256-bin HSV
color histogram where Hue, Saturation, and Value are
quantized into 8, 8, and 4 bins respectively. The tex-
ture features are extracted by Gabor wavelets [11] with
4 scales and 6 orientations.
The 256-dimensional color features and the 48-
dimensional texture features are then concatenated
with the 32 points trajectory coefficient features (128
dimensions) to form a 432-dimensional feature vector.
The feature vector is finally stored into the surveillance
database together with the corresponding object de-
scriptor for future retrieval.
3. Retrieval optimization
3.1. iDistance Algorithm
The iDistance [8] is an index method for similarity
search in a high-dimensional metric space. The data
space is divided into n partitions and a pivot point pi is
selected for each partition Ci. The data point in each
partition is then transformed into a single dimensional
key based on the distance to its pivot point. Having a
constant c to separate individual partitions, the iDis-
tance key for an object x∈Ci is
key(x)=d(pi,x)+i·c (3)
where c is a constant used to stretch the data ranges.
Therefore, all objects in partition Ci are mapped onto
the interval [i·c,(i+1)·c). The data can be then stored in
a B+-tree according to the iDistance keys.
When performing range query for point q and range
r, only the partitions that possibly contain objects from
the query range need to be searched
d(q,pi)-r≤max-disti
where max-disti is the maximum distance between pi
and the objects in partition Ci. The search area within
partition Ci corresponds to the iDistance interval
[d(pi,q)+i·c-r, d(pi,q)+i·c+r]
Therefore, the query results can be constructed by
evaluating the distance d(q,x) for each object x in the
n
search areas of the possible partitions.
According to [8] , pivot points can be chosen by a
space or data partitioning strategy. In this paper, the k-
medoids clustering algorithm is used to generate pivots.
72

Figure 1 Search regions for hyperplane H
We use k-medoids instead of k-means because the
former is applicable to both metric and vector space.
3.2. Linear SVM based relevance feedback
optimization
The relevance feedback algorithm proposed in sec-
tion 2 sequentially scans all objects in the data space to
find objects that will be returned for labeling. In prac-
tical surveillance database, the number of objects is
huge. It is difficult to apply the above algorithm di-
rectly.
Since SVM separates the dataset by a hyperplane,
the idea of iDistance can be used to reduce the search
regions. As shown in Figure 1, feature vectors are
firstly map onto iDistance keys using (3). When
searching for objects to be labeled, only the partitions
that possibly contain objects from the search range
need to be searched.
When performing linear SVM based relevance
feedback, the following optimization algorithm finds
the k approximate nearest objects to the hyperplane as
the labeling objects in the next round.
search(k)
1. Ascendingly sort the partitions by the distance
|f(pi)| from their pivot pi to the hyperplane H
2. Set i to be the first partition in the sorted list
3. Call search_cluster(i,R,k)
4. Move i to the next partition in the sorted list
5. Set ρ = max f ( y )
y∈R
6. Repeat 3-5 for all partitions satisfying f(pi)<ρ+ri
until there are k objects in R and at least 3 parti-
tions has been searched
7. Return R as the approximate nearest k objects to H
search_cluster(i,R,k)
1. Calculate the distance s from pivot pi to the hyper-
plane H: s=|f(pi)|
2. Find the first object x whose key is not larger than
i·c+ri
3. Call search_point(x,R,k)
4. Move x to the next object at the left in the data-
73
base
5. Repeat 3-4 until d(pi,x)≤s and there are k objects
in R
6. Continue moving x to the next object at the left in
the database
7. Call search_point(x,R,k)
8. Set I=[ i·c+s-ρ , i·c+ri ] where ρ = max f ( y )
y∈R
9. Repeat 6-8 until all the objects in partition Ci has
been searched or the whole interval I has been
searched
search_point(x,R,k)
1. If there are no more than k objects in R, directly
add x into R and return, else:
2. Set ρ = max f ( y ) and z = arg max f ( y )
y∈R y
3. If |f(x)|<ρ then remove z from R and add x into R
In the above algorithm, d(x,y) represents the
Euclidean distance between vectors x and y.
It should be mentioned that the feature vectors are
in high dimensional space. The objects are sparsely
distributed in such a space and the radius is usually
very large. Therefore, to reduce the search region, the
6th step of the function “search” only find the con-
formed objects in the first 3 nearest partitions.
Similarly, the top k retrieval results can be found by
searching the furthest few partitions to the hyperplane.
3.3. Non-linear SVM based relevance feedback
optimization
Since datasets may have non-linear decision bound-
ary, non-linear SVM will be required in the relevance
feedback process. To extend the optimization from
linear to non-linear situation, we first examine the
SVM algorithm in section 2.1. According to (1), each
point is mapped to a new vector space by the non-
linear transform function φ(x). However, we only have
the definition of the kernel K(·) but not φ(x). From (1),
it can be seen that K(·) is the inner product of φ(x). So
the distance between φ(xi) and φ(xj) can be deduced:
|φ(xi)-φ(xj)|=(φ(xi)⋅φ(xi)+φ(xj)⋅φ(xj)-2φ(xi)⋅φ(xj))1/2
=(K(xi,xi)+K(xj,xj)-2K(xi,xj))1/2 (4)
From (4), a metric space can be constructed. The
optimization algorithm in section 3.2 can be applied to
the mapped metric space by substituting (4) for the
distance function d(x,y).
When choosing RBF as kernel function, the kernel
parameter γ is not known. The general solution is to
perform a cross-validation on the training data to de-
termine it. However, this is not applicable to the above
optimization algorithm because the transformation is
performed beforehand without any training data. To
 1.00

0.95

0.90

Precision
0.85

0.80 Round 1
Round 2
0.75 Round 3
Round 4
0.70 Round 5

Figure 2 Background scene with smoothed 0.1 0.2 0.3 0.4 0.5 0.6 0.7 0.8 0.9
trajectories in the testing database Recall
solve this problem, an exponentially growing candi- Figure 3 Performance evaluation
date sequences of γ is pre-calculated. Each value γ in
the sequences will construct a transformation and pro-
duce a metric space database. When performing rele-
vance feedback, a cross-validation is firstly performed
to choose a proper γ from the candidate sequences. The
optimization retrieval algorithm is then performed on
the corresponding database of the chosen γ.

4. Experimental Results

The interactive retrieval algorithm proposed in this

paper is implemented using Visual C++ 2005 on the
Windows XP platform. The testing surveillance data-
base comes from a real world outdoor traffic scene
which includes 2298 objects in all. Each object is char-
acterized by a 432 dimensional vector which includes
the color, texture and trajectory features. Figure 2
shows the smoothed trajectories in the database.
In the experiment, each query session is repeated 10
times. The reported results are obtained by taking the
average of the queries. The following metrics are em-
ployed in the experiments:
z Pivot Count: Defined as the number of pivots
used in the experiments
z Labeling Count: Defined as the number of ob-
jects returned to user for labeling in each round
of feedback
z Coverage: Defined as the percentage of
searched objects among all objects
z Precision: Defined as the percentage of relevant
images among all the images that have been re-
trieved
z Recall: Defined as the percentage of relevant
images of retrieved images among all relevant
images in the database
The query used in the experiments is “White vehi-
cles come from the left of the scene”.
Figure 3 shows the precision-recall curve for the
query. The pivot count is set to 70 and the labeling
count is set to 10. In the experiment, 5 rounds of feed-
Figure 4 Sample query results
back are executed and the size of the return list is in-
creased in steps of length 20. It can be seen that the
precision and recall increase dramatically in the first
three rounds of feedback and is further optimized in
the following two rounds of feedback. After the first
round of feedback, the algorithm proposed can achieve
a precision between 65% and 90%. After 3 rounds of
feedback, it attains a precision over 85%. After 5
rounds of feedback, it can maintain a precision above
95% even when the recall is over 90%. Figure 4 shows
some samples in the top 100 results after 5 rounds of
feedback. Each object matched is displayed by its cor-
responding image and trajectory. The red point on the
trajectory indicates the starting point of the moving
sequence. It can be seen that the results exactly match
the query.
Figure 5 shows the precision after the third round of
feedback for various labeling counts and pivot counts.
It can be seen that the retrieval precision increases with
the labeling count. The precision is better than 92.5%
for various pivot counts even when the labeling count
is 15. The precision will be over 97.5% for all pivot

74
 0.99 Sequential Scan 5. Conclusion
Pivot Count =
0.98 30
50 This paper proposes an iDistance based interactive
70
0.97
90 retrieval algorithm to accomplish semantic retrieval in
visual surveillance system. The algorithm consists of a
Precision

0.96
SVM-based relevance feedback mechanism and an
0.95
iDistance based optimization algorithm. The experi-
0.94 mental results show that the query result can exactly
match the concept of user and the algorithm proposed
0.93
can reach a precision comparable to sequential scan by
0.92
15 20 25 30 35 40
searching a small portion of the objects in the surveil-
Labeling Count
lance database.
Figure 5 Precision vs. labeling count for
various pivot counts 6. Reference
0.40
[1] F. I. Bashir, A. A. Khokhar and D. Schonfeld, "Seg-
0.35
mented trajectory based indexing and retrieval of video
0.30 data," in Proc. International Conference on Image Process-
0.25
Pivot Count = 10 ing, 2003.
30 [2] J. Hsieh, S. Yu and Y. Chen, "Motion-based video
Coverage

0.20
0.15
0.10
0.05
0.00
10 15 20 25
Labeling Count
Figure 6 Coverage vs. labeling count for
various pivot counts
counts while the labeling count increases to 40. Com-
paring the bar heights in each group of labeling count,
it can be seen that the precision of the retrieval
schemes using pivots is slightly worse than using the
sequential scan and the difference is less than 3%. Fur-
thermore, the precision values under different pivot
counts are close to each other. This is a demonstration
that the retrieval algorithm proposed can reach a preci-
sion comparable to sequential scan and the number of
the pivot count has little impacts on the retrieval preci-
sion.
Figure 6 shows the average coverage of the first
three rounds of feedback for various labeling counts
and pivot counts. It can be seen that the coverage de-
creases dramatically with the increasing of the pivot
count. When the pivot count is no less than 30, the
coverage will be less than 15%. When pivot count is
larger than 50, the coverage is only about 5%. So, the
proposed algorithm can perform the retrieval by
searching only a small portion of the database. The
more pivots are used the less objects are searched.
From Figure 6, it can also be seen that the coverage
changes only slightly for various labeling counts. It
demonstrates that the labeling count has little impacts
on the coverage.
50
70
retrieval by trajectory matching," IEEE Transactions on
90 Circuits and Systems for Video Technology, vol.16, pp. 396-
409, 2006.
[3] W. Hu, D. Xie, Z. Fu, W. Zeng and S. Maybank, "Se-
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tions on Image Processing, vol.16, pp. 1168-1181, 2007.
[4] Y. Rui, T. S. Huang, S. Mehrotra and M. Ortega, "A
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media Information Retrieval Systems," in Proc. the 1997
Workshop on Content-Based Access of Image and Video
Libraries, 1997, pp. 82.
[5] Y. Rui, T. S. Huang, M. Ortega and S. Mehrotra,
"Relevance feedback: a power tool for interactive content-
based image retrieval," IEEE Transactions on Circuits and
Systems for Video Technology, vol.8, pp. 644-655, 1998.
[6] S. Tong and E. Chang, "Support vector machine active
learning for image retrieval," in Proc. the ninth ACM inter-
national conference on Multimedia, 2001, pp. 107-118.
[7] P. Ciaccia, M. Patella and P. Zezula, "M-tree: An effi-
cient access method for similarity search in metric spaces,"
in Proc. the 23rd International Conference on Very Large
Data Bases, 1997, pp. 426-435.
[8] H. Jagadish, B. Ooi, K. Tan, C. Yu and Z. R, "iDis-
tance: An adaptive B+-tree based indexing method for near-
est neighbor search," ACM Trans. on Data Base Systems,
vol.30, pp. 364-397, 2005.
[9] J. C. Burges, "A Tutorial on Support Vector Machines
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[10] A. Nafte and S. Khalid, "Motion Trajectory Learning
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75
 2008 International Conference on Intelligent Computation Technology and Automation
Improved Ant Colony Optimization for the Traveling Salesman Problem
Lijie Li, Shangyou Ju
Ningbo City College of Vocational Technology
No.9, Xuefu Road, Gaojiao District,
Ningbo City, Zhejiang Province, China
llj@graduate.shu.edu.cn
Abstract
The traveling salesman problem(TSP) in operations re-
search is a classical problem in discrete or combinato-
rial optimization. It is a prominent illustration of a class
of problems in computational complexity theory which are
classified as NP-hard. Ant colony optimization inspired by
co-operative food retrieval have been widely applied unex-
pectedly successful in the combinatorial optimization. This
paper presents an improved ant colony optimization algo-
rithm for traveling salesman problem, which adopts a new
probability selection mechanism by using Held-Karp lower
bound to determine the trade-off between the influence of
the heuristic information and the pheromone trail. The ex-
periments showed that it can stably generate better solution
for the traveling salesman problem than rank-based ant sys-
tem and max-min ant colony optimization algorithm.
1. Introduction
The traveling salesman problem (TSP)[1] is one which
has commanded much attention of mathematicians and
computer scientists specifically because it is so easy to de-
scribe and so difficult to solve. The importance of the TSP
is that it is representative of a larger type of problems known
as combinatorial optimization problems. The TSP problem
belongs to the class of combinatorial optimization problems
known as NP-complete[2]. In addition to being a proto-
type of a difficult combinatorial optimization problem from
a complexity theory point of view, there are important cases
of practical problems that can be formulated as TSP prob-
lems and many other problems are generalizations of this
problem. Besides the drilling of printed circuits boards,
problems having the TSP structure occur in the analysis of
the structure of crystals[3], the overhauling of gas turbine
engines, in material handling in a warehouse[4], in cutting
stock problems, the clustering of data arrays, the sequencing
of jobs on a single machine and the assignment of routes for
978-0-7695-3357-5/08 $25.00 © 2008 IEEE
DOI 10.1109/ICICTA.2008.265
Ying Zhang
Ningbo College of Health Sciences
No.51, Xuefu Road, Gaojiao District,
Ningbo City, Zhejiang Province, China
planes of a specified fleet. Related variations on the travel-
ing salesman problem include the resource constrained trav-
eling salesman problem which has applications in schedul-
ing with an aggregate deadline. Most importantly, the trav-
eling salesman problem often comes up as a subproblem in
more complex combinatorial problems, the well known and
important one of which is the vehicle routing problem, that
is, the problem of determining for a fleet of vehicles which
customers should be served by each vehicle and in what or-
der each vehicle should visit the customers assigned to it.
Ant colony optimization is a new metaphor for solv-
ing combinatorial optimization problems and has been
applied broadly in recent years. It has been applied to
many combinatorial optimization problems, e.g. traveling
salesman problems, network routing problems, graph
coloring problems, quadratic assignment problems and so
on. In general, one of the most important aspect in study of
heuristic algorithms is the balance between intensification
and diversification. Too much emphasis on the former can
make agents converge to a local optimum and to much
emphasis on the latter can cause an unstable state, though
these two factor are essential as we need to accelerate
convergence and the latter to find better solutions.
This paper addresses an improved ant colony
optimization(HK-ACO) by using Held-Karp low bound to
dynamically control the balance between intensification
and diversification. Section 2 explains the ACO algorithm.
Section 3 describes the proposed algorithm and analysis the
effect of using Held-Karp lower bound. Section 4 reports
the results of the computer experiments and analysis the
performance compared with rank-based ant system and
max-min ant system. Section 5 is a summary of the
HK-ACO algorithm.
2. Ant colony optimization
Recently computer scientists have been able to trans-
form models of social insect collective behavior into
76
optimization and control algorithms. A new emphasis of of pheromone is updated according to the rule[8]:
research focuses on the transformation of knowledge about m
how social insects collectively solve problems into artificial
X
τi j ←− ρτi j + ∆τkij (4)
intelligence. Especially, optimization algorithm inspired by k=1
models of co-operative food retrieval in ants have been in-
vestigated far-ragingly and have become known as ACO[5]. where ρ(0 < ρ < 1) represents the persistence of pheromone
trails ((1 − ρ) means the evaporation rate). These processes
The essential framework of the ACO is parallelizing are repeated a predefined number of times tmax
search over several constructive computational threads,
based on a memory structure incorporating the information 3. The framework of HK-ACO
about the effectiveness of previously obtained fragments
of solutions. This structure is maintained dynamically Before describing the HK-ACO detailed, the framework
by depositing, evaporation and detection of conceptual of HK-ACO is described in pseudocode in algorithm 1.
pheromone. These processes realize pheromone-based
indirect and asynchronous communication among ants Input: a complete weighted graph G
mediated by an environment, and form a positive feedback Output: The shortest Hamilton path
where effective fragments of solutions will receive a great 1 Initialize Pheromone;
amount of pheromone and in turn a larger number of 2 Initialize Parameters;
ants will choose the fragments of solutions and deposit 3 Initialize Statistics;
pheromone[6]. 4 while not terminated do
5 Using Held-Karp lower bound to adjust
The first ACO algorithm, which is call ant system(AS), probability selection mechanism ;
was initially proposed by Dorigo et al. and applied to the 6 Construct the solution with Candidate list;
well-known Traveling Salesman Problem as benchmark 7 Local search by Lin-Kerninghan;
problem. AS has been the prototype of many following 8 Update Pheromone;
ACO algorithms with which many other combinatorial 9 end
problem can be solved successfully. Algorithm 1: Framework of HK-ACO

In TSP a given set of n cities has to be traversed so that

3.1 Probability Selection Mechanism
every city is visited exactly once and the tour ends in the
initial city. The optimization goal is to find a shortest possi-
From equation 1, α and β are two parameters which de-
ble tour. Let di j be the distance between city i and city j and
termine the relative influence of the pheromone trail and the
the τi j the amount of pheromone in the edge that connects
heuristic information. The role of the parameters α and β is
i and j. Each of m ants decides independently on the city
analyzed in the following. Supposed α = 0, the equation 1
to be visited next based on the intensification of pheromone
turn to be equation 5.
trail τi j and a heuristic value ηi j , until the tour is completed,
where the heuristic value ηi j = 1/di j is generally used. Each ηi j β
ant maintains a list Nik of cities that remain to be visited. An pkij = P β
(5)
l∈Nik ηi j
ant located at city i selects an edge between city i and city j
according to the probability[7]: From the equation 1, the selection probability increases
with the increase of β . Furthermore, here ηi j = 1/di j is
[τi j (t)]α ηi j β
pkij = P (1) an a priori available heuristic value. Therefore, If α = 0,
α β
l∈Nik [τi j (t)] ηi j the closest cities are more likely to be selected. This cor-
responds to a classical stochastic greedy algorithm. On the
where the parameters α and β determines the relative influ-
other hand, suppose β = 0, the equation 1 turn to be equa-
ence of pheromone and distance. After every ant completes
tion 6.
a tour, pheromone is deposited: [τi j (t)]α
pkij = P α
(6)
l∈Nik [τi j (t)]
Q/Lk (t), if (i, j) ∈ T k (t)
(
(2)
∆τi j =
k
0, if otherwise (3) From equation 6, if β = 0, only pheromone amplification is
at work. This method will lead to the rapid convergence of
where Q is a constant and Lk is the length of the tour gener- a stagnation situation with the corresponding generation of
ated by ant k. In this manner, the shorter tour a edge consti- tours which, in general, are strongly suboptimal. Hence a
tutes, the more pheromone is laid on the edge. The amount trade-off between the influence of the heuristic information

77
and the pheromone trail exists. In order to achieve the trade- should equal the final value from the O(n2 ) 1-tree calcula-
off between heuristic information and the pheromone, this tion.
paper introduces a new approach to adjust the parameters α
and β according the equation 7. Data: NBhd[i][] records the x nearest neighbors to
city i. ei j are the edge lengths of the original
α = C − di j /(Lbsp + di j + Lrsp ) (7) problem.
1 initialize city weights π(1) = (0, 0, ..., 0);
β = B + di j /(Lbsp + di j + Lrsp ) (8) 2 initialize subgraph Held-Karp lower bound (based on
20 nearest neighbours), HK(subgraph)=0;
In equation 7 and 8, parameter C and B are constant, and set 3 for m = 1 to M (M is the sequence length) do
to be 1, 5 correspondingly that are suggested to be advanta- 4 evaluate subgraph edge-weights
geous. Lbsp is the length of subtour visited by ant. Lrsp is cmi j = ei j + πi + π j ;
m m
the length of subtour not visited by ant except city i and j.
5 use Kruskal’s algorithm find MST(say S) on above
di j /(Lbsp + di j + Lrsp ) express the proportion of the selected
subgraph if it exists. Quit procedure if no MST;
edge to the optimal length. The tour is divided to three parts,
6 compute c(m) 1 j = e1 j + π1 + π j for all j ∈ Nbhd[1];
m m
which are demonstrated in the figure 1. Thus, the influence
between the heuristic information and the pheromone trail 7 find the two least c1 j over all j ∈ Nbhd[1] say
can be adjusted according to the equation 7 and 8. c1a , c1b ;
8 add the edges (1,a), (1,b) to the MST S = S m to
obtain a graph (say T = T (m) );
9 add the costs of these edges to obtain L(c(m) i j , T );
(m)
10 record vertex degrees d of 1-tree T;
compute w(π) = L(ci j )(m) − 2 π(m) ;
P
11
12 if w(π) > HK(subgraph) then
13 HK(subgraph) = w(π);
14 compute t(m) ;
15 update π(m + 1);
16 end
17 end
Figure 1. path divided into three parts 18 evaluate complete graph edge-weights

ci j = ei j + π(M+1)
i + π(M+1)
j , where 1 ≤ i ≤ j ≤ n ;
3.2 Held-Karp lower bound procedure 19 use Kruskals algorithm find MST (say S) on complete
graph
20 compute c1 j = e1 j + π1
(M+1)
Lrsp is the length of city unvisited by ant and the length + π(M+1)
j , for all 2 ≤ j ≤ n ;
is unknown. In the proposed selection mechanism defined 21 find the two least c1 j over all 2 ≤ j ≤ n (say c1a , c1b ) ;

in equation 7 and 8, the Lrsp needn’t calculate explicitly. 22 add the edges (1, a), (1, b) to the MST S to obtain a

Instead, the Held-Karp lower bound is applied to estimate graph (T say);

the proximate value. The Held-Karp lower bound provides 23 add the costs of these edges to obtain L(ci j , T ) ;

a very good problem-specific estimation of optimal tour 24 compute

w(π) = L(ci j , T ) − 2 π(M+1) = HK(completegraph);

length for the traveling salesman problem[9]. This mea-
sure, which is relatively quick and easy to compute, has
enormous practical value when evaluating the quality of
near optimal solutions for large problems where the true
optima are not known. The Held-Karp procedure used
for the experiments described in this paper is described
in detail in Algorithm 2. In the Held-Karp procedure,
the Volgenant-Jonker formula is used for experiments to
determine how many near neighbors of each city should
be stored for the traveling salesman problem. The idea is
to minimize the number of edges required in the subgraph
for the main iteration scheme, whilst still getting a good
estimate of the Held-Karp lower bound. Ideally the best
value obtained from the iteration sequence on the subgraph
P
i
25 return[HK(subgraph), HK(completegraph)];
Algorithm 2: Pseudo-code description of the Held-
Karp procedure
4. Experiments
Based on computational experiments, the efficiency
of HK-ACO algorithm, is analyzed in this paper. The
proposed algorithm is firstly verified on eil51.tsp in-
cluding 51 cities from the TSPLIB[10], where optimal
tour lengths are 426. The number of ants was set to
the number of the cities. ACO parameters were set to

78
the following:(ρ, Q, σ) = (0.5, 100, 6). 10 trails were ison between HK-ACO and Max-min ant system[12] are
conducted for each algorithm, and each trial consisted of listed in table 2. In this table, ”BEST” and ”AVG” repre-
10000 iterations. The comparative experiments are carried sent the shortest tour length, the average tour length over 10
out between HK-ACO and rank-based ant system[11], trails respectively.
which have been shown in figure 2. It has been shown from
figure 2 that HK-ACO outperforms ASrank algorithm.
We also tested the HK-ACO algorithm on krob200.tsp Table 1. HK-ACO solution quality
including 200 cities from the TSPLIB, the result was
Instance HK- HK-ACO MMAS MMAS
approximately consistent with the above described result,
(Opt) ACO (AVG) (BEST) (AVG)
in which introduction of using Held-Karp lower bound
(BEST)
improve the convergence rate.
d198 15780 15780 15780 15780.9
(15780)
lin318 42029 42051.3 42029 42051.8
(42029)
att532 27686 27702.6 27693 27707.4
(27686)
rat783 8808 8820 8808 8841
(8806)
dsj1000 18688548 18704324.1 18708266 18736562.2
(18659688)
pr1002 259176 259266.6 259290 260025
(259045)
vm1084 239321 239430 239321 239490.17
(239297)
Figure 2. Comparison between HK-ACO and pcb1173 56897 56970.5 56909 56949.4
ASrank on eil51.tsp case (56892)
d1291 50801 50808.4 50801 50847.7
(50801)
rl1304 252948 253159 252948 253528.17
(252948)
rl1323 270226 270568 270281 270725.5
(270199)
fl1400 20161 20228.45 20254 20299.17
(20127)
fl1577 22337 22412.83 22349 22423.67
(22249)
vm1748 336873 337105.07 337506 337772.83
(336556)
u1817 57294 57346.5 57314 57458.67
(57201)

Figure 3. Comparison between HK-ACO and

ASrank on krob200.tsp case

In the case of d198, lin318, rat783, vm1084, d1291,

The further experiments are also carried out on larger rl1304, the ability to get the best tour almost equals, but
traveling salesman problem from TSPLIB and the compar- the stability of getting best tour differs. From this point,

79
HK-ACO demonstrates a stable characteristic in solving the
problem. On the other cases, both in the solution preci-
sion and stability, the solution generated by HK-ACO is
better than max-min ant system. Therefore, observed from
the point described above, HK-ACO outperforms Max-
Min Ant system algorithm greatly, which indicates the ap-
proach to adjust the influence of heuristic information and
pheromone is a potential effective way to improve the per-
formance the ant colony system.
5. Conclusions
This study investigates an improved ant colony optimiza-
tion to the traveling salesman problem. For this purpose,
Held-Karp lower bound is adopted to improve the solution
quality. The results showed that the average deviation
from optimal solution can be decreased using the proposed
algorithm. Additionally, a new probability selection mech-
anism is utilized to accelerate the algorithm convergence.
The feasibility and effectiveness of proposed algorithm are
verified through the Traveling Salesman Problem, which is
a classical NP-hard combinatorial optimization problem.
The experiments demonstrate that the proposed algorithm
is an effective algorithm for the traveling salesman problem.
[8] Manuel F orster, Bettina Bickel, Bernd Hardung, Gabriella
K okai. Self-Adaptive Ant Colony Optimisation Applied to
Function Allocation in Vehicle Networks. The Genetic and
Evolutionary Computation Conference (GECCO-2007), July
2007.
[9] VALENZUELA C.L., JONES A.J.. Estimating the Held-Karp
lower bound for the geometric TSP. European journal of op-
erational research, 102(1): OCT, 1997.
[10] G. Reinelt. TSPLIB - A traveling salesman library. ORSA
Journal on Computing, 1991.
[11] Bullnheimer B., R. F. Hartl, C. Strauss A New Rank
Based Version of the Ant System: A Computational Study.
Central European Journal for Operations Research and
Economics,7(1):25-38, 1999.
[12] Sttzle T., M. Dorigo. ACO Algorithms for the Traveling
Salesman Problem. K. Miettinen, M. Makela, P. Neittaan-
maki, J. Periaux, editors, Evolutionary Algorithms in Engi-
neering and Computer Science,Wiley Press, USA, 1999.

We are now further investigating the effects of diversity

control in order to address the uncertain problem. What’s
more, we will adopt this algorithm applied the real-world
vehicle routing problems.

References

[1] E. L. Lawler, Jan Karel Lenstra, A.H.G. Rinnooy Kan,

D.B.Shmoys. The Traveling Salesman Problem: A Guided
Tour of Combinatorial Optimization . Wiley Press, USA,
2007.
[2] David L. Applegate, Robert E. Bixby , Vasek Chvatal,
William J. Cook. The Traveling Salesman Problem: A Com-
putational Study . Princeton University Press, USA, 2007.
[3] R. E. Bland and D. F. Shallcross. Large Traveling Salesman
Problem Arising from Experiments in X-ray Crystallography:
a Preliminary Report on Computation . Technical Report No.
730, School of OR/IE, Cornell University, Ithaca, New York.
[4] H.D. Ratliff and A.S. Rosenthal Order-Picking in a Rectangu-
lar Warehouse: A Solvable Case for the Traveling Salesman
Problem PDRC Report Series No. 81-10. Georgia Institute of
Technology, Atlanta, Georgia.
[5] Marco Dorigo, Thomas Sttzle. Ant Colony Optimization. MIT
Press, USA, 2004.
[6] Furo-cho, Chikusa-ku. Diversity control in ant colony opti-
mization. Artificial Life and Robotics, 7(4): Aug 2006.
[7] David Martens, Manu De Backer, Raf Haesen. Classfication
With Ant Colony Optimization. IEEE TRANSACTIONS ON
EVOLUTIONARY COMPUTATION, 11(5): OCT 2007.

80
 2008 International Conference on Intelligent Computation Technology and Automation
Integrated Location-Routing Problem Modeling and GA Algorithm Solving
PENG Yong
Traffic & Transportation School, Chongqing Jiaotong Univ., Chongqing 400074, China
pyepeng@hotmail.com
Abstract
For logistics providers, One of the most important
strategic decisions to be taken in the design of logistic
systems concerns the location of facilities (location
problem). The other important strategic decision is the
structure and management of the fleets (vehicle routing
problem). Most often, even if the two kinds of
problems, namely location of facilities and vehicle
routing, appear together in a given scenario, they are
studied and solved separately. However, it is well-
known that studying vehicle routing only when
locations have already been fixed, leads, in general, to
suboptimal solutions. This paper combined the two
problems together which were called integrated
location-routing problems (ILRP), and provided an
integrated location-routing model. Then, A Genetic
Algorithm (GA) was developed to find the integrated
solution with the minimal location and delivery cost. At
last, a numerical example was available.
1. Introduction
Nowadays logistics providers require making many
decisions related to the design and activities of their
logistic systems for economical improvements. One of
the most important strategic decisions to be taken in
the design of logistic systems concerns the location of
facilities[1,2,3]. Decision makers must choose a subset
of them that satisfies the customers and that is optimal
with respect to a given objective. The other important
strategic decision is the structure and management of
the fleets[4-7]. Thus, apart of the location of facilities,
decision makers must commonly face the choice on the
number of vehicles assigned to each located facility
and the design of the routes followed by each vehicle,
which also implies the allocation of clients to facilities.
Most often, even if the two kinds of problems, namely
location of facilities and vehicle routing, appear
together in a given scenario[8,9,10], they are studied
and solved separately. However, it is well-known that
studying vehicle routing only when locations have
978-0-7695-3357-5/08 $25.00 © 2008 IEEE
DOI 10.1109/ICICTA.2008.120
already been fixed, leads, in general, to suboptimal
solutions. This paper will combine the two problems
together. And a GA (Genetic Algorithm) will be
developed to find the integrated solution with the
minimal location and delivery cost. At last, this paper
will use our GA to solve a numerical example.
2. Integrated location-routing problem
modeling
We assume that we are given a set of customers
with associated deterministic demands, a set of
potential facility locations, each with a fixed operating
cost and a capacity, and the traveling costs between
any two points. The goal is to determine the number
and locations of the facilities to be open and to
determine the number and routes of the vehicles in
such a way that each customer belongs to exactly one
route, capacity constraints on the facilities and vehicles
are satisfied, and the total cost (fixed plus routing
costs) are minimized.
Let N denote the set of indices of customers, K
denote the set of indices of potential depots, and M
denote the set of indices of potential vehicles. All
feasible vehicle routes correspond to paths start from
one depot and end at the same depot. Let
Ci , i ∈ M ∪ K denote the cost for selecting vehicle
i or opening depot i . Let d ij , i, j ∈ N ∪ K be the
distance between i and j , and
cijk , i, j ∈ N ∪ K , k ∈ M be the cost per unit travel
distance between i and j by vehicle k . Let
qi , i ∈ N be the demand of customer i , and
Qi , i ∈ M ∪ K be the capacity of vehicle i or depot
i.
We define the decision variables
.
⎧1, if arc ij is part of one route traveled by vehicle k
xijk = ⎨ i, j ∈ N ∪ K , k ∈ M
⎩ 0, otherwise
Then the problem can be modeled as:
81
 (1) For example, there’re 4 potential depots with 4
min z= ∑ ∑ ∑
k∈M i∈N ∪ K j∈N ∪ K
cijk dij xijk + ∑ C j Aj +
j∈K
∑C B
k∈M
k k
potential vehicles indexed from 0 to 3. 12 customers
⎧⎪0, if ∑ ∑ xijk = 0
(2)
are indexed from 4 to 15. 6 potential vehicles are
indexed from 16 to 21. Individual
Aj = ⎨ k∈M i∈N ∪ K j∈K
⎪⎩1, otherwise {16,6, 4,5,17,18,7,9,8,1,19, 2,11,10,12, 20,3, 21,14,15,13}
can be shown in figure 1. It is noted that the depot 0 is
⎧0,
⎪
if ∑ ∑ xijk = 0
(3) not appeared in the individual because we assume that
Bk = ⎨ j∈K i∈N ∪ K k ∈M any individual starts at depot 0.
⎪⎩1, otherwise

∑ ∑
j∈N i∈N ∪ K
q j xijk ≤ Qk , k ∈ M (4)

∑ (( ∑ ∑
k∈M j∈N i∈N ∪ K
q j xijk ) ∑
i∈N ∪ K
xilk ) ≤ Ql , l ∈ K (5)

∑
i∈N ∪ K
xijk = ∑
i∈N ∪ K
x jik , j ∈ N ∪ K , k ∈ M (6)

∑ ∑
k∈M i∈N ∪ K
xijk = 1, j ∈ N (7)

∑ ∑
j∈K i∈N ∪ K
x jik ≤ 1, k ∈ M (8)

∑∑x
k∈M i , j∈U
ijk ≤| U | −1, ∀U ⊆ N (9)

In constraints (2), Aj = 1 means opening depot j Fig.1 Individual

{16,6, 4,5,17,18,7,9,8,1,19, 2,11,10,12, 20,3, 21,14,15,13}
and Aj = 0 means not opening depot j . In This individual provides a solution of our problem
shown in figure 2.
Bk = 1 means selecting vehicle k and
constraints (3),
Bk = 0 means not selecting vehicle k . Constraints
(4) ensure that the load of each vehicle cannot exceed
its capacity and constraints (5) guarantee that the
supply of each depot cannot exceed its capacity.
Equalities (6) ensure that every customer or depot is
entered and left by the same vehicle and equalities (7)
guarantee that every customer is served by one and
only one vehicle. Inequalities (8) ensure that a vehicle
can depart only once from a depot. Constraints (9)
forbid routes that are not connected with any depot.

3. GA algorithm for our problem

Fig.2 ILRP Solution of Individual
3.1. Encoding {16,6, 4,5,17,18,7,9,8,1,19, 2,11,10,12, 20,3, 21,14,15,13}
There’re some rules we need obey when we
We code a solution of our problem by a permutation transform the individual (figure 1) into the solution
of N customers, K potential depots, and M (figure 2). They are shown as follow:
potential vehicles. And we also assume that every Rule 1: The customers between two depots will be
depot has one extra vehicle which can be used to serviced by the former.
provide service when this depot has not be assigned a Rule 2: The customers after one vehicle (not
vehicle for some route. This extra vehicle has been interrupted by depot or other vehicle) belong to one
indexed the same number with this depot. The route route and will be serviced by this vehicle.
2 → 11 → 10 → 12 → 2 of the following example Rule 3: If there doesn’t have any customer from depot
(shown in fig.2) is such condition which needs the A to the next depot or to the end, depot A will not be
extra vehicle 2 to provide service. selected.

82
Rule 4: If there doesn’t have one vehicle from depot A }
to the first customer next it, vehicle A (the extra }
vehicle for depot A) will be selected to provide service
for these customers. 4. Numerical example
Rule 5: If there doesn’t have any customer from
vehicle B to the next vehicle or to the depot next it, or Provided that there are 5 potential depots and 20
to the end, vehicle B will not be selected. customers. All the information is shown as follow.
Table 1 Customer Data
3.2. Fitness function Index Location Demand Index Location Demand
The fitness function is given by the following 1 (69,13) 2 11 (74,15) 4
2 (30,19) 3 12 (63,99) 2
equation: 3 (22,73) 1 13 (12,10) 4
fitness z = ∑∑∑ cijk dij + ∑ C j Aj + ∑ Ck Bk + ψ 4 (57,23) 4 14 (103,105) 4
5 (55,17) 4 15 (71,59) 5
Where, ψ is a large number if constraints (4) or 6
7
(49,5)
(19,36)
5
3
16
17
(94,67)
(43,8)
4
2
constraints (5) are violated. Otherwise, ψ = 0. 8 (38,68) 4 18 (90,81) 5
9 (67,68) 4 19 (93,37) 3
10 (38,8) 3 20 (65,17) 4
3.3. GA algorithm
Table 2 Depot Data
Now, we can provide the GA algorithm based on Index Location Capacity
Inver-over operator[11] as follows. 1 (98,85) 50
2 (58,36) 50
Random initialization of the population P , and 3 (97,85) 50
calculating the fitness values of individuals 4 (11,14) 50
5 (75,16) 50
While (not satified termination-condition) do
{ Table 3 Model Parameter Settings
Parameter Value
For each individual S k ∈ P do Vehicle Capacity 15
Cost for Opening One Depot 2000
{ Cost for Selecting One Vehicle 20
S ' = Sk Transportation Cost (per unit) 0.1
Let population size be 80, maximum generation be
Select (randomly) a number i from S '
Repeat 1000, and p = 0.2 (the selection probability our GA
{ based on Inver-operator needs). With our GA, the
If ( rand ≤ p ) result suggests that we can open depots at (58,36) and
(97,85). The total cost of the optimal cost is $4185.4.
Select the number j from the remaining The routes are:
numbers in S ' depot 3 → customer16 → customer18 → customer14 → depot 3 ;
Else depot3 →customer17 →customer13 →customer2 →customer10 →customer3→customer12 →depot3
{ depot 3 → customer 7 → customer 4 → customer 5 → customer 20 → depot 3
Select (randomly) an individual from P depot 2 → customer 8 → customer15 → customer 9 → depot 2
Assign to j the ‘next’ number to the depot 2 → customer19 → customer11 → customer1 → customer 6 → depot 2

number i in the selected individual Figure 3 shows the change of best fitness of
populations with the generations.
}
If (the next number or the previous number of
number i in S ' is j )
Exit from repeat loop
Inverse the section from the next number of
number i to the number j in S '
i= j
}
Calculate the fitness value of S ' ( fit ( S ') )
If (fit ( S ') ≤ fit ( Sk ) )
Sk = S '

83
 [7] Laporte,G. and Y.Nobert, “A branch and bound algorithm
for the capacitated vehicle routing problem”, Operations
Research Spektrum, 5, 1983, pp. 77-85.

[8] Chien,T.W., “Heuristic procedures for practical sized

uncapacitated location-capacitated routing problems”,
Decision Sciences, 24, 1993, pp. 995-1021.

[9] Srivastava,R., “Alternate solution procedures for the

location-routing problem”, Omega, 21, 1993, pp. 497-506.

[10] Laporte,G. and P.J.Dejax, “Dynamic location-routing

problems”, Journal of the Operational Research Society, 40,
1989, pp. 471-482.

[11] Michalewicz Z. et al., How to Solve It: Modern

Fig.3 Population evolution process Heuristics, Springer-Verlag, Berlin, 2000.

5. Conclusion
For logistics providers, one of the most important
strategic decisions to be taken in the design of logistic
systems concerns the location of facilities. The other
important strategic decision is the structure and
management of the fleets. This paper combines the two
problems together. And a GA is developed to find the
integrated solution with the minimal location and
delivery cost. At last, our GA is used to solve a
numerical example.

10. References
[1] Cornuejols,G., R.Sridharan, and J.M.Thizy, “A
comparison of heuristics and relaxations for the capacitated
location problem”, European Journal of Operational
Research, 1991, 50, pp. 280-297.

[2] Diaz,J.A. and E.Fernandez, “A branch-and-price

algorithm for the single source capacitated plant location
problem”, Journal of the Operational Research Society, 2002,
53, pp. 728-740.

[3] Drezner,Z. and H.Hamacher, Facility Location:

Applications and Theory, Springer Verag, New York, 2002.

[4] Hadjar,A., O.Marcotte, and F.Soumis, “A Branch-and-

Cut Algorithm for the Multiple Depot Vehicle Scheduling
Problem”, Operations Research, 54, 2006, pp. 130-149.

[5] R.W.Bent and P.V.Hentenryck, “Scenario-based planning

for partially dynamic vehicle routing with stochastic
customers”, Operations Research, 52(6), 2004, pp. 977-987.

[6] N.Bianchessi and G.Righini, “Heuristic algorithms for the

vehicle routing problem with simultaneous pick-up and
delivery”, Computers and Operations Research, 34, 2006, pp.
578-594.

84
 2008 International Conference on Intelligent Computation Technology and Automation

Multilateral Multi-Issue Automated Negotiation Model Based on GA

Liu Li Ma Yan Wen Cuimei Li Lian

School of School of Information School of School of
Information Science Engineering, Information Science Information Science
and Engineering, Lanzhou University and Engineering, and Engineering,
Lanzhou University, of Finance and Lanzhou University, Lanzhou University,
China Economics, China China China
liulnd@lzu.edu.cn

Abstract
A GA-based multilateral multi-issue automated
negotiation model has been proposed. It dynamically
estimates the opponent’s preference according to the
change of the opponent’s offer in the process of
negotiation and finally accelerates agents to reach an
agreement. Experimental results show that agents can
reach an agreement in a short time using this model,
and the total utility of all agents approximates the
highest social utility.
in the first stage, and then all issues will be negotiated
at the same time in the second stage. This method is
less efficient. [8] presents a GA-based negotiation
framework and designs an effective experimental
method, but it can not dynamically estimate the
opponent’s preference. We propose a GA-based
multilateral multi-issue automated negotiation model
that can solve these problems. The remaining part of
this paper will describe the negotiation model in
section 2, then present experimental analysis in section
3, and summarize our work in section 4.

2. Multilateral multi-issue automated

1. Introduction negotiation model
Negotiation is a decision-making process 2.1. Related definitions
participated by two or more parties. Negotiators state
conflict interests and manage to reach an agreement Definition 1. A = {b1 ,b2 ,", bn , s1 , s2 ,", sm } is
through mutual compromise. The purpose of
automated negotiation is to reach an agreement and the set of
participants in negotiation, where
obtain a Pareto-efficient outcome. Some negotiation bi (1 ≤ i ≤ n) is a buyer agent and s j (1 ≤ j ≤ m )
models have been proposed. [1] is based on game is a seller agent.
theory, [2][3][4] are based on argumentation and [5] is
based on heuristics. Negotiation is usually conducted
Definition 2. Let I = {i1 , i2 ,", in } be an issue set
in a circumstance with incomplete information, limited of negotiation, where n is the number of issues
G
computing resources and strictly restricted time. involved in the negotiation. I =< i1 , i2 ,", in > is the
Therefore a good negotiation model should be able to
vector of n issues in the process of negotiation, where
search the optimal solution or approximate optimal GG
solution quickly and effectively in the complex i j ∈ I (1 ≤ j ≤ n) . Let V I =< v i1 , v i2 ,", v in > be
negotiation space. Genetic algorithm (GA) based G G i
negotiation model is able to meet these requirements. a value vector of I , where ∀im ∈ I , v m ∈ Ω m is a
[6] puts forward a negotiation solution based on GA.
However it is only for bilateral negotiation and has to value of im , and Ω m is the value range of im .
G
obtain the opponent’s preference before the genetic Definition 3. Consider ∀a ∈ A, ∀im ∈ I , utility
operation. [7] designs a parallel GA-based negotiation
model in which the negotiation process is divided into function Φ iam is a mapping from vaim to real domain
two stages. All negotiation issues are distributed to
different agents who will negotiate them respectively
with regard to agent a ’s issue im , i.e.

978-0-7695-3357-5/08 $25.00 © 2008 IEEE 85

DOI 10.1109/ICICTA.2008.341
 Φ iam : {vai/m } → R , where vai/m ∈ Ω m is the value of
agent a on issue im . U a : Ω1 × Ω 2 × " × Ω n → R
is a utility function with regard to agent a ’s issue
G G IG n to speed up agreement reaching and guarantee Pareto-
vector I . U a (V ) = ∑ wak × Φ ak (v k ) , where
i i i efficient solution. There is detailed description about
k =1
G design of genetic operators in the following.
∀ik ∈ I , wa is the weight of issue ik ’s utility
ik
Φ iak (v ik ) and ∑k =1 waik = 1 .
n
function
Definition 4. If there is no other negotiation
outcome which makes at least one agent better and no
other worse, this negotiation outcome bears Pareto-
efficiency.
2.2. Negotiation protocol
Negotiation protocol is the rule which agents must
abide by in their interaction. The negotiation protocol
used in this paper is shown in Figure 1.
Figure 1. The schematic diagram of
negotiation protocol
An order of sellers and buyers is generated
randomly to avoid confusion before negotiation. When
the negotiation begins, agents form their initial offers
according to their offer generating strategy and send
these initial offers to their opponents. After sending
and receiving, agents will evaluate the received offers
according to their own evaluation strategy. If agents
are satisfied with their received offers, the negotiation
is successful. If agents are satisfied with a number of
offers, they randomly select one of them. If agents are
not satisfied with their received offers, they should
determine whether the deadline is up. Agents will
estimate their opponent’s preference through studying
and restart a new round of negotiation until the
deadline.
2.3. GA-based offer generating strategy
86
Genetic algorithms have advantages such as
simplicity, robust, global optimality, parallelism and
high efficiency. Using GA in the process of offer
generation, the new offer will have higher adaptability
coding scheme, fitness function determination and the
2.3.1. Coding Scheme. Each chromosome in
population represents an offer and is composed of two
parts. As shown in Figure 2, the first part is fitness
value of the chromosome and the second part contains
all the issue values of the offer represented by this
chromosome. The genetic operations crossover,
mutation and clone are manipulated in the second part
of the chromosome.
fitness v i1 …… v in
Figure 2. Coding scheme of chromosome
2.3.2. Fitness function determination. The ultimate
goal of negotiation is to maximize the social utility that
is the total utilities of all participants in negotiation. If
negotiation fails, these utilities are zero and social
utility is minimal. If negotiation is successful and the
solution can maximize social utility, it must be Pareto-
efficient solution. In negotiation, agents are self-
interesting and pursuit their own utility maximization.
They have incomplete knowledge and are not aware of
their opponent's preference. Time is precious for all of
them and it is impossible to make a negotiation
endlessly. Agents should dynamically change their
compromise degree as time goes on. The opponent’s
utility should be considered in order to reach an
agreement. However it is impossible to judge the
opponent’s utility because they do not know their
opponent’s utility function. In this paper, agents
dynamically estimate the opponent’s preference by
using learning mechanism and determine the
opponent’s utility through calculating the distance
between their own offer and their opponent’s. Fitness
function should take into account all factors the above
mentioned and is defined as
U a (offer ) dist (offer , offer opponent )
fitness (offer ) = α × Τ(t ) × + (1 − α × Τ(t )) × (1 − )
U a (offer max ) dist (offer max , offer min )
, where α ∈ [0,1] . If α = 0 , the agent only considers
the opponent’s utility and neglects its own. If α = 1 ,
the agent only considers its own utility and neglects the
opponent’s.
 Τ(t ) is the time factor whose value range is Step 1: Calculate the influence degree of an issue
1 on the opponent. If an issue value changes greatly in
two consecutive offers, this issue has less influence on
[0,1] . Τ(t ) = 1 − (t tadeadline ) β a , where t is the current the opponent’s utility, then the weight of this issue
round number of the negotiation, and t adeadline is the should be small, and vice versa. Therefore the change
extent of the issue value is inversely proportional to the
negotiation deadline for agent a . Ifβ a > 1 , agent a influence degree of it on the opponent and is inversely
is eager to compromise(Conceder). If β a = 1 , agent a proportional to the weight of this issue. The influence
degree is defined as:
compromise linearly(Linear), and if 0 < β a < 1 , offernew offerold
Φ iak − Φ iak
agent a does not compromise as time goes on deg ree(ik ) = 1 − max min
, where
(Boulware) . Φ iak − Φ iak
Utility function U has been defined in definition 3, G
1 ≤ k ≤ n, ik ∈ I .
here offer is the value vector of an offer. Step 2: Estimate the approximate weight.
v −v
im immin deg ree(ik ) G
Let Φ iam = a a
, where Φ iam ∈ [0,1] , vaim , woik = n
, where 1 ≤ k ≤ n, ik ∈ I . At
∑ deg ree(i )
max
immin
vaim − v a j
immin immax j =1
v a and v a are the current , the minimum and the
this point, the estimate of the opponent’s preference
maximum value of issue im respectively. offer max has been completed. Only with the opponent’s
approximate preference information, it is possible to
( offer min ) is the value vector of the offer which calculate more accurately the distance between the
offer and the opponent’s and effectively compromise to
makes agent a get maximum (minimum) utility.
achieve a ‘win-win’. Here, the opponent’s offer
offer opponent is the value vector of the opponent’s recorded by an agent is referred to the best offer in all
offer. the opponents’ proposals in each round. Consequently
The distance of two offers is defined as an agent can only generate an offer and sent it to all
opponents in each round.
n

∑w
offer 1 offer 2
dist (offer1, offer 2) = ik
o (Φ iak − Φ iak )2 2.3.3. Genetic operation. In this paper, the steps of the
k =1
genetic operation to generate the offer are designed as
, where wok (1 ≤ k ≤ n) is the opponent’s preference
i
follows:
weight estimated according to the change of the (1) Generate initial population, including one
opponent’s offer in the process of negotiation highest utility chromosome for agent a and n − 1

∑
n chromosomes whose second parts are randomly
and woik = 1 . Because some issues do a greater
k =1
impact on an agent’s utility while others do a smaller
impact on it, the agent will do less or more comprise
accordingly in order to guarantee the agent’s own
utility and a successful negotiation. Therefore it is
feasible to estimate the opponent's preference by
observing changes of each issue’s value in the
opponent’s two offers. Let
utility in the offer which is proposed by the opponent
offerold
in current round, Φ iak
the offer which is proposed by the opponent in last
max min
round, andΦ iak , Φ iak denote the maximal and the
minimal utility respectively, wo is calculated as
follows:
selected from Ω1 × Ω 2 × " × Ω n .
(2) Calculate the fitness of the chromosomes in the
population, and sort the chromosomes in terms of the
fitness value.
(3) Determine whether meet the termination
condition. If meet, go to (6); else go to (4).
(4) Generate the next generation population.
offernew
Φ iak be the issue i k ’s (4.1) Select x % highest fitness chromosomes
from the present generation to directly reproduce the
next generation.
be the issue i k ’s utility in (4.2) Select chromosomes for reproduction
(denoted as RC).
(4.3) Determine whether the number of
chromosomes in the next generation is n . If it is n , go
to (5); else go to (4.4).
(4.4) Generate the next generation chromosomes
according to the crossover probability and method.

87
 (4.5) Generate the next generation chromosomes
according to the mutation probability and method.
(4.6) Generate the next generation chromosomes
according to the clone probability, and then go to (4.3).
(5) Calculate the fitness of each chromosome in the
new generation and sort these chromosomes according
to the fitness value, and then go to (3).
(6) Output the highest fitness chromosomes as the
offer of this negotiation round and end genetic
operation.
When the difference between the two highest
fitness values of two consecutive evolutions is smaller
than a very small number δ , the evolution is
terminated.
The choice of RC is using championship selection
by which a certain number (Tour) chromosomes are
randomly selected from the population, and then the
best chromosome will be selected as the father
chromosome. This process is repeated until the
chromosomes choice completes. Using two points
cross, crossover operation can randomly generate two
cross positions in the second part of the chromosomes.
The issues values between the two cross positions of
the father chromosomes are exchanged one by one and
the remaining issue values are unchanged to generate
two new descendants. Mutation operation randomly
generates a new value within its value range for each
issue value from the second part of father chromosome,
by which new chromosomes are generated. Clone
operation randomly replicates some chromosomes as
new descendants from RC.
2.4. Offer evaluation strategy
Offer evaluation is defined as
⎧accept if (U a (incomeoffer ) ≥ U a ( selfoffer ))
⎪
E a = ⎨quit if ((U a (incomeoffer ) < U a ( selfoffer )) ∧ (t ≥ t adeadline ))
⎪refuse otherwise
⎩
, where E a denotes evaluation result. If the utility of
the offer received by agent a is not smaller than the
utility of the offer proposed by agent a in the current
round, negotiation is successful; if agent a doesn’t
accept the received offer and the current round is
agent a ’s deadline, agent a will quit the negotiation
and the negotiation is failure; otherwise this offer is
refused and new offer will be generated through
studying.
3. Experiments and analysis
In this paper, the experiments adopt the method
from R.Y.K. Lau. There are two buyer agents and two
88
seller agents in the experiments. Each buyer (seller)
needs to buy (sell) a commodity which has five
attributes (issues) to be negotiated, and the value of
each attribute is from the set {1, 2 ,3 , 4 ,5} .The buyers
(sellers) prefer smaller (bigger) attributes values. There
are 5 5 = 3125 possible offers for each agent and the
accepted offers exist for the same issues and value
range. The agent parameters are shown in Table 1.
Table 1. Agent parameters
Preference type w of Buyer Agent w of Seller Agent
Contrary {0.1, 0.2, 0.3, 0.1, 0.3} {0.5, 0.1, 0.1, 0.2, 0.1}
Contrary {0.1, 0.9, 0, 0, 0} {0.9, 0.1, 0, 0, 0}
Similar {0.3, 0.2, 0.1, 0.3, 0.1} {0.5, 0.1, 0.1, 0.2, 0.1}
Similar {0.3, 0.2, 0.3, 0.1, 0.1} {0.3, 0.1, 0.3, 0.2, 0.1}
Same {0.5, 0.1, 0.1, 0.2, 0.1} {0.5, 0.1, 0.1, 0.2, 0.1}
In the fitness function, α is 0.8, β is 1 and
t deadline is 100 for both buyer agents and seller agents.
The number of the chromosomes in population is 80,
the parameter Tour of the championship selection is 2,
the number of RC is 50, the probability of the direct
chromosome replication is 0.1, the probability of the
crossover is 0.8, the probability of the mutation is 0.05,
and the probability of clone is 0.1.
The first experiment uses the five groups of w in
Table 1. It tests 10 times and calculates the average
social utility for each group. The result is shown in
Figure 3 where GA denotes the negotiation model
without dynamically estimating preference through
studying, GA* denotes the negotiation model with
studying proposed in our paper, and optimization
denotes the theoretic optimal value. The results of our
negotiation model approximate to the optimal solution
in terms of different preference types.
Figure 3. The compare of social utility
The second experiment uses the first four groups of
w in table 1 to test the seller’s preference. As is shown
in Figure 4, although the preferences dynamically
estimated and the actual values are different, the trends
of them are consistent.

Figure 4. The compare of the trends of the
weight
The third experiment where the first deadline is set
as 100 rounds and the second deadline is set as 1000
rounds adopts the parameters given in Table 1. Testing
each group’s preferences 10 times, we can get the
average time used by the negotiation. As is shown in
Figure 5, if the preferences are contrary, the
negotiation reaches an agreement easily, and if the
preferences are similar, the negotiation spends more
time. In general, no matter what deadlines are, our
model can return the negotiation output in a relatively
short period of time.
Figure 5. The negotiation round
4. Conclusion
A GA-based multilateral multi-issue automated
negotiation model has been proposed under the
circumstances as the limited computing resources and
the incomplete knowledge. The model can dynamically
estimate the opponent’s preference according to the
change of the opponent’s offer and improve the sense
of the fitness function. It will accelerate negotiation
speed, guarantee the Pareto-efficient solution and make
the two negotiation parties reach a ‘win-win’. We will
study how to apply this model to the actual e-business
environment in future. In addition, considering the
agent having historical transactions, how to bring
89
relation, reputation and other attributes to the
negotiation model is another problem we will research.
References
[1] J.S. Rosenschein, G. Zlotkin, Rules of Encounter:
Designing Conventions for Automated Negotiation among
Computers, MIT Press, Cambridge MA, USA , 1994.
[2] S. Kraus, K. Sycara, A. Evenchik, “Reaching agreements
through argumentation: a logical model and
implementation”, Artificial Intelligence, Elsevier Science
Publishers Ltd., Essex, UK, 1998, 104(1-2), pp.1-69.
[3] L. Amgoud, H. Prade, “Formal handling of threats and
rewards in a negotiation dialogue”, Proceedings of the fourth
international joint conference on Autonomous agents and
multiagent systems, ACM Press, New York, NY, USA, 2005,
pp. 529-536.
[4] S.D. Ramchurn, C. Sierra, L. Godo, N.R. Jennings,
“Negotiating using Rewards”, Artificial Intelligence, Elsevier
Science Publishers Ltd., Essex, UK , 2007, 171(10-15), pp.
805-837.
[5] I. Rahwan, L. Sonenberg, N.R. Jennings, P. McBurney,
“STRATUM: A Methodology for Designing Heuristic Agent
Negotiation Strategies”, Applied Artificial Intelligence,
Taylor & Francis Group, London, UK, 2007, 21(6), pp. 489-
527.
[6] X. Niu, Y. Wang, Q. Deng, “A Solution Based on GA for
Automatic Negotiation”, Computer Engineering and
Applications, Publishing House of Journal of Computer
Engineering and Applications, Beijing, China, 2005, 41(24),
pp. 197-200. (in Chinese)
[7] Y. Wang, Q. Xiong, “Multi-Issues and Parallel Genetic
Negotiating Model Based on Agent”, Computer Engineering
and Applications, Publishing House of Journal of Computer
Engineering and Applications, Beijing, China, 2006, 42(24),
pp. 229-232. (in Chinese)
[8] R.Y.K. Lau. “Towards Genetically Optimized Multi-
Agent Multi-Issue Negotiations”, Proceeding of 38th Hawaii
International Conference on System Sciences, IEEE
Computer Society, Washington DC, USA, 2005, pp. 35-45.
 2008 International Conference on Intelligent Computation Technology and Automation
Multi-Objective Optimization with Modified Pareto Differential Evolution
Chen Xiao-qing, Hou Zhong-xi, Liu Jian-Xia
College of Aerospace and Material Engineering, NUDT, Changsha, Hunan 410073, China
E-MAIL: gkbatchelor@gmail.com
Abstract: In this paper, a modified Pareto Differential
Evolution algorithm approach is introduced to solve
multi-objective optimization problems. The modified
approach including: improving the crowding mechanism by
introducing the Niche theory, introducing a time variant
scaling factor F, and using a simple but efficient mutation
operator which combines information of the both better and
worse solution in the population. The performance of the
MDE is measured on the set of ZDT benchmark functions on
multi-objective optimization.
1 Introduction
Nowadays, many optimization problems are Multi-
objective Optimization Problems (MOP). As to most MOPs,
the objective functions may conflict with each other. Because
of the conflicts of objectives, it is impossible to find a single
optimal solution for such MOP. The presence of multiple
objectives in a problem, in principle, gives rise to a set of
optimal solutions (largely known as Pareto-optimal solutions),
instead of a single optimal solution. In the absence of any
further information, one of these Pareto-optimal solutions
cannot be said to be better than the other. This demands a user
to find as many Pareto-optimal solutions as possible.
The traditional method of solving MOP is translating
MOP into simple objective optimization problems to solve.
However, this method requires strong priori knowledge of the
problem itself, so it is difficult to solve real MOP. The
evolutionary algorithm based on population can search a few
solutions implicit parallel in the solution space, and can
improve the efficiency of parallel solving by making use of
the similarity of different solutions. Therefore, evolutionary
algorithms are well suited for solving MOP.
Different evolutionary multi-objective optimization
(EMO) methods[1-4] have been proposed in the literature to
overcome the drawbacks of traditional approaches to MOPs.
EMO methods do not have assumptions underlying the MOP.
In addition, most of them are population based; therefore they
can generate a number of Pareto solutions in a single run. One
of the recent approaches to EMO is the Pareto Differential
Evolution (PDE)[5, 6] algorithm. The algorithm was designed
for EMO problems with continuous variables and achieved a
very competitive results compared to other algorithms in the
EMO literature.
978-0-7695-3357-5/08 $25.00 © 2008 IEEE
DOI 10.1109/ICICTA.2008.365
In this paper, a modified version of PDE was suggested
and its performance was evaluated, the ZDT benchmarks
were chosen as test functions.
The paper was organized as follows: Section 2 shortly
summarizes the differential evolution. The third section
describes the modified measures this paper adopted and
section 4 briefly discusses the characteristics of the test
functions. Next, Section 5 presents results showing how MP
DE performed on the functions. The final section briefly
summarizes modified DE’s performance.
2 Differential Evolution Algorithm
The structure of Differential Evolution is similar to other
evolutionary algorithms[7, 8]: the first generation is
initialized randomly and further generations evolve by
applying the evolutionary operator mutation, recombination
and selection to every population member until a stopping
criterion is satisfied.
Classic DE begins by initializing a population of Np ,
D -dimensional vectors with parameter values that are
distributed with random uniformity between pre-specified
lower and upper initial parameter bounds, x j ,low and x j ,high ,
respectively.
x j ,i , g = x j ,low + rand ( 0,1) ⋅ ( x j ,high − x j ,low )
j = 1, 2,… , D; i = 1, 2,… , Np; g =0
The subscript, g , is the generation index, while j and i are the
parameter and population indices, respectively. Hence, x j ,i ,g is
the j th parameter of the i th population vector in
generation g . The random number generator rand (0, 1)
returns a uniformly distributed value in the range [0, 1). In
DE, parameter values are encoded as ordinary floating-point
numbers and are manipulated with standard floating-point
operators like those available in high level languages like
C++.
At each generation g , DE employs the mutation and
crossover operations to produce a trial vector U i ,g for each
individual vector xi,g , also called target vector, in the current
population.
a) Mutation operation
For each target vector xi , g at generation g , an
90
associated mutant vector Vi ,g = {v1i ,g , v2i ,g ,… vDi ,g ,} can be generated 3. Modified PDE: Strategy and Parameter
by using one of the following 5 strategies: Choosing
“DE/rand/1”: Vi ,g = X r1,g + F ⋅ ( X r 2,g − X r 3,g )
“DE/best/1”: Vi ,g = X best ,g + F ⋅ ( X r1,g − X r 2,g ) In this paper, the nondominated sorting and ranking
selection algorithm developed by Deb et al.[9] was chose as
“DE/currenttobest/2”: the evolutionary frame and DE was introduced as the
Vi , g = X i , g + F ⋅ ( X best , g − X i , g ) + F ⋅ ( X r1, g − X r 2, g ) evolutionary operator to solve multi-objective problems.
“DE/best/2”: Vi ,g = X best ,g + F ⋅ ( X r1,g − X r 2,g ) + F ⋅ ( X r 3,g − X r 4,g )
3.1 Elitist Non-dominated Sorting Genetic Algorithm
“DE/rand/2”: Vi ,g = X r1,g + F ⋅ ( X r 2,g − X r 3,g ) + F ⋅ ( X r 4,g − X r 5,g )
Where indices r1, r 2, r 3, r 4, r 5 are random and mutually NSGA-II[9] (Elitist Non-dominated Sorting Genetic
different integers generated in the range [1, Np ] , which should Algorithm) uses an elite-preserving strategy as well as an
also be different from the current trial vector’s index i . F is a explicit diversity preserving mechanism. The offspring
factor in [0, 2] for scaling differential vectors and X best ,g is the population Qt is first created by using the parent
individual vector with best fitness value in the population at population Pt . Then, the two populations are combined
generation g .
together and a non-dominated sorting is performed. To
b) Crossover operation preserve diversity, a density metric called Crowding Distance
After the mutation phase, the “binary” crossover is used. The different steps of the algorithm are described
operation is applied to each pair of the generated mutant below:
vector Vi,g and its corresponding target vector X i,g as step 1: Initialize the population by random.
follows to generate a trial vector: step 2: Evaluate all objectives and constraint.
U i , g = {u1i , g , u2i , g ,… uDi , g ,} step 3: Ranking the population based on dominance
⎪⎧v j ,i , g , if ( rand j [ 0,1] < CR ) or j = rnbr ( i )
criteria.
u j ,i , g = ⎨ , j = 1, 2,… , D step 4: Calculate crowding distance.
⎪⎩ x j ,i , g , otherwise
step 5: Perform selection using binary tournament
Where CR is a user-specified crossover constant in the range selection operator.
[0, 1) and rnbj ( i ) is a randomly chosen integer in the step 6: Using crossover and mutation operators to
range [1, Np ] to ensure that the trial vector U i ,g will differ from generate offspring population.
its corresponding target vector X i,g by at least one parameter. step 7: Combine parent and offspring population and a
non-dominated sorting is done.
c) Selection operation step 8: The parent population is replaced by the best
If the values of some parameters of a newly generated members of the combined population.
trial vector exceed the corresponding upper and lower bounds, In Step 3, each solution is assigned a non-domination
we randomly and uniformly reinitialize it within the search rank (a smaller rank to a better non-dominated front). In Step
range. Then the fitness values of all trial vectors are evaluated. 4, for each solution of a particular front, density of solutions
After that, a selection operation is performed. The fitness in its surrounding is estimated by taking average distance of
value of each trial vector f (U i ,g ) is compared to that of its two solutions on its either side along each of the objective.
corresponding target vector f ( X i ,g ) in the current population. This average distance is called the crowding distance.
If the trial vector has smaller or equal fitness value (for Selection is done based on the front rank of an individual
minimization problem) than the corresponding target vector, and for solutions having same front rank, selection is done on
the trial vector will replace the target vector and join the the basis of their crowding distances (larger, the better). In
population of the next generation. Otherwise, the target vector Step 8, initially solutions of better fronts replace the parent
will remain in the population for the next generation. The population. When it is not possible to accommodate all
operation is expressed as follows: solutions of a particular front, that front is sorted on the basis
of crowding distance and as many individuals are selected on
⎧⎪U i , g , if f (U i , g ) < f ( X i , g )
X i , g +1 = ⎨ the basis of higher crowding distance, which makes the
⎪⎩ X i , g , otherwise population size of the new population same as the previous
The above 3 steps are repeated generation after population.
generation until some specific stopping criteria is satisfied.
3.2 Improved Crowding Mechanism

In NSGA-II, the crowding distance is defined as in

91
figure 1.
First, the population was sorted according to each
objective function value in ascending order of magnitude.
Then, for each objective function, the boundary solutions
(solutions with smallest and largest function values) are
assigned an infinite distance value. All other intermediate
solutions are assigned a distance value equal to the absolute
normalized difference in the function values of two adjacent
solutions. This calculation is continued with other objective
functions. The overall crowding-distance value is calculated
as the sum of individual distance values corresponding to
each objective. This calculation is continued with other
objective functions. The overall crowding-distance value is
calculated as the sum of individual distance values
corresponding to each objective.
Fig.1: Crowding-distance calculation. Points marked in filled
circles are solutions of the same nondominated front.
The procedure above is easy to understand and
implement, but when the objective functions varies greatly,
some unfeasible solutions near the boundary solutions would
be preserved, and as in figure 2, hence worsen the quality of
solutions.
From figure 2 we can see that some extreme solutions
(such as A and B) is unfeasible, it differs from the Pareto front
greatly, but according to the crowding mechanism described
above, they were both preserved, in the evolution process,
they hold resource and slow down the evolution process. It is
the crowing mechanism which is not perfected that caused
non-pareto solution to be preserved and reduced the evolution
efficiency.
Take figure 2 for example, solution A, B and C,D,E
don’t belong to the same pareto front, but when determined
the pareto front, if solution such as F that dominate A,B is not
appeared, the algorithm would ascribed them to the same
“Pareto Rank”, and according to the definition, the solution
A’s crowding distance is infinity, solution B’s is 8.92, but
solution D’s is 0.76. This is obviously not proper. The sharing
function method is helpless because although one objective
value is almost the same, the other is six to one.
In this paper, it was settled by introducing Niche theory:
when determining the Pareto rank, the population was filtered
92
to eliminate unfeasible solution (take minimize problem for
example):
if |A.f1 - B.f1| < ε
if A.f 2 < B.f 2 delete B
else delete A
else continue
ε was a small number that prescribed by programmer. In
this case, only one solution would be preserved in distance ε
that would guarantee the diversity of the population.
When filtered, the population was ranked with the
fast-non-dominated-sorted algorithm to carry through the
evolution. Numerical experiment showed that the algorithm
eliminated the unfeasible solution effectively, it has higher
computational efficiency and can obtain a reasonable
distributing solution; it can also maintain the solutions’
diversity.
Fig.2 Extreme unfeasible solutions
3.3 Modified DE strategy
The version of DE used in this paper is DE/rand/1; it is
modified through the following aspects.
First, to ensure each parent has the chance to generate an
offspring, the r1 is set to i , that is
Vi , g = X i , g + F ⋅ ( X r 2, g − X r 3,g )
To pursue the exploration, r 2 and r 3 are still randomly
selected, but following the guideline that the X r 2,g is “better”
than X i,g while X r 3,g is “worse” than X i,g , “better” means that
the rank of X r 2, g is “higher” than X i,g or the crowding
distance of X r 2, g s “larger” than X i,g ..
When comes to the parameter setting, between the two
parameters CR and F , CR is much more sensitive to the
problem’s property and complexity such as the multi-modality,
while F is more related to the convergence speed.
It would be difficult to search for a distinct set of
parameter for each problem. Many papers have studied the
choosing of CR for different problems. In this paper, CR is
set to a fixed number 0.9 for all functions[10].
When it comes to F , while F > 1 can solve many
problems, F < 1 is usually both faster and more reliable.
Like Np , F must be above a certain critical value to avoid
premature convergence to a sub-optimal solution, but if F
becomes too large, the number of function evaluations to find
the optimum grows very quickly. Typically, 0.4 < F < 0.95 , with
F = 0.9 being a good compromise between speed and
probability of convergence. To speed up the convergence of
DE algorithm, time variant F is introduced, it varies linearly
with time as follows:
Generation
F = Fmax − × ( Fmax − Fmin )
MaxGeneration
Where Generation is the current iteration number,
MaxGeneration is the maximum number of iterations allowed
and Fmax , Fmin denote, respectively, the maximum and
minimum value of the weight, with Fmin , Fmax ∈ ( 0,1) . Thus the
algorithm starts at Generation = 0 with F = Fmax , but as
Generation increases towards MaxGeneration , F decreases
gradually and ultimately when Generation = MaxGeneration ,
F reaches Fmin . Therefore at the beginning, emphasis is laid on
the global model, but with time, contribution from the local
mutation scheme increases. In the beginning, large F makes
local search towards a single point of the search space is
reduced, emphasizing on global search, helping DE avoid
local optima. This feature is essential at the beginning of the
search process when the candidate vectors are expected to
explore the search space vigorously. Clearly, a judicious
choice of Fmax and Fmin is necessary to strike a balance
between the exploration and exploitation abilities of the
algorithm. In this paper, Fmax is set to 0.9 and Fmin is set to
0.4.
The population size, Np , typically ranges from 2 D to
40 D . Separable and uni-modal functions require the smallest
population sizes, while parameter-dependent, multi-modal
functions require the largest populations. Typically, Np must
be larger than a critical value to obtain a globally optimal
result, but making Np too large, while improving convergence
probability may needlessly increase the number of function
evaluations. Ordinarily, population sizes should be between
Np = 200 and Np = 600 to optimize difficult ten and thirty
dimensional functions. For this paper, Np is set to 100 for all
functions in this paper and the MAX Function Evaluation is
set to 5.0e5.
4 Test Functions
In order to test capability of the algorithm in this paper,
we adopt five ZDT test functions, which have been used in
reference[11], and are also the most common used ones in
93
MOEA.
Each of the test functions defined below is structured in
the same manner and consists itself of three functions f1 , g , h :
Minimize T ( X ) = ( f1 ( x1 ) , f 2 ( X ) )
Subject to f 2 ( X ) = g ( x2 , , xm ) h ( f1 ( x1 ) , g ( x2 , , xm ) )
where X = ( x1 , x2 , , xm )
The function f1 is a function of the first decision
variable only, g is a function of the remaining m variables,
and the parameters of h are the function values of f1 and g .
The test functions differ in these three functions as well as in
the number of variables m and in the values the variables may
take.
The test function T1 has a convex Pareto-optimal front:
f1 ( x1 ) = x1
g ( x2 ,..., xm ) = 1 + 9 * ∑ im=2 xi / ( m − 1)
h ( f1 , g ) = 1 − f1 / g
where m = 30, and xi ∈ [0,1], i = 1, 2,..., m The Pareto-optimal front is
formed with g ( X ) = 1 .
The test function T2 has a nonconvex counterpart to T1 :
f1 ( x1 ) = x1
g ( x2 ,..., xm ) = 1 + 9 * ∑ im=2 xi / ( m − 1)
h ( f1 , g ) = 1 − ( f1 / g )
2
Where m = 30, and xi ∈ [0,1], i = 1, 2,..., m The Pareto-optimal front is
formed with g ( X ) = 1 .
The test function T3 represents the discreteness feature; its
Pareto-optimal front consists of several noncontiguous
convex parts::
f1 ( x1 ) = x1
g ( x2 ,..., xm ) = 1 + 9 * ∑ im=2 xi / ( m − 1)
h ( f1 , g ) = 1 − f1 / g − ( f1 / g ) sin (10π f1 )
Where m = 30, and xi ∈ [0,1], i = 1, 2,..., m The Pareto-optimal front is
formed with g ( X ) = 1 .The introduction of the sine function in h
causes discontinuity in the Pareto-optimal front. However,
there is no discontinuity in the parameter space.
The test function T4 contains 219 local Pareto-optimal
fronts and, therefore, tests for the EA’s ability to deal with
multimodality:
f1 ( x1 ) = x1
g ( x2 ,..., xm ) = 1 + 10 ( m − 1) + ∑ im=2 ( xi2 − 10 cos ( 4π xi ) )
h ( f1 , g ) = 1 − f1 / g
Where m = 10, and x1 ∈ [0,1] , x2 ,...xm ∈ [−5,5], The global
Pareto-optimal front is formed with g ( X ) = 1 , the best local
Pareto-optimal front with g ( X ) = 1.25 . Note that not all local
Pareto-optimal sets are distinguishable in the objective space.
The test function T6 includes two difficulties caused by
the nonuniformity of the search space: first, the
Pareto-optimal solutions are nonuniformly distributed along
the global Pareto front (the front is biased for solutions for
which f1 ( X ) is near one); second, the density of the
solutions is lowest near the Pareto-optimal front and highest
away from the front:
f1 ( x1 ) = 1 − exp ( −4 x1 ) sin 6 ( 6π x1 )
g ( x2 ,..., xm ) = 1 + ( 9 * ∑ im=2 xi / ( m − 1) )
0.25

h ( f1 , g ) = 1 − ( f1 / g )
2

Where m = 10, and xi ∈ [0,1], i = 1, 2,..., m The Pareto-optimal front is

formed with g ( X ) = 1 and is nonconvex.
Figure 4. Diversity metric[9]
Table1. Mean and variances of the generational distance and
5 Results diversity metrics for the MPDE on different MOPs
In order to show the validity of the algorithm in this
MOP γ Metric, γ Metric, Δ Metric, Δ Metric,
paper, two guidelines are used in this paper to evaluate the
Mean Variance Mean Variance
capability[9]. Suppose that the Pareto optimal objective
domain obtained through the algorithm is Z , the Pareto ZDT1 0.001988 0.000713 0.766426 0.232796
optimal objective domain in theory is Z ' . ZDT2 0.005756 0.000214 0.279955 0.042044
The first metric γ measures the extent of convergence to ZDT3 0.000316 0.000118 0.523077 0.013915
a known set of Pareto-optimal solutions. Figure 3 shows the ZDT4 2.043144 0.095102 0.334413 0.175124
calculation procedure of this metric. It can be measured by ZDT5 0.007959 0.001917 0.205347 0.00936
1 The results, when compared to similar studies of other
γ= ∑ min{|| z − z ||, z ∈ Z } algorithms[6], show the present algorithm is quite effective
| Z | z∈Z
Obviously, the smaller the value of γ is, the better the and performs well on ZDT1, ZDT2, ZDT3 and ZDT6. Table 1
shows that the general distance metric is relatively large for
algorithm approximates the Pareto optimal set.
ZDT4, indicating that the algorithm has trouble converging to
the true Pareto front for this problems. It is partly because the
parameter setting for all the functions are the same,
experience has shown that when the range of scaling factor
F and CR is changed, the results of ZDT4 can be improved.
Further studies should be carried out on this type of problems

6 Summary
In this paper, a modified Pareto Differential Evolutionary
algorithm based on DE/rand/1 version is suggested. First, the
crowding mechanism is improved by introducing the Niche
theory. The modified DE approach is introducing a time
variant scaling factor F, and using a simple but efficient
Figure 3. Distance metric[9] mutation operator which combines information of the both
The second metric Δ measures the extent of spread better and worse solution in the population The validity of the
achieved among the obtained solutions. It can be measured by algorithm in this paper has been showed by the examination
|Z |−1
d f − dl + ∑ | di − d | of the five ZDT test functions and the comparing of the other
Δ= i =1 MOEA examination results and analyses.
d f + dl + (| Z | −1)d
the parameters d f and dl are the Euclidean distances between References
the extreme solutions and the boundary solutions of the
obtained nondominated set, as depicted in Figure 4. The [1] Horn, Nafpliotis, Goldberg. A niched Pareto genetic
smaller the value of Δ is, the better the diversity of Pareto algorithm for multiobjective optimization[C]
solution is. IEEE.Proceedings of the First IEEE Conference on

94
 Evolutionary Computation. Piscataway: IEEE 2002
Service Center 1994 [7] Storn, Price. Differential Evolution - a fast and
[2] Schaffer. Multiple objective optimization with vector efficient heuristic for global optimization over
evaluated genetic algorithms[C] Proceedings of the continuous spaces [J]. Journal of Global
1st International Conference on Genetic Algorithms. Optimization 1997, 11.
Mahwah: Lawrence Erlbaum Associates, Inc. 1985 [8] Storn. System Design by Constraint Adaptation and
[3] Srinivas.N, Deb.K. Multiobjective optimization Differential Evolution [J]. IEEE Transactions on
using non-dominated sorting in genetic algorithms Evolutionary Computation, 1999, 3.
[J]. Evolutionary Computation, 1994, 2 (3). [9] K. Deb, A. Pratap, S. Agrawal, et al. A Fast and
[4] Zitzler.E, Laumanns.M, Thiele.L. SPEA2: Elitist Multi-Objective Genetic Algorithm: NSGA-II
Improving the strength Pareto evolutionary [R]. KanGAL Report No. 200001. 2000.
algorithm [R].Swiss Federal Institute of Technology. [10] Ronkkonen J, Kukkonen S, Kenneth V. Price. .
2001. Real-Parameter Optimization with Differential
[5] Abbass H A, Sarkar R, Newton. C. A pareto Evolution[C] CEC2005. 2005
differential evolution approach to vector [11] Zitzler.E, Deb.K, Thiele.L. Comparison of
optimization problems.[C] The IEEE Congress on multiobjective evolutionary algorithms: Empirical
Evolutionary Computation. Seoul, Korea, 2001 results [J]. Evolutionary Computation, 2000, 8 (2).
[6] Madavan. Multiobjective optimization using a Pareto
differential evolution approach[C] Proc. of IEEE
Congress on Evolutionary Computation. Honolulu

95
 2008 International Conference on Intelligent Computation Technology and Automation

One Improved Discrete Particle Swarm Optimization based on Quantum

Evolution Concept

Li Xuyuan Hualong Xu Zhaogang Cheng

Xi’an Research Inst Of Xi’an Research Inst Of Department of Basic Class,
Hi-Tech Hongqing Town, Hi-Tech Hongqing Town, Ordnance Engineering
Xi’an, P.R. China Xi’an, P.R. China College, Shijiazhuang, P.R.
China
Email:volunteer2008@163.com Email:xu_great@yahoo.com Email:Cheng@yahoo.com

continuous problem effectively. But for the discrete

Abstract:
In order to solve the combinatorial optimization
problem effectively, one improved discrete particle
swarm optimization based on quantum evolution
concept is proposed in the paper. Firstly, The quantum
angle is defined and it is restricted in the range from
- π /2 to 0. Secondly, a new velocity update is
proposed, it can update adaptively and can avoid the
local optima. Thirdly, under the thought of quantum
evolution, the particle can be transferred from decimal
code to binary code, so the algorithm can be used to
solve the discrete problem. From the experiment, we
can learn that the algorithm can realize global optima
effectively.
1.Introduction
Particle Swarm Optimization(PSO) is one of
evolutionary computation algorithms. And it was
originally developed by Eberhart and Kennedy in
1995[1]. It was improved by Shi and Eberhart with
introduction of an inertia parameter to prevent
premature convergence[7][8]. It can solve
problem, it is needed to be improved. One discrete
PSO was proposed in [2]. It employs different code in
velocity and position. In [3][4], one new binary PSO
was proposed, but it can’t avoid the premature
convergence.
The paper is organized as follows. PSO is
explained in section 2.The quantum evolution
algorithm is introduced in section 3. Section 4
introduces the PSO based on quantum evolution
thought. Experiment is introduced in section 5. Section
6 is the conclusion part.
2.Particle Swarm Optimization[1][2]
PSO is inspired by the social behavior of bird
flocking or fish schooling. It’s core concept is
changing the velocity and accelerating each particle
toward it’s previous best position(pbest) and the global
best position(gbest). That is to say, each particle
modifies it’s current position and velocity according to
the distance between it’s current position and pbest,and
the distance between it’s current position and gbest.
Suppose the search space is N-dimension space, the
the

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DOI 10.1109/ICICTA.2008.371
swarm is made up of m particles. Each particle is wmax : the maximum of w
represented as X i = ( X i1 , X i 2 , " , X iN ) ( i = 1,2, " , m ). wmin :the minimum of w
It is also the potential value of the function. It’s G max : the maximum of iteration
performance is According to the value of the G : the number of iteration。
function .The velocity of the particle is denoted as
Vi = (Vi1 , Vi 2 , " , ViN ) . The best previous position of 3 Quantum Evolution[6]
the i − th particle is represented as
Pi = ( Pi1 , Pi 2 , " , PiN ) . The global best position of all 3.1 Quantum Bit
particles is denoted as Pgi = ( Pg1 , Pg 2 , " , PgN ) .The In Quantum Evolution Algorithm (QEA), the
velocity and the position are updated according to the minimum information unit is a quantum bit. One
following equations[1][7][8]: quantum bit may in the “ 0” state or in the “1” state. it
Vid (t + 1) = w * Vid (t ) + c1 * r1 * ( Pid − X id ) +
（1） can be represented as (4)
c 2 * r2 * ( Pgd − X id )
| ψ >= α | 0 > + β | 1 > （4）
X id (t + 1) = X id (t ) + Vid (t + 1) （2） where， α and β are two complex numbers and
where
2 2 2 2
Vid (t + 1) : velocity of particle i at iteration t+1 satisfy （ α +β = 1 ）, α and β represents

Vid (t ) :velocity of particle i at iteration t the probability of corresponding state 0 and 1.

X id (t + 1) :position of particle i at iteration t+1
X id (t ) : position of particle i at iteration t
3.2 Quantum chromosome
w : inertia weight The code of Evolution Algorithm always employs
c1 : acceleration coefficient related to pbest binary, decimal code. In QEA, the code based on
c 2 : acceleration coefficient related to gbest quantum bit is employed. One complex number is
U (0,1)
r1 : random number uniform distribution used to define one quantum bit. One m quantum bits
U (0,1) can be described as
r2 : random number uniform distribution
Pid : pbest position of particle i
⎡α 1 α 2 "α m ⎤
Pgd gbest position of particles ⎢ ⎥
⎣⎢ β1 β 2 " β m ⎥⎦
the function of w can make the particle have the
ability of avoiding premature convergence to some （5）
extent. Eberhart studies the influence of w .[3] It is 2 2 2
where ， α i + βi = 1 (i = 1,2, " , m) 。 α i
proved that a large value of w is advantageous to
finding global optimal, and a little value of w is gives the probability that Q-bit will be found in the “0”
advantageous to convergence efficiency. So the update state and β i
2
gives the probability that the Q-bit
of the velocity is presented as the following with a
dynamic w [8]： will be found in the “1” state. The expression method
can represent any linear form.
w − wmin
Vid (t + 1) = ( wmax − max G ) *Vid + 3.3 Quantum mutation
G max （3）
In the quantum theory, the state transition is
c1 * r1 * ( Pid − X id ) + c 2 * r2 * ( Pgd − X id )
realized by conversion matrix of quantum rotation gate.

where In the binary code, the following quantum mutation

97
 ⎡cos(θ ) − sin(θ )⎤ In order to correspond to the quantum angle, the
operator is designed: U (θ ) = ⎢ ⎥
⎣ sin(θ ) cos(θ ) ⎦ range of the particle is set in [-π/2，0]. It can make the
（8） particle Pi correspond to cos(Pi) .
Table 1
4.3 Updating velocity
xi besti f(x)> Δθ S(αi,βi)
f(best) in order to avoid the local optima, a new velocity
αiβi>0 αiβi<0 αi=0 βi=0 update is proposed as the following ：
0 0 false 0 0 0 0 0 Vid = w *Vid + c1 * r1 * ( Pid − X id ) +
0 0 true 0 0 0 0 0
c 2 * r2 * ( Pgd − X id ) + xor ( Pid* , Pgd
*
) ⋅ ( Pgd
*
− Pgd
*
) ⋅ 0.01π
0 1 false 0 0 0 0 0
+ and ( Pid* , Pgd
*
) ⋅ ( −0.01π )
0 1 true 0.01π -1 +1 ±1 0
1 0 false 0.01π -1 +1 ±1 0 （9）
1 0 true 0.01π +1 -1 0 ±1 where
1 1 false 0.01π +1 -1 0 ±1 xor (⋅,⋅) is logic exclusive-Or operator；
1 1 true 0.01π +1 -1 0 ±1 ( ) is logic not operator
The above represents the quantum rotation gate，the
rotation angle of θ can be obtained from table and (⋅,⋅) is logic and operator
1.where xi is the i-th bit of current solution . best i
Pid* is the d-th dimension value of i-th particle
is the i-th bit of the best solution ; f (x) is the fitness
function. Δθ is the rotation angle. s (α i β i ) is the through observing the particles
rotation orientation *
Pgd is the d-th dimension value of best particle

4 Particle Swarm Optimization based on through observing the particles

Quantum Evolution Concept The velocity not only can be updated adaptively,
but also it can avoid premature convergence and reach
4.1 Quantum angle the global optima.

Definition: Quantum angle is the value of angle θ 4.4 Updating position

which is restricted in the -π/2 to 0. So the quantum bit In the algorithm, position update is according to
can be represented as: equation （2）.
⎡ sin(θ ) ⎤
| ψ >= sin(θ ) | 0 > + cos(θ ) | 1 > or ⎢ ⎥ 4.5 Flow
⎣cos(θ )⎦
1)Initializing the position and velocity
where sin(θ ) and cos(θ ) are the probability
2)Generating the position* through the observing
2 the particles.
amplitude. sin(θ ) gives the probability that Q-bit
3)Evaluating the particles And selecting the best
2 one. If the condition is satisfied, the operation is
will be found in the “0” state and cos(θ ) gives the
terminated and exit. Or go to step 4)
probability that the Q-bit will be found in the “1” state. 4)Updating the velocity as equation (9)
4.2 Setting the particle position 5)Updating the position as equation(2), go to step

98
5. Results

5.1 0-1 knapsack problem

The 0-1 knapsack problem is one of the best way

to test the ability of the combinational optimization
algorithm. It can be described as following:

f ( x) = ∑p x
i =1
i i （10）

subject to
m

∑w x
Figure 1 Comparison of IQPSO,QEA,QPSO,BDPSO
i i ≤C
i =1
on knapsack problem

where xi is 0 or 1, pi is the profit of item i, wi is

6.Conclusion
the weight of item i, C is the capacity of the knapsack.

5.2 Experiment In order to solve the combinatorial optimization

problem effectively, one improved discrete particle
1）In the experiment, the data creation method
swarm optimization based on quantum evolution
is produced as the method from[10]. That is the
concept is proposed in the paper. Firstly, The quantum
following:
angle is defined and it is restricted in the range from
wi = random[1,10]
- π /2 to 0. Secondly, a new velocity update is
p i = wi + l
proposed, it can update adaptively and can avoid the

∑w
1 local optima. Thirdly, under the thought of quantum
C= i （11）
2 i =1 evolution, the particle can be transferred from decimal
code to binary code, so the algorithm can be used to
2）Experiment results
solve the discrete problem. From the experiment, we
In the experiment, the knapsack problem is set to
can learn that the algorithm can realize global optima
50 items for finding the best value. The population
effectively.
size is set to 25. And the number of generation is 1000.
and the number of loop is 10.
References
In figure1, QEA represents quantum evolution
algorithm. QPSO represents the particle swarm
[1] James Kennedy , Russell Eberhart . Particle
optimization with the velocity update （ 1 ） ,IQPSO
Swarm Optimization, In: IEEE Int’1 Conference on
represents the improved particle swarm optimization
Neural Networks ,Perth , Australia, 1995: 1942-1948
based on quantum evolution proposed in the paper.
[2] Shi,Y.H.Eberhar, R C, A Modified Particle Swarm
From figure1, we can learn that the IQPSO has a good
Optimizern ， IEEE International Conference on
performance.
Evolutionary Computation,，Anchorage ,1998:68-73
[3] EBERHART C, SHI Y. Comparing inertia weights
and constriction factors in particle swarm optimization.

99
Proceedings of the 2000 International Congress on
Evolutionary Computation(San Diego,Calfornia),IEEE
Service Center, Piscataway, NJ,2000
[4] Zhang Wei, Simulation of Dynamic Fault for
Liquid Propellant Missile Whole Power System,
Journal of system simulation,2003,Vol.15,No
9,p1205-1207
[5] Zhang Yulin, Wu Jianjun. Fault monitoring
technology of Liquid Propellant Engine.Edition No.1，
publishing company of national defense science and
technology university, 1998, p42~45
[6] Jiao Licheng, Du HaiFeng, Liu Fang, Immune
Optimization Computation, learning and recognition,
Edition No.1, publishing company of science, 2006,
p59~69
[7] Keiichiro Yasuda, Nobuhiro Iwasaki,Adaptive
Particle Swarm Optimization using Velocity
Information of Swarm,IEEE International Conference
on Systems Man and Cybermetics.,2004,p3475~3481.
[8]Xi-Huai Wang,Jun-jun Li, Hybrid particle swarm
optimization with simulated annealing, Third
International Conference on Machine Learning and
Cybernectis, Shanghai,2004,p2402~2405

100
 2008 International Conference on Intelligent Computation Technology and Automation
Optimal Allocation of Test Poles for Grounding Grids Diagnosis Based on
Genetic Algorithm
Liu Jian*, Senior Member, IEEE, Li Zengli, Wang Jianxin, Lu Wei and Li Zhizhong
Xi’an University of Science and Technology, Xi’an, Shaanxi, 710054, China
*E-mail：edliu@bylink.com.cn
Abstract
In order to make all of the branches of a grounding
grid testable, test poles are suggested to implant on
some nodes of the grounding grid. A hierarchical
simplification model of grounding grids is proposed,
based on which, the testability of the branches is
evaluated by an iteration approach. A genetic
algorithm based test poles allocation optimization
approach is presented. The purpose is to make all of
the branches clear with the minimum number of test
poles. The coding of chromosomes and the ways to
avoid of the unfeasible solutions in the processes of the
initial population forming, crossover and mutation
operation are discussed. Taking the disturbance in the
test into consideration with a Monte-Carlo method, the
most robust scheme can be selected from the feasible
individuals worked out by the genetic algorithm based
approach. A grounding grid with sixty branches is
used as an example to show the feasibility of the
proposed approach.
1. Introduction
The grounding grid is an important device to ensure
the safety of operators and power apparatus, which is
made of steel or galvanized steel in many countries
including China. After years of operation, corrosion
will occur on the conductors of the grounding grid,
some conductors even break. Accidents due to
grounding grid damage usually occur. Thus, corrosion
diagnosis of grounding grids is of great importance.
In [1] and [2], electromagnetic approaches to calculate
the performance of grounding grids and to find the breaks
in grounding grids were given. But electromagnetic
approaches cannot give a satisfied diagnosis results for
the branches corroded but not broken. In [3], an
electric circuit method based on Tellegen’s Theorem
for grounding grid diagnosis was presented. [4]- [6]
established a group of corrosion diagnosis equations,
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DOI 10.1109/ICICTA.2008.202
which are solved by simplex method and linear
approaches. The results are with quite large errors due
to the non-linear behavior of the problem. A successful
approach of corrosion diagnosis for grounding grid
was put forward in [7]. A diagnosis equation to
describe the non-linear relationship between branch
resistances and node voltages was established and
solved by an iterative approach.
As for an existing grounding grid, only down lead
lines (called touchable nodes) from the electrical
apparatus can be utilized in the test process for
corrosion diagnosis. Lack of touchable nodes, only
some of the branch resistances of a grounding grid can
be exactly determined, even if all of the touchable
nodes have been made full use of. If the resistance of a
branch can be uniquely determined, it is called a clear
branch; otherwise, called an uncertain branch.
More over, in practice, the down lead lines are
seldom allocated exactly at the grid nodes. The
principle of “nearby equivalent” is used to
approximately consider a down lead line to be at its
nearest grid node forming a touchable node. Of course,
above approximation will have influence, sometimes
remarkable, on the diagnosis results.
As for a new grounding grid to be constructed,
above problems can be solved by intentionally
arranging some test poles on the grid nodes just for test
and corrosion diagnosis purpose.
However, the allocations of such test poles should
be artfully selected. Although implanting a test pole on
each grid node may guarantee every branch resistance
solved, the cost is rather large and it is not necessary.
Therefore, it is of significance to search for an
optimal allocation of test poles with all branches clear.
In this paper, we will investigate the above
problems based on Genetic Algorithm (GA).
2. Hierarchical model of grounding grids
A grounding grid can be converted into four levels,
such as the Actual grounding Grid (AG), the Circuit
101
Domain Grid (CDG), the Touchable grounding Grid
(TG) and the Intrinsic grounding Grid (IG).
AG is the unconverted topology of a grounding
grid.
Taking the touchable nodes as splitting points, an
AG can split into many sub-grids. If a sub-grid is not
able to be further split, it is called a Quasi-Circuit-
Domain (QCD).
As for a QCD, we can merge the series or parallel
branches as possible as we can but remain all
touchable nodes. We call the result of above process as
a Circuit-Domain (CD).
A CDG is the grid formed by all of the CDs.
Based on circuit theory, we can eliminate all un-
touchable nodes in a CD and model it by equivalent
branches between each two touchable nodes. We call
the result of above process as a Circuit Network (CN).
A TG is the grid formed by all of the CNs.
We can form an IG by merging the parallel branches
in the TG as possible as we can but remain all
touchable nodes. The branches in the IG are called
intrinsic branches.
The hierarchical model of a grounding grid is shown
in Fig.1, in which, the touchable nodes are indicated by
solid spots.
10
10 9 8
8
17
13 12 11 17
11
7
7 domain, and b2 is the set of branches in its
14 15 16
15 16 18
6 6
14
1 2 3 4 5 3 4 Step 2: Based on the K groups of b1, calculate the
(a) Actual grounding grid (b) Intrinsic grounding grid
Fig. 1 The hierarchical model of a grounding grid
3. Testability evaluation
3.1. Complete measurement
If we can establish independent equations as much
as the number of intrinsic branches from testing data,
we call the testing scheme as complete measurement.
The reciprocity theorem and superposition theorem can
be used to find out the related testing data.
It is found that the test scheme of adding the DC
current exciter on each intrinsic branch while
measuring the voltage on it forms a complete
measurement, which is called as the basic complete
test scheme.
To avoid the influence of the resistances of down
lead lines in case of basic complete measurement, each
test pole should consist of two lines, one is for current
excitation, and the other is for voltage measurement.
102
3.2. Rules to determine clear or uncertain
1) Rule 1
All intrinsic branches are clear.
2) Rule 2
As for a branch in the touchable grounding grid, it is
clear if no branches are parallel to it or all of the
branches parallel to it are clear.
3) Rule 3
If all of the branches in a circuit domain are clear,
all of the branches in the corresponding circuit network
are clear.
4) Rule 4
Besides Rule 2 and 3, a numerical process is
necessary to determine the testability of the branches
in circuit domains and circuit networks, which will be
detailed in section C.
5) Rule 5
As for a clear branch in a circuit domain, if it is
related to a single branch in the actual grounding grid
level, the corresponding branch in the actual grounding
grid is clear.
6) Rule 6
The branches, which are not determined as clear by
committing Rule 1 to 5 in an iteration approach
described in section3.4, are uncertain.
3.3. Numerical process to evaluate testability
Assuming b1 is the set of branches in a circuit
corresponding circuit network. The steps of the
numerical method are as follows:
Step 1: Establish K groups of b1 randomly.
corresponding K groups of b2 according to circuit
theory.
Step 3: As for each group of b2, keep the clear
branches in b2 not changed and add resistors with
resistance of RD in parallel of each uncertain branches
of the circuit network, forming a new topology named
Augmented Circuit Network. Add the resistors of RD
in the corresponding positions of the circuit domain,
forming a new topology named Augmented Circuit
Domain.
Step 4: Commit the basic complete test scheme by adding
the DC current exciter on each branch of Augmented
Circuit Network and calculate the voltage on the
corresponding branch, respectively. The voltages are used
as the measuring data of the Augmented Circuit Domain,
based on which, the branch resistances of the
Augmented Circuit Domain are worked out by using
the least square based iteration method which will be
described in section C. Thus, K groups of b̂1 are
obtained.
 Step 5: Calculate the averaged relative error e(%) of
each branch according to b1 and b̂1 . If the e(%) of a
branch is less than the given threshold, it is a clear
branch. Otherwise, it is an unknown branch. In this
step, augmented branches are not considered.
3.4. Iteration approach of testability evaluation
It is found that to evaluate the testability for just
once is not enough. Thus, an iteration approach of
testability evaluation is suggested, the steps of which
are as follows.
Step 1: Clear the queue Q1 and Q2.
Step 2: Testability evaluation by Rule 1 to 6 and put
the clear branches into Q2.
Step 3: If Q1=Q2, the branches in Q1 are clear, and
testability evaluation is completed. Otherwise, let
Q1=Q2, return to Step 2.
Testability evaluation is committed on the
grounding grid in Fig.1, in the results of which, the
clear branches are shown by hollow rectangles and the
uncertain branches are shown by shadow rectangles.
4. GA based optimal allocation of test poles
4.1. Basic principle
The major steps of the proposed test poles optimal
allocation approach for a grounding grid with B
branches are as follows:
Step 1: Set the initial number of test poles according
to experience, which is denoted by M, Clear the flag F.
Step 2: Commit the genetic algorithm based sub-
process to search for the best allocation of the M test
poles to make the number of clear branches as much as
possible. The resulted allocation scheme is Copt ( M ) ,
the corresponding number of clear branches, i.e., the
fitness function is f ( M ) .
Step 3: If f ( M ) = B , it means that all of the
branches are clear. Save some—generally, no more
than ten-allocation schemes without uncertain
branches into the buffer. Commit Step 4 to check
whether M is too large.
If f ( M ) < B and F=0, let M=M+1, return to Step 2.
If f ( M ) < B and F=1, the schemes in the buffer are
the candidate optimal allocations. Commit Step 5.
Step 4: M=M-1, let F=1, return to Step 2.
Step 5: Evaluate the anti-disturbance performance of
the schemes in the buffer and select the scheme with
the most robust behavior against testing errors as the
optimal allocation. Above process is called the most
robust scheme selection, which will be detailed in
section C.
103
Therefore, the resulted optimal allocation of test
poles is the scheme that makes all of the branches clear
with the least test poles and is the least sensitive to test
errors.
4.2. Genetic algorithm based sub-process
In the proposed genetic algorithm based sub-process,
a binary codification is used. As for a grounding grid
with N nodes, each chromosome, in another word,
each individual, consists of N binary codes. An
individual is a set of binary codes, which is denoted by
C= {c1 c2,…,cN}. ci = 1 indicates that there is a test
pole at the i-th node. ci = 1 indicates that there is no
test pole at the i-th node.
As for a certain sub-process, the number of test
poles, i.e., M is given. Thus, the individual should be
restricted to the constraint as (1), other wise it is an un-
feasible solution.
Ci = 0 (1)
In order to avoid of the un-feasible solution, each
individual in the initial population is suggested to be
generated by the following steps:
Step 1: Let k=1, reset the flags of all codes to “un-
selected”.
Step 2: Select a code position randomly from the
“un-selected” codes, set the state of the code “1” and
set the corresponding flag to “selected”.
Step 3: If k=M, the desired individual is formed,
escape. Otherwise, k=k+1, return to Step 2.
The fitness function, i.e., the object of the
optimization, is to make the number of clear branches
as much as possible, which can be formulated by
B
Max f = ∑ bi (2)
i =1
Where,
bi = { 1
0
if the i-th branch is clear
if the i-th branch is uncertain (3)
The testability evaluation should be carried out for
each individual so as to calculate the fitness function.
The operators of reproduction, crossover and
mutation are used in the process.
In order to avoid of the un-feasible solution, the
crossover of two individuals is suggested to take the
following steps:
Step 1: Select the position of crossover randomly.
Step 2: If the numbers of “1” before the position of
crossover of the two individuals are the same, commit
this crossover immediately and escape. Otherwise, go
to step 3.
Step 3: Shift the position of crossover to its left
adjacent code position and return to Step 2.
 Above process is called the left crossover process. i.e., scheme A is approximately the same as scheme
The right crossover process is similar and not detailed. B.
In practice, both crossover processes may be In (7) to (9), α is the believe level, usually valued as
committed on a couple of individuals. 95%. nA and nB are the sample numbers of scheme A
The bi-codes mutation methodology is also
suggested to avoid of the unfeasible solution. Once a and B, respectively.
code is changed from “1” or “0” to “0” or “1”, another The best scheme is selected from the individuals in
code should be randomly selected to change from “0” the buffer obtained by GA according to the following
or “1” to “1” or “0”. steps:
Once the desired number of population is reached or Step 1: Set the initial value of sample number n(0).
all of the branches are clear, the genetic algorithm Queue the individuals randomly forming Q (0). k=1.
based sub-process may be escaped. Step 2: Compare the performance of each two
individuals in the buffer according to (7) to (9),
4.3. Most robust scheme selection respectively. Queue the individuals in the order of
performance forming Q (k).
The task of the process described in this section is to
select a scheme with the best anti-disturbance Step 3: If Q
(k )
− Q ( k −1) < ε , then go to Step 4;
performance from the individuals in the buffer. otherwise, k=k+1, n (k) =n (k-1) +n (0), return to Step 2.
Therefore, evaluation of the anti-disturbance (k )
performance is the key work. Step 4: Select the first individual in Q as the
A Monte-Carlo based approach is used to evaluate optimal scheme with the best anti-disturbance
the robust scheme, in which, both the branch performance.
resistances and the disturbance are set randomly for
each sample. 5. An example
As for the i-th branch, the averaged absolute relative
error under the disturbance of ±τ% in the test is The grounding grid with sixty branches shown in
1 K Rˆ i ( k ) − R ( k ) Fig.2 is used as an example. The number beside each
μi ( ±τ %) = ∑
K k =1 R (k )
i
(4) node is the sequence number of it.
i With the GA based approach described in section
Where, Rˆi ( k ) and Ri ( k ) are the evaluated IV, we may obtain the ten final individuals of test pole
allocation scheme, which are put into the buffer and
resistance and the exact resistance of the k-th sample listed in Table 1. In each scheme, twenty-one
of the i-th branch. K is the number of samples. touchable nodes are needed.
The averaged absolute relative error of the 1 2 3 4 5 6
grounding grid is
B
1
∑
8 9 10 11
μ ( ±τ % ) = μ i ( ±τ % ) (5) 7 12
B i =1 14 15 16 17
13 18
The evaluated variance of μi (±τ %) is
20 21 22 23
B 19 24
1
σˆ (±τ %) = ∑ [ μ (±τ %) − μ (±τ %)]
2 2
(6) 26 27 28 29
B − 1 k =1
i
25 30
The approach of homogeneity test for variance, i.e.,
the F test, is introduced to compare the performance. 31 32 33 34 35 36
As for two schemes of A and B, the comparison is
Fig.2 An example grounding grid
based on the following principles.
If σˆ A2 σˆB2 > Fα (nA −1, nB − 2) , then σ A2 > σ B2 (7) Table 1 Ten individuals of test pole allocation
Groups Test poles allocation
i.e., scheme B is better than scheme A.
If σˆB2 σˆ A2 > Fα (nB −1, nA − 2) , then σ B2 > σ A2 (8)
1 1,2,3,5,6,9,10,11,14,17,19,22,24,25,26,27,28,29,30,31,36
2 1,3,4,5,6,7,11,12,15,16,18,19,20,22,24,25,28,29,30,31,36
i.e., scheme A is better than scheme B.
3 1,3,4,6,7,11,12,13,15,16,18,19,20,22,24,25,28,29,30,31,36
If σˆA2 σˆB2 ≤ Fα (nA −1, nB −2) and 4 1,3,4,6,7,10,12,14,17,18,19,20,22,24,25,26,27,28,30,31,36
σˆB2 σˆA2 ≤ Fα (nB −1, nA −2) , then σ B2 ≈ σ A2 (9) 5 1,3,5,6,7,10,11,13,15,16,17,18,19,21,24,26,30,31,32,33,36
6 1,2,5,6,8,11,12,13,16,19,20,21,22,23,24,26,30,31,32,33,36

104
 7 1,3,6,7,10,12,14,16,17,18,20,21,25,26,28,29,31,32,34,35,36
8 1,3,5,6,7,8,16,18,19,21,22,23,24,25,26,29,31,33,34,35,36
9 1,3,4,5,6,7,10,13,16,18,21,24,25,26,28,29,31,32,33,35,36
10 1,2,3,4,5,6,13,14,16,18,21,24,25,26,28,29,31,32,33,35,36
Results of robust evaluation of the ten feasible test
pole allocation schemes under the disturbance of ±5%
are showed in the test. When the sample number
reaches fifty, the queue of the individuals is
convergent. According to the comparison results, the
fourth scheme of test pole allocation is the optimal
since it is the least sensitive to the disturbance in the
test. The optimal scheme of test pole allocation is
shown in Fig.2, in which, the touchable nodes are
indicated by solid spots.
Experiments are made on the grounding grid with
the fourth scheme. The resistances of the labeled
branches are shown in Table 2. The resistances of
other branches are all 0.1ohm.
Table 2 Resistance of abnormal branches
Type of Branch / // /// Ο ×
Resistance (ohm.) 0.19 0.36 0.47 0.57 0.78 1.35
conductor[J].IEEE Trans. Power Delivery, 1986, 1(1):112-
119.
[2] Zhang Bo, Zhao Zhibin, Cui Xiang, et al. Diagnosis of
breaks in substation’s grounding grid by using the
Electromagnetic method[J]. IEEE trans. Magnetics, 2002,
38(2):473-476.
[3] Hu Jun, Zhang Rong, He Jinliang, et al. “Novel method
of corrosion diagnosis for grounding grid” [C] ,in proc. of
the 2000 International Conference on Power System
Technology, pp.1365-1370.
[4] Zhang Xiaoling, Huang Qingyang, “Fault diagnosis of
grounding grid of electric power plants and substations” [J],
Proceedings of the EPSA, vol.14,pp.48-51,Jan.2002, in
Chinese.
[5] Xiao Xinhua, Liu Hua, Chen Xianlu, et al. “Analysis of
theory and method about the corrosion as well as the broken
point of the grounding grid” [J]. Journal of Chongqing
University, Vol. 24, pp.72-75, Mar. 2001, in Chinese.
[6] Zhang Xiaoling, Chen Xianlu, “The technique of the
optimization applied in the grounding grid’s failure
diagnosis”[J], High Voltage Engineering, Vol.26,pp.64-66,
Apr. 2000, in Chinese.
[7] Liu Jian, Wang Jianxin, Wang Sen. “An improved
algorithm of corrosion diagnosis for grounding grid & its
evaluation” [J]. Proceedings of the CSEE, 2005, 25 (3):71-
77, in Chinese.

The test is carried out based on the complete

measurement. The diagnosis results show that all of
the branches are clear. The averaged relative error of
all branches is 1.48%. The maximum relative error of
branches is 2.39%. Thus the proposed approach is
proved to be feasible.

6. Conclusions
The iteration approach based on rules and the
hierarchical model is feasible to evaluate the testability
of the branches of a grounding grid.
The proposed genetic algorithm based approach
using the testability evaluation is feasible. The
suggested initial population generation and the
modified crossover and mutation operation can avoid
of the unfeasible solutions and thus improve the
efficiency.
The feasible allocation of test poles is the scheme to
guarantee all of the branches clear with the minimum
number of test poles.
The optimal allocation of test poles is the most
robust scheme in the feasible schemes, which is the
least sensitive to the disturbance in the test
information.

7. References
[1] Dawalibi F P. Electromagnetic fields generated by
overhead and buried short conductors Part 2 — Ground

105
 2008 International Conference on Intelligent Computation Technology and Automation
Optimal Reactive Power Planning Based on Simulated Annealing Particle
Swarm Algorithm Considering Static Voltage Stability
Mao Yingni, Li Maojun
School of Electrical & Information Engineering, Changsha University of Science and
Technology
E-mail: maoyingni1019@163.com
Abstract
Introducing voltage stability into optimal reactive
power planning, and a mathematical model of
multi-objective optimal planning for reactive power is
established, in which the network loss, investment of
reactive compensation equipment, voltage level and
static voltage stability margin are considered. In this
paper, firstly singular value decomposition method is
applied to identify weak bus as candidate nodes for
installing new reactive compensation equipment; then
the optimal nodes and capacity of reactive power
compensation are obtained by solving the model with
fuzzy method and simulated annealing particle swarm
optimization(SA-PSO) algorithm. The proposed method
has significant improvement in decreasing network loss,
improving voltage stability and voltage quality of the
whole power system, which is proved by the simulation
results of IEEE 14-node system.
1. Introduction
Optimal reactive power planning is an important
measurement in power system, which can keep reactive
power balance and ensure power system operates
security and stability. Voltage stability is closely related
to reactive power distribution, so introducing voltage
stability into optimal reactive power planning is
beneficial to improve the distribution of reactive power
flow as well as the static voltage stability of power
system.
Mathematically, reactive power optimization is an
optimal problem of multi-objective, because it is
necessary to consider many factors simultaneously,
such as network loss, voltage level, voltage stability
and so on. Optimal reactive power planning includes
the choice of reactive-load compensation nodes, the
establishment and solution of mathematical model. In
order to select candidate installation locations of
978-0-7695-3357-5/08 $25.00 © 2008 IEEE 106
DOI 10.1109/ICICTA.2008.427
reactive compensation equipment, some methods are
proposed, such as voltage stability sensitivity in [1],
eigenvalue structure analysis in [2], modal analysis or
voltage stability margin index based in [3] and [4].
With the development of optimal algorithm, lots of
them are applied to solve the reactive power optimization
problem, such as genetic algorithm in [5], simulated
annealing algorithm in [6], and particle swarm
optimization algorithm in [7]. However, the performance
of the single intelligent algorithm is often restricted with
the improvement of network. So, it is an effective way to
structure rationally new algorithms for improving
optimal performance by learning from each algorithm.
In this paper, the solution of reactive power
optimization problem takes the following three steps:
firstly, singular value decomposition method is applied
to identify weak bus as candidate nodes for installing
new reactive compensation equipment. This method
not only considered to voltage stability and decreased
network loss, but also reduced iteration time; then, the
multi-objective problem converted to a single one by
using fuzzy method; lastly, the single objective
problem is optimized with SA-PSO algorithm which is
combined the advantages of simulated annealing and
particle swarm optimization. This proposed method has
significant improvement in decreasing network loss,
improving voltage stability and voltage quality of the
whole power system, which is proved by the simulation
results of IEEE 14-node system.
2. Candidate Nodes Selection
Static voltage stability margin is established in [8]
based on the singularity of power flow equation
Jacobian matrix ( J r ), and the basic thread is
decompose J r by singular value decomposition
techniques. It can be expressed as follows:
J r = V ∑U (1)
where ∑ = diag (δ , δ 1 2 ,⋅ ⋅ ⋅, δ m ) and δ1 , δ 2 ,⋅ ⋅ ⋅, δ m derivative, the sensitivity of voltage stability
margin δ m in with respect to control variable Y can be
are singular values of J r , and δ1 ≥δ2 ≥⋅⋅⋅ ≥δm =δmin
deduced as follows:
( δ min is the minimum singular value). The column ∂δ min ∂δ min
( )
T

vector of V is the left singular vector of Jacobian = − J r−1 (8)

∂Y ∂X
matrix; the column vector of U is the right singular T
vector of Jacobian matrix. The minimum singular value ∂δ min ⎡ ∂δ min ∂δ min ∂δ ⎤
reflects the state index of the voltage stability at current =⎢ , ,..., min ⎥ (9)
∂Y ⎣ ∂y1 ∂y 2 ∂y m ⎦
operating points. It means that the higher δ min , the T
stronger the static voltage stability threshold is. Under ∂δ min ⎡ ∂δ ∂δ ∂δ ⎤
= ⎢ min , min ,..., min ⎥ (10)
the normal load flow condition, J r is a nonsingular ∂X ⎣ ∂x1 ∂x2 ∂xm ⎦
matrix, and δ m = δ min > 0 ; when the power system is ∂J
v u
up to the limit of static voltage stability, J r is a ∂δ min ∂xi
= , i ∈ m, v = Vmin , u = U min (11)
singular matrix, and δ m = δ min = 0 . ∂yi vT v
Considered the singularity of Jacobian matrix of the In this paper, the sensitivity of voltage stability
power flow equation as the criterion of voltage margin with respect to control variable, which
instability in [9], the power flow equation of power represented as ∂δ min ∂Qi , is sorted in descending
system can be described as follows: order. Those load nodes with higher sensitivity
Y = Jr X (2) coefficient are selected as the candidate installation
where Y is the column vector of control variable; X is locations of reactive compensation equipment.
the column vector of state variable.
Y = [Q1 P1 ⋅ ⋅ ⋅ QN − 2 PN − 2 U N −1 PN −1 ] = [ y1 y2 ⋅ ⋅ ⋅ ym ] ∈ R
2 T T m 3. Mathematical Model of Multi-objective
Reactive Power Optimization
; X = [e1 f1 ⋅ ⋅ ⋅ ei fi ⋅ ⋅ ⋅ eN −1 f N −1 ] = [ x1 x2 ⋅ ⋅ ⋅ xm ] ∈ R .
T T m

Jr ∈ R × R
m m
is a nonsingular matrix, and 3.1. Objective Function
m = 2( N − 1) . Objective function of the mathematical model of
Then improved square-root method is applied to multi-objective optimal planning for reactive power
triangular decomposition of ( J r J r − qE ) , as follows:
T
considers from some aspects listed below: (1) the
minimum active power loss; (2) the minimum
( J r T J r − qE ) = LDLT (3) investment in reactive compensation equipment; (3) the
where L is unit lower triangle matrix and D is a diagonal best voltage level; (4) the maximum static voltage
matrix. Voltage stability margin and the left (right) stability margin.
singular vector can be calculated by iterate with (4). Objective functions are as follows:
⎧ LY ( k ) = Z ( k ) , Z ( 0) = (1,1,.....,1)T min f1 = Ploss ( x, y ) (12)
⎪ T ( k +1) (k ) min f 2 = ∑ f 2 i ( yi ) (13)
⎪ DL W =Y
i∈Ω
⎪ ( k +1 )
/ max (W )
( k +1) ( k +1 )
⎨Z =W (4) ⎧( d i + ci yi ) if yi > 0
⎪ f 2 i ( yi ) = ⎨ (14)
⎪ max (W ) − max (W ) < ε
( k +1) (k)
⎩0 if yi < 0
⎪finish iterative process 2
⎩ Vi − Vi spec
np

min f 3 = ∑ (15)
δ min = ( q + 1/ max W ∗ ) ΔVi max
1/ 2
(5) i =1

min f 4 = −δ min ( x, y ) (16)

U min = Z ∗ (6)
Vmin = J rU min / δ min (7) ⎧ L ( x, y ) = 0
s.t. ⎨ (17)
Based on the basic definition of singular value ⎩G ( x , y ) ≤ 0
decomposition and the rule of the implicit function where x expresses the state variable; y expresses the

107
control variable; Ploss ( x, y ) is active power loss under
the different control variables; yi is the reactive
compensation capacity at bus i; n p is the number of
load bus; V is voltage amplitude of bus i; Vispec is
specified voltage amplitude at bus i, generally
Vispec = 1 ; ΔVi max is the maximum voltage deviation,
and ΔVi max = Vi max − Vi min ; Ω is the set of the buses
of reactive compensation; δ min ( x, y ) is the static
voltage stability L ( x, y ) is equality
margin;
constraint ,which contains active and reactive power flow
balance equations; G ( x, y ) which is inequality constraint
contains: (1) control variables: constraints of the upper
and lower limit of the voltage amplitude values of
generators; constraints of the transformer tap; and
constraints of the numbers of capacitor group; (2) state
variables: constraints of the reactive power service of
generators and constraints of nodal voltage of loads.
3.2. Fuzzy Processing of Objective Functions
Reactive optimization is a multi-objective problem,
and each objective function has different dimension.
We apply subjection function in fuzzy mathematics to
transform objective functions with dimension into
those without dimension. In this paper, the subjection
functions of objective functions f1 , f 2 , f3 and f 4 are
respectively linear functions μ ( f 1
) , μ( f ) , μ( f )
and μ ( f ) . The maximum value
4
fi
min
minimum value f i of each objective function are
estimated under their constraints at first, and target
values shouldn’t exceed defined boundaries. The
subordinate function of the minimum objective
functions should be diminishing,
so μ ( f ) , μ ( f ) μ ( f ) and μ ( f ) are monotony
1 2 3 4
decline functions whose expressions are as follows:
⎧1 fi ≤ fi min
⎪ process of producing new solution, judging optimum
⎪ f −f
μ ( fi ) = ⎨ i max i fi min ≤ fi ≤ fi max
⎪ fi max − fi min
⎪⎩0 fi ≥ fi max
where f i min is the objective function that we want to get;
fi max is that we don’t want to get. Multi-objective
problem has been transformed into single objective by linear
weighted sum through the processing above all.
4
F = max ∑ λi μ ( fi ) (19)
i =1
where λi is the weight coefficient,
4
and ∑λ
i =1
i = 1 , λi ≥ 0 .
4. Solving Multi-objective Optimal Reactive
Power Planning by SA-PSO Algorithm
4.1. SA-PSO algorithm
SA-PSO algorithm has implemented efficient
optimal searching through the feedback and memory
mechanism. Because this algorithm imitates activities
of biotic community, it is suitable to parallel computing.
In addition, it has rapid convergent property and ability
of global optimization to solve large scale
mathematical optimization problems. However, it still
exists some problems in the algorithm in [10]: firstly,
particles moved to the optimum solution according to
searching experiences of all the particles and
themselves, so in the field of greater inertia factors,
particles may lack of fine search to optimum solution
and would result in lower searching precision; second,
the nearer all the particles approach to the optimum
solution, the slower the speed is when they flight to the
optimum solution. So, when particle swarm tends
reunification, the diversity of solution will lost, and
converges to local optimum easily.
2 3
The basic idea of SA algorithm is randomly
producing another solution in the neighborhood of the
max
and the given initial solution. Based on the Metropolis scheme,
objective functions are allowed to deteriorate in a
limited range. Namely, the better solutions are accepted
unconditionally and the worse solutions are accepted
with probability exp( −ΔF / t ) > rand (0,1) , where
ΔF is the difference value of objective functions
between new and old solutions; t is the anneal
temperature; α is the coefficient of temperature drop;
rand (0,1) is a random number in [0, 1]. Therefore,
the execution process of SA algorithm is an iterative
(18) solution and rejecting inferior solution [11].
SA-PSO algorithm [12] is to judge whether to
accept new particles by SA after the speed and
positions of particles are renewed, so that searching
space is expanded and the global search ability of the
algorithm is also improved. In order to improve
optimal performance of algorithm, self-adaptive
regulation strategy is applied to solve the inertia factors
of particles ω . The formula is showed below.
108
 ω ( k ) = 2 / (1 + eθ k / k max
) (20) calculation sum formula.
Step 9: To each particle, compare its fitness value
θ is positive coefficient for adjusting changing speed; with the best position appeared, if better, set it as the
k max is the upper limit of iteration times; ω 0 is the current best solution pbest , and compare its fitness
upper limit of ω ( k ) ; k is iteration times at present. value with Gbest , if better, reset the value of Gbest .
With the increase of iteration times, the value of ω Step 10: Refresh each particle’s speed and position
decreases gradually, so convergence speed is faster at by formula (21).
the original stage of the computation, and convergence ⎧vi ( k + 1) = ω vi ( k ) + c1rand () ( X pid − X id )
precision is better at the late stage. At last the ⎪⎪
performance of the global convergence ability and ⎨+ c2 rand () ( X gd − X id ) (21)
convergence precision improved. ⎪
⎪⎩ X i ( k + 1) = X i ( k ) + vi ( k + 1)
4.2. Calculating Steps Each particle’s speed and position should be restricted
to the vmax and X max , respectively.
The procedure to implement the optimal planning
for reactive power is described as follow: Step 11: Calculate the variable quantity ΔF of
Step 1: Input original data, including the system’s fitness function values caused by the two different
node, branch information, control parameters and all positions, if ΔF ≤ 0 or exp(−ΔF / t ) > rand (0,1) , accept
kinds of constraint conditions. new solution. Otherwise keep the current particle’s
Step 2: Perform power flow calculation for the position unchanged.
initial network. Analyze J r of convergence power flow Step 12: After receiving the new solution,
equation by using singular value decomposition, then cooling t ← αt , otherwise, set k=k+1. If iteration
calculate minimum singular value δ min according to (4) time k < kmax , return step 8; when k = k max , output the
optimization results, program terminated.
and (5), and obtain sensitivity ∂δ min∂yi by (11), and
sort their values by using the sensitivity ∂δ min ∂yi of 5. Test Results
voltage stability margin with respect to the control
parameter Qi in descending order. The optimal planning method presented in the paper
Step 3: Select m nodes with higher sensitivities has been applied to IEEE 14-node system, which
includes two generators, three regulating transformers.
∂δmin ∂yi as reactive power compensation sites. PV node voltage and balance bus voltage were set
Step 4: Get f i min and f i max according to power flow between 0.95~1.10 p.u.; PQ node voltage was set
calculation in step (2) and get membership objective between 0.95~1.05 p.u.; the range of transformation
functions. ratio of regulating transformer was 0.90~1.10 p.u.; the
Step 5: Select weight coefficient of each objective lower and upper limit of compensation capacity was 0
function, then convert the multi-objective problem to a and 0.6(p.u.) (ten groups compensator; the capacity of
each group is 0.06 p.u.). The given variable constraints
single one.
Step 6: Obtain the population size m and maximum are in Table 1.
iteration times according to the initial original data.
Step 7: If iteration times k=0, m feasible particles’ Table 1 Variable constraints
Types Bus Qmin Qmax Vmin Vmax
positions Xi = (xi1, xi 2 ,..., xiN ) , i = 1,2,..., m , are generated
3 0 40.0 0.95 1.1
randomly by random number generator , each particle’s PV 6 -6.0 24.0 0.95 1.1
initial speed vi = (vi1 , vi 2 ,...viN ) is generated at 8 -6.0 24.0 0.95 1.1
random in certain range, and set each initial particle PQ 2 -40.0 50.0 0.95 1.05
individual’s optimal solution pbest and global optimal
solution Gbest equal to a enough great value. The voltage stability margin δ min = 0.328 is obtained
by power flow calculation. If the basic capacity is
Step 8: Substitute X i into objective function to
100MVA, initial power loss is 0.13551p.u. The higher
calculate each particle’s fitness value, namely get sensitivity of voltage stability margin with respect to
F ( X i ) by using each X i according to power flow control variable (Qi) is shown in Table 2.

109
 Table 2 Voltage stability margin sensitivity with According to table 2, nodes 5, 9, 10 and 14 are
respect to control variable (Qi) selected as the compensation nodes, and then solve the
Qi Q5 Q9 Q10 Q14 optimized planning model by SA-PSO algorithm.
∂δmin ∂Qi 3.35 3.87 2.53 2.15 Calculation results are shown in Table 3.

Table 3 Results comparison with and without compensation

the position and capacity of reactive The number of
static voltage
power /p.u Ploss voltage
stability margin
5 9 10 14 violation
before compensation 0 0 0 0 0.13551 0.328 3
after compensation 0.18 0.18 0.06 0.06 0.12875 0.355 0

Based on table 3, power loss is decreased by 4.99% Reference

obviously from 0.13551 to 0.12875; static voltage
stability margin has been increased by 8.23% from
0.328 to 0.355; voltage quality is also improved.
The optimal results SA-PSO algorithm compared
with PSO algorithm through 100 times operation as
shown in Table 4, the network loss and the average
convergence time of SA-PSO algorithm are better than
the results of PSO algorithm.
Table 4 Compared with PSO algorithm
average
minimum average
algorithm convergence
loss(p.u) loss(p.u)
time /s
PSO 0.12971 0.13320 27.4679
SA-PSO 0.11346 0.12875 26.4326
6. Conclusion
In the paper, SA-PSO algorithm considering static
voltage stability margin is presented, and it is used to
solve the multi-objective optimal reactive power
planning problem of power system. The choice of
nodes to reactive power compensation based on static
voltage stability margin of singular value
decomposition method can improve voltage stability
margin as well as reduce searching space. SA-PSO
algorithm introduces SA self-adaptive inertia into PSO,
which improves the global searching ability of SA
algorithm and converges to the global optimal solution
quickly and reliably. The global convergence
performance and convergence precision of SA-PSO
algorithm compared with that of PSO algorithm have
been improved on a certain degree. The effectiveness
of the proposed approach has been tested through IEEE
14-node system. Results show that the proposed
method has significant improvement in decreasing
network loss, improving voltage stability and voltage
quality of the whole power system.
[1] HU Cai-e, YANG Ren-gang. “Optimal planning for reactive
power with voltage stability,”Relay, 2005, 33(4): 22-25.
[2] Cui Quan-sheng. “A method for VAR optimization
taking voltage stability into account,” Journal of
Guizhou University of Technology, 2004, 33(6):21-25.
[3] Wang Qin, Fang Gefei. “Multi-objective reactive power
optimization considering voltage stability”, Automation of
Electric Power Systems, 1999, 23(3):31-34.
[4] Yao Xiaoyin, Sun Yuanzhang, Wang Zhifang. “Studies
on the optimal allocation of reactive power sources”,
Automation of Electric Power Systems, 1999, 23(3):12-15.
[5] Fang Gefei, Wang Huixiang, Huang Xiaoshuo,”An
improved genetic algorithm for reactive power optimization
“, Proceedings of the CSU-EPSA, 2003, 15 (4): 15-18.
[6] LIU Ke-yan, SHENG Wan-xing, LI Yun-hua. “Research
on reactive power optimization based on improved
genetic simulated annealing algorithm”, Power System
Technology, 2007, 31(3): 13-19.
[7] Kannan S, Slochannal SMR, Subbaraj P, et al,”Application
of particle swarm optimization technique and its variants to
generation expansion planning problem”, Electric Power
Systems Research, 2004, 70 (3): 203- 210.
[8] Feng Zhihong, Liu Qu, Ni Yixin, et al.”Analysis of
Steady-state Voltage Stability in Multimachine power
systems by singular value decomposition method”,
Proceedings of CSEE, 1992, 12 (3):10-19.
[9] V.A. Venikov, V.A.Stroev, V.I.Idelchick, and V.I.Tarasov
“Estimation of electrical power system steady-state
stability in load flow calculations”. IEEE Transactions
on Power Apparatus and Systems, vol PAS-94, no 3, pp
1034-1041, May/June 1975.
[10] ClercM, Kennedy J. “The particle swarm-explosion,
stability, and convergence in a multidimensional
complex space”, IEEE Trans on Evolutionary
Computation, 2002, 6 (1): 58- 73.
[11] Gao Ying, Xie Shengli. “Particle swarm optimization
algorithm based on simulated annealing”, Computer
Engineering and Applications, 2004, 40 (1): 47- 50.
[12] He Jia, Wu Yao-wu, Lou Su-hua, Xiong Xin-yin. “Power
system reactive power optimization based on simulated
annealing particle swarm optimization algorithm”,
Proceedings of the CSU-EPSA, 2007, 19(5):115-116.

110
 2008 International Conference on Intelligent Computation Technology and Automation

Optimum Configuration of Asphalt Pavement Construction Machines Based

on Immune Genetic Algorithm

DU Ronghua
Changsha University of Science and Technology, Changsha, 410076, China
CSDRH@163.COM

Abstract construction machines which is composed of

multi-variety and multi-quantity construction
High-grade asphalt pavement construction, with a machinery. Construction machinery during operation
huge amount of investment and complicated has certain randomness, the configuration in
construction technology, is a dynamic and accordance with experience is not quite reasonable,
collaborative production process completed by with low average utilization rate and large waste of
construction machines. The optimum configuration is a machinery, affects the construction quality and
difficult problem. In this paper, an immune genetic progress, and increases construction cost, thus the
algorithm (IGA) is proposed to solve it. In the optimum configuration of construction machines is a
algorithm design, the improvement of immune difficult problem to resolve in actual construction.
operators ensures the global convergence of the Since genetic algorithm has been proposed by
algorithm, and accelerates the convergence speed; the Holland, as a search and optimization algorithm
introduction of antibody concentration factor simulating life evolutionary mechanism is widely
maintains the diversity of the population; the leading applied in many areas, but the basic genetic algorithm
position of excellent antibody is kept by excellent has slow convergence and premature convergence
[1]
memory cell. The results of contrastive experiments during the late course of evolution . In this paper,
show that this algorithm is superior to other related based on the basic structure of the genetic algorithm
methods both on the quality of solution and on the and operator design, with a diversity of the immune
convergence rate. A new method is presented to system, memory and other features, as well as the
optimize configuration of construction machines for complementary of immune system and evolution
[2]
asphalt Pavement. theory , immune genetic algorithm (IGA, Immune
Genetic Algorithm) is proposed to solve the problem of
1．Introduction optimizing the configuration of construction machines.

High-grade asphalt pavement construction, with a 2．Problem Formula

huge amount of investment and complicated
construction technology, is a dynamic and Asphalt pavement construction technology process
collaborative production process completed by as shown in Figure 1. To ensure the road construction

978-0-7695-3357-5/08 $25.00 © 2008 IEEE 111

DOI 10.1109/ICICTA.2008.246

quality and lower construction cost, the materials
during construction process from purchase of raw
materials, mixture mixing, transportation, paving
compaction are required to maintain continuous; the
mixture temperature meet compaction requirements
before paving, so the construction machines can give
full play to the performance. The construction process
is a dynamic, multi-factor affecting, such as the failure
of construction machine will lead to decrease
productivity, in order to ensure continuous logistics,
which require other links adjusted accordingly;
different overlay requires different mix ratio and
temperature of mixture, which require mixing ratio of
the raw materials and temperature to dynamically
adjust by Mixing Equipment; temperature of mixture
will be dynamically adjusted according
transportation distance(the distance between the pavers
and mixing machine), environmental
temperature, and environmental wind.
Research on the problem of
optimizing the construction machines,
firstly, evaluate the economic
indicators of a variety of mechanical
selection, and then establish optimum
configuration model of construction
[3]
machines . To this end, we assume
that the arrival time interval of the
same type mixers obeys the negative exponential
distribution of the same parameters, loading time obeys
the normal distribution of the same parameters. In
addition, the vehicles running, waiting for unloading,
and discharging processes are subject to the negative
exponential distribution.
2.1Economic Evaluation Model
Establishing economic evaluation model is an
important part of selection of construction machinery.
There may be a variety of mechanical selection scheme
to meet the construction conditions, which is more
economical and reasonable, we need evaluate, and then
choose the optimal. Economic evaluation model of
[3]
Selection is usually the least cost method . Its
mathematical model is expressed as:
and
Pj ( A P , i, n j ) + D j − L j ( A F , i, n j )
min Kj = (1)
Sj
Where:
K j —Unit cost of machine j , j=1, 2… m；
Pj —disposable investment of machine j ；
(A P , i, n ) —funds restoration coefficient；
j
i —Interest rate；
n j —Serve life of machine j ；
D j —annual cost of machine j ；
L j —residual value of machine j ；
(A F , i, n ) —funds debt -paying coefficient；
j
S j —Annual output of machine j .
to 2.2 Optimum Configuration Model
On the same project, the system will have a variety
Mixing
Transpor Pavers
station
Mixers waiting Mixers waiting
for load for unload
Fig1 Asphalt Pavement construction technology process
of mechanical scheme. To get a reasonable economic
scheme, it is necessary to carry out comprehensive
evaluation for a wide range of scheme, then select
optimal. Time and cost objectives are mutually
contradictory objectives, as increase the number of
machinery and equipment will shorten construction
time and increase construction cost. Multi-objective
optimization of Construction period and construction
cost is applied to optimize machinery allocation. Linear
weighting method is usually applied to aggregate
objective function. Y = k1 X 1 + K 2 X 2 + " + K n X n ,
Which K1 , K 2 ,", K n are the weighting coefficients,
the size represent the importance degree of the
objective function in the corresponding model. The
evaluations function is:
112
 n Definition 1: Affinity degree between antigen
T (∑ X i ) − Tmin
C( X ,T ) − Cmin i=1 and antibody k is ：
minY = k1 + k2 (2)
Cmax − Cmin Tmax − Tmin 1 f ( x ) − f min ( x)
Ak = , tk = max k (4)
⎧ k1 > 0, K 2 > 0 1 + tk f ( x) − f ( x k ) + δ
⎪ K1 + k2 = 1
⎪⎪ Where, tk shows combined degree between
s.t ⎨ k1 sin(πt R) (3) antigen and antibody k , f min ( x), f max ( x)
are
⎪ m n
⎪C ( X , T ) = ∑ ai X iT (∑ X i ) minimum and maximum of objective function values,
⎪⎩ j =1 i =1 and δ is a little positive number, so dividend is not
zero.
where：
Definition 2: for a given number N of the
m —kinds of construction machinery；
population, concentration of antibody k is:
ai —one-shift costs of kind i ； N
X i —quantity of kind i ； ∑=
f (i )
T (X ) —construction period function on Ck = i 1
(5)
N
machinery allocation；
Cmax ,Cmin —Maximum and Minimum； ⎧1, A > σ
f (i ) = ⎨ i (6)
Tmax ,Tmin —Maximum and Minimum； ⎩0, Ai ≤ σ
t —optimized operator number； Where, Ck is concentration of antibody k , N is
R —change frequency of weight coefficient. Total number of antibodies, f (i ) is concentration
function of antibody, σ is concentration Threshold
3. Immune Genetic Algorithm Design Value, also is concentration Inhibition radius,
0 < σ ≤ 1.
3.1 Immune Genetic Operator Definition 3: based on affinity degree and
(1) Selection operator based on concentration concentration of antibody, antibody selection
In the evolutionary process, the diversity of probability pk is ：
population will reduce premature phenomena; the ck
Ak 1 −β
similar individual must be excluded, as far as possible pk = α N
+ (1 − α ) e (7)
∑A
N
so that individuals spread to the entire solution space. j
j =1
Algorithm adjust the choice of probability by the
introduction of antibody concentration factor, clone where, α,β are Regulation factor,
high affinity antibodies, and restrain similar antibodies 0 < α , β < 1 , and Ak is affinity degree of antibody,
in the population, which both maintain the diversity of the greater affinity degree , the greater choice
the population, and ensure that the excellent antibody probability; the greater the concentration of antibodies,
to enter the larger the probability of to the next the smaller choice probability, and which retain high
generation [4,5]. affinity antibodies with antigen, and also reduce the
Affinity degree refers match degree between choice of the similar antibodies to ensure population
antibody and antigen. In the evolutionary process of diversity in the evolution of population.
Population, the initial antibody cells will clone while (2) Crossover Operator
encountering antigen, high affinity cells have a stronger The real coding can express a greater scope of the
ability to reproduce, rapidly improve Affinity degree of solution space, which be also used in this algorithm, if
the survive cells. the cross-computing uses linear reorganization, parents

113
can generate slightly larger than in the definition of an 3.3 Steps of IGA
arbitrary point line. To assume two cross-substituting
' Step 1: initialization:
father individual x1 and x 2 , the offspring xi is:
(1)Initialization of parameters, the real coding is
x = x1 + ri ( x2 − x1 )
'
i (8) used for antibodies, coding length is l , and the solution
space is S , the number of evolution k = 0 , set
where, ri ∈ [−0.5,1.5], i = 1,2 .If offspring exceeds
convergence conditions.
the solution space of objective function, The value of
(2)Initialization of the population, according to
the principle of offspring is: if xi' ( j ) > b j ,then
xi' ( j ) = 2b j − xi' ( j ) ； if xi' ( j ) < a j ,then experience of experts in the field, randomly generated
xi ( j ) = 2a j − xi ( j ) .
' ' initial antibody N in the space of objective function,
(3)Mutation Operator integrated to X (0) .
Mutation can increase the diversity of the Step 2: create a good antibody memory pool,
population [5]
. Mutation operator may introduce new calculate affinity degree of each antibody of X (k )
entity, and may resume missing excellent genes after with antigen, and extract the best n1 antibody from
the entire population create a good memory pool X M .
selection and crossover. As x is the father, x ' is the
m
a (i ) Step 3: judgment of Convergence, if meet the
offspring, x ' = x ± 0.5Lλ , λ = ∑ i , a (i ) is the
i =0 2
convergence conditions, then terminate the process of
random probability value between [0, 1]; L is range of evolution, the best antibody is taken out from good
the variables. To ensure that the optimal antibody is not memory pool X M ,which is the best global optimal
destroyed, it is necessary to inhibit the process of solution , if the conditions are not satisfied with
mutation so that the mutation rate and the affinity of convergence, entered Step 4.
the antibody are inversely proportional. As a result, Step 4: Evolution groups, antibodies of X (k )
with the increasing number of iterations, the antibody obtain choice probability in accordance with the choice
with the biggest affinity degree will be gradually from operator; antibodies which choice probability is r
the impact of variation. will be composed of population X s , and after crossover
and mutation of X s , and X ' (k ) will be received.
3.2 Antibody Memory Mechanisms Step 5: Calculate affinity degree, Calculate
antibody’s affinity degree of population X ' (k ) .
Antibody memory mechanisms [6] is an important
Step 6: Update groups, X ' (k ) compare with
feature, when the same antibody constantly learning
X (k ) in accordance with the size of affinity degree,
with antigen, due to memory mechanism, the immune
replace low affinity antibodies of the father population,
system's response speed to the antigen will greatly
generate the next generation antibody X (k + 1) , and
increase, and produce higher affinity antibodies to
update good memory pool.
eliminate the antigen. In order to ensure convergence
Step 7: If k < λ , λ as the greatest number of
algorithm, as well as to avoid the current optimal
evolution, to the steps 3 to judge convergence.
antibody individual to be destroyed by cloned selection,
crossover and mutation, after the completion of
4．Simulation result
generation operations, can retain a certain size of
antibodies. The optimal n antibody will be selected
To verify the effectiveness of the method, the
into memory pool, compared with antibodies of
design of simulation such as: Asphalt paving road area
memory pool, and then replaced with poor adaptability
is 500,000 square meters, distance between asphalt
antibodies, which expect to get the better antibodies [7].
mixing station and the construction site is 4 Km,

114
assuming that asphalt pavers have chosen, and asphalt
mixture delivered by concrete mixing trucks , a number
of manufacturers of a variety of models to choose from.
The objective evaluation function as benchmark of
optimum configuration, with the total time of the
waiting loading of concrete mixing vehicles and the
total time for unloading characterized the utilization of
machinery. Parameter settings: initial population size is
15, to develop an excellent memory for the number
selection antibodies during creating good memory
antibody pool n1 = 8 , the biggest evolution of the
number λ = 100 , concentration threshold σ = 0.5 , and
regulatory factors α , β = 0.5 .
In order to verify the superiority of method, the
optimized scheme will be contrast with other methods,
the results in Table 1, 1, 2 based on the sensitivity
analysis method, 3, 4-based on multi-objective
optimization methods. In mechanical efficiency, period,
value evaluation, scheme 5 are better than other options.
Although the total cost of the scheme 1, 4 are less than
5, but its construction period is relatively longer than 1,
4. In fact, reduce the cost of the extension is expected
to cost. Evaluation results shows scheme 5 balanced
Construction Period and cost, at the same time made
full use of construction machinery. From the analysis,
optimized scheme has been greatly improved than the
other two methods.
5．Conclusion
By introducing diversity and immune memory
characteristics of biological immune system into the
115
genetic algorithm, the immune genetic algorithm is
applied to optimize configuration of the asphalt
pavement construction machines, which is an attempt
to solve such problems, and provide a method to solve
optimum problem of project management. Preliminary
experimental results show that the algorithm proposed
in this paper has some value, but because such issues
are complex, and the simulation tests simplify a lot of
constraints, such as the paper does not take into
account the asphalt pavers and other machinery of
construction machines, but also failed to deal with the
failure in the course of construction, the algorithm need
further study and improve.
Acknowledgement
This work is supported by the Hunan Nature
Science Foundation No. 07JJ5068, and the Hunan
Education Department Foundation No.07B003.
Reference
[1] YANG Qiwen, JIANG Jingping, ZHANG Guohong.
Improving optimization speed for genetic algorithms
[J].Journal of Software, 2001, 12(2):270-275.
[2] Leandro Nunes de Castro, Jon Timmis. An Introduction to
Artificial Immune Systems: A New Computational
Intelligence Paradigm [M]. Springer-Verlag, 2002
[3] Zhen L S.Optimum Configuration of Construction
Machines for Highway Roadbed [J].Electro-Mechanical
Engineering, 2000, (4):35-37
[4] Xue Wen-tao. A Genetic algorithm based on immune
learning mechanism and its application [J]. Information and
Control, 2008, 37(1):9～17 (in Chinese)
[5] JIAO L C, WANG L. A novel genetic algorithm based on
immunity [J].IEEE Trans Systems, Man and Cybernetics,
2000, 30(5):552-561.
[6]Hartmann S. A self-adapting genetic algorithm for project
scheduling under resource constraints [J].Naval Research
Logistics, 2002, 49:433-448.
 2008 International Conference on Intelligent Computation Technology and Automation
Optimum Design of Network Structures Based on Hybrid Intelligence of
Genetic - ant Colonies Algorithm
Fengli Huang1,2 Jinghong Xu2 Jinmei Gu2 Yongjian Lou2
1. School of Mechanical and Electrical Engineering, Tongji University, Shanghai, China
2. School of Mechanical and Electrical Engineering, Jiaxing University, Jiaxing, China
windon416@163.com
Abstract
The problem of maximum multi-reliabilities is
studied aiming to the network structures. Firstly, the
optimum model of network structures based on random
and fuzzy chances constrained is given. The solution
strategy of genetic-ant colonies algorithm with
stochastic simulation and fuzzy simulated is studied,
and the detailed steps of hybrid intelligence are given
based on stochastic simulation and fuzzy simulation. At
last, an instance is given, multi-objects model with
chance constrained programming is provided, the
model is solved by genetic-anti colonies algorithm. The
feasibility of hybrid intelligence of genetic algorithm
and ant colonies with stochastic simulation and fuzzy
simulated is verified by the result of calculation.
1. Introduction
The optimum design of network structures is how to
arrange network under the certain constraint and the
number of network terminal nodes, the information
matrix of network given, aiming at the best
performance network. This kind of problem has two
types of model method, one is minimizing expense
under the control of reliability, and the other is
maximizing reliability under the control of expense.
The problem of maximizing reliability is only
considered in this paper. A large network is usually
composed of central network and many LAN in
practice, decision makers have to consider the
optimization problem of network structure with multi-
objectives [1].
Major literature focuses on the approach to solving
the optimization problem of multi-objects, genetic
algorithms is an effective way to solving it. There are
many frequent genetic algorithms, such as VEGA
(Vector Evaluated Genetic Algorithm ), dictionary
orders, weighted method, Pareto genetic algorithms,
978-0-7695-3357-5/08 $25.00 © 2008 IEEE
DOI 10.1109/ICICTA.2008.205
Pareto solution with filter, AGA(Adaptive Genetic
Algorithm) and so on [2]. The research of solving
algorithms is always the hot issues in the optimization
problem of network structure. Researchers designed
many heuristic approaches to solve it. Painton [3],
Campbell and Dengiz [4] make use of genetic
algorithms to optimize the reliability of the network
system, nevertheless Kumar make use of it to solve
various questions of expanding networks [5].
2. Model of the optimization problem of
network structures
A network represented by G = (V ,ε , P) , V and
ε indicate terminal and connective net respectively, P
is the reliability net corresponding ε . If there are n
nodes, the following network structure can be indicated
by connecting ε :
x = {x ij : 1 ≤ i ≤ n − 1, i + 1 ≤ j ≤ n} (1)
xij ∈{0,1} , xij = 1 show that connection (i, j ) is
selected, otherwise xij = 0 .
Suppose that terminal is completely reliable, and it
is independent whether or not the node connection
invalidate, and the invalidate probability is known,
then it is a random event whether all terminals in K (n
sub-class of V) connect successfully. The probability
of this event is called K -terminal probability, denotes
as R ( K , x) , x represent network structures. Therefore,
the reliability of K terminal is:
R ( K , x) = Pr { G is K - connected relative to
network structure x } (2)
When K ≡ V , K terminal reliability - R ( K , x) is
network reliability [6].
Besides, for every candidate network architecture x ,
n −1 n
∑∑ c
total cost is equal to ， cij shows cost of
ij x ij
i =1 j =1
connecting (i, j),i = 1,2,", n −1, j = i +1,i + 2,", n .
116
 If willing to maximize multi-reliability objects under xij = y(2n−i )(i −1) / 2+ j −i , 1 ≤ i ≤ n −1, i +1 ≤ j ≤ n (5)
the control of expense, then When initializing chromosome, select randomly
⎧ yi，i =1,2,", n(n −1) / 2 in [0, 1]. If chromosome
⎪ max R ( K , x ) k = 1, 2, " , m
⎪⎪ k
V = (y1, y2 ,", yn(n−1) / 2 ) is feasible by inspecting, it will
(3)
⎨ s.t.
⎪ n −1 n
be served as an initialization chromosome, else, repeat
⎪
⎪⎩
∑ ∑ c ij x ij ≤ C
i =1 j = i +1
the process until a feasible chromosome is gained.
Crossover operation of genetic algorithms is as
K k is the sub-set of G ， R ( K k , x) is the follows:
reliability of network set, k = 1,2, " , m ， C is total V1 = ( y1(1) , y 2(1) , ", y n(1()n−1) / 2 ) , V 2 = ( y 1( 2 ) , y 2( 2 ) , " , y n( 2( n) −1) / 2 ) .
cost. Creating two crossover position n1 and n2 randomly,
Especially, when the connect cost cij is a fuzzy n1 < n2 . If changing gene of V1 and V2 between
variable, confidence level α ∈ (0,1] is given. The position n1 and n 2 , we can gain two subsequent
model with random and fuzzy chances constraint can generations as follows:
be described as: V1′ = ( y1(1) ,", y n(11)−1 , y n(12) ,", y n( 22 ) , y n(12)+1 , ", y n(1()n−1) / 2 ),
⎧
⎪max R ( K , x) V2′ = ( y1( 2) ,", yn(12−)1 , y n(11) ,", yn(12) , y n( 22 +) 1 ,", y n( 2( n) −1) / 2 ) .
⎪⎪ k k = 1,2, " , m
(4) In order to make crossover operation for
⎨s.t. chromosome V = ( y1 , y 2 ," , y n ( n −1) / 2 ) , it need create
⎪ n −1 n ~
⎪ Pos{∑ ∑ c ij x ij ≤ C} ≥ α two mutation position n1 and n2 randomly between 1
⎩⎪ i =1 j = i +1
to n( n − 1) / 2 , n1 < n 2 . Then, a new sequence
{ y n′1 , y ′n1 +1 , " , y n′ 2 } generate in space of primary
3. Solution method of genetic-ant colonies
algorithm sequence { y n1 , y n1 +1 , ", y n2 } . So, a new chromosome
V′ = ( y1 ,", yn1−1 , yn′1 ,", y′n2 , yn2 +1,", yn(n−1) / 2 ) is gained.
3.1. Genetic-ant colonies algorithm
After finishing crossover and mutation, check
constraint, if constraint is infeasible, calculates the
Ant colonies algorithm use distributed parallel
penalty function. Some pheromone is gained through
computer system, and it have strong robustness, but the
genetic iteration, therefore, Initial value of pheromone
outstanding disadvantage is long search time and local
is set as τ s = τ c + τ g , τ c is an information constant
optimum solution [7]. Genetic algorithm has the ability
given by scale of solutions to the problems. τ g is an
of quick global searching, but it does lots of redundant
information quantity converted by solution of genetic
iteration always in some degree of solution, the
algorithms. After genetic iteration is finished,
efficient solution becomes lower because the feedback
switching to ant colonies algorithm. The solution
information isn’t used enough [8].
process as follows:
Amalgamation of genetic algorithm and ant colonies
Making use of ant colonies algorithm to solve model
algorithm is based on the ability of the quick global
(4), we can solve problem by adaptive ant colonies
searching of genetic algorithm and the mechanism of
algorithm based on grid division strategy, its state
positive feedback of ant colonies algorithm. The initial
solution space is shown in Figure1.
distribution of pheromone is gotten by genetic
algorithm, then the preferable solution is gotten using 0 0 … 0 … 0
the mechanism of positive feedback of ant colonies.
Then a kind of genetic algorithms base on stochastic … …
1 1 1 1
simulation and fuzzy simulation was put forward to y n ( n −1) / 2
y1 y2 yj
solve model（4）.
Design variable of model （ 4 ） make use of Figure 1. State solution space
n(n−1)/ 2 dimension vector Y = ( y1, y2 ,", yn(n−1) / 2 ) to The solution strategy is as follows, state
describe candidate network structure, y i =0 or 1, transformation probability of design variables can be
calculated as the following formula.
1≤i ≤n(n−1)/2 。 Therefore, the relationship between
network structure and design variable is:

117
 τ ij
Pij = 2 restraint.
∑τ
i =1
ij
Suppose τ ij is information quantity of j-th design
variable on i-th node, the new equation is:
f
τ ijnew = (1 − ρ )τ ijold +
Q
Q is pheromone intensity, f is value of sufficiency
function, ρ is coefficient of information volatilization.
Ant colonies algorithm often has stagnant and
diffused problems, so, the remained pheromone of
every way searching for the excellent solution is
limited to [τ min， τ max ] . The optimum route is kept
after every cycle, the strategy is the best ant kept
namely. the pheromone threshold is judged by the
following formula:
⎧ τ min， if τ ij (t) ≤ τ min
⎪
τ ij (t + n) = ⎨τ ij (t)， if τ min < τ ij (t) ≤ τ max (8)
⎪τ ， if τ ij (t) > τ max
⎩ max
In order to increases efficiency of ant colonies
algorithm and avoid local excellent state of solution
result, the following adaptive control strategies are
adopted to the value of pheromone volatilization
coefficient ρ ：
⎧0.95ρ (t )， if 0.95ρ (t ) > ρ min
ρ (t + 1) = ⎨
⎩ ρ min， otherwise
3.2. Fuzzy simulation of possible chances
constraint
Fuzzy set theory have made rapid progress, fuzzy
technology extends to almost all fields. The possibility
theory is put forward by Zadeh, and many scholars
play an important role in its development [9]. The
perfect system of research fuzzy is given by Liu, and
axiomatic system of probability theory is formed. And
Liu detailed the fuzzy simulated theory in checking the
fuzzy system constrains, and added steps of calculating
the number of violation constrains. When the given
decision vector X is infeasible, it needs to calculate
penalty function [10,11].
The steps are as follows.
Algorithm 1 (check the possible fuzzy chances
constrained)
Step1: Produce clear vector equably from the level
cut set of the fuzzy vector α .
Step2: If distinct vector substitute constraint is
viable, return ‘feasibility’.
(6) Step3: Else, accumulate the number of per breach
Step4: Step 1 to 3 is repeated N times total.
Step5: Return ‘infeasibility’.
Step6: Calculate penalty function.
(7) 3.3. Stochastic simulation of terminal reliability
When network structure x is given, we can use the
method of random simulated (algorithm 2) to estimate
the reliability of terminal K .
Algorithm 2 (estimate reliability of terminal K)
Step1: Set N ′ = 0 .
Step2: Randomly create a connection integration
′
ε by network structure x of P .
Step3: Check whether figure G ′ = (V , ε ′) is K
connective or not. In fact, A = (a ij ) can show n
nodes of figure G′ =(V,ε′) .If (i, j ) ∈ ε ′ , a ij = 1 ;else,
a ij = 0 . Suppose I is a n unit matrix, t is the smallest
positive integral that satisfies the condition of
2 t ≥ n − 1 .If aij′ is positive value for optional index
i, j ∈ K , ( I + A) 2 , then figure G ′ = (V , ε ′)
t
mark
is K connective, at the same time set N ′ + + ;
Step4: Repeat step 2 and step 3, N times together.
(9)
Step5: R ( K , x) = N ′ / N .
3.4 Compound intelligent algorithm of chances
constrained simulating genetic- ant colonies
algorithm
Integrated stochastic simulation and fuzzy
simulation of intelligent genetic- ant colonies
algorithm is presented, the steps are as follows [12]:
Algorithm 3 (compound intelligent algorithm of
genetic- ant colonies algorithm)
Step1: Initialize parameter. Set t = 0 , Nc = 0 , set
crossover probability Pc , mutation probability Pm ,
iterative algebra N c1max of genetic algorithms, iterative
algebra Nc2max of ant colonies algorithm and pheromone
strength Q, ρ (0), ρ min ,τ min ,τ max τ c ,and so on.
Step2: Cycle index N c1 ← N c1 + 1 .
Step3: Proceed operation of crossover and mutation.
Step4: Check chance constraint and calculate the
value of sufficiency.
118
 Step5: Repeat step 2 to 4 until the given cycle index beginning
is finished.
initialize
Step6: Calculate information quantity τ g and τ s ,
judge τ s according to formula (8). Iterative index N c1 ← N c1 + 1

Step7: N c 2 ← N c 2 + 1 .
Crossover and mutation
Step8: The number of ants k ← k + 1 .
Check chance constraint and
Step 9: Calculate space net point of probability calculate sufficiency value
selection according to state transition probability N
If satisfy termination condition
formula (6), complete all selection of space net point.
Y
Step10: Repeat step 8 and step 9 until all ants finish Calculate information quantit τ g and τs
selection of all space net point.
Step11: Check fuzzy chances constraint according to Iterative index N c 2 ← N c 2 + 1
algorithm (1), when the constraint is inconsistent,
calculate penalty function, and calculate all target Ant k=1
value of ant’s route by making use of algorithm 2.
Step 12: Refresh information quantity of every route Ant k=k+1
making use of formula (7), (8)and (9).
Finish selection of n-stage space net point
Step 13: Repeat step 7 to 12 until the given cycle according to state transition probability formula (6)
index is finished.
N
Step 14: The best ant is optimum solution. k≥Ant total amount m?
Flowchart program of genetic-ant colonies algorithm is
Check chance constraint and
shown in Figure2: calculate sufficiency value

Refresh information quantity of every route

4. Sample research according to formula (7)、（8）、（9）

N
Author names and affiliations are to be centered If satisfy termination condition
beneath the title and printed in Times 12-point, non- Y
boldface type. Multiple authors may be shown in a Output optimum result
two- or three-column format, with their affiliations
end
italicized and centered below their respective names.
Include e-mail addresses if possible. Author Figure 2. Flow chart program of genetic-ant
information should be followed by two 12-point blank colonies algorithm
lines. A full connecting network with 8 nodes is
considered, suppose the reliability of every joint is 0.9, Considering the iteration subset K1 =(2,4,5) , K2 =(1,3,7) ,
fuzzy coefficient of the problem is triangle fuzzy K3 = (1,4,6,8) of nodes, decision makers wish to
number and it is listed as table1.
maximize reliability R(K1,x) , R(K2, x) , R(K3, x) under
Table 1. The cost matrix of full connected network the control of cost 400 and confidence level 0.9, the
N 1 2 3 4 5 6 7 8 model is as follows:
1 - ⎧max[ R ( K 1 , x ), R ( K 2 , x ), R ( K 3 , x )]
2 (25,30,35) - ⎪
⎪ s.t .
3 (40,43,46) (23,26,29) - ⎪ 7 8 (10)
⎨ Pos{
4 (43,45,37) (71,76,85) (35,38,42) -
⎪ ∑∑ c ij x ij ≤ 400} ≥ 0.9
5 (46,50,53) (42,45,48) (15,17,21) (33,35,38) - ⎪ i =1 j = i +1

6 (59,62,66) (23,25,26) (27,30,34) (26,28 ,31) (12,15,17) - ⎪⎩ x ij = 0or1 , ∀i , j

7 (22,25,27) (39,46,49) (27,30,32) (15,16,18) (21,25,29) (32,38,43) - To solve the model (10), the multi-objectives are
8 (13,15,16) (43,45,49) (10,13,15) (16,20,24) (31,37,43) (35,40,45) (31,36,39) - transformed to single objective using the weight-added
coefficient method. Suppose k1, k2 , k3 are 0.4, 0.3, 0.3
respectively. Then the objective function is

119
 R = 0.4R(K1, x) + 0.3R(K2, x) + 0.3R(K3, x) , the
sufficiency function f is defined as follows:
f = R × r ( x) (11)
After checking out constrain of fuzzy system for N
N
ΔB(x) = ∑ Δbi (x)
times, it is still infeasible. Set
i =1
and ΔBmax = N × max(Δbimax ) , i = 1,2, ", N , where
Δbi (x)is violation constrained value when the
checkout constrained condition is t for k-th
chromosome and being i-th fuzzy simulation, Δbi
max
is maximum sum of N times violation constrained
value within current generation constrained. Then the
penalty function can be constructed as:
ΔB (x) (12)
r (x) = 1 −
Δ B max
The strategy of best chromosome and the best ant
kept is adopted in the genetic algorithm and ant
colonies algorithm. The initial parameters of genetic
algorithm are set as following: the scale of population
is 20, the probability of crossover is 0.4, the probability
of mutation is 0.1, the maximum iteration is 100. The
initial parameters of ant colonies algorithm are set as
following: the maximum iteration is 50, the number of
ants is 20, and Q = 1 , ρ (0) = 0.3 , ρ min = 0.1 ,
τ c = 6 , τ min = 2 , τ max = 20 , τ g = 8 f .
Genetic-ant colonies algorithm is programmed by
Matlab7, the optimum values of every generation is
showed in Fig.3.
The
value
of
adapting
The iteration
Figure 3. The best value of every generation
5. Conclusion
The problem of maximum reliability is studied
aiming to the network structures in this paper, the
detailed steps of genetic-ant colonies algorithm with
stochastic simulation and fuzzy simulation are given.
120
The result shows that the performance of the mixed
genetic-ant colonies algorithm is superior to the un-
mixing genetic-ant colonies algorithm. Hybrid particle
swarm and Ants colonies algorithm, hybrid particle
swarm of genetic algorithms and so on can be further
studied during the research of solving arithmetic.
Besides, neural networks can be used to approach
indeterminate function, that is to say, it can greatly
enhance scouting speed and scouting efficiency of
algorithm to study hybrid algorithm of ant colonies and
particle swarm in neural networks.
References
[1] Liu B, Iwamura K, “Topological optimization models for
communication network with multiple reliability goals”,
Computers & Mathematics with Applications, 2000,
vol.39, pp: 59-69.
[2] Zhao Y W, “A new integrated design method based on
fuzzy matter-element optimization”, Journal of Materials
Processing Technology, 2002, Vol.1, No.29, pp.612-618.
[3] Painton L, Campbell J, “Genetic algorithms in
optimization of system reliability”, IEEE Transactions on
Reliability, 1995, Vol. 44, pp.172-178.
[4] Dengiz B, Altiparmak F, and Smith A E, “Efficient
optimization of all-terminal reliable networks using an
evolutionary approach”, IEEE Transactions on
Reliability, 1997, Vol.46, No.1, pp.18-26.
[5] Kumar A, Pathak R M, and Gupta Y P, “A Genetic
algorithm for distributed system topology design”,
Computers and Industrial Engineering, 1995, Vol. 28,
pp.659-670.
[6] Liu Baoding, Zhao ruiqing, Wang gang, “Uncertain
programming with applications”, tsinghua publisher,
Beijing, 2003.
[7] Duan Haibing, Wang Daobo, and Zhu jiaqiang, “The
theory of ant colonies and the applications”, Control and
decision , 2004, Vol.19, No.12, pp.1321-1326, 1340.
[8] Wu Yihu, Li Ning, and Wang Zhengwu, “Application of
ant colony algorithm in vehicle route guide system”,
Systems engineering, 2007, Vol.25, No.2, pp.27-31.
[9] Zadeh L A, “Fuzzy sets as a basis for a theory of
possibility”, Fuzzy Sets and Systems, 1978, Vol.1, pp.3-
28.
[10] Liu B, Iwamura K, “A note on chance constrained
programming with fuzzy coefficients”, Fuzzy Sets and
Systems, 1998, Vol.100, pp.229-233.
[11] Iwamura K, Liu B, “A genetic algorithm for chance
constrained programming”, Journal of Information &
Optimization Science, 1996, Vol.17, No.2, pp.40-47.
[12] Liu B., “Random fuzzy dependent-chance programming
and its hybrid intelligent algorithm”, Information
Sciences, 2002, Vol.141, No.3-4, pp.259-271.
 2008 International Conference on Intelligent Computation Technology and Automation
Particle Filter Based on PSO
Gongyuan Zhang, Yongmei Cheng, Feng Yang, Quan Pan
Northwestern Polytechnical University, Xi’an, 710072, China
E-mail: tongxinyuan_2005@126.com
Abstract
The main challenge in using particle filter (PF) to
nonlinear state estimation problem is the particle
degeneracy. Resampling operation solves degeneracy
to some extent, but it results in the phenomenon of
sample impoverishment. Therefore, it cannot achieve
the satisfactory accuracy generally with certain
number particles by using generic PF algorithm
because of the serious impoverishment problem. Here
we aim for decreasing the impoverishment of samples
set after resampling step.
The principle of PF together with its particle
degeneracy and sample impoverishment problems are
introduced in this paper. Based on the analysis of the
causes of sample impoverishment, particle swarm
optimization (PSO) which is one of the swarm
intelligence algorithms is introduced to PF to
ameliorate the diversity of samples set after
resampling step. Thus a new algorithm which is called
PSO-PF is proposed. From a theoretical analysis, the
PSO operation on particles set can overcome sample
impoverishment problem largely. And finally, a generic
numerical example shows that PSO-PF presents better
than generic PF algorithm regarding to accuracy.
1. Introduction
Particle filter (PF) is a filtering algorithm which is
suitable to handling the state estimation problem of
nonlinear and non-Gaussian system. Besides of the
huge calculated amount and the serious degeneracy
problem, the sample impoverishment after resampling
step is a handicap in applying PF to state estimation.
Researchers have been studying on this issue for
several years. Some improved techniques based on
intelligent optimization approaches were proposed to
solve the problem of sample impoverishment, which
includes Annealing Particle Filter (APF) [2], Genetic
Particle Filter (GPF) [3], Evolutionary Particle Filter
(EPF) [4], and so on. Because each of them is a
method based on individual intelligent approach and
rarely considers the cooperation among the samples,
the lower accuracy and slower convergence rate often
appears in application. In light of the studies done by
978-0-7695-3357-5/08 $25.00 © 2008 IEEE
DOI 10.1109/ICICTA.2008.262
researchers in this area, this paper introduces the
particle swarm optimization (PSO) to PF and a new
algorithm which is called PSO-PF is formed. In the end,
a numerical nonlinear example is given to illustrate the
performances of PSO-PF. The simulation result shows
that PSO-PF is prior to the PF regarding to accuracy.
2. Particle Filter
PF is a Bayes estimation algorithm based on
Monte Carlo method, it performs the posterior
probability density function via a number of weighted
particles. State space model of stochastic dynamic
system can be expressed by the following two density
function: state model p(x k x k −1 ) and observation
model p( y k x k ) . Where x k ∈ R nx and y k ∈ R
ny
are
state and observation vector respectively at time k . We
assume that states follow a first order Markov process
p( x k x k −1 , x k − 2 ,… , x0 ) = p (x k x k −1 ) (1)
and observations independent given the states
p( y k x k , A) = p (y k x k ) (2)
Provided the prior density is p( x0 ) , we need to
construct the posterior probability density function
p( x k Yk ) based on the measurements sequence Yk =
[ y1 , y2, ... yk ] .
Assuming that the importance density function is
q (x k Yk ) , and all particles xik ( i = 1, 2,… , N ) are
drawn from this distribution, that is to say
xik ~ q(x k xik −1 , y k ) (3)
Based on PF theory [5], we have
N
p( x k Yk ) ≈ ∑ wki δ ( xk − xik ) (4)
i =1
where
wki ∝ p(xik Yk ) / q (xik xik −1 , y k ) (5)
If the importance density follows a first order
Markov process and can be expressed in a recursively
form, then formula (5) could be written as follows
121
 wki ∝ wki −1 p (y k xik ) p( xik xik −1 ) / q (xik xik −1 , y k ) (6)
Normalized weights of particles are
N
wki = wki / ∑ wkj
(7)
j =1
Note that (3) ~ (7) are the basis of PF. When one
obtains a measurement at time k , the particles and their
weights can be computed recursively by using above
formulas. Coupled with the resampling step, the
generic PF algorithm is formed. (See reference [1] for
more details)
PF expresses prior distribution by using sparse
sample set, and the probability distribution is exact
when sample set is large enough. However, the number
of samples is often limited in practice. This may result
in the so called particle degeneracy. That is to say,
there is only one particle which has a larger weight
after several iterations, other particles weights nearly
equivalent to zero. The degree of particle degeneracy
can be expressed by the variance of importance
weights or the effective particle number [5].
Commonly, there are two approaches to decrease the
degeneracy phenomenon. One is choosing the better
importance function, and the other is resampling.
Liu [6] proved that the best importance function
is p( xk x0:k −1 , Yk ) , but it is hard to sample from this
distribution. An easy realization is to use p( x k xk −1 )
instead of p( xk x0:k −1 , Yk ) , but this is at the cost of
losing the optimality.
The introduction of resampling step solves
degeneration problem to a certain extent, but it may
result in a loss of diversity among the particles. This
problem, known as sample impoverishment, is severe
especially in the case when process noise in state
dynamics is very small. It leads to the situation where
all particles will collapse to a single point within a few
iterations.
Thus how to keep the diversity of particles after
resampling step is a key point in applying PF
practically. Considering the superiority of intelligent
algorithms in dealing with combination optimization,
this paper keeps the diversity of particles after
resampling step by using PSO algorithm.
3. Particle Swarm Optimization
PSO is a swarm intelligence algorithm which is
based on stochastic optimization technique developed
by Dr. Eberhart and Dr. Kennedy in 1995, inspired by
social behavior of bird flocking or fish schooling [7].
PSO shares many similarities with evolutionary
computation techniques such as Genetic Algorithms
122
(GA), but it does not need crossover and mutation
operations. In PSO, particles fly through the problem
space and search the best position by following the
current optimum particles. The merit of PSO is that it
is easy to implement and there is few parameters to
adjust. Therefore, PSO has been applied to
combination optimization, neural net training, fuzzy
system controlling and many other fields [8].
PSO is initialized with a group of stochastic
particles, and then computes the fitness of each one.
Finally, it can find the best solution in the problem
space via many repeating iterations. In the every
iteration, each particle keeps track of its coordinates
which are associated with the best solution it has
achieved so far (pbest) and the coordinates which are
associated with the best solution achieved by any
particle in the neighbors of the particle (gbest). The
mathematical description is as follows [8].
Supposing that the searching space dimension is
D and the number of particles is N. The position of the
particle i can be expressed as xi = ( xi1 , xi 2 , , xiD ) . Let
pbesti = ( pi1 , pi 2 , , piD ) denotes the best position
which the particle i has achieved so far, and the gbest
is the best of the pbesti for any i=1, 2,…, N. If we
denote v i = (vi1 , vi 2 , , viD ) is the velocity vector of
the particle i, the velocity and position of dth
dimension of particle i at time t+1 is updated by
vid (t + 1) = w × vid (t ) + ϕ1 × r1 × [ pbestid (t ) − xid (t )]
(8)
+ ϕ1 × r2 × [ gbestd (t ) − xid (t )]
xid (t + 1) = xid (t ) + vid (t + 1) (9)
Where 1≤ i ≤ N, 1≤ d ≤ D. ϕ1 , ϕ2 , called acceleration
factors, are constants which have positive values.
r1 , r2 are uniform distribution random numbers on
interval (0, 1). w is inertial factor, and the bigger w is,
the wider range searches. When iteration times greater
than the maximal iteration time T which is set
beforehand, the algorithm should be terminated.
4. Improved particle filter based on PSO
Combined with the generic particle filtering
algorithm and let particles weights in particle filter be
particles fitness values in PSO, the particles set which
is formed after resampling step can be operated by
PSO. On the one hand, this operation could keep the
diversity of particles via multiple random operations.
On the other hand, this process makes the particles
move to the point which has a higher fitness value.
PSO iterations after resampling step of kth recursion of
particle filtering can be broken down as follows.
z Initialized particles velocity v i (0) :
 for i = 1: N , v i (0) ~ N (0, ∑ ) circumstance, not only the new algorithm does not
improve the generic particle filter virtually, but also it
z Initialized particles position xi (0) :
may introduce the additional noise in the estimation
for i = 1: N , xi (0) = xik process artificially.
z Initialized particles fitness values wi (0) : Thirdly, the values of w, ϕ1 , ϕ2 can be variable
adaptively in practical applications. A good choice is
for i = 1: N , wi (0) = wki
to set them as monotone decreasing functions of time t
z Initialized pbesti(t) and gbest(t): (such as annealing strategy in simulated annealing
for i = 1: N , pbesti (0) = xi (0) ; algorithm). This strategy could search in a large-scale
at the initial stages, and position the optimal state in a
gbest (0) = { pbest j (0) wj (0) = max wi (0), i = 1,2, N}
small-scale at the final stages.
z Iteration searching by PSO:
for t = 0 : T − 1 6. Numerical Example
for i = 1: N
Considering a numerical example described as
vi (t + 1) = w × vi (t ) + ϕ1 × r1 × [ pbesti (t ) − xi (t )]
follows (Kitagawa 1987, Gordon, Salmon and Smith
+ϕ 2 × r2 × [ gbest (t ) − xi (t )] 1993, Tanizaki and Mariano 1998).
xi (t + 1) = xi (t ) + v i (t + 1) ⎧ xk = 0.5 xk −1 + 25 xk −1 /[1 + ( xk −1 ) 2 ]
⎪
wi (t + 1) = p (y k xi (t + 1)) ⎨ + 8cos[1.2( k − 1)] + ε k −1
if wi (t + 1) > wi (t ) ⎪
⎩ yk = ( xk ) / 20 + υk
2

then pbesti (t + 1) = xi (t + 1) Where υk ~ N (0,10), ε k ~ N (0,1) , and we assume

gbest (t + 1) = { pbest j (t + 1) w j (t + 1) that x0 ~ N (0,5) .
= max wi (t + 1), i = 1, 2, N } It is clearly that both the process noise and the
measurement noise are additive. So we have
end
end p( yk xk ) = pυ ( yk − ( xk ) 2 / 20)
Note that particles weights after resampling step p( xk xk −1 ) = pε ( xk − (0.5 xk −1 + 25 xk −1 /[1 + ( xk −1 ) 2 ]
are all equal to 1/N, thus the value of gbest(t) at t=0
+ 8cos[1.2(k − 1)]))
can be any one of the particles.
This observation model is bimodal.
5. Principle of Setting the Parameters We let w = w0 exp(1 − t / T ) , ϕ1 = ϕ 2 = ϕ0 exp(1
−t / T ) and use 500 particles in simulation, where
In applications, we should evaluate w , ϕ1 and ϕ2 w0 = 0.2 , ϕ0 = 0.3 and T = 10 .
according to the state model, observation model and The RMSE curves of the estimation with 100 runs
the application scenario because the values of these using PF and PSO-PF are given respectively in figure 1
parameters have relations to the range of searching and figure 2.
space.
Firstly, it should be considered that the RMSE of the estimation using PF
2
observation model is unimodal or multimodal, that is
1.8
to say, the number of corresponding state is one or
1.6
several for single measurement. For a multimodal
1.4
observation model, w, ϕ1 , ϕ2 should be smaller values, 1.2

otherwise many pseudo-states may appear due to the 1

searching range is too large. But for a unimodal 0.8

observation model, these parameters can be chosen 0.6

freely to some extent. 0.4

Secondly, the selection of w, ϕ1 , ϕ2 needs to 0.2

match with the process noise. For a small noise system, 0

0 20 40 60 80 100 120 140 160 180 200

these parameters should be small. Otherwise the

positions of the particles may change drastically and Figure 1. RMSE curve of the estimation with PF
hardly localize at the best position, and under this

123
 2
RMSE of the estimation using PSO-PF nonlinear numerical example is given to show a better
1.8
performance of PSO-PF.
1.6

1.4 Acknowledge
1.2

1 This work is supported by National Nature

0.8 Science Foundation under Grant No.60634030,
0.6 No.60702066, and Space Flight Innovation Foundation
0.4 CASC0214.
0.2

0
0 20 40 60 80 100 120 140
Figure 2. RMSE curve of the estimation with
PSO-PF
The mean accuracy over 200 steps and the time of
100 runs of two algorithms are given in table 1.
Table 1. The mean accuracy and mean running
time of PF and PSO-PF
Mean accuracy Running time (s)
PF 0.5910 6.172
PSO-PF 0.3341 9.228
From above two figures and the table, it can be
seen obviously that the PSO-PF has a smaller RMSE
than PF. However, the running time of the former is
longer than the latter. This is because that an additional
circulation of PSO is involved in PF algorithm. For a
PF frame with fixed number of particles, the
computational amount of PSO-PF is larger than
generic PF algorithm. Therefore, PSO-PF with
adaptive number of particles could be used in practical
applications in order to decrease the calculated amount.
7. Conclusion
In order to deal with the problem of sample
impoverishment, a new improved algorithm of PF
which is called PSO-PF is proposed in this paper. The
impoverishment of samples is overcome via operating
PSO on the particles set after resampling step.
Subsequently, a general principle about the choice of
parameters is given by analyzing. And finally, a
160 180 200
References
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107-113.
[2] Clapp TC. Statistical Methods for the Processing of
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filter and its application. Control Theory &
Applications. 2005. 22(2).
[5] Arulampalam S, Maskell S, Gordon N and T Clapp.
A Tutorial on Particle Filters for On-line
Nonlinear/Non-Gaussian Bayesian Tracking. IEEE
Transactions on Signal Processing, 50(2):174-188,
February 2002.
[6] Liu J S, Chen R. Blind deconvolution via
sequential imputation [J].J of the American Statistical
Association, 1995, 94(2): 590-599.
[7] Kennedy J, Eberhart R C. Particle Swarm
Optimization [A]. Proc. IEEE International Conference
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Piscataway, NJ: IEEE Press, 2001, 81-86.

124
 2008 International Conference on Intelligent Computation Technology and Automation
Path Planning for Deep Sea Mining Robot Based on ACO-PSO Hybrid
Algorithm
Chunxue Shi and Yingyong Bu
Department of Mechanical and Electronical
Engineering
Center South University
Changsha, Hunan Province, China
shi_chunxue@yahoo.com.cn
Abstract
A ACO-PSO hybrid algorithm is proposed in order
to resolve the path planning problem for deep-sea
mining robots. In this study, the environment model was
established by Bitmap method, and robot movement
was simplified into particle movement by using
Framework Space method. Ant colony optimization
(ACO) is used to establish the corresponding solution,
and some material algorithm steps are set out. Particle
swarm optimization (PSO) is applied to optimize the
parameters in ACO, and parameters can be selected
self-adaptively. Results of simulation experiment
demonstrate that this method can satisfy the precision
demand of robots’ mining work in deep sea.
1. Introduction
Path planning technology is the key issues of
autonomous navigation problem for deep-sea mining
robots, and the planning precision directly affects the
efficiency of mining work. Path planning technology
has important practical significance for the efficient
completion of robots’ mining work, reducing energy
consumption and extraction costs.
Path planning technology constitutes by the two core
problems: environment modeling and planning
algorithm. There are many methods of environment
modeling, such as Artificial Potential Field, the Free-
space, Grid, Bitmap [1-3]; and commonly programming
algorithms include FL(Fuzzy Logic), NN(Neural
Networks), GA(Genetic Algorithms), SA(Simulated
Annealing), ACO(Ant Colony Optimization),
PSO(Particle Swarm Optimization )and so on [4-6]. In
this paper Bitmap method was used to establish
environment model and the idea of Framework Space
was applied to "expand" the obstacles, so that robot
movement could be simplified to particle movement in
two-dimensional limited space. Ant colony
978-0-7695-3357-5/08 $25.00 © 2008 IEEE
DOI 10.1109/ICICTA.2008.207
Ziguang Li
Department of Automotive and Mechanical
Engineering
Changsha Science and Technology University
Changsha, Hunan Province, China
optimization (ACO) [7] is a intelligent optimization
algorithm which is subject to the inspiration of ants’
behavior of seeking for food, and is proposed by Italian
scholar Dorigo. Moving ants can release a kind of
pheromone in the passing path, and between the two
locations which ants have passed by, more shorter path
concentrate more stronger pheromone. Because the
shorter path has higher probability to be selected, the
pheromone concentration has been constantly
strengthened. Other ants can sense pheromone
concentration, and thus guide their selection of path:
The path with high pheromone concentration has
greater probability to be chosen. However, the
algorithm is a typical probability algorithm, the
algorithm parameters are usually given by experiments,
that makes the performance of the algorithm relate to
individual experience, difficult achieve optimization.
Particle Swarm Optimization (PSO) [8] is proposed
most early by psychology researcher Dr. Kennedy and
the computation intelligence Researcher Dr. Eberhart in
1995 and is originated from the simulation flock
movement. The system is initialize to be a series of
stochastic solutions, and search optimal value through
iterations. particles in the solution space carry out
search by following the optimal particle. PSO is quite
fast speed to approach optimal solutions, so that it can
optimize the parameter of ACO [9,10]. Therefore ACO
and PSO can combine to a Hybrid Algorithm to solve
the robot path planning problem. Results of simulation
experiment demonstrate that this method can satisfy the
demand of robots’ mining work in deep sea.
2. Environment modeling
In deep-sea environment, deep-sea topographic maps
can be conveniently drawn through ultrasound detection
devices and infrared side-scan devices. In deep-sea two-
dimensional large-scale limited domain for robots
movement(mining areas), the aim of mining work is
125
making robots traverse mining areas without
collisions.The path planning problem is that how to find
a optimal path from the start point to the end point in a
environment model with obstacles, on which the mobile
robots can arrive at the aim point without collisions.
If the radius of the robot is R, in accordance with the
idea of Framework Space, the boundaries of the
obstacles in movement model "Expanded" along their
normal outward direction.
The "Expanded" width Rf is
R f = R + Rs (1)
In the formula, Rf is security redundant value, which
is the minimum width to meet the robots’ demand of
sheering off, evading collision, and orientation.
Fig.1 Sketch map of environment model
As shown in Fig.1, S represents planning start point,
and G represents planning aim point. “b1,b2,b3,b4” are
all “expanded” obstacles. According to Bitmap method,
a number of pixels are in uniform distribution. Robot
could be considered as particles after obstacles
"Expanded", so that its movement could be simplified
in accordance with the laws of particles movement.
The space between pixels is:
Rh = γ R f (2)
In the formula, γ ∈ (0,1). If the length of Rh, which
is close to the size of the grid in the Grid method, is too
large, it will has a negative effect to avoiding obstacles
of robots; else if the length is too small, it will bring
great volume of data, waste of time, and can not meet
the real-time planning requirements.
3. Problem description
In order to standardize the description of the
problem, now the following definitions are listed:
Definition1: It is supposed that PS is two-
dimensional limited space for robots, and pi is one of the
pixels in the space, and P is the set of all pixels,
thus ∀p , has corresponding coordinates in Σ 0 ,such as:
126
pi ( xi , yi ) ; S = {s1 , s2 ,…sk ,…, sM } is the set of
all of the obstacles, and sk ∈ S is one of the obstacles
in S, then M is amount of the obstacles;
O = {o1 , o2 ,…ok , …, oN } is the set of pixels which
are covered by “expended” obstacles, and ok ∈ O is
one of the pixels in O, then N is amount of the covered
pixels.
Definition2: The line segment between two pixels
( pi、 p j ∈ P , i ≠ j ) become one edge in PS, which is
called Lij , and d ( pi , p j ) , as the length of Lij , is
d ( pi , p j ) = (x − x ) +( y − y )
2 2
i j i j (3)
Definition3: τ ij ( t ) is the remained pheromone
amount on Lij at t time; agroup = {1, 2,…k ,…, m}
is the set of all ants in ant group agroup, and
k ∈ agroup is one of the ant in agroup , and m is
the amount of ants.
Definition4: If ∀p ∈ P, p ∉ O , p is called “transit
pixel”, and the set of p is called “transit space” W; The
pixels in O is covered by “expanded” obstacles, where
ants can’t pass, so that O is called “no transit space”;
{ }
Bpi = p p∈P, d ( p, pi ) ≤ 2Rh is called neighbor
space of ant k at pi(as is shown in Fig.1);
tabuk = { p ( 0 ) , p (1) , …, p ( t )} is the set of pixels
where ant k has passed from o time to t time, and
tabuk is called taboo list as it can’t be passed twice;
Wpi = { p p ∈ Bpi , p ∉ tabuk , p ∉O} , is called
“transit space” for ant k at pi , in the other words, when
ant k comes to pi , the pixels in this set can be chosen
next step.
Algorithm process is that m ants in agroup was set
on start point S, then each ant chose next pixel which
could be passed by the strategy of nearest neighbor
choice, and avoided obstacles, at last, moved close to
aim point G
4. Solution process by ACO
There are three core steps of ACO: walk rules, local
updating and overall updating. Focus on these three
steps, material algorithm is described as follows:
Step1：Initialization: The start point S was added to
tabu k ( k = 1, 2, …, m ) , and m ants were placed on S;
With setting τ ij ( 0 ) = τ 0 ( τ 0 is a constant),0 was set to Step4：Iteration process: Ant group proceeded to
search next pixel. when ant k found aim
the iteration counter(NC) for seeking food, and the
iteration maximum was Ncmax. point( g j = G ), a integrity path Lk was gained. The
Step2：Walk rules: Each ant seek next pixel by the u
length of the integrity path( dk = ∑de ) was calculated
k
following rules, then walked between two station
points:
and. When each ant in agroup reached G, each integrity
⎧⎪arg max[τ ij (t )η j (t )]
α β
if (q ≤ q0 ) path of each ant was compared, and the length of the
pj = ⎨ (4) shortest path( L1min ) was noted down. which was
⎪⎩ X else
named d1min .
Step5 ： Overall updating ： When a iteration
τ ijα (t )η βj (t )
p (t ) =
k
(5) finished, the pheromone on L1min needed to update in
∑ τ ijα (t )η βj (t )
ij
speeding up the convergence:
pr ∈Wpi

As to the two formulas above，both have the same

τ ijNc +1 = (1 − ρ2 )τ ijNc + ρ2 Δτ ijNc (8)
condition - p j ∈ Wpi .
In the two formulas:
⎧ Q2
η j (t ) =
E ⎪ if : Lij is on LNc min
d ( p j , G)
(6) Δτ ijNc = ⎨ dNc min
⎪0 else
X is a stochastic variable, which correspond with a ⎩
certain pixel; q is a stochastic numeral from 0 to 1; q0 In the formula above, Q2 is a constant; ρ 2 is
is a critical value set through initialization; η j (t ) is a overall pheromone volatilization coefficient; τ ij is the
Nc

elicitation function rest with formula (6); E、 α、 β pheromone amount on Lij after NO. Nc iteration
k
respectively are right constant; p (t ) represent the
ij finished; LNc min is the best path during NO. Nc
probability for ant k passing from pi to p j at t time.
iteration; d Nc min is the length of LNcmin .
∀k at current pixel pi , moved to the next pixel by Step6 ： Iteration complete: After a iteration
principle of nearest neighbor choice. finished, 1 was added to Nc till the max iteration
Step3:Local updating: After each ant had passed by number. The best path length of each iteration should
an edge, pheromone updated according to formula (7). be compared each others, then noted down and
exported the shortest path( Lmin ) length among them.
τ ij (t + 1) = (1 − ρ1 )τ ij (t ) + ρ1Δτ ijk (7)
5. Parameters training by PSO
⎧ Q1 if : Lij has been passed by ant k
⎪⎪ u In solving Path Planning Problem by ACO, the
Δ τ ijk = ⎨ ∑ d e parameter α and β is determined through experiments
⎪ else and have great impact to the performance of the
⎪⎩ 0 algorithm. α indicates the importance of the remained
In the formula above, Q1 is a constant; ρ1 is local pheromone on each pixel, and β indicates the
pheromone volatilization coefficient; d e is the length importance of heuristic information. The effect of α
of the edge ant k has passed by; u is the amount of and β given to the performance of the algorithm is
edges which ant k has passed by in same iteration. mutual supported and closely related. Choosing
When τ ij (t + 1) ≺ τ min , set τ ij (t + 1) = τ min ( τ min
parameters through experiments only depends on
experience or repeated debugging, in this paper
is a constant). choosing parameters is by the guidance of PSO.
Information sharing mechanism is used in PSO, which

127
has the excellence of its simpleness to achieve and
(a) The results of 10 Iterations later
profound intelligent background. In training the ACO
parameters α and β by PSO, the particles are
expressed as a two-dimensional real-coded strings. The
training steps is as following: It is supposed that n
particles compose of a community, in which the NO.i
particles is expressed as a two-dimensional vector
Xi=(xi1,xi2), i=1,2, … n, in the other words, the NO.i
particle in the search space is located at xi. Therefore the
position of each particle is a potential solution. The
adaptive value can be calculated by adding xi to ACO
through objective function and the solutions are
measured by the magnitude of objective value. The
flying velocity of the NO.i particle is also a two- (b) The optimum result
dimensional vector, recorded as Vi = (vi1 , vi2 ). The Fig.2 Results of first experiment
optimal location for the NO.i particle by that time is Pi
= (pi1 , pi2 ), and the optimal location for particles swarm
is Pg = (pg1 , pg2 ). Operating the particles by the
following formulas:

Vi (k + 1) = wVi (k ) + c1r1 ( Pi − xi (k )) + c2 r2 ( Pg − xi (k )) (9)

xi ( k + 1) = xi ( k ) + Vi ( k + 1) (10)

In the formulas above, w is the inertia weight, and is

non-negative, and linearly varies from 0.9 to 0.4, that
can slow down the movement of the particles, and
prevent the particles move closer to gBest during (a) The results of 10 Iterations later
oscillation. c1 and c2 separately is weight pid of
individual optimal location pbest and weight pgd of swarm
optimal location gbest, commonly c1= c1=2. r1 and r2 is
random number between 0 to 1. The flying velocity
vector weight of iterative particle i vid [-vmax,vmax], and
vmax is a constant. Iteration termination condition is ten
largest iteration number 10 or the optimal location can
meet predetermined minimum adaptation threshold
value.

6. Simulation research
(b) The optimum result
Based on the above analysis, mathematical Fig.3 Results of second experiment
simulation software MATLAB was used to carry on
experiment simulation study: setting m＝20，Ncmax＝ Fig.2 and Fig.3 respectively represent the results of
50， ρ1 ＝0.75， ρ 2 ＝0.55，c1=1.8, c2=0.9. two items of experiments. In Fig.3, G1 and G2 are two
planning aim point, at the same time, G1 is also the
planning start point for G2.
Simulation results indicate that the method used in
this study can reach satisfying precision under the price
of a certain period of time, so that it can apply in robot
mining work in deep sea.

7. Conclusion
In this paper, an ACO-PSO Hybrid Algorithm
Solving Path Planning Problem based on Swarm

128
Intelligence(SI) is proposed. ACO as its positive optimizers,” Proceedings of the International Joint
feedback, parallelism and easy combining whit other Conference on Neural Networks, 2003, pp.1301-1306.
algorithms, is widely applied on lots of filed; Using
PSO is because that ACO greadtly need experience or [10] Y.Prnh, X.Prnh, “Adaptive parameter calibration with
repeated experiments to choose corresponding particle swarm optimization for virtual instrument,”
Proceedings of the International Symposium on Test and
parameters. experience always occupies in a leading
Measurement, 2003, pp.4687-4690.
role. Thus the parameters in ACO can be optimized
through PSO and parameters can be chosen self-
adaptively, so that the optimal performance of ACO can
be effectively enhanced. By simulating experiments
show that the algorithm is correct can satisfy the
precision demand of robots’ mining work in deep sea.

8. Acknowledgment
Financial supports from National Natural Science
Foundation of China(Grant NO.50474052) are highly
appreciated.

9. References
[1] K.Sugibara, J.S.Grnrtic, “Algorithms for adapative motion
planning of an autonomous mobile robots”, Problems IEEE
Trans.SMC, M I T.U S, 1997, pp.138-143.

[2] K.K,Pobil, P.D.Practical, “Motion planning in robotics”,

Current Approaches and Future Directions, John Wiley &
sons Ltd, 1998, pp.1-6.

[3] P.Iniguez, J.Rosell, and E.Cient, “Path planning using

harmonic function computed on a non-regular grid”, M
Tescring Monferrer and F Toledo Lobo Eds,CCIA 2002,LNAI
2504, 2002, pp.345-354.

[4] Z.X.Cai, Z.H.Peng. “Cooperative coevolutionary adaptive

genetic algorithm in path planning of cooperative multimobile
robot systems”, Journal of Intelligent and Robotic Systems,
2002, pp.33(4):61-71.

[5] P.Zavlangas, S.Tzafestas, “Industrial robot navigation and

obstacle avoidance employing fuzzy logic”., Journal of
Intelligent and robotic Systems, 2000, pp.27(1/2):85-97.

[6] M.Martin, R.Frank, and S.Hartmut, “Multi colony ant

algorithms” , Journal of Heuristics, 2002, pp.8:305-320.

[7] M.Dorigo, L.M.Gambardella. “A cooperative learning

approach to the traveling salesman problem”. IEEE
Transactions on Evolutionary Computation, 1997, pp.53-66.

[8] J.Kennedy, R.Eberhart, “Particle swarm optimization,”

Proceedings of the IEEE International Conference on Neural
Networks, 1995, pp.1942-1948.

[9] B.B.Thompson, I.I.Marks, and J.Robert, “Inversion of

neural network underwater acoustic model for estimation of
bottom parameters using modified particle swarm

129
 2008 International Conference on Intelligent Computation Technology and Automation

Region Water Supply System Optimization Based on Binary and Continuous

Ant Colony Algorithms

ZHANG Qin, WANG Xiong-hai

Dept. of Electrical engineering, Zhejiang Univ., Hangzhou 310027, China
E-mail: qiner_618@hotmail.com

Abstract to explore search space and improve convergence

speed. The objective of this paper is to assess the
This paper develops a flow model to minimize efficacy of BACO and CACO for RWSS, and a
energy costs in regional water supply system (RWSS), performance comparison in the RWSS case study is
by using water distribution as decision variable, presented to undertake this assessment.
desired water quality and tank water level as
constraint functions, and the highly nonlinear 2. Region water supply system
optimization model is solved by ant colony
optimization algorithm (ACOA). Two ant colony 2.1 Model description
optimization algorithms with different codes are
presented to modify ACOA, binary (BACO) and For multi-source RWSS, optimization policy is built
continuous (CACO) ant colony optimization, the to satisfy nodal demand for pressure and discharge
former adopts disturbance factor and the latter uses with the lowest total operating costs under a given set
adaptive search steps to avoid premature convergence, of boundary and system constraints to satisfy.
combined with dynamic evaporation factor for both of Mathematically, the objective function can be
them to find the best solution. The differences of expressed in the following way:
performance between them are compared in RWSS T ρwQO Hn,t
case study, and experimental result shows that CACO MIN E = ∑ΔT ∑C n ,t
(1)
is effective as it outperforms BACO. t =1 n∈N Gn,t
Subject to
1. Introduction ⎧ H min n ≤ H n ,t ≤ H max n
⎪Q ≤ QOn ,t ≤ QOmax n
With increasing urbanization and consumer demand, ⎪ Omin n
regional water supply system (RWSS) is becoming a ⎪ H n ,t = H yn ,t
high-cost network associated with pumps and tanks[7]. ⎪⎪Q = Qyn ,t
Within the last decade, many researchers have shifted s.t. ⎨ On ,t (2)
the focus of RWSS optimization from traditional ⎪ H min y ≤ H y ,t ≤ H max y
optimization techniques based on linear and nonlinear ⎪Qmin y ≤ Qy ,t ≤ Qmax y
⎪H
programming[1~2] to the meta-heuristics[3~4] derived
⎪ R min ≤ H Rt ≤ H R max
from nature. Ant colony optimization algorithm ⎪⎩ H RT = H R0
(ACOA), as a meta-heuristic algorithm, has been
where E is total energy cost to be minimized; T is the
widely and successfully applied to many different
number of time intervals which constitute the operating
optimization problems, and the latest study shows that
ACOA is a competitive candidate for RWSS horizon; ρ w is water specific gravity; C is electric rate of
optimization[5~6]. To improve the performance of pump station; QOn ,t , H n ,t and Gn ,t are discharge,
ACOA, two algorithms with different codes are
pressure head and efficiency of pump station n during
presented as binary (BACO) and continuous (CACO)
ant colony optimization. Among them the time period t ; QOmin n and QOmax n , H min n and H max n are
advancements of ACOA decision policy include minimum and maximum allowable flow and pressure for
disturbance factor, evaporation factor and search steps

978-0-7695-3357-5/08 $25.00 © 2008 IEEE 130

DOI 10.1109/ICICTA.2008.125
pump station n ; H yn ,t and Qyn ,t are the head and flow at H l is the pipe loss and H nm is the pressure which
station n to satisfy demand node; H y ,t is demand node demand node m needs from supply node n .
Qc is taken to be proportional to the demand nodal
pressure, H min y and H max y are minimum and maximum
discharge. That is
allowable pressure head at demand node; Qy ,t is demand T N
Qc = ∑ΔT ∑( QOn,t (q) − Qyn,t / Qyn,t )
node flow, Qmin y and Qmax y are minimum and maximum t =1 n

allowable discharge at demand node; H Rt is tank water Converting the constraint of water supply capability of
each pump station to objective:
level, the maximum allowable water level H R max is ⎧ QO − QO
normally the top of the tank, and H R min is above the tank ⎪ min n n ,t
if QOn ,t < QOmin n
⎪ QOmax n − QOmin n
⎪
bottom in order to provide some residual storage for Qs ,t = ⎨0 if QOmin n ≤ QOn ,t ≤ QOmax n
additional demand pressure, H R 0 is the initial level ⎪ Q −Q
⎪ On ,t Omax n
if QOn ,t > QOmax n
and H RT is the final level after time T . ⎪⎩ QOmax n − QOmin n
T

2.2 Model optimization Qs = ∑ΔT ⋅ Qs,t

t =1

In this study, qij flowing from node i to node j is the The proportional to the demand nodal discharge Qy

decision variable. In matrix qt ( p × p ) , p represents has the same form as Qs , and in practice only the flow
constraints need to be considered, as a hydraulic
the number of nodes, qo ,t is the flow row matrix
restriction is clearly automatically satisfied
and qI ,t is the column matrix. In the junction node k , corresponding to the flows.
the discharge flowing in must be vent equally, namely The tank water level constraints in booster pump
p p station can be transformed as:
∑q ik ,t = ∑ qkj ,t . C ( p × p ) is the set of pipes capacities, H Rt = H R ( t −1) + (QR I ,t (q) − QRO ,t (q )) / S ⋅ ΔT
i =1 j =1

and 0 ≤ qij ,t ≤ min(cij , QOmax ) . QO = [QO1 ,", QOn ,", QON ]T is
the set of flows the supply node providing into demand
node. QI = [QI1 ,", QIm ,", QIM ]T is the set of flows
into the demand node. A( p × p ) denotes the flows
direction matrix, aij = 1 means flow discharging from
node i into j , but when aij = 0 there is no water
between nodes. Rearranging A = [ A1 A2 ]T
A = [ A3 A4 ] , A1 = [ A11( p×1) A12 " A1N ]( p× N ) is set
of N supply nodes and A4 = [ A41( p×1) A42 " A4 M ]( p× M )
is the matrix of M demand nodes. Combining the pipe
flow, there are the following formulae:
qon ,t A1n = QOn ,t (q ) (n = 1, 2," , N ) (3)
A4Tm qIm,t = QIm,t (q) (m = ( p +1- M ),", p)
Then formulae (1) and (2) can be optimized by using
formulae (3) and (4). H c is taken to be proportional to
demand nodal pressure. That is
T N
Hc = ∑ΔT ∑( H (q) − Hyn,t / Hyn,t )
t =1 n=1
H (q) = H l + H nm
HRy = HRT (q) − HR0 / HR0
Where S is the tank area, QR I ,t and QRO ,t are the water
volumes flowing into and out from the tank
respectively. The H Rt within the limits can be rewritten
as H R s the same form as Qs .
The unconstrained optimization problem of RWSS
takes the form of minimizing the product of the real
and cost and the penalty cost, that is
MINZ=E⋅(1+Hc)⋅(1+Qc)⋅(1+Qs)⋅(1+Qy)⋅(1+HRs)⋅(1+HRy) (5)
where Z is the network cost , E is the system
energy and the rest are the penalties incurred by qij ,t .
The multi-objective function (5) ensures that all
networks with pressure or flow violation are more
expensive than the maximum feasible network.
(4)
3. Ant colony optimization algorithm
Like most meta-heuristic, the ACOA incrementally
search through the solution space using knowledge
gained from previous solutions to further guide the
search. This is based on an analogy with trails of
pheromone laid on the paths which real ants use for

131
communication. The pheromone trails are a kind of
distributed information modified by ants to reflect their
experience accumulated during the problem solving.
So different pheromone modification, roads transfer
methods and coding can improve optimization effect.
3.1 Binary ant colony optimization
BACO is specially designed for the problems with
binary solution representation. As mentioned
above, qt ( p × p ) is taken as decision variable so the
BACO must code this variable into a binary
string．Each continuous variable qij ,t is represented by
a binary substring of r bits x = { x1 ," , xr } ∈ {0,1} .
The maximum and minimum flows should be
considered in the value scope [0, min(cij , QOmax )] .
Therefore, the coding discrete precisions are expressed
as B = (min(cij , QOmax ) − 0) /(2r − 1) .
In BACO, a number of na ants cooperate together to
search in the binary solution domain. During every
iteration, each ant constructs its solution by walking
sequentially from node 1 to node v on the routing
graph. At each node u , each ant has two choices u 0 or
u1 to walk to the next node u + 1 .
Selecting u0 means xu = 0 ; and
selecting u1 means xu = 1 . The pheromone τ u 0 and
τ u1 cumulated on the paths determine the values of
selecting probabilities:
τ us ( g )
pus ( g ) = u = 1," , r s ∈{0,1}
τ u 0 ( g ) + τ u1 ( g )
Then the bigger pus is more likely to be selected. To
avoid premature resulting from ants gathering in the
same paths, disturbance ϕ is introduced to the selecting
probabilities:
τ us ( g )α ⋅ ϕs ( g )β
pus ( g ) =
τ u0 ( g ) ⋅ ϕ0 ( g )β + τ u1 ( g )α ⋅ ϕ1 ( g )β
α
More iterations corresponds to smaller weight
factor β , at the beginning ants shall explore more
space and find out more solutions, and finally the
effect of disturbance is becoming smaller and smaller,
so the algorithm can converge to the optimal solution.
According to above, an ant moves along one of the
two roads to the next node, and each pheromone on the
roads is adjusted as follows:
⎧τ us ( g ) = ρ ⋅ τ us ( g − 1) + Δτ us ( g )
⎪ (7)
⎨ Δτ us ( g ) = D / Z ( g )
ib
⎪ ρ = e − ( g +1) / G
⎩
Where Δτ us denotes the increment of pheromones from
node u to u + 1 ; Z ib is the best value of model objective
in this iteration; D is positive constant; g is generation
and G is the total iterations. ρ is defined as persistence
of pheromone, to turn to good value sensitively, the
more the iteration, the dynamic ρ is smaller.
3.2 Continuous ant colony optimization
In CACO, there are W colonies and V ants in each
colony, initially ants spread in the search
space [0, min(cij , QOmax )] randomly. Each ant can
deposit a certain amount of pheromone Δτ ijwv on the
r
search space, proportionally to the objective function
value Z sv . The pheromone update rule is the same as
formula (7), but τ us is replaced by τ ijwv , which is the
flow qijwv attraction of ant v in colony w .The pheromone
can be perceived by all the members of the population,
and diffuse into the environment. The ants are moving
towards the high pheromone with small distance
according to the following:
⎧ (τ w ' v )α ⋅ (η ww ' ) β
⎪ ij ij (8)
τ ijw ' v > τ ijwv
⎪⎪ w'v α
Pijww ' ( g ) = ⎨ ∑ (τ ij ) ⋅ (ηij )
ww ' β
⎪
⎪0 τ ijw ' v <τ ijwv
⎪⎩
Here, τ ijwv is the amount of pheromone laid on the spot
and ηijww ' is the inverse of flow distance between
colony w and colony w ' , namely ηijww ' = 1/ (qijwv − qijw ' v ) .
The attraction ability of each spot is determined by its
distance and the amount of pheromone it contains.
It is worth to notice that at this point each ant does
not go directly to the most attractive and nearest spot.
Indeed, each artificial ant has a range parameter that is
normally distributed over the population. Each
(6) artificial ant draws a random distance, under the limit
of range parameter, and then jumps of this length in
the most attractive direction:
⎧ q ( g − 1) + ( −1)
wv
⋅ r ⋅ Rand q≥q
⎡⎢ Rand ⎤⎥
(9)
⎪⎪
ij 1 0
qijwv ( g ) = ⎨ qijwv ( g − 1) + sign(d ijww ' ) ⋅ r2 d ijww ' > r2 ⎪⎫
⎪ w'v ⎬ q < q0
⎩⎪ qij ( g − 1) otherwise ⎪⎭
Here r1 is the maximum value to find feasible good
neighbors, and r2 is the maximum distance to explore
search space towards the excellent objective function.
4. Case study
132
 Fig 1. Framework diagram of RWSS Fig 2. RWSS optimization graph of BACO and
Experiments are performed in the case study CACO
composed of two sources, three demands, one tank and With BACO given in dashed line and CACO in
eleven pipes shown in Fig.1. The maximum hourly beeline, it is not difficult to see that after 150
node demand of the pipe network and the same generations improvement, BACO reaches a point
demand pattern factor of all junctions in 24 hours are where it is unable to find solutions of increasing
shown in Table1. With allowance for depositing water quality and with an increasing number of iterations the
for high building extra pressure, the cylindrical water spread of the solution costs converges to a much
tank area is1153.85m2, and target elevation is 28m, tighter interval. Contrasting this performance to CACO,
allowable pressure head at demand node 1 and 2 is it is observed that after a slightly slower rate CACO is
between 24 and 50 m, and the demand node 3 has the able to find optimal solutions. However, CACO
high pressure as H y 3 = 80m . doesn’t converge to the same extent as BACO, but
continues to generate solutions of a broad quality,
Table 1. the maximum hourly node demand of
indicating that the algorithm is still actively exploring
pipe network and demand factor
the search space even if it locates solutions of
Demand Water Demand Demand extremely high quality. The optimal solutions of
Time Time
node demand(L/s) factor (%) factor (%)
BACO and CACO are presented as bellow.
1 43.80 1 3.01 13 3.65
2 98.80 2 3.01 14 3.58
3 246.60 3 3.00 15 3.62
4 3.01 16 3.55
5 3.02 17 3.53
6 3.15 18 3.62
7 3.70 19 3.67
8 3.60 20 3.62
9 3.67 21 3.47
10 3.65 22 3.42
11 3.68 23 3.16
12 3.68 24 3.00
Fig 3. Source Energy optimization graph
between BACO and CACO
For the algorithms optimization, parameters are set
as follows: population size is 50 and the number of
generations is set at 350, other same ACOA parameters
are α = 5 , β = 3 ,τ 0 = 35 , τ max / τ min = 1.618 , D = 1000 ; given
eleven variables each qijwv represented by a ten-bit
binary sub-string for BACO, the total string length is
110 bits in every colony and every time;
r1 = 0.5 ⋅ r2 for CACO. To illustrate the different
behaviors of BACO and CACO, the network costs for
a sample run are given in Fig.2. Taking calculation
efficiency into consideration, the experiment analysis Fig 4. Booster pump energy optimization
took about 10s under the configuration of a Celeron graph in tank between BACO and CACO
3.46G CPU and 0.99G RAM.

133

Fig 5. Tank level optimization graph between
BACO and CACO
Fig 6. Pressure optimization graph between
BACO and CACO in demand node 3
The calculation is conducted over 24 h using
discrete time intervals of l h. In the condition of
satisfying flow volume demands, the biggest pressure
demand and tank level optimized are shown in fig 3-
fig 6. It is seen that source pump energy of BACO is
more than that of CACO in day time but less in night,
while booster pump energy in tank is opposite, and
tank level changes correspondingly. Between 7.am to
8.pm demand nodes need more water and source pump
optimized by BACO supplies more, but the decreasing
pressure provided by source in addition to increasing
pipes losses results in more pressure differences in the
important demand node than that of CACO. In CACO
by using high source energy to transport much water
cooperating with booster pump during night, tank level
is ascending to deposit water which operates in
daytime. So the demand pressure can be satisfied
greatly and the total energy is less than that of BACO.
5. Conclusions
In view of the costly regional water supply system,
the model of optimal pump energy costs between
source-demand is developed by using water
134
distribution in pipes as decision variables. ACOA is
introduced for solving this model, and improved
methods are proposed as BACO and CACO in several
ways. First, disturbance factor is specially designed in
BACO, so ants can construct better solutions by the
probability of path selection. Second, in order to widen
search space, adaptive search steps is adopted in
CACO. Last, both of BACO and CACO use dynamic
evaporation factor for pheromone updating. The
RWSS case study results reveal that, CACO solve the
problem more effectively than BACO by searching the
solution space more thoroughly
Acknowledge
This research is funded by Zhejiang province
Important Special Item Foundation of China under
Grant Number 2006C11227.
Reference:
[1] P.R. Bhave, V.V. Sonak, “A critical study of the linear
programming gradient method for optimal design of water
supply networks”, Water Resources Research, 1992,1577-
1584.
[2] K.V.K. Varma, S. Narasimhan, and S.M. Bhallamudi,
“Optimal design of water distribution systems using an NLP
method”, Journal of Environmental Engineering, ASCE
1997,381-388.
[3]MingYen Tu, Frank T.C.Tsai, and William W.G.Yeh.
“Optimization of water distribution and water quality by
hybrid genetic algorithm”, Journal of Water Resources
Planning and Management, 2005, 431-440.
[4] Dero J, Siarry P, “Continuous interacting ant colony
algorithm based on dense heterarchy”, Future Generation
Computer Systems, 2004, 841-856.
[5] Aaron C. Zecchin, Angus R. Simpson, et al. “Application
of two ant colony optimization algorithms to water
distribution system optimization”, Mathematical and
Computer Modelling, 2006, 451-468.
[6] Min Kong, Peng Tian, and Yucheng Kao, “A new ant
colony optimization algorithm for the multidimensional
knapsack problem”. Computers and Operations Research,
2008, 2672-83
[7] Yu Ting-chao, Zhang Tu-qiao, and Li Xun, “Optimal
operation of water supply systems with tanks based on
genetic algorithm”. Journal of Zhejiang University (Science) ,
2005, 886-893
 2008 International Conference on Intelligent Computation Technology and Automation
Research on re-use reverse logistics network of disused household
appliances based on genetic algorithm
Wan Fengjiao
School of Transportation，
Wuhan University of technology, 430063
Wuhan, Hubei ,China
E-mail:wfjwhut@163.com
Abstract
With the shortage of resource and deterioration of
environment, sustainable development and the
circular economy have been the theme of the world
today, and the reclaimed and recycle campaign of
disused household appliances have arose the
government and society’s highly attention. On the
basis of summarizing domestic and overseas
research about reverse logistics management, this
paper proposes re-use reverse logistics system model
of disused household appliances and use genetic
algorithm to solve the problem. Finally, the relative
example is given to prove the validity of this model
and genetic algorithm. The paper provides theory
support of optimization of reverse logistics network
for appliance enterprises.
1. Introduction
The household appliances trade is a big pillar
industry of our country. Because of characteristic of
household appliances, it will face a series of
environmental pollution problems at the end of
lifecycle. As the big country which consumes many
household appliances, condition is particularly
serious. In order to protect environment and develop
circular economy, the national development and
reform committee began to set up recycle system of
disused household appliances in 2004.Nowadays, our
country’s household appliances have entered the
peak of discard. For example, the amount of discard
refrigerator reaches 4 millions each year and the
amount of discard television reaches 5 millions each
year, in addition, there are a large number of air
conditioners and computers which need to update.
Thus, it is important to construct re-use reverse
logistics network of disused household appliances
and optimize it.
This paper is organized as follows: we summarize
the related literature in section 2. Section 3 and
section 4 defines the re-use reverse logistics of
disused household appliances and construct
mathematical model. In section 5, we present genetic
978-0-7695-3357-5/08 $25.00 © 2008 IEEE
DOI 10.1109/ICICTA.2008.53
Zhang Qingnian
School of Transportation
Wuhan University of technology,430063
Wuhan, Hubei ,China
E-mail:zqnwhut@163.com
algorithm to solve the model. In section 6, we present
an example to illustrate the efficiency of method, and
the final section highlights general conclusions and
plans for later research.
2. Related literature
Reverse logistics is a fairly new concept in logistics
and supply chain management. At present, many
experts have paid more attention to the research of
the reverse logistics. Stock(1992) [1] defined the
reverse logistics initially. Jayaraman et al（1999）
[2]presented a mixed-integer program to determine
the optimal number and locations of remanufacturing
facilities for electronic equipment. Fleischmann（
2001）[3]presented reverse logistics network model
of the single type and no ability restrain product and
analyzed the remanufacturing of duplicators.
Jayaraman et al(2003) [4] extended their prior work
to solve the two-level hierarchical location problem
involving the reverse logistics operations of
hazardous products. They also developed heuristic
concentration procedures combined with heuristic
expansion components to handle relatively
large-sized problems. Da Qingli(2004) [5] provided
the research survey of the reverse logistics. Ma
Zujun(2005) [6] studied the optimization model of
product reverse logistics. Zhou Gengui(2005)[7]
considered the reverse logistics which demand is
random, then set up a mixed integer plan model and
use genetic algorithm to solve the problem.
As summarized above, a majority of existing
reverse logistics models have, so far, focused on the
environmental aspects of the reverse logistics
network for the single type of used products. The
proposed model in this study will aim to design a
re-use reverse logistics network of disused household
appliances.
3. Problem definition
The re-use reverse logistics network of disused
135
household appliances means that the disused
household appliances can be transported into second 4.2 Model parameters
hand market to sell after examined and simple
treated. So the aim of proposed model is to answer Ai : The recycle quantity in recycle site i , i ∈ I ;
the following questions: where to set up recycle sites,
where to open treatment centers, where to locate Dk : The demand quantity of second hand
second hand market, and how to route disused
market k , k ∈ K ;
household appliances to treatment centers and second
hand market. The model has the objective of Qj : The handling capacity of treatment
minimizing the total reverse logistics cost. Its
network structure sees figure 1.This network center j , j ∈ J ;
structure is simple and has less level. Fj : The investment cost of treatment

recycle site treatment center secondhand market center j , j ∈ J ;

v j : Variation coefficient of unit operation freight in
treatment center j , j ∈ J ;
t ij : The unit transportation cost from recycle site
i to treatment center j , i ∈ I j ∈ J ;
t jk : The unit transportation cost from treatment
center j to second hand market k , j ∈ J k ∈ K ;
σ : Minimum handling ratio of treatment center, its
value is usually no more than 0.4;
θ : Scale coefficient, 0 ≤ θ ≤ 1 ;

Fig.1 Reverse logistics network structure of disused 4.3 Decision variables

household appliances
xij : The disused household appliances quantity
4. Mathematical model transported from recycle site to treatment,
Prior to developing the mixed-integer programming
i∈I j∈J ;
model for re-use reverse logistics network of disused y jk : The product quantity transported from
household appliances, we made the following treatment center to second hand market,
underlying assumptions and simplifications:
(1)Only recycle a kind of disused household
i∈I j∈J ;
appliances; The recycled quantity, handling capacity L j : Circulation volume of disused household
of treatment center, the transportation cost and
appliances in treatment center, j ∈ J ;
variation coefficient of unit operation freight are
known; z j = 1 ， if select treatment center j ； otherwise
(2) All recycled appliances must be transported to
the treatment center, that is not to consider storage; z j = 0, j ∈ J ;
(3) All products which have been handled in the
treatment center must be transported to selling 4.4 Mathematical formulation
market;
(4) The minimum handling ratio of treatment center
is same;
min Z = ∑∑ t ij x ij + ∑ ∑ t jk y jk + ∑ F j z j
i j j k j
(5) Don’t consider the last disposal problem of
+ ∑v j Lj
θ
disused appliances; （1）
(6) Select the treatment center in the potential sites; j
Subject to
4.1 Indices and sets
∑xj
ij = Ai ∀i （2）
I=set of recycling locations {1,2,…,i};
J ＝ set of potential sites for treatment center (1 − σ )∑ xij = ∑ y jk ∀j （3）
i k
{1,2,…,j};
K＝set of second hand market{1，2，…k};

136
 L j = ∑ xij ∀j （4） 5.2 Remove constraint and select fitness
i function
∑y
i
jk = Dk ∀k （5）
The fitness value is a measure of the goodness of a
solution with respect to the original objective
function and the “amount of infeasiblity”.The fitness
∑x ij ≤ Qj ∀j （6） function is formed by adding a penalty to the original
i objective function. After punish non-feasible solution,
xij ≥ 0 ∀i, j （7） we can transform constraint problem into
non-constraint problem. According to the model’s
y jk ≥ 0 ∀j, k （8） constraint, we define:
z j ∈ {0,1} ∀j （9）
ri = Ai − ∑ xij (i = 1,2,...I )
j
The objective function (1) minimizes total reverse
logistics costs comprised of transportation and s j = Q j − ∑ xij ( j = 1,2,...J )
operation cost. Constraint (2) assures all recycled i
appliances must be transported to the treatment t k = Dk − ∑ y jk (k = 1,2,...K )
center; constraint (3) insures that one of disused j
household appliances can be discarded in treatment
center and the other can be sold in the second hand p j = (1 − σ )∑ xij − ∑ y jk ( j = 1,2,...J )
market; constraint (4) insures the balance of input i k
and output products amount in treatment center;
constraint (5) assures all products which have been Then define:
handled in the treatment center must be transported
to second hand market; constraint (6) limits the ri （q＝1，2，3，…I）
handling capacity of treatment center; constraint (7) d q ＝ max{0, ri , s j , t k }(q=I+1,…I+J+K)
(8) and (9) give the value range of decision
variable xij , y jk , z j ; p j (q=I+J+K+1,I+J+K+2,…)

We can obtain penalty function P:

5. Genetic algorithms
Because of the complexity of model, it is difficult to
1+ t I +2J +K
adopt the traditional method to solve this
P( X ) = ∑ d (X )
2
mixed-integer non-linear planning problem. This i
2a i =1
problem is an NP-hard. So we adopt genetic
algorithm to solve the problem. The process is as
Here t: generation number
follows:
a: initial coefficient
Thus the problem can be transformed into
5.1 Encoding non-constraint problem: Eval=Z+P. In this, Z means
objective function, P means penalty function and
The design of a suitable chromosome is the first Eval means evaluation function.
step for a successful GA implementation .In this Suppose F to be fitness function and give a larger
study, according to the characteristic of decision
variable and their correlation, we adopt mixed value C max , thus if eval< C max , F= C max -eval,
paralleling code method to encode. We adopt binary otherwise F=0; so it can insure that the better
strings to encode decision variable z j and adopt individual always has higher fitness value.

float-point to encode decision variable xij , y jk . The 5.3 selection operator

process is illustrated in table 1.
Table 1 mixed paralleling code method The selection operator is an important process that
j 1 2 3 …… directs a GA search toward promising regions in a
0 1 0 …… search space. Two parents are selected from the
zj solutions of a particular generation by selection
xij 000… x12 x 22 x 32 … 000… …… methods that assign reproductive opportunities to
each individual parent in the population. There are a
y jk 000… y 21 y 22 y 23 … 000… …… number of different selection methods, such as
roulette wheel selection, tournament selection, rank
selection, elitism selection, and random selection [8].
In this study, we used a roulette wheel method that

137
selects parents according to the probability
distribution based on the fitness values of the
chromosomes. The better chromosomes have a
greater chance of being selected.
5.4 Crossover operator
The crossover operator generates new children by
combining the information contained in the
chromosomes of the parents so that new
chromosomes will have the best parts of the parents’
chromosomes. There are several types of crossovers,
including single-point crossover, multi-point
crossover, and uniform crossover [8]. In this study,
we applied the single-point crossover. It begins the
random point of two strings. This point is called
tangential point. We combine the point’s left string
of parent 1 with the point’s right string of parent 2
and generate the children 1 and children 2. For
example:
P1:001100:110011 P2：000011：110000
C1：001100：110000 C2：000011：110011
Children 1 and children 2 are different from parent
1 and parent 2, but save some character of parent.
The probability of crossover point selected at random
is called crossover probability. In this study, we adopt
adaptive crossover probability:
π t
Pc ＝ Pc max × cos( × ), ( Pc > Pc min )
2 T
Pc min , ( Pc < Pc min )
here： Pc max : highest crossover probability
Pc min : smallest crossover probability
t: generation number
T: the largest generation number
5.5 Mutation operator
After recombination, some “children” undergo
mutation. Mutation operates by inverting each bit in
the solution with some small probability, usually
from 0% to 10%. In this study, according to above
encoding method’s character, we don’t mutate
decision variable z j (the variable number of z j is
large, and it can insure to generate more individuals).
So we only mutate decision variable xij , y jk . We
apply uniform mutation in this study.
6. Numerical examples
Now, one region needs some second hand computer.
In order to save resource, one company takes charge
of the disused computer’s recycling and re-using.
There are eight recycling site, five potential treatment
center and two second hand market. The concrete
data is shown in tables 2 , 3, 4, 5,6 and 7.

Table 2 the recycle quantity in recycle site（one computer）

Recycle site 1 2 3 4 5 6 7 8
Recycle 20 30 80 40 60 30 20 20
quantity

Table 3 the capacity of treatment center（one computer）

The potential location of treatment 1 2 3 4 5
center
Handling capacity 100 70 120 70 80

Table 4 demand quantity of second hand market（one computer）

Demand site 1 2
Demand quantity 500 200

Table 5 the unit transport cost from recycle site to treatment center（Yuan/one ）
Recycle site Treatment center
1 2 3 4 5
1 20 63 49 78 95
2 17 21 32 64 72
3 28 25 30 51 52
4 40 20 23 49 47
5 70 32 19 30 31
6 66 55 43 20 27
7 74 47 49 25 38
8 66 45 45 33 27

138
 Table 6 the unit transport cost from treatment center to second hand market（Yuan/one）
Treatment center Second hand market
1 2
1 5 25
2 10 13
3 20 7
4 40 15
5 45 17

Table 7 the operation cost and investment cost in treatment center（Yuan）

The potential location of 1 2 3 4 5
treatment center
Operation cost θ θ θ θ θ
200 L1 400 L2 250 L3 300 L4 200 L5
Investment cost 20000 40000 25000 30000 20000

Use above GA procedure to solve the example. The References

parameter values of GA are: population size=300;
Maximum number of generations=150; cloning=20%;
crossover rate=80%; mutation rate=5-30%. The GA
solution procedure was executed on computer. After
executing ten times, the potential location 1, 3 and 4
are selected and their circulation quantity is
respectively 100, 120 and 80. We obtain that the
minimum cost=91085.9Yuan, and the investment
cost of treatment center=75000Yuan, the operation
cost of treatment=16085.9Yuan.
[1] Stock J R, Reverse Logistics [C], Council of Logistics
Management, 1992: pp.128-139.
[2]Jayaraman,V.,Guide Jr., and V.D.R.,Srivastava,R, A
closed-loop logistics model for remanufacturing [J],
Journal of the operational research society, 1999;50,
pp.497-508.
[3]Fleischmann M, Quantitative models for reverse
logistics [M], Berlin:Springer-Verlag, 2001.

7. Conclusions and future research
directions
On the basis of summarizing domestic and overseas
research about reverse logistics management, this
paper proposes re-use reverse logistics system model
of disused household appliances. Because of
complexity of network, we adopt genetic algorithm
to solve the problem. Finally, we give the relative
example to analyze the model and algorithm. The
example proves that we can obtain reasonable route
and the location of treatment center quickly by
applying genetic algorithm to optimize model.
Despite numerous merits described above, the
proposed model and solution procedure point to a
number of directions for future work:
(1) The paper only considers the recycle sites are
known, but in practice, it always is not known. In
future, we can also consider selecting the recycle site
in potential site.
(2) The model can be expanded to include the
element of uncertainty involved in the reverse
logistics network design problem.
(3) The other heuristics methods such as
Lagrangian relaxation and Tabu search are worth
investigating in future studies, and compare them
with genetic algorithm.
[4]Jayaraman. V., Patterson. R. A., Rolland. E, The design
of reverse distribution networks: Models and solution
procedures [J], European Journal of Operational Research,
2003,150(1), pp.128-149.
[5]Da Qingli. Huang Zuqing. Zhang Qin, Current and
Future Studies on Structure of the Reverse Logistics
System:A Review [J], Chinese Journal of Management
sicience ,2004,12(1), pp.131-138.
[6] Ma Zujun. Dai Ying, Optimization Model for Reverse
Logistics Network Design for product recovery [J], Journal
of industrial Engineering and Engineering Management,
2005,19(4), pp.114-117.
[7] Zhou Gengui. Cao Zhenyu, A Genetic Algorithm
Approach to Location-Allocation Problem in Reverse
Logistic Network [J], Chinese Journal of Management
Science, 2005,13(1), pp.42-47.
[8]Gen,M., Cheng,R., Genetic Algorithms and Engineering
Optimizations, Wiley, New York.2000.

139
 2008 International Conference on Intelligent Computation Technology and Automation

Research on Self-adaptive Float Evolution Algorithm Based on DE*

Mingyi Cui
School of Information, Henan University of Finance & Economics, 450002,
Zhengzhou,China
(mycui369@yahoo.com.cn)

Abstract algorithm ， made self adaptive genetic operation,

Since Differential Evolution (DE) proposed by
researchers, it has been being the focus researched in
evolutionary computation. There are better search
performance, stronger robustness and higher
perturbation property in DE. In improving the
performance of algorithm and running quality,
extending evolution algorithm application
engineering optimization, float code is superior to
other codes. In this paper, DE was combined with
float code evolutionary computation, self-adaptive
float evolution algorithms based on differential
evolution (SFEADE) was presented. Through
analyzing and experiment, the result indicated the
algorithm was credible in performance and feasible
in method. It was stronger in practicability.
1.Introduction
In 1995, Rainer Storn and Kenneth Price
presented which heuristic method of differential
evolution (DE) in genetics was used to evolutionary
computation. In the past ten-odd years, research
results about DE were ceaselessly emerged. In 1999,
[2]
Rainer Storn constructed the parallel optimization
program on restriction based on DE. In 2001, Abbass
and Sarker[3] presented the Pareto differential
evolution (PDE) for multi-object optimization and
solved the two standard experiment
problems. In 2002, Abbass[4] created
self-adaptive Pareto differential evolution (SPDE)
*Supported by the Research Programme of Henan Fundamental
and Advanced Technology No.082300410100
improved competitive performance of multi-object
optimization. In 2003, Hui-Yuan Fan and J
[5]
Lampinen used the triangle mutation method as
local search operation to DE algorithm, improved
mutual compensation between convergence and
robustness, enhanced the search speed of the
to algorithm. In 2004, Vesterstrom and Thomsen[6]
compared DE with particle swarm optimization(PSO)
and other evolution algorithms on 34 broad used
matters, considered DE being superior to other
algorithms in performance. In 2005, Rainer Storn[7]
designed a non-standard filter, solved the problem of
minimum in designing filter with minimum
knowledge theory of digit filter. Ronkkonen and
Kukkonen[8] made DE parameter optimization on the
experiment bed of the 25 upgrade functions, verified
high performance feature of DE. In 2007, Zhenyu
Yang[9] presented the DE algorithm for
[1]
high-dimensional function optimization, found the
cooperative evolution structure based on a novel
strategy. In 2008, Swagatam Das[10] made automatic
clustering with an improved DE algorithm, required
no prior knowledge of the data.
The above research results greatly enrich DE
performance research, verified better search
performance and application value of DE. But
because DE comes out about ten-odd years, the more
theory and application problems on DE need to be
the researched. DE used to float code evolution
algorithm is one of the important problems. The
reasons are as follows.
(1) DE is of better search performance, higher
robustness and well fine tuning ability. It shows

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DOI 10.1109/ICICTA.2008.158
clearly better performance in comparing optimization In DE, only offspring individual is superior to
algorithms [6]. parents, main parent is replaced.
(2) Float code is superior to other codes in
Let population size be M ( M > 4) . Individual
improving algorithm performance and running
quality, in evolution algorithm used to engineering is composed of N variables. In i th generation, a
optimization fields [11-13]. resolution l can be represented as multi-dimension
So far, research on DE was in the limitation of
vector X i = ( x1 , x 2 , ", x N ) . The population in
l l l l
comparing and improving the performance of the
algorithm. It did not get along great achievement that k th generation can represented as set
DE was used to float code self-adaptive evolution
Pk = { X k1 , X k2 , ", X kM } . For initial population
algorithm. Because of the above causation, the
keystone of the paper is on self-adaptive float
P0 = { X 01 , X 02 , ", X 0M } , the differential equation
evolution algorithms based on DE (SFEADE). The
influence on SFEADE performance was researched,
of variable j in the solution l is
the feature of SFEADE was probed, the reliability
and feasibility of SFEADE was analyzed and the new
x lj ,0 = lower ( x j ) + rand [0,1]
space was opened up for application of DE.

×(upper ( x j ) − lower ( x j )) (1)

2.DE Model

where l = 1, 2, " , M , j = 1, 2, " , N ,

DE is a new technique of evolution algorithm for
optimization of continuous space. In DE, every
( lower ( x j ), upper ( x j ) ) is the interval of variable
variable value of individual is all represented as real.
This is similar to float code evolution algorithm.
j value of individual l in initial population. Four
Through the differentiation rule of some variable,
every variable value varied in the interval. Three
different integers r1 , r2 , r3 , r4 ∈ [1, M ]
different individuals were randomly selected as
parents. One among them is main parent. According
( r1 ≠ r2 ≠ r3 ≠ r4 ) being randomly selected, every
on the definite probability, at least a variable among
main parent varies . Variation equals to the difference variable value is changed with crossover probability
between other two parents multiplied by a ratio. If CP . Then
the past-variation main parent were superior to the
∀j ≤ N , x′j ,k =
pre-variation, the new main parent should replace the
previous main parent. Else the previous main parent
⎪⎧ x j3, k −1 + F × ( x j1, k −1 − x j2, k −1 ) if (random[0,1) < CR ∧ j = jrand )
r r r

is retained. The difference between DE and simple ⎨ r4

⎪⎩ x j ,k −1 otherwise
evolution algorithm (for example genetic algorithm,
GA) is as follows. (2)
(1) In GA, two individuals are selected as parents.
where parameter F ∈ (0,1) is the perturbation
Offspring is recombination result of parents. In DE,
three individuals are selected as parents. Offspring is
added to main parent, j rand ∈ (1, N ) is variable
a perturbation (fine-tuning) on main parent.
(2) In GA, offspring individuals replace parent randomly selected. If the new individual is better
individuals without taking account of fitness value. than main parent, it replaces the main parent, at least

141
a variable is changed in the individual. After value of individual perturbed in the 0th generation
crossover operation, if one or more variable value in population is calculated with equation (1).
the new individual is outside the interval Step 3: evaluate individuals in the 0th generation
population.
( lower ( x j ), upper ( x j ) ), makes tuning is as
Step 4: k = 1 .
follows.
Step 5: For individual l ∈ [1, M ] , four different
x′j , k =
integers r1 , r2 , r3 , r4 ∈ [1, M ] ( r1 ≠ r2 ≠ r3 ≠ r4 )
⎧ x + lower( x j )
r4

if xrj4,k < lower( x j )

j ,k
⎪
⎪ 2 and j rand ∈ {1,2," , N } are randomly selected.
⎪⎪ xrj4,k − upper( x j )
⎨lower( x j ) + if xrj4,k > upper( x j )
⎪ r 2 Step 5.1: For j ∈ [1, N ] , all variable values
⎪ x j4,k otherwise
⎪ are calculated with equation (2).
⎪⎩
Step 5.2: If one or more variable value in the
(3) new individual is outside the interval
3.SFEADE
( lower ( x j ), upper ( x j ) ), tuning is made with

Obviously, the crossover operation in DE was equation (3).

replaced by the difference operation between two Step 5.3:According to the below equation,
different individual variables. This clearly differs determine whether replace main parent.
from simple evolution algorithm. Moreover, there is
⎧ X′ if f ( X ′) ≤ f ( X kl −1 )
not mutation operation in DE. This easily emerges X kl = ⎨ l (4)
premature convergence, seriously influence on the ⎩ X k −1 otherwise
optimization quality of the algorithm. The premature Step 6: Individual variable is mutated according to
convergence must be restrained by mutation the mutation probability MP with the below
operation of individual code. If no mutation equation.
operation, the convergence result of the algorithm is
x′j ,k = x′j , k + random(0, 0.01)
not reliable. Eiben.A.E[14] already proved which the
convergence of finite population could be uniquely
×(upper ( x j ) − lower ( x j )) (5)
ensured by mutation operation when using float code.
Therefore, DE algorithm needs to be improved for Step 7: Evaluate individuals in the k th
constructing SFEADE. SFEADE constructed is as population.
follows. Step 8: Judge the termination condition, if is not
satisfied, k = k + 1 , go to step 5; else terminate,
Step 1: Input N , M (M > 4), F ∈ (0,1) ,
return the optimization solution.

CR ∈ [0,1] , the 0th generation population and initial

4.Examples
interval ( lower ( x j ), upper ( x j ) )
For verifying the reliability and feasibility of
SFEADE, the two famous GA test function F6 and
( j = 1,2," , N ) are randomly generated.
F7 were used to make comparing experiments on GA
and SFEADE in the paper. The two functions are as
Step 2: For every individual l ∈ [1, M ] , the

142
follows. research on DE is later. In the ten-odd years, the
(1)F6 function (Schaffer1 function) research on DE enriches greatly the result of
evolutionary computation, opens up a new field of
min f ( x) = ( x1 + x2 )
2 2 0.25
evolution computation, offsets the flaw of simple
evolutionary computation. DE exhibits greater
×[sin 2 (50 × ( x12 + x22 )0.1 ) + 1.0] (6)
predominance over evolutionary computation with its
own search performance, robustness and fine-tuning
s.t. xi ∈ [−10,10]
ability. But, the research result of float code
(2) F7 function（Schaffer2 function） evolution computation based on DE is very fewer. In
the paper, we combine the property of DE with the
sin x12 + x22 − 0.5
min f ( x ) = 0.5 + (7) advantage of float code, presents SFEADE as a new
[1 + α × ( x12 + x22 )]2 method. Through programming and repeating
experiments, the result indicates which SFEADE is
s.t. α ∈ {0.001,0.01,0.1,1.0}
credible in performance and feasible in technique.
SFEADE has stronger practicability in engineering
xi ∈ [−10,10]
optimization. It can be considered that the theoretic
For the two functions, the population size is all research and applicable research on DE should
100. The evolution generations are 100. The same achieve more plentiful fruits, through more scholars
sample was used to testing their optimal fitness, the make great efforts.
average fitness and the standard variance (the
deviation norm of the optimal solution gene value) of Table 1. Comparing GA with SFEADE for F6 and F7
the two functions on GA and SFEADE. The function
experiment results are shown in table 1. The running F6
results of the two functions on GA and SFEADE are Optim Best Mean Stddev
shown in figure 1 and figure 2. The experiment al
results indicate: GA 0 0.018329 0.10887 9.7156e-
(1) With the same samples and the same genetic 04
operator, from the viewpoint of the optimal fitness, SFEADE 0 5.17037 0.001214 7.4643e-
the average fitness and the standard variance etc. e-04 04
SFEADE is superior to GA. This illustrates which F7（ α =0.01）
SFEADE is reliable and feasible. GA 0 0.020627 0.026049 4.1789e-
(2) Because of the self adaptability, robustness, 06
fine tuning and search performance of SFEADE, SFEADE 0 2.35366 84936 3.468 e
SFEADE is of higher local search performance than e-04 e-04 -07
GA. This offsets the flaw of lower local search
performance and easy premature convergence of GA.
References
Thus it can consider that SFEADE is a more [1] R. Storn and K. Price. Differential evolution - a simple
excellent float code evolution algorithm. and efficient adaptive scheme for global optimization
over continuous spaces. Technical report, International
5.Conclusions Computer Science Institute, Berkley, 1995.
[2] Rainer Storn. System design by constraint adaptation
Evolutionary computation is all along a research and differential evolution.Evolutionary Computation,
hotspot of computational intelligence fields. But the IEEE Transactions on Volume 3, Issue 1, Apr

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 1999,pp.22-34 Representations Genetic Algorithm. In: Proc. Of 4th Int.
[3] Abbass, H.A.Sarker, R and Newton, C.PDE: a Conf. on Genetic Algorithms, Morgan Kaufmann,
Pareto-frontier differential evolution approach for 1991,pp.31-36
multi-objective optimization problems. Evolutionary [13] Lei De-Ming. The Genetic Algorithm on
Computation. Proceedings of the 2001 Congress on, Multi-Dimension Real Number Code. Control and
Volume 2, May 2001,pp. 971-978 Decision. 2000,15(2),pp.239-241(in Chinese)
[4] Abbass, H.A. The self-adaptive Pareto differential [14] Eiben, .A.E., Arts, E.H., and Van Hee, K.M. Global
evolution algorithm. Evolutionary Computation, CEC Convergence of Genetic Algorithm: an Infinite Markov
'02. Proceedings of the 2002 Congress on, Volume 1, Chain Analysis. In Parallel Solving from Nature(PPSN
May 2002,pp.831-836 1). Schwefel, H. -P., and Männer, R.(eds.), Heidelberg
[5] Hui-Yuan Fan and Jouni Lampinen. A Trigonometric Berlin: Springer-Verlag, 1991,pp.4-12
Mutation Operation to Differential Evolution. Journal of
Global Optimization. Volume 27, Number
1.2003,pp.105-129
[6] Jakob,Vesterstrøm and René,Thomsen. A comparative
study of differential evolution, particle swarm
optimization, and evolutionary algorithms on numerical (a) GA
benchmark problems. Evolutionary Computation, CEC
'2004. Proceedings of the 2004 Congress on, Volume 2,
June 2004,pp.1980-1987
[7] Rainer Storn. Designing nonstandard filters with
differential evolution. Signal Processing Magazine,
IEEE. Volume 22, Issue 1, Jan. 2005,pp. 103-106 (b) SFEADE
[8] Ronkkonen, J. Kukkonen and SPrice, Fig. 1 Evolution running in GA and SFEADE for
K.V.Real-Parameter Optimization with Differential F6 function
Evolution. Evolutionary Computation. The 2005 IEEE
Congress on, Volume 1, Sep. 2005,pp.506-513
[9] Zhenyu Yang, Ke Tang and Xin Yao. Differential
Evolution for High-Dimensional Function Optimization.
2007 IEEE Congress on Evolutionary Computation
(CEC 2007), IEEE, ISBN: (a) GA
1-4244-1340-0/07,pp.3523-3530
[10] Swagatam Das, Ajith Abraham and Senior Member.
Automatic Clustering Using an Improved Differential
Evolution Algorithm. IEEE Transactions on Systems,
Man, and Cybernetics—Part A: Systems and Humans,
VOL. 38, NO. 1,2008,pp.218-237
[11] Michalewicz Z, Krawczyk ,J, Kazemi, M., and (b) SFEADE
Janikow, C. Genetic Algorithms and Optimal Control Fig. 2 Evolution running in GA and SFEADE for
Problem. In: Proc. Of 29th IEEE Conf. on Decision and F7 function
Control, 1990,pp.:1664-1666
[12] Jomikow C Z, Michalewicz Z. An Experimental
Comparison of Binary and Floating Point

144
 2008 International Conference on Intelligent Computation Technology and Automation

The Application of Saving Hybrid Genetic Algorithmon Optimization of

Distribution Routes

He Qichao Yu Wei Liu Wusheng

Changsha University of Science and Technology
marcovens@163.com

Abstract (2) With the shortest distribution distance

(3) With the best distribution service
In studying the distribution routes, the paper first On the premise of meeting clients' need, the shorter
introduces the principle of distribution route the vehicles' traveled distance is, the lower cost the
optimization, and then presents the process and steps distribution has and the more effective it is.
of saving hybrid genetic algorithm solving the
distribution issue, and last realizes the algorithm 3. Saving hybrid genetic algorithm for
raised in this paper by an algorithm example. optimization distribution routes
Compared to the calculated results of other methods, it
proves the superiority of saving hybrid genetic The general description of distribution routes
algorithm. optimization of undercapacity vehicles is: one vehicle
Key words: Logistics Distribution Route Genetic lot with a vehicle capacity q, now the transportation
Algorithm Saving Algorithm tasks L should be fulfilled. The freight volume
g i (i = 1, 2, 3L L ) of the task i is given and the gi q,
to determine the traveling distance of the vehicles with
1. Introduction the lowest cost and also meets the need of goods
transportation.
Distribution is a logistic process that according to In the model are numbered the vehicle lot as 0, and
the clients’ need, the goods of close distance, small
tasks 123…L; Tasks and vehicles are all
batches, and varieties are delivered to clients from the
represented with spot i (i = 0,1, 2L L) ; the variables are
distribution center. The issue of distribution route
optimization is, on the premise of ensuring the goods defined as follows•• •:
to timely reach the clients’ appointed locations, how to yki ={10Thetaskofspot i isfulfilled by vehicle k
Thetaskofspot i isfulfillednot by vehicle k
reduce the trips and total distance as much as
possible•• •. Now the methods to address this issue is
mainly by single algorithms such as saving heuristic
xijk ={10The vehicle k travels from spot i to j
The vehicle k travels not from spot i to j
algorithm (generally known as saving algorithm), Then the mathematic model of vehicle route
genetic algorithm, and tabu search algorithm, etc., optimization gives:
which are more or less with some defects•• •. In this m in z = ∑ ∑ ∑ c x
ij ijk
paper are combined the genetic algorithm and saving i j k
algorithm to form the saving hybrid genetic algorithm ∑ g y ≤ q ∀ k
i ki
in addressing the issue of distribution routes. i
∑ y = 1 i = 1 , 2 ,   O  ∀ k
ki
k
2. Optimization of distribution routes ∑ x = y  j = 0 ,1,   O  ∀ k
ijk kj
i
In optimizing distribution routes, a specific goal is ∑ x =y  i = 0 ,1,  O  ∀ k
ijk ki
supposed to be attained and basic principles should be j
followed. To determine the goals of distribution route X = (x ) ∈ S
ijk
plan can be considered as follows:
x = 0 o r   i , j = 0 ,1,   O  ∀ k
(1) With the highest distribution effectiveness and ijk
lowest distribution cost. y = 0 o r 1 i = 0 , 1 ,   O  ∀ k
ki

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DOI 10.1109/ICICTA.2008.16

In the model, cij is the transportation cost of
from spot i to spot j, i.e. time, distance and cost etc.
Meanwhile, the vehicles’ number and traveling cost
can be accounted for.
While spot i is the vehicle lot, fixed and
operational cost are involved.
coj = c0 + c1d ojj = 1,…, L
While spot i is the task spot, only operational cost
is involved.
cij = c1d iji ≠ 0, j = 0,1, 2,..., L
To settle this model by hybrid genetic algorithm,
that means at the process level to carry out the overall
genetic search and local saving search, which a
two-level serial organization. Among them, the
individual objects of saving operation come from the
genetic evolution results. The solvable populations that
are obtained by saving operations will again be the
population objects of new genetic operation for further
evaluation. This process is interacting repeatedly until
the conditions are satisfied. As basic parameters, the
terminate conditions are input before operating,
including the satisfied value of objective function, a
certain genetic algebra, and that the optimized value no
longer appears because results are consistent after
repeated computation. The major steps of saving
hybrid genetic algorithm are as follows:
Step 1: Inputting the known conditions including
the number L of freight-required nodes, freight volume
gi of each node, the shortest distance d xy between
nodes, freight vehicle’s capacity q, fixed cost c0 for
sending one vehicle, and the cost coefficient c1
relative to the traveling time;
Step2: Setting parameters including population
scale n, relative bigger figure M, the type of genetic
operation (one of deterministic type and adaptive type)
and setting control parameter;
First the genetic operation is carried out as follows:
Step3: Letting t=0, initial population p (0) are
generated at random, in which n chromosomes are
contained, each chromosome representing a feasible
distribution route;
Step4: Decoding the n chromosomes in population
p(t ) to get routes, and then computing its objective
function—transportation cost.
Step5: Searching for the best chromosome
best (t ) in population p(t ) , i.e. the route with the
smallest function;
Step6: Computing the fitness of n chromosomes in
p (t ) ;
146
Step7: If terminate condition is met, stopping the
computing and program and then outputting the best
chromosome best (t ) as the satisfied solution;
otherwise, continue;
Step8: According to the fitness, adopting the
combination of roulette wheel selection and
the-best-preserving strategy to choose to copy next
'
new generation of p (t ) ;
'
Step9: Randomly pairing the population p (t ) to
make the greatest preservation crossover and to obtain
p '' (t ) ;
Step 10: Choosing mutation operators’ types (one
of inverse mutation, 2-exchange mutation, and
3-exchange mutation); executing mutation operation to
'''
obtain p (t ) ;
Then the saving operation process is carried out:
Step 11: Letting j=1
'''
Step 12: Decoding the No.j chromosome in p (t )
into n freight tasks assumed by m vehicles and letting
the for-selection pool A0=empty set;
Step 13: According to the total freight task quantity
assumed by each vehicle, arranging them in an order
from big to small and renumbering the corresponding
vehicles as L-m;
Step l4: Letting the current vehicle’s number mo
=1and the for-selection pool A1=empty set;
Step 15: Computing saved value of cost according
to each task node assumed by No. mo vehicle and
arranging them in an order from big to small.
Step 16: Arranging the original subroute Ra of No.
mo; inserting each freight node in from-big-to-small
order of saved value of cost to obtain original subroute
Ro;
Step 17: In the arrangement of the No. mo vehicle’s
original subroute Ro, if nodes that do not meet the
capacity limit occur, putting this node into
for-selection pool A1;
Step 18: Computing cost saved value of each
for-selection node in the for-selection pool A0 and
start point and ending point of original subroute Ro
(excluding that of for-selection nodes each other).
Arranging them in an order from big to small;
Step 19: According to the order of cost saved value
from big to small, trying to approach each for-selection
node to the original subroute Ro. If the capacity and
time are met, inserting it and meanwhile erasing this
node; otherwise, continuing until all nodes of A0 for
selection are checked completely and thus obtaining
the subroute R of No. mo vehicle;
Step20: Letting A0=A0+A1, and A1= empty set, i.e.
merging A0 and A1 into A0 and meanwhile emptying
A1;
 Step2l: Letting mo=mo+1. If mo ≤ m (total By saving hybrid genetic algorithm, the solving
vehicles), transferring to step 15; otherwise, merging process is as follows. See table 4 for the last results.
the subroutes of m vehicles together; forming the No.j ••• • • •• •• ••• • ••• •• •• • •• •• • •• ••• • • •• • •• • • ••• •••••••
complete distribution route and to continue; ••• • • • ••• •• •• • •••• • •
Step22: Letting jj+1. if j ≤ n (population scale), Route Distribution
Distribution Carrying Actual
transferring to step 12; otherwise, continue; distance capacity capacity
No. route
Step23: Coding n distribution routes as n (km) (tons) rate
chromosomes to form new population p (t + 1) . 1
0-11-12
148 3.9 97.5%
Letting t=t+1, transferring to step4; -13-10-0
The above steps can be realized by software like 2 0-6-8-9-4-0 80 3.9 97.5%
VB. 3 0-5-7-3-2-0 69 3.9 97.5%
4 0-1-0 2 1.5 37.5%
Assigned vehicles: 4
4. Realization of algorithm
Total traveling distance: 299km
Assuming a distribution center distribute goods to
13 clientsC1—C13by using vans with a capacity of 5. Conclusion
4 tons. The unit freight between spots is the same and
delivered quantities to each client are listed in table 1 By comparing the computed results through saving
below. Distances between distribution centerC0and algorithm and saving hybrid genetic algorithm,
clients are shown in table 2. assigned vehicles are both 4 and for the total traveling
• • • •• •• ••• • • •• •• ••• ••• • •• •• • • • ••• • •••••• • •• distance, the result of saving hybrid genetic algorithm
is 29km less than that of saving algorithm. Meanwhile
Client C1 C2 C3 C4 C5 C6 C7 C8 C9 C10C11C12C13 as to the actual capacity of vehicles, three vehicles of
Need 1.50.40.71.01.60.81.21.50.6 1.0 1.0 0.8 1.1 them reach 97.5%, which is better than the result of
saving algorithm.
• • • •• •• ••• •• •• • • • • •• • •• • • • •• ••• • •• ••• • ••••• • •• On the basis of above analysis, the saving hybrid
C0 genetic algorithm combines the genetic algorithm and
1 C1 saving algorithm to preferably have settled the issue of
7 6 C2 distribution route optimization. However, this
12 11 6 C3 algorithm needs a certain amount of iterative
24 23 29 35 C4 computation, which should be realized by computers,
so it is unsuitable for manual computation.
14 13 19 25 13 C5
17 16 22 23 20 10 C6
6.References
18 17 23 25 24 17 7 C7
23 22 28 33 9 9 15 22 C8 [1] Li Yongsheng, Zheng Wenling, “Management on Storage
40 39 45 41 15 28 24 31 9 C9 and Distribution”, China Machine Press, Beijing, 2005.
33 32 38 43 23 20 26 33 10 7 C10 [2] Xu Tianliang, “Transportation and Distribution”, China
35 34 38 44 57 35 25 19 44 57 50 C11 Logistics Publishing House, Beijing, 2002.
[3]Li Jun, Guo Yaohuang, “Optimization Theory and
45 44 52 55 43 36 26 30 32 29 22 40 C12 Methods on Logistics and Distribution Vehicle Scheduling”,
Based on the above figures, adopt saving algorithm China Logistics Publishing House, Beijing, 2001.
to optimize distribution route, the results of which are [4] Zhao Jiajun, Yu Baoqin, “Management on Modern
presented in table 3 below. Logistics and Distribution”. Beijing University Press, Beijing,
• • • •• •• ••• • ••• •• •• • •• •• • •• • •• • • •• • •• •• • •••• • • 2004.
Distribution Carrying Actual [5] Zhu Deyong, “the Optimal Model and Experiment”,
Route Tongji University Press, Shanghai, 2003.
Distribution route distance capacity capacity [6] Schoolbook-compiling group of “Operations Research”,
No.
(km) (tons) rate “Operations Research”, Tsinghua University Press. Beijing,
1 0-12-13-10-9-0 132 3.5 87.5% 1997.
2 0-11-8-4-0 112 3.5 87.5% [7] Gong Peizeng, Lu Weimin, Yang Zhiqiang, “Visual
3 0-7-6-5-0 49 3.6 90% Basic Design Guide”, Higher Education Press, Beijing, 2003.
4 0-3-2-1-0 25 2.6 65%
Assigned vehicles: 4
Total traveling distance:328km

147
 2008 International Conference on Intelligent Computation Technology and Automation
The Clustering Algorithm Based on Particle Swarm Optimization Algorithm
Pei Zhenkui1,2 , Hua Xia1 , and Han Jinfeng1
1
College of Computer and Communication Engineering, China University of Petroleum,
Dongying 257061, China
2
School of Computer and Information Technology, Beijing Jiaotong University, Beijing 100044
peizhk@hdpu.edu.cn
Abstract
After analyzing the disadvantages of the
classical K-means clustering algorithm, this paper
combines the core idea of K-means clustering method
with PSO algorithm and proposes a new clustering
method which is called clustering algorithm based on
Particle Swarm Optimization algorithm. It used the
global optimization of PSO algorithm to make up the
shortage of the clustering method. The algorithm is
evaluated on Iris plants database, Results show that
the algorithm is more effective and promising.
1. Introduction
Clustering analysis is an important part of the Data
Mining research; it is an important method of the
unsupervised learning. It divides the data into certain
polymerization classes according to the attribute of the
data ,enable the element of every class to have the
same characteristic as far as possible, the characteristic
difference among the different polymerization class is
as far as possible big[1].
The traditional clustering algorithm seeks the
optimal solution of the researched question through the
iterative Hill-climbing method, because it is a local
search algorithm, it has some shortages. We take the
K-means clustering algorithm[2] as the example; people
have found two inherent drawbacks in the practical
application, (1)the random selection of Starting value
may lead to different clustering results, even has no
solution ; (2) The algorithm is an algorithm based on
the objective function; it usually solves the extreme
value problem by the gradient method. Because the
gradient method searches along the energy decrement
direction, the algorithm falls into the local extreme
value easily. These flaws have limited its application
scope greatly.
PSO is an effectively global optimization algorithm,
it guides optimization search by the Swarm
978-0-7695-3357-5/08 $25.00 © 2008 IEEE
DOI 10.1109/ICICTA.2008.421
Intelligence, which comes from cooperation and
competition between particles, Compares with the
evolutionary algorithm, PSO retains the global search
strategy based on population, its operation is simple,
and solution of each generation population has Dual
advantages of Self-learning and learning from others.
So it can find the optimal solution by lesser iterative
times. This paper combines the core idea of k-means
clustering method with PSO algorithm and proposes a
clustering algorithm based on Particle swarm
optimization algorithm [6,7].
2.Particle swarm optimization algorithm
As an optimization algorithm, Initially, Particle
swarm optimization algorithm is used for optimization
of the Continuous space, in the continuous space
coordinate system; Mathematical description of
PSO[3,4,5] is as follows:
We suppose population size is N, Each particle is
treated as a point in a D dimensional space. The ith
particle is represented as xi =(xi1,xi2,…,xid …,xiD), xi
is a latent solution of the optimized question. The rate
of the particle i is represented as vi =(vi1,
vi2,…,vid …,viD),it is a position change quantity of
particle in an iteration. The particles are manipulated
according to the following equation:
vid = ωvid + c1rand1 ()(
　pid − xid ) + c2 rand 2 ( 　
)( p gd − xid ) (a)
⎧vid = vmax if vid > vmax (b)
⎨
⎩vid = −vmax if vid < −vmax
xid = xid + vid (c)
In the equation (a), the historical best position of all
the particles in the population is represented by pgd, the
historical best position of the current particle is
represented by pid, the particle’s new velocity is
calculated according to its previous velocity and the
distances of its current position from its own historical
148
best position and the group’s historical best position.
Variable ω is the Inertia weight, c1 and c2 are positive
constants, rand1() and rand2()are two random
functions in the range [0,1]. In the equation (b),
particles’ velocities in each dimension are limited to a
maximum velocity vmax, vmax decided the search
precision of particles in solution space. If it is too big,
the particles possibly fly the optimal solution, if it is
too small; the particles easily fall into the local search
space and have no method to carry on the global search.
In the equation (c), the particle’s new position is
calculated according to its current position and the new
velocity, finally, the performance of each particle is
measured according to a predefined fitness function,
then finding the optimal solution of the research
problem.
3. The K-means clustering algorithm
In the Rn space, the clustering problem may
describe as follows: a given point set including N
points x1 ， x2,…,xN ,we divide these points into K
(known constant) sets G1，G2,…,GK according to the
similarity of them. They satisfy the following
conditions:
1） Gi ≠ ∅ , i = 1, 2,… K ；
2） Gi ∩ G j = ∅,
i, j = 1, 2,… , K ； i ≠ j ；
K yj
3） ∪ G = { x , x ,… , x }
i 1 2 N
i =1
The basic K-means algorithm consists of the
following steps:
(1) assigns the clustering number K.
(2) Random select K points C1，C2, …, CK as the
initial clustering centers from the given point set {x1，
x2, …, xN}
(3) Select C1 ， C2, …,CK as the clustering
centers and divide the set {x1，x2 ,…, xN} according to
the following regulation:
If d ( xi , c p ) < d ( xi , cq ) p, q = 1, 2,… , K and p ≠ q ,
then xi ∈ G p ( Gp is a class and its center is Cp)
(4) Recalculate the new clustering centers C11，
C21, …, CK1 according to the equation
1
Ci1 = ∑ xj ,
Gi x j ∈Gi
i = 1, 2,… , K ,
Gi is the point number in Gi
149
(5) If Ci1=Ci i=1，2，…，K (or the algorithm has
achieved the hypothesis biggest iterative times) then
terminate the algorithm, else make Ci=Ci1 and return (3)
4. The clustering algorithm based on PSO
In the clustering algorithm based on Particle Swarm
Optimization algorithm, each particle Yi= (y1，y2, …,
yK) represents centers of the K classes, yj (j=1 ，
2 ，… ，K) represents the central point’s coordinates
vector of the jth class in the ith particle (the dimension
of yj is decided according to the actual situation). The
particle swarm constitutes by many candidate
classified plan. We know it is a key of clustering
which use optimization algorithm to evaluate the
quality of classification plan, so we propose an
adaptability function f as follows:
max( d1 (Yi ))
f (Yi ) =
min(d 2 (Yi )) (d)
max(d1 (Yi ))
is the maximum value of mean values
of distances within same classes in the classification
plan which is expressed by particle Yi , min(d 2 (Yi )) is
the minimum value of distances between classes in the
classification plan which is expressed by particle Yi。
d ( xi , y j )
max( d1 (Yi )) = max ( ∑ )
j =1,2,…, K yj
∀xi ∈ y j
is the element number in the jth class.
min( d 2 ( Y i ) = min ( d ( y i , y j )) ;
∀ i , j ,i ≠ j
i,j =1，2,…,K.
The minimum value of the adaptability function f
simultaneously satisfies small distance within same
class and big distance between classes, the
classification plan is better.
The clustering algorithm based on Particle Swarm
Optimization algorithm consists of the following steps:
(1) In the n dimension space, we set population
size m, acceleration coefficient c1 and c2, the
hypothesis biggest iterative times num, clustering
number K, a given point set which has N points etc.
Initialize a population of particles with random
positions and velocities (the position and velocity
vectors are constituted by K vectors of n dimension
space), then set the historical best position of each
particle pbest equal to the initial position and set global
best position of particle swarm gbest equal to the best of
all pbest
(2) For each particle Yi, recalculate distances
between the set {x1 ， x2, …, xN} and K centers and
divide the set {x1 ， x2, …, xN} according to the
distance regulation of K-means algorithm.
(3) For each particle Yi, Calculate the fitness
evaluation according to the expression f(Yi) Table 1 contrast result1
(4) Compare and reset the historical best position method clustering number average best fitness value

pbest and the best fitness evaluation of each particle,
Compare and reset the global best position gbest and the
best fitness evaluation of particle swarm.
(5) Change the velocity and position of particles
according to equations (a) and (c) and limit them
according to equations (b) and (e).
⎧ xid = xmax if xid > xmax
⎨ sepal length, sepal width, petal length and petal width,
⎩ xid = − xmax if xid < − xmax (e)
In the expression (e), we select the maximum
value of each dimension in all points as xmax
(6) Inspect termination condition (the algorithm
has achieved the hypothesis biggest iterative times) if
clustering algorithm based on PSO 3 0.26224
k-means clustering algorithm 3 0.361840
the second group is Iris (150, 4, 3), This data set
contains 150 sample records, it is from the flowers
sample of setosa,versicolor and virginica, there are 50
records in every class, Each record has 4 attributes:
the unit is the centimeter, considering visibility of
graph, we only carry on the experiment to two
attributes of petal, Figure 2 is the scatter diagram of the
Iris data set petal attribute.
3

y
it is satisfied then terminate the algorithm, else return 2.5
(2) 2
(7) Output classification result 1.5
1
5. Algorithm test and comparative analysis 0.5
0
We carried on the Clustering test to the new 0 2 4 6 8
clustering algorithm and contrasted the test results with x
k-means clustering algorithm. The experimental data
divides into two groups, the first group is city
coordinates of Hopfield-10 TSP, and the second group Figure 2 the scatter diagram of the Iris data set petal attribute
is Iris (150, 4, 3), which is a benchmark example In the Figure 2, the setosa data separate from
known as classification, in the clustering algorithm other data, but the separation property is very bad
based on Particle Swarm Optimization algorithm, we about versicolor and virginica, therefore, we select 100
set acceleration coefficient c1 = c2=1.3, ω linearly data of versicolor and virginica and carry on the test.
reduces from 1.0 to 0.3, two algorithms were carried In the experiment we set population size is 130; the
on 10 times, we took the average optimal solution. test result is as follows:
Distribution map of the first group data as follows: Table 2 contrast result2
method clustering number average best fitness value error rate
1
Y

0.8
clustering algorithm based on PSO 2 0.273040 5%

0.6
k-means clustering algorithm 2 0.340202 8%

0.4

0.2

0 From above two experiments, we can see both the

0 0.2 0.4 0.6 0.8 1 k-means clustering algorithm and the clustering
X algorithm based on PSO obtain good classified result
for dealing with simpler problems, but the latter’
fitness evaluation is better. When we increase the data
Figure 1 the scatter diagram of 10 city quantity, in the test result of the clustering algorithm
In the test, we set population size is 10 and based on PSO, the 28th and the 34th of versicolor are
calculate the fitness evaluation of two algorithms divided into virginica, the 7th, the 27th and the 39th of
according to expression (a).In the same classified virginica are divided into versicolor. Total error rate is
result situation, the contrast result is as follows: 5%, in the test result of the k-means clustering

150
algorithm; the 28th and the 34th of versicolor are
divided into virginica, the 7th, the 20th, the 24th, the 27th,
the 28th and the 39th of virginica are divided into
versicolor. Total error rate is 8%. The former error rate
is lower than the latter. This has demonstrated the
advantage of the clustering algorithm based on PSO.

6. Conclusion
The k-means clustering algorithm is one of the
most widely used clustering method for its Simple idea,
But the random selection of Starting centers may lead
to different clustering results, even has no solution,
considering the global search ability of PSO, this paper
proposes the clustering algorithm based on PSO and
designs corresponding adaptability function. The
algorithm is evaluated on Iris plants database, Results
show that the algorithm is more effective and
promising. The experimental results indicate that the
clustering algorithm based on PSO is better than the k-
means clustering algorithm.

References
[1] A.K. Jain, M.N. Murty, and P.J. Flynn, “Data clustering:
A Review”, ACM Computing Survey, 1999, pp.1-60.
[2] J. B. MacQueen, “Some methods for classification and
analysis of multivariate observations”, In: proceedings of
the 5th Berkeley Symposium on mathematics Statistic
Problem, 1967, pp: 281-297.
[3] Y. Shi, R.C. Eberhart, “Fuzzy adaptive particle swarm
optimization”, In: Proc. of the IEEE CEC, IEEE Press, 2001,
pp.101-106.
[4] Y.H. Shi,R.C. Eberhart, “A modified particle swarm
optimizer”, In: Proc. of the IEEE CEC ,IEEE Press, 1998,
pp.69-73.
[5] Y. Z. Yao, Y. R. Xu, “Parameter analysis of particle
swarm optimization algorithm”, Journal of Harbin
Engineering University,2007, pp.1242-1246
[6] S. Gao, J.Y. Yang, “New Clustering Method Based on
Particle Swarm Algorithm”, Journal of Nanjing University of
Aeronautics &Astronautics, 2006, pp.62-65.
[7] L.H. Lu,B. Wang,” Improved Genetic Algorithm-based
clustering approach”, Computer Engineering and
Applications, 2007, pp.170-172.
[8] J. Kennedy, R.C. Eberhart, and Y. Shi, Swarm
Intelligence, Morgan Kaufman Publishers, San Francisco,
2001.
[9]M. Clerc, J. Kennedy, “The particle swarm: explosion,
stability, and convergence in a multi-dimensional complex
space”, IEEE Trans. Evolut. Comput. , 2002, pp. 58-73.
[10]S. Katare, A. Kalos, and D. West, “A hybrid swarm
optimizer for efficient parameter estimation”, In: Proc. of the
IEEE CEC, IEEE Press, 2004, pp: 309-315.

151
 2008 International Conference on Intelligent Computation Technology and Automation

The Model Based on Grey Theory and PSO for Electricity Consumption

Forecasting

Wei Sun and Yujing Yan

Department of Economy Management, North China Electric
Power University, Baoding 071003, Hebei, China
yanyujing2007@126.com

Abstract GM (1, 1) model has restriction[5]. Therefore, this

To improve the forecasting precision of electricity
consumption, and content the demand of marketing, we
establish the model by combining Particle Swarm
Optimization (PSO) with the improved grey theory.
The method is simple, easy to do practice and its
convergence rate is quick. It can find the overall
optimal solution of problems in great probability, and
can effectively overcome the shortage of the traditional
grey theory. To prove the validity, this paper forecasts
the electricity consumption in Bayannur region. The
result shows that, the model has higher forecasting
precision and extensive application.
1. Introduction
Electricity consumption is affected by many factors,
which are the development of economy, the industrial
structure, income level of resident, national policy, and
[1]
so on. The grey model adapts to the system .
However, the GM (1, 1) is an exponential function,
which adapts to the situation that the electricity
consumption changes slowly, while the practice is
different, leading to the precision of long-term
forecasting lower. So in practice, the application of the
paper employs the improved model- GM (1, 1, α ).
Particle swarm optimization (PSO), an evolutionary
computation technique developed by Kennedy and
Eberhart in 1995, achieves efficient search by
remembrance and feedback mechanisms. By imitating
the behaviors of biome, it is highly fit for parallel
calculation, and has perfect performance on large-scale
optimization problems. Its major advantages are the
relatively simple and computationally inexpensive
coding and its adaptability corresponding to the best
group value, and the stochastic PSO algorithm has
been found to be able to find the global optimum with
a large probability and high convergence rate.
According to the features of electricity consumption
forecasting, we combine PSO with the improved grey
theory, propose the model based on grey theory and
PSO to forecast the electricity consumption. The result
of application shows that the method has higher
precision, and its practicality is superior to the
conventional grey model.
2．The Model Based on Grey Theory and
PSO

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DOI 10.1109/ICICTA.2008.40
2.1 PSO algorithm
constants for learning, c1 > 0 , c2 > 0 , r1 and
The main idea in the model is to generate particles
randomly and assign to them a motion law. As a r2 are random numbers in [0,1]. Vi is limited by Vmax ,
global optimization-learning algorithm, PSO has been
used in many fields such as function optimization, X i +1 is the updated position of the particle.
`
system identification and neural network s learning.
Generally, the iteration will pause, when the
In the PSO algorithm and as an example, the birds
optimal position to meet the minimum threshold or
in a flock of birds are abstractly represented as
particles, which are mass-less, and volume-less and the largest number of iteration Gmax .
extended to D-dimensional space. The position of a
particle i in the dimensional space is represented by a 2.2 The improved model GM（1，1， α ）

vector X i = ( xi1 , xi 2 ,..., xiD ) and the flying velocity On the basis of conventional GM (1, 1), we import

vector α = (α 2, ..., α k , ..., α n ) , and establish the

is represented by a vector Vi = (vi1, vi2,..., viD) .The
improved model GM（1，1， α ）[2].And the paper
vectors Pi = (Pi1, Pi 2 ,..., PiD ) and Pg = (Pg1, Pg 2 ,..., PgD )
indicates when α =(0.5,0.5,...,0.5),GM（1，1， α ）is
are the optimal position of each particle i recognized
GM (1, 1).
so far and the optimal position of the entire particle
The background value of GM (1, 1) is calculated by
swarms recognized so far respectively. The position of
the equation as follows.
each particle in the D-dimensional space, X i is a
tentative solution in the problem space. The fitness of z(1) (k) =αk x(1) (k) +(1−αk )x(1) (k +1)
(3)
the model, representing the applicability of the X i , (0 ≤αk ≤1)

By a vector
α0 , we can get the following matrix
can be obtained by comparing X i to the target
from the equation.
function[2]. Therefore, the search procedure of the PSO
algorithm depends on interaction among the particles. ⎡ −(α02 x(1) (1) + (1−α02 )x(1) (2)) 1⎤
The velocity and position of a particle i can be ⎢ ⎥
⎢ −(α03x (2) + (1−α03 )x (3))
(1) (1)
updated as:
1⎥
⎢ . .⎥
Vi+1 = w•Vi +cr
1 1(Pi − Xi ) +c2r2(Pg − Xi ) (1) B0 = ⎢ ⎥
⎢ . .⎥
X i +1 = X i + Vi (2) ⎢ . .⎥
⎢ ⎥
⎢⎣−(α0n x (n −1) + (1−α0n )x (n)) 1⎥⎦
(1) (1)
in which, w is inertia weight, Vi is the velocity of
Put B0 into the equation,
particle i, X i is the position ,the c1 and c2 are

153
 1
∧
⎛∧⎞ f (α i ) = (7)
a n
A = ( BT B)−1 BT Yn = ⎜ ∧ ⎟ 1 + ∑ (x (k ) − x (k ))
(0) (1) 2
(4)
⎜ ⎟ k =1
⎝u ⎠ From the analysis, we can see the value of error
In the end, we can get the improved grey
square summation is smaller, the value of f (α i ) is
forecasting model.
greater. The result shows that the adaptability of
2.3 The Model Based on Grey Theory and
PSO vector α i in grey model is better.
According to the above analysis, if only give a Step 3, Compare particle’s fitness evaluation with
vector α , we can get the forecasting value. particle’s previous best:
With the purpose of minimal error square
if f (αi ) > pbest , then pbest = f (αi ),
summation, the process for seeking the PSOGM model
and if f (αi ) > gbest , then gbest = f (αi )
based on PSO as follows:
Step 1, Initialize particles with random positions Step 4, Use equation (1) and (2) to optimize the
and velocities on n-dimensions in the problem space. position of particles. According to the early test, this
The vectors of position and velocity respectively
paper defines w = 1.0 , c1 = c2 = 2.0 , the Vmax is
are αi =(αi1,αi2,...,αim) and Vi = (vi1 , vi 2 ,..., vin )
10%~20% of each dimension changing bound.
Step 5, Stop rule: Loop to step (2) until a criterion
.The number of original load is i = 1, 2,..., m, n , and
is met.
Step 6, if necessary, the result can be used as
this paper limits 0 ≤ α ik ≤ 1, 0 ≤ vik ≤ 1.1 ;
known data; repeat the above processes to forecast the
Step 2, Calculate the fitness of each particle: input electricity consumption next year further.

αi into the equation in turn,

3. Application
z (1) (k ) = [ x (1) (k + 1) + x (1) (k )] / 2 (5)
This paper takes data of electricity consumption of
By using the equation (5), we can get the matrix Bayannur for example, and the electricity consumption
of each industry in 2006 is forecasted. And then we
Bi .and then, the fitting value x (0) (k ) is calculated by
forecast the electricity consumption of the region form
the equation (4) and the following equation: 2007—2010 further.
∧ The dataset is following:
∧ ∧
u ∧
−a − ak
x(k +1) = (e −1)[ x (1) − ∧ ]e (0)
(6)
a
In order to get the minimization of
n

∑(x
k =1
(0)
(k) − x(1) (k))2 ,this paper defines the fitness

function f (α i ) as follows,

154
 Table 1.The statistics of Bayannur
unit：1×104kwh
sequence 2006 2006
sort 2002 2003 2004 2005
number （forecasting） （practical）
Resident
1 12307.09 13173.5 13685.28 15363.99 15583.92 15633.88
illumination
Non-Resident
2 2203.15 2482.51 3069.68 3607.95 4019.72 4022.81
illumination
3 Big industry 70536.99 99863.01 183993.47 219527.57 335097.41 333587.97
General non
4 7021.26 8526.18 11888.53 15071.47 13454.14 13432.43
industry
5 Commerce 1805.53 1837.5 2742.89 3893.61 4961.97 5044.48

6 Agriculture 11064.5 10449.88 11640.9 16231.76 14191.91 14881.01

Bulk sale
7 34980.85 47615.82
electricity
Total 139919.37 183948.40
While modeling, we suppose the number of
particles m=500, the most iteration times
Gmax =500,
and w =1.0， c1 = c2 =2.0, Vmax =10%。
Based on the arithmetic, we program by the
MATLAB6.5, get the forecasting value in 2006.The
data are shown in the tabel1.Compared with the
practical data, it shows that the precision is high
comparatively. However, it still has a certain error.
The reason is multiplicate，such as the development
of economy exceeds forecasting bound, the influence
of climate.
Through further forecasting, we get the electricity
consumption of Bayannur region from 2007—2010,
respectively: 47350.36; 673240.58; 828090.17;
1040000.86.
4. Analysis
According to the result of forecasting, we analyze
the electricity market of Bayannur region.
65363.67 94308.63 118228.38 119552.49
292384.42 368004.98 505537.45 506155.07
The data show that the electricity consumption of
various industries has increased in recent years.
According to the electro- structure of industry in 2006,
form the results of forecasting, we can see the
proportion respectively: Resident illumination3.08%,
Non-Resident illumination 0.8%, Big industry
66.29%, General non industry2.66%, Commerce9.8%,
Agriculture 2.81%, Bulk sale electricity 23.39%.The
proportion of industry electricity consumption is the
most. From whole observation, we can see the
electricity consumption in the region with increasing
trend, and the key factor is industrial electricity
consumption.
Through research, the actual situation is that
Bayannur is one of important agricultural economy
region in the Inner Mongolia Autonomous Region, a
single industrial structure, less high-value-added
industries, and the electricity consumption of
non-ferrous metals, chemicals and agriculture accounts
for 80% in the city's total electricity consumption
.Particularly, the heavy chemical industry, such as
high energy-consuming industries, its electricity cost
in the total value of products has major proportion.

155
Compared with others, the influence of industrial not only in terms of search efficiency and stability of
electricity consumption is greater, which becomes the convergence, but also in the search for optimal
main use of electricity. By calculating the practical solutions overall, has both good performances.
data, we get the results, which show that the All of above analysis show that the forecast
proportion of industrial electricity consumption heads precision of the model is high, and the model has a
the list all the time, in 2006, Big industrial electricity certain ability to generalize. This paper provides an
consumption accounts for 65.91% ， the others effective tool for the practical load forecasting.
respectively: Resident illumination3.09%,
Non-Resident illumination 0.79%, General non 6．References
industry2.65%, Commerce 1%, Agriculture 2.81%,
Bulk sale electricity 23.62%. [1] Niu Dongxiao, Cao Shuhua, Zhao Lei." The Load
From the analysis, we can see the forecasting Forecasting and Its Application"， China Electric Power
results and the practice are consistent in essence, book concern, Beijing，1998.
which shows the practicality and effectiveness of the [2]Chen Bo, Jiang Jin, Guo Yongtao, Deng
model. According to the forecasting results, power Wujun."Research on Load Forecast Model Based on Grey
Enterprise can combine local economic development Theory and Its Application in Power Supply
status to take the appropriate marketing. System",Sichuan Electric Power Technology, the Electrical
Engineering Academy,Sichuan,2006,pp.12-14.
5. Conclusion [3]Niu Dongxiao, Zhang Bo, Chen lirong, Zhang Tongtong.
"Application of intelligent optimization grey model in
(1) Import the vector α ,
this paper proposes the middle-term electricity demand forecasting",East China
application of improved grey prediction model GM (1, Electric Power,the Electric Power Experimentation
1， α ), which expands the application bound of Academe,Shanghai, 2006,pp.8-11.
conventional GM (1, 1), overcomes the deficiency of [4]Wu Hongxiao, Hou Zhijian, Tai Nengling."Application of
prediction accuracy reduces facilely. The results show grey neural network model GNNH (1,1) in city electricity
that the precision of the improved model is high, and demand forecasting",Electric Power, the Electric Power
the error is small. The model has a certain practical Journal Society of the Nation Power
value. Company ,Beijing,2005,pp.45-48.
(2) By using PSO, the model overcomes the [5] Xiong Gang, hen Zhangchao."Defect of grey forecasting
deficiency of conventional method that is difficult to model and Its Improvement",System Engineering,the System
determine the nonlinear function. It makes the method Engineering Academy, Hunan, 1992, pp.32-36.

156
 Session 2

Neural Network Theory

and Application

ICICTA 2008
 2008 International Conference on Intelligent Computation Technology and Automation

A Classification Method for the Dirty Factor of Banknotes Based on Neural

Network with Sine Basis Functions

Kexue HE1,2, Shurong PENG1,2, Shutao Li2

1
College of Electrical and Information Engineering，Changsha University of Science &
Technology, 410076 Changsha, Hunan Province, China
2
College of Electrical and Information Engineering, Hunan University
410082 Changsha, Hunan Province, China
hekexue@126.com

Abstract of the high gray level in the histogram. In other words,

The classification on the dirty factor of the new and
used banknotes is an important function of the note
sorter. This paper proposes a classification method
based on neural network with sine basis functions. The
gray level histogram of banknote image is used as the
characteristic vector to train the neural network. The
classification effect is satisfying by this method.
the pixel probability distribution of the new banknote
in the part of the high gray level in the histogram is
much more than the old banknote. The gray level
histogram of the face sides of two pieces of RMB note
with different dirty levels is shown in the following
Figure 1.

1. Introduction
Many countries raise some higher requirements for
the integrity and cleanness of paper currency, because
it represents the country’s development level in the
economy and the culture [1]. To ensure the good
integrity and cleanness of banknotes in currency,
banknote sorting is the important service of the bank.
The main functions of banknote sorting include the
classification of the integrity and cleanness among the
new and used banknotes, the classification of the
banknote orientations, the identification of banknote
denomination and so on. The identification of the new Figure 1. Gray level histogram of the face sides of the
and used banknotes is based on the gray level of the old RMB note and the new RMB note
surface, which is one of the important functions of the In the histogram of the old banknote and the new
note sorter. Then the exceeding damaged and old banknote, the distinct difference exists in the high gray
banknotes are picked out. level part. The number of the high gray level part of the
In order to perform the rejecting job of the damaged new banknote is more than the old. But little difference
and old banknotes, this paper proposes an exists in the part of the low gray level less than a
identification and classification method based on the threshold. The low gray level data in the above
characteristics of the gray level histogram of banknote histogram cannot be used to judge the banknote dirty
image and neural network with sine basis functions. factor. Therefore selecting the proper threshold is
extremely necessary. According to the characteristics
2. Feature extraction of the pixel distribution in the gray level histogram,
although the image segmentation threshold can be got
The dirty factor of the used banknote can be shown by the bipolar method, the threshold is not suitable for
in the gray level histogram. The newer the banknote is, the banknote identification and classification. It is
the more the pixel probability distribution is in the part because the bipolar method omits a lot of information

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DOI 10.1109/ICICTA.2008.35
that represent the dirty factor. Thus, another calculation 1 3
method for getting threshold must be adopted. C1 (ω1 ) = sin( ω1 ) , C 2 (ω 2 ) = sin( ω 2 ) ,…,
Suppose that the gray level set is S=(0,1,2,…i,…L). 2 2
When the gray level value of the pixel is i , the number 1
of the pixel is n and the total number of the pixel is N.
C n (ω ) = sin[( n − )ω n ] (4)
2
Therefore the pixel probability of every gray level is The neuron input is the gray level distribution
n probability value in the interval [T,T+1,…,255]. The
pi = i . The average value of the image gray level is input is the vector Ω=[ω1,ω2,…ωn ]T, ωi [0,1]. In this
N
μT . Suppose that the gray level threshold of image paper, ωi of the input vector is the gray level
segmentation is T, the pixels of image are segmented to distribution probability value in the interval [161,255].
As there are 95 elements in the input vector, the
two parts S1=(1,2,…T)，S2=(T+1，T+2,…L). Then the
number of input layer and hidden layer neurons is
probability of S1 and the probability of S2 are P1 and P2
N=95.
given by
As the dirty factor of banknote is a value from 0 to 1,
P1 = ∑ pi , P2 = ∑p j = 1 - P1 . (1) the number of output neuron is 1. Neural network
i∈S1 j∈S 2 output Y(Ω) is given by
The average values μ1、μ2 of two parts are given by N
1
Y (Ω) = ∑ wn sin[(n − )ω n ] .
∑ in ∑ jn
(5)
i j n =1 2
j∈S 2
μ1 = i∈S 1
, μ2 = . (2) Where W=[w1, w2, w3,…wn]T, C(Ω)=[ C1(ω1),
∑ni∈S 1
i ∑n
j∈S 2
j C2(ω2), …Cn(ωn)]T. Then the formula （5）can be
rewritten as
Thus, from the above formula, between- cluster N
1
variance σB is defined as Y (Ω) = ∑ wn sin[(n − )ω n ] = W T C (Ω) . (6)
σB=P1(μ1-μT)2+ P2(μ2-μT)2 . (3) n =1 2
If the threshold is T=[σB]max, the most difference The dirty levels of the banknote are roughly 10.
exists between S1 and S2 [3]. Therefore, the probability Therefore the expected output of neuron is D (Ω)=
data of the gray level in the interval [T,T+1,…255] can [1,0.9,0.8,…,0.1].
be used as the classification characteristics. By Error function e(t) is defined as
analyzing the gray level histogram of the new banknote e(t)= D(Ωt)-Y(Ωt). (7)
in the Figure 1, we can get 161 as the threshold. Thus, Where t=1,2,…,m. The m is the number of training
for the classification method in this paper, the samples, and D(Ω) is the expected output of neural
characteristic data are in the interval [161,255]. network, and Y(Ω) is the actual output of neural
network.
3. Neural network with sine basis functions Performance index is defined as
1 m 2
ω1
1
1
C1
J= ∑ e (t ) .
2 t =1
(8)
w1
ω2 Weight value adjustment: According to the formula
1
1 C2 (6) (7) (8), the weight value adjustment ΔW is defined
1 as
…

y(Ω) ∂J ∂J ∂e(t ) ∂Y (Ω t )
wi
ωi 1 ∑ ΔW = −η = −η
1 Ci ∂W ∂e(t ) ∂Y (Ω t ) ∂Ω t
wN = ηe (t )C (Ω t )
…

(9)
ωN
1
1 CN W (t + 1) = W (t ) + ηe (t )C (Ω t ) (10)
Where η is the learning rate, and 0<η<1.
Figure 2. Structure of neural network Convergence of neural network: If the learning rate
In the neural network with sine basis functions is set in 0≤η≤2/N, the calculation of neural network
shown in Figure 2, sine basis functions are C1(ω1), with sine basis functions is convergent, N of which is
C2(ω2),…Cn(ωn) given by the number of hidden layer neurons. The convergence
of neural network is demonstrated in Reference [5] in
detail.

160
4. Training the neural network with sine 5. Experiment result and analysis
basis functions
In the process of the project application of neural
To achieve the automatic sorting of banknote, firstly network, the sufficient training samples are used to
images of banknote samples are converted to gray level ensure the accuracy of classification, which can cover
histograms correspondingly. The number of images is the actual conditions in most banknote sorting cases. In
m. The segmentation threshold T is got by the method the experiment there are the following test data shown
of the maximum between-cluster variance by analyzing in Figure 3. Three curves represent gray level
the gray level histogram of the newest banknote image. histograms of three test banknotes in differently dirty
The pixel distribution probability of the gray level in factor correspondingly.
the interval [T,T+1,…,255] is used as the training
sample.
According to the structure of neural network and the
weight value revision method, the following training
method is designed.
Step 1: Neural network weight value wi is initialized
by random number. The learning rate η and a fixed
sufficiently small positive number ε are set.
Step 2: In the banknote image of the first level, the
probability p161, p162,…, p255 of gray level value in the
interval [161,255] is used as the neural network input
vector Ω1 given by
Ω1=[ω1,ω2,…ωn ]T=[ p161, p162,…, p255]T.
Step 3: Firstly, the output of the sine basis neuron is
calculated, and the output is defined as C(Ω)=[ C1(ω1),
C2(ω2),…Cn(ωn)]T，and then the neural network output
Y(Ω1) is calculated.
Step 4: The actual output is compared with the Figure 3. The histogram of three test banknotes
expected output D(Ω1) , and then the error e(t) is given When the test data are identified by the trained
by neural network, the output of the neural network is got
e(t) = D(Ω1)- Y(Ω1). as Table 1. From Table 1, the output of neural network
Step 5: The weight value adjustment ηe (t) C(ωi) is converges to the expected level of banknote. The
calculated according to e (t). The weight value W(t+1) classifying result is satisfied
of output neuron is adjusted by Table 1.Classification results of three test banknotes
W(t+1)=W (t)+ηe (t) C(ωi)。 New Older Oldest
Step 6: In the banknote image of the second level, Output of neural
0.7020 0.3908 0.2082
the gray level distribution probability Ω2 is used as the network
input vector, where Ω2=[ω1,ω2,…ωn ]T=[ p161, p162,…, expected level 0.7 0.4 0.2
p255]. Then continue to calculate Step 3, 4, 5. The
training is not finished until data of m samples is 6. Summary
calculated and the weight value is adjusted completely.
Step 7: The total error J 总 is given by With the analysis of characteristics of pixel
m probability distribution in the gray level histogram of
1
J总 = ∑ ei (t ) .
2 i =1
banknote image, the pixel distribution probabilities are
divided into two types by the threshold segmentation
If J 总>ε , the training jumps to step 1,and continue to method of maximum between-cluster variance. Then
train the neural network. If J 总<ε , the training of neural the pixel probability data higher than threshold are
network comes to an end. used as characteristic vectors that presents banknote
Therefore, the gray level distribution probability of dirty factor. The characteristic vectors of images are
banknote samples is used as characteristics to train used as the training samples of neural network based
neural network. on sine basis functions. Neural network accomplishes
After the repeated training, the output of neural the identification and classification of banknote dirty
network is converged to the expected output. Finally factor through the study of neural network samples.
the training of neural network is accomplished. In the banknote sorting experiments, the

161
classification method based on neural network with
sine basis functions has many merits, such as the
suitable calculation amount, the high convergence
speed of neural network, the effective classification
and so on. The actual project problems in the note
sorter are solved successfully.

7. Acknowledge
This work is supported by the Natural Science
Foundation of education department of Hunan
province of China (07C073).

Reference

[1] LI Li-jie, WU Le-nan, DONG Lu, “The automatic

recognition of disused paper money”, Journal of Circuits and
Systems, 2005. 6, pp.130~140.

[2] LIU Jia-Feng, LIU Song-Bo, and TANG Xiang-Lon, “An

Algorithm of Real-Time Paper Currency Recongnition”,
Journal of Computer Research and Development, 2003.7,pp.
1057-1061.

[3] Otsu N, “A threshold selection method from gray-level

histograms”, IEEE Trans On System Man and Cybernetics,
1979. 9,pp. 62-66.

[4] Ping-Sung Liao, Tse-Sheng Chen, Pau-Choo Chung

(2001). “A Fast Algorithm for Multilevel thresholding”, J. Inf.
Sci. Eng., 2001.17,pp. 713-727.

[5] WANG Xiao_hua, HE Yi_gang, ZENG Zhe-zhao,

“Optimized Design of the Type-four FIR Filter Based on
Neural Networks with Sine Basis Functions”, Journal of
Circuits and Systems, 2003.5, pp.97~100.

162
 2008 International Conference on Intelligent Computation Technology and Automation

A New Method of Traffic Atmosphere Environment Impacts Assessment

Based on kohonen Network

QIN Zhi-bin, LIU Zhao-hui, LI Yu-zhi

Changsha University of Science and Technology, Communication and Transportation
Engineering, Changsha 410076, China
zhibinq@126.com

Abstract 1. Introduction

Due to the larger number factors on the quality of
the atmosphere, the different contributions of air
quality, and the complex mutual influence between
factors, it is difficult to establish a recognized,
established evaluation model. At present, fuzzy math,
grey theory which superior over other evaluation
methods have been widely used in practice, but they
still have some drawbacks. For a better and more
comprehensive evaluation of the factors on the
impact of air traffic environment, the air traffic
environment impact assessment index system was
established. the paper used analytic hierarchy
process (AHP) and ultra-multiple method to analyze
the various factors which impact the traffic
atmospheric environment. It not only considered all
factors in the combined effects of weight, but also
highlighted the main factors in the evaluation of
pollution in the main role-sharing, using arithmetic
mean empowering, then based on Kohonen network
theory, the paper proposed a new method which
evaluating the traffic atmospheric environment.
Through introducing the example and analyzing the
results of neural networks, fuzzy evaluation, grey
evaluation, matter-element model,it shows the new
method is easy to use and an reasonable and
accurate evaluation of the impact of air traffic
e n v i r o n m e n t m e t h o d .
Air pollution of Vehicle exhaust emissions is the
comprehensive results of many pollutants, the
interaction of various factors must be considered on
traffic atmosphere environmental impact assessment.
Over the past 20 years, scholars have put forth a lot
of national air traffic environment impact assessment
models. Due to the factor on the quality of the
atmosphere there is a big difference on contribution
and the interaction is difficult to identify. So far, it
has still explored various pollutants in a separate
impact, no one recognized, established evaluation
model. At present, fuzzy math, grey theory has been
widely used in practice .Though they overcome the
shortage in other evaluation methods, there still own
some drawbacks, such as [1]: misjudgment; some of
the information will be lost because of various kinds
of models; complicated calculation and so on.
The paper uses AHP and ultra-multiple method to
analyze various factors that impact the traffic
atmospheric environment, which are considered in
the combined effects of various factor in weight, and
highlight the major pollutants in the traffic
atmosphere environment impact assessment of the
major share, a means to empower the law, then based
on Kohonen network theory, the new method
presented in this paper is easy to operate, accurate in
evaluating results and is influenced by traffic.

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DOI 10.1109/ICICTA.2008.423
2. Traffic atmosphere environment Tab.1 Standard of upper-bound
impact assessment index system exceeding assessment
Concentration limits Evaluation
Through the inspection of the traffic environment results
CO SO2 NOx PM10 TSP
literatures[1-4], we can see that in many of the
8.00 1.60 0.565 0.500 0.625 worse
emission of pollutants, according to their different
10.00 2.10 0.750 0.700 0.875 worst
degrees of harm to treat them differently. Since the
16.00 2.62 0.940 1.000 1.000 very poor
degrees impact of pollutants affecting air traffic
environment in each country and region is different,
3.2. Determination of the samples
the evaluation of the selection of targets may also
vary. In this paper, a preliminary to CO, NOx, PM10 T h er e a r e m a n y m et h od s t o i d en t i fi e d
and TSP (suspended particles), SO2 as an evaluation environmental monitoring sites, such as close-value
indicators, the traffic atmosphere environment impact method, fuzzy judgment, analysis and artificial
a s s e s s m e n t i n d e x s ys t e m i s e s t a bl i s h e d . neural network (BP) and etc. This paper uses the
analysis of characters to optimization monitoring
s i t e s .
Traffic atmosphere environment quality
3.3. Standardization indicators
The usually indicators standardized method is to

CO SO2 NOx PM10 TSP make all the indicators to a 0-1 unit interval. This
paper uses the fuzzy math "membership" concept in
Fig.1 Assessment index system the standardization process.
Are indicators: the values of the indicators are the
3. Multi-factor comprehensive evaluation bigger the better. It uses semi - trapezoidal
method distribution function to standardize indicators.
⎧0 vi ≤ C ( vi )
⎪
⎪ v − C ( vi )
3.1. Discriminated samples N ( vi ) = ⎨ i C ( vi ) < v i < T ( v i )
⎪ T ( vi ) − C ( vi )
⎪⎩1 v i > T (v i )
According to the "ambient air quality standards",
it sets samples ranges as follows: Inverse indicators: the smaller the values, the
CO（0.00,6.00） NOx（0.00,0.15） better are, and use reduced semi - trapezoidal
SO2（0.00,0.25） PM10（0.00,0.25） distribution function to standardize indicators.
TSP（0.00,0.50） ⎧1 vi ≤ C ( vi )
⎪
we can see that when the pollutants in the ambient ⎪ C ( vi ) − v i
N ( vi ) = ⎨ C ( vi ) < v i < T ( vi )
air concentration of value in the sector, the pollutants ⎪ C (v i ) − T (v i )
⎪⎩0 vi > T ( vi )
will have a serious impact on the environment, the
value exceeded the upper bound of the sample
Where vi , C (vi ) , T (vi ) , N (vi ) as an original
evaluation is decided by the major pollutants, no
longer considering the impact of other pollutants. Its value , the threshold , the target value and
specific criteria in Table 1: standardization value of the indicator i respectively.
When the value of the concentration of pollutants A ft er in di ca t or s st a n dar diz ed, sust a i na bl e
is in the value of the sector, we should accord to development hyperspace will change into unit
th e foll owin g meth od s to evaluate. h y p e r s p a c e .

164
3. 4. Weight set up
So far, there have a lot of researches to determine
the weights. Among them, researchers in the
practical experience and mainly subjective judgment
to determine the weights were called of the
subjective weight defining methods; others have used
mathematical methods to determine the main weight
were called of the objective weight defining methods,
such as expert advice, principal component analysis,
AHP and gray coloration methods, and so on.
Mathematical methods can be test the accuracy and
r educe subj e ct i ve an d ar bi t rar y, th er efor e
mathematical method used to determine the weights
on more extensive. However, as any mathematical
m et h od s us ed wh i ch h a s i m pos ed c er t a i n
requirements and limitations, and in the choice of
mathematical methods and the original data
collection also with the subjective, the most
i m p or t a n t i s i t s fl e x i bi l i t y r a t h e r p oor .
Because these parameters do not have sufficient
information to use the objective weight defining
methods, the only law empowers subjective. For the
commonly used analytic hierarchy process (AHP),
algorithm and its conclusions were based on the
judgment matrix of consistency. In practical
application, as established by the judgment matrix is
often not consistent matrix, and this will lead to the
evaluation indexes weight coefficient ranking of
i n s a n i t y
In the Comprehensive Assessment, in order to take
into account both environmental impact of various
factors on the different levels, and highlighted the
main factors in the evaluation of pollution in the
m a i n r ol e-sh a r i n g, usin g a ri t hm et i c m ea n
e m p o w e r i n g
3.4.1. Environmental impact of various factors on
the degree of weight
Here use AHP to determine the weights of various
fa c t or s. A ch i e ve we i gh t s e t s a s fol l ows :
ω ki = (a1 , a 2 , a 3 , a 4 , a 5 )
3.4.2. Pollution of the factors in the evaluation of
the contribution rate
Here use over standard multiples in the sharing of
c o n t a m i n a t e d e m p o w e r .
5
ω li = bi / ∑ bi bi = C i / S 0i
i =1
Wh er e bi ——th e secon d fa ct or m ea sur ed
concentrations of the evaluation standards of the
average multiples over standard
ω li ——Factors section of the contribution rate
f a c t o r s
3.4.3 Evaluation of the factors in the entire system
of weights
Evaluation of the factors in the entire system of
w e i g h t s
ω i = (ω ki + ω li ) / 2 i = 1,2,3,4,5
3.5 Comprehensive evaluation of multiple
factors Kohonen network model
Kohonen network is proposed by Kohonen
Professor of the Fenlands Heroin University in the
1987's. This network simulates brain characteristics
of the self-organizing system function; it is a
c om p et i t i ve l ea r n i n g n et wor k, wh i ch ca n
s e l f- or g a n i z e s t u d y wi t h ou t s u p e r vi s i on .
In the course of study can be conducted without
supervision and self-organized study also known as
self-organizing neural network, which in recent years
in the classification model has been widely used.
Internet users only need to provide learning samples,
. rather than provide an ideal output, network based on
the input samples for self-organization, and its
division should be relative to the model category.
3.5.1. Network Structure
Kohonen network structure is showed in Figure 2.
The network includes two layers: competition
. l a yer (com pet iti ve l earning, th e ch oi ce of
competition "won" the neurons) and identification
layer (classification), with the first group of input
vectors for the sample, vector output for the types of
n e u r on s a r e c om p l e t e l y i n t e r c on n e c t e d .
2.5.2. Learning process
When the external input mode there, all the
neurons in the network start to work at the same time,
the connection between them trying to imitate the
165
 [1]
right vector input signal to achieve the goal of measured data (Table 2) in the literature to judge,
self-organizing network. This self-organization and the results are as follows:
learning process includes two parts: First, select the Renmin Road——better
best match neurons, and the second, the right vectors Huaihai Road——Poor
a da pt i ve chan ges in the upda ting pr ocess. Binjiang Road——Medium
Fuqin Road——Good
Tab.2 Testing datum of atmosphere
environment （mg/m3）
name CO SO2 NOx PM10 TSP
Renmin
2.6 0.06 0.05 0.05 0.10
Road
Huaihai
4.7 0.16 0.09 0.08 0.31
Road
Binjian
3.7 0.14 0.09 0.09 0.21
g Road
Fuqin
3.0 0.13 0.07 0.08 0.18
Road

Fig. 2 Structure of Kohonen network

5. Evaluation results
Continental distance Kohonen network use the
criteria as a competitive win, when the input signal
In order to analyze the evaluation results，use
and neuronal best match, the distance between them
fuzzy, gray and matter-element model to judge the
f o r C o n t i n e n t a l
data in Table 2.The results are showed in Table 3.
X − Wc = min{ X − Wi }
i Table 3 evaluation method evaluation
n
Where X for the input vector of input space R , of the results table
Wi for t h e c or r esp on di n g wei gh t ve ct or. Evaluation Renmin Huaihai Binjiang Fuqin
For each input, the network only adjust part of Method Road Road Road Road
weights, which let weight vector close to the input neural
better poor medium good
vector or deviate from the input vector .This network
adjustment process is competitive learning. With fuzzy
better medium good good
continuous learning, all weights vector from each evaluation
other in the input vector space, forming their own grey
better medium good good
space on behalf of a class of input mode. evaluation
matter-element
better poor medium good
4. For example model

First use the daily average traffic of environmental
monitoring data during one month of four roads in
one city as the sample. Based on the above method to
study computer programming (for purposes of com-
pare-son, pre-set levels for the four categories of
classification) by the cluster center, then use the
From Table 3, we can see that the trend of the
evaluation results is the same, inconsistency is fuzzy
evaluation, gray evaluation which assigned Huaihai
Road to a "medium", Binjiang Road into "good."
Huaihai Road, CO, TSP and SO2 are more than three
indicators GB in the "medium" level indicators, its
included in the "medium" fair evaluation method that

166
is different from the results, but the Binjiang Road,
CO, TSP, NOx and SO2 are more than three
indicators GB in the "good" level indicators at its
included in the "good" level obviously is a
m i s j u d g m e n t .
6. Conclusions
This paper presents a comprehensive approach
taking into account the entire traffic atmosphere
environment impact evaluation index system in the
various factors affecting the results of the evaluation,
the results show that the method is simple to use,
accurate evaluation results reasonably, which
provides a new approach for the environmental
i m p a c t a s s e s s m e n t .
In this paper，using the method requires relatively
rich samples. If sampling is limited, too narrow
sampling samples, we can not fully reflect the actual
information, the cluster center position would lack of
standards. To attain the desired cluster center, the
need for more sections (fully reflect the impact of
urban traffic environment characteristics of the
atmosphere), more time traffic monitoring of the
environment, in order to obtain a large number of
measured data as a learning sample, which is
conducive to improve the credibility of classification.
167
Acknowledge: Hunan province natural science fund
（ 05JJ30184 ）； Hunan province
Communications Office accented term
（200423）；
References:
[1]LI Sheng. The Assessment Model of Atmospheric
transport of the Environmental, 21st century urban
transport systems in sustainable development, Beijing,
T h e t r a f f i c P r e s s , 1 9 9 9 .
[2] Bielli M. Carotenuto P, Site V. Transportation and
environment interactions: the Italian framework,
Tr a ns po rt at io n Res ea rc h, 19 9 8, 3 (6 ) :3 -4 3 .
[3] Danielis R, Chiabai A. Estimating the cost of pollution
from road transportation in Italy, Transportation
R es ea rch, 1 99 8, 3( 6) :3 - 1 5
[4] LI Ai-Zhen. Assessment Introduction of the on
atmospheric environment impact, Beijing, China
O c e a n P r e s s , 1 9 9 7 .
[5] SHEN Yana. Recognition of mechanical fault based on
Kohonen neural network. Journal of Traffic and
Transportation Engineering, 2002, 2(2): 55-59. (In
C h i n e s e )
[6] WANG Yu-song. Fault diagnosis of diesel based on
neural network, Journal of Traffic and Transportation
Engineering, 2003, 3(4): 44-47. (In Chinese)
 2008 International Conference on Intelligent Computation Technology and Automation

Adaptive Neural Network in Logistics Demand Forecasting

Yin Yanling1, Bu Xuhui2, Yu Fashan1

1
School of Electrical engineering and Automation
Henan Polytechnic University, Jiaozuo, china
2
Advanced Control Systems Lab., School of Electronics and Information Engineering,
Beijing Jiaotong University,Beijing, China
jzityyl@126.com, bxhtong@126.com, yufs@hpu.edu.cn

Abstract
Logistics demand forecasting is an important process
between Logistics programming and Logistics resource
allocation. The neural network algorithm is usually
applied to forecasting logistics demand. However it has
the problems of slow convergence and local optimization
in searching results when the training data is excessive.
This paper presents an adaptive neural network algorithm
for logistics demand forecasting. The empirical study
shows that the adaptive neural network algorithm has
faster convergence and higher precision than neural
network algorithm.
1. Introduction
Logistics demand forecasting plays an important role in
the process of logistics programming and logistics
resource allocation, and it also provides necessary
evidence and support for the police-making of the
government on logistics industry development and
infrastructure development Scholars home and abroad
have established many Models for microscopic logistics
demand forecasting. For example, the Spatial and
Temporal multinomial probability model in freight
logistics demand forecasting, the nonlinear time sequence
model in aviation service demand forecasting, the linear
regression model in freight demand forecasting, the grey
forecasting model, the fuzzy forecasting model and the
neural network forecasting model. Among all the
algorithms, the neural network which can approximate
any nonlinear mapping just by studying input and output
data has been widely applied in logistics demand
forecasting. However, the neural network algorithm also
has some drawbacks in application. When the training
sample data is large, the neural network has slow
convergence and prone to convergence to local minimum.
Sometimes we just achieve local optimization result and
corresponding inaccurate forecasting.
2. Factor affect on logistic demand
The logistic demand is affected by many economic
factors. However it mainly has three macroscopical
factors: economic scale, industrial structure and economic
space layout. Firstly, economic scale is the most important
factor because economy development is the crucial factor
in logistic demand. The more economic output, the more
need of logistic demand on raw material,
semi-manufactured goods and manufactured goods. The
boosting and prosperity of economy will promote logistic
demand, and vice versa. In a word, logistic industry has
great relativity with national economic development.
Secondly, the difference of industry structure has great
effect on the function, level and amount of logistic
demand. Some third industries (except the current
industry) affect logistic demand relatively, which is
extensive. In other words, logistic demand is large but has
less value added. On the contrast, industrial logistic
demand is centralized but it has high added-value.
Nevertheless, the third industry directly promotes modern
logistic development. Thirdly, the unbalanced economic
space layout and nonsymmetrical economy development
are also directly influences logistic demand. Especially in
china, the distribution of the natural and other energy
resources are very imbalanced. The area with lower
productivity such as the northeast, northwest, southwest
and all north area of china have multitudinal natural
resources. However, the middle and Coastal area of
china with large population and higher productivity have
poor natural resource. So it is being that some basic
industry, such as the raw materials, lower work is far
away from the further working. Logistic has great span in
temporal and spatial, which brings severe stress on
logistic demand among areas.
The logistic demand is derived from economy
development, so it is also potentially affected by factors
which affect economy development. Economy has
nonlinear mapping relationship with logistic demand,
which is intrinsic and connotative. So it is difficult to

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DOI 10.1109/ICICTA.2008.73
describe by simple model, but can be expressed by yd 1 (k  1)

y f ( x1 , x2 ,..., xn ) , where x1, x2,..., xn denote area x1 (k )

yd 1 (k  1) yd 2 ( k  1)
x2 ( k ) yd 2 ( k  1)
economy index. We can find area logistic demand is ydm (k  1)
affected by many economic indexes from xn (k )
ydm (k  1)
y f ( x1 , x2 ,..., xn ) , but each economic index has
different effect on area logistic demand. So it is a very
complex nonlinear mapping between area logistic demand
and economic indexes.
Fig.1 Model configuration of adaptive neural network
3. Forcasting model

The neural network model of logistics demand 4. Adaptive neureul network

forecasting belongs to data-driven, which approaches a
temporal sequence or a transformation of temporal The neural network forecasting has implemented an
sequence by the nonlinear characteristic of neural network, unknown input-output nonlinear mapping which is a kind
it is gained the future value by the past value. It is already of model irrelative estimator. Because of the
proved that a neural network which has three layers and approximation ability of neural network, we can always
many neurons can approach any function find a forward neural network f satisfies:
f ( x1 , x2 ,..., xn ) with an arbitrary precision, so we can
establish a neural network prediction model to forecast yd (k  1) f [ x(k ), w(k ),T (k )] )T [ x(k ), w(k )]T (k )
logistics demand. ˄1˅
Define:
y (k  1) yd (k  1)  G (k) ˄2˅
Y (k ) ( y1 (k ), y2 (k ),..., ym (k ))
It is the area logistics demand vector in k - th Where yd (k  1) is the neural network estimator of
year, yi (k ) (i 1, 2,..., m) is the area logistics demand in
y (k  1) , x(k ) is the input variable, w is the hidden
i - th aspect in k year, for example, quantity of all
transportation or freight turnover. layer input weight, T is the hidden layer output weight,
Define:
k is the time sequence, G  R is the output error.
X (k ) ( x1 (k ), x2 (k ),..., xn (k ))
Define the single NN (neural network) predictor model
Where X (k ) is the area logistics demand influence is
factors vector in k - th year, x j (k ) is the influence yd ( k  1) ) T ( z , w)T
factors in j  th in k year. Then
Due to the area logistics demand influence factors don’t y(k  1) yd (k  1)  G1 )T ( z1 , w)T  G1
varied greatly in short period, we can forecast Y (k ) y(k  2) yd (k  2)  G1  G 2 )T ( z2 , w)T  G1
by X (k  1) . It means that: ...
X (k 1) (x1 (k 1), x2 (k 1),..., xn (k 1)) y (k  d )
d
yd ( k  d )  ¦ G i ) T ( zd , w)T  ¦ G i
d

is the input of the neural network and i 1 i 1

Y (k ) ( y1 (k ), y2 (k ),..., ym (k )) is the corresponding
output, which forms n double sample data. The neural
network can approach the nonlinear mapping between
Y (k ) and X (k  1) by training n double sample data.
When new sample data is used, the neural network will
get along new learning and give new output. The model
configuration of adaptive neural network is shown in
figure 1.
Because neural network can approximate any nonlinear
mapping, the predicted error in each step G i (i 1, 2,..., d )
can achieve arbitrarily small which leads G1  G 2  ...  G d
is arbitrarily small. So we can realize a d -step advance
prediction by a single-step advance predictor.
We can adopt a global optimization to reduce online
computation, and train neural network configuration and
parameters by history data. Then we keep constant Z
and tune T online to modify network parameters.
Assumed that the model of neural network f is
shown in (1), and then the expectant prediction
input-output relation is

169
 y ( k  1) ) T [ x ( k ), Z ]T *  K ( k ) ˄3˅ area citizen consumption (hundred million yuan), y is
the transportation freight(ten thousand ton).
Where K (k ) is the model residual error of neural We design a three layer neural network with six input
network. layer point, one output layer point and 10 hidden layer
Define point, which is trained with data from 1978 to 2000 year
E (k ) T (k )  T * are list in table 1. The weight of neural network is
Then prediction error is learning by the adaptive algorithm in section IV. We
simulate training process in MATLAB, and the result is
G (k) yd (k 1)  y(k 1) shown in figure 2 and table 2. From figure 2, we can find
˄4˅ adaptive neural network has more rapid convergence than
)T [x(k),Z]E (k) K(k)
general neural network.
We consider that tuned parameters fluctuate in global Importing 2001-2006 year data are listed in table 1 to
optimization point because initial value of T has been trained neural network, we can gain forecasting results
trained, so we can apply parameter adaptive tuning based and errors, as shown in figure 3. It is shown that adaptive
on gradient algorithm neural network forecasting errors less than neural
T (k  1) T (k )  D)[ x(k ), Z ]G (k ), D ! 0 ˄5˅ network’s.
The prediction difference equation of adaptive neural
network is 1000

­ E ( k  1) E ( k )  D )[ x ( k ), Z ]G ( k ) 900 neural networl

® ˄6˅ adaptive neural networ
¯ G ( k ) ) [ x ( k ), Z ]E ( k )  K ( k )
T
800

Now, we consider the convergence of algorithm˄5˅,the 700

Lyapunov function is 600
f f
output error

v(k ) E (k ) E (k )  D
T 2
¦K
j k
2
( j)  ¦G ( j) 
j k
2
500

400
f
D 2
¦)
j k
T
[ x ( j ), Z ])[ x ( j ), Z ]G ( j ) ˄7˅
2
300

200
It is integrated along˄6˅we have
v ( k  1)  v ( k )
100

0
E T ( k  1) E ( k  1)  E T ( k ) E ( k )  0 50 100 15 0 20 0 25 0 30 0 35 0 40 0 45 0 50 0
training length
D K (k )  G (k ) 
2 2 2

Fig.2 Training of neural network

D 2 ) T [ x ( k ), Z ]) [ x ( k ), Z ]G 2 ( k )
 2DG 2 ( k )  [DK ( k )  G ( k )] 2  0
So the system is described by (6) is stable, and the 650
algorithm (5) is convergent.
600

5. Empirical analysis
550
forecasting error

This paper proposes an empirical Analysis according to 500

neural network
adaptive neural network
the data of reference [1], and forecast a city logistics
demand. We just consider transportation freight in
450
logistics demand forecasting result from the limitation of
statistic data. As shown in table 1, x1 is first industrial 400

output value (hundred million yuan), x2 is second

350
industrial output value (hundred million yuan), x3 is 2001 2002 2003
year
2004 2005 2006

third industrial output value (hundred million yuan), x4 is

Fig.3 Error of logistics demand forecasting
area retail amount (hundred million yuan), x5 is area
foreign trade amount (hundred million yuan), x6 is the

170
 Tab.1 Logistics demand economic statistical indexes in one city˄1978–2006˅

<HDU x1  x2  x3  x4  x5  x6  y
       
       
       
       
       
       
       
       
       
       
       
       
       
       
       
       
       
       
       
       
       
       
       
       
       
       
       
       
       
Data from˖ķhttp://www.stats-gov.cn; ĸThe handbook of china regional development(1978-1989)

Table 2 Forecasting error

      

Neural error      
network error rate      
Adaptive error      
neural network error rate      

6. Conlusion has more accuracy result and provides more effective

In this paper, an adaptive neural network algorithm
applied in logistics demand forecasting is proposed. The
adaptive neural network learning algorithm based on
gradient function is introduced, and whose convergence
has been proved by Lyapunov function. The results of
Empirical Analysis show that, it has the advantage of
concision, self-tuning and accuracy, and it has more rapid
convergence and lower error. Logistics demand
forecasting carried out by adaptive neural network will
support for government decision.
7. Reference
[1] Hou Rui, Zhang Bi-xi ,A Method for Forecasting Regional
Logistics Demand Based on MLP Neural Network and Its
Application,Systems engineering- theory & practice, 2005
˄12˅˖43-47
[2] Li ying,Zhou jing-xiang, The Application of Adaptive Neural

171
 Network to Prediction Modeling of Water Quality, System s Yin Yanling is a instructor with department Electrical
Engineering,Vol.19, No.1˖89-93,2001 engineering and Automation in Henan Polytechnic
[3] Rodrigo A,Hani S.Forecasting freisht transportation demand University. Her research are mainly related to enterprise
with the space ˊ time multinomial probity model [J]. management, System Engineering, etc.
Transportation Research Part B 34,2000,403-418.
[4] Bahram A, Iu1 c, Kambiz RˊThe demand for US air Bu XuHui is working for his Ph.D. degree in Beijing
transport service˖a chaos and nonlinearity investigation[J] Jiaotong University, Beijing, China. His research are
Transportation Research Part E 37,2001,337-353 mainly related to industrial process control, iterative
[5] Chen sen, Zhou feng.gray grey forecasting in logistics
learning control, intelligent transportation engineering,
demand, Tongji and Juece,2006.3: 59-60
[6] Liu guang-zhong, Li xiao-feng, The Improvement of BP etc.
Algorithm and Self-Adjustment of Structural Parameters, Yu FaShan is currently a professor with department
OR Transactions, Vol.5,No.1: 81-88, 2001 Electrical engineering and Automation in Henan
[7] SUN Yi-biao, WANG Cheng-ming, The Optimal
Polytechnic University. His research interests are in field
Decision-making for Logistics Paths with Planning Digraph
and Its Appl ication, Operations Research and Management of industrial process control.
Science Vol.12,No.2: 100-113, 2003
[8] Fite J,Taylor G,Usher J,Roberts J. Forecasting freight demand
using economic indices [J]. International Journal of Physical
Distribution & Logistics Management,2001,31(4)˖299

172
 2008 International Conference on Intelligent Computation Technology and Automation
Arithmetic for Multi-joint Redundant Robot Inverse Kinematics
Based on the Bayesian - BP Neural Network∗
Zhou Youhang, Tang Wenzhuang, Zhang Jianxun
School of Mechanical Engineering, Xiangtan University, Xiangtan, China 411105
zhouyouhang@xtu.edu.cn
Abstract
Based on the combination of Bayesian methods and
BP neural network, a Bayesian - BP neural network
model is presented to solve multi-joint redundant robot
inverse kinematics in the continuous path. After
inspecting joint’s movement rules of multi-joint robot,
the knowledge distribution of nature connection tied in
Bayesian methods is used to formalize all kinds of
priori information and implement the durative process
of learning. With BIC criteria, using a two-stage cross-
optimization method to amend parameters of network
weights and improves the learning speed of neural
networks, convergence and accuracy. The simulation
shows that Rotations or move changes of per joints are
smooth in the multiple working points of the robot
continuous path, and the error of the method could be
less than 0.001
1. Introduction
It is a key step in intelligent multi-joint robot
research that how to calculate each joint coordinate at
the next target points online according to the changes
of moving target. The problem of inverse kinematics of
multi-joint robot could be considered as a research of a
dynamic system from the point of view of control
theory, and it is difficult to establish a common
arithmetic because of the system’s redundancy,
multivariable strong coupling and nonlinear nature.
Moreover, the existence and uniqueness of anti-
Solution is also a major difficulty to solve the inverse
kinematics of multi-joint robot online [1,5,6].
There are some methods to solve the robot inverse
kinematics, which could be divided into analytical
method, algebra, geometry, numerical solution and
inverse solution algorithm based on Jacobian
Matrix[4,7]. However, it is difficult to compute the
matrix inverse operation and inverse trigonometric
function in these methods. Additional, the robot
geometry becomes very complex as the number of
∗
Project supported by Hunan Provincial Natural Science Foundation of China (06JJ5099)
978-0-7695-3357-5/08 $25.00 © 2008 IEEE 173
DOI 10.1109/ICICTA.2008.406
robot joint increasing, the analytical method, algebra
and geometry method could not be used. If we
predigest the matrix inversion algorithm to decrease
the calculation, the problems of high power and the
complex anti-function beyond triangular could not be
solved.
In recent years, Artificial Neural Network (ANN) is
often used to solve the problem of robot inverse
kinematics, because ANN has these advantages such
as: distribution of information storage, parallel
processing, fault-tolerance, and self-learning ability.
Especially, the research shows that any continuous
function may be replaced by a BP ANN with any
degree of accuracy. However, the BP network has no
feedback link and is easy in local minima, and it also
has slow convergence and needs long training time .So
it is difficult to solve multi-joint robot inverse
kinematics online directly with the method of BP ANN
[2,3,6]
, but there are many other ways to improve the
performance of BP ANN, such as Regular theory,
adding a constraint and other theories of statistics.
Based on the Bayesian theory, a three-layer BP
neural network is presented to study the inverse
kinematics of an 8 DOF drilling robot in this paper.
From a statistical point of view, the network output
could be considered as random variables and the
weight parameters could be considered as random
variable w of distribution output in the training of
network weight parameters (including threshold) with
the Bayesian method. And then, the best weight
parameter could be accessed quickly with BIC rules of
statistics.
2. The inverse kinematics problem of an 8
DOF drilling robot
The structure of an 8 DOF drilling robot is shown
in figure 1.
 1:Hydraulic rock drill 2:Propeller 3:Drill pipe 4:Manipulator body
Cb1:Manipulator left-back changes in the rate hydraulic Cb2:Manipulator right-back changes in the
cylinder rate hydraulic cylinder
Ce: Thruster compensation hydraulic cylinder C: Thruster flip hydraulic cylinder
Cf1:Manipulator right-up changes in the rate hydraulic Cl: Thruster Rollover hydraulic cylinder
cylinder
Cf2:Manipulator left-up changes in the rate hydraulic cylinder Cz: Manipulator telescopic hydraulic cylinder
Figure 1 .The manipulator’s structure of drilling robot

An 8 DOF drilling manipulator is equivalent to a T 8' is a direction cosine and show the
multi-joint robot which is made up of a series of relationship between the end operator of the robot
joints. A coordinate system fixed in the manipulator position and the base coordinate; n is normal
is given to each joint, and D-H method is used to
describe the relationship among these coordinate vector; o is sliding vector; α is vector close; p is
systems. Position vector.(Reference [9])
With the D-H rule, the parameters are shown in Thus, the inverse kinematics problem of 8 DOF
table 1, and the parameters d 1 , a 8 also can be changed.
drill robot is how to calculate rotational angle or
distance of each joint with equation (1). 12
equations could be obtained from equation (1), but
Table 1. Parameter in each joint of the robot independent equations are no more than 6, and these
shaft Variable α a d equations all are transcendental equation of the
1 θ1 -90° a1 0 inverse trigonometric function. It is hard to calculate
2 θ2 0° a2 0 analytical solutions. So the method of Bayesian - BP
3 θ3 90° a3 0 neural network is used in the problem.
4 θ 4 + 90 o
90° 0 d4
5 θ5 0° 0 d5 3. The Bayesian - BP neural network for 8
6 θ6 − 90 o
0° 0 d6 DOF drill robot
7 0° 0° a7 0
8 0° 0° a8 0 3.1.BP neural network model for 8 DOF drill
Pose matrix are usually used in manipulator to robot
describe the position of drill’s end operator. The input and output problem of a group
Kinematical equations of the manipulator could be training samples could be transformed to a non-
calculated from coordinate transformation linear optimization problem through BP neural
8' network, and a nonlinear mapping from input type
matrix T1 , T2 ,..., T8 . And then the matrix T
space to output type space could be realized.
describing drill’s end operator could also be Through the signal’s positive communication and
calculated. the error’s directional transmission, with δ study
⎡ n8 x o8 x a8 x p8 x ⎤ rules and error descent method, amending the
⎢n o8 y a8 y p 8 y ⎥⎥ ; parameters of network weights, the output error
T 8' = ⎢ 8 y (1)
⎢ n8 z o8 z a8 z p8 z ⎥ could be reduced. The inverse kinematics problem
⎢ ⎥ of multi-joint redundant robot is also a nonlinear
⎣ 0 0 0 1 ⎦
mapping from a robot operation space to a robot

174
joint space. Therefore, the method of multilayer
feed-forward network based on BP arithmetic could
be used to solve multi-joint redundant robot inverse
kinematics[3,5,6].
The BP neural network model built for 8 DOF
drill robot inverse kinematics is shown in figure 3.
This network is structured by three layers. In the
input layer, there are 12 nodes, and these nodes are
corresponding to the robot end’s position. In the
n 8x
I1
a 8z
I 12
输 入Input层 layer Hidden
隐 层 layer
n i = 1 2 n = 12 n j = 5 0= 50
n n =n8k = 8
Figure 3. BP neural network model for 8 DOF drill robot inverse kinematics
In the above equation, η is learning rate; f (x)
is transfer function; t l is the output expectations of
output nodes; ol is network computing output; xi
is the value of entry node; wli is the network
weights between input nodes and hidden nodes; Tli
is the network weights of hidden nodes and output
s
nodes ; i is the input of neurons.
Network optimization objective function
(Conventional error) is shown in equation (4):
1 K N
J D (F ) = ∑∑ (d nk − y nk )
2 k =1 n =1
(4)
In the equation (4), J D (F ) is conventional
network errors; N is the number of samples; K is
the number of network output; d is output
expectations; y is network actual output.
3.2.The research of robot inverse kinematics
based on the continuous path
In the above sections, only can one group of
joint’s values be discussed from one end’s position
of the robot in the operation space. In fact, there are
many groups of joints values to describe multiple
175
hidden layer, there are 50 nodes. In the output layer,
there are 8 nodes, and these nodes are corresponding
to 6 rotary joint and 2 mobile joint.
Arithmetic in the weights and threshold of the
input nodes and the hidden nodes are:
Δwli = η (tl − ol ) f ′( sl ) xi (2)
Δθ i = ηf ′( si )∑ (t l − ol )Tli (3)
l
θ 1
o1
θ 2
o2
θ 5
o5
θ 6
o6
D1
o7
D8
o8
Output输layer
出层
end’s positions of the robot on the robot continuous
path, and the changes of each joint’s should be
smooth according to control requirements of robot.
On the other hand, there are many results in
equation (4). It means that there are many groups of
joint’s value to meet with the state of the robot’s
end, and it is also important how to choose an
appropriate group of joints value.
In engineering applications, if the travel of one
joint is minimum after finishing all task, it would
needs the shortest time. Meanwhile, if the total
travel of all the joints achieve minimum after
finishing all work, the work efficiency of the multi-
joint robot would be highest.
So, the absolute sum of joint’s changes is
considered as the optimization objective function of
robot.
n −1
JG = ∑
i =1
(θ i − θ i + 1 ) 2 (5)
In equation (5), J G is optimization objective
function; θ is variable joint movement; n is
number of the robot end pose.
Moreover, robots are affected by some other
factors, such as mechanical interference and
mechanical gap in joints.
3.3.Bayesian - BP neural network for solving
inverse kinematics of 8 DOF robot
From the theory of mathematics, it is a typical
pathological problems to solve equation (4) with
only one end position of robot [2,7,8]. If we add a
constraint with regular theory, the problem could be
solved. In this paper, the other problems discussed
in part 2.3 could be considered as prior knowledge
and restrict the equation (4) as a constraint. So a
normality- Γ function is introduced to combine the
prior knowledge and sample information. The
objective function should be:
1K N 1
J (F ) = β • ∑∑(dnk − ynk )2 + α • 2 || PJG ||2
2 k =1 n=1 (6)
= βJD (F) + αJw (Γ)
In the equation (6): J w (Γ) is the network
complexity of the punishment in regularization
method; P is smooth operator constraints; α , β
control the distribution of other parameters .It is
difficult to estimate α , β in regularization method.
Bayesian method is imported to estimate these
parameters in this paper[7,8].
Bayesian method is applied mainly in point
estimates and range estimates of Parameters, and its
subjective probability distribution includes prior
knowledge. This method could analyze the
probability distribution of the interested parameters
from the priori probability distribution of the
interested parameters and real data. And then it
could obtain the estimated value of the parameter or
range parameter with this result.
With this method, the weights of BP network
are studied and corrected further. The probabilistic
analysis [7] of network study is:
(1) Similarity, with the network framework A
and neural network weights parameters W , the
forecast probability distribution outputted by
network goals is :
exp(−βE(t m | X m ,W, β, A)) (7)
P(t m | X m ,W, β, A) =
Z M (β )
(2) The priori probability of the neural network
parameters is :
exp( − α E w ( W | A ))) (8)
P (W | α , A ) =
Z W (α )
(3) After obtaining the training data, the
posterior probability of network parameters is :
exp( − α E W − β E D ) (9)
P (W | D , α , β , A ) =
Z M (α , β )
176
In the equation (9), Zm(α) , Zm(β) , Zm(α, β) are
normalized factor. Minimize the total error function
J (F) is the same as the most likely parameters of
the network weights in this framework.
With the above rules, the Bayesian - BP neural
network arithmetic is built in figure 4.
Training data input
BP network model
Optimal parameters
with Bayesian method
If the BIC
No
is optimal
Yes
Output final model
Figure 4. Bayesian - BP neural network
4. Simulation results
A simulation has been done with the above
method. 180 groups of data are chosen as the input
of BP network and expected output data on the
continuous path of robot, and the Conventional
system error is chosen 0.003 to train network. The
simulation shows the number of training of
Bayesian - BP neural network is reduce average 1/3
than the BP network’s training numbers. After the
success of the training network, we choose 5 groups
robot’s end positions (the data is shown in figure 5)
from the continuous path of robot at random as test
samples. Firstly, 5 groups parameter n x , n y , L p z is
the input data of BP network, and the network
outputs θ1 , θ 2 , θ 3 , θ 4 , θ 5 , θ 6 , d 1 , a 8 is used to get
n′x , n′y ,L p ′z with equation (1). The error and the
absolute changes of each joint J G can be computed
from contrasting n x , n y , L p z and n ′x , n ′y , L p ′z ,
and the conclusion is shown in table 2. Secondly,
the other conclusion can be gotten to use the
method of Bayesian - BP neural network , and the
data is shown in table 3.
 than the BP network’s training numbers. After the
success of the training network, we choose 5 groups
robot’s end positions (the data is shown in figure 5)
from the continuous path of robot at random as test
samples. Firstly, 5 groups parameter n x , n y , L p z is
the input data of BP network, and the network
outputs θ1 , θ 2 , θ 3 , θ 4 , θ 5 ,θ 6 , d 1 , a 8 is used to get
n′x , n′y ,L p ′z with equation (1). The error and the
Figure 5. The path of the robot end in xoy plane absolute changes of each joint J G can be computed
5. Simulation results from contrasting n x , n y ,L p z and n′x , n′y ,L p ′z ,
A simulation has been done with the above
and the conclusion is shown in table 2. Secondly,
method. 180 groups of data are chosen as the input
the other conclusion can be gotten to use the
of BP network and expected output data on the
method of Bayesian - BP neural network , and the
continuous path of robot, and the Conventional
data is shown in table 3.
system error is chosen 0.003 to train network. The
simulation shows the number of training of
Bayesian - BP neural network is reduce average 1/3
Table 2. the conclusion from the method with BP network
θ1 θ2 θ3 θ4 θ5 θ6 D1 a8 ε
P1 0.27544 0.36543 -0.12063 -0.64708 2.80653 -0.13789 0.62571 0.32421 0.00056
P2 -0.05379 0.66352 -0.07831 0.00254 3.05222 0.10541 1.06131 0.26754 0.00199
P3 0.33294 0.46514 0.19675 -0.30761 -1.55645 0.06512 0.78226 0.89624 0.00212
P4 0.15879 0.56272 -0.72365 -0.08277 -0.78431 0.14559 1.03322 0.02390 0.00096
P5 -0.13246 -0.18263 0.03671 -0.02446 -2.16609 0.09677 0.63780 0.33484 0.00152
JG 0.8901 0.7363 1.2378 1.1846 5.6265 0.3641 0.9656 3.4426 -----

Table 3. the conclusion from the method with Bayesian - BP neural network
θ1 θ2 θ3 θ4 θ5 θ6 D1 a8 ε
P1 -0.17688 0.58558 -0.64882 0.24708 3.27085 0.08217 1.00541 0.82496 0.00232
P2 0.05379 0.58558 -0.64963 0.04286 3.25222 0.09741 0.86453 0.38696 0.00299
P3 0.27493 0.86116 -1.0040 -0.29051 -1.77343 0.11265 1.03684 0.69624 0.00294
P4 0.07282 0.40049 -0.51931 -0.09440 -1.82123 0.12838 0.99223 0.04309 0.00289
P5 0.07282 -0.10688 -0.01245 -0.07288 -1.96906 0.12838 1.10238 0.03990 0.00252
JG 0.6539 0.5940 0.8399 0.7337 5.0921 0.0462 0.3578 1.5577 -----

Changes of each joint from two methods (BP
network and Bayesian - BP neural network) are
shown in figure 6, in which A curve is used to
describe changes of each joint in table 2, and B
curve is used to describe changes of each joint in
table 3.
From the above discussion, taking into account
the changes of each joint on the drilling robot
continuous path, the accuracy of the method has
been decreased with Bayesian - BP neural network,
but still up to 0.003 to meet with the control
requirements of the rock drilling robot, especially,
changes of each joint is gentler in adjacent 5 goals
pose point.

177
 Figure 6. Robot joint changes in the comparison
6. Conclusion
From the research on robot inverse kinematics
based on Bayesian-BP neural network, the
following conclusions could be summarized:
(1) The BP neural network nonlinear mapping
method could be used to solve the problem
effectively, nonlinear mapping from operating room
to joint room in robot control.
(2) According to the planning path for robots,the
joints’ coordinate could be optimized by using this
method,which could ensure joints’ movement gentle
and avoid the joints’ campaign mutation.
Sum up the above analysis,the algorithm based
on the Bayesian - BP Neural Network works
effectively in solving multi-joint redundant robot
inverse kinematics. While the Bayesian method
introduced in this paper doesn’t analyze the move
scope of each joint, the move gap of joints and
mechanical interference among joints. And more
researches are needed to build a suitable normality-
Γ function to combine these factors.
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2005,6(11): 5~11
[8] P. Kalraa, P.B. Mahapatrab and D.K. Aggarwalb. An
evolutionary approach for solving the multimodal inverse
kinematics problem of industrial robots[J]. Mechanism and
Machine Theory, Volume 41, Issue 10, October 2006, Pages
1213-1229
[9] Zhou Youhang. The research and realization of the bore
sequence planning in tunnel-rock-drilling robot. Central
South University doctoral dissertation,2003
 2008 International Conference on Intelligent Computation Technology and Automation
Applying Artificial Neural Network Model in Assessing East
Dongting Lake Wetland’s Ecosystem Carrying Capacity
Y. Z. Shi
School of Water Conservancy, Changsha
University of Technology & Science,
Changsha 410076,China
shiyz8@126.com
Abstract
Because of the superiority in approximation,
classification and study speed, the radial basis
function artificial neural network (RBF-ANN) model is
receiving more and more scholars’ attention. Its
framework, design, simulation and output of graphs
are presented. With the aid of MATLAB tools,
integrative assessment of regional ecosystem carrying
capacity using above model is introduced. As an
applied example, the assessment index system
including 14 indexes and the standard including 3
levels are constructed for the East Dongting Lake
wetland to assess its ecosystem carrying capacity. The
result indicates that the ecosystem carrying capacity in
studied area belongs to middle-load, which conforms
to the local actual situation. In addition, RBF-ANN
model is proved to be simple, effective to classify, with
strong applicability and broadly-applicable prospect.
1. Introduction
When traditional artificial neural network back
propagation (BP-ANN) algorithm approximates
functions, the weight adjusts in the way of
anti-gradient drop, which shows a limitation lying in
slow convergence rate and partial minimum. But the
RBF-ANN is superior to BP-ANN in approximation
ability, classified ability and study speed [1]. Moreover,
the traditional method of first productive force of
natural vegetation[2], the method of level analytic[3],
the method of state space[4],the method of ecology
trail[5] and so on, all have respective merit and
978-0-7695-3357-5/08 $25.00 © 2008 IEEE
DOI 10.1109/ICICTA.2008.412
D. J. Xin
Computer Science College, Central South
University of Forestry and Technology,
Changsha 410004, China
xindj@126.com
insufficiency[6]. So the RBF-ANN model is applied to
assess regional ecosystem carrying capacity, and the
part work is done under the MATLAB environment.
2. The RBF-ANN model
2.1. The model
The structure of the RBF-ANN is composed of
three strata (shown in figure 1). The nodes on input
stratum transmits input signal to implicit stratum, on
which the nodes are made of radially-symmetrical
function like gauss function, and the output nodes
usually are simple linear function.
Figure 1. The structure of RBF-ANN
The basis function of the implicit nodes responds to
the input signal partially. Namely when input signal is
close to central scope of the function, the implicit
nodes will produce big output, which indicates that the
RBF-ANN has the ability of partial approximation.
Radially-symmetrical gauss function usually is used
to be the basis function:
179
 x − ci
2 may increase the implicit strata neuron automatically,
Ri ( x) = exp[− ] i = 1, 2, " m
2σ i
2
Where x is the n dimension input vector, ci with the
same dimension to x is the center of ith basis function,
σi is the ith apperceive variable deciding the width of
the basis function to central point, m is the number of
the apperceive unit, and║x-ci║ is the norm of the
vector x-ci, expressing the distance between x and ci.
Ri(x) has the only maximum at ci. Along with ║x-ci║
increasing, Ri(x) attenuates to 0 rapidly, only a small
part of it is activated approaching the center of x for
appointed x∈Rn,
From figure 1, input stratum realizes non-linear
mapping from x to Ri(x), while output stratum realize
linear mapping from Ri(x) to yk, namely:
m
yk = ∑w
i =1
ik Ri ( x ) k = 1, 2 , " p
Where, p is the number of output nodes, wik is the
connection weight from implicit stratum to the output
stratum, yk is output value of each output node.
The RBF-ANN can approximate any continual
nonlinear function theoretically like the BP-ANN. The
main difference between them is the processing
function adopted. The implicit strata nodes of the
BP-ANN use Sigmoid function, whose function value
is non-zero in infinite scope of the input space, while
processing function of the RBF-ANN is partial.
2.2. Steps of the assessment
Step 1: establish training sample’s input and output
vector of the network by the standard data. To the
assessment of regional ecosystem carrying capacity
with n levels, m indexes, its input and output vectors
are:
ｘ=[ｘ1,ｘ2,…,ｘｎ]，ｙ=[1,2,3,…,n]
Ｔ
Where,ｘi=[ai1 ai2 … aim]
⎧a * when a * is a benefit index
⎪⎪ ij ij
a ij = ⎨ 1 * and percentage are expressed in level 1 (qualified),
⎪ * when a ij is a cost index
⎩⎪ ij
a level 2 (medium) and level 3(good) through referring
a ij = a ij / f max ( j ) (4)
Where aij is the value of jth index in ith level, fmax(j)
is the maximum of aij in jth index. After aij is
processed standardly by formula (3) and (4), the values
of each index take arrange from small to large in n
levels.
Step 2: design a RBF-ANN with the newrb
function.
Format: net = newrb (x, y, goal, spread)
When RBF-ANN approaches the function, newrb
（1） until the mean error is satisfied the request. Where x, y,
goal, spread are normalized input vector, normalized
goal vector, mean error and RBF-ANN distribution
respectively.
Step 3: carry on assessment with the sim function to
regional ecosystem carrying capacity.
Format: b=sim (net, a)
Where a, b is normalized input vector of assessed
unit and the level of regional ecosystem carrying
capacity respectively.
Three steps above make up of the RBF-ANN model
to assess regional ecosystem carrying capacity under
MATLAB environment.
3. Example
（2） The East Dongting Lake wetland is chosen as the
assessed object to test the RBF-ANN model. It is
situated at the south side of the Jingjiang section at the
Yangtze River middle reaches, between north latitude
28º59′ to 29º38′, east longitude 112º43′ to 113º15′,
the total area amounting to 1190,000 hectares
approximately. The East Dongting Lake belongs to
Yueyang city of Hunan province, one part of the
Dongting Lake.
3.1. The index system and assessment standard
To assess regional ecosystem carrying capacity,
there are many complex, different-characteristic
indexes. Moreover, the indexes chosen should satisfy
such principles as authenticity, commeasurability,
maneuverability, easy-acquirability and usability.
Therefore the assessment index should express in
forms of unit average value, percentage and growth
rate as far as possible.
As for assessment standard, besides the
environment quality index, there aren’t satisfying
consistent one at present yet [7-9]. To be
(3) commeasurable, indexes in form of unit average value
to domestic economy development level, are suitable
to different development time; Indexes in form of
growth rate are expressed in level 1(low speed), level 2
(medium speed) and level 3 (high speed) three
development levels, referring to the domestic and
foreign situations and integrating different
development time request.
According to the above principles, the index system
(figure 2) and the assessment standard (table 1) are
established.
180
 wetland utilization rate is medium, it has certain
development space. (3)low-load, means that the
development of social and economy is higher, resource
is very rich, environment is polluted mildly, wetland
area is very big, population density is small, the
wetland utilization rate is lower, it has bigger
development space.

3.2. Calculation of ecosystem carrying capacity

Step 1: establishe input and output vectors of the

training sample.

x= x1 x2 x3…xn
0.53 0.67 0.33 0.50 0.10 0.40 0.25 0.20 0.50 0.50 0.33 0.17 0.25 0.20
= 0.80 0.80 0.50 0.71 0.20 0.60 0.50 0.40 0.70 0.70 0.67 0.50 0.50 0.40
1.00 1.00 1.00 1.00 1.00 1.00 1.00 1.00 1.00 1.00 1.00 1.00 1.00 1.00

y= 1 2 3…n = 1 2 3

Figure 2. The index system

Table 1. Assessment standard
standard
index
level 1 level 2 level 3
C1 (%) 8 12 15
C2 (t) 30 25 20
C3 (kg) 300 200 100
C4(people/km2） 500 350 250
C5 (%) 10 5 1 Figure 3. The result of training
C6(mu/people) 1 1.5 2.5 Table 2. Actual value of assessment indexes
C7(mu/people） 1 2 4 year
C8 (%) 100 50 20 index
2002 2003 2004
C9 (%) 50 70 100 C1 (%) 10.5 9.6 12.2
C10 (%) 50 70 100 C2 (t) 25.2 21.8 20.6
C11 (CNY/people) 5000 10000 15000 C3 (kg) 233 233 214
C12 (CNY/people) 1000 3000 6000 2
C4(people/km ） 255.1 256.1 256.3
C13 (CNY/people) 3000 6000 12000 C5 (%) 4.6 4.5 4.5
C14 (%) 100 50 20 C6(mu/people) 0.98 0.98 0.98
In order to consist with the assessment standard, C7(mu/people） 3.8 3.6 3.5
wetland’s ecosystem carrying capacity is also divided C8 (%) 37 40 41
into three levels: (1)overload, meaning that the
C9 (%) 87 87 87
development of social and economy is weak, resource
is deficient, environment pollution is serious, wetland C10 (%) 71.6 71.6 71.6
area is small, population density is big, the wetland C11 (CNY/people) 8616 9400 11156
utilization rate is high, it is not suitable to further C12 (CNY/people) 2704 2946 3336
develop. (2)middle-load, meaning that the C13 (CNY/people) 8329 8981 10136
development of social and economy is medium,
resource is richer, environment is polluted moderately, C14 (%) 46 47 49
wetland area is bigger, population density is bigger, the Step 2: train the network with newrb function.

181
Make eg=0, sc=1, then net= newrb (x, y, eg, sc).The
training result can be obtained by t=sim(net, x),
which can be output by the function of plot(y,y,’*
k’,y,t,’ok’), shown in figure 3.
Step 3: process the data in table 2 standardly to
obtain the input vector a. The data all come from local
yearbook of Yueyang city or Hunan province yearbook
directly or indirectly.
Step 4: carry on the assessment with sim function:
b=sim(net, a). Output the result by the function plot (e,
b,' * k'), shown in figure 4, where e= [1 2 3] is the
vector of year. Finally, the ecosystem carrying capacity
vector of the East Dongting Lake wetland is obtained:
b = [1.64 1.67 1.75].
Figure 4. The result of assessment
3.3. Analysis
According to the result above, the ecosystem
carrying capacities of the East Dongting Lake wetland
are all between level 1 and level 2 in the three years:
2002-2004. Therefore they all belong to level 2.
Obviously, the ecosystem carrying capacity has the
trend of growth year by year, which accords with local
actual situation in the three years: matching economy
growth to environment and resource, boosting up
environment protection.
4. Conclusions
(1) Carry on the assessment of ecosystem carrying
capacity using the RBF-ANN model, which solves the
problem of incompatibility to each index.
(2) Under the environment of MATLAB, the
assessment results obtained by the RBF-ANN model
are direct-viewing and visual. The image can be output
by the function plot (e, b,' * k') directly.
(3) The method has strong applicability, not only
182
can determine the assessment level, but also can
compare different assessed objects with their
ecosystem carrying capacities, with strong classified
function.
(4) Take the East Dongting Lake wetland as the
example. The result indicates that the regional
ecosystem carrying capacity in 2002-2004 three years,
belonging to level 2, which accords to local actual
situation.
Acknowledgement
Financial supports from Innovation Team Plan
(2007CX05) and Doctor Fund (1004154) are highly
appreciated.
Reference
[1] X. Wen, L. ZHou, and D. L. Wang, Applied Design of
MATLAB Neural Network, Science Press, Beijing, 2000.
[2] J. J. Wang, X. H. Yao, and J. R. Li, “Assessment for
Ecological Carrying Capacity of Heihe River Basin”,
Research of Environmental Sciences, China Environment
Science Press, Beijing, 2000, pp. 44-46.
[3] J. X. Gao, Discussion of the Theoretic of Sustainable
Development: Ecological Carrying Theory, Method and its
Application, China Environmental Science Press, Beijing,
2001.
[4] H. Y. Mao, D. L. Yu, “Regional Carrying Capacity in
Bohai Rim”, Acta Geographica Sinica, Science in China
Press, Beijing, 2001, pp. 364-365.
[5] K. Z. Yang, Y. Yang, and J. Chen, “Ecological Footprint
Analysis: Concept, Method and Cases”, Advance in Earth
Sciences, Science Press, Beijing, 2000, pp. 630-636.
[6] B. Deng, F. C. Hong, R. J. Long, “Review of
quantitatively analyzing regional ecological carrying
capacity”, Journal of Gansu Agricultural University,China
Agriculture Press, Beijing, 2003, pp. 281-289.
[7] P. Duarte, R. Meneses, and A.J.S. Hawkins,
“Mathematical Modelling to Assess the Carrying Capacity
for Multi-Species Culture within Coastal Waters”, Ecological
Modelling, ELSEVIER, Amsterdam, 2003, pp.109-143.
[8] W. Dwight. A. Steven, “Population Growth,Carrying
Capacity, and Conflict”, Current Anthropology, Elsevier Ltd.,
Oxford, 2003, pp.59-86.
[9] T. Ye, H. Z. Yang, “Calculation and Analysis of the
Ecological Footprint in Shanghai, 2003”, Sichuan
Environment, Sichuan Environment Press, Chengdou, 2005,
pp.15-18.
 2008 International Conference on Intelligent Computation Technology and Automation
Elevator Group Dynamic Dispatching System Based on Artificial Intelligent
Theory
Liting Cao, Shiru Zhou and Shuo Yang
Beijing Union University
caoliting0618@163.com
Abstract
Elevator group control is a multi-input and
multi-output decision-making problem. It is very
difficult to obtain high quality performance by using
traditional control method due to the uncertainty of
traffic flow and complexity of elevator control. A
dynamic dispatching system for elevator group based
on artificial intelligent technology is presented in this
paper. This system includes traffic pattern identify
module and dispatching control module mainly. Traffic
pattern identify module based on ANN expert system is
used to identify the traffic mode of elevators according
to the actual traffic flow. Dispatching control module
founded on ANN control theory is used to calculate
dispatching parameter, the power coefficients selected
according to the traffic mode, and give optimized
dispatching scheme via ANN deducing. The simulation
is made in MATLAB. The results show that elevator
dispatching pattern is optimized, the service quality of
elevator is improved, and the transportation efficiency
of elevator is increased by using this control system.
1. Introduction
The requirement of elevators increased rapidly
along with the development of intelligent building.
As the most important conveyance, the elevator and its
control technology is always the magnitude study task
from it emersion. Elevator group control is a MIMO
(multi-input and multi-output) decision-making
problem. It is very difficult to obtain the high
quality performance by using traditional control
method due to the uncertainty of traffic and complexity
of elevator control. Especially, how to dispatch
elevator in reason is stringent problem.
The expert system emerged in 1960s is a new
control theory that can handle many problem by
deducing and estimating according the knowledge and
experience of human experts. It is the earliest artificial
978-0-7695-3357-5/08 $25.00 © 2008 IEEE 183
DOI 10.1109/ICICTA.2008.114
intelligent theory that applied to the control system for
elevator group [1]. But the knowledge and experience
of human experts present limited and the control
formula are relatively faulty for the complex variable
elevator system. So the control effect of expert control
system is not very satisfying.
The most successive application of elevator group
control system based on ANN (Artificial Neural
Network) is identification of the variety of traffic flow
[3]. An extrude specialty of ANN is it can achieve the
expectation value eventually by obtaining knowledge
from circumstance and upswing itself performances.
The power coefficients adjusted during the
self-learning course of ANN. But the frame will rather
huge if using ANN single because the elevator system
has multimode, as the results the learning time will too
long and the astringency of controller will dropped.
A dynamic optimized dispatching system for
elevator group based on synthetically application the
ANN and expert system theory of artificial intelligent
technology is presented in this paper. The elevator
group is divided into five traffic modes according to
the actual traffic flow by using an expert system based
on ANN firstly, and then a synthetically estimate
parameter of elevator dispatching will be deduced by
ANN estimation.
2. System design
Fig.1 shows the structure of dynamic optimized
dispatching system for elevator group, it includes
‘traffic pattern identify’ and ‘dispatching parameter
calculation’ two modules mainly.
Figure 1. Structure of dynamic optimized dispatching system
for elevator Group.
 Traffic pattern identify module based on ANN
expert system is used to identify the traffic mode of
elevators. The identify gist is the traffic mode identify
repository established by experience of human being
experts. The system real-timely collects correlated
information of traffic, and the corresponding traffic
mode will be deduced as the output of ‘traffic pattern
identify module’ and also the input of ‘dispatching
parameter calculation module’. The traffic mode is the
result of illation and learning of ANN according traffic
information elected real-timely found on repository.
The elevators that fully loaded, maintaining or clearly
unsuitable participate in dispatching are excluded as
the result of identification, so that the work press of
‘dispatching parameter calculation module’ decreased,
the efficiency of ‘dispatching parameter calculation
module’ is increased, and the logical rationality of
dispatching scheme is enhanced. ‘Dispatching
parameter calculation module’ founded on ANN
control theory is used to calculate the dispatching
parameter, the power coefficients selected according to
the traffic mode, and give optimized dispatching
scheme via ANN deducing.
The traffic mode of elevator is identified dynamic
and real-time. The optimized dispatching of elevator
will redo when the optimized condition is breaked, So
that the optimized dispatching control for multi
elevator is always can be realized.
3. Traffic pattern identify
3.1. Compartmentalization of elevator traffic
pattern
The elevator group is divided into five traffic modes
according to the actual traffic flow [4].
Upstairs busy mode. The frequency of upstairs
calling signals is very high rather than the frequency of
downstairs calling signals is very low in this mode.
The mainly task in ‘upstairs busy mode’ is transport
the passengers upstairs as soon as possible. The latency
time should be reduced in this mode.
Downstairs busy mode. The frequency of
downstairs calling signals is very high relative to
upstairs busy mode. The mainly task in ‘downstairs
busy mode’ is transport the passengers downstairs as
soon as possible. The latency time should be reduced
in this mode as same as ‘upstairs busy mode’.
Balance mode. This is the normal traffic mode of
elevator group and calculating of dispatching
parameter is the mainly work of control system
therefore. In this mode, the frequency of downstairs
calling signals is ultimately equal to the frequency of
downstairs calling signals, and they all present medium
frequency. The latency time, function efficiency of
184
elevators and energy-exhaust should be synthesized as
the control aim of balance mode.
Momently busy mode. There are several elevators
not the whole elevator group in busy state.
Idle mode. The passengers are relatively less when
evening or holidays, and this time the most of elevators
are in idle state. The mainly task in ‘idle mode’ is
saving energy. The operating velocity will be reduced
and some elevators will be shut down in this mode.
The calculate method of function elevator is according
to the detaching method of balance mode.
3.2 Structure of traffic pattern identify module and
function description
The inputs and outputs of ANN and expert system
is corporate take no account of the realization details.
They all contain knowledge acquisition, knowledge
expression, knowledge illation, and knowledge
updating. ANN is suitable for experience deducing on
surface levels because it is an instinct reflection based
on input to output. On the contra side, the expert
system is suitable for logical deducing on profundity
levels because it is based on knowledge and formula.
The feature of expert system is symbol deducing and
ANN is clever at numerical calculation. Therefore, the
capabilities can be patched and the intelligence level of
intelligent system will be advanced integrating the
expert system and ANN theory [5-6] .
Traffic pattern identify module adopts expert
system based on ANN. The neural network expert
system (NNES) is a combinative intelligent system
takes artificial neural network as the core. NNES can
realize not only the basic functions of expert system
but also self-learning and collateral deducing.
Figure 2. Structure of traffic pattern identify module.
The structure of traffic pattern identify module is
showed in Fig. 2; it is composed by coding unit,
repository, ANN unit, dynamic fact database, decoding
unit and explaining organ.
Coding unit is used to achieve coding knowledge
and experience of human beings expert.
Repository is a database used to store knowledge
and experience of human beings expert.
Decoding unit is used to achieve decoding task of
knowledge.
ANN unit is the core of traffic pattern identify
module, and it is used to achieve knowledge then elevator i is not be dispatched;
acquisition, establishing repository and deducing p_rule 3: if elevator i has been dispatched for
utilizing knowledge based on repository. another calling
Dynamic fact database is used to store the original then elevator i is not be dispatched;
fact, the middle deduced conclusion and eventual result. There are many other rules:
The contents in dynamic fact database are continuous p_rule: if in upstairs busy mode
vary, At the beginning of deducing the contents in it are then downstairs calling is ignored;
original facts; during the deducing course the contents p_rule: if in downstairs busy mode
in it are the middle deduced conclusions of every step; then upstairs calling is ignored excepting the
and when the deducing end the contents in it is first floor.
eventual result.
Explaining organ is used to present and explain the 4. Dispatching Control
traffic identification solution for the dispatching
parameter calculation module. In every traffic mode, the corresponding
The function of the NNES can be described as dispatching scheme will be deduced by ANN
follows: knowledge and experience are store in ANN estimation. Fig. 3 describes the structure of elevator
unit in numerical form after duality standardization and dispatching control module based on ANN.
coding. ANN will self-learning and store knowledge
and then online deduces according the deducing
formula. The origin fact, middle solution and eventual
result will store in dynamic fact database. The eventual
result will be transform to fact during encoding unit
and output the traffic pattern identify module via
explaining organ.
3.3. Expression of Knowledge
Knowledge is the core of expert system. In this
paper we take production expression form which basic Figure.3 Structure of elevator dispatching control module.
formula form is: A→B or IF A THEN B. Where, ‘A’ is
the precondition of production formula, it is used to Automatic measure equipments installed at elevator
indicate if the formula is usable; ’B’ is a set of wing-room and machine room will constantly gather
operations or resolutions, it is used to indicate the the traffic information in operation course. The traffc
corresponding solutions or executive operations when status will be forecasted according real-time traffic
‘A’ is satisfied. information and traffic mode come from traffic pattern
The description and meaning of production formula identify module. The data stored in ANN database are used
is given by Backus Normal Form (BNF). to study and identify for ANN. The dynamic optimized
The usual deducing rules are showed as follows dispatching scheme for elevator group will be obtained
The rules independent to the calling information: after ANN illation.
Traffic_Rule:
p_rule 1: if the upstairs busy counter>2
then output upstairs busy mode.
p_rule 2: if the downstairs busy counter>2
and (downstairs calling floors-upstairs calling
floors>2)
then output downstairs busy mode.
p_rule 3: if the traffic busy counter i >2 (2≤i≤N)
then output period busy mode.
The exclusion rules of elevators clearly unsuitable
for participate in dispatching. Figure.4 Structure of BP ANN
Exclusion_Rule: In this system we choose a three layers BP neural
p_rule 1: if elevator i is fault or in maintaining network showed as Fig. 4. The effect function of latent
then elevator i is not be dispatched and total layer nodes and output layer nodes adopt S shape type.
number of elevators minuses 1; It is supposed that the input sum and output of the
p_rule 2: if elevator i is fully loaded
ith neural cell in the kth layer is uik and xik . The power

185
coefficient from the jth neural cell in the k-1th layer to Fig. 6 shows the centralization adaption degrees of
the ith
neural cell in the k th
layer is wij . Inspiring dispatching scheme for elevator group. The power
functions of elevator 2 and elevator 4 are 0.9 and 0.8.
function of each neural cell is f, and then the The adaption degrees of whole rules are calculated
relationship of each variable can bedescried as (1). according to two power functions. The power functions
xik = f (uik ) of elevator 1 and elevator 3 are 0. So elevator 1 and
elevator 3 are candidate elevators. The waiting time of
uik = ∑ wij x kj −1
(1)
elevator 3 is small than elevator 1, so elevator 3 was
i choose as responding elevator. Elevator 3 will go to the
In (1), f is non-symmetry sigmoid function which is 14th floor firstly and return to 12th floor then.
defined as (2).
1
f (uik ) = (2)
1 + exp(u kj )
BP study arithmetic is adopted to modify the power
coefficient of every layer in ANN according to (3).
wij (t + 1) = −ηd kj x kj −1 + αΔwij (t ) (3)
Where η is study speed, namely step
length; η = 0.2 ; α is modify constant of power
coefficient, α = 0.8 .
Figure.6 The centralization adaption degrees of dispatching
scheme for elevator group.
5. Simulation results
6. Conclusion
The simulation is in allusion to the data of an
office building by the MATLAB. The parameter of A dynamic optimized dispatching system for
the office building showed in Table 1. elevator group based on synthetically application the
Table 1. Parameters of an office building. ANN and expert theory of artificial intelligent
Number of Number of Elevator Velocity of technology is presented in this paper. The elevator
floors elevators capacity elevator dispatching scheme is optimized, the service quality of
16 4 1500kg 2.5m/s elevator is improved, and the transportation efficiency
Space Time of Time of passenger
between two open/close
Operating time
enter/out the
of elevator is increased by using this control system.
of single floor
floors gate elevator
3.3m 3.4s 4.3s 1.2s
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Numbers of 4 elevators are 1, 2, 3 and 4. Now
elevator 1 and elevator 3 upstairs from the 5th floor and [1] H Ujihara, Tsuji S, “The evolutionary AI-2100 elevator
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[5] I. A. Basheer M. Hajmeer, “Artificial Neural Networks:
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Figure.5 The adaption degrees of elevators respond for
calling of above floors.

186
 2008 International Conference on Intelligent Computation Technology and Automation

Environment Air Quality Evaluation System Based on Genetic Arithmetic

and BP Neural Network

Liting Cao
Beijing Union University
caoliting0618@163.com

Abstract parameters, environment air quality evaluation class

Air is an important condition for everything on
earth to exist. Environment air quality influences the
zoology balance, health of human beings and society
development. An environment air quality evaluation
system is presented in this paper. In this system,
temperature, humidity and pollution concentration are
the original parameters. A modeling method based on
genetic neural network was adopted to evaluate
environment air quality. The environment air quality
can be classified into 3 categories: good, common and
bad. Environment air quality evaluation class will be
obtained according to the result of modeling. Alarm
will be given when the concentration of nocuous gas
beyond the standard, so blast and fire can be efficiently
avoided. Environment air quality will be real-time
monitor by using this system. The experimental results
show that this system is feasible and effective and this
modeling method has great application foreground in
the environment air evaluation.
will be obtained according to these parameters. Alarm
will be given when the concentration of CO，gas or
the other nocuous gas beyond the standard, so blast and
fire can be efficiently avoid. A modeling method based
on genetic neural network was adopted to evaluate
environment air quality. Environment air quality will
be real-time monitor by using this system.
2. Hardware design of system
The environment air quality evaluation system is
composed of a processing unit, many sensors, display
device, alarm device and some periphery apparatus,
showed as Fig.1.

1. Introduction
Air is an important condition for everything on
earth to exist. Environment air quality influences the
zoology balance, health of human beings and society
development directly. People attend environment air
Figure 1. Hardware structure of environment air quality
quality more than before along with the improvement
evaluation system
of standard of living. Increasingly exasperating
environment air quality brings forward a prodigious
Processing unit is the hardware core of system. We
challenge for world, and protection of circumstance is
select Samsung’s S3C2410A microprocessor as the
a great invent.
CPU in view of the high ratio of quality and price.
Health and comfort are two basic demands of
We select AMD’s AM29V160 as FLASH in this
environment air quality. There are three primary
system.
factors affect environment air quality; they are
Hyundai’s HY57V641620 SDRAM is adopted in
temperature, humidity and pollution concentration.
this system in order to running an embedded operating
An environment air quality evaluation system is
system. The capacitance of HY57V641620 is
presented in this paper. In this system, temperature,
16 4Mbit, and the total width of data is 8MB. The
humidity and pollution concentration are the original

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DOI 10.1109/ICICTA.2008.113
SDRAM would work in gear only need setting function, produce original group of chromosome by
BWSCON and BANKCON6 of ARM. random method, then make copy, cross and variance
Sensors such as temperature sensor, humidity based on adaptive cost of every chromosome, giving
sensor and pollution detectors are used to collect the birth to next generation chromosomes. With the
signals of environment air. increase of heredity generation, it will produce a group
Alarm bell and alarm lamp was adopted as local of chromosomes whose adaptive cost is high. Lastly,
alarm devices. Local alarm devices could give an alarm decode these chromosomes and get answers to original
by voice and light when the concentration of CO gas or problems. Sign denotation of genetic arithmetic is
the other nocuous gas beyond the standard. GA=(P0,N,L,F,Ps,Pc,Pm), in it P0= ( a10 ,..., a N0 ) is
Keyboard is used to set the reference standards of
original colony, N is the size of colony L is the length
environment air quality and alarm conditions.
of chromosome, F is the adaptive cost of chromosome
A pollution detector based on DOAS technology is
individual. Ps is probability of replication, Pc is the
adopted to collect concentration of nocuous gas such as
probability of crossover, and Pm is the probability of
CO, NO2, SO2 and so on. A bundle of light will be sent
aberrance. The detail steps are showed as Fig.2.
form transmitter, and the reflect light will be receive by
receiver after part of it has absorbed by surrounding air.
The signal will be input to CPU after A/D convert. The
concentration and component will be analyzed
according to the absorption character of detection air.
LCD display is used to output the environment air
quality evaluation class and some error information of
system operation.
.
3. Modeling method based on genetic
neural network
The learning course of neural network is a complex
sequent parameter optimization program. The
commonly-used back-propagation arithmetic has
exactness in seeking the optimization spot, but it is
likely to plunge local smallest spot, and the
constringency rate is slow. Genetic arithmetic has
mighty parallel searching capability for best spot. Figure 2. Genetic Arithmetic Flow Chart
Combining neural network and genetic arithmetic,
making use of genetic arithmetic to optimize the Apply the genetic arithmetic into selecting original
original weights and thresholds, and adopting an eights of neural network, so as to reduce the weights
automatic adjustive learning method to deal with the scope to be a better range.
original data can accordingly help obtain best range of (1) Initialize weight colony of neural network in
weight matrix rapidly. Later we can use the back- random. At first, make chromosome code for network
propagation arithmetic to seek exact result. Henceforth original weight. Every chromosome is coded as a
training network can avoid local smaller point in great vector. Vector heft represents a gene, and a gene
degree, training times and final weights can be correspond a weight variable of a feasible answer.
comparatively stable, and training rate can also be Normal chromosome coding has two codlings: binary
faster. There are two steps to combine genetic coding and real number coding. Because neural
arithmetic and neural network arithmetic. Firstly, use network weight is denoted as real number, if weight is
genetic arithmetic to optimize the original weights of coded in binary system, it will make the chromosome
network, then use the BP arithmetic to train neural cluster excessively long, weight learning non-
network, and error is constringed according to negative intuitionistic, precision badly. So if we make the real
grads, carrying through fast searching, thus reach number coding directly, every chromosome’s gene is
whole least point. denoted as real number, the scope of weight is from
negative ten to ten, with a precision to 0.01.The length
3.1. Genetic arithmetic
of weight coding is 4 bits, the first bit denotes sign of
When computing real problem, genetic arithmetic weight, the second denotes integer bit, the third and the
encodes the problem to be optimized, and chooses a fit fourth denote decimal fraction. Each code cluster of

188
original colony is engendered by random function. enhance the predicating accuracy and converging
(2) Define adaptive degree function. Use the genetic speed of BP network [4].
arithmetic to assist neural network to elect original A multilayer forward BP networks were adopted in
weights, and choose a function f=c-e, in it c is a this paper, the structure is showed as Fig. 3.
constant; e is sum of absolute value of network errors.
When computing chromosome adaptive cost, firstly
use the corresponding decoding to convert the coding
unit into decision-making variable of question space,
and compute unit adaptive cost. Regard the adaptive
cost of chromosome as the foundation for choosing
fine chromosome.
(3) Choose genetic arithmetic parameters.
Parameters are the size N of colony, the probability Pc
of crossover, the probability aberrance Pm etc.
Schaffer advises that the best scope is N (20-30),
Pc(0.75-0.95), Pm(0.005-0.01).
(4) Genetic operation (copy, cross, aberrance)
engenders a new generation. In aberrance, numerical
value bit begs reverse by 9, sign begs reverse directly.
(5) If reach the limited iterative times, or reach the
specified error square, end the inherit operation, export
Figure 3. Structure of multilayer forward BP networks
the weights and thresholds, otherwise return to (2).
(6) Deoxidize the chromosome to weights and
The GA regards each weights of the network as a
thresholds according to standard formula, and put them
chromosome, and the aggregation of all the weights as
as the original value to train neural network.
an individual, and a large number of individuals will be
3.2. BP Network generated in the initialization phase, which is called
colony.
The BP network based on gradient descend is a new The adaptation function of GA is constructed as
method in recent years, its ability to impend nonlinear follow:
function has been proved in theory also have been
1
validated in actual application [1]. But the BP network
has some problems such as converge to local minimum
E= ∑∑ (t pk − o pk ) 2
2p p k
(1)
and the speed of network learning slowly. Genetic Here, p is the numbers of training samples, k is the
algorithm is also a new optimum algorithm developed
fast recently [2], it has some advantages such as the neuron numbers of the output layer, t pk is the BP
parallel search and the searching efficiency is higher, network output of the neuron No. k corresponding to
in addition, it belongs to the random optimize process the sample No. p, o pk is the real output of the neuron
essentially, so the local convergence question is not
No. k corresponding to the sample No. p. The
exist. But the genetic algorithm also exist some
adaptation function is:
shortage, it can but search out the approximate to
excellent solution that near to global optimal solution ⎧C max − E E < C max
f =⎨ (2)
in a short time.
⎩0 E ≥ C max
3.3. High speed and precise GA-BP network
Here, the C max can be the maximum value E of
When the BP network converges on local evolutionary process.
minimum, the network will present serious morbidity, The algorithm flow is showed as follow Fig.4.
how to avoid the local minimum is the key problem to
be solved in the application of ANN. GA is a perfect
tool to optimize the BP network, which enables it
avoid the local minimum and enhance the converging
speed of network [3]. The generic algorithm with
adaptive and floating-point code is combined with BP
algorithm to optimize the BP network; it can further

189
 Star the high speed and precise GA-BP network has higher
stability, and can obtain higher detecting and
recognition accuracy.
Initialisation, generate N
groups network
i hi Table 2. Mean squared errors analysis of GA-BP and BP
high speed and
precise GA-BP network BP network
BP algorithm training network train testing
sample sample meansquared meansquared meansquared meansquared
errorsoftrain errorsoftesting errorsoftrain errorsoftesting
sample sample sample sample
Satisfy accuracy Y
requirement? 80 20 0.070 0.097 0.083 0.187
95 30 0.061 0.112 0.077 0.205
N 125 40 0.055 0.125 0.068 0.289
According to training result 200 50 0.049 0.143 0.061 0.335
generate

5. Conclusion
Improved GA algorithm
The environment air quality system based on
genetic neural network combines the advantages of
Select N groups, N
better network Satisfy accuracy both GA and BP network. The converging speed and
weighing requirement?
the evaluation accuracy of system are enhanced. With
Y
the ability of strong self-learning and function
approach and fast convergence rate of high speed and
End precise genetic algorithm neural network, the quality
Figure 4. Flow chat of high speed and precise genetic evaluation modeling method can truly evaluate the
algorithm neural network level of environment air quality. The experimental
results show that this method is feasible and effective
4. Experiment results and this modeling method has great application
foreground in the environment air evaluation.
There is no unanimous standard to evaluate
environment air quality till now. In this paper, the Acknowledgment
reference standards of environment air quality can be This work was supported in part by the Youth
classified into 3 categories: good, common and bad. Backbone Teacher Foundation Project of Beijing.
The evaluation criterion is shown as table 1.

Table 1. The evaluation criterion of environment air quality

References
evaluation
parameter Temper
[1] Jiao li cheng, Neural Network System Theory, Xi an
Humidity O2 CO2 electronic science and Technology University Press,
quality ature
(%) (%) (%) Xian, 1995.
level (℃)
Good 20-25 40-60 >23 <1 [2] Zhao zhenning, and Xu yongmao. Introduction to Fuzzy
15-20 20-40 Theory and Neural Networks and Their Application,
Common 20-23 1-3
25-28 40-60 Tsinghua University Press, Beijing ,1996
Bad >28/<15 >60/<40 <20 >3
[3] Bian zhao qi, and Zhang xue gong. Pattern Recognition,
The result of train and test by the high speed and Tsinghua university Press, Beijing:, 2000.
precise GA-BP network and BP network is shown as
table 2. Table 2 shows that the mean squared errors of [4] Liu Yong, Kang Li-san. “Non Numerical Value Parallel
training samples of the high speed and precise GA-BP Arithmetic-genetic Arithmetic”. Science Publishing
network is smaller than that of BP network. Moreover Company, No.6 ,pp.202-208,2000
the mean squared errors of testing samples of the high
speed and precise GA-BP network is also smaller than
that of BP network. When the number of the training
samples change, we can get the same result. It shows
that the quality evaluation modeling method based on

190
 2008 International Conference on Intelligent Computation Technology and Automation
Fuel Injection Control and Simulation of EFI engine Based on ANFIS
Chen Haijun
(Changsha University of Science and Technology,Changsha 410076,China)
huakeinfo@126.com
Abstract
EFI engine’s ECU through a fixed pre-set supply
procedures to control fuel injection time, however, the
pre-set data can only be reached through a large
number of tests. How to attain to pre-set data
efficiently and how to dynamically adjust the fuel
injection time according to the traffic circumstance are
currently the hot issues in Engine Electronic Control
Simulation field. In this paper, aiming at the problem
of fuel-oil supply control of EFI engine, a hybrid
method which combines the fuzzy theory and neural
network—Adaptive Network-based Fuzzy Inference
System is presented, taking into consideration the
characteristics of the EFI engine’s structure. The
structure, composition and working procedure of the
ANFIS system used for fuel-oil supply control of EFI
engine are studied and discussed. A simulation result
is also given in this paper.
Introduction
EFI engine through the acquisition of the sensor data
to derive the current inlet-gas feed rate and the current
engine speed, calculating the actual fuel supply
quantity and the relative jet time compared with the
pre-set fuel supply procedures. But the enactment of
fuel supply procedure and the optimum modification
can be reached through constant testing with the help
of experience and equipment at every turn. [1]This will
limit the development of the ECU efficiency, and the
same type of vehicle engine can not accurately meet
the need in the urban areas, mountain road, highway,
village paths and other supply mode. The research of
how to realize the EFI engine fuel injection control
aimed at achieving the precision and intelligence of
their control via ANFIS is not only has theoretical
significance, but also has practical value. Aimed at
CF4G27-E engine and combining a large number of
experimental data, this paper designed a more practical
and effective fuel injection quantity control system of
978-0-7695-3357-5/08 $25.00 © 2008 IEEE
DOI 10.1109/ICICTA.2008.465
EFI engine via Adaptive Network-based Fuzzy
Inference System (ANFIS).
1 The integration of Fuzzy reasoning and
neural network
In the control of EFI engine fuel injection quantity,
due to the ambiguity and complexity of system
parameters, the traditional binary logic of law to deal it
with the apparently inadequate, but the introduction of
fuzzy math theory and methods, which made the output
results more relevant practical, and more accurate. In
the electronic control field, Fuzzy information theory
and method has been widely used, and have achieved
better results. However, these methods are not
self-learning ability, it is difficult to adapt to the
changes of external environment.
Neural network has strong capability of adaptive
and self-learning with the changes of the environment,
but from the perspective of system modeling, which is
based on a typical black box-type learning mode. [2]
Therefore, when after the completion of study, the
input / output relationship which obtained by the neural
network can not easily be expressed in a manner
acceptable; and neural network (NN) in the diagnosis
methods of electronic control exist the absolute
either-or characteristic, which sometimes made the
output results inconsistent with the actual situation.
Though the fuzzy system is built on a receptive
expression of “IF… THEN…", but how to generate and
adjust membership functions and fuzzy rules is a
trouble, time-consuming and dependent on experts. [3]
In recent years, the smart calculating technology
represent with the neural network (including neural
networks, fuzzy theory, evolutionary computation,
chaos theory and their integration) become the hot
spots of many research fields. We complement the
fuzzy logic synchronized with the neural network,
using neural networks to achieve the system’s fuzzy
logic reasoning,(the traditional neural networks which
have no clear physical meaning of the weights have
been given a physical sense of the fuzzy logic inference
parameters) to build a method of engine fuel injection
191
control based on integrating fuzzy systems (FS) and input x (or y) satisfy quantity A. membership function
Neural Networks (NN), and this law used ANFIS to of A, can be any suitable parameterized membership
achieve fuzzy reasoning process, which enhanced the function, such as a general bell-type function. The
entire control system’s learning and expression ability, parameters referred to as the premise parameters.
and achieved the purpose of made the control of EFI Level 2: Each node of this level is a fixed node
engine’s fuel injection quantity more effective. [3] labeled П, it’s output is the product of all the input
signals, that is,
2 The structure and working principle of O2, j = ω aj ( x) μ bj ( y )
…………(2)
ANFIS The output of each node expresses the incentive
intensity of a role.
ANFIS(Adaptive Network-based Fuzzy Inference Layer 3: Each node of this level is a fixed node
System). [4] It uses a fixed set of input and output data to labeled N. node j calculating the intensity and the ratio
build a Fuzzy Inference System (FIS), its membership of rule j and all the rules’ incentive, that is,
function parameters can be used to steepest descent
W
method (or back-propagation method) and the O3, j = (j=1,2) …………(3)
least-squares method combining hybrid learning W1 + W2
algorithm to adjust , to allow fuzzy systems use
The output of this level known as normalized
modeling data study, which made membership function
incentive.
to adaptive input and output data, compared with the
Layer 4: Each node j of this level is an adaptive
fuzzy inference system and neural network systems,
node with node function, that is,
not only ANFIS can express fuzzy linguistic variables,
but also has a learning function.
O4, j = W j f j = W j ( p jx + q jy + rj )
2.1 The Structure of ANFIS …………(4)
In this expression, Wj——the normalized
The most commonly used fuzzy reasoning model of incentive transferred from level 3.
ANFIS is Sugeno model, the typical fuzzy inference {pj,qj,rj}——The parameters Set of the node
rules is: If x is A and y is B then z=f(x,y),where A and The parameters of this level called conclusion
B as a precondition fuzzy number, z=f(x,y) for the parameters.
precise number of the conclusions. Usually z=f(x,y) for Level 5: The single node of this level is a fixed node
the x and y polynomial. When z=f(x,y) for the labeled Σ, it calculating all came signals as the total
first-order polynomial, it is called a band Sugeno fuzzy output, that is,
model. [5] Figure 1 means a bands Sugeno fuzzy model
with two rules: ΣW j f j
O5, j = ΣW j f j =
Rule 1: If x is A1, B1 is y,then f1 = p1x + q1y + r1 . ΣW j
…………(5)
Rule 2: If x is A2, B2 is y,then f 2 = p2 x + q2 y + r2 . Thus creating an adaptive network equivalent to a
Sugeno fuzzy model in function.
Level 1 Level 4
Level 2 Level 3 2.2 Mixed learning algorithm
Level 5
A1 Although BP or steepest descent method can be
x W1 W1
W1f 1 applied for the parameter identification of adaptive
A2 Π N network, but the convergence speed of this simple
Σ z
B1
method is very slow and easily run into local minimum.
Π N W2f 2 [6]
y
W2
Since the output of an adaptive network is linear
W2
B2 combination of some network parameters, linear
least-squares method can be used to identify linear
Figure 1: The ANFIS model equivalent to Sugeno fuzzy parameters, that the least square method can be
model of a band
combined with the steepest descent method to identify
Level 1: Each node j of this level is an adaptive
the system's parameters. Supposed system’s output as:
node with node function, that is,
O = F (i, S )
O1, j = μAj(x), (j=1, 2) …………(6)
In this expression, i——A set of input variables
Or O1, j =μB( j−2)(y), (j=3, 4) ………… (1) S——A set of parameters
In this expression, O1,j -- membership of Fuzzy Set F——Network function
A (A1, A2, B1 or B2), which defines the extent of

192
 If there is a function of H, which makes composite
function H D F be the linear function of certain
parameters in a parameters set, then these parameters
can be identified by least-squares method. If the set S
can be resolved into two subsets of S1, S2, that is,
S = S1 ⊗ S 2 …………(7)
And if function H made composite function
H D F be the linear combination of elements of Set
S2, there are
H (O) = H D F (i, S ) …………(8)
At this point, with the given value of parameters of
Set S1, trained with samples, matrix equation can be
got.
Aθ = y …………(9)
In this expression, θ ——Unknown vector of the
elements in Set S2
A——Coefficient matrix
The least-squares method can be used to estimate,
2
which made the minimum value of Aθ = y
θ ∗ = ( AT A) −1 AT y …………(10)
Each time the learning process of the mixed learning
algorithm includes both forward transfer and a reverse
transfer. In forward transmission, inputting a group of
vector data, which calculating the output of each
level’s node of the network by each node function,
until get A and y in expression (9), and then using the
expression (10) to identify the various parameters of
Set S2, after got the parameters, you can calculate the
output error of each group of entry data. In reverse
transmission, reversely transmitted the error from the
output node to the input node using the most-speed
descent algorithm, when all training data reversely
transmitted,you can get the parameters of Set S1, so
that the hybrid learning algorithm can be used to
identify the parameters of ANFIS system.
3 System analysis
For the single-input data fitting problem of middle
complexity, we often need 10 data points to get a good
model, similarly, for the double-input data fitting
2 Figure 2: MAP chart of sample data used for training
problem, we need 10 ＝100 data points to get roughly
the same performance. Here, we resolved the data Set
as Training Set and Test Set before the training of
neuro-fuzzy inference engine, Training set for the
structure 60 times, get a good training ANFIS system;
fismat1,trnErr,ss,fismat2,chkErr]=anfis(trnData,fismat,
numEpochs,NaN,chkData)
Using evaluation data to validation the ANFIS model.
Such as:
out=evalfis([954,87],fismat1)
193
training (or regulation) fuzzy model, and Test Set used
to determine when to terminate the training, in order to
prevent over fitting. We divided 3600 sample data of
the MAP chart in ECU basic database into the training
set and test set with same length (1800), thus the
received unbiased model to the training set, and may be
better generalization performance with the new data.
With above sample data training the adaptive
network-based fuzzy Inference system, after training,
the electronic control unit (ECU)of the EFI engine
calculating the inlet-gas quantity of each circle through
collecting the engine throttle opening, inlet-gas
temperature and other data, combined the engine speed
as the input of the ANFIS network, basic injection time
as output, and then based on water temperature, oxygen
content in exhaust compensation and other data, we can
get the compensatory injection time, coupled with
ineffective spray time for the actual fuel injection time.
In the process engine running, based on the actual fuel
injection time,re-learning on the network to adapt to
the needs of different road conditions.
4 System simulation
Use 3600 sample data of MAP chart in ECU basic
database of certain model of engine to establish
adaptive network-based fuzzy Inference system:
1、 Write 1,800 randomly selected sample data into
trnData.mat as a training sample and the rest into the
chkData.mat as a testing samples;
2、 using genfis1 function to generate a FIS structure
for the initial FIS automatically;
fismat=genfis1(trnData,numMFs,mfType)
3、 According to training data and test data, using
hybrid learning algorithm, training the initial FIS
The results table below:
Table 1: The output of the neuro-fuzzy inference system
after learning
x1 x2 y* y
950 55 30.452 30.505
1950 45 50.998 51.800
 2900 50 62.401 62.446
960 95 70.035 69.998
1900 105 79.304 80.101
3050 100 108.988 108.909
1000 150 80.110 79.803
2050 145 96.443 96.404
2950 155 127.599 127.606
In the table, x1, x2 for entry, y for the ideal output,
y* for the actual output. Clearly, the system simulation
results are satisfactory.

5 Conclusions
In this paper, using Adaptive Network-based Fuzzy
Inference System to control the EFI engine’s fuel
injection quantity, it realized the output control of basic
fuel injection time efficiently and real-time, when the
system environment changes, the use of neural network
learning function and fuzzy neural inference system
can be adaptive to the changing environment made the
whole control system more efficient, more
applicability. At the same time, the research of the
system to solve the control problems of complex
mechanical equipment has some reference value.

Acknowledgement
This work is supported by the Hunan Nature
Science Foundation No.07JJ5068, and the Hunan
Education Department Foundation No.07B003.

References
[1] TIAN Shuo,LIU Yuan,Advanced ECU Software
Development Method for Fuel Cell Systems, Tsinghua
Science and Technology,Vol.10,No.5,Oct.2005,pp.610~617.
[2] Zhang Zhixing,Sun Chunzai,Nero-Fuzzy and Soft
Calculation, Xi'an Jiaotong University Press,Xi’an, China,
2001.
[3] Wen Xin, Analysis and Application of MATLAB Fuzzy
Logic Toolbox, Science Press,Beijing,China,2001.
[4] Li Hongsheng,Zhuo Zhenyu,ANFIS the Application of
Neural-fuzzy Inference Engine in Fault Diagnosis,Control
Engineering of China,Vol.10.No.2,Mar.2003,PP .153~155.
[5] Yao Chongling,Zhang Abu,Xiao Lei,Yun Gang, Partial
Least-Squares and ANFIS for Measuring Aircraft Fuel
Volume, Journal of Nanjing University of Aeronautics &
Astronautics,Vol.38 Suppl.Jul.2006,PP .143~146.
[6] Lei Yingjie,Wang Baoshu, Study on the control course of
ANFIS based aircraft auto-landing, Journal of Systems
Engineering and Electronics, Vol.16,No. 3,2005,PP .583
~587.

194
 2008 International Conference on Intelligent Computation Technology and Automation

Grouting Stratum Classification with Support Vector Machines

Li Fengling1,2, Hou Zhixiang1，Shen Quntai1 , Xu Lisheng 3

1.Center for Controlling & Measurement， College of Automobile & Mechanical Engineer
Changsha University of Science & Technology; Changsha410076 ,China
2. Center for Control Theory and Engineer ，College of Information Science and Engineering ,
Central South University, Changsha 410083，China
3.College of Geology and Environment Engineering ，Central South University ,Changsha
410083, China
E-mail:flli4789@126.com

Abstract instrument pressure auto-control and not from the

A support vector machines (SVM) approach is pro-
posed for grout stratum identification based on the
grout instrument measurement datum in the grouting
consolidation project. The important features of SVM
model are obtained by analysis of grout fluid
penetration mechanism integrating with grout physical
model for pressure control aim. Then we introduce
lagrange multiplier and translate the SVM math model
into an unconstrained objective function .The optimal
hyper-planes is produced by quadratic programming
technics and RBF kernel. In the real grouting project,
we draw the osmosis-flow character curves in the
different stratum by test , which are major grout
parameters changing with stratum. And we obtain the
primal datum of SVM classification . At last ,we
separately choose 49 group datum for fracture vein
rock and gritstone stratum. A part of them is used to
training set of SVM ,the other is used to check up the
classification effect. Simulations demonstrate
identification error is less than 6.13%, so the method
can applied to the automatic grout project.
1. Introduction
Grouting is a common inforcement method for crack
rock. And grouting pressure is designed according to
Lithology of stratum in grouting norm.[ 1] If we want
to realize grouting pressure control automatically, we
must program classification algorithm in grouting
instrument. So stratum identification has great meaning
to grouting pressure adaptive control.
angle of geologic stratum geology sketch . We select
osmosis rate , grout flow as the attributes of data set in
different stratum during the period of grouting by
analyzing grout osmotic mechanism and grout
technics .A part of data set is used to train the
SVM ,and the other is used to test the SVM
classification efficiency. If SVM can identify new
data ,we have realized grout stratum auto-
classification.
Support vector machines (SVM ),as a novel and
powerful machine learning tool ,can be used for
classification or regression.[3] SVM are based on
statistical learning theory and have attracted increasing
attention because of their optimal applications in
speaker verification and identification[4] ,face
detection[5] and text categorization[6] . SVM can avoid
the drawbacks in artificial neural networks (NN) such
as susceptibility to chaotic behavior , expensive
computing on training, local minima, over-fitting
problem etc[7]. So we adopt SVM method to identify
stratum.
This paper is organized as follows: section 2 reviews
the basic idea of SVM for analysis of later section .
Section 3 presents the foundation of selection stratum
features. The next section is grout experiments and
simulation. The last section is conclusions.
2. Basic idea of SVM classification
Let us consider a two-classification task.Given data
( xi , yi ) xi ∈ℜn, yi ∈ℜ， i = 1,2, , l ( x ∈ ℜ is
n
set
i

Concerning the description of geologic stratum the input vector , yi ∈ {+1，− 1} is desired
property, scholars will choose different features for
different applied purpose. [2] Carrying on a value).SVM classification is looking for a separating
classification to the geologic stratum is work for hyperplane D ( x ) = ( w ⋅ xi ) + b ,which can separate

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DOI 10.1109/ICICTA.2008.242
the two classes data by maximizing the margin.(see
fig.1) Formula (4) should be satisfied with KKT
condition[ ]
α [ y ( w ⋅ x + b) − 1] = 0
i i i
(7)

Associating with (4),(5),(6),(7), we arrive to the

Wolfe dual of the optimization problem:

1 l 1 l

Figure.1 SVM classification sketch map

max L(w, b, α ) = − ∑∑ yi y jα iα j (xi ⋅ x j ) + ∑α i
2 i =1 j i =1
l
st.∑ y α = 0 (8)
If data point xi belongs to +1 class, then i =1
i i
C ≥ α ≥ 0, i = 1,2,⋅ ⋅ ⋅l
( w ⋅ xi ) + b ≥ 1 ;or ( w ⋅ xi ) + b ≤ −1 .The two i

equation can be described as follows: Solving formula (8) step by step, we obtain the optimal
yi (( w ⋅ xi ) + b) ≥ 1 (1)
lagrange multiplier α* 0 ,so
2 l
w = ∑α y x
* *
The margin between D1 and D2 is .If we
i i i
w i =1

obtain the maximization of margin ,the optimal [ yi ( w* ⋅ xi + b* ) − 1] = 0 ⇒ b* = yi − w* x (9)

hyperplane can be determined as follows:
The hyperplane decision function can be written
⎧ 1 2 as
⎨min w
⎩ 2
st. yi (( w ⋅ xi ) + b) − 1 ≥ 0 (2) D( x) = sign(w x + b )
* *
(10)

If we use soft margin and allow a small quantity of 3. Selection data attributes for grout
data points to be classified incorrectly, the optimal stratum
hyperplane can be described as
⎧ 1 2 l Grout penetration ability is relevant to rock crack
⎨ min w + C ∑ ξ i2 size ,figure ,direction etc. And it is also connected with
⎩ 2 i =1
grout pressure, grout density, viscosity.[8][9]It is no
st. yi (( w ⋅ xi ) + b) − 1 ≥ 0 (3)
meaning in grout project that we study rock micro –
cosmic aperture model and it is difficult .We only
where C is balance gene , 0 ≺ ξ ≺ 1. study the grouts average flux characters. If crack size is
i big and crack is rich, grouting pressure will be low
Introducing Lagrange multipliers α = (α ,α ,⋅ ⋅ ⋅α )
1 2 l
and the penetration rate is big when grout density is
common. If crack size is small and the density of
to solve this optimization problem and making some
grouts is big , Groutability will become poor. In order
substitutions, the objective function is
to evaluating the grout stratum from the angle of
maximize
pressure control, we model the stratum using grouting
1 2 l
L（w, b,α）= − w + ∑αi ( yi ((w⋅ xi ) +b) −1) (4) boreholes test data.
2 i =1 Connecting to the crack rock can be thought as
extremum condition : closed .Therefore ,the grouting system’s pressure
transferring model can recognized as a tight double-
walled vessel similar to resevior with three valves
∂L（w, b, α） shown as fig.2.
= 0 ⇒ w = ∑α y x
l

(5)
∂w i =1
i i i

∂L（w, b, α）
= 0 ⇒ ∑ yα = 0
l

(6)
∂b i =1
i i

196

Figure.2 Simple model of grouting system
Where 1,2 and3 number denote flow valve,4 is in-flow
pipe , 5 is pressure meter,6 is piston,7 is out-flow pipe.
On the basis of cycle grouting definition and from
fig.2, we can get that valve 1 flux is equal to the flux of
adding up to valve 2 and the valve 3 [10 ].It can be
described as
Q1 = Q2 + Q3 (11)
Where Q1 is fuid flow transferring to the grout
hole(L/min); Q3 is fuid flow impregnating into the
crack stratum (L/min); Q2 is surplus fluid flow feedback
to the barrel( L/min);
It is well known that Q3 will change with the crack
size and number of crack..
According to the grouting pressure definition ,the
grouting pressure formula is written as
P=PO+PH+PF (12)
Where P is the whole grouting pressure,PO is
pressure sensor indicated value (see fig.1) ,PH is static
pressure in the grout hole and pipe,PF is friction loss
pressure
We take the fuid in the pipe from the grout hole top
to bottom as an object , the static pressure is
PH＝ ρ gL （13
）
It is known that the energy of motion will be loss
when the viscous liquid flow forward or forback
because of friction.It is a part of Bernoulli equation
which can be written as[11]
ρfLυ 2
PF = （14）
2D
Where ρ is the density of fuid, f is the friction
factor, L is the length of pipe , υ is the velocity of
flow , D is the diameter of pipe.
From formula (12),(13),(14),we can conclude that
density of grouts ,viscosity, grout borehole length are
the factor influence to the grout pressure.
197
Luo Pingping think grouting pressure (P) leads to
the crack expanding and distortion ,which increases
Q3 .
Stratum penetration rate can be written as
q = Q /(P × L) (15)
3
Where P is grouting pressure (MPa) , L is the
length of test hole(m);
Based on the foregoing analysis and
integration ,we can choose penetration rate -flux( q -Q3)
curve to present the stratum groutability. We choose
penetration rate ( Lu )and average flux into crack
stratum ( kg / m ) as the basic feature of data points
xi ,and denot xi =(xi1, xi2)=( qi ,Qi ).
4.Simulation for grout stratum
identification
4.1 Grout experiment
In Hunan province Hen yang county dam grout
project, a series of grout test was carried out with
grout recorder instrument, which can sample grout data
invented by Professor Xu in the center south
university. During the grout process , we increase the
cement density step by step ,the maximal grout
pressure is five (MPa). The penetration rate and flow
into crack were tested in different stratum, as shown
fig.3 and fig.4, where the X -axis and Y -axis are
penetration rate ( Lu ) and average flux every unit
length( kg / m ).In the same grouting stratum ,average
flux and penetration rate datum are dispersed because
the grout technics difference.
Figure.3 vein crack rock water pressure test
curve
Figure.4 gritstone stratum water pressure test
curve
It is easy to see that the data points distribution are
different. Their average matched curves are
Y = 34.71X 0.59 in fig.3 and Y = 47.56X in fig.4.
And penetration rate values of a lot of data points in
the fig.3 are bigger than fig.4’s. Even when the
penetration rate values are equal ,their flux value is not
equal. So from the trial datum ,we can conclude the
penetration rate and average flux diagram can present
for the character of different grouting stratum.
4.2 Simulation results
Sample grout pressure, flow data with grout
recorder ,and borehole length with drill pole ,then
compute penetration rate with formula (15) in real
time .Transfer these data into PC through 232 serial
interface .We separately choose 49 teams typical
( q ,Q ) data points in the two kinds of stratums. We
i i
denote data points in vein crack rock with
and with yi = −1 in gritstone stratum. A part of them
is used to training ,the other testing.
Simulation environment is Windows XP and
Matlab6.5 software. We utilize gauss RBF kernel
xi − x j
2
(− ) ( − r xi − x j
2σ 2
k ( xi , x j ) = e =e
dot metrix ( x ⋅ x ) in formula (8). we use the same
i j
method to scale primal data in the range[0,1]before
training or testing .In additional , parameters ( C，r )
are important to the SVM classification precision, so
we must find good ( C，r ) through testing .Through
tuning the parameters ,we find the good training effect
when ( C，r ) is equal to (60, 8).The simulation
results of training data classification is seen in fig.5.
The SVM stops to compute iteratively when the
increase of dual objective function is less than 10-2.
The test error is shown in table 1.
Figure.5 Training data classification results
Table. 1 Grout stratum identification error
0.54
5. Conclusions
The designs of grout pressure and grouts density are
greatly relevant to grout stratums.It is very important
to grout instruments autocontrol that we realize grout
stratums identification intelligently .
Firstly we choose two attributes (penetration rate
and average flow) ,which can present for groutability
of different stratums. Then we carried on grout test in
yi = +1 real project and obtained data set. And we adopt SVM
machine method to identify the grout stratum.At
last ,the simulation results prove the SVM
classification is successful, and the maximal testing
error is less than 6.13%.
10. References
) [1] Ministry of water resource engineering technics
to substitute for consultation center. SL 62-94 hydraulic structure
cement grout building norm[S]. water and electric
publishing company. Beijing,1994.
[2] Lai Yong-biao, Qiao Chunsheng, Liu Kai-yun etc.
Application of support vector machine in classification
of surrounding rock stability [J]. hydraulic transaction,
2006, 9(37),pp.1092-1096.
[3] Vapnik V. The nature of statistical learning theory[M].
New York ; Springer Verlag ,1995.
[4] V. Wan, W.M. Campbell, Support vector machines for
speaker verification and identification [J], in: Proc.
Third Internat. Conf. Audio- and Video-Based
Biometric Person Authentication, 2001, pp. 253– 258.
[5] E. Osuna, R. Freund, F. Girosi, Training support vector
machines: an application to face detection[C], in Conf.
on Computer Vision and Pattern Recognition (CVPR ’
198
 97), 1997.
[6] S. Dumais, Using SVMs for text categorization[J], IEEE
Intelligent Systems,1998,pp. 21– 23.
[7] W.Z.Lu,W.J.Wang , Potential assessment of the support
vector Machine method in forecasting ambient air pollu-
tant trends, chemosphere ,2005,59(5),pp.693-701.
[8] M.Eriksson, H.Stille, J.Andersson. Numerical alculations
for Prediction of Grout Spread with Account for
filtration and varying Aperture[J]. Underground Space
Technology, 2000 ,15(4),pp. 353–364.
[9] LUO pingping, ZHU yueming. Numerical simulation of
grouting in rock mass, Chinese Journal of Geotechnical
Engineering,2005,8(27),pp.918-921.
[10] Peng Huayun ,Zhangkeneng ,Xu Lisheng . Key Tech-
nologies of the Automonitoring and Recording of
Grouting Parameters. the central south university Doctor
thesis,2004,4.pp.22-26.
[11] Gerhard Nygaard ,Geir Navdal Nonlinear model
predictive control scheme for stabilizing annulus
pressure during oil well drilling.Process control， 2006
，16,pp.719-732.

199
 2008 International Conference on Intelligent Computation Technology and Automation

Improved SPIHT Algorithm Based on Associative Memory

Neural Network and Human Visual System

Xing-hui Zhang1, Jing-lei Guo2, Kuan-sheng Zou1, Zhi-dong Deng3

(1. Department of Computer Science, Tianjin University of Technology and Education, Tianjin
300222, China; 2. Department of Computer science and automation Tianjin Polytechnic
University, Tianjin 300160, China; 3 State Key Laboratory of Intelligence Technology and
Systems,Tsinghua University,Beijing,10084, China.)
xhzhang@tute.edu.cn

Abstract for majority images [2]. However, it is not guaranteed

Set Partitioning in Hierarchical Trees (SPIHT) is
considered the premier state-of-the-art algorithm in
image compression, but it is not designed to explicitly
consider the human visual system (HVS)
characteristics. Extensive HVS research has shown
that there are three perceptually significant activity
blocks in an image: smooth, edge, and texture blocks.
The paper uses the shape parameters of generalized
gaussian distribution to distinguish these three blocks
of the image. Because the shape parameters are
difficult to be estimated by general methods ， the
paper uses new associative memory neural network to
estimate the shape parameter. The simulation results
show that our algorithm gets better accuracy than
other methods. The paper embeds HVS into SPIHT
algorithm according to give different perceptual
weights to different image blocks. The experimental
results show that the peak signal to noise ratio (PSNR)
and subjective visual quality of image are greatly
improved after decompression.
1. Introduction
Set Partitioning in Hierarchical Trees (SPIHT) [1] is
an image compression algorithm that exploits the
inherent similarities across the subbands in a wavelet
decomposition of an image. The algorithm codes the
most important wavelet transform coefficients first,
and transmits the bits so that an increasingly refined
reconstructed image can be obtained progressively.
SPIHT algorithm is considered the premier state-of-
the-art algorithm in image compression, and has given
excellent results in terms of compression performance
to be optimal since the algorithm is not designed to
explicitly consider the human visual system (HVS)
characteristics. Extensive HVS research has shown that
there are three perceptually significant activity blocks
in an image: smooth, edge, and texture blocks. Firstly,
it uses the shape parameters of generalized gaussian
distribution (GGD) to divide the blocks of image. But
the shape parameter is difficult and inaccurate to
estimate by ordinary methods. This paper uses
NAMNN to estimate shape parameters. The results
show that it is more accurate and simple than other
methods. Then it gives different perceptual weights to
different blocks of image. From the experimental
results, it can achieve better subjective visual quality
and higher PSNR.
2. GGD rapid estimation of the parameters
After wavelet transform, the image can be divided
into sub-bands with different scale and direction. The
non-gaussian distribution characteristic of wavelet
coefficients has been confirmed by many researches.
The prior model of image wavelet coefficients is
important, even the model partly describes some
related laws of internal pixel image; it can also greatly
improve the effect of the image [3]. Generalized
gaussian distribution (GGD) [4] is frequently used as
the prior model. GGD is a symmetric distribution
taking δ function and uniform distribution function as
limit. The probability density function of GGD is
defined as equation (1).
α
x−μ
[− ]
a β
f ( x; α , β , μ ) = [ ]e (1)
2 β (1/ a )

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DOI 10.1109/ICICTA.2008.57
 such as exponential function or hyperbolic function
Here β = σ Γ(1/ α ) = σ Γ(1/ α ) , σ > 0 ,
2

fitting method. This paper introduces a new associative

Γ(3 / α ) Γ(3 / α )
memory neural network (NAMNN) [5] as the fitting
x = β y1/ α , Γ (i) is Gamma Function， function, its structure shows as figure 1.
∞
Γ( z ) = ∫ e −t t z −1dt .Parameters μ ， σ2 ， α ， β are
0 λ z-1
mean value, variance value, shape parameter, scale
parameter of GGD respectively. Shape parameter α is
ua(k)
decay rate of GGD density function ， when α is W1 u (k)
smaller, decay rate is sharper. Assume x=(x1, x2，…
，xn) is a sample of the GGD’s overall X while μ = 0. α (k )
a
x
+∞ α −
m1=E{|X|}= ∫ | x | e β
dx

…
x (k-1)
−∞ 2β Γ(1/ α )
α
W3
x 2
a +∞ − W
= ∫
β Γ (1/ a ) 0
x e β dx
Figure 1. The structure of new associative memory
( −∞ < x<∞) （2） neural network.
The NAMNN introduces an associative memory
β α1 −1
Let x = β y
1/ α
, dx = y dy then attenuation factor λ , which is defined in equation (10).
α Where η is the least memory capacity, and θ is
β +∞
1
Γ(2 / α )
−1

Γ(1/ α ) ∫
y a e − y dy = β (3) memory attenuation index. Nonlinear expressions are
0 Γ(1/ α ) defined as follows.
So m1 = E{ X } = σ
Γ(2 / α ) (4) u (k ) = f (W 1ua (k ) + W 2 x( k − 1)) (8)
Γ(1/ α )Γ(3 / α ) ua (k ) = λα (k − 1) (9)
Similarly for a second-order moment，it gets m2 .
λ = η + (1 − η )e( −θ k ) (10)
m2 = E{ X } = σ , and E { X } = α Γ (2 / α ) .
2 2
2 2
α (k ) = g (W 3 x(k ))
2
(11)
Γ(1/ α )Γ(3 / α )
Here W1,W2,W3 are matrix of connected weights
Γ (2 / α )
2 2
E {X} m12
R (α ) = = = (5) between layers, f (),g () are inspired functions. The input
E{ X 2 } Γ (1/ α )Γ (3 / α ) m2 value x (k-1) is the (k-1) th wavelet coefficient, and the
R (α ) is proportion function of generalized gaussian output value α ( k ) is shape parameter of GGD. First
initialize the NAMNN: α=0.1, θ=0.001, f () is sigmoid
parameter. Estimate values of m1 and m2 are defined fuction, g () is linear fuction. Then it selects samples of
as follows: wavelet coefficients as follows:
∧ 1 n ∧ 1 n 2 x11 ～ 80= [0.0578 0.0995 0.1040 0.1100 0.116……
m1 = ∑ i 2 n∑
n i =1
x ， m =
i =1
xi . （6） 3.7377 4.3653 5.3141 6.9958 11.4029] ；
…… ……
Estimate value of shape parameter α is
x81 ～ 80= [0.1978 0.3087 0.4315 0.6881 0.6967……
∧
∧ m12 , R( x) = Γ (2 / x) 2
11.1339 12.6935 13.3239 14.8880] ；
α = R −1 ( ) （7）
∧
Γ(1/ x)Γ(3/ x) Accordingly it sets the eight groups test data as
m2 follows:
t11 ～ 28= [0.0785 0.0980 0.1126 0.1550 0.2503 ……
3. NAMNN algorithm to estimate shape 7.0455 8.2301 9.0485 10.7957] ；
parameters …… ……
t81 ～ 21= [0.1978 0.250 0.3087 0.4315 0.5000……
Although R(x) has been received, but it is very 6.3830 7.6686 8.0027 5.9412] ；
difficult to get R-1(x).But the form of R-1(x) is Eight groups output value of extensive data are
comparatively simple through graphics. Majority of identified as follows:
people use numerical fitting methods to get R-1(x),

201
r11 ～ 28= [0.0402 0.0817 0.1161 0.1622 0.2498……
7.2665 8.7691 9.6288 10.9735] ；
…… ……
r81 ～ 21= [0.1642 0.3071 0.4319 0.2157 0.6923……
6.0747 7.7291 8.1656 12.3793] ；
The simulation results contrasting the real values
and the estimate values of output are shown in figure 2.
It contrasts the estimate errors of NAMNN with
χ 2 estimate algorithm in table 1. Clearly NAMNN
algorithm is more accurate.
People found the visual masking effect [6] through
many researches. An image can be divided into smooth,
texture, and edge blocks. Extensive HVS research shows
that the sensitivity of information distortion to human
eyes decreases down from edge block, smooth block, and
texture block respectively. Dissimilar sensitivity degree
means different significance of these three blocks. So we
can distribute dissimilar perceptual weights to different
blocks within the image information corresponding to
different wavelet coefficients. The specific methods to
embed HVS into image coding are described as follows:
1) Segment image sub-blocks. After wavelet
transform, the high frequency of the wavelet image sub-
bands are divided into different image sub-blocks as Bk
(k = 1, 2… S). Segment method is shown in figure 3,
a64-a1, b1-b16, c1-c4……are called image blocks. The
size of the image blocks is 2×2, 4×4, 8×8 respectively,
The coefficients are reduced by 1/4 from low-frequency
to high-frequency.

Figure 2. Contrast curve of output real value ‘+’ and

estimate value ‘* ’.
Table 1. NAMNN and χ 2 estimate shape parameters
α
real estimate mean value estimate variance
value
χ2 NAMNN χ2 NAMNN
0.7 0.6355 0.6992 0.0071 0.0002
Figure 3. Images block segmentation method.
1.0 0.8989 1.0031 0.0766 0.0034
2) Calculate variance and standard deviation of image,
2.0 2.1330 2.0132 0.0640 0.0544
if it is smaller than the absolute value, the coefficients
2.5 2.5971 2.5254 0.1023 0.0294 are marked as 1, and named as active factor, the rest
mˆ i21 ∧ are marked as 0, forming a binary system matrix A.
From (6) and (7), let ki = , α i = R −1 ( ki ) , It can Secondly calculate the coefficient variance of sub-
mˆ i 2
block image recorded as μ. Then calculate two
get estimate value of shape parameters in table 2. thresholds T1 and T2. When the ratio of active factor in
Table 2. Estimate value of shape parameters. the image block is less than T1, then the image block is
groups k ∧ smooth block. Here T1 is 5%. Through the linear
i
αi approximation and optimize the image block, T2 is
one 0.3791 0.6518 defined as equation (12)
two 0.3262 0.5529
T2=-0.16αave+0.28 (12)
three 0.2517 0.4279
four 0.2638 0.4409 Shape parameters α is estimated by Table 4, αave is
five 0.2662 0.4493 the mean value of α. So we get αave =0.5456，therefor
six 0.3193 0.5230 T2 =0.19. If μ is smaller than T2 and active factor is
seven 0.3214 0.5339 between 30% and 70%, the image block is edge block.
eight 0.4443 0.7852 Otherwise the image block is texture block. At last
different visual weights is distributed to different
4. Embed HVS into image coding image blocks as table 5 and table 6.

202
 Table 3. Percentage of edge, smooth, and texture
blocks in three images
Image Texture Edge Smooth
block image image image
Texture 48.9 10.3 7.4
Edge 29.2 54.9 43.2
Smooth 21.9 34.8 49.4
Table 4. Perceptual weights at the coarsest scale
Image Texture Edge Smooth
Figure 6. Reconstructed mage with improved SPIHT.
block image image image
Texture 0.6 1.1 1.1
Edge 2.2 2.2 2.2 6. Conclusion
Smooth 1.6 1.6 1.8
In this paper, it adopts the shape parameter of GGD
to differentiate the smooth block, texture block, and
5. Experimental results edge block of an image. The shape parameter is
estimated by the NAMNN algorithm. Then the paper
Take 512 × 512 × 8 bit standard image Lena for embeds HVS into SPIHT algorithm according to
example, the experimental results with four bior4.4 distribute different perceptual weights to different
wavelet decomposition are shown in table 5. The image blocks. Experimental results indicate that the
original image lena is shown in figure 4. When the bit image quality is improved greatly compared to the
rate is 0.25 bpp, the reconstructed image with SPIHT standard SPIHT after decompression.
and improved SPIHT algorithm are shown in figure 5
and figure 6 respectively. All implementations have
been done using MATLAB 7.0. Clearly, The improved
Acknowledge: This work is supported by 863 High
technology Research and Development Project (2006
SPIHT algorithm can get greater PSNR and better
AA04Z208) and Tianjin Natural Science Foundation
subjective visual quality in a lower bit rate.
Projects (06YFJMJC01600, 08JCZDJC21900).
Table 5. The PSNR of the reconstructed image under
different bite rate.
Bit rate PSNR(dB) of PSNR(dB) of References:
(bpp) SPIHT Improved SPIHT
[1] A. Said and W. A. Pearlman, "A new fast and efficient
0.1 22.31 23.00
image codec based on set partitioning into hierarchical trees,"
0.125 24.12 25.12 IEEE Trans on Circuits and Systems for Video Technology,
0.25 30.22 30.49 1996, 6, pp.243-250.
0.3 31.60 32.08 [2] Wang M, Zhang X H. An Image code Method Based on
0.5 35.06 35.40 human visual Characteristic. Intelligent Information
0.625 36.56 36.58 Management Systems and Technology, 2007, 2 (23):25-27.
0.875 37.29 38.56 [3] Ramos M G., Hemami S S, and Tamburro M A. Psycho
1 39.18 39.27 visually-based Multiresolution Image Segmentation.
Proceedings IEEE International Conference in Image
Processing. Santa Barbara, A, 1997, 3, 66-96
[4] Wang Tai-ming, Li Zhi-ming. A Fast Parameter
Estimation of Generalized Gaussian Distribution. Chinese
journal of engineering geophysics, 2006, 3(3):172-176.
[5] Wu Xue-li, etc. Research of Identification of None-linear
System Based on a new-type Associative Memory Neural
Network. Geography and Geo-information Science, 2004, 20
(4):110-112.
[6] Wang Xiangyang, Yang Hongying. A Fast Image Coding
Algorithm Based on Human Visual System. Journal of
Software, 2003, 14 (11): 1964-1970.
Figure 4. Original image. Figure 5. Reconstructed
image with standard SPIHT.

203
 2008 International Conference on Intelligent Computation Technology and Automation
NdFeB Magnet Composite Design Based on BP Network1
Wang Huiyu Ren Yuanhua
College of Computer Science Zhejiang TongCheng
and Technology, Magnetics Co., LTD.
Zhejiang University, Dongyang 322118, China
Hangzhou 310027, China zinnuovo@126.com
wanghuiyu1011@gmail.com
Abstract
Traditionally, the composite design of NdFeB magnet
was consuming with repeated experiments. In order to
speed up the design process of NdFeB magnet, BP
network is trained to model the relationship between
NdFeB magnet composition and the magnetic properties.
The training data that come from production data are
classified into two groups for the purpose of simplifying
the network structure and improving the efficiency of the
training. The experiment results of regression analysis
indicate that the predicted data are consistent with the
measured data quite well. The tendencies of the magnetic
properties are also forecasted in the experiment results,
which will guide the NdFeB magnet composite designing.
1. Introduction
Permanent magnets have been widely used in various
applications for many decades to convert electrical energy
12
into mechanical energy or vice versa [ , ]. NdFeB magnet
has the magnetic properties of high remanence, high
coercive force, high energy product and high ratio of
performance to cost. In order to improve the magnetic
properties of NdFeB magnet, researchers have to do
repeated and time consuming experiments. In order to
speed up the design process of NdFeB magnet, we need to
build a model which can indicate the relationship between
NdFeB magnet composition and the magnetic properties.
According to the experience in the actual production,
each kind of the alloy composition always has a specific
fabrication technique different from others, which makes
it very difficult to manually establish a conventional and
accurate formula to model this process. This promotes us
to investigate whether using artificial neural network
(ANN) techniques can solve this problem. Artificial
Neural networks are mathematical models inspired by the
1
Project supported by the Science and Technology Bureau of Zhejiang Province, China (No. 2006C11241).
978-0-7695-3357-5/08 $25.00 © 2008 IEEE 204
DOI 10.1109/ICICTA.2008.160
Pan Jianfeng
Zhejiang TongCheng
Magnetics Co., LTD.
Dongyang 322118, China
zinnuovo@126.com
organization and functioning of biological neurons. It has
a modest capability for building piece-wise non-linear
models, which is especially important in the forecasting
3
and decision modeling problems [ ].
There are numerous artificial neural network
variations, and how the neuron is modeled depends on the
task. BP network has been proven to be an efficient tool
in the prediction modeling of magnetic properties of Nd-
Fe-Co-Zr-B alloys on the experimental data that comes
4
from uniform design [ ]. In their experiment, the
forecasting is modeled from alloy composition to
magnetic properties.
In our paper, we propose a modeling process which
forecasts the NdFeB magnet composition efficiently. The
direction of forward propagation is from magnetic
properties to alloy composition. Our experimental data are
based on the product data, which are much more complex
and irregular. It has been pointed out that the input
parameters have significant influences on the output error
5
by the ways of sensitivity analysis [ ]. We will explain
how we handle the pretreatment and classification of the
training data in Section 3.
Based on the BP network and actual data from the
production, this paper explore the inside relationship
between NdFeB magnet composition and magnetic
properties. Besides, some metal elements are needed to
improve the magnetic properties, such as Al, they are
important but take small proportion in the whole NdFeB
magnet. This paper also provides a method to reveal the
influence of Al on the magnetic properties.
2. Principle of BP network
The BP neural network was researched and designed
by D.E.Rumelhart, J.L.McCelland and their group in 1986
[6]
. Normally, BP network model is composed of three
layers, i.e., input layer, hidden layer and output layer, and
each layer includes some neurons. The neurons between
layers interconnect completely, but there is no interaction The selection of output neurons is much more
among neurons inside layer. complicated. Initially, it’s very important to include
The forecast function of the BP neural network is reasonable predictor variables. To get more concise
based on errors’ back propagation. As Figure 1 shows, models, the number of output variables is often reduced
this kind of network learning process is composed of using various kinds of ways [7].
forward propagation and backward propagation. In the design of the NdFeB magnets, the composites
To begin estimating the network, the weights and vary as the magnetic properties change. For NdFeB
biases are usually initialized with random values. They magnets, Nd, Fe, and B, are main composites, including
are adjusted with the error that is back propagated. some of other composites like Dy, Tb, Ga, Al, etc. Their
There are two ways that the error is generated, one is composite content may change. In this paper, the sample
generated after entire data are trained, and the other after original data are shown in table 1.
a specific record is trained leads to different effects. The
former lead to a fast descent of the error surface, and the Table 1. Sample training data
7
latter is used to close in on the minimum point [ ].
In this paper, we use the former method to generate the Nd BFe Fe Dy DyFe Al NbFe
error. The adjustment process is repeated until the error 6.36 1.1 12.16 0 0.3 0.08 0
converges on a minimum point. 5.88 1.125 12.5 0 1.32 0.042 0.139
13.25 2.255 24.74 0 0.615 0.164 0
13.04 2.255 24.93 0 0.615 0.164 0
5.72 1.075 12.82 0 1.215 0.042 0.139
5.79 1.125 12.88 1.055 0 0.106 0.175
6.05 1.09 13.05 0.775 0 0.042 0
13.25 2.255 24.86 0.49 0 0.164 0
5.57 1.135 12.61 1.26 0 0.042 0.069
7.1 1.12 11.72 0 0 0.06 0

From table 1, we can see that besides of Nd, Fe, and B,

Figure 1. The BP network
3. Construction of BP network model
3.1. Input layer
Our Main purpose is to design the alloy composition
according to specific magnetic properties. For NdFeB
magnet, three important features which describe
permanent magnet performance are the remanence, Br,
intrinsic coercivity, Hcj, and maximum energy product,
(BH)max. Among these three properties, (BH)max has a
very close relationship with Br. (BH)max increases as Br
increases, vice verse. However, this directly proportional
relationship is not linear. As a result, we can not just
reduce the number of input neurons by one. It’s necessary
to keep all three properties as the input neurons. So the
input layer has 3 neurons.
3.2. Output layer
there are other composites, such as Dy, DyFe, Al and
NbFe. Initially, we may consider including all four
composites as the output neurons. However, the BP
network is not easy to converge with all these neurons in
the experiments.
So it’s necessary to have a cut down of the output
neurons. We take the following steps.
First of all, let us consider Dy and DyFe again. They
both have element Dy and they are in the waiting list of
output neurons. DyFe can be divided into Dy and Fe
respectively according to their proportions in DyFe. This
assumption is testified by the experiment and the model is
improved using this method. As for other composites, it
will be much redundant to divide them.
Secondly, in contrast to the element Al, which is
involved in all the NbFeB magnets, NbFe is nearly shared
by half of the data. In order to further improve the
convergence of the BP network, we classify the data into
two classes. One class includes NbFe, while the other
does not.
At last, we can reduce another neuron by converting all
the composites to the proportions they take in NbFeB
magnets. We reduce element Fe which takes the major
proportion of more than 60% to make the output layer
looks more balanced after normalization.
In the end, the training data are classified as the table 2
shows.

205
 Table 2. Two groups of training data Generally, the root-mean-squared (RMS) error is an
adequate and commonly used error measuring method to
Group Input Output have a quantitative measure of learning. However, in this
Number Neurons Neurons paper, we measure the error of each node respectively,
Group 1 (BH)max Hcj Br Nd BFe Dy Al denoted by E(BH ) max , E Hcj and E Br . When each of the
Group 2 (BH)max Hcj Br Nd BFe Dy Al NbFe three errors decent to minimum, the adjustment
processing stops. This idea is also explained in a new
3.3. Hidden layer architecture of single output multilayered feedforward
neural networks array, which can be used to replace a
Only one hidden layer is needed for an artificial neural multiple outputs multilayered feed forward neural
network to be a universal function approximator to a 11
networks [ ]. It has been analyzed that this method
continuous function, so often only one hidden layer is
used; however, more than one hidden layer maybe used outperforms the traditional multiple outputs in that paper.
since overall fewer neurons will be required. If the In our paper, the separate processing of error measure is
function to be approximated is discontinuous, the model also testified by the experiment results, we will discuss it
will require at most two hidden layers [7]. in detail in section 4.
Though there exist many other methods used to 3.6. Pretreatment of training data
calculate the number of the hidden layer nodes, such as
8 Sigmoid function is used as the activation function.
the empirical formula [ ]. The design of hidden layer
The output value of this function is limited in the range of
mostly depends on the experiment experience. In this
0.0 to 1.0. Therefore, we must formalize the input data to
paper, the experiment result shows that, there is no
the value in the range of 0.0 to 1.0. Take data sample of
remarkable difference between two hidden layers and one
group 2 as an example, its formalization of output layer is
hidden layer. They both have relatively stable and fast
shown in Table 3.
convergence. Some researchers have the point of view
that four-layered networks are more prone to fall into bad
Table 3. Pretreatment of training data
local minima and there seems to be no reason to use four
layer networks in preference to three layer nets in all but Steps Composites Value
9
the most esoteric applications [ ]. So in this paper, we use Initial Data Nd 6.678
the one-hidden-layer BP network, with 5 neurons. BFe 1.173
3.4. Adjusting the learning rate Fe 12.672
Dy 0
In 1988, four heuristics has been proposed by Jacobs DyFe 0.323
RA for achieving faster rates of convergence while Al 0.084
adhering to the locality constraint. These heuristics NbFe 0.07
suggest that every weight of a network should be given its Reduce Nd 6.678
own learning rate and that these rates should be allowed One Node BFe 1.173
to vary over time. He also gave two classical (DyFe to Dy and Fe) Fe 12.743
implementations of these heuristics, namely momentum Dy 0.252
and an algorithm called the delta-bar-delta rule, are Al 0.084
10
studied and simulation results are presented [ ]. NbFe 0.07
Many other algorithms for adjusting learning rate are Quality Nd 0.318
gradually proposed during last decades. Determining the Fraction BFe 0.0559
right method to be applied hinges on the BP network Fe 0.6068
structure as well as the actual training results. The Dy 0.0120
network converges fastest when the learning rate is Al 0.0040
around 0.8 and the self-adjustment algorithms don’t have NbFe 0.0033
obvious improvement on the experiment. Final Data Nd 0.318
(Reduce Fe BFe 0.559
3.5. Error measure
and then Dy 0.12
Three magnetic properties, (BH)max, Hcj, and Br, they Adjust) Al 0.40
have different range of values(refer to table 3) even after NbFe 0.33
data normalizing, which means the error of each property
has different contribution to the final global error. This We have 374 data samples in all, including two
promotes us to investigate the particularity of the error groups. Each group consists of 187 data samples, with
measure method. 150 training samples, and 37 testing samples.

206

4. Experiment results
4.1. Regression analysis
We use the statistics toolbox of Matlab (Version
2007a) to do a regression analysis. Statistics Toolbox has
a robust regression function that is useful when there may
be outliers. Robust methods are designed to be relatively
insensitive to large changes in a small part of the data [12].
As we mentioned in Section 3.1.2, the training data can
be classified into two groups. We will analyze the
relevant results between the predicted value and the actual
value of composite Nd, BFe, Dy and Al respectively.
Figure 2 shows the regression analysis of the group 1,
while figure 3 shows group 2.
Considering the regression analyzing as well as
comparing two groups, we don’t include element NbFe in
figure 2. NbFe of group 2 is also proved to be with similar
characteristic in experiment.
Figure 2. Regression analysis between actual
data and predicted data of composites of group1
Figure 3. Regression analysis between actual
data and predicted data of composites of group
2 Figure 5. Influence of nd content on magnetic
From both figure 2 and figure 3, the slope of
regression lines are approximately 1, which means that
the composition design based on the BP network is
successfully implemented in most cases.
In figure 3, the precision is not highly enough, which
leads to the distribution of the dots around regression line.
The reason for that is that varieties of the training data are
207
limited, so is composite BFe in figure 2. However, it’s in
the permitted error range and the relative error is low
considering that the training data is from product data,
where few mistakes of the data are inevitable. Besides,
the fact is that in a range of value of the composite
content, the magnetic properties are almost the same. For
example, Nd: 0.3229% and BFe: 0.0550%, Nd: 0.3231%
and BFe: 0.0549%, and other composites have exactly the
same value, they have the same magnetic properties in
production.
4.2. Forecasting based on the NdFeB magnet
composite design
The following figures are based on the NdFeB magnet
composite design which is predicted by the trained BP
network. In the experiment, 37 testing data, which
consists of (BH)max, Hcj, and Br, are distributed
uniformly in its value range. (BH)max ranges in 28-53
MGOe, Br ranges in 10.8-14.1 KGs, and Hcj ranges in
11-35 KOe. The input layer nodes reflect in the y axis,
while the NdFeB magnet composite design reflects in the
x axis.
Figure 4. Influence of al content on magnetic
properties of group 1
properties of group 2
Figure 4 is the quality fraction of Al, one of the output
neurons of group 1. Figure 5 is the quality fraction of Nd,
one of the output neurons of group 2.
From figure 4 and figure 5, we can see that although
they belong to two different groups, the influences they
have on the magnetic properties are similar. With the
increase of the proportion they take in NdFeB magnet, Br
and (BH)max have the tendency of decreasing, while Hcj [8] E.J. Teoh, K.C. Tan, and C. Xiang. “Estimating the Number
has the tendency of increasing. of Hidden Neurons in a Feedforward Network Using the
Singular Value Decomposition”, IEEE TRANSACTIONS ON
NEURAL NETWORKS, 7(6):1623-1629, NOVEMBER, 2006.
5. Conclusion
[9] J.D. Villiers and E. Barnard. “Backpropagation Neural Nets
NdFeB magnet composite design is based on the three- with One and Two Hidden Layers”, IEEE TRANSACTIONS ON
layer BP network. The training data sourced from NEURAL NETWORKS, 4(1):136-141, JANUARY 1992.
production data is different from what much research
work used before, for it is not uniformly distributed or [ 10 ] R.A. Jacobs. “Increased rates of convergence through
followed some specific rules. Thus it is more general and learning rate adaptation”, Neural Networks, (1):295-307, 1988.
it can be applied to the actual NdFeB manufacturing. [11] Wang Xiukun, Zhang Xiaofeng. “A New Architecture of
We classified the training data into two groups Neural Networks Array Replacing of a Multiple Outputs BP
according to the BP network design principle. Experiment Model Network”, Computer Science, 28(10): 61~63, 2001.
results indicated that the method can largely improve the
convergence speed and simplify the network structure. [12] Holland, P. W., R. E. Welsch. “Robust Regression Using
The influences of composite content on the magnetic Iteratively Reweighted Least-Squares”, Communications in
properties are showed by the experiment results. The Statistics: Theory and Methods, A6(9):813-827, 1977.
element Al which is in the minority of the composite,
about 0.002% to 0.0065%, also has the similar influences
on the magnetic properties as Nd. We conclude that BP
network can be trained to model the relationship between
NdFeB magnet composition and the magnetic properties
which provide a significant guide in the NdFeB magnet
composite design.

References
[ 1 ] P. Campbell. Permanent Magnet Materials and Their
Application. Cambridge University Press, Cambridge, 1994.

[2] M. McCaig and A.G. Clegg. Permanent Magnets in Theory

and Practice. Pentech Press, London, 1987.

[ 3 ] F. Collopy and J.S. Armstrong. “Expert Opinions about

Extrapolation and the Mystery of the Overlooked
Discontinuities”. International Journal of Forecasting, 8(4):
575-582, 1992.

[4] L. Lixian, L. Ying, etc. “Prediction Model for Megnetic

Properties of Nd-Fe-Co-Zr-B Alloys Based on Artificial Neural
Network”, Mingjing Tu Acta Metallurgica Sinica(China),
41(5):529-533, May 2005.

[5] F.F.V Karri. “Determining the Influence of Input Parameters

on BP Neural Network Output Error Using Sensitivity
Analysis”, Computational Intelligence and Multimedia
Applications, 45-49, 1999.

[6] D. E. Rumelhart. G.E. Hinton, R.J. Williams. “Learning

Representations by Backpropagating Errors”, Nature,
323(6188):533-536, 1986.

[ 7 ] T Hill, L Marquez, MO’Connor. W Remus, “Artificial

neural network models for forecasting and decision making”,
International Journal of Forecasting, 10(3):5 – 15, 1993.

208
 2008 International Conference on Intelligent Computation Technology and Automation

Neural Network Simulation-Based Research on Highway Safety Evaluation

Cheng Jia1, Guo Hongxia2, Li Qingyao3, Du Wen1

1
College of Traffic and Transportation, South West Jiaotong University, Chengdu, China
2
Guangxi University of Technology Automotive Engineering Department
3
Liuzhou Communication Bureau, Guanxi Province
Email: Jiahe2006@yahoo.com.cn

Abstract running velocity when the old models was found

With highway traffic of China developing faster and
faster, safety problems are gradually becoming more
and more obvious. Such problems are big threat to
both people’s lives and their property. Some safety
researches have been done by Predecessors. Based on
these researches, this article is to employ a highway
safety evaluation system made of running velocity. By
using the BP neural network algorithm in MATLAB
software, simulations were made to evaluate the
linearity of a certain highway. And the results come
out at last to prove that the method contains a certain
applicable value.
unmatched Running velocity model was from
observation of actually running speed of vehicles on
typical highways, and to analyze the statistics data to
form the velocity’s measurement model. Let actually
running velocity of vehicles be one of the main
foundations to design the curved shape so that every
line main design parameters such as vertical,
horizontal, flatness could be well matched with indexes
such as eye release, superelevation and so on. At last, a
continuous, unanimous and balanced design can be
make out.
2.2. Evaluation standard

1. Introduction Lamn and others suggest that the difference value of

design velocity and running velocity can be a standard
Highway traffic is one of the strategic main points of curved shaped evaluation.[2] It is shown as follows:
of our national economy and society development. Table 1. Standard one
Also it is a basement, advanced and service industry. Good V85 -Vd<=10km/h
With highway traffic developing faster and faster and Normal 10km/h <V85-Vd<=20km/h
motor vehicle inventory going up sharply, safety Bad V85-Vd>20km/h
problems are becoming more and more obvious Lamn suggests another standard using straight line
gradually. And the safety of highway meets a severe and the curve close to the circle to evaluate. It is shown
challenge. So it is very necessary for the country’s as follows:
highway sustainable development that how to resolve Table 2. Standard two
these problems and to alleviate the negative effects on Good ΔV85 <=10km/h
the economy and other industry.
Normal 10km/h<ΔV85 <=20km/h
2. Safety research Bad ΔV85 >20km/h
The two standards are used far and wide. So this
2.1. Evaluation method of highway safety
paper will use them to evaluate as well.
The evaluation methods of highway safety changed
by two point during recently researches. Firstly, 3. Neural network-based velocity
attention was paid to design stage from investigating prediction model
currently existing roads at the beginning. And the
method became a main pre-evaluation method of 3.1. Introduction of BP Network and the
highway safety evaluation. Secondly, research algorithm
direction was turned to evaluate curved shape by

978-0-7695-3357-5/08 $25.00 © 2008 IEEE 209

DOI 10.1109/ICICTA.2008.198

BP network contains input layer node, output layer
node and hidden layer node. Input signals should be
taken to hidden nodes onward at first. Then the signals
pass on an activation function, and output information
of hidden node is taken to output node. Finally, a result
is given.[4][5]
The main idea of BP network algorithm is to divide
leaning process into two stages:
Stage one: Information propagates in positive
direction. Given input information pass through input
layer, and is operated in hidden layer. Then actually
output values of every unit will be calculated;
Stage two: The difference propagates in opposite
direction. If there aren’t anticipant output values on
output layer, compute the difference between actual
value of exports and the expectation output recursively
so that the weight could be adjusted.
These two processes function repeatedly can make
the difference to reduce gradually. Finally, when the
differences achieve respected degree, learning process
of whole network is over.
The structure of BP network is shown in figure 1:
Figure 1 BP network structure
3.2. BP network-based running velocity
prediction model
3.2.1. Basic constitution. Neurons are the basic units
to build a neural network. So an artificial neuron model
must be built before an artificial neural network. And
the neuron model should contain basic characters as
human brain has.
(1)Let neuron’s n input signals be used with
X1,X2,…,Xn separately, and an output signal be used
with y. In this condition, input signals are formed by
running velocity-prediction target systems, and one
output signal means the running velocity.
(2)Neurons are unit which contain non-linearity
input and output characteristics. When signals cell
body received surpass a threshold value, the cell body
will be activated, and then, it sends signals to other
neurons by neuraxons.
210
Cell body’s input can be shown as:
n
z = ∑ xi − b (3-1)
i =1
n
Where ∑x
i =1
i means signals totting-up effective; b
means threshold value; z means all input.
(3)Neurons have plasticity. Let synapse’s
connection intensity of cell body be wi(i=1,2,…,n),
then cell body’s input can be shown as:
n
z = ∑ wi xi − b (3-2)
i =1
3.2.2. Neuron activating function. In order to deal
with accidents that neurons be stimulated, there should
be a transformation function which can transform
stimulation to reply (output). The function is called an
activating function.
3.2.3. Network structure. Neurons connection modes
in neural networks suggest the topological structure of
these networks, and they decide the nature and
operational ability of neurons. According to the
connection pattern, the neural network models may be
divided into the front -like neural network and the
feedback type ones.
This article would use the latter one.
3.2.4. Learning process. In general, learning
algorithms can be divided by two classes: Mentor
learning algorithm and non-mentor learning algorithm.
The BP network is a mentor learning algorithm.
3.2.5. Application. Firstly, weights are decided by a
learning algorithm and the sample mode. Then other
mode vectors are inputted into the network, and
outputs are received in order to complete the
calculation function, in other words, the prediction of
the velocity. Finally, evaluate the objectives on the
basis of the evaluation standard.
All processes are shown in figure 2.
 in linear neuron level and the threshold value vectors
Decide indexes Decide targets Decide samples in the network.

4.2. Data normalization processing

Initialization
In MATLAB, sample input program is in matrix
form. Because order of magnitude of each vectors in
original samples have difference, data normalization
Sample normalized processing is necessary to prevent neurons from
achieving the oversaturation condition and the
normalization can make calculation more easier as
well.
Calculate differences

4.3. Choose a network training function

Amend weights Considering the capacity of the sample is limited,
and traditional BP network algorithm isn’t perfect, so
N the traindx function is chosen to be the training
Factor satisfied function of the network.

Y
4.4. Decide number of hidden units
Input data
The number of hidden units concerns the question’s
requirement and the number of input and output units
directly. If too big, the time for learning will be long.
Output results So there should be a optimal number. 20 is decided to
be the number in this article at last.
As the model is build, a set of data in sample is
Differences trained. The difference between the expected output
and actually output is shown in table 3. We can see that
the differences of test data are very small, about 0.004
on average. The precision is acceptable in such
Evaluation
condition. So this BP network model can be used to
predict running velocity.
Table 3. Output difference
Conclusion Expected Actually
Difference
Output Output
Figure 2. Evaluation flow chart 0.5000 0.4913 0.0087
0.5455 0.5453 0.0002
4. Model Simulation in MATLAB 0.5682 0.5679 0.0003
0.4773 0.4781 0.0008
MATLAB contains a neural network toolbox which
covers basic useful modes of neural network and 0.5909 0.6049 0.0140
integrate a few of learning algorithms. So this article
uses MATLAB to predict the velocity. 5. Case study
4.1. Build a BP network The data source is a third class highway, which goes
the north and south trend and cross 2 villages. The
Using newff function can build a BP network in length is 12.964KM, and the design speed is 30KM/H.
MATLAB. When the network is build, initialization is 141 samples are gathered in total.
carried on automatically to each level weight and the Let first 100 samples be the training samples, and
threshold value of the network. The initialization is to latter 41 be simulation samples. Then samples are
assign random number between [-1,1] to power matrix calculated in MATLAB to predict the running velocity

211
of the latter ones. Do simulation ten times and an [4] He Yubin, and Li Xinzhong, ”Neural Network Control
average value of prediction results is made out. The Technology and Application” , [M].Science Press, China,
results are shows in table 4. Because of limited space, 2000(11), pp. 29-34.
bad results are listed barely.
Table 4. Evaluation result (D means difference) [5] Xu lina, “Neural Network Control”, [M], PHEI, China,
2003(2), pp. 18-23.
10<D
Number V85-vd ΔV85 D>20 Result
<20 [6] AUSTROADS, “Road Safety Audit (Second Edition
K10+44 2002)”[J], Standards Australia, 2002
13 35 Y Y Bad
8.54
K11+50 [7] Su Jinming, “MATLAB7.0 Practical Guideline”[M],
15 21 Y Y Bad PHEI, China, 2004
1.42
K11+81
21 34 Y，Y Bad
9.11
Compared to design material, results analyzing is
shown in table 5.
Table 5. Results analyzing
Number Problems
Back of long line in small vertical
K10+448.54 slopes meets small radius curves, and
the eye release is bad.
Back of lone line meets small radius
K11+501.42
curves.
Back of lone line meets small radius
K11+819.11 curves. Horizontal curves and vertical
ones don’t match.

6. Conclusion
The difference generated by the method in this
article is small, about 0.004 on average. It is acceptable
in such sample condition. So BP neural network model
can be used to predict running velocity relatively
precise. Evaluation results of actual sections of
highway suggest that it is realistic to use BP neural
network to evaluate them with given indexes. And
conclusions obtained are matched actual situation in
general.

7. References
[1] Li Qingyao, “Researches on Highway Alignment
Evaluation and Prediction of Operating Speed”, Master thesis,
South West Jiaotong University, China 2007

[2] R. Lamn, A. K. Guenther, and E. M. Choueri, ”Safety

Module for Highway Design Applied Manually or Using
CAD.” Paper Presented at the 71st Annual Meeting of the
Transportation Research Board[J]. Washington, DC. January
1992

[3] Chen Yongsheng, “Research on Fundamental theory and

Crucial Method of Freeway Safety Design”, Doctor thesis,
Beijing Polytechnic University, China, 2001, pp. 9-14.

212
 2008 International Conference on Intelligent Computation Technology and Automation

Nonlinear System Identification Using Dynamic Neural Networks Based on

Genetic Algorithm

Xinli Li, Yan Bai, Congzhi Huang.

Department of Automation, North China Electric Power University, Beijing, 102206
lixinli@ncepu.edu.cn

Abstract illustrates the advantages and disadvantages of the

The structures of the four representative dynamic
neural networks (NN) are presented. In order to
compare the performance of different dynamic NN in
the nonlinear system identification, they are used for
identification of the same nonlinear dynamic system,
using the genetic algorithm (GA) to train the weights
of the Elman net, the modified Elman net, internal
time-delayed recurrent NN and time-delayed NN. The
simulation results show the generalization ability of
the four dynamic NN and provide the high precision of
model of the nonlinear dynamic system. It illustrates
the advantages and disadvantages of the different
dynamic NN.
1. Introduction
dynamic NN.
2. Representative dynamic NN
2.1. Elman net
Elman net[3] is the kind of the well-known recurrent
neural networks. In the Elman net, there is a feedback
from the outputs of some neurons in the hidden to
neurons in the context layer which seems to be an
additional input layer. Therefore the input layer is
constituted by the input nodes plus these context nodes
which memorise some past states of the hidden units so
that the outputs of network depend on an aggregate of
previous states and the current input. The structure of
Elman net is shown in Fig.1.
context layer

The neural network (NN) is widely used in the

system identification, especially the feed-forward
W1
multi-layers NN, which it can approximate nonlinear x (k )

system with arbitrary accuracy[1]. But the feed-forward #

xc (k )

multi-layers NN is the static NN and can’t depict # y (k )

#
accurately the dynamic character of the system. The W3

dynamic NN has been a hot subject of research of the u (k − 1) W2

dynamic identification and control.
Many researchers have studied the recurrent NN
since the Hopfield proposed the whole back-forward
NN in 1982[2]. There are some main researches in the
dynamic NN[3-9]. Such as the static NN with integrator,
Elman net, Jordan net. The learning algorithm of the
recurrent NN is usually the BP algorithm. Because it
tend to convergent to the local minimum and flexibility
isn’t so well, genetic algorithm (GA) was proposed
which based on the certain kind of recurrent
NN[10,11].In order to compare the performance of the
four representative dynamic NN, Elman net and
modified Elman net, internal time delayed recurrent
NN and time delayed NN in the nonlinear system
identification, they are used for identification of the
same nonlinear dynamic system based on the GA. It
input layer hidden layer output layer
Fig. 1 Structure of Elman net
Mathematical description of Elman net can be given
as follows:
y(k ) = W 3 x(k )
= W 3 F (W 1 (k ) xc (k ) + W 2 (k )u ( k − 1))
Where, u (k ), x(k ), xc (k ) and y (k ) are input, output of
the hidden layer, output of context layer and output
layer. W 1 is weight matrix between context layer and
hidden layer , W 2 is weight matrix between input layer
and hidden layer and W 3 is weight matrix between
hidden layer and output layer.
F (•) is often taken as the sigmoidal function:

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DOI 10.1109/ICICTA.2008.324
 1
F ( x) =
1 + e− x
The modified Elman net introduces a self-feedback
coefficient to improve its memorization ability. It was
proposed by Pham and Liu[7] based on the original
Elman net. Because of having self-feedback links with
fixed coefficient α (0 < α < 1) in the context nodes, the
output of the context nodes can be described by
xc (k ) = x(k − 1) + α xc (k − 1)
When the coefficient α is zero, the modified
Elman net is identical to the original Elman net. When
the coefficient α is near to 1, there are more history
information in the nets. The high order dynamic can be
identified by the modified Elman net. The structure of
the modified Elman net is shown in Fig.2.
a
W1
x (k )
# The fitness function is confirmed by the target
xc (k )
# #
a
W 3
u (k ) W 2
Fig. 2 Structure of the modified Elman net
2.2. Internal time delayed recurrent NN
In this NN, there is internal time delayed back-
forward in the hidden layer of NN. It is shown in Fig.3.
W2
W1
WH
# y (k )
u (k )
input layer hidden layer
Fig. 3 Structure of the internal time delayed
recurrent NN
When the one hidden layer is adopted in the NN,
mathematical description can be given as follows:
y( k ) = W 2 F (W H x( k − 1) + W 1u (k ))
x(k − 1) = F (W H x( k − 2) + W 1u (k − 1))
Where, W 1 is weight matrix between input layer
and hidden layer, W 2 is weight matrix between hidden
layer and output layer and W H is weight matrix among
the nodes of hidden layer.
2.3. Time delayed NN
In the time delayed NN, the past values of the input
and output in the system are viewed as the input
serious of the NN. Mathematical description can be
given as follows:
y (k + 1) = F ( y ( k )," y (k − m), u (k )," u (k − n))
3. Learning algorithm of NN
In order to avoid the disadvantage of BP, the GA is
adopted to train the weights of four kinds of dynamic
NN.
(1) Code
It is the key step to design the coding of the GA,
because it directly affects the choice, crossover and
mutation. Due to the large number weights of the NN,
the real-number coding is used in this paper.
(2) Fitness function
y(k ) function and is the standard to distinguish the
individual worth in the whole population. At the same
time, the fitness function value is always positive. In
any cases, the bigger this value is, the better it is. As
follows:
1 p
f = ∑ (Y (k ) − y (k ))2
2 k =1
Where Y ( k ) is the output sample, y (k ) is the
output of the NN, p is the sum of sample. The fitness
function in the GA is shown as follow:
F = 1/ f
(3) Elitist GA
The elitist GA is a kind of improved GA. A new
generation population is produced by crossover and
mutation for the N dyads in the standard GA (SGA).
But for the elitist GA, a new population is produced by
crossover and mutation in the N-1 dyads and the
biggest fitness value individual is selected in
population as the last individual in new generation.
The monotony of the population fitness value is kept
output layer
by this modify. The convergence is very important in
theory for the algorithm. After adopting the elitist GA,
the GA’s convergence is proved in real-number
coding[12].So the elitist GA is used in this paper.
(4) Selection
It is roulette selection in the elitist GA.
(5) Crossover
The heuristic crossover operator can confirm the
search direction of genetic by the means of the value of
target function. The next generation x will be birth by
the parent x1 and x2 . The formula is as follows:
x = r * ( x2 − x1 ) + x2
214
Where r is the random number between one and zero. hidden layer and one node in the output layer in this
(6) Mutation paper. The structure of the modified Elman net is the
The Gauss mutation is adopted that can search local same of the Elman net.
area of the individual’s neighborhood.
1.5
The main parameters are selected as follows: Y(k)
Population size: 40 1
y(k)
error
Crossover rate: 0.85
Mutation rate: 0.1 0.5
Elite reservation rate: 0.1
The stop criterion of the algorithm is that the 0
optimization solution isn’t evolution after 30
generations. The sketch map shows in Fig.5: -0.5

-1

-1.5
0 100 200 300 400 500 600 700 800 900 1000
P (t )
Fig.5. Test curve and error curve of Elman net
When the modified Elman net is adopted, the
a = 0.1 , the simulation figure of testing is shown in
Fig. 6.
1.5
P(t + 1)
Y(k)
1 y(k)
error

0.5

-0.5

N
Y -1

-1.5
Fig.4. Sketch map of the GA 0 100 200 300 400 500 600 700 800 900 1000

Fig.6. Test curve and error curve of modified

4. Simulation Elman net
A nonlinear system is used to simulate, as follow:
4.2. Internal time delayed recurrent NN
y (k ) = 0.6 y (k − 1) + u (k − 1) /(1 + u 2 (k − 1))
The train signal is the random sequence which is There are two nodes, u (k ) and y (k ) in the input
submitted to the uniform distributing between -1 and 1.
The test signal is as follows: layer, five nodes in the hidden layer and one node in
⎧ πk
the output layer. The simulation figure of testing is
⎪sin 25 0 < k ≤ 250 shown in Fig. 7.
⎪
⎪1 250 < k ≤ 500
f (k ) = ⎨
⎪ 0 500 < k ≤ 750
⎪ πk πk πk
⎪0.3sin + 0.1sin + 0.6sin 750 < k ≤ 1000
⎩ 25 32 40

4.1. Elman net

The structure of Elman net is decided by experiment.

There is one node in the input layer, five nodes in the

215
 dynamic NN. The test errors of Elman net and
1.5
Y(k) modified Elman net are the smaller. But they are
y(k)
error
bigger in the internal time delayed recurrent NN and
1
time delayed NN. The train time of Elman net is the
0.5
shortest.

0 5. Conclusion

-0.5 From the above mentioned, firstly, it is feasible and

efficient that the nonlinear system identification of four
-1 kinds of dynamic NN trained with GA. Secondly, they
have different performance on the premise of GA as
-1.5 show below.
0 100 200 300 400 500 600 700 800 900 1000
(1) The training time of four kinds of dynamic NN
Fig.7. Test curve and error curve of the is shorter and the convergence speed is faster. At the
internal time delayed recurrent NN same time, they have the high identification precision.
(2) Although the training error of time delayed NN
4.3. Time delayed NN is the smallest among the dynamic NN, the
generalization ability of Elman net and modified
The structure of time delayed NN is 2-10-1. The Elman net are better than the internal time delayed NN
simulation figure of testing is shown in Fig. 8. and time delayed NN.
(3) Elman net and internal time delayed NN can
1.5 depict the complex dynamic system due to the back-
Y(k) forward in the NN. So the order of system needn’t to
y(k)
1
error be set in advance. Because the time delayed NN is the
feed-forward multi-layers NN, the order of system will
0.5 be set before the training.

0
6. References
-0.5
[1] K. S Narendra, K. Parthasarathy. “Identification and
control of dynamical systems using neural”[J]. IEEE
-1
Transactions on Neural Networks, 1990,1(1):4-26.
-1.5
0 100 200 300 400 500 600 700 800 900 1000
[2] Hopfield J J. “Neural networks and physical systems with
emergent collective computational abilities” [A].
Fig.8. Test curve and error curve of the time
Proceedings of the Academy of Science[C], U S,1982,79:
delayed NN
2554-2558
4.4. Result of training and testing of the
[3] Elman J. “Finding Structure in Time”[J].Cognitive
different dynamic NN
Science,1990, 14:179-211
Table 1 Comparison of different dynamic NN
Train error Train time Test error [4] Jordan M I. “Supervise leaning and systems with excess
Elman net 0.066 41.3668s 0.0871 degrees of freedom”[R]. Massachusetts Institute of
Modified Elman net Technology: COINS Technical Report, 1988. 88-27.
0.053 103.65s 0.0867
（ a = 0.1 ）
Internal time-
delayed recurrent 0.094 177.17 0.2112 [5] Pham D T, Liu X. “Dynamic system identification using
NN partially recurrent neural networks” [J]. Jounal of Systems
Time delayed NN 0.0299 124.38s 0.1929 Engineers. 1992:2(2):90-97
In table 1, it can be known that the all four kinds of
dynamic NN can provide the high precision of model [6] Ku C C, Lee K Y. “Diagonal recurrent neural networks
of the nonlinear dynamic system after the training for dynamic systems control”[J]. IEEE Transactions on
based on the GA. When the test signal is used to test Neural Networks. 1995,6(1):144-155
the model, there are different test errors in these

216
[7] Pham D T, Liu X. “Training of Elman networks and algorithms”[J]. Artificial Intelligence in Engineering,
Dynamic system Modeling”[J]. International Journal of 1999,13: 107-117
System Science, 1996,27(2):221-226
[11] Feng Hao, He Hongyun el . “Nonlinear System
[8] Dai Xian zhong．”Neural network inverse control of the Identification with Recurrent Neural Network Based on
MIMO nonlinear system” [M].Beijing：science publishing Genetic Algorithm”[J]. Journal of Southwest Jiaotong
company，2005. University. 2002,37(4):404-407

[9] Cong Shuang, Gao Xue peng. “Recurrent Neural
Networks and their application in system identification”.[J].
Systems Engineering and Electronics, 2003,25(2):194-197
[10] Pham D T, Karaboga D. “Training Elman and Jordan
Networks for system Identification Using genetic
[12] Lin Dan, Li Minqiang, Kou Jisong. “On the
convergence of real coded genetic algorithms” [J]. Journal of
Computer Research and Development, 2000,37(11):1321-
1327

217
 2008 International Conference on Intelligent Computation Technology and Automation
Parameter Estimation of Reliability Model of Hydraulic System for Vibratory
Roller Based on Adaptive Linear Neural Network
Heqing LIa,b, Qing TANa
a
School of Mechanical and Electrical Engineering, Center South University, Changsha 410083,
China
b
School of Automobile & Mechanical Engineering, Changsha University of Science and
Technology, Changsha 410076, China
liheqing@sina.com
Abstract
Aimed at reliability model of hydraulic system of the
vibratory roller, combined adaptive linear neural
network technique with system reliability engineer
theory, a way for parameter estimation of reliability
model based on adaptive linear neural network was
developed. The model parameters and function of
reliability for the first fault time of hydraulic system of
the vibratory roller was gained by this means. The
parameters estimation of the reliability model could
quickly obtained if the life data of the known
probability distribution was input to the model of the
adaptive linear neural network. Compared with
graphic method and analytic method, this method was
operated more easily in the engineering.
1. Introduction
In large-scale machine equipments and systems,
hydraulic system always plays a virtual role which
controls the whole system and transfers the motive
power. Once some faults happen it will bring a serious
loss. Therefore, the reliability of hydraulic system is
one of important performance index[1]. In reliability
analysis of hydraulic system, we mainly hope that the
life distribution and reliability parameter of hydraulic
system are obtained. Reliability analysis of hydraulic
system is based on mass fault data. however, the key to
reliability analysis is foundation of the model of
reliability and estimation of parameter. A lot of
engineering practice and theoretic analysis is proven:
In general, reliability model of repairable system based
on random process is described through exponential
distribution and Weibull distribution, parameter
estimation is solved through graphic method and
analytic method[2,3]. Based on the adaptive linear neural
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DOI 10.1109/ICICTA.2008.377
network, this paper describes parameter estimation of
reliability model of hydraulic system through
analyzing and deducing from field data of hydraulic
system.
2. Basic summary of the adaptive linear
neural network
2.1. Model frame of the adaptive linear neural
network
An artificial neural network is an abstract
simulation of a real nervous system that contains a
collection of neuron units in communication with each
other via axon connections. Due to its self-organizing
and adaptive nature, the model potentially offers a new
parallel processing paradigm that could be more robust
and user-friendly than the traditional approaches. As in
nature, the network function is determined largely by
the connections (weights) between elements. We can
train a neural network to perform a particular function
by adjusting the values of the connections between
elements.
The adaptive linear neural network represents one
of the most typical examples of an ANN, being also
one of the most simple in terms of the overall design.
Model frame of the adaptive linear neural network is
shown in figure 1, which contains r input and s parallel
neurons. Each element P j ( j =1, 2, …, r) in the input
vector P communicates with each output neuron
through weigh matrix W, each output neuron obtains
output vector A through a transfer function operation.
The input vector of a transfer function is the net input
vector of each neuron, whose result is the input vector
P multiplied by weight matrix W. The output vector A
is given by
218
 As×1 = f (W s×r Pr×1 + B s×1 ) (1) 3.1. Exponential distribution
Where f is a transfer function, s is number of the
input joint, r is number of the output joint, and B is In exponential distribution, density function is given
deviation vector. by
f (t ) = λe ( − λt ) (7)
Where λ ( λ > 0 ) is failure rate of hydraulic system,
and is also model parameter.
Distribution function is given by
F (t ) = 1 − e − λt (t ≥ 0) (8)
Reliability function is given by
R(t ) = e − λt (t ≥ 0) (9)
Figure 1 Frame of the adaptive linear neural We select y = − ln R(t ) , x = t , thus formula (9) is
network transformed into the follow equation
y = λx (10)
A transfer function in figure 1 is linear function.
The relation between the input vector and the output Equation (10) is a straight line which passes through
vector is given by origin, whose slope is λ .
As×1 = f (W s×r Pr×1 + B s×1 ) = W s×r Pr×1 + B s×1 (2) Frame of the neural network shows in figure 2, the
relationship between x and y is given by
y = ax + b (11)
2.2. The learning rule of the adaptive linear
neural network

Error function is defined by

E (W , B) = 12 [ D − A] 2 = 12 ( D − WP ) 2 (3)
Where D represents the objective vector, and the
value of E(W,B) merely depends on the weights and
the objective vector.
The adjusting value of the weight vector is given by
Figure 2 Frame design of the neural network
Δwij = −η ∂∂wE = η (d j − a j ) p j (4)
ij

Where η is the learning rate of the neural
network，Equation (4) is also defined by
Δwij = ηδ i p j
δ i = d i − ai
Where δ i is error value of output joint i.
Equation (5) is called W-H learning rule, is also
called δ learning rule, and perhaps the least mean
square algorithm.
3. Parameters estimation
Provided that the condition of known X, Y, we
determine a, b through learned network. For the values
of known (t1,t2,…,tn), we calculate R(ti) estimation
(5)
value through the following equation.
(6) R(t ) = 1 − ni−+00..34 (i=1,2,…,n) (12)
Thus, the values of (x1,y1) ， … ， (xn,yn) are
obtained, and (xi,yi) is input to the neural network in
figure 2, weight a is gained via trained and learned
neural network, compared equation (10) with equation
∧
(11), estimation value λ of parameter λ equals a.

Many reliability models are applied to analysis of 3.2. Weibull distribution

life data of hydraulic system in construction
machinery. This paper mainly states that the In weibull distribution, density function is given by
parameters of exponential and Weibull distribution is
estimated through the adaptive neural network.
β − ( ηt ) β
f (t ) = ( η )( ηt ) β −1 e (13)
Where β ( β > 0 )is shape parameter of hydraulic parameter of hydraulic system, is also model
system, is also model parameter, and η ( η > 0 )is scale parameter.

219
 Distribution function is given by Value of estimation β and η is given by
− ( ηt ) β ∧ ∧
F (t ) = 1 − e (14) − βb
β =w η =e (18)
Reliability function is given by
− ( ηt ) β
R (t ) = e (15) 3.3. Numerical simulation
We select y = ln(− ln R(t )) , x = ln t , thus formula
Exponential distribution data of parameter λ =30,
(15) is transformed into the following equation. sample n=30 is produced through method of random
y = β ( x − ln η ) = βx − β ln η (16) simulation; Similarly, Weibull distribution data of
It is similar to exponential distribution, and the parameters β = 2.5 、 η = 30 is also obtained. These
values of (x1,y1) ， … ， (xn,yn) are obtained. (xi,yi) is data are shown in table 1 and table 2. These data are
input to the neural network in figure 2, compared (11) complete, and estimation of reliability is given by
with (16), value of weight a through trained network formula (12). For the above discussed adaptive linear
equals shape parameter β ,and value of threshold b neural network, program of neural network is written
equals − β ln η . It is given by with Matlab. Neural network having been trained and
− βb learned, its result is given as follow:
η =e (17)
Table 1 Random numbers of an exponential distribution
Serial number 1 2 3 4 5 6 7 8 9 10
Value of sample 1.1 2.6 4.3 5.9 7.8 10.0 11.6 14.5 17.0 19.7
Serial number 11 12 13 14 15 16 17 18 19 20
Value of sample 21.6 25.4 30.2 34.4 37.9 46.5 54.0 56.8 83.4 104.8

Table 2 Random numbers of a Weibull distribution

Serial number 1 2 3 4 5 6 7 8 9 10
Value of sample 7.8 11.3 13.8 15.9 17.4 19.4 20.6 22.3 23.5 24.9
Serial number 11 12 13 14 15 16 17 18 19 20
Value of sample 26.6 28.5 28.8 29.7 31.2 33.4 34.5 37 42.5 51.4
(1) For exponential distribution of parameter λ =30, analysis, but it is better than the result of β = 2.23 ,
neural network is trained about 30000 times, and η = 31.07 obtained with probability paper.
estimation of parameter λ equals 31.282. This result is
more precise than the result of λ =31.6456 obtained
4. Parameters estimation of first failure
with method of regression analysis and the result of
λ =33.8 obtained with method of probability paper. time distribution of hydraulic system in the
(2)For Weibull distribution of vibratory roller
parameters β = 2.5 , η = 30 , neural network is trained
Aimed at failure data analysis from hydraulic
about 30000 times, and estimation of parameters β , η
system of the same typical of used vibratory roller, data
equals β = 2.314 , η = 30.2459 .This result is identical of hydraulic system first failure time in the vibratory
to the result obtained with method of regression roller are given in shown table 3.
Table 3 First failure time of hydraulic system of twenty vibratory rollers
Serial number 1 2 3 4 5 6 7 8 9 10
Value of sample 1261 688 1085 1937 319 951 525 1284 1955 645
Serial number 11 12 13 14 15 16 17 18 19 20
Value of sample 372 310 546 514 599 865 1395 1282 742 413
In table 3, first failure of the vibratory hydraulic of order and oil hose leaks. First failure occurs ten
system takes place ten times, among which the times in the driven hydraulic system and the steering
vibratory pump has four times, the vibratory motor has hydraulic system. According to failure analysis, the
three times, and the others are that control-value is out

220
reason is that quality of components and parts is up to [4] Kaili ZHOU, Yaohong KANG, Model of the Neural
standard and maintenance and repairs are not proper. Network & Simulation Program Design for Matlab. Tsinghua
First failure time of hydraulic system in the University Press, Beijing, 2005.
vibratory roller is one of the important reliability [5] Qingsheng XIE, Jian YI, Method of the Neural Network
in Mechanical Engineering, China Machine Press, Beijing,
indexes, which expresses good work time before failure 2003.
occurs firstly in the roller. According to failure data in [6] Hagan M T, Demuth H B, Beale M. Neural Network
table 3, through analysis of mathematical statistics and Design, PWS Publishing Company New York,2002
probability paper, first failure time agrees with Weibull [7] Heqing LI, Qing TAN. “Reliability Analysis of Hydraulic
distribution. Applying method of the third section, System for Type Crane”. Chinese Hydraulic & Pneumatics,
program of neural network is written with Matlab, China International Book Trading Corporation, Beijing, No.5
parameters estimation is obtained as 2007: 43-46.
follow: β = 2.012,η = 999.9183 .From the above,
density function of first failure time, relevant failure
time distribution function and reliability function are
given separately by
− ( 999.t9183 ) 2.012
f (t ) = ( 999
2.012
)( t )1.012 e
.9183 999.9183
− ( 999.t9183 ) 2.012
F (t ) = 1 − e
−( t
) 2.012
R(t ) = e 999.9183
According to the above function, the value of
reliability index is calculated in different operation
period of hydraulic system of the vibratory roller.
Aimed at operation state in different period, we shall
take some technical and management measures to
prevent failure and even accident from occurring.

5. Conclusion
Based on description of the traditional method of
parameters estimation of reliability model, the method
of parameters estimation of reliability model based on
the adaptive linear neural network is proposed.
According to this method, the parameters estimation of
the reliability model could be quickly obtained if the
life data of the known probability distribution was
input to the model of the adaptive linear neural
network. In practical applications, the method is easy to
operate, at the same time, this method offers reference
for other product reliability model. By this means,
parameter estimation of reliability model of first failure
time in hydraulic system of the vibratory roller is
obtained.

References
[1] Tianjue LEI, Hydraulic Engineering Hand Book, China
Machine Press, Beijing, 1998.
[2] Yaoming XU, Hydraulic Reliability Basic Engineering,
Harbin Institute of Technology Press, Harbin, 1991.
[3] Yongping WU, Reliability of the Construction Machinery,
People Traffic Press, Beijing, 2002.

221
 2008 International Conference on Intelligent Computation Technology and Automation
Passivity Analysis of Impulsive Neural Networks with Time Delays and
Markovian Jump Parameters
Xiaomei Zhang1, Yufan Zheng2, Yanbo Gao1 and Xun Li1
1. School of Sciences, Nantong University, Nantong 226007, Jiangsu, China
2. Department of Mathematics, Shanghai University, Shanghai 200436, China
zhang.xm@ntu.edu.cn
Abstract
This paper studies the robust stability and passivity
of delayed impulsive neural networks with polytopic
type uncertainties and Markovian jumping parameters.
Based on Lyapunov stability theory and a descriptor
system approach, some sufficient conditions in form of
linear matrix inequalities are derived. An illustrated
numerical example is provided to demonstrate the
effectiveness of the proposed theoretical results.
1. Introduction
In recent years, neural networks have gained
considerable attention due to their applications in many
areas such as pattern recognition, image processing,
and optimization problems. Stability analysis, one of
the important subjects of various neural networks, has
been widely investigated, for example, [1]–[4] and the
references therein. Among them, the stability analysis
issue of recurrent neural networks with time delays has
been an attractive topic of much research in the past
decade, since the dynamic behavior of many biological
and artificial neural networks contains inherent time
delays. On the other hand, the stochastic phenomenon
usually appears in the electrical circuit design of
neural networks. The stochastic stability analysis is
considered for delayed recurrent neural networks with
Markovian jumping parameters or external stochastic
perturbations in [5]-[6]. Recently, C. Li and X. Liao
has studied passivity analysis of neural networks with
time delay[7]. However, little attention has been paid
to the passivity analysis for impulsive neural networks
with time delays and Markovian jumping parameters,
which still remains important and challenging.
The objective of this paper is to study the passivity
analysis for a class of impulsive neural networks with
time delays and Markovian jumping parameters. By
utilizing a descriptor model transformation approach,
978-0-7695-3357-5/08 $25.00 © 2008 IEEE
DOI 10.1109/ICICTA.2008.326
sufficient conditions on the robust stochastic stability
and passivity of the neural networks are given in terms
of linear matrix inequalities.
Notation: The superscript T represents the transpose;
∗ denotes the symmetric part in a symmetric matrix.
⋅ stands for the Euclidean norm for vectors or the
spectral norms of matrices. Let ( Ω, F , {Ft } , P ) be a
t ≥0
complete probability space with a filtration {Ft }
t≥0
satisfying the usual conditions (i.e., the filtration
contains all P -null sets and is right continuous). E {} ⋅
stands for the mathematical expectation operator.
N = {1, 2," , N } . L2F ([−τ , 0]; \ ) denotes the family of
n
0
F0 - measurable C ([ −τ , 0] ; \ n ) -valued random variables
{ }
φ (θ ) such that sup −τ ≤θ ≤0 E φ (θ ) < ∞ . \ + = [ 0, ∞ ) .
2
2. Problem formulation
Consider a impulsive neural network with time
delay described by the following systems of delay-
differential equations:
⎧ x ( t ) = − Ax ( t ) + W0 f 0 ( x ( t ) )
⎪⎪ (1)
⎨ + W1 f1 ( x ( t − τ ) ) + J , t ≠ tk
⎪
⎪⎩Δx ( tk ) = Ek x ( tk )
where x ( t ) = ⎡⎣ x1 ( t ) , x2 ( t ) ," , xn ( t ) ⎤⎦ ∈ \ n is the state
T
associate with the n neurons, the diagonal matrix A
= diag(a1 ," , an ) has entries ai > 0 . The scalar
τ > 0 denotes the time delay. The matrices
W0 = ( wij0 ) and W1 = (w )1
ij n×n
are the connection
n×n
weight matrix and the delayed connection weight
matrix, respectively. J = [ J1 , J 2 ," , J n ] is a constant
T
external input vector. The neuron activation functions
222
fk ( x ( t ) ) = ⎡⎣ fk1 ( x1 ( t ) ) , fk 2 ( x2 ( t ) ) ,", fkn ( xn ( t ) ) ⎤⎦ (k = 0,1)
T For the sake of simplicity, for each r ( t ) = i ∈ S we

satisfying f k ( 0 ) = 0 . Δx ( t ) t = x ( tk+ ) − x ( tk− ) , where

write
k A ( i ) := Ai , W0 ( i ) := W0i , W1 ( i ) := W1i , C ( i ) := Ci (6)
lim h→0+ x ( tk − h ) = x ( tk− ) , lim h→0+ x ( tk + h ) = x ( tk+ ) It is supposed that the matrices Ai , W0i , W1i , Ci ,
with t1 < t2 < " < tk < " , limk →∞ tk = ∞ . Without loss belong to a convex compact set of polytopic type Ωi ,
of generality, it is assumed that x ( tk ) = x ( tk− ) . namely
Assumption 1: The activation functions in (1), ( Ai ,W0i ,W1i , Ci ) ∈ Ωi (7)
f k ( ⋅) , are bounded and satisfy the following Lipschitz where Ωi = {( Ai (α ) , W0i (α ) , W1i (α ) , Ci (α ) ) =
condition:
∑ α ( A( ) ,W ( ) ,W ( ) , C ( ) ) ,α
N N
⎫
f k ( x ) − f k ( y ) ≤ Fk ( x − y ) , ∀x, y ∈ \ ( k = 0,1) (2) l i
l
0i
l
1i
l
i
l
l ≥ 0, ∑ α l = 1⎬ (8)
l =1 l =1 ⎭
where Fk ∈ \ n×n (k = 0,1) are known matrices. where Ai(l ) , l ∈ N are known diagonal matrices with
positive entries for each mode i ∈ S , W0(il ) , W1(i l ) and
∗
Let x be the equilibrium point of (1). For the
purpose of simplicity, we can shift the intended
Ci( ) are known matrices with appropriate dimensions.
l
equilibrium by letting y = x − x∗ , and then the system
Let x ( t ; φ ) denote the state trajectory of the neural
(1) can be transformed into:
⎧ y ( t ) = − Ay ( t ) + W0 g0 ( y ( t ) ) network (5) from the initial data x (θ ) = φ (θ ) on
⎪⎪
⎨ + W1 g1 ( y ( t − τ ) ) , t ≠ tk
(3) −τ ≤ θ ≤ 0 in L2F ([ −τ , 0] ; \ n ) . From Ref. [8] it can be
0
⎪
⎪⎩Δy ( tk ) = Ek y ( tk ) seen that the system (5) admits an equilibrium point
(trivial solution) x ( t ;0 ) ≡ 0 corresponding to the initial
where y ( t ) = ⎣⎡ y1 ( t ) , y2 ( t ) ,", yn ( t ) ⎦⎤T ∈ \ n is the state
data φ = 0 . We introduce the following concept.
vector of the transformed system. Then the activation
Definition 1: For the neural network (5) with
functions g k ( y ) = f k ( y + x ∗ ) − f k ( x ∗ ) satisfy
u ≡ 0 and every φ ∈ L2F ([ −τ , 0] ; \ n ) , the equilibrium
g k ( y ) ≤ Fk y
0
(4)
point is said to be robustly stochastically stable if there
Note that connection weights of the neurons often exists a constant c > 0 satisfying
include uncertainties, and there are a class of neural
networks which has finite network modes and are { 2
}
E x ( t ; φ ) ≤ c sup E φ (θ )
2

-τ ≤θ ≤ 0
{
(9) }
disturbed by environmental noises [5], [6]. In this holds for all parameters satisfying (7).
paper, we consider the following impulsive delayed The following definition can be regarded as an
recurrent neural networks with Markovian jumping extension of Definition 1 in [7] to stochastic case.
parameters: Definition 2: The system (5) is said to be passive if
⎧ x ( t ) = − A ( r ( t ) ) x ( t ) + W0 ( r ( t ) ) g 0 ( x ( t ) ) for any T ≥ 0 and some a scalar γ ≥ 0 , under zero
⎪
⎪ + W1 ( r ( t ) ) g1 ( x ( t − τ ) ) + u ( t ) , t ≠ tk (5) initial state, the following condition is satisfied:
⎨
⎪ ( k ) = Ek x ( tk ) ,
Δ x t
⎪ z (t ) = C ( r (t )) x (t ) ,
{∫
E 2 z T ( s ) u ( s ) ds ≥ −γ E
T

0
T
}u T ( s ) u ( s ) ds{∫
(10)
0 }
⎩
where u ( t ) ∈ R n is the input vector , z ( t ) ∈ R n is the 3. Main results
output vector. r ( t ) is a continuous-time Markovian
A sufficient condition for the passivity of system (5)
process with right continuous trajectories and taking
is formulated into linear matrix inequalities as shown
values in a finite set S = {1, 2," , s} with transition
in the following theorem.
probability matrix Λ  {π ij } given by Theorem 1: The dynamics of the neural network (5)
is robustly stochastically stable when u ≡ 0 and
⎧⎪ π ij Δ + ο ( Δ ) if i ≠ j
{
P r (t + Δ ) = j r (t ) = i = ⎨ }
⎪⎩1 + π ij Δ + ο ( Δ ) otherwise
passive if for some given scalars 0 < ρ1 < 1 , ρ2 > 0 ,
there exist scalars ε 0 > 0 , ε1 > 0 , γ ≥ 0 , a sequence of
where π ij ≥ 0 for all i ≠ j and π ii = − ∑ j∈S , j ≠ i π ij for all
ο (Δ)
positive definite matrices P1i > 0 and a sequence of
i ∈ S , Δ > 0 and lim Δ→0 Δ =0.

223
matrices P2i , P3i ( i ∈ S ) that satisfy the following linear ⎡ 0 ⎤
2ξ T ( t ) PiT ⎢ ⎥ g0 ( x ( t ) )
matrix inequalities: ⎣W0i (α ) ⎦
ε1 F1T F1 < P1i , i ∈ S (11) ⎡ 0 ⎤⎡ 0 ⎤
T

≤ ε ξ ( t ) Pi ⎢
−1 T T
⎥⎢ ⎥ Piξ ( t )
⎡Φ (i l ) P1i − P2Ti + Ai(l ) P3i P2Ti W0(il ) ⎣W0i (α ) ⎦ ⎣W0i (α ) ⎦
0

⎢
⎢ ∗ − P3i − P3Ti P3Ti W0(il ) +ε 0 xT ( t ) F0T F0 x ( t ) (17)
⎢ ∗ ∗ −ε 0 I
⎢ and
⎢ ∗ ∗ ∗ ⎡ 0 ⎤
⎢ 2ξ T ( t ) Pi T ⎢ ⎥ g1 ( x ( t − τ ) )
⎣ ∗ ∗ ∗ ⎣W1i (α ) ⎦
( ) + P2Ti ⎤
T
P2Ti W1(i ) − Ci( )
T
l l
⎡ 0 ⎤⎡ 0 ⎤
⎥ ≤ ε1−1ξ T ( t ) Pi T ⎢ ⎥⎢ ⎥ Piξ ( t )
P3Ti W1(i )
l T
P3i
⎥ (12) ⎣W1i (α ) ⎦ ⎣W1i (α ) ⎦
⎥
0 0 ⎥ < 0, i ∈ S , l ∈ N + xT ( t − τ ) P1i x ( t − τ ) (18)
⎥
−ε1 I 0 ⎥
Borrowing the idea of Razumikhin-type theorem [9],
∗ −γ I ⎥ we suppose that
⎦
( I + Ek )
T
P1i ( I + Ek ) − ρ1 P1i ≤ 0 i ∈ S (13) { i∈S
} {
E min AV ( x ( s ) , i, s ) < qE max V ( x ( t ) , i, t )
i∈S
} (19)
where
s for all t − τ ≤ s ≤ t and some number q > 1 . Let u ( t ) = 0 ,
Φ i( ) = ∑ π ij P1 j − P2Ti Ai( ) − Ai( ) P2i + ε 0 F0T F0 + (1 + ρ 2 ) P1i .
l l l

j =1 then combining (16)-(19), we have

Proof: We represent system (5) by the equivalent E { AV ( x ( t ) , i, t )} + ρ2V ( x ( t ) , i, t ) − ρ2V ( x ( t ) , i, t )
descriptor form
≤ E {ξ T ( t ) Ωi11 (α ) ξ ( t )} − ρ2V ( x ( t ) , i, t ) (20)
x ( t ) = m ( t )
0 = − m ( t ) − A ( r ( t ) ) x ( t ) + W0 ( r ( t ) ) g 0 ( x ( t ) )
where
⎡ Ψ (α ) P1i − P2Ti + Ai (α ) P3i ⎤
+W1 ( r ( t ) ) g1 ( x ( t − τ ) ) + u ( t ) (14) Ωi11 (α ) = ⎢ i ⎥
⎣ ∗ − P3i − P3Ti ⎦
Fix φ ∈ L2F ([ −τ , 0] ; \ ) arbitrarily and write x ( t;φ )
n
⎡ 0 ⎤ ⎡ 0 ⎤
T

+ε 0−1 PiT (α ) ⎢ ⎥ ⎢ ⎥ Pi (α )
0

≡ x ( t ) .For mode r ( t ) = i ∈ S , let us define a Lyapunov

⎣W0i (α ) ⎦ ⎣W0i ⎦
function V ( x ( t ) , i, t ) : \ n × S × [ −τ , ∞ ) → \ + by T
⎡ 0 ⎤⎡ 0 ⎤
V ( x ( t ) , i, t ) = x +ε1−1 PiT (α ) ⎢ ⎥ ⎢ ⎥ Pi (α )
T
( t ) P1i x ( t ) (15)
⎣W1i (α ) ⎦ ⎣W1i ⎦
Let s

⎡P 0 ⎤, ⎡ x (t ) ⎤ , Ψ i (α ) = − P2Ti Ai (α ) − Ai (α ) P2i + ∑ π ij P1 j
Pi = ⎢ 1i ⎥ ξ (t ) = ⎢ ⎥ j =1
⎣ P2i P3i ⎦ ⎣m ( t )⎦ +ε 0 F0T F0 + ( q + ρ 2 ) P1i
then for r ( t ) = i ∈ S , t ∈ ( tk −1 , tk ] , according to the
Using the Schur complement, it can be seen that
Itοˆ ′s rule, the weak infinitesimal operator A of the Ωi11 (α ) < 0 is equivalent to
process { x ( t ) , r ( t )} ( t ≥ 0 ) is given by [8]
⎡ Ψ i (α ) P1i − P2Ti + Ai (α ) P3i P2Ti W0i (α ) P2Ti W1i (α ) ⎤
s
⎢ ⎥
AV ( x ( t ) , i, t ) = 2 x T
( t ) P1i m ( t ) + ∑ π ij x ( t ) P1i x ( t )
T
⎢ ∗ − P3i − P3Ti P3Ti W0i (α ) P3Ti W1i (α ) ⎥
<0
j =1 ⎢ ∗ ∗ −ε 0 I 0 ⎥
⎧⎪ ⎡ m (t ) ⎤ ⎢ ⎥
⎣⎢ ∗ ∗ ∗ −ε1 I ⎦⎥
= 2ξ T ( t ) Pi T ⎨⎢ ⎥+
⎪⎩ ⎣ −m ( t ) − Ai (α ) x ( t ) ⎦ (21)
s
⎡ 0 ⎤ ⎡ 0 ⎤
⎢W α ⎥ g 0 ( x ( t ) ) + ⎢W α ⎥ g1 ( x ( t − τ ) ) i 2i i i 2i ∑ ij 1 j
Let Φ (α ) = − PT A (α ) − A (α ) P + π P +
⎣ 0i ( ) ⎦ ⎣ 1i ( ) ⎦
j =1

+ε 0 F0T F0 + (1 + ρ 2 ) P1i
⎡0⎤ ⎫ s
+ ⎢ ⎥ u ( t ) ⎬ + ∑ π ij xT ( t ) P1i x ( t ) (16)
then if the following inequality
⎣ ⎦
I ⎭ j =1
By Lemma 1, (4) and (11), we have

224
⎡Φ i (α ) P1i − P2Ti + Ai (α ) P3i
⎢
P2Ti W0i (α ) P2Ti W1i (α ) ⎤
⎥
P3Ti W0i (α ) P3Ti W1i (α ) ⎥
≤−
1
ρ2
{(
E V x ( t0+ ) , i, t0+ κ )} (26)
⎢ ∗ − P3i − P3Ti
<0
⎢ ∗ ∗ −ε 0 I 0 ⎥ where
⎢ ⎥
⎢⎣ ∗ ∗ ∗ −ε1 I ⎥⎦
⎣ ( 2 1 0
)
κ = ⎡ e− ρ (t −t ) − 1 + ρ1 e − ρ (t −t ) − e− ρ (t −t ) ( 2 2 0 2 1 0
)
( )
(22) − ρ 2 (T − t0 )
holds, then there exists a number δ > 0 such that + " + ρ1k e − e − ρ 2 ( t k − t0 ) ⎤ < 0
⎦
q = 1 + δ > 1 satisfies (21).
Let c = − κλmax ( P1i ) , then
Since the left term in (22) is affine in α = [α1 , α 2 , ρ 2 λmin ( P1i )
" , α l ]T , (22) holds for all possible α if (12) hods for
all i ∈ S , l ∈ N . Hence, when u ( t ) = 0 , it follows from
lim E
T →∞
{∫ V ( x (t ) , i, t ) dt} ≤ c
T

t0+
sup E φ (θ )
-τ ≤θ ≤ 0
{ 2
}.
Therefore, the dynamics of the neural network (5) is
(20) that
robustly stochastically stable when u ( t ) ≡ 0 .
{ }
E AV ( x ( t ) , i, t ) ≤ − ρ2E V ( x ( t ) , i, t ) { } (23)
Now we show that the dynamics of the neural
According to Dynkin formula and Grownwall- network (5) is passive.
Bellman's inequality, it follows from (23) that, for any Combining (16)-(19), we obtain that
i ∈ S ， t ∈ ( tk −1 , tk ] ， k = 1, 2," , E { AV ( x ( t ) , i, t ) − 2 zT ( t ) u ( t ) − γ uT ( t ) u ( t )}
{ } { (
E V ( x ( t ) , i, t ) ≤ E V x ( tk+−1 ) , i, tk+−1 e )} − ρ2 ( t −tk −1 )
(24) ⎧⎪ ⎡ξ ( t ) ⎤ ⎫⎪ − ρ V x t , i, t (27)
≤ E ⎨ ⎡⎣ξ T ( t ) uT ( t ) ⎤⎦ Ωi (α ) ⎢ ⎥⎬ 2 ( ( ) )
Moreover, it follows from (13) that ⎩⎪ ⎣ u ( t ) ⎦ ⎭⎪
{(
E V x ( tk+ ) , i, tk+ )} = E {x (t ) P x (t )}
T +
k 1i
+
k
where
⎡ ⎡ −CiT (α ) + P2Ti ⎤ ⎤
{
≤ E ⎡⎣( I + Ek ) x ( tk ) ⎤⎦ P1i ⎡⎣( I + Ek ) x ( tk ) ⎤⎦
T
} ⎢Ωi11 (α ) ⎢
Ω i (α ) = ⎢ ⎣ P3Ti
⎥⎥ .
⎦⎥
⎢ ∗ ⎥
{
≤ ρ1E xT ( tk+ ) P1i x ( tk+ ) } (25) ⎣ −γ I ⎦
Following the same line as the above, we can show
For t ∈ ( t0 , t1 ] ,
that Ωi (α ) < 0 . Hence, for all T > 0 ,
{ } {(
E V ( x ( t ) , i, t ) ≤ E V x ( t0+ ) , i, t0+ )} e − ρ 2 ( t − t0 )

E {∫ AV ( x (t ) , i, t ) dt}
T

0
which gives that
{ } {(
E V ( x ( t1 ) , i, t1 ) ≤ E V x ( t0+ ) , i, t0+ )} e − ρ 2 ( t − t0 )
< E {∫ ( 2 z ( t ) u ( t ) + γ u ( t ) u ( t ) ) dt}
T
T T (28)
0

and where
{ ( ) , i, t )} ≤ ρ E {V ( x (t ) , i, t )}
E V x (t +
1
+
1 1 1 1 E{∫ AV ( x (t ) , i, t ) dt} = E {∫ AV ( x (t ) , i, t ) dt}
T t1

≤ ρ E {V ( x ( t ) , i, t )} e
0 0

+E {∫ AV ( x ( t ) , i, t ) dt} + " + E {∫ AV ( x ( t ) , i, t ) dt}

+ + − ρ2 ( t1 −t0 )
1 0 0 t2 T

t1+ tk+
Similarly, for t ∈ ( t1 , t2 ] ,
{ } { (
= E V ( x ( t1 ) , i, t1 ) − E V x ( t0+ ) , i, t0+ )} + E {V ( x ( t ) , i, t )}
{ }
E V ( x ( t ) , i, t ) ≤ ρ1 E V x ( t0+ ) , i, t0+{( )} e
− ρ 2 ( t − t0 ) 2 2

In general, for t ∈ ( tk , tk +1 ] , {(
−E V x ( t1+ ) , i, t1+ )} +" +E {V ( x (T ) , i, T )}
{ } {(
E V ( x ( t ) , i, t ) ≤ ρ1k E V x ( t0+ ) , i, t0+ )} e − ρ 2 ( t − t0 ) −E {V ( x ( t ) , i, t )} +
k
+
k
(29)

Since which implies from (25) that

E {∫ tk +1

tk+ }
V ( x ( t ) , i, t ) dt ≤ −
1
ρ2
{(
ρ1k E V x ( t0+ ) , i, t0+ )} E {∫ AV ( x (t ) , i, t ) dt} =
T

× e ( − ρ 2 ( tk +1 − t0 )
−e
− ρ 2 ( t k − t0
)
) , { } { ( )}
E V ( x (T ) , i, T ) − E V x ( t0+ ) , i, t0+

+ ∑ (1 − ρ ) E {V ( x ( t ) , i, t )} ≥ 0
k
we obtain that for all T > 0 , (30)
{∫ V ( x (t ) , i, t ) dt} = E {∫ V ( x (t ) , i, t ) dt} +
1 j j
T t1
j =1
E
t0+ t0+
under the initial condition. Thus,
E {∫ V ( x ( t ) , i, t ) dt} + " +E {∫ V ( x ( t ) , i, t ) dt} { } {∫ z ( s ) u ( s ) ds} .
t2 T
E 2∫ z T ( s ) u ( s ) dt ≥ −γ E
T T
T
t1+ tk+ 0 0

225
This completes the proof. This paper has studied the robust stochastic stability
and passivity of impulsive delayed neural networks wi-
4. A numerical example th polytopic type uncertainties and Markovian jumping
parameters. Based on Lyapunov stability theory and a
In this section, we present an example to illustrate descriptor system approach, sufficient conditions are
the effectiveness of our results. established for the impulsive delayed neural networks
Example 1: Consider a two-neuron stochastic to be internally stochastic stable and passive. Future
neural network (5) with two modes and delays. The research regarding this topic will be devoted to delay-
network parameters are given as follows: dependent passivity of impulsive neural networks with
⎡1 0 ⎤ , ⎡2 0 ⎤ , multiple delays.
A1(1) = A1( 2) = ⎢ ⎥ A2( ) = A2( ) = ⎢
1 2
⎥
⎣ 0 1.8⎦ ⎣ 0 1.6 ⎦
Acknowledge
⎡0.3 0 ⎤ , ⎡0.2 0 ⎤ ,
F0 = ⎢ ⎥ F1 = ⎢ ⎥
⎣ 0 0.3⎦ ⎣ 0 0.2 ⎦ This work was partially supported by National Natural
⎡ −2 0.2 ⎤ , ⎡ −1 0.2 ⎤ , Science Fundation of China (60674046 and 10671073),
W01(1) = ⎢ ⎥ W01( 2) = ⎢ ⎥ Natural Science Fundation from Jiangsu Province
⎣0.2 −1.2 ⎦ ⎣0.2 −1.2⎦
(BK2007061), Natural Science Fundation from the
⎡ −1.2 0.5 ⎤ , ( 2 ) ⎡ −1.2 0.5⎤ ,
W02(1) = ⎢ ⎥ W02 = ⎢ 0.5 −1 ⎥ Jiangsu Provincial Department for Education (06KJB
⎣ 0.5 − 0.2 ⎦ ⎣ ⎦ 120088) and the fund for Doctorial program of
⎡ 1 0.4 ⎤ ⎡ 1 0.4 ⎤ Nantong University (07B14).
W11( ) = ⎢
1 , ( )
⎥ W11 = ⎢0.7 0.2 ⎥
2 ,
⎣0.7 0.8⎦ ⎣ ⎦
⎡0.6 0.2 ⎤ , ⎡0.6 0.2 ⎤ , References
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226
 2008 International Conference on Intelligent Computation Technology and Automation
Prediction of Railway Passenger Traffic Volume
Based on Weighted LS-SVM
1,2
Hu Han Jian-Wu Dang2 En-En Ren2
1.School of Mathematics, Physics and Software Engineering, Lanzhou Jiaotong University,
Lanzhou 730070,China
2. School of Electronic and Information Engineering, Lanzhou Jiaotong University,
Lanzhou 730070, China
hanhu-lzjtu@163.com
Abstract
In prediction of railway passenger traffic volume
based on support vector regression, different input
points make different contribution to the predictive
function. A new prediction method for railway
passenger volume, named weighted LS-SVM, is
presented in this paper, different weighting factors are
assigned to each input points by the linear
interpolation function. The railway passenger volume
from 1985 to 2002 are used and the results show that
the weighted LS-SVM outperforms the standard LS-
SVM.
1. Introduction
The market of railway passenger traffic is affected
by several nonlinear factors, it is difficult to describe
the way that affects passenger traffic volume.
Prediction of railway passenger traffic volume is
essentially to realize a nonlinear mapping from the
input space to the output space, a variety of models
have been used in prediction of railway passenger
traffic volume[1]. Support vector machine (SVM),
developed by Vapnik based on the Structure Risk
Minimization (SRM), has performed with a great
generalization accuracy [2][3]. Least Square Support
Vector Machine, as a modified version of SVM, adopts
the least squares linear system as its loss function and
therefore solves a set of linear equations [4]. LS-SVM
also has good convergence and high precision.
In the standard LS-SVM, the required error (ε) of
regression estimation and the penalty ( γ ) for violation
of the required error are equally considered for every
point. But in practical application, different input
points make different contribution to the predictive
function. A new prediction method based on weighted
978-0-7695-3357-5/08 $25.00 © 2008 IEEE 227
DOI 10.1109/ICICTA.2008.17
LS-SVM is presented in this paper, different weighting
factors are assigned to each input points by the linear
interpolation function. The railway passenger volume
from 1985 to 2002 are used and the results show that
the weighted LS-SVM outperforms the standard LS-
SVM.
2. LS-SVM and weighted LS-SVM
The support vector machine (SVM) is a new
universal learning machine proposed by Vapnik, which
is applied to both regression and pattern recognition [2].
SVM uses a device called kernel function to map the
data in input space to a high-dimensional feature space
in which the problem becomes linearly separable.
Given training data set {(xi , yi )}iN=1 , xi ∈ R n , yi ∈ R ,
xi is the ith input vector with output data yi , by some
nonlinear mapping φ : R → R is mapped into a
n m
feature space in which a linear estimate function is
defined
y = f ( x) = wiφ ( x) + b (1)
in the case of SVM regression, one uses Vapnik’s
linear loss function with ε -insensitive zone as a
measure of the error of approximation
⎧| y − f (x)| −ε | y− f (x)|≥ε
Lc (y, f (x) = ⎨ (2)
⎩0 otherwise
Vapnik’s ε -insensitive loss function (2) defines a ε
tube. If the predicted value is within the tube, the loss
is zero, for all other predicted points outside the tube
the loss equals the magnitude of the difference between
the predicted value and the radius ε of the tube. Least
squares support vector machine (LS-SVM) is a SVM
version that involves equality instead of inequality
constrains and a sum square error (SSE) cost function When using weighted LS-SVM for prediction of
are used. In the LS-SVM, the Vapnik’s standard SVM railway passenger traffic volume, two problems are
regression has been modified into the following LS- confronted. One is how to select kernel function and
SVM formulation [4]. its parameters, the other is how to confirm the
1 γ N weighting factors.
w + ∑ ei2
2
Minimize (3)
2 2 i =1 3.1. Data preparation
s.t. yi = wiφ ( xi ) + b + ei , i=1,2,…,N
where γ is a regularized constant determining the
The primal data of railway passenger traffic from
1985 to 2002, provided by National Bureau of
tradeoff between the training error and the model Statistics of China and railway sub-bureaus, consists of
flatness, e = (e1 , e2 ,..., eN ) is the error vector; The the total dataset. In order to process these data
coefficients w and b are weight vector and basis term conveniently, the passenger traffic volume is
respectively. Construct the Lagrangian: normalized by x '(i ) = x(i ) / xmax , xmax denotes
N
, ,e)−∑αi{wiφ(xi )+b− yi +ei}
the largest passenger traffic volume from 1985 to 2002
, ,e,α) = J(wb
Minimize L(wb (4)
i=1
and it is normalized as 0.9999. The results can be show
in Table 1.
where αi ∈ R are the Lagrange multipliers. The
conditions for optimality lead to a set of linear Table 1 Railway passenger traffic volume from
equations: 1985 to 2002
⎡0 1Tv ⎤ i year x(i ) x '(i ) i year x(i ) x '(i )
⎢ ⎥ ⎡b ⎤ ⎡ 0 ⎤
⎢1 1 ⎥⎢ ⎥ = ⎢ ⎥ (5) 0 1985 112110 0.9141 9 1994 108738 0.8866
Ω + 1 ⎣α ⎦ ⎣ y ⎦
⎢⎣ v γ ⎥⎦ 1 1986 108579 0.8853 10 1995 102745 0.8377
.
2 1987 112479 0.9171 11 1996 94796 0.7729
with y = [ y1 , y2 ,.., yN ], 1 v = [1,1,..,1],
3 1988 122645 0.9999 12 1997 93308 0.7608
α = [α1 ,α 2 ,..,α N ], Ω = K ( xi , x j ) is a kernel
4 1989 113807 0.9279 13 1998 95085 0.7753
function satisfying Mercer’s conditions[5].
In the standard LS-SVM, all the training points are 5 1990 95712 0.7804 14 1999 100164 0.8167
treated uniformly. However, in many real-world
applications, different training points can make 6 1991 95080 0.7752 15 2000 105073 0.8567
different contribution to the learning of predictive 7 1992 99693 0.8128 16 2001 105155 0.8574
function. In order to overcome this problem, an
improved LS-SVM named weighted LS-SVM is 8 1993 105458 0.8598 17 2002 105609 0.8611
proposed in [6], different weighting factor is imported
into each training point, and equation (3) is modified as In the time series reconstruction [7], the embedded
follows: dimension and embedded delay time is selected as 5
1 γ N
w + ∑ si ei2
2 and 1 respectively. That is the prediction model has
Minimize (6) five inputs and one output, which means that the
2 2 i =1
passenger traffic volume in the past 5 years is used to
s.t. yi = wiφ ( xi ) + b + ei , i=1,2,…,N predict the passenger volume in 6th year. The
normalized values from 1985 to 1999 constitute the
It is noted that a smaller si reduces the effect of the
training data set and the data from 2000 to 2002 are
parameters e , such that the corresponding training used as testing data set. The detailed data are list in
point is treated as less important. It results that Table 2.
weighted LS-SVM outperforms the standard LS-SVM.

3. Experiment and results

Table 2 Training and testing data sets
Input Output

228
 i x’(i) x’(i+1) x’(i+2) x’(i+3) x’(i+4) y’(i)
0 0.9141 0.8853 0.9171 0.9999 0.9279 0.7804
1 0.8853 0.9171 0.9999 0.9279 0.7804 0.7752
2 0.9171 0.9999 0.9279 0.7804 0.7752 0.8129
3 0.9999 0.9279 0.7804 0.7752 0.8129 0.8598
4 0.9279 0.7804 0.7752 0.8129 0.8598 0.8866
5 0.7804 0.7752 0.8129 0.8598 0.8866 0.8377
6 0.7752 0.8129 0.8598 0.8866 0.8377 0.7729
7 0.8129 0.8598 0.8866 0.8377 0.7729 0.7608
8 0.8598 0.8866 0.8377 0.7729 0.7608 0.7753
9 0.8866 0.8377 0.7729 0.7608 0.7753 0.8167
10 0.8377 0.7729 0.7608 0.7753 0.8167 0.8567
11 0.7729 0.7608 0.7753 0.8167 0.8567 0.8574
12 0.7608 0.7753 0.8167 0.8567 0.8574 0.8611

3.2. Model selection function is used to select the weighting factors. The
last sample is considered as the most important one
Kernel function selection and parameters optimization and the weighting factor is s10 = 1 , whereas the first
can greatly improve the generalization of SVM. In this
sample is given the smallest weighting factor
work, RBF kernel function is chosen in LS-SVM
because the good performance in nonlinear as s0 = 0.5 , the rest weighting factors of samples are
approximation. The parameters that should be calculated by the linear interpolation function as
optimized are the regularization constant and the kernel
s (i ) = 0.5i / 9 + 0.5 .
parameter. Grid search is used to find the best γ and σ
[8], pairs of ( γ , σ ) are tried and the one with the
3.4. Prediction result
smallest mean square error is chosen to establish the
weighted LS-SVM model. Two groups of experiments are done in our work. In
the first group, the standard LS-SVM is used to
3.3. Weighting factor selection prediction of railway passenger traffic volume, the
weighted LS-SVM is used in the second experiment.
In weighted support vector machine, the weighting The predict results in the testing data set are listed in
factor selection varies in a great diversity of Table 3
applications [6][9]. In our work, the linear
interpolation
Table 3 Comparison of passenger prediction results by LS-SVM and WLS-SVM
Actual Prediction Value Relative Error(%) MSE
Year volume LS-SVM WLS-SVM LS-SVM WLS-SVM LS-SVM WLS-SVM
2000 0.8567 0.8417 0.8511 1.800 0.654
2001 0.8574 0.8522 0.8528 0.605 0.537 0.0012 0.0004
2002 0.8611 0.8139 0.8338 5.482 3.170

In these experiments, the mean square error(MSE)

and relateive error are used to evaluate the
effectiveness of our method. For LS-SVM model, the
MSE is 0.0012 and its corresponding maximal relative
error is 5.482%, the MSE is 0.0004 and its
corresponding maximal relative error is 3.170% in
weighted LS-SVM. It is shown that the weighted LS-
SVM outperforms the standard LS-SVM in railway
passenger traffic prediction.
4. Conclusion
The weighted LS-SVM is used to predict railway
passenger traffic volume in this paper. Different
weighting factors are assigned to different samples by
the linear interpolation function and it is proved that
the weighted LS-SVM outperforms the standard LS-
SVM. However, it is obviously that the weighting

229
factors do not change linearly and how to efficiently
confirm the weighting factors is worth studying in the
future works.
References
[1]. LENG Junfeng, LU Fengshan, WANG Meiyun. Study on
forecast of the passenger traffic volume of high speed
railways[J]. Journal of Southwest Jiaotong University, 2001,
36(1): 88-91.
[2]. N.Cristianini and J.Shawe-Taylor, An introduction to
Support Vector Machines and Other Kernel-based Learning
Methods, Cambridge University press, 2000.
[3]. V.Vapnik, The Nature of Statistical Learning Theory,
New York: Springer-Verlag, 1995.
[4]. Suykens, J.A.K., Vandewalle, J.: Least Squares Support
Vector Machine Classifiers. Neural Process. Lett. 9(3) (1999)
290-301
230
[5]. V. David Sanchez A. Advanced support vector machines
and kernel methods[J], Neuro computing 55 (2003) 5-20
[6]. DU Shuxin, WU Tiejun. Weighted support vector
machines for regression and its application[J].Journal of
Zhejiang University.Mar.2004,38(3).
[7]. XIA Guoen, JIN Weidong, ZHANG Gexiang, Improved
Support Vector Regression and Its Application to Prediction
of Passenger Traffic Volume[J]. Journal of Southwest
Jiaotong University, 2007, 42(4).
[8]. Cherkassky, Vladimir, Ma Yunqian. Practical selection
of SVM parameters and noise estimation for SVM
regression[J]. Source: Neural Networks, 2004,17(1): 113 -
126.
[9]. Chun-Fu Lin and Sheng-DeWang. Fuzzy Support Vector
Machines[ J]. IEEE TRANSACTIONS ON NEURAL
NETWORKS, MARCH 2002, 13(2)
 2008 International Conference on Intelligent Computation Technology and Automation

Recognition of Reliability Model of Vibratory Roller Based on Artificial

Neural Network

Heqing LIa,b Qing TANa

a
School of Mechanical and Electrical Engineering, Center South University, Changsha 410083,
China
b
School of Automobile & Mechanical Engineering, Changsha University of Science and
Technology, Changsha 410076, China
liheqing@sina.com

Abstract coupling relationship among the factors of reliability

Aimed at the reparable characteristic of the
vibratory roller, a method of recognition of the
reliability model of the vibratory roller based on the
BP neural network was proposed, by means of theory
of artificial neural network with Matlab and reliability
engineering theory. The result obtained from the
testing shows recognition rate is satisfactory. The
distribution model of the vibrator roller shall gained
by this means if the life data of the vibrator were
known. An example is presented to validate this
method. In this paper, purpose is to apply the artificial
intelligence to studying the reliability of the vibratory
roller.
1. Introduction
assessment in nonlinear, discrete system, such as the
roller, has unique advantage. Meantime, this method
has better model organization form and computer
working platform, therefore, it has broad application
prospects.
2. A model structure of BP neural network
and training algorithm
2.1 A model structure of BP neural network
A typical structure of a three layer forward neural
network is shown in figure 1. It includes input layer,
hidden layer and output layer. In figure 1, circles
represent neurons. Connecting line having
weight Wij between circles represents interaction

In study on mechanical product reliability, we strength between neurons, where Wij is the connection
mainly hope that life distribution law of random, such weight between neuron i in the k-th layer and neuron j
as life, material strength and load of mechanical in the k-1-th layer. bki is the threshold of neuron,
product, are obtained. Life distribution is one of main
x i (i=0~n) is the input of neurons, y j (j=0~m) is the
mathematical methods in describing product reliability.
If mastering product life distribution, we should be output of neurons, and F(·) is a transfer function from
beneficial to improve product reliability and work out the (k-1)-th layer to the k-th layer.
scientifically product maintenance strategy.
In analyzing random data, we must select a
probability distribution. In general, we describe three
different methods to select an appropriate distribution
form: histogram, probability plots, and hypothesis test.
The former two methods are direct and rough, but the
third one should estimate parameter first and its results
depend on the level of accuracy. Based on analyzing
mass fault data, this paper describes recognition of Figure 1.model structure of BP neural network
reliability model of the vibrator roller by the artificial
neural network technique. The neural network solving

978-0-7695-3357-5/08 $25.00 © 2008 IEEE 231

DOI 10.1109/ICICTA.2008.385
2.2. Learning algorithm of BP neural network training mode pairs; X p is input vectors, D p is output
expectation vectors.
BP (Back propagation) neural network uses the
(3)Calculate their actual output Y p =(y1p, y2p, …,
error of the output layer to estimate the error of the
direct precursor layer of the output layer, and then use ymp), in this course, many times of positive spread
the error to estimate the error of the preceding layer calculation is done in terms of the different number of
again and again. The estimates of error of the other network layer.
layers again and again. The estimation of error of the (4) Evaluate the objective function of the network,
other layers can be obtained. In this way, it may form and the output error value can generally be denoted as:
p m
the process that transmits the error of the output layer
∑∑ (d
1
E= − y jp ) 2
to the input layer of network along the transmission 2
jp
p =1 j =1
right about of the input signals. Thereby, the algorithm
is called the Back Propagation algorithm. And the non- (5) Judge whether the network satisfies the precision
cycle network that uses the BP algorithm to learn is E ≤ε
called BP network. Its course of learning is just the Where ε is the desired precise, the process of
course of training. The training is to adjust the weights training will continue until the precision is attained.
among neurons by certain manner when the samples (6) Adjusting the weights through dropping off one
vectors are put into neural network. The specific by one along the reverse according to grads can be
realizations of BP learning algorithm follow as: computed by:
(1) Initialize right aggregate wij, get the value of the ∂E
Wij (t + 1) = Wij (t ) − η
lesser stochastic nonzero; ∂Wij
(2) Give many pairs of input and output samples
( X P , D P , ), where p=1, 2, …, p, i is number of

Table 1 parts of learning sample in recognition reliability distribution

quantiles
distribution 0.05 0.15 0.25 0.35 0.45 0.55 0.65 0.75 0.85 0.95
E(0.2) 0.0121 0.0394 0.0697 0.1048 0.1452 0.1915 0.2554 0.3378 0.4622 0.7298
E(0.5) 0.0122 0.0392 0.0698 0.1054 0.1458 0.1948 0.2561 0.3394 0.4644 0.7340
N(1.0,0.2) 0.2130 0.2528 0.2731 0.2887 0.3044 0.3166 0.3320 0.3508 0.3743 0.4080
N(1.0,1.2) -0.2326 -0.0512 0.0401 0.1155 0.1777 0.2346 0.2973 0.3644 0.4661 0.6351
L(1.0,0.3) 0.1733 0.2099 0.2315 0.2562 0.2797 0.3047 0.3287 0.3607 0.4051 0.4831
L(1.0,1.1) 0.0203 0.0365 0.0547 0.0782 0.1024 0.1414 0.1885 0.2622 0.4395 0.7199
W(1.2,1.0) 0.0197 0.0603 0.0932 0.1321 0.1682 0.2160 0.2693 0.3377 0.4359 0.7199
W(2.2,1.0) 0.0868 0.1478 0.1876 0.2251 0.2623 0.2944 0.3303 0.3765 0.4318 0.5403

3. Recognition system design of reliability Structure design of network is related to layer

model based on BP neural network
Reliability model plays a virtual role in analyzing
product reliability. According to collection of
experimentation or field data, some useful information
is obtained by analyzing fault data, thus reliability
mode can be recognized properly. Recognition system
of reliability model usually includes fault data
pretreatment, feature extraction and classifier.
Because BP neural network has powerful function
of pattern matching and nonlinear mapping, it can
construct recognition system of complex reliability
model.
number of network, neurons in each layer, initial values
and learning rate, etc. After determining structure of
BP network, using input and output sample sets train
designed network, namely, the weights and thresholds
of network is learned and adjusted continually, so that
designed network implements relationship between
input and output.
In designed need recognition types, distribution
models are likely to be four types: exponential, normal,
lognormal, and Weibull distribution. Method of
random simulation by Matlab produces four sorts of
different parameters distributions, which have ten
groups of random sequences as the initial sample data

232
individually. Then selection of quantile of statistical
features in a probability distribution is regard as
training sample set of recognition system. In order to
reduce sample feature absolute value has influence on
approximation accuracy, 10 quantiles in each sample is
likely to need normalization processing. Parts of
learning sample is shown in table 1, E is exponential
distribution, N is normal distribution, L is lognormal
distribution, and W is two parameters Weibull
distribution, whose density function is given by Finally, method of random simulation produces
t β
respectively 20 groups of exponential, normal,
β t −( )
lognormal and Weibull distribution as testing sample,
f (t ) = ( ) β −1 e η (t ≥ 0) ,where β is shape
η η trained neural network recognizes these data, its
parameter, and η is scale parameter. recognition rate is shown in table 2:
According to recognition types and learning sample, Table 2 recognition rate about BP neural n
objective response of network is given as follow: etwork system to reliability model
⎡ ⎤ Distribution type E N L W
⎢1"1 0 " 00 " 00 " 0⎥
⎢ ⎥ Recognition rate 92% 98% 92% 94%
0 " 01"1 0 " 00 " 0⎥
y = ⎢⎢
0 " 00 " 01"1 0 " 0⎥
⎢ ⎥
⎢0 " 00 " 00 " 01"1 ⎥ 4. Determining reliability model of the





⎣⎢ 10 10 10 10 ⎦⎥ vibrator roller
After determining the input sample and the output
response, unit numbers of the input layer and the output 4.1. Statistics of mean time between failure of
layer are also determined. By experiment, layer the vibrator roller
numbers of BP neural network of recognition reliability
model is three layers. The numbers of neurons of the Aimed at collection of using information of the
input layer, hidden layer and output layer are 10, 21, 4 vibrator roller, by analyzing given information, data of
respectively. The transfer function of hidden layer and mean time between failure of the roller are obtained, it
output layer is a sigmoid function, namely, it is is shown in table 3.
1 Because reliability of the roller depends on
f (s) = .Selection of related parameters: the
1 + e −s reliability of units and parts, in fault times of view,
most learning times is me=1000, the least expectation faults proportion hydraulic and dynamic system is
error is eg=0.002, and the learning rate of adaptation of much higher, account for 45.3% and 30.8% total fault
weight is η = 0.01 .Corresponding training process individually. Faults of classis system and operation unit
curve is shown in figure 2. account for 15.9% and 8%. From analyzing fault
reason, it is mostly caused by quality still and improper
maintaining.
Figure 2 BP Neural network choice training
process
Table 3 Mean time between failure of twenty the vibrator roller
Serial number 1 2 3 4 5 6 7 8 9 10
Mean time 1161 589 985 1832 307 853 426 1174 1855 535
between failure
Serial number 11 12 13 14 15 16 17 18 19 20
Mean time 302 210 446 417 509 763 1293 1182 732 411
between failure

4.2. Recognition reliability model of the A great deal of engineering practice and theoretic
vibrator roller based on BP neural network analysis are proven: In general, reliability model of
repairable system based on random process obeys
exponential distribution and Weibull distribution. Data

233
in table 4 are implemented normalization processing,
selection of ten arbitrary data is regarded as one group
of input vector, other data as another one group of
input vector. The above two groups of data are
regarded as input vector, which are input to trained BP
neural network. According to the output results, we
determine much suitable reliability model, and
recognition results are given as follow:
y1=0.0789 y2=0.0001 y3=0.0072 y4=0.9295
y5=0.0023 y6=0.0029 y7=0.0633 y8=0.9789
According to the maximal membership principle,
compared the output results with objective response,
y4=0.9295 and y8=0.9789 are most close to objective
response, thus, recognition model of BP neural network
tallies with Weibull distribution, the result is in
accordance with one obtained by mathematical
statistical. So selection of Weibull distribution is
regarded as reliability model of the roller.
5.Conclusion
On basis of description of the structure of neural
network and the traditional reliability model, the
methods of recognition reliability model of the vibrator
234
roller based on BP neural network. The neural network
technique is introduced to analyzing reliability model.
According to this method, the reliability model could
be quickly obtained if the life data of the unknown
probability distribution was input to the model of the
neural network. By this means, reliability model of the
vibratory roller are obtained. In practical applications,
the method is easy to operate. Meantime, this method
offers reference for other product reliability model.
References
[1] Shicheng QING, Vibrator Roller. China Chemistry Press,
Beijing, 2006.
[2] Yongping WU, Reliability of the Construction Machinery.
People Traffic Press, Beijing, 2002.
[3] Kaili ZHOU, Yaohong KANG, Model of the Neural
Network & Simulation Program Design for Matlab. Tsinghua
University Press, Beijing, 2005.
[4] Qingsheng XIE, Jian YI, Method of the Neural Network
in Mechanical Engineering. China Machine Press, Beijing,
2003.
[5] Hagan M T, Demuth H B, Beale M. Neural Network
Design, PWS Publishing Company New York, 2002
 2008 International Conference on Intelligent Computation Technology and Automation
Research on Leakage State Classification of Pipelines Based on Wavelet
Packet Analysis and Support Vector Machines
Na Liu1, Lixin Zhang1, Yanyan Zhao2
1
Department of Automation, Beijing Institute of Petrochemical Technology, Beijing, 102617,
P.R. China
E-mail:liuna@bipt.edu.cn, zhanglixin@bipt.edu.cn
2
Department of Computer Application, Beijing University of Chemical Technology, Beijing,
100029, P.R. China
E-mail:zhaoyanyan110@163.com
Abstract
Aimed at the problem during the pipeline leakage
state detecting process, that the datum which the
sensor directly surveys are quite big and the
characteristic are not strong, this paper brings forward
one pipeline leakage state classification method, which
combines the wavelet packet analysis and support
vector machines. Through using the wavelet packet to
the original data, carrying on the frequency band
decomposing and the energy analysis, obtains the
characteristic that can most reflect the classified
essence. State sorter constituted by the support vector
machines, only needs a few training samples, can make
signal frequency band energy as the eigenvector to
recognize and classify. The experiment datum shows
that, this method effectively realizes the classified
recognition of leakage state.
1. Introduction
Pipeline transport run through each domain in
industrial production, and its decision effect is more
prominent in the national economy. The often occur of
pipeline leakage already becomes the key barrier of the
enterprise run and the economic benefit, so earnest
studying the pipeline leakage online monitor
technology has important social and economic benefit
to guarantee equipment safety operation.
In the leakage state monitor process, the signal get
through the sensor are measure data. Therefore the
leakage state recognition faces questions as follows:
One is how can do effective feature extraction to the
measure data; the other is designing an effective sorter,
to realize the pipeline leakage state recognition. After
these two questions settled, may input all eigenvectors
978-0-7695-3357-5/08 $25.00 © 2008 IEEE 235
DOI 10.1109/ICICTA.2008.468
coming from the test data to the sorter, to realize the
pipeline leakage state recognition.
This paper utilizes the wavelet packet analysis
method to extract eigenvectors in frequency field of the
pipeline leakage state, and adopts support vector
machines (SVM), which is a kind of machine learning
method, to solve the analysis question of leakage state
under the limited samples.
2. Eigenvectors selection of wavelet packet
analysis
2.1 Wavelet packet analysis theory
The traditional signal analysis method like Fourier
transformation is one kind of overall transformation, is
unable to indicate the time frequency nature of the
signal, and does not suit the non-steady signal analysis.
Along with the wavelet theory development, by way of
the new signal processing method, the wavelet analysis
has widely applied in fault diagnosis and other flied.
Although wavelet transformation satisfies this kind of
non-steady signal analysis because of its good time
frequency localization and the multi-distinguish
characteristic, it does not decompose the high
frequency part again[1]. The wavelet packet
transformation makes up this shortage, it can provide
one careful analysis method for the signal. It carries the
frequency band through multi-level partition, does
further decompose to high frequency part which
multi-distinguish analysis does not subdivision, and
averagely decomposes the original function frequency
range into 2 j entries of the equal size frequency
segment. If sampling frequency is known, the analyze
layers are enough , then may make frequency range of
each frequency segment to be small, thus carries on a
more careful analysis to the signal, so that provide a layer and the j entries frequency band, corresponding
more effective method for the signal characteristic signal energy is E kj , then has:
extraction. 2
N
The wavelet packet arithmetic of the signal
¦x
2

sequence x (t ) describes as: Assume together clutches

E kj ³ S kj (t ) dt m 1
jm
(7)

filter h(n) satisfies:

In type (7) N expresses data length; k expresses the
¦ h(n  2k )h(n  2l ) G kl (1) wavelet
j 0,1,2,..., p
packet
,expresses
decomposition
the serial number
level;
of the
¦ h(n) 2 (2)
decomposing frequency band, p 2  1 ; x jm expresses
k

Make g (k ) (1) k h(1  k ) , then the recurrence formula the disperse points breadth cost of the restructuring
of the wavelet packet decomposition is: signal S kj .Signal total energy E k equals to the sum
of the various frequency bands energy, namely:
D2 n (t ) 2 ¦ h( k ) Dn (2t  k )
k (3) p

D2 n1 (t ) 2 ¦ g ( k ) D n (2t  k )
Ek ¦E
j 0
kj
(8)
k

After doing energy restructuring of the character gene

D0 (t ) x(t ) , In the formula Dn (t ) is coefficient of the
wavelet packet decomposition,
wavelet packet decomposition, n
2.2 Eigenvector selection
The wavelet packet signal decomposition is
incorporating random signal includes the sine signal
into the corresponding frequency band.These
decomposition frequency band signal all has certain
energy, may use signal energy in each frequency band
as eigenvector to token pipeline leakage state.
The wavelet packet frequency band analysis
technology is the same as the Fourier frequency chart
analysis technology, the theory basis also is Parseval
energy integral equality[2]. Because the energy of the
in type (8), may receive fault eigenvector by wavelet
n is the layer of the packet decomposition extraction:
0,1,...
T {Ek 0 , E k1 ,..., E kp } / E k (9)
3. Support vector machines and arithmetic
Support vector machines is bringing forward by
Vapnik et al. acts according to the frame risk minimize
principle of the statistics theory, arithmetic first aims at
two value classification question. In the industrial
equipment fault diagnosis domain, the simple two
value classification cannot satisfy the actual needs.
Therefore, in two value classification foundation,
establishes multi-classification model of the support
vector machines.
signal f x  in time field:
3.1 Support vector machines principle
2
³
2
f f ( x) dx (4)
2
Support vector machines translate the conformation
The f (x ) wavelet transformation is: of the most superior hyperplane into seeking the most
superior answer with hypo-two optimization, its math
Ckj 
W 2 k ,2 k j  2
k
2
³ I (2
R
k
x  j ) f ( x)dx (5) form is:
l
1
In type (5) I(x) is the base wavelet. According to type M (w,[ ) (w ˜ w)  C ¦ [ i (10)
2 i 1
(4) and type (5) as well as the Parseval energy integral s.t. y i (( w ˜ xi )  b) t 1  [ i , i 1,..., l
equality, has:
[ i t 0 , i 1,..., l
¦C (6)
2 2
³ f ( x)
R
dx
j
kj
The actual classified question often is
non-linear.The basic thought which the support vector
May know by type (6), wavelet transformation machines deal with this question is mapping the sample
coefficient Ckj has the energy dimension, may use as space to the higher dimension character space, and
the energy characteristic extraction in the pipeline seeks the most superior hyperplane in character space,
leakage state. Supposes restructuring signal S kj , of this hyperplane actually is corresponding the non-linear
hyperplane of the original sample space. Through
which after the wavelet packet decomposition the k

236
possessing special nature nuclear function, support l

vector machines ably avoid straight dealing with ¦yD

i 1
i i 0, 0 d D j d C i 1,..., l ,
problems in high dimension space, so the complexity
of the computer is basically not increase[3]. Through ­t 1,{x j | D j 0}
l ° (13)
seeking its antithesis question, comes down to a y j (¦ D i yi K ( xi , x j )  b)® 1,{x j | 0  D j  C}
quadratic function extremum problem: i 1 °
¯d 1,{x j | D j C}
¦ yi y jD iD j K xi , x j 
l
1 l
W (D ) ¦D
i 1
i 
2 i, j 1
(11)
Then takes approximate solution D * D k 1 ;Otherwise,
makes k k  1 , renews D to D k 1 , duplicates above
s.t. 0 d Di d C , i 1,..., l
step.
l

¦D i yi 0
i 1 3.2 Multi-classified question
Solves the various coefficients in above formula,
educes the classified distinguish function is: In order to solve the fault diagnosis and so on the
multiple value classified question, needs to establish
l
the multi-classified support vector machines.With the
f ( x) sign[(¦ D i yi K ( x, xi ))  b] (12)
mathematical language describing as, according to
i 1
training regulations which assigns:
Therefore, may distinguish the sample x respective
category, according to the positive or negative of the T {( x1 , y1 ),...( xl , yl }  ( X u Y ) l .
classified function.
Among them, xi  X R n , yi  Y {1,..., M } , i 1,..., l ,
The commonly used nuclear function includes:
Polynomial function K ( x, y ) ( x ˜ y  1) d , (d 1,2,...) , seeks a decision-making function f (x) : x Rn o y .Thus it
d is the polynomial coefficient; Radial group function can be seen, solves the kinds of multi-classification
questions, materially is to find a rule, which divides the
ª x y 2
º , V is the extent of the
K ( x, y ) exp «  » points in the R n into M part. At present classification
«¬ 2V 2 »¼ arithmetic mainly has one to one, one to more and etc,
nuclear function; Sigmoid nuclear function this article applies one to one classification arithmetic.
K ( x, y ) tanh(b( x ˜ y )  c) , b and c respectively be One to one classification arithmetic is based on the
scale and attenuation parameter. classification method of two kinds of problems.The
The support vector machines solution process needs concrete arithmetic is, to all (i, j) {(i, j) | i d j,i, j 1,...,M}.
to solve a hypo-two programming problem, when Extracts all y i and the y j sample points from the
sample point number are bigger, directly solving this training regulations. Composes training regulations
hypo-two programming problem needs quite large Ti  j based on these sample points, uses the support
calculate quantity and storage capacity, that will cause
vector machines that solve the two kinds classification
arithmetic invalidation [4].Therefore many scholars
problems to get real-value function g i j (x) and
bring forward the special arithmetic to deal with the
large issue, for example, the choosing block arithmetic, determines the interpolator of that, x  X belong to
the decomposition arithmetic and SMO (sequential the i kind or the j kind[5].
minimal optimization) arithmetic. Hereinto, SMO
­i, g i j x  ! 0
training arithmetic is a simple and fast arithmetic, it
will change large-scale hypo-two programming
question into a series of the optimization sub-question
only containing two variables, and will be able to solve
directly by applying parsing method, and causes
computing process celerity and nicety.
The SMO arithmetic is as follows: assigns precision
H , D 0 0 , makes k 0; selects optimization variable
D 1k , D 2k , parses this optimization problem about these
two variable, so gets the optimization solution
D1k 1 ,D 2k 1 , according to the above renews D to D ;
k 1
Among precision H , if satisfies the engine off rule:
237
f i j  x  ® (14)
¯ j, others
4. Pipeline leakage state example analysis
The experiment selects one pipeline that its diameter
is 50mm, wall thickness is 2.5mm, the crack and the
vent is the artificial simulation. When the pressure is
0.5MPa, flux is 3.525L/min, under such working
condition, separately carries on the pipeline equipment
state experiment in the normal, the crack and the vent 3
kinds. Hereinto, support vector machine adopts SMO
arithmetic, and combines the work collection’s
selection policy in the SVMlight arithmetic. The type is
C-SVC, the nuclear function is the radial direction
group function, to the multi-classified questions, adopt
one to one classified arithmetic.
Figure 1 respectively contains the original signal
and the restructuring sketch map of various frequency
bands after the wavelet packet decomposing under 3
conditions, Table 1 represents frequency range of every
nodes in the 3rd layer after the wavelet packet
decompounds.
Utilizing wavelet packet energy method analyzed
above extracts signal’s eigenvector. In this example,
the signal sampling points are 2048, decomposing to
the 3rd layer dispersion points are 256, therefore
n=256.Taking various frequency bands energy as
element to construct support vector machines’ input
vector T [ E30 , E31 ,..., E37 ] . Takes 12 groups training
datum (see Table 2), there into 4 groups are the normal
state, 4 groups are the vent state, 4 groups are crack
state. Taking 8 groups test datum to carry through the
test (see Table 3).The output of the support vector
machines is Y , when the pipeline is under the vent
state, Y 1 ; when the pipeline is under the crack
state, Y 2 ; when the pipeline is under the normal state,
Y 3.
From table 2, may see in the different frequency
range the energy distributing rate is different. Under
the normal state signal frequency mainly distributes in
E31, under the crack state signal frequency mainly
distributes in E32, under the vent state signal frequency
then mainly distributes in E36. The experiment
indicates that, the wavelet packet energy analysis can
reflect obviously the running status of the pipeline, the
different fault type is corresponding the different
frequency band energy distribution.
May know from the test results (see Table 4), the
Table 4. Result of SVMs in testing
Serial number 1 2 3 4 5 6 7 8
State 2 2 2 1 1 3 3 3
Test result 2 2 2 1 1 3 3 3
signal eigenvector extracts with the wavelet packet
energy method, take this as the support vector
(a) vent signal
Figure 1. Vibration signal in the three states and wavelet packet decomposition
machines input vector is feasible, also the classified
effect is very ideal. The test results in Table 4 indicate
the accuracy is 100%.
5. Conclusions
Aimed at the existing problems in the pipeline
leakage state detection, this paper proposes a
classification method which combines the wavelet
packet analysis and support vector machines. The
research results indicate that using wavelet packet to
original data to do frequency decomposition and
energy analysis, can get the most essential character
that reflects classification, and the state sorter
classification which composed by support vector
machines is quite effective. It offers an effective
approach for pipeline leakage fault diagnosis, and has a
broad application foreground.
Reference
[1] ShingDongFeng, BaoMing, QuLiangSheng. Wavelet
envelope analysis in rolling bearing diagnosis application[J].
Chinese mechanical engineering, 2002, 11(12) , 1382-1385
[2] LiangPing, BaiLei, LongXinFeng, FanLiLi. The steamer
rotor vibration fault diagnosis based on the wavelet packet
analysis and the neural network [J]. Control theory and
application. 2007, 24(6),981-985
[3] Nello Cristianini, John Shawe – Taylor. LiGuoZheng,
WangMeng, ZengHuaJun translate. Support vector machines
introductory remarks[M]. Beijing: Electronics industry
publishing house, 2004.
[4] HeXueWen, ZhaoHaiMing. Support vector machines and
its application in mechanical fault diagnosis [J]. South central
university journal, 2005,36(1).
[5] DengNaiYang, TianYingJie. New method in data mining
- support vector machines[M]. Beijing: Scientific publishing
house, 2004.
(b) crack signal (c) normal signal
238
 Table 1. Frequency extension of every nodes in the third layer after wavelet analysis
Signal d30 d31 d32 d33 d34 d35 d36 d37
Frequency/kHz 0-2.5 2.5-5 5 -7.5 7.5-10 10-12.5 12.5-15 15-17.5 17.5-20

Table 2. Learning samples of SVMs

E30 E31 E32 E33 E34 E35 E36 E37
2 0.014853 0.125484 0.524027 0.214979 0.076956 0.196449 4.257876 0.745861
2 0.087546 0.185978 4.01497 0.041123 0.508625 0.193704 0.955934 1.649599
2 0.102268 0.007125 2.402897 0.623195 0.627574 0.471595 1.915745 0.788635
2 0.030333 0.1485 0.772661 0.753196 0.045032 0.056044 0.481392 0.826673
3 0.000416 2.18E-05 0.000287 0.000758 0.000122 4.45E-06 9.27E-06 1.65E-05
3 0.000203 0.000118 4.49E-05 0.000682 3.47E-05 1.34E-06 6.25E-04 1.76E-05
3 7.48E-05 9.57E-06 5.06E-06 2.79E-05 3.06E-06 7.62E-07 5.57E-08 7.44E-06
3 1.87E-07 5.61E-06 2.29E-05 1.80E-04 7.50E-06 7.96E-07 2.22E-05 4.03E-06
1 2.07E-03 2.05E-01 9.47E-01 1.25E+00 4.16E-02 4.76E-01 1.94E+00 7.35E-01
1 1.10E-03 6.63E-02 2.24E+00 3.64E-01 3.19E-01 2.89E+00 6.51E+00 4.47E-01
1 4.52E-01 7.10E-03 1.55E-02 1.92E-02 4.19E-02 4.40E-02 5.82E-01 1.42E+00
1 5.53E-03 6.50E-04 1.51E-02 3.49E-03 3.66E-03 4.39E-03 9.56E-02 1.71E-02

Table 3. Testing samples of SVMs

E30 E31 E32 E33 E34 E35 E36 E37
2 1.094746 0.112768 0.89526 0.645575 0.247348 0.611803 1.993438 1.23933
2 0.08897 0.593063 0.459816 0.105917 0.152654 1.198789 0.969644 2.165458
2 0.067893 0.032029 1.394216 0.024262 1.128428 0.039826 5.015734 2.278476
1 0.005048 0.403039 0.204116 0.008172 0.013817 0.010279 0.669582 0.168224
1 0.070766 0.201433 0.050859 0.009735 0.339984 0.089394 0.110285 0.172407
3 0.000385 1.37E-05 3.15E-05 1.92E-06 8.77E-06 4.04E-06 1.29E-04 4.59E-05
3 1.69E-07 3.02E-07 2.08E-06 2.84E-07 3.10E-07 3.03E-07 5.94E-06 1.52E-06
3 3.71E-08 1.17E-07 3.48E-06 5.85E-07 2.04E-06 1.83E-07 2.81E-06 1.20E-05

239
 2008 International Conference on Intelligent Computation Technology and Automation

Research on the Fouling Prediction of Heat exchanger Based on Support

Vector Machine

SUN Lingfang1,2 ZHANG Yingying1 ZHENG Xinpeng1 YANG Shanrang1 QIN Yukun2
1. School of Automation Engineering, Northeast Dianli University, Jilin City, China, 132012
2. Power Engineering and Engineering Thermophysics Postdoctoral Workstation, Harbin
Institute of Technology, Harbin City, China，150001
E-mail：dr_sunlf@163.com

Abstract recent years, the artificial intelligence is widely

The development of prediction researching on heat
exchanger fouling in recent years is reviewed. The
application of Support Vector Machine based on
Statistical Learning Theory to predict heat exchanger
fouling is reported in this paper. We construct a six-
inputs and one-output network according to the fouling
monitor principle and parameters, the modeling of the
SVM programmed with MATLAB, and trained with V-
SVR algorithm, all training data came from the
Automatic Dynamic Simulator of Fouling and input the
network after normalized processing and
reclassification. Simulations show that the relative
error of fouling prediction is less than 0.3 percent, and
better than the RBF. SVM can be used to predict heat
exchanger fouling, and has perfect prediction
precision. The prediction model based on SVM offers
anther method for the research of heat exchanger
fouling.
1. Introduction
Fouling generally exists in the nature and all kinds
of industry process, especially in the heat transfer
process. The harm is very huge, only in national
industry, it causes losses to reach as high as the
industrial production resultant 0.3 percent [1,2]. So many
researches have been done in the past years.
Researches on the heat exchanger fouling are
progressing along three directions, that is, fouling
prediction, fouling monitoring and fouling
countermeasure. Notwithstanding the base among three
research directions, progress in the scaling prediction
isn’t outstanding. The formation of fouling is a
complicated physical and chemical process, which is
influenced by many factors, so the initial research on
fouling prediction based on the exact and sufficient
understanding of formation mechanics isn’t ideal. In
performed in kinds of industrial process, and gets a lot
of great results. Neural network has great capabilities
in self-learning, parallel processing and solving
nonlinear problem, so prediction indirectly with neural
network is the new way which we could take. Zhang
Jiahua[3], Fu Yarong[4], Enrique Teruel[5], etc[6-10]
adapted neural network to forecast fouling, However,
the models that using the BP network have some
defects such as lower precision, slower network
convergence speed, unstable performance and so on..
Some scholars tried some others methods, such as the
gray theory, the T-S fuzzy model and probability
model [11-13], to predict the fouling resistance. Although
there are some advantages for these methods, they also
have a lot of deficiencies.
Support Vector Machine’s developing structure is
decided by the support vectors based on statistical
learning theory and structure risk minimization
principle. Support Vector Machine [14-17] (SVM)
resembles formally the multilayer forward neural
network and has the neural network’s all advantages,
furthermore, it can overcome the implicit disadvantage
of the network, such as the existence of local minima,
over learning and so on, and its generation ability is
much better than the artificial neural network. So a
fouling resistance model was built based on the SVM
to predict the fouling in this paper.
2. SVM (Support Vector Machine)
All Nowadays, SVM method is usually realized
classification and prediction. The mean idea of SVM is
using a few support vectors to represent the whole
sample set. It essentially maps the input vectors X into
a high-dimensional feature space H though some
nonlinear mapping φ( ). In this space, an optimal
separating hyper-plane is constructed in the rule of
structure risk minimization principle. It is observed

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DOI 10.1109/ICICTA.2008.156
that for constructing the optimal separating hyper- For constructing the optimal separating hyper-plane
plane in the feature space H one does not need to in the feature space H, one does not need to consider
consider the feature space in explicit form. One has the feature space in explicit form. The kernel function
only to be able to calculate the inner products between must be satisfying the Mercer conditions, admissible
support vectors and the vectors of the feature space. At Kernels:
last, the aim turns to be a convex quadratic Polynomial of degree d
optimization to solve. K ( x, xi ) = ( x ⋅ xi + 1) d
2.1. V-Support Vector Regression (V-SVR) Gaussian RBF

Given a training set { xi , yi | i = 1, 2,… , l} ,

(
K (x, xi ) = exp − x − xi δ 2
2
)
Multilayer perceptron
with xi ∈ R n for the input, yi ∈ R for the target output, l K ( x, xi ) = tanh( kxi ⋅ x + θ )
for the number of training sample. The regression Therefore the form of nonlinear-regression function
problem is to find a mapping f from the input space is
R to the output space R . The V-SVR is to find the f ( x ) = ωφ ( x ) + b = ∑ ( a j − a *j ) K ( x j , x ) + b
n

regression function: sv

y= f ( x) = ωφ ( x ) + b Due to the nature of these constraints, typically only

Here, ω, x ∈ R n , b ∈ R . For the non-linear a subset of the solution values (aj − a*j ) are nonzero,
problem, according to the theory, the kernel function is and the associated data values are called the support
introduced. By minimizing the regularized risk vectors.
functional:
l
W ( a (*) ) = ∑ (a
i =1
*
i − ai ) y i − 3. Fouling Prediction Based on SVM
l
1
2
∑ ( a i* − a i )( a *j − a j ) K ( x i , x j )
i , j =1
3.1. Data Acquisition
Subject to
l
Analyzing the system which needs to predict, make
∑ (a
i =1
*
i − ai ) = 0, sure the characteristic parameters which can reflect the
system’s state. We select the fouling resistance as a
C way to detect the fouling degree. The data we acquired
ai(*) ∈ [0, ], i = 1,..., l , used for the research were from on-line monitoring
l equipment [18]. Sun Lingfang[19] used the time series
l

∑ (a
i =1
*
i + ai ) ≤ C ⋅ v analysis to prove this technology is reliable, rational
and suitable for real engineering application.
According to the methods in the reference 2, we found
Obtain the solution a = ( a 1 , a 1 , ..., a l , a l ) ,
(*) * * T

that six measuring parameters influenced fouling, i.e.

here, v, C are the constants. Here C>0, is to constantly
input temperature of working fluid, output temperature
determine the trade-off between minimizing the
of working fluid, flow velocity of working fluid and
2
training error and the model complexity term ω ； three temperatures of heat exchanger tube wall. So we
v ∈ (0,1) . use these parameters forming the inputs of SVM. The
data we collected were from the IDCB893 for every
Then the problem turned to solving a convex one minute, altogether 170 series sample, consisted the
quadratic programming Problem to obtain the V-SVR discrete fouling resistance data. In the same way,
function: another group data were completed, for 600 series
l
f ( x ) = ∑ ( ai* − ai )( xi , x ) + b sample, for the prediction.
i =1 These parameters were chosen to be the inputs of
For the non-linear problem the original input space network. They represent themselves for different
can always be mapped to some higher-dimensional significations, so there is a need to be normalized. The
feature space where the training set is separable. In the process can be done with the function Prestd in the
higher- dimensional space, the kernel function replace Matlab, it is as above,
the dot product. [pn, meanp, stdp] = prestd (x)
K ( xi , x j ) = φ ( xi )φ ( x j ) Here, pn stands for the normalized input vector or
matrix; meanp and stdp stand for the mean and the
standard deviation of the x. The sample data were

241
divided into two groups; the former 120 data were used fouling resistance. The result was showed in Table 1. It
for training, the rest ones were used for predicting. is showed in figures that, the SVM regression has
better generation and precision ability than the RBF
3.2. Kernel function and chosen of the network in the other group.
parameters
With a lot of experiments, we found that the
prediction of fouling was not sensitive to the choosing
of the kernel functions of linear, Polynomial of degree
d, Gaussian RBF. But bad for the Multilayer
perceptron function. In this work, the Gaussian RBF
was used as the most important one.
3.3. Building the network
Input the learning samples to the SVM. Get the Figure 1. Real value of fouling resistance
precise mapping relationships of the input and the
output. Cross validation was used for choosing the
parameters of C, δ . That c is the tradeoff parameter
between error and margin. When the C increases, the
prediction-errors get smaller; when the C increases for
a large degree, the prediction-errors fix steadily; when
c increases to a huge scale, it will be over-learning, and
then the generation-ability gets worse. The parameter
v which is the lower and upper bound on the number
of examples that is support vectors and that lie on the
wrong side of the hyper-plane. The parameter δ is the Figure2. Prediction curve (-), real curve (*)
mean squared error of the radial basis function, also the
width of it. When δ is small, the regression ability is
good, but when it turns much smaller, the generation
ability of the model get worse.
3.4. Prediction of fouling resistance
Putting the new data into the SVM to do the
prediction, calculate the errors. Change the C, v ,
δ and add new learning data to the SVM to improve
the prediction ability of the SVM.
Figure 3. Relative error curve
4. Results and Discussion
The prediction simulating experiments were done in
the environment of Matlab 7.1. The former 120
samples were used for training data, the rest of 50
samples were used for prediction. The kernel function
was the radial basis function. The real value of fouling
resistance was showed in Fig.1. The prediction value in
red was contrastive with real one in blue showed in
Fig.2. Relative error curve was showed in Fig.3. It was
observed that the fouling resistance was both in the Figure 4. Group 2 curve
formation and denudation process. The net trained used Prediction curve-2, real curve-1
in the second group, as showed in Fig.4 and 5, it can
still work well. Thus, the SVM model has good
generation ability. To see the advantages of the SVM,
the RBF network was found to train and predict the

242
 Fossil-Fired Power Plant System and Artificial Neural
Network Method”, Electric Power Environmental
Protection, 1995.11.4, pp.37-44.

[4] Fu Yarong, Wang Kaibing, Wang Jingque, “The Scale

Prediction of Surface Gathering Pipeline in Oil Field
Based on Artificial Neural Network.”, Journal of
Southwest Petroleum Institute,1999, vol.21: pp.68-69.

[5] TERUEL Enrique, CORTES Cristobal, DIEZ Luis

Figure 5. Relative error curve
Ignacio, ARAUZO Inmaculada, “Monitoring and
Prediction of Fouling in Coal- Fired Utility Boilers
Table 1. Prediction result of SVR and RBF
Using Neural Networks”, Chemical Engineering
RMSE Group1 Group2 Science, Oxford, ROYAUME-UNI, 2000, vol.60,
pp.5053-5048.
SVR 0.0485 0.0810,
[6] Lalot.S, Lecoeuche.S, “Online Fouling Detection in
Precise rate 99.87% 98.48%
Electrical Circulation Heaters Using Neural Networks”,
International Journal of Heat and Mass Transfer,
RBF 0.1204 ——
Elsevier Science Ltd, 2003, vol.46, pp.2445-2457.

[7] Hou Dibo, Yang Liming, Zhou Zekui, “Study of

5 Conclusions
A method for modeling and Predicting the fouling
of heat exchanger based on SVM was provided.
Experimental analysis was shown that the result of
prediction was much better than the RBF network. It
provided a new way of analysis and prediction of Heat
exchangers fouling.
Although prediction modeling research based on
SVM has a few years history. There are many
problems of the precision and generation to improve.
For the fouling of heat exchanger, to improve the
generation ability of the prediction, there are still a lot
of researches to be done. Moreover, there are many
works to be done about building a prediction model for
most fouling types.
Acknowledge
Supported by National Basic Research Program of
China (2007CB206904）and National Natural Science
Foundation of China (50576009) and China
Postdoctoral Science Foundation (2005038521).
Periodic Fouling Prediction Method Based on Fuzzy
Neural Network”, Journal of Zhejiang University
(Engineering Science), Hangzhou, 2004, vol.38,
pp.307-311.
[8] Rivero C., Napolitano V., “Estimation of fouling in a
plate heat exchanger through the application of neural
networks”, Journal of chemical technology and
biotechnology, 2005, vol.80, pp.594-600.
[9] Cai Haidi, “The Methods Study of Fouling Prediction
Using Radial Basis Function network”, Journal of
Northeast Dianli University (Natural Science Edition),
Jilin, 2006, vol.26, pp.46-49.
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Scheduling Tool”, Applied Thermal Engineering,
2007, vol.27, pp.2791-2802.
[11] Xu Zhiming, Guo Shuqing,Sun Lingfang, “Analytical
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244
 2008 International Conference on Intelligent Computation Technology and Automation
Searching Optimal Welding Parameters with GA and BP
Ye jian-xiong Zhang fa-yun
Nanchang Institute of Xinyu College, Jiangxi
Technology, Jiangxi Province
jxlpyjx@163.com
Abstract
Traditional method used to determine best welding
parameters is depended mainly on experience and is
lack of precision. So a new hybrid method combined
GA with BP to search proper arc-welding parameters
automatically is proposed here, the main contents are
described as follows. Testing schema is designed
according to orthogonal form, data used for later work
are obtained at first; then a BP neural network which
is treated by GA is used to simulate welding procedure,
special combination method of GA and BP is
introduced in detail according to practical problem; in
the third, GA is used for globally searching with the
help of BP network gotten above. Because the standard
GA algorithm aims at global optima, which may lead to
negative welding parameters sometimes, an adaptive
penalty coefficient is put into use during heredity
operation and satisfied parameters are found out at
last. Results manifest the correctness and effectiveness
of this method. Method used here can also be put into
use in similar optimizing problem.
1. Introduction
Determining optimal welding parameters is the first
task to be carried out before working. Traditionally,
several feasible parameters are tried at first, and results
are gotten on the basis of analysis and comparison of
times of welding tests, this way is stochastic and time
consuming, and it’s inaccurate in essential.
Neural networks(NNs) are widely used in pattern
recognition, system modeling, prediction and other
areas for their self-learning and parallel calculating
ability [1,2], they are also used in welding automation,
such as seam tracking etc. But it is inappropriate to
searching the best welding parameters by NN only, for
the reason that their performs can’t be confirmed to be
the best, in addition, NN can be used only for
prediction in theory.
978-0-7695-3357-5/08 $25.00 © 2008 IEEE
DOI 10.1109/ICICTA.2008.176
Xie jian-feng
Nanchang Institute of
Technology, Jiangxi
Province
BP algorithm is used popularly; it has proved that a
3-layer BP network can approach a given continuous
function unlimitedly if the number of hider-layer nodes
is unrestrained. But BP sometimes falls into local
minima easily.
GA is good at global optimization by using of the
mechanism of biological, such as heredity operation
and selection, it has virtues of getting rid of complex
calculation and has no differential requirement. But GA
can’t search for an optimum solution precisely.
On the basis of previous work[3], a complete
method for searching optimal welding parameters are
put forward: a BP network which fits the complex and
non-linear welding procedure very well is generated at
first by combination of GA and BP, then with the help
of adaptive penalty coefficient, good welding
parameters are found out with GA on basis of BP.
Paper is organized as follows: Section 1 gives the
quadratic regressive orthogonal test-design method.
Section 2 describes the combination of GA and BP.
Section 3 presents the way of optimizing welding
parameters. In the end, a brief summary of this paper
and prospects are put forward.
2. Welding scheme designed with
orthogonal method
Our study adopts welding of Gas Metal Arc
Welding (GMAW) based on rotating arc sensor, in
which the six input variables are welding current,
Figure 1. Shape of welding seam
245
welding voltage, welding speed, arc rotating frequency,
rotating diameter and rotating direction. Welding result
is evaluated by melting depth(D), melting width(W)
and seam remnant height(H), which are shown in fig.1.
The quadratic regressive orthogonal design method
is on the basis of statistical theory, professional
knowledge and practical experience, proper scheme
can be chosen from standard forms according to
number of input variables and varying level of them.
Except the rotating direction is set to be anti-clock
here, other five welding variables(factors) are put into
consideration, tests are carried out according to
orthogonal form L16（215）.
For welding procedure is full of strong interference
and randomicity, besides, the experimental results are
original data for later analysis, so welding tests in same
condition should be done for several times. testing
results are shown in talbe1.
Table 1. Orthogonal form and results
By the way, the ranging area of variables and
expected welding results are given out in table 2. Final
aim of our study is to find out proper input parameters
to realize the expected welding result.
Table 2. Ranging area and expected results
3. Combination of GA and BP
The performance of BP network which is used to
simulate welding procedure can’t be ensured to be best
one by back-propagation algorithm separately. Main
246
causes lie in that realistic problems are often
complicated and can only be described with high-
dimension curved surface, in which there are a great
number of local minima. When weights and thresholds
of a network are adjusted by way of error back-
∂E
propagation, the change direction is decided by ,
∂W
∂E
platform will occur if →0 , and it will lead to local
∂W
∂E
minima; on the other hand, if is bigger enough, the
∂W
treated values will oscillate hardly and can’t reduce
perform error as expected . So it is important to find a
way to get a satisfied BP network with proper layers,
nodes, connection weights and thresholds.
Combination of GA and BP is a new but possible
way[4-6]. It is reasonable to suppose a 3-layer BP
network to model welding procedure in our study, it
can be expressed as t-n-p, where t=5, n=25 and p=3. W
represents connection matrix from input layer to hide
layer, V is matrix from hide layer to output layer,
meanwhile, b1 is threshold matrix of hide layer and b2
is that of output layer. It can be seen from BP structure
that the size of W, V, b1, b2 is respectively 25*5, 3*25,
25*1 and 3*1, transition function for hide layer is
tansig and output layer is purelin.
BP is combined with GA by its weights and
thresholds encoded into chromosome in float, that is to
say, each gene corresponds to a value of connection
weight or bias, each individual of GA corresponds to a
neural network, the total length of chromosome is L=
t*n+n+p*n+p ＝ 228. Output relating to individual X
can be calculated as follows:
Where, Wij is connection weight from (i)th input
layer node to (j)th hide layer node, V jk is connection
weight from (j)th hider layer node to (k)th output
layer node, b1 j is (j)th threshold of hider layer
node, b2k is (k)th threshold of output layer
node. So, the individual evaluation function,
which is used for GA iterating criteria, can be
defined as follows:
3
FEV ( X ) = ∑ (T
i =1
i
q
− Y i q ) 2 / 3.......... ...( 2 )
Fitness function is
1
FIT ( X ) = .......... ...( 3 )
FEV ( X ) + 1
 Tries BP-GA algorithm introduced in reference [7]
for several times, results show that this method is
ineffective and final fitting performance is poor, the
best evaluative value(MSE) is 0.3950, and worse,
matrixes obtained from GA are often singular, and BP
algorithm can’t go on in this case.
An improved combination method is proposed to
reduce time spending and enhance the BP performance.
One part of original individuals are gotten by various
training parameters and NN training function, such as
traingdx, traingd, trainbr etc[8], another individuals are
generate stochasticly, flowchart is shown as fig.2.
Tournament selection is used and two elites are
ensured to be selected into next generation during
itteration, Gaussian mutation function is adopted,
crossover fraction is 0.7, best evaluative value(MSE)
1.1953*10-6 is achieved, this indicates that BP
coincidence with welding procedure very well.
BEGIN
Various NN
training method
20 stochastic
20 individual
individual
Initial population
Calculate FEV （ X ）
Selection,crossov
er,mutation
GEN ＝ GEN ＋ 1
N GA stop?
Y
Save results
END
Figure 2. Follow chart of BP+GA
4. Searching optimal welding parameters
with GA
GA is used for global searching and BP is used for
calculating evaluative value in our study. Each
chromosome consists of five float genes which are
correspond to variables of welding current, welding
voltage, welding speed, rotating frequency and rotating
diameter. Permitted variation zone has shown in table
2.
Evaluative function is still MSE(mean square error)
like formula 1, because of the short length of
chromosome that enlarging the size of population to
247
100 wouldn’t add time consuming apparently.
Nevertheless research reveals that final values often
exceed permitted range, sometimes negative values are
taken. The reason is that standard GA is aiming at
global minima with crossover and mutation only,
exceeding boundary is inevitable without exceptional
measures.
There are three methods to solve this problem. The
first one is to design a new encoding rule to guarantee
the availability of chromosome. The second is to check
the value of gene during heredity operation so as to
stipulate the acceptability of variables. The third one is
to adjust evaluative value by penalty coefficient once
the unreasonable value occurs. The third method is
used here by adopting an adaptive coefficient which is
decided with distance to reference value. Some optimal
results are shown in table 3.
Table 3. Testing results with penalty coefficient
5. Conclusions and outlook
It is feasible to search the best welding parameters
from original test data with combination of BP and GA,
methods proposed in our research is practical. Further
more, some conclusions can be drawn as follows:
1. GA is good at searching near optimal solutions,
and BP is highly evaluated for finding a precise local
optimum solution.
2. The final accepted optimal welding parameters is
not the only one, and the same to optimal BP network.
3. Influence on welding result caused by special
input variable can be studied conveniently. For
example, if diameter is set to be different values at first,
the other four welding parameters will change too in
final results.
4. Methods used here can be put into use in similar
optimizing problem.
References
[1]Dongkyu Sohn, Shingo Mabu, Kaoru Shimada etc,A
Global Optimization Method RasID-GA for Neural Network
Training,Advanced Computational Intelligence and
Intelligent Informatics, 2008,12(1), pp. 85-91
[2]Hao peng, Xiang ling. Optimal design approach for the
plate-fin heat exchangers using neural networks cooperated
with genetic algorithms. Applied Thermal Engineering,
ScienceDirect 28(2008), pp.624-650

[3]Peng jin-ning; Chen bing-sen; Zhu ping. Intelligent Design

of Welding Procedure Parameters Based on Neural
Networks. TRANSACTIONS OF THE CHINA WELDING
INSTITUTION, 1998,19(1), pp.19-24

[4]Liu Jun, Guo qiu-dong, Wang yin-hui. Optimizing the

laser-cutting parameters by using improved artificial neural
network. Laser Journal, 2007,28(6):80-81

[5]YAN Tai-shan.Research on neural network training

algorithm based on genetic algorithm. Journal of Hunan
Institute of Science and Technology(Natural Sciences),
2007,20(1), pp.31-34

[6]Dong Zhibo, Wei yan-hong, Zhan xiao-hong etc.

Optimization of mechanical properties prediction models of
welded joints combined neural network with genetic
algorithm. Transactions of the China Welding Institution,
2007,28(12), pp.69-72

[7]Gu xiao-qing, Yi dang-xiang, Liu chun-he. Optimization

of Topological Structure and Weight Value of Artificial
Neural Network Using Genetic Algorithm. Journal of
Guangdong University of Technology, 2006,23(4), pp.64-69

[8]Fecit research center. NN theory and its realization in

MATLAB7.0, publishing house of electronics industry,
Beijing, 2005.

248
 2008 International Conference on Intelligent Computation Technology and Automation
Short-term Traffic Flow Forecasting Based on Wavelet Network
Model Combined with PSO
Yafei Huang
College of Electrical and Information Engineering, Changsha University of Science and
Technology, Changsha, Hunan Province, 410076, China
E-mail: xyrhyh@163.com
Abstract
The real time adaptive control of urban traffic, as a
complex large system, usually needs to know the traffic
of every intersection in advance. So traffic flow
forecasting is a key problem in the real time adaptive
control of urban traffic. This paper proposed an
improved wavelet network model (WNM) which
combined with particle swarm optimization (PSO) to
forecast urban short-term traffic flow, PSO algorithm is
used to determine the weights and parameters of WNM,
which can avoid encountering the curse of
dimensionality and overcome the shortage in the
responding speed and learning ability brought about by
the traditional models. The simulation results show that
the average time cost of the proposed method in the
flow forecasting process is reduced by 8s, and the
precision of the proposed method is increased by 4.23%
compared to the standard WNM model.
1. Introduction
The urban traffic system is a kind of large-scale
complex nonlinear system, and the traffic flow sequence
presents a nonsteady and time-variant characteristic.
Therefore, the real-time accurate forecasting traffic flow
is vital to the intelligent traffic control and the
inducement system in Intelligent Transportation System
(ITS)[1,2]. The accuracy of the forecasting traffic flow
would directly influence the effect of the traffic control
and inducement.
However, because the traffic system is a
time-variable system consists of human and machines,
so it has much uncertainty. And that, the uncertainty
comes from the artificial factor (for example, traffic
accidents, paroxysmal incidents and the mental state of
the drivers, etc.) as well as the natural factor(for
example, weather changes, natural disaster, etc.). Owing
to these uncertain disturbances, the traffic flow
forecasting, especially the short-time traffic flow
forecasting is very difficult. Therefore, the problem how
to appropriately forecast the traffic flow became a very
978-0-7695-3357-5/08 $25.00 © 2008 IEEE
DOI 10.1109/ICICTA.2008.74
vital step in ITS. In order to solve this problem, scholars
have put forward many different methods, some had
promoted to use Kalman filter, fuzzy theory and chaos
theory to study the prediction of the traffic flow[3,4],
other scholars had constructed some global optimal
control model for forecasting traffic flow, and that had
gotten some excellent results[5]. But these fitting
models couldn’t perfectly and essentially reflect the
complexity and intrinsic structure of the dynamic data
forecasting, as these causalities were constructed by
analyzing the recursive model and the time-series model.
Thus, some information was lost and the forecasting
value isn’t quite effective[6]. In this paper, a new hybrid
model: Wavelet Network Model(WNM), which is based
on wavelet analysis and combined with Particle Swarm
Optimization (PSO), has been proposed for forecasting
traffic flow. The goal is to achieve higher speed and
more accuracy for traffic flow forecasting.
In the following sections, the WNM model is
reviewed at first, Then, Section III present a traffic flow
forecasting model of hybrid WNM combined with PSO;
the model is trained and validated using the real traffic
flow data in Section IV. Finally, Section V summarize
conclusions and give directions for future work.
2. Wavelet network model
2.1. Wavelet transform theory
The wavelet function is clearly defined: supposing
function ψ (t ) ∈ L2 ( R) meets the following conditions
( L2 ( R) is two- dimension space):
+∞
∫−∞ | ψ (w) | | w |
−1
2
d w < +∞ (1)
Then ψ (t ) is called basic wavelet or integral wavelet;
where, ψ ( w) is the Fourier Transform of ψ (t ) ; t
represents time and w represents frequency.
All the wavelet function system created by basic
wavelet can be expressed as follows:
1 t −b
ψ a ,b (t ) = ψ( ) (a ≠ 0 ,b∈ R ) (2)
a a
249
Where, a is scale or frequency factor, b is displace-
ment or time factor, ψ a ,b (t ) is called continuous
wavelet or wavelet base coming from basic wavelet
ψ (t ) and depending on parameter a and b. For a
function f (t ) ∈ L2 ( R) , the wavelet transform can be
expressed as follows [7]:
1 +∞ t −b
W f ( a, b) =
a
∫−∞
f (t )ψ (
a
)dt (3)
Where ψ (t ) is complex conjugate function of ψ (t ) .
Equation (3) describes that wavelet transform is the
decomposition of f (t ) under different resolution level
(scale). In other words, the essence of wavelet transform
is to filter wave for f (t ) with different filter.
In practical application successive wavelet is often
discrete. put a = 2− j , b = 2− j k , then W f (a, b) became
a discrete binary wavelet function as following.
j
ψ j , k (t ) = 2 2 ψ (2 j t − k ) ,
j
+∞
W f ( j, k ) = 2 2
∫−∞ f (t )ψ (2 j t − k ) d t
Where j , k ∈ Z .
So an arbitrary traffic flow signal f (t ) can be
decomposed as following wavelet series.
∞ parameters and structure frame, need not to know. That
f (t ) = ∑ W f ( j, k )ψ j ,k (t )
j , k =−∞
2.2. The algorithm of wavelet transform
In this paper, à Trous algorithm[8] was been adopted
for decomposition and reconstruction of traffic flow
signal series. Let C0 (t ) denote the original discrete flow
series f (t ) , à Trous decomposition algorithm as
following:
∞
Ci (t ) = ∑ h(l )Ci −1 (t + 2i l )
l =−∞
(i = 1, 2,")
Di (t ) = Ci −1 (t ) − Ci (t ) (i = 1, 2,") (6)
Where h(l ) is a discrete low-pass filter; here we adopt
the compact support and point-symmetric B3 spline
1 1 3 1 1
function which defined as ( , , , , , ) . Ci (t ) ,
16 4 8 4 16
Di (t ) are scale coefficient and wavelet coefficient at
the resolution level i respectively. D1 (t ) , D2 (t ) ,…,
D p (t ) and C p (t ) are called discrete wavelet transform
with the resolution level P , in general there have
log( N ) resolution scale numbers at most[12],
where N is the length of series. In equation (5), we took
an intuitively acceptable approach by taking
C ( N − l ) = C ( N + l ) to deal with extending of
boundaries.
The wavelet coefficients Di (t ) ( i =1,2,…) provide
the “detail” signal, which can capture small features of
interpretational value in the flow data; The residual
term C p (t ) represents the data’s “background”
information. It is possible to reconstruct the original
traffic flow signal series from wavelet components
D1 (t ) , D2 (t ) ,…, D p (t ) , C p (t ) . The wavelet
reconstruction of the original traffic flow series, in
terms of wavelet coefficients, is given by
p
C0 (t ) = C p (t ) + ∑ Di (t ) (7)
i =1
Equation (7) provides a reconstruction formula for
original flow series. That is à Trous reconstructing
algorithm, the disturbance signals of original traffic
flow were deleted using the wavelet decomposing and
the wavelet reconstruction, and the useful traffic signals
which would be used to predict traffic flow had been
gotten in this algorithm.
2.3. The wavelet network model
Artificial Neural Network(ANN) is a distributed
computing model: the nonlinear mapping relation
between inputs and outputs could be extracted and
approximated through learning function of network
oneself, but the knowledge, such as dynamic characters,
(4)
indicated that ANN model have a broad practical
applied prospect in function approximation theory, and
the intrinsic ideas of forecasting traffic flow just is
function approximation. So using ANN theory we may
construct a traffic flow forecasting model to implement
optimal control in ITS. In this paper we would construct
traffic flow forecasting model using BP neural network.
A typical three-layer BP network structure is shown as
Figure 1.
Supposing the l th sample’s input X l = {xil } ,
(5)
i =1,2,…, I ; l =1,2,…, L ; I is the number of nodes in
input layer and L is the total number of samples. The
l th sample’s actual output Y l = { ykl } , k =1,2,…, K ;
K is the number of nodes in output layer, the
corresponding real-time output Yˆ l = { yˆ kl } . The hidden
∑ ϕ1
w11
x1l
u11
∑ϕ2 y1l
x l ∑
2
∑ ϕ3 #
# ∑
yKl
xIl #
uKJ
wJI ∑ϕ J
Figure 1. Structure of three-layer BP neural network
250
layer with J nodes given a threshold ϕ j , j = 1,2,…,
J ; w ji is the connecting weight between the j th unit in
middle layer and the i th unit in input layer, and ukj is
the connecting weight between the k th unit in output
layer and the j th unit in middle layer. If take sigmoid
function as the transfer function of hidden layer, then
network outputs are:
J
⎧ I
⎫ vi 2 ,…, viE ). The modified velocity and position of each
ykl = ∑ ukj ⎨1 {1 + exp[−(∑ w ji xil − ϕ j )]}⎬ (8)
j =1 ⎩ i =1 ⎭
We can use average square error to evaluate the
performance of BP network:
1 L
MSE = ∑ (Yl − Yˆl )2
L l =1
(9)
The wavelet network model(WNM) can be
established as follow. Firstly, original traffic flow signal
series f (t ) are decomposed into a certain number of
sub-series { D1 , D2 , … , DP , CP } by wavelet transform
algorithm. D1 , D2 , … , DP are detail flow signal series,
and CP is background signal series. They play
different role in the original traffic flow series and the
behavior of each sub-series is distinct. The input data of
BP network in WNM can be composed by the traffic
flow sub-series at t time, i.e. X = [ D1 (t ) , D2 (t ) , …,
DP (t ) , CP (t )]′ . The output layer has only one node and
the desired output is Y = [ f (t + T)] , where T is
forecasting time interval. The nodes of hidden layer are
determined by trial and error. The network weights w ji ,
ukj and threshold ϕ j can learned by standard BP
algorithm or self-adapted BP algorithm and so on. In
this paper, in order to enhance the learning capability as
well as the training efficiency, the particle swarm
algorithm is adopted to optimize those parameters of
WNM, which will be discussed in the next section.
3. Hybrid WNM combined with PSO
3.1. Overview of PSO
Particle Swarm Optimization (PSO) is heuristic
parallel global optimization method, which was firstly
proposed by Kennedy and Eberhart in 1995[9]. In
contrast to traditional optimization algorithms, PSO
algorithm is so simple and few parameters need to be
adjusted, it deeply attracted the evolutionary
computation field scholars as soon as PSO was
proposed, it can be used to solve nonlinear, non-
differentiable, multi-peak optimization problems, and
now it has been widely used in function optimization,
neural networks, fuzzy system control, and so on.
Let Z and V denote particles position and velocity
in a search space respectively. Each i th particle is
treated as a without-volume particle, the i th one
251
represented as Z i = ( zi1 , zi 2 ,…, ziE ) in the
E-dimensional space. The best previous position of the
i th particle is recorded and represented as Pbi = ( pbi1 ,
pbi 2 ,…, pbiE ). The index of the best particle among
all the particles is treated as global best particle, and is
represented as Pg = ( pg1 , pg 2 ,…, pg E ). The rate of
velocity for i th particle is represented as Vi = ( vi1 ,
particle can be calculated using the current velocity and
distance as shown in following equations (the
superscripts denote the iteration):
vik +1 = ω vik + c1 R1 ( pbik − zik ) + c2 R2 ( pg k − zik ) (10)
zik +1 = zik + vik +1 (11)
Where i = 1,2,…,M (M is the particles population size);
ω is the inertia weight factor; c1 and c2 are acceleration
constants, called the cognitive and social parameter
respectively; R1 and R2 are random numbers
uniformly distributed within the range [0,1].
The acceleration constants c1 and c2 are often set to
be 2.0 according to past experiences. Suitable selection
of inertia weight ‘ω’ provides a balance between global
and local explorations, thus requiring less iteration on
average to find a sufficiently optimal solution. As
originally developed, ω often decreases linearly from
about 0.9 to 0.4 during a run. In general, ω is set
according to the following equation[10]:
n
ω = ωmax − (ωmax − ωmin )
N
Where ωmax and ωmin are maximum and minimum value
of the weight factor respectively, N is the maximum
number of iterations, n is the current iteration
number.
3.2. WNM Combined with PSO
In WNM Combined with PSO algorithm
(PSO-WNM), if the wavelet network model was
assigned dozens of different set of weights( w ji , ukj )and
thresholds( ϕ j ) stochastically, for the same input data,
each set of weights and thresholds have different
outputs, so we can use those information to optimize
WNM[11]. Let particles position Z in PSO constituted
by BP network weights and thresholds, that is
Z = {…, wij ,…, uij , …, ϕ j …} . Then the weights and
thresholds of network can be optimized using PSO
algorithm, and the fitness function value used in this
algorithm can take the value of BP network’s MSE as
formula (9) expressed. The training process of
PSO-WNM was shown in Figure 2. The terminate
condition in PSO-WNM is the judgment whether the
maximum iteration value achieve or whether average
square error less than a very small number.
 then X = {D1(t), D2 (t), C2 (t), D1(t −97), D2 (t −97), C2 (t −97)} .
f (t )
The number of nodes in input layer is equal to 6,
hidden layer nodes take 5 by trial and error. So the
X = {D1 (t ),…, D p (t ), C p (t )}
structure of WNM is 6-5-1. The weights and threshold
of network are estimated by PSO algorithm. According
Z m = {…, wij ,…, uij ,…, ϕ j …} (m = 1, 2, …, M) to the structure of WNM, PSO search space is
40-dimensional space, and the particles population size
M=40, the number of training of PSO-WNM is 1000. In
order to compare, the average square error curves in
wij , uij ϕj
Zm training process using PSO-WNM and standard WNM
were shown as Figure 3, here standard WNM mean that
weights and threshold of network optimized by standard
BP algorithm.
Zm
Z m (m = 1, 2,…, M) 103

102 PSO-WNM

101

Error
100

10-1 WNM
Training
-2
10

Figure 2. Training Flow Chart of PSO-WNM 10-3

10-4
10-5
4. Traffic flow forecasting simulation 0 200 400 600 800 1000

Epoch
4.1. Data structure of sample
Figure 3. Training Error in 1000 epochs of WNM and
The paper applied the traffic-flow forecasting PSO-WNM
optimal control system, which was designed based on
PSO-WNM, to real-time traffic optimal control. There
The corresponding simulation curves of original data
is 2-month(2003.07- 2003.08) record of hourly traffic and fitting data are shown as Figure 4(1-100),
flow of Ma-Jia-Bao toll station on Ma-Ping-Xi respectively. We were regarded the new data that were
Expressway, the daily record is between 8:00 and 22:00, processed by wavelet transform as the input of WNN
so there is 14 data everyday. The first 55 days flow model. The fitting between forecasting values and
series are used for calibration or training of the model, detecting values of hourly traffic flow data in the last
and the remaining one week data are used for week of Aug, 2003 was shown as Figure 5.
verification or testing purposes. In this research the
length of series N =55×14, then the scale number P=2.
Through à Trous algorithm, an hourly traffic flow
time series is denoted by discrete quantities f (t )
( t =1,2,…, N ), it should be decomposed into the
sub-series: { D1 (t ), D2 (t ), C2 (t ) }. Given the forecasting
interval T =1, that is we will forecast traffic flow on
Ma-Jia-Bao toll station one hour later. Here three-layer
network: input layer, hidden layer and output layer, is
adopted. Because traffic flow presents a weekly
repeated of the cyclical basically, flow series at t +1
time maybe have highly relevant with series at
Figure 4. Distribution plot of raw traffic flow data
t -7×14+1 time, add them into the input data of WNM,

252

Figure 5. Comparison of detected and forecasted series of
PSO-WNM
4.2. Forecasting results and analyses
Figure 3 show the average square error for 1000
epochs in the network training process by PSO-WNM
and standard WNM, respectively, where y-axis id the
value of squared error for each learning epoch, and the
x-axis is the number of the machine learning epochs in
the training process. The minimum of the sum-error in
the training process by PSO-WNM is 3.62 ×10−4 , and
that of standard WNM is 3.78 ×10−4 . So the precision of
PSO-WNM is increased by 4.23% compared to the
traditional WNM. While the CPU time for training the
PSO-WNM model is about 8s less than WNM.
Figure 5 shows a comparison of the detected traffic
flows and the forecasted flows using the PSO-WNM
model for a period of the last 7 days in August 2003.
From Figure 5 we can see that the forecasted curve
follows the detected curves pretty accurately, the
forecasting results show that the proposed model can
capture effectively continuous and subtle information
about the traffic flow signals.
5. Conclusion
1) The forecasting results indicate that WNM
combined with PSO is better than standard WNM in
both forecasting effect and network function. With the
advantages of higher precision, faster speed and better
stability in the short-term traffic flow forecasting, this
model avoids the curse of dimensionality problem in
WNM.
2) Due to the superiority of WNM combined with
PSO to the traditional neural networks, the applied
effect will be further in proved if some optimization
calculating methods are adopted to overcome the
defects of WNM.
253
3) The further improvement on the proposed method
should be in the following two ways. 0ne is to research
the mathematics principle of the particle optimization
algorithm; the other is to study better approaches for
combination of the swarm intelligent algorithm with the
WNM.
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 2008 International Conference on Intelligent Computation Technology and Automation

Study on Adjustment of Learning Rate and Its Application of ART2

Chen Haixia
Changsha University of Science and Technology, Changsha, 410076, China
Chenhaixia-1973@163.COM

Abstract 2 ART2 network

ART2 proposed by Carpenter and Grossberg is a 2.1 Structure

self-organizing artificial neural network
adaptive resonance theory. There is vast potential for
the characteristics of its imitating the Human brain
nerve system working in neurophysiology
psychology. But learning rate of ART2 can not be
adjusted directly, model drift phenomenon of ART2
network occurs frequently. To solve this problem, this
paper discusses the common-used learning rules of
ART2 network at first and then it points out that
although there is no learning rate in these learning
rules as other artificial neural networks, but it
implicitly exists. The way to adjust the learning rate is
suggested and the suppression to pattern drift is
verified by a vector learning trial. The categorization
results to Iris dataset are also compared to illustrate
the function of learning rate.
1. Introduction
based
ART2 network structure is shown in Fig.1, where
Solid dots express modulus operations. In Fig.1, Ii is
Input model, and pi is "recall" mode of F2 layer
and
long-term memory system (reaction of input). Vector ri
monitors the matching degree of Ii and pi. It can judge
the current “recall” result of system F2 layer is right or
not by comparing with system warning valueρ. zji and
zij respectively represent the connection weights of
layer F1 to layer F2 and layer F2 to layer F1 which is
the key to learning. Function f, g, parameters a, b, c, d,
as well as the operation principle of system can quad
vide the literature [1], [2].
Reset yj
ρ F2
zij g(yj)
(d)
cpi pi zji qi
ri
bf(qi)

ART2 is a self-organizing artificial neural network ui vi F1

based adaptive resonance theory. 0[2]
It is proposed by aui
f(xi)
Carpenter and Grossberg. There is vast potential for the wi xi
characteristics of its imitating the Human brain nerve
Ii
system working in neurophysiology and psychology,
and many other aspects. [3] Fig.1 Structure of ART2 network

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DOI 10.1109/ICICTA.2008.248
2.2 Learning Rule 3. Learning rate adjustment and its
function
Literature [1] proposed clearly, learning rule of the
connecting long-term memory (LTM) vectors zJi and
3.1 Learning rate adjustment
ziJ, accordance with layer F2 wining neurons J, as
dz Ji u As in fast learning, except the parameter d (d
= d (1 − d )[ − z Ji ]
dt 1− d (1) parameters generally close to 1, to make zJi be main
[2]
dz iJ u' component of the vector p ), there is no other
= d (1 − d )[ − z iJ ]
dt 1− d (2) adjustable parameters, so there is no direct means to
Shows ART2 is a continuous network, compared learning rate adjustment. But Fig. 1 shows:
with other neural networks. w ＝ I + au (7)
To assume Eq. (1) and Eq. (2) is zero, which is time v ＝ f ( x ) + b f (q ) (8)
t->∞, so After returning to zJi, layer F2 wining neurons will
u passed through the tune (p-> q-> v-> u), and then make
z J i＝
1− d (3) sense to the intermediate vector u by the two ways of
u' (u-by> w-> x-> q) and (u-> p). Obviously parameters a
z iJ =
1− d (4) and b are key parameters to the learning rate
That is most of literature about ART2 are commonly adjustment of ART2 network.
used fast learning rules. In Fig.1, if the function f (.) Assume there are two vectors at unit
does not shield the smaller component vectors, from
circle,
I1 = [1/ 2, 3 / 2] and I 2 = [ 3 / 2,1/ 2] . Using
the literature [2], there could attest that adapting a fast
learning rules, zJi、ziJ have same direction with vector ART2 parameters in appendix, Original position of
u triggered by the latest input vector. LTM vector z1i and z2i may be shown as square in
From Figure 1, after resonance vector u actually is Fig.2.
the result of Common role between input vector I and When alarm value is high (e.g. ρ= 0.99), ART2 just
returned vector p of F2 layer (the expression containing only need to learn once to identification the two vectors
zJi). Different from the explicit use of learning rate α correctly. In Fig. 2, the two circles （z1iF and z2iF） is
of BP networks and others, α can be considered to be under fast learning rules, while in the slow learning, the
implicit used in the rapid learning expresses by Eq. (3) two triangles （z1is and z2iS）is the space location of
and Eq. (4). We can not simply considered that the LTM vectors after being learn once respectively.
rapid learning only remember the recent study contents. When alarm value is high (e.g. ρ= 0), ART2
Discrete Eq. (1) and Eq. (2), that is, network have learnt vector I1 once first, then input
vector I2 four times consecutively,I2 were all
z Ji (t + Δt ) = Δtdu + (1 − Δtd (1 − d )) z Ji (t ) (5)
mistakenly believed as I1 . Fig.2 shows the motion
track of LTM vectors z1iF when parameters a and b are
ziJ (t + Δt ) = Δtdu '+ (1 − Δtd (1 − d )) ziJ (t ) (6)
of different value.
By contrasting 2- (a) and (b) part of Fig.2, It shows
Where, Δt is stimulate time of each new input
that both in fast and slow learning rules, a, b of larger
model I, which is slow learning. value is advantage to maintaining the long-term
memory system's stability.

255
 In recent years, “pattern drifting” phenomenon is 3.2 Examples of Iris Dataset Classification
often Involved in domestic applied research of ART2
Iris data are 50 samples of three kinds of flowers
network [4][6] . “Pattern drifting” phenomenon is that In
that are Setosa、Versicolor and Virginica. In order To
fast learning rules, when the similarity r of input mode
facilitate comparison, input the samples at a fixed
I gradually Changes in a certain direction of slightly
sequence: a Setosa, a Versicolor, a Virginia again,
larger than vigilance coefficient ρ, memory values zJi
carry on 50 times of this cycle. The network parameter
and ziJ of long-term memory system will slowly drift
besides must make the revision with the sample length
to other models with the changing (Fig.2(a) generally
m related parameter, other parameters are invariable,
displays this kind of drift phenomenon). Various
the security values ρ＝0.9999.
improved algorithms present to control pattern drifting.
separately in situation of a=b=1, a=b=5, a=b=10 and
Literature [6] even clear that pattern drifting is ART2
a=b=20,to carry on experiments 4 times, the results of
network’ own flaw. These improved algorithms are
the classification are shown in Fig.3,and three kinds
essentially similar to learning rate of other networks,
of flowers shape take different marks.
that is, increase the original LTM vectors’ weight. As
When a=b=1, the Setosa samples activated the 1st, 5th,
shown in Fig.2, pattern drifting can be obviously
7th neurons of the F2 level, that is 3 subclasses
controlled when parameter a and b are enough great.
branched out. Digital underlined present the neuron
Obviously, compared to directly adjustment of
activated at first time when this sample input.
parameters a and b, the changes of the learning
Versicolor activated the 2nd, 4th, 8th, 9th neurons and
algorithm will largely increase the computing capacity
formed 4 subclasses, but the 19th, 21st, 23rd, 34th
of the system.
samples are mistaken for Virginia. The Virginia
9
z 1iF samples activated the 3rd, 6th, 10th neurons;
8
simultaneously over 20 samples are mistaken for
7 Versicolor.
6
When a=b=5, the situation has improved, which the
z 1iS
wrong number of identification reduces to 12, while
5
z 2iF further reduces to 9 when a=b=10.
4 z 2iS Simultaneously we noted, when the study just
z jiInt
3 started, because still few understanding to the
3 4 5 6 7 8 9
Versicolor, Virginica is mistaken for Versicolor. When
9
z 1iF a=b=1, the Virginica first 4 samples are mistaken. The
8
other situations mistaken are the first 3, 2, 1 sample
7 respectively. The situations mistaken reduce along
6
with a, b increase. Contrasted in Fig.2, this is
z1iS
obviously because the LTM vectors can well maintain
5
z2iF the stable result when the values of a, b is high.
4 z2iS When a=b=20, two points should be emphasized
zjiInt
3 specially: 1) the wrong number of classification not to
3 4 5 6 7 8 9
continue to reduce along with the value of parameter a,
(1) a=b=1 (2) a=b=10
b further increase. The number of mis-classification
Fig.2. Track of LTM vectors
achieves 14. The reason lays ART2 already relative

256
“stubborn” in this time, which obviously influenced by remembered the newest learning sample. While a=0
the input samples series. If the first input of ART2 reduced zJi’s contribution directly to u.
network is exactly the samples located at the type edge,
there must exist certain resistance to enable the LTM
vectors finally to aim at the type center, thus it will
influence the classification result; 2) the 6th neuron of
F2 level is activated by the 24th sample of Versicolor.
For Versicolor activates it 3 times, while Virginica
activates it 8 times, there should think what stored in
the neuron is Virginica. Here cannot think that the 6th
neuron's LTM vectors has had the pattern drifting, that
is because from the sampled data, these samples;
components is quite close. Three samples in the
Versicolor are likely small Virginica (subclass 6). In a,
b with others’ value, has not had the same mistake,
which can only be understood that it is influenced by
the LTM vector's change of the motion track of LTM
vectors.

4. Conclusions

As a result of the influence of the literature [7],

domestic applied research about the “Pattern drifting”
phenomenon of ART2 network is much, and makes the
improvement through each method. Relatively it
involves very little overseas in this aspect.
In literature [1], Carpenter has contrasted the
influence of the subclass and the super class to
classification when a and b with different values, and
has just only considered several extreme situations, e.g.
a=b=10, a=0 or b=0. This article has analyzed
parameter a and b’s adjustment to the learning rate, and
pointed out that to overcome the pattern drifting might
depend upon the related parameters’ adjustment of
ART2 network. And discussed the influence of
learning rate’s adjustment to the result of Iris dataset
classification. The bigger values of Parameter a, b are,
the stronger system's stability will be. Fig.3. Categorization results of Iris Dataset
To the extreme case b=0, that is equal to shuts off
the zJi’s contribution directly to u, ART2 has only

257
 In the situation of a=0, and b is great or a and b with
medium values, the learning rate is almost the same.
Other aspects’ affects is out of the Discussion scope of
this article.
Appendix
The ART2 network's parameters setting are:
The length of input vector m=2；b=1; c=0.1; d=0.9;
e=0.0001；threshold θ =0；the neuron’s number of
layer F2 is 2;
The connection weight of layer F1 and layer F2
based on literature [2] as follows:F1->F2, connection
0.5
（
weight zij initialize according to formula 1－ d） m ;
F2->F1, connection weight zji initialization is 0
completely.
[5] Huang Gexiang, Chen Jirong. Application of ART2
neural network in recognition of handwritten Chinese
character [J]. Computer Simulation,
2006,( 07) :153~156
[6] Han Min, Chen Lei, Tang Xiaoliang. Applied research of
Fuzzy ARTMAP Neural network in land cover
classification [J]. Chinese Image Graph Journal,
2005,( 04) : 415~419
[7] Han Xiaoyun,Liu Ruiyan. Improvement of ART - 2
Network learning algorithm [J]. Data acquisition and
processing, 1996, 11(4):241~245.

Acknowledgement

This work is supported by the Hunan Nature

Science Foundation No.07JJ5068, and the Hunan
Education Department Foundation No.07B003.

Reference

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Self-organization of stable category recognition codes
for analog input patterns [J]. Applied Optics. Vol. 26, No.
23:4919-4930, 1987.
[2] G.A. Carpenter, Stephen Grosssberg, David B.Rosen.
ART2-A: An adaptive resonance algorithm for rapid
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258
 2008 International Conference on Intelligent Computation Technology and Automation
Study on Peak Discharge periodicity of Zi River based on Wavelet Analysis
Fei-Yan Guo1, 2, Dong-Zheng Liu1, 2
1
CCCC.Tianjin Port & Waterway Prospect ion & Design Research Institute Co..Ltd
2
School of Water Conversancy, Changsha University of Science & Technology, Changsha
410076, P.R. China
E-mail: gfy_1983@163.com
Abstract
As one of the main rivers in Hunan Province, Zi
River is rich in water quantity. With rainstorm and
serious waterlogging disaster, the study on water
quantity periodicity of Zi River has great practical
significance. In this paper, water resources situation of
Zi River valley is introduced. Using the method of
Wavelet Analysis, Peak Discharge periodicity of Zi
River is studied. By studying, the Peak Discharge
periodicity of Zi River valley is notable. There are two
fluctuations of periodicity appear in 23-year and 18-
year. In addition the low- frequency fluctuation and the
high- frequency fluctuation are weak.
1. Water resource situation of Zi River
valley
Zi River is located in the center of Hunan province.
It has two sources, the South and the West. Zi River
flowing from south to north, into Dongting Lake
finally. Zi River was divided into two tributaries at
Shuang River of Shaoyang county, the right is Fuyi
River, and the left is Nan River. The length of Zi River
is 653 km and the drainage area is 28142 km2 (26738
km2 in Hunan province).
The average annual rainfall is 1462 mm in Zi River
valley. Upstream, the average annual rainfall is about
1200 mm to 1500 mm, while the middle and
downstream is about 1500 mm to 1800 mm. There are
two rainstorm centers in Valley, one is nearby
Liuduzhai in the upstream and the other is in the
middle area from Zhexi to Tao River. The average
annual rainfall of the central department can reach
1700 mm to 1800 mm. Storm intensity of Meicheng in
the downstream of Zhexi is the biggest. While
Shaoyang region is in the low rainfall areas, its average
annual rainfall is about 1200 mm. The depth of Zi
River valley average annual runoff is 813 mm, with
600 mm to 1600 mm of the upstream, 600 mm to 1200
978-0-7695-3357-5/08 $25.00 © 2008 IEEE
DOI 10.1109/ICICTA.2008.44
mm of the middle and 600 mm to 800 mm of the
downstream. The high-value runoff area and low –
value runoff area are correspond to distribution of
rainfall area. The depth of the high-value runoff is
1200 mm to 1600 mm, while the low –value runoff is
only 500 mm to 600 mm.
Most flood of Zi River is caused by rainstorm and
mountain torrents. The top of peak is lankness. The
biggest flow rate is 15300 m3/s in Tao River Station
which is in the downstream of Zi River (August 27,
1955), while the smallest is 15.5 m3/s (September 11,
1964). The average annual flow rate is about 730 m3/s.
The average annual water surface evaporation is about
800 mm to 900 mm. The area between Majitang and
Zhexiku is the the low–value area. Its average annual
water surface evaporation is about 700 mm.
2. Wavelet Analysis
Wavelet Analysis was put forward by French
engineer Morlet when he analyzed seismic data [1]. In
the following 20 years, Wavelet Analysis becomes a
focus of international research. There have been a great
deal of the research findings in signal processing,
image compression, voice coding pattern recognition,
earthquake exploration, atmospheric scientific and
many nonlinear science field based on Wavelet
Analysis at present [1-4]. Since be applied in Hydrology
by Kumar and Foufoular Gegious in 1993, WT has
achieved certain research results in water science.
These results are mainly in Multiple Time Scales
Analysis of Hydrological Time Series, Time
Variability for Hydrological Series, Hydrological
prediction and Stochastic Simulation [5-6].
In 1997, according to die, phase and the real part of
the Morlet Wavelet Analysis, Ziwang Deng [7] analyzed
precipitation time-scale structure of Xi'an in the nearly
50 years. Sun Li [8] analyzed anomalies of summer
rainfall of the China's northeast, using Wavelet
Analysis. Weiguo Sun, etc [9] studied on the sequence
anomaly precipitation of time-scale structure in the
259
nearly 50 years of Henan province, and did a Zhexi to Tao River of the middle. The flood peak of Zi
preliminary study of its time-frequency characteristics River always occurred in May to July. The proportion
in droughts and floods, using Morlet Wavelet Analysis. of flood peaks between May and July is 62.5%. As Tao
Wavelet is a type of concussion characteristics River Station catchments area takes 96% of all Zi
function which can decay to zero rapidly. It is a Series River valley area, we take this station as the delegate.
of functions which is found by Telescopic and The result of runoff situation can stand for all basins
Ψ (t ) mostly. We do the research of periodicity based on
translation of .
1
Wavelet Analysis by collecting the rainfall data in
⎛t−b⎞ recent years. The biggest flow of Tao River station
Ψ a , b (t ) = a
2
Ψ⎜ ⎟ (1)
⎝ a ⎠ from 1951 to 2000 is showed in Fig.1.
a ∈ R, b ∈ R, a ≠ 0
Ψa,b (t )
is called Wavelet, a is time factor or
translation factor, b is translation factor or time
f (t ) ∈ L2 (t )
factor. To Energy limited signal , its
Wavelet translation format is:
1
⎛t −b⎞
∫ f (t )Ψ⎜⎝
2
Wf (a, b) = a ⎟dt (2)
a ⎠
R
⎛t −b⎞ ⎛t −b⎞
Ψ⎜ ⎟ is Conjugate function of Ψ ⎜ ⎟ in the Fig. 1.The biggest flow of Tao River station
⎝ a ⎠ ⎝ a ⎠
expressions. In three of the 50 years, the biggest flood flow of Zi
When Discrete signal is studied, River is higher than 15000 m3/s, while the rest
f (iΔt )(i = 1,2......., N )
, N is Sample size. Δt is fluctuated under 5000 m3/s.
Sampling interval . Now, we analyze Peak Discharge periodicity of Tao
The Discrete format of the expressions 2 is River station based on the Wavelet according to the
1 monitoring hydrological data. Concrete results can be
2 N iΔt − b
Wf (a, b) = a Δt ∑ f (iΔt )Ψ ( ) (3) seen in Fig. 2 and Fig .3.
i =1 a
Wf (a, b) includes the in formations of f (t) and
Ψ (a, b ) , so the Choice of Wavelet function is very
important. The Haar Wavelet, the Marr Wavelet, the
Gaussian Wavelet, the spline wavelet and the Morlet
Wavelet are widely applied. In this paper, the morlet
which is applied in hydrological series mostly is used
as base Wavelet. Its Wavelet function is
t2
−
ϕ (t ) = e 2
e jωt (4)
Compare to real Wavelet, complex Wavelet can
response variety of periodicity and distribution in time
domain. Fig. 2 .The Wavelet coefficients of Zi River

3. Study on Peak Discharge periodicity of
Zi River
Most flood of Zi River is caused by rainstorm and
mountain torrents. Flood disaster is easy to form, so
the study on rainfall periodicity of Zi River has very
important significance. As referred in part 2, there are
two rainstorm Center in Valley, one is nearby
Liuduzhai in the Upstream and the other is in the area
From this two figures, we can get that for Zi River
basin, the negative energy Oscillation Center in (1974,
45) occupies a lot of scope, affecting from 1965 to
1985. Furthermore, Scale Center arranges regularly
three positive Centers and two negative centers in the
point of the 20th year. Scale fluctuates are jumbled
under the point of 10 years, although they have definite
energy, the energy of high- frequency vibration is very
weak. From Fig.3, there are two fluctuations of

260
periodicity appear in 23-years [10] and 18-years. In [3] Mladen Victor Wickerhauser. Adapted Wavelet Analysis
addition the low- frequency fluctuation and the high- from Theory to Software, A K Peters Ltd, 1994, ISBN
frequency fluctuation are weak. 1568810415.

[4] P. P. Viadyanathan. Multirate Systems and Filter Banks,

Prentice Hall, 1993, ISBN 0136057187.

[5] WANG Wensheng. Hydrological Wavelet Analysis[M]

chemical industry publishing house.2006.2

[6] LI Jianping. The application of wavelet analysis[J].

Chongqing University publishing house.2000

[7] Deng Ziwang. Time-scale analyze on Climate change of

Xi'an in the nearly 50 years [J]. Plateau Weather, 1997,
16(1):81 - 93.
0 5 10 15 20 25 30
Fig. 3.The Wavelet Variance of Zi River [8] Sun Li. Analyze on anomalies of summer precipitation of
the China's northeast[J]. Weather Journal, 2000, 58(1):72 –
References 801.

[9] Sun Weiguo, Cheng Bingyan. Time-scale analyze on

[1] Paul S. Addison. The Illustrated Wavelet Transform
Handbook, Institute of Physics, 2002, ISBN 0750306920.
[2] Ingrid Daubechies. Ten Lectures on Wavelets, Society for
Industrial and Applied Mathematics, 1992, ISBN
0898712742.
Changes in drought and flood of Henan in the nearly 50
years[J]. Journal of the Nanjing Institute of Meteorology,
2000, 23 (1) :251.
[10] Liu Yi, Yang Xiaoyi, Duan Xianghong. Regional
precipitation characteristics of the multi-time scale. Weather
Technology, 2005, 33(1).

261
 2008 International Conference on Intelligent Computation Technology and Automation
Surface Reconstruction Method Based on GRNN
Wu Fuzhong
School of Engineering, Shaoxing College of Arts and Sciences, Shaoxing, China
wufuzhong75@zscas.edu.cn
Abstract
A surface reconstruction method based on
generalized regression neural net (GRNN) is
presented. Firstly in order to eliminate noise points,
some sample points are chosen from the measured data
to construct GRNN. Thus a neural net to approximate
the measured points is obtained. And the distribution
probability of the approximation error is figured out.
In result, the noise points are eliminated when their
error probability is less than the threshold value. Then
the boundary points are extracted. Lastly the surface
model is reconstructed by use of the measured points
from which noise points have been eliminated. The
reconstruction error is analyzed. The results indicate
that the reconstruction precision can satisfy the
demands of engineering application.
1. Introduction
The reverse engineering (RE) technology is
employed very abroad in the filed of industry design.
RE is a process of reconstructing CAD model by use of
the measured points. The measured points can be
obtained by coordinate measuring machining. RE is
also a process of to generate mathematics model from
sample, and the production is developed and produced
on the basis of the mathematics model [1].
In the process of reverse design, the methods to
reconstruct surface includes mainly: (1) to approximate
the measured points by the triangle plane patches; (2)
to approximate the measured points by the parametric
surface (NURBS or Bezier) on the four or three sides’
domain; (3) to approximate the measured points by
subdivision surface [2].
The neural net has the great capability of
approximating arbitrary constant. The three layer back
propagation neural net can approximate all continuous
function and all order differential quotients with
arbitrary precision [3]. As a typical back propagation
neural net, the radius basis function neural net can
approximate arbitrary nonlinear function, and has
978-0-7695-3357-5/08 $25.00 © 2008 IEEE
DOI 10.1109/ICICTA.2008.68
greatest approximation capability. The surface can be
reconstructed by means of neural net technology to
substitute for traditional surface approximation
methods. Thus the surface mapping relationships are
stored in the weight and threshold values of neural net.
This surface expression mode has strong fault tolerant
and association capability as utilizing the holographic
storing mode. The whole approximation precision
can’t be affect by local damaged neural cell and very
few noise data [4]. Therefore the method to reconstruct
surface using GRNN has the following advantages: (1)
approximation precision is higher than traditional
methods, and it can be adjusted by changing spread
constant; (2) it may approximate arbitrary topological
structural measured points [5].
So a surface reconstruction method based on GRNN
is presented. The elimination of noise points,
extraction of boundary points and surface
reconstruction methods are described in detail.
2. GRNN
GRNN is a two layers neural net, the radius basis
neural cell is used in the first layer, the transfer
function is r1 (radbas), the weight function is d1(dist),
the input function is n1 (netprod); the transfer function
in the second layer is r2 (purelin), the weight function
is d2(normprod), the input function is n2 (netsum). The
net structure of GRNN is shown in the Fug.1. Q is
number of neural cell, Q = K = the number of
input/target vector pairs. W1 and W2 is respectively the
weights matrix of the first layer and the second layer. p
is the input vectors of net sample. n1 and n2 is
respectively the weighted input vectors in the first
layer and the second layer. a1 and a2 is respectively the
output vectors of the first layer and the second layer, b1
and b2 is respectively the threshold value of the first
layer and the second layer. sum(a1) is the sum of
output vectors in the first layer [6].
262
 Input measured points

Choose sample points

Construct GRNN

Analyze probability of error

(
a1 = r1 W − p b
1 1
) ( )
a2 = r2 W a1 sum(a1 )
2

Eliminate noise points

Fig.1 GRNN structure

3. Method outline Extract boundary points

A group of points shown in Fig.2 are sampled by Reconstruct surface

three coordinate measuring machines, and the total of
measured points is 839. The surface model will be Fig.3 Method flowchart
reconstructed by use of these points.
The steps of reconstructing surface model is: firstly 4. Data pretreatment
choose some the sample points from the all measured
points to construct GRNN, calculate the approximation 4.1. Noise elimination
errors of test points and distribution probability of
errors. The noise is eliminated when their probability is Supposed all measured points are denoted with
less than the threshold value. Then boundary points are
⎡X ⎤
extracted. Lastly the GRNN is again reconstructed by D = {Pi , Z i , i = 1,2,...,839} , Pi = ⎢ i ⎥ . The m points
use of the measured points from which noise points ⎣ Yi ⎦
have been eliminated, and the surface model is are chosen from all points as sample to train GRNN.
reconstructed finally. The detailed flow is indicated in They should have good quality and can expressed
Fig.3. approximately surface, and denoted with
D = {Pi , Z i , i = 1,2,...,40} . The constructed GRNN
e e e

is denoted with net, the steps are listed as follows. The

net structure is shown in Fig.4.
net = newgrnn( Pie , Z ie , 0.005); %construct GRNN
A=sim(net, Pi); %calculate output value
e = Zi – A % calculate approximation error

Fig.4 Net structure

The distribution of approximation error is shown in
Fig.5.
Fig.2 Measured points The elements of e are sorted in ascending order, and
classified into 20 groups. The mean value of every
group and appearance probability is calculated. The
results are shown in Fig.6.

263

Error value
No. of points
Fig.5 Error analysis
0.03
Fig.6 Distribution of error probability
If the threshold value of error probability is
specified to 0.03, the points whose appearance
probability is less than 0.03 are distinguished as noise
data. The noise points totaled 26 are distinguished
from all measured points, and are denoted with “o” in
Fig.7. If the identifying results are non ideal, the
threshold value or sample points may be adjusted until
the results is satisfying.
Fig.7 Identification of noise points
The points from which noise data is eliminated
are shown in Fig.8. The distribution of approximation
error after the noise points eliminated is shown in
264
Fig.9. Known form Fig.8 and Fig.9, the error is less
than 0.01 when the 40 sample points are chosen. The
requirement of reconstruction surface can be met
basically.
Fig. 8 Points excluding noise
Error value
No. of points
Fig.9 Error after noise points eliminated
4.2. Boundary extraction
The definition domain of reconstruction surface
based on GRNN is rectangle. However the distribution
domain of measured points is not always rectangle, it is
possibly arbitrary shape (As shown in Fig.2). So it is
essential to extract boundary points from all measured
data. Once the boundary points are obtained, the
arbitrary shape surface can be reconstructed by
trimming the surface on the rectangle domain.
Now the common algorithms for boundary
extraction methods include: (1) directly extract
boundary information from measured points by 3-
dimension division. (2) project measured points on
plane, then search boundary points by square bounding
box. This method is adapted to extract boundary of
single value surface.
The surface to reconstruct is single value surface in
this paper, so the method (2) is used to extract
boundary points. The detailed steps in described in [7].
The result of extraction boundary points is shown in
Fig.10.

Fig.10 Distribution of boundary points
5. Surface reconstruction
Supposed the measured points excluding noise are
denoted with Dm = { Pi m , Z im , i = 1, 2, …, 813}. The
GRNN is again constructed with Dm, the steps are
given as follows.
net = newgrnn( Pi m , Z im , 0.005); %Construct GRNN
A=sim(net, Pi m i); %Calculate output value
e= Z im –A %Calculate approximation error
The result of reconstruction surface is shown in
Fig.11. The trimmed surface is shown in Fig.12. The
final reconstruction error is shown in Fig.13. The
maximum error is 6e-5.
Error value
No. of points
Fig.13 Error of surface reconstruction
6. Conclusions
It is demonstrated that surface reconstruction
method on the basis of generalized regression neural
net is practicable in this paper. The noise points can be
properly eliminated from measured points, and the
precision of surface reconstruction can be improved by
changing spread constant. Compared with other surface
reconstruction methods, the present method in this
paper has following characteristics: (1) the algorithm is
simpler; (2) the reconstruction precision is higher; (3)
the requirement for topological structure of measured
points is lower.

7. References
[1] Z. X. Sun, “Product design on the basis of reverse
engineering technique”, Journal of Shanxi University of
Technology, 2006, 22(2), pp. 7 - 9.
[2] X. M. Wu, G. X. Li, W. M. Zhao, “Surface reconstr-
uction aiming at points cloud data based on generalized
regression neural network”, Chinese Journal of Construction
Machinery, 2006, 4(2), pp. 150 - 153.
[3] Y. D. Yang, Y. Q. Zhou, T. S. Li, etc, “Method for curve
reconstruction based on radial basis function network”,
Fig.11 Reconstructed surface Computer Engineering and Design, 2007, 28(10), pp. 2405 -
2407.
[4] P. Gu, X. Yan, “Neural network approach to the
reconstruction of freeform surface for reverse engineering”,
Computer-Aided Design, 1995, 27(1), pp. 59 - 64.
[5] D. F. Spech, “A general regression neural network”,
IEEE Trans on Neural Networks, 1991, 2(6), pp. 568 - 576.
[6] Y. G. Fan, X. M. Liu, J. Chen, “Approach 0f NURBS
Free-fornl Surface Reconstruction from Scattered Data Based
on RBFNN”, Computer Engineering and Applications, 2005,
41(11), pp. 66 - 69.
[7] L. X. Gao, S. H. Qi, “Tool-path generation from the
scattered points”, China Mechanical Engineering, 2006,
17(11), pp. 1101 - 1104.
Fig.12 Trimmed surface

265
 2008 International Conference on Intelligent Computation Technology and Automation

The Improvement and Application of Lowry Model Based on Genetic

Algorithm

MENG Xianghai, QIN Guanming, XU Bin

School of Transportation Science and Engineering, Harbin Institute of Technology, P.O. Box
2525#, Hai-he Road 202, Nan-gang District, Harbin, Heilongjiang Province, 150090, China
E-mail:mengxianghai100@126.com

Abstract land use and employee of fundamental industries have

The population and employment distribution
functions of Lowry model are improved by introducing
the population adjustment factor and the employment
adjustment factor, which can develop greatly the
precise of the Lowry model. These two functions are
calibrated by genetic algorithm, and then the types of
land use that contribute greatly to these two
adjustment factors are determined by the multi-
stepwise regression analysis. According to the land use
in the target year, the population adjustment factor as
well as the employment adjustment factor can be
calculated. Furthermore, the number of population and
employment can be predicted by this improved Lowry
model. The results predicted can be taken as the
fundamental data for trip production forecast.
already been known, population of each traffic zone
that obtained from work and living trip distribution can
be used to determine the employee of non-fundamental
industries, which results in new urban activities and
new residents, thus producing an iterative process until
convergence. The process is shown in Figure 1.
3 Improvement of Lowry model
3.1 Improvement of employment distribution
function
Basic
Total employment
employment

1. Introduction Employment Iteration

distribution process
As an important influencing factor, population must
be determined or predicted firstly in planning process
of a transportation project. Traditionally, population Service
forecast is undertaken by analyzing the large quantities Total population
employment
of date surveyed or collected in an old city or an old Population
large area which already have their residents. But when distribution
faced with a new area expanded form the old urban, it
becomes difficult to predict the population because of
Figure 1. Process of the Lowry model
the lack of historical population data. Therefore, it
plays a very important role to find out some
methodologies to forecast the population for this kind Employment distribution function of Lowry model
of area and then to estimate the corresponding trip is used to solve such a problem that how employees
production exactly. choose their residential site. Based on this basic
function, a population adjustment factor is introduced
in to further describe this problem. The larger the
2. Review of Lowry model
population adjustment factor of a traffic zone is, the
more employees will select this zone to live in. Hence,
Lowry model based on economic theory was
the improved employment distribution function is
originally put forward by Lowry, an American scholar,
given as:
in the transportation planning of Pittsburgh City in
1964. Rationale of this model is: suppose scale of the

978-0-7695-3357-5/08 $25.00 © 2008 IEEE 266

DOI 10.1109/ICICTA.2008.403
 WPj ⋅ d ij- β (1)
Where, SEi is the service employment of zone i;
TE ij = E i ⋅ N γ is the service employment that each person needs.
∑ WP
K =1
k ⋅ d ik- β
The other variables are the same as the aforesaid ones.
Where, TEij is the number of employees who work
4 Program design for the Lowry model
in zone i but live in zone j; Ei is the total number of
improved
employees that zone i can provide; WP is the j

population adjustment factor for zone j; N is the 4.1 The methodology to determine the
number of traffic zones; d ij is the distance between parameters based on genetic algorithm
zone i and zone j; β is the parameter of the impedance Population adjustment factor, employment
of the impedance function. adjustment factor and parameter β of the impedance
Substituting the population that each employee can function are three parameters of the improved Lowry
bring up into the equation (1), the population who live model needed to be calibrated. If there are 100 traffic
in each traffic zone can be calculated by: zones, the number of parameters which are to be
N N WPi ⋅ dij-β calibrated is 201(100 × 2+1). And coefficient α and
Pi =α ⋅ ∑TEji =α ⋅ ∑E j ⋅ N
(2) coefficient γ should be settled beforehand.
j=1 j=1
∑WP ⋅ d k
-β
ik Adjustment factors are calibrated by genetic
k=1 algorithm, and its target function is determined basing
Where, Pi is the population of zone i; α is the on the maximum likelihood function. Before that was
number of people that each employee can bring up; the done, population and service employment of each
other variables are the same as the aforesaid ones. traffic zone are supposed to submit to normal
distribution, hence, probable density of which are
3.2 Improvement of population distribution given as:
function
Population distribution function of Lowry model is ( )
f Pi =
σ P 2π
1
((
exp - Pi - Pi )
2
2σ P
2

i
) (5)
used to solve such a problem that how employees i

(( )
choose their service site. Based on this basic function,
( ) )
1 2

2σSE
2
an employment adjustment factor is introduced in to f SEi = exp - SEi - SEi (6)
further describe this problem. The larger the σ
SEi
2π i

employment adjustment factor of a traffic zone is, the

Where, Pi and Pi are observation value and
more employees will choose this zone to receive
service. Hence, the improved population distribution calculation value of population for zone i; SEi and SEi
function is given as: are observation value and calculation value of service
WE j ⋅ d ij- β (3) employment for zone i; σ P2 and σ SE2
are observation
T Pij = Pi ⋅ N
i i

∑
k =1
WEk ⋅ d
-β
ik
variance of population and service employment for
zone i.
Observation value of population and service
Where, TPij is the number of employee who receive
employment number for each traffic zone are further
service from zone i to zone j; Pi is the total number of supposed to be independent identical distribution, so
population for zone i; WE is the employmentj
the Likelihood function can be expressed as:
adjustment factor for zone j. N ⎛ ⎞
( )
2
exp ⎜⎜ − Pi − Pi 2σ2 ⎟⎟ ×
1
Substituting the service employment number that L= 
i =1 σ P 2 π Pi
⎝ ⎠
each person needs into the equation (3), the service i ⎛ ⎞
N
( )
2 (7)
exp ⎜⎜ − SEi −SEi 2σ2 ⎟⎟
employment number for each traffic zone can be  1
calculated by: i =1 σSE 2 π ⎝
SEi
⎠
i
N N WEi ⋅ d-jiβ
SEi =γ ⋅ ∑TPji =γ ⋅ ∑P j ⋅ N
(4) Substituting the Eq.(2) and Eq.(4) into the Eq.(7)

∑WE ⋅ d
j=1 j=1 -β which has been carried on logarithms transformation,
k jk the optimal target function of genetic algorithm can be
k=1
expressed as:

267
 ⎛ ⎞
2 ⎛ ⎞
2 adjustment factor of all 50 traffic zones are completely
⎜ ⎟
N Pj ⋅WEi
⎜ ⎟
N E ⋅WP
⎜ ⎟ ⎜ ⎟
⎜ ⎟
γ⋅ ∑
⎜ ⎟ calibrated and partial results are shown in table 1.
α⋅ ∑ j i −Pi ⎟⎟
⎜ ⎜
−SEi ⎟⎟
⎜
⎜ β ⎟
⎜
⎜ β ⎟
From the result we know, the relative error for
N ⎜j=1 d ji ⎟
N j=1 d ji
⎜
⎜
⎟
⎟

∑ +∑
⎜ ⎟
⎛ ⎞ ⎜ ⎟ ⎜ ⎟
Max ⎜ lnL⎟= ⎝ ⎠ ⎝ ⎠
(8) population and service employment of 80% traffic
⎝ ⎠
i=1 σ 2
Pi i=1 σ SE
2
zones are all within 10%, furthermore, the relative
i
error of the total number of population and service
employment are only 2.79% and 1.56%, which satisfy
4.2 The determination of the basic parameters the precision request.
for genetic algorithm and the calibration of the
adjustment factor
Parameters for genetic algorithm that realized by
VB programming are determined as follows: the
population size takes 100; the crossover probability
takes 0.6; the mutation probability takes 0.08; the
adjustment factor searches extent for [0,5]; the
impedance of parameter searches extent for [0,1]; the
iteration number of times take 1000. The procedure
interface is showed in figure 2.
Parameters for genetic algorithm can obtained
through an experimentation process from survey date,
which comes from residential trip O-D in Liaoyang
city, Liaoning province, china, in 2005. The population
Figure 2. Dialog box of GA
adjustment factor as well as the employment
Table 1. Adjustment factors calibrated and the relative errors
Adjustment factor Error analysis of population Error analysis of service employee
zone Population Employment
Observation Calculation Relative Observation Calculation Relative
adjustment adjustment
value value error (%) value value error(%)
factor factor
1 0.018 0.015 4001 4493 12.30 1181 1274 7.87
2 0.020 0.002 4823 4903 1.66 263 178 -32.32
3 0.022 0.040 5800 6223 7.29 3367 3638 8.05
4 0.021 0.059 6420 6266 -2.40 5482 5349 -2.43
5 0.019 0.042 5935 5285 -10.95 3846 3623 -5.80
… …… …… …… …… …… …… …… ……
46 0.027 0.009 5239 4986 -4.83 515 558 8.35
47 0.035 0.008 5572 5833 4.68 332 465 40.06
48 0.041 0.001 4910 5426 10.51 218 54 -75.23
49 0.011 0.003 1490 1465 -1.68 25 146 484.00
50 0.003 0.010 482 823 70.75 337 491 45.70
Total 387980 398794 2.79 105558 107200 1.56
indicate that population adjustment factor of each
4.3 Relationship between adjustment factors traffic zone mainly connects with residential land use,
and land use municipal facilities land use and educational research
According to the results of adjustment factors and land use; employment adjustment factor mainly
land use calibrated in present year in table 1, the types connects with commercial land use, health and medical
of land use which contribute greatly to the population service land use and administrative office land use,
adjustment factor and the employment adjustment which agree with actual meaning of adjustment factors.
factor are determined through SPSS statistics software Correlations between adjustment factors and land use
by multi-stepwise regression analysis. The results are showed in equation (9) and equation (10).Unit:
Hectare:

268
 forecast model are built up respectively. For elastic
WP =0.01⋅ RE +0.01⋅ MU +0.03⋅ ED +0.013
i i i i (9) trip, we introduce in effect function to indicant
Where, WPi is the population adjustment factor of influence that peripheral zone effect to the central
zone, in which employment is an important influencing
zone i; REi , MU i and EDi are residential land use, factor. Trip generation forecast model for different trip
municipal facilities land use and educational research purpose can be expressed as follows:
land use. G = 2.51 ⋅ P + 1258
iW (11)
WE =0.01⋅ CO +0.01⋅ ME +0.01⋅ AD +0.017 iW
i i i i (10)
Where, WEi is the employment adjustment factor of
G = 2.87 ⋅ P + 755
iS iS (12)
zone i; COi , MEi and ADi are commercial land use,
N PEj j
health and medical service land use and administrative G =0.55⋅ P +0.60⋅ E +0.001⋅ ∑ -1571 (13)
iT i i
office land use. j =1 dij

4.4 Program designed for calculating the Where, GiW , GiS and GiT are trip volume(No. per
improved Lowry model day) to work trip, schooling trip and elastic trip of zone
Taking the adjustment factor calibrated from 4.2 i; PiW and PiS are population number of work and
section to Lowry model, one examines whether it's schooling; Pi and Ei are total number of population
superior or inferior to distribution function; the other
and total number of employment for zone i. The other
examines iterative convergence accuracy of the
variables are the same as the aforesaid ones.
improved Lowry model. The iterative calculation
process of Lowry model is realized by macro of Excel
loading, which is showed in figure 3 6 Case study
This paper takes the loan item,” Research on
transportation demand analysis of traffic foundation
facilities in Jinzhou city” from The World Bank in
Liaoning province, as an example to carry on a case
study.
In the process of transportation demand analysis,
the planning areas of Jinzhou city are totally divided
into 80 zones, and areas of different land use and
fundamental employees are ascertained from urban
overall planning.
Figure 3. Interface of Lowry model 6.1 Population and employee calculated
Carrying on a calculation to 50 traffic zones that
mentioned above and calculating way converge after First, according to Eq.(9),(10) and kinds of land use,
20 iterative times. The results show that accuracy of population adjustment factor and employment
population and employment for different zones that adjustment factor for each traffic zone can be
calculated by the Lowry model is very high; the calculated. Second, in view of the fact of Jinzhou city,
relative errors are 0.23% and-0.53%. take coefficient α, β, γ which are 4.4, 0.42 and 0.10
into the improvement Lowry model. The last,
5 Trip generation forecast model circulating this improved Lowry model to get
population and employment for each traffic zone in
First, trip production is divided into 3 types for 2010. The results are shown in table2.
different trip purpose: work trip, schooling trip and
elastic trip. Then, according to that trip production
Table 2. The number of population and employee computed
zone 1 2 3 4 5 …… 76 77 78 79 80 Total
Population(person) 6924 2415 6027 7591 3548 …… 4561 443 284 4415 598 830861
Employment(No.) 64 1248 1503 453 411 …… 205 19 12 69 22 188832

269

6.2 Results of trip production
From trip production forecast equation for different
trip purpose, we know that the model needs to be input
the number of work and schooling, and then it could
calculate trip volume related. The number of work and
schooling can be ascertained through multiplying
population by a corresponding proportion. The ratio
that employment and school number of a city in each
year share the total number of population doesn’t float
greatly, and the float has no correlation with economic
index, which is shown in figure 4. (The data comes
from the statistics yearbook of Liaoning province in
2005).
人均GDP(千元) 就业人数占总人数百分比
18
16
14
12
10
corresponding trip volume. The results of residential
trip production volume for different trip purposes in
2010 are shown in table 3.
7. Summary
The population and employment of the target year
should be predicted firstly for the urban transportation
demand analysis, especially to those new areas that we
can’t obtain continuous historical population data and
continuous historical employment data. In order to
solve this problem, the main body of this paper does
research on relationship between land use——
population and employment distribution——residential
人均GDP(千元) 就学人数占总人数百分比 production trip volume by improving population
18
16
adjustment factor and employment adjustment factor of
14 the Lowry model; and also use genetic algorithm to
12 calibrate population adjustment factor and employment
10

8
adjustment factor, which determine the relationship of
8
6 6 population, employment adjustment factor and land
4 4 use. Based on these basic rationales, iterative process
2 2
0 0
of the improved Lowry model is realized by computer
1995 1996 1997 1998 1999 2000 2001 2002 2003 2004
年份
1995 1996 1997 1998 1999 2000 2001 2002 2003 2004
年份
programming, and the results predicted can be taken as
the fundamental data for trip production forecast. In
Figure 4. GDP, employment ratio and student ratio of view of case study, we can see this methodology can be
Jinzhou in recent 10 years effectively applied to the actual project and it gets high
Table 3. Production predicted for each trip purpose accuracy.
work trip school trip Elastic trip
zone Total
(No./day) (No./day) (No./day) 8. References
1 9400 3115 2553 15068
2 4062 1578 1417 7057
3 8338 2809 2521 13668 [1] GAO Feng and RONG Gang. "Parameter Rules in GA
4 10189 3342 2677 16208 and it’s Application in Analyzing an Instance of Model
5 5403 1964 1711 9078 Identification."Mechanical & Engineering Magazine, (2003),
…… …… …… …… …… 20(3), 31-33.
76 6602 2309 1912 10824
77 1727 906 730 3363 [2] LIU Chanqi. "Modern Transportation Planning." China
78 1539 852 750 3140 Communication Press, (2001), 63-66.
79 6430 2260 1875 10565
80 1911 959 821 3692 [3] SHI Fei, JIANG Wei. "Research on forecast method for
traffic creating based on characteristic of land utilizing."
In the case, employment ratio and student ratio take
China civil engineering journal, (2005), (3), 115-124.
the average value of the recent 10 years which are
45.21% and 16%. According to The total population [4] YANG Ming and QU Dayi. "Research on the
that obtained from 6.2 section computed, we can get Relationship between Urban Land Use and Traffic Demand."
employment and student number immediately. Taking Journal of Highway and Transportation Research and
the results into Eq.(11) and Eq.(12), we gain a Development, (2002), (2), 72-75.

270
 2008 International Conference on Intelligent Computation Technology and Automation
Total Least Square Support Vector Machine for Regression
Guanghui Fu
School of Mathematics and Statistics
Yunnan University, Kunming 650091
fghui@mail.ynu.edu.cn
Abstract
In this paper, we proposed a new support vector machine
for linear regression in the total least square sense(TLS-
SVR). Mathematical technique taken in the total least
square situations is more complicated than traditional least
square method. Our new algorithm deriving from TLS-SVR
results in solving a nonlinear equations by using Newton
mathod. The results of computer simulations are given to il-
lustrate that this TLS-SVR outperforms the commonly used
least square regression.
1. Introduction
Optimal fitting problems exist in lots of engineering ar-
eas. For example, a set of given data points needs to be
fitted with a line or curve in computer vision. Generally,
such problems are solved by using the Least Square(LS)
method which has been a very mature approach, for it just
needs to deal with simple linear equations. We note that
the LS method is based on an assumption that just a part of
components of the n-dimensional data points contain errors
while the rest are accurate(their errors are ignored). Take a
sample point P = [x, y]T as an example, it means that just
measurement y has error while x hasn’t when treated with
the LS method. However, the errors of all the components
of data points can not be neglected in some cases. So we
should employ another method, namely so-called total least
square(TLS) method[2] when encounter such cases. TLS
method is a generalization of the least square approxima-
tion method when all the features contain measure errors.
The total least square method has widely used in many
fields. In the field of numerical analysis, this problem was
first studied by Golub and Van Loan [1]. Their analysis,
as well as their algorithm, are based on the singular value
decomposition. Geometrical insight into the properties of
the singular value decomposition brought Staar [3] inde-
∗ corresponding author.
978-0-7695-3357-5/08 $25.00 © 2008 IEEE
DOI 10.1109/ICICTA.2008.134
Guanghua Hu∗
School of Mathematics and Statistics
Yunnan University, Kunming 650091
hugh@ynu.edu.cn
pendently to the same concept. Van Huffel and Vandewalle
[4] generalized the algorithm of Golub and Van Loan to all
cases in which their algorithm fails to produce a solution,
described the properties of these so-called nongeneric total
least-squares problems and proved that the proposed gener-
alization still satisfies the total least-squares criteria if ad-
ditional constraints are imposed on the solution space. In
engineering fields, for example, experimental modal anal-
ysis, the total least-squares technique was also introduced
about 20 years ago by Leuridan et al[5]. In the field of
system identification, Levin [6] first studied the problem.
His method, called the eigenvector method or Koopmans-
Levin method [7], computes the same estimate as the to-
tal least squares algorithm whenever the total least-squares
problem has a unique solution. Furthermore, in the area of
signal processing, the minimum norm method proposed by
Kumaresan and Tufts [8] was introduced and shown to be
equivalent to minimum norm total least squares, see Dowl-
ing and Degroat [9]. Finally, the total least-squares ap-
proach is tightly related to the maximum likelihood princi-
pal component analysis method introduced in chemometrics
by Wentzell et al. [10,11].
Support vector machine(SVM) has become a popular
and powerful technique in machine learning fields. SVM
was initially exploited for pattern recognition [17,18], now
it has been introduced to solve the regression problems.
For example, B.Schölkopf et al presented ν − SV M [14],
J.A.K. Suykens et al introduced Least Square Support Vec-
tor Machine(LS-SVM) [15]. In this paper,we proposed
a new Total Least Square Support Vector Machine for
Regression(TLS-SVM),which can be regarded as the gen-
eralization of the LS-SVM.
The remainder of the paper is organized as follows: Sec-
tion 2 introduces the idea of least square method and total
least square method. Section 3 describes the support vector
technique for regression. Section 4 explains the idea of total
least square support vector machine for regression. Section
5 describes the experiments and the experimental results of
the performance. And finally, in section 6, we summarize
and conclude the paper.
271
 Equation(2) is the exact idea of the Total Least Square(TLS)
method[16].
Now considering the n-dimensional data set(the same
P(xi,yi) case with the 2-dimension). We still adopt S =
{(xi , yi )|i = 1, 2, · · ·, l} to denote the given data set and
r
|ei|
i
let the fitting hyperplane is:

f (x) = wT x + b (3)

Thus the objective function( equation (2))under the total

least square sense can be expressed as follows:

E(ŵ, b̂) = min{E(w, b)} (4)

w,b

where
Figure 1. To fit data points with a line, LS
l

method minimizes the sum of |ei |, while TLS |yi − wT xi − b|
method minimizes the sum of ri E(w, b) = ri2 , ri = √
i=1
1 + wT w

3. Support Vector Regression

2. (Total) Least Square Method
Support vector machines(SVM), which is motivated by
The problems of using a linear or nonlinear model to fit
the results of statistical learning theory [12], has becom-
a given data set are often encountered in lots of engineering
ing more and more important machine learning algorithm.
fields. For example, we need to find a line model y = kx+b
SVM was initially exploited for pattern recognition by Vap-
to fit the given 2-dimensional data set S = {(xi , yi )|i =
nik et al. [17,18]. In order to use support vector machine in
1, 2, · · ·, l}. Such problems are commonly solved by us-
regression field, Vapnik devised the so-called ε−insensitive
ing the Least Square(LS) method and finally transformed to
loss function:
estimate k̂, b̂ such that

E1 (k̂, b̂) = min{E1 (k, b)} 0 if |y − f (x)| ≤ ε,
(1) L(y, f (x)) =
k,b |y − f (x)| − ε if |y − f (x)| > ε.
where
which does not penalize errors when the difference be-
l
 low some chosen ε(ε > 0), where f (x) = wT x + b. So
E1 (k, b) = e2i , ei = yi − kxi − b for the given supervised independent and indentically dis-
i=1
tribuded (i.i.d) data set:
|ei | is the absolute length of a vertical bar from point pi =
(xi , yi ) to the fitting line(see figure 1). S = {(x1 , y1 ), (x2 , y2 ), · · · , (xl , yl )}
The equation(1) means ”to minimize the sum of the
squared lengths of all the vertical bars” and the LS method there is following constrained optimization objective(see
is based on an assumption that only the measurements figure 2):
yi contain errors while the measurements xi are accurate.  l
1
However,both measurements xi and yi contain errors which min E(w, ξ, ξ ∗ ) = w2 + C (ξi + ξi∗ ) (5)
can not be ignored in some cases such as computer vision. 2 i=1
In this situation, the optimal way should be ”to minimize the
sum of the squared distances ri from point pi to the fitting subject to
line”(see figure 1) and the objective function should be
(wT xi + b) − yi ≤ ε + ξi (6)
E2 (k̂, b̂) = min{E2 (k, b)} (2)
k,b yi − (wT xi + b) ≤ ε + ξi∗ (7)
where ξi , ξi∗ ≥0 i = 1, 2, · · · , l (8)
l
 |yi − kxi − b| Where C is the chosen coefficient, ξ = [ξ1 , ξ2 , · · · , ξl ]T ,
E2 (k, b) = ri2 , ri = √
i=1
1 + k2 ξ ∗ = [ξ1∗ , ξ2∗ , · · · , ξl∗ ]T .

272
 subject to
+ε
0 yi − ((w · xi ) + b) = ξi , i = 1, 2, · · · , l (13)
−ε
Where C is the chosen coefficient, ξ = [ξ1 , ξ2 , · · · , ξl ]T ,
ξ ξi (i = 1, 2, · · · , l) is the difference between the sample
points (xi , yi ) and the regression function f (x) = wT x+b.

4. Total Least Square Support Vector

Regression(TLS-SVR)

In this section, we presented a new support vector ma-

Figure 2. In support vector regression, given chine for regression under total least square sense, we call it
a specified priori ε, then try to fit a tube with TLS-SVR, which has the similar form with LS-SVM men-
radius ε to the data.The trade-off between tioned above. the purpose of TLS-SVR is to fit the given
model complexity and points lying outside i.i.d. data set S = {(x1 , y1 ), (x2 , y2 ), · · · , (xl , yl )} with a
the tube( with positive slack variables ξ ) are line(or superplane) f (x) = wT x + b under the total least
confined by the constrained inequalites . square sense. Similarly with the formula (12), we have fol-
lowing optimization minimal objective:
l
By taking the Lagrange multiplier method, we can show 1 C 2
min E(w, b) = w2 + r (14)
that the objective (5) leads to the following dual optimiza- 2 2 i=1 i
tion problem [19]:
subject to

1  ∗
l
|yi − wT xi − b|
min W (α, α∗ ) = (α − αi )(αj∗ − αj )xTi xj ri = √ , i = 1, 2, · · · , l (15)
2 i,j=1 i 1 + wT w
l
 Where C is the chosen coefficient.
+ε (αi∗ + αi ) (9) For the convenience, we firstly introduce some notations,
i=1 let
    l  
l
 1 ȳ 1  yi
− yi (αi∗ − αi ) a= , =
−w x̄ l xi
i=1
i=1

subject to ⎡ ⎤

l
l
yi2 yi xTi ⎥  2 
l
 1⎢
⎢ i=1 i=1 ⎥ , K̄ = ȳ ȳx̄T
(αi∗ K̂ =
− αi ) = 0 (10) l⎣
l l ⎦ ȳx̄ x̄x̄T
i=1 yi xi xi xTi
i=1 i=1
0 ≤ αi , αi∗ ≤ C i = 1, 2, · · · , l (11)  
K11 K1n
Where α = [α1 , α2 , · · · , αl ]T , α∗ = [α1∗ , α2∗ , · · · , αl∗ ]T K = K̂ − K̄ =
Kn1 Knn
are the Lagrange multiplier vectors of the corresponding
slack variables ξ, ξ ∗ . From this dual optimization pro- Where K11 is a number, K1n ∈ R1×(n−1) , Kn1 ∈
gramming, we can easily obtain the solutions of variables R(n−1)×1 , Knn ∈ R(n−1)×(n−1) . K is a symmetric ma-
w and b. Thus we get the regression estimate function trix, so KT1n = Kn1 .
f (x) = wT x + b. Thus
After that, many academicians presented a lot of kinds
support vector machines for regression. For example, l
1 
B.Schölkopf et al proposed ν − SV M [14], J.A.K. Suykens E(w, b) = w2 +
C
(yi − wT x − b)2
2 T
2(1 + w w) i=1
et al introduced Least Square Support Vector Machine(LS-
SVM) [15], which is to solve the minimum as follows: l
   2
1 C yi
= w2 + a T
− b
1
l
C 2 2 2(1 + wT w) xi
min E(w, ξ) = w2 + ξ (12) i=1
2 2 i=1 i (16)

273
 We can obtain 14
 
dE(w, b) ȳ 12

= −2laT + 2lb (17)

db x̄ 10

then set it equal to zero, thus 6

  4

y
ȳ
b = aT (18) 2
x̄ 0

−2
Taking (18) into (16), E(w, b) reads
−4

−6
−1 0 1 2 3 4
1 lC x
E(w, b) = w2 +
2 2(1 + wT w)
 l   T Figure 3. The 301 samples, which come from
1  T yi yi
× a a the model y = 2x + 1, are disturbed by the
l i=1 xi xi Gaussian noises.
  T 
T ȳ ȳ
−a a
x̄ x̄
step 1: For the given data points, to compute the
1 lC
= w2 + (aT K̂a − aT K̄a) derivative of the optimization objective with the parameter
2 2(1 + wT w) vector w;
1 lC step 2: For the given coefficient C, to solve the nonlin-
= w2 +
2 2(1 + wT w) ear equations F (w) = 0 by using the Newton method,thus
×(K11 − 2wT Kn1 + wT Knn w) we obtain the w;
step 3: To calculate b by taking the formula (18),thus
(19)
we obtain the regression model f (x) = wT x + b.
Let q(w) = K11 − 2wT Kn1 + wT Knn w. We can
seek the optimal w by taking the derivatives of the opti- 5. Experiment Simulations on Line Regression
mization objective with respect to the parameters w and set
them equal to the zero vector We generate an artificial data set S = {(xi , yi )|i =
1, 2, · · · , 301} which satisfies line function y = 2x + 1. On
this pure data set, both LS method and our presented TLS-
∂E(w, b) lC
= w+ (Knn w − Kn1 ) SVR method can give the perfect solution, and this simple
∂w 1 + wT w case is not considered here. Indeed,what we are interested
lCq(w) in is the case when Gaussian noise is added to S according
− w
(1 + wT w)2 to the following formulas:
lC(1 + wT w)
= w+ x = x + nx , y = y + ny
(1 + wT w)2 − lCq(w)
× (Knn w − Kn1 ) Where E(nx ) = 0, V ar(nx ) = 0.3, E(ny ) =
= 0 (20) 0, V ar(ny ) = 2 (see figure 3). Experiment simulations are
conducted on the noise sample set by using both LS method
If we introduce the notation and our presented TLS-SVR method.
1. LS: we firstly seek the solution of the noised data by
lC(1 + wT w)
F (w) = (Knn w − Kn1 ) + w using the standard LS method with a line model y = wx+b,
(1 + wT w)2 − lCq(w) where w, b are the parameters. We obtain w = 2.1508, b =
(21)
0.8716 (see Table 1, Figure 4).
thus we get
2. TLS-SVR: As mentioned in section 4, if we chosen
F (w) = 0 (22)
the parameter C(In this case, C = 0.0047), the method
Equation (22) denotes a nonlinear equations with respect to we proposed comes down to solve a nonlinear equations
vector variables w, thus we can get the solution by taking set, and we can take Newton method to obtain the solution:
the Newton method. According to the analysis as above , w = 2.0619, b = 1.0042.(see Table 1, Figure 4).
we get the following algorithm:

274
 [4] S. Van Huffel, J. Vandewalle. Analysis and solution
14
Data points of the nongeneric total least squares problem. SIAM J. Ma-
12 Ideal
TLS−SVR LS
trix Anal. Appl. 9 (1988) 360-372.
10 LS [5] J. Leuridan, D. De Vis, H. Van Der Auweraer, F.
8 Lembregts. A comparison of some frequency response
6
function measurement techniques. in: Proceedings of the
Ideal Fourth International Modal Analysis Conference, 1986, pp.
4
Y

TLS−SVR
908-918.
2 [6] M. Levin, Estimation of a system pulse transfer func-
0 tion in the presence of noise. IEEE Trans. Automat. Con-
−2
trol 9 (1964) 229-235.
[7] K. Fernando, H. Nicholson, Identification of linear
−4
systems with input and output noise: the Koopmans-Levin
−6
−1 0 1 2 3 4 method. IEE Proc. D 132 (1985) 30-36.
X [8] R. Kumaresan, D. Tufts. Estimating the angles of ar-
rival of multiple plane waves, IEEE Trans. Aerospace Elec-
Figure 4. The line regression results by LS, tronic Systems 19 (1) (1983) 134-139.
TLS-SVR are visualized in comparison with [9] E. Dowling, R. Degroat. The equivalence of the to-
the ideal which is plotted as the solid line. tal leastsquares and minimum norm methods. IEEE Trans.
Signal Process. 39 (1991) 1891-1892.
[10] P. Wentzell, D. Andrews, D. Hamilton, K. Faber, B.
Kowalski. Maximum likelihood principle component anal-
ysis, J. Chemometrics 11 (1997) 339-366.
Table 1 [11] M. Schuermans, I. Markovsky, P. Wentzell, S. Van
w b E(w,b)
Huffel. On the equivalence between total least squares and
Ideal 2 1
maximum likelihood PCA, Anal. Chim. Acta 544 (2005)
LS 2.1508 0.8716 1.2284 × 103
254-267.
TLS-SVR 2.0619 1.0042 2.6763
[12] Vapnik, V.N.,Statistical learning theory. John Wiley,
New York(1998).
6. Conclusion [13] B.Schölkopf,A.J.Smona,K.R.Müller:Nonlinear
component analysis as a kernel eigenvalue problem.Neural
In this paper, we proposed a method to fit a set of data Comput.1998,10:1299-1319.
points with a linear modeling in total least square method [14] B.Schölkopf et al. New Support Vector Algorithm
sense. The new method for linear regression finally needs to Neural Computation 12,1207-1245 (2000).
solve a nonlinear equations by using Newton method. From [15] J.A.K. Suykens et al. Least Square Support Vector
the results of experiments, the algorithm is acceptable and Machine Classifier.(1999).
available. our proposed TLS-SVR outperforms the tradi- [16] Golub,G.,Van Loan,C.:Matrix computations.Johns
tionally used least square regression in our computer sim- Hopkings University Press(1983).
ulation. however, the new method just works on the linear [17] Vapnik, V., Chervonenkis, A. Theory of pattern
regression case, how to generalize this method to the non- recognition. Nauka: Moscow(1974).
linear modeling deserves further effort. [18] Boser, B. E., Guyon, I. M., Vapnik, V. N. A train-
ing algorithm for optimal margin classi.ers. In D. Haus-
References sler (Ed.), Proceedings of the 5th Annual ACM Workshop
on Computational Learning Theory (pp. 144C152). Pitts-
burgh, PA: ACM Press(1992).
[1] G. Golub, C. Van Loan. An analysis of the total least [19] Vapnik, V.N., The nature of statistical learning the-
squares problem. SIAM J. Numer. Anal. 17 (1980) 883- ory. New York: Springer- Verlag(1995).
893.
[2] Pearson,K.:On lines and plane of closest fit to sys-
tems of points in space. Phi.Mag. 1901,2:559-572.
[3] J. Staar. Concepts for reliable modelling of linear
systems with application to on-line identification of multi-
variable state space descriptions. Ph.D. Thesis, Department
EE, K.U. Leuven, Belgium, 1982.

275
 Session 3

Control Theory
and Application

ICICTA 2008
 2008 International Conference on Intelligent Computation Technology and Automation

A Simplified Algorithm for Dynamic Matrix Control with PID Structure

Ping Ren1, Guang-Yi Chen2, Hai-Long Pei1

College of Automation Science and Engineering, South China University of Technology,
Guangzhou 510640, China
2
Department of Automation, Foshan University, Foshan 528200, China
crystalping11@gmail.com ,cgyi977@sohu.com

Abstract required for the PID-DMC algorithm is more than that

in traditional
A dynamic matrix control with PID structure (PID- DMC strategies. So a simplified algorithm is presented
DMC) is derived by adding proportion, integral and to deal with reducing the computational load .Further
differential structure to the conventional cost function. more, it could simplify the complexity of online
However the complicated inversion computation of implementation and enlarge its application areas.
higher dimensional matrix is involved in the PID-DMC
and it restrains the on-line application. This paper is 2. The derivation of PID-DMC algorithm
devoted to decreasing computational complexity by
exploring its internal mechanism and puts forward a The predictive model of system output are
simplified algorithm, which softens the input signals by represented by
constraining the rolling optimization sequence of the Ym(t  1) A'U (t )  A0U (t  1) (1)
controller .This simplified algorithm avoids Where, 'U (t ) is unknown control increment vector.
complexities of calculating the matrix inversion and
just needs to take the reciprocal of a number. The Ym(t  1) is the output vector of predictive model in
simulation results demonstrate the feasibility and futuristic P instants under the action of 'U (t ) at future
effectiveness of this simplified algorithm instants. U (t  1) is the known control vector.
Ym(t  1) [ ym (t  1), ym (t  2),..., ym (t  P )]T
1. Introduction
'U (t ) ['u (t ), 'u (t  1),..., 'u (t  M  1)]T
The dynamic matrix control (DMC) is an important U (t  1) [u (t  N  1), u (t  N  2),..., u (t  1)]T
algorithm of model predictive control, which is based
ª a1 0 " 0 º
on step response prediction model. And the design and «a »
adjusting of DMC are very convenient[1] . On the other « 2 a1 " 0 »
A
hand, the conventional proportion-integral-differential «# # % # »
(PID) control still continues to be widely used for most « »
¬ aP aP 1 " aP  M 1 ¼ Pu M
industrial control systems. This is mainly because PID ;
controllers have simple control structures, strong ª aN  aN 1 aN 1  aN  2 " a2 º
robustness, and are easy to implement[2]. Based on « 0 aN  aN 1 " a3 »»
combining the advantages of prediction function in A0 «
« # # % # »
DMC with feedback structure of PID, a dynamic « »
matrix control with PID structure (PID-DMC) is ¬ 0 0 " aP 1 ¼ Pu M
derived by introducing the function of proportion, P is the predictive horizon; M is the control horizon;
integral and differential into the conventional cost A is the PhM Dynamic Matrix. ai (i=1, 2,…, N) are
function. However, the DMC algorithm has some
the coefficients of step response of the system at each
shortcomings itself, such as the inversion computation
sampling instant T, 2T, …, NT. N is time domain
of higher dimensional matrix and the computation
length of model.

978-0-7695-3357-5/08 $25.00 © 2008 IEEE 279

DOI 10.1109/ICICTA.2008.373
 As interference and error exist in the predictive 'E0 (t ) 'Yp(t 1)  'Yr(t 1) ['e0 (t 1),..., 'e0 (t  P)]T (11)
model output, after being compensated by the
'2 E0 (t) '2Yp(t 1) '2Yr(t 1) ['2e0 (t 1),..., '2e0 (t  P)]T (12)
measured error, the prediction of output can be
computed as: By substituting (10), (11), (12) into (5), the new
Yp (t  1) Ym(t  1)  h[ y (t )  ym (t )] cost function could be rewritten as
(2) J E0 (t )T KiE0 (t )  'E0 (t )T Kp'E0 (t )
A'U (t )  A0U (t  1)  he(t ) (13)
Where, ' 2 E0 (t )T Kd ' 2 E0 (t )  'U (t )T O'U (t )
Yp (t  1) is predictive output vector, According to (6), (7), (11) and (12), we can obtain,
Yp (t  1) [ y p (t  1), y p (t  2),..., y p (t  P)]T ; 'e0 (t  i ) 'y p (t  i )  'yr (t  i )
h is coefficient of recursive error; y p (t  i )  yr (t  i )  ( y p (t  i  1)  yr (t  i  1)) (14)
e(t ) is the error between the actual and predicted
e0 (t  i )  e0 (t  i  1)
model output at time t;
e(t ) y (t )  ym (t ) (3) In the same way,
The cost function of conventional DMC ' 2 e0 (t  i ) 'e0 (t  i )  'e0 (t  i  1) (15)
J [Yp (t  1)  Yr (t  1)]T Q[Yp (t  1)  Yr (t  1)]
(4) Specially, define e0 (t ) 'e0 (t ) 0
'U (t )T O'U (t )
Where, Introduce a matrix
Q is the error weighting matrix;
ª1 0º
 is the control weighting matrix; « 1 1 »
Yr (t  1) is the desired reference trajectory, S « »
« % % »
Yr(t 1) [ yr (t 1), yr (t  2),..., yr (t  P)] .
T
« »
¬0 1 1 ¼ Pu P
Through analyzing the conventional cost function,
we could discover that it only contains the integral Then,
function; hence, PID-DMC algorithm introduces the
functions of proportion, integral and differential into ­°'E0 (t ) SE0 (t )
® 2 (16)
the cost function. Then a new cost function is obtained, °̄' E0 (t ) S 'E0 (t ) S 2 E0 (t )
J [Yp(t 1)  Yr (t 1)]T Ki[Yp(t 1)  Yr (t 1)] 
Substituting the (16) into (13), we can get cost
['Yp(t 1)  'Yr(t 1)]T Kp['Yp(t  1)  'Yr (t 1)]  function as following
['2Yp(t 1)  '2Yr(t 1)]T Kd['2Yp(t 1)  '2Yr(t 1)] 
J E0 (t )T KiE0 (t )  E0 (t )T S T KpSE0 (t )
'U (t)T O'U (t ) (5)  E0 (t )T ( S 2 )T Kd ( S 2 ) E0 (t )  'U (t )T O'U (t ) (17)
Where
E0 (t )T RE0 (t )  'U (t )T O'U (t )
'Yp (t  1) ['y p (t  1), 'y p (t  2),..., 'y p (t  P)] T

Where, R KiI  KpS T S  Kd ( S 2 )T S 2

'Yr (t  1) ['yr (t  1), 'yr (t  2),..., 'yr (t  P )]T
Differentiating (17) with respect to 'U (t ) and
' 2Yp (t  1) [' 2 y p (t  1), ' 2 y p (t  2),}, ' 2 y p (t  P)]T
setting this equal to zero, we obtain the optimal control:
' 2Yr (t  1) [' 2 yr (t  1), ' 2 yr (t  2),}, ' 2 yr (t  P)]T 'U (t) (OI  AT RA)1 AT R[Yr(t 1)  A0U (t 1)  he(t)] (18)
'y p (t  i ) y p (t  i )  y p (t  i  1) (6)
Fetch DT [10" 0]1u P ,
'yr (t  i ) yr (t  i )  yr (t  i  1) (7)
' 2 y p (t  i ) 'y p (t  i )  'y p (t  i  1) (8) Then the demanded control increment could be
obtained,
' 2 yr (t  i )'yr (t  i )  'yr (t  i  1) (9)
i 1, 2,! , P 'u(t) DT (OI  AT RA)1 AT R[Yr(t 1)  A0U (t 1)  he(t)] (19)
Kp,Ki,Kd are proportion, integral, differential factor,
respectively. 3. A simplified PID-DMC algorithm
Define
E0 (t ) Yp (t  1)  Yr (t  1) [e0 (t  1),..., e0 (t  P)]T (10)

280
3.1. A simplified algorithm
In the theory of predictive control, it uses output
reference trajectory to soften output. This method can
be extended in softening the input control actions. The
characteristic of model predictive control lies in
adopting rolling optimization strategy. So it is feasible
to soften the input signals by constraining the rolling
optimization sequence of the controller. It is hoped that
the control increment tends to 0 smoothly in control
horizon (M) and has little change out of control
horizon. The adjustment is just in M steps. Based on
this, we put forward a design scheme to make the
control increment u(t+j) (j=0, 1, 2,Ă, M) tend to 0
smoothly as demonstrated in the Figure1. It gives a
clear vision of the changed tendency for u(t) as
expected.
complexities could further satisfy the real time control
requirement. The simplified algorithm in this paper
softens the input signals by constraining the rolling
optimization sequence of the controller and subtly
avoids calculating the inverse matrix. And that could
be easily discovered by comparing (19) and (23),
(OI  AT RA) in (19) is a matrix of the dimension MhM,
and its inverse operation is very complex. However,
( A1T O A1  A2T RA 2 ) in (23), is just a scalar, since
A2 A ˜ A1 is a column vector of dimension Ph1, and
its inverse operation is very simple, that is just taking
the reciprocal of a number. Compared to inversion
computation of matrix, it is obvious that this simplified
algorithm reduces the computational load greatly.
4. Simulation study
This mode is used for the following simulations,
5
G ( s)
s 2  30 s  1

4.1. Study on the effect of different k, q on the

output
Figure 1. Changed tendency for u(t)
According to picture 1, in order to make u(t+j) The design parameters:
come to 0 in M steps little by little, the control M 4, P 40, kp 0.5, ki 0.8, kd 5.6
increment in our design scheme could be designed as control scheme 1: k=8, q=2(curve 1),
k q control scheme 2: k=8, q=4(curve 2),
'u (t  j ) ( ) ' u (t ) (20)
k j control scheme 3: k=14, q=4(curve 3),
Where,
k>0, q>1 are considered as designed parameters,
j=0, 1, 2,Ă, M-1,
The above equation (20) can be expressed in the
vector form,
k q k
'U (t ) [1,( ) ,...,( )q ]T 'u(t )  A1'u(t ) (21)
k 1 k  M 1
k q k
Where, A1 [1, ( ) ,..., ( ) q ]T
k 1 k  M 1
Then the prediction of output (2) can be rewritten as
Yp (t  1) AA1'u (t )  A0U (t  1)  he(t )
(22)
A2 'u (t )  A0U (t  1)  he(t )
Where, A2 A ˜ A1
By substituting (22) into cost function (17), through Figure 2. Output curves comparison between scheme 1
simplifying finally we can get as follows and 2
'u(t) (A1T OA1  A2T RA2)1 A2T RY[ r(t 1)  AU
0 (t 1)  he(t)] (23)

3.2. Analysis of the simplified algorithm

The reduction in computational load is significant in

improving the algorithm. Simplifying mathematical

281
 Generally, the simplified algorithm has the
advantages of less on line computation, steady output,
and small fluctuation of input and good control
performance.

Figure 3.Output curves comparison between

scheme 2 and scheme 3

Fig.2 illustrates the simulation results on the output

curves of control scheme 1 and 2. Fig.3 illustrates the
simulation results on the output curves of scheme 2 Figure 4.Output curves comparison among
and 3.From the Fig.2 and Fig.3, it can be observed that different control methods.
with the same value of k ,the bigger the value of q, the
faster of the system’s output response. While, with the
same value of q, the smaller the value of k, the faster
of the system’s output response. These simulation
results show that the proposed method is feasible and
effective with good performance.

4.2.Comparison among different control

methods

Common parameters in DMC, PID-DMC, and

simplified PID-DMC methods are the same: M 4,P 40.
Additionally, fetch kp 0.5, ki 0.8, kd 5.6 in
PID-DMC.
Based on those parameters, fetch k 8, q 4 in
simplified PID-DMC.
Fig.4 is the output curves and Fig.5 is the input
curves. The curve 1, 2, 3 represent the results by DMC, Figure 5. Input curves comparison among
PID-DMC, and simplified PID-DMC method different control methods
respectively. From Fig.4, it can be observed that the
output result of PID-DMC fluctuates much and the 5. Conclusions
output curve in simplified PID-DMC is comparatively
smoother than other 2 control methods. On the other There is inversion computation of higher
hand, in Fig.5 the control variance in both DMC and dimensional matrix in DMC algorithm itself. And the
PID-DMC is great and the control variance in computation required for the PID-DMC algorithm is
simplified PID-DMC method is the smallest among more than that in traditional DMC strategies. This
those 3 control methods. Obviously this simplified paper is devoted to decreasing computational
algorithm effectively restrains the great control variance. complexity by exploring its internal mechanism and
Actually, it could avoid the frequent control action and presents a simplified algorithm, which softens the
protect the execution device in industrial field.

282
input signals by constraining the rolling optimization
sequence of the controller. This simplified algorithm
avoids complexities of calculating the matrix inversion
and just needs to take the reciprocal of a number. The
simulation results demonstrate that this simplified
algorithm is feasible and effective with the advantages
of good control performance, less on line computation,
and good application prospect.
6. References
[1] Culter C R, Ramaker B L, Dynarmc MatrixControl-A
Computer Control Algorithm ,Proc JACC, San-
Francisco,l980
[2] Astrom, K.J. and T.Hagglund, PID Controllers, 2nd
Edition, Instrument Society of America, 1995.
283
[3]Xi Yugeng, Predictive control, Press of China National
Defense Industry, Beijing,1993.
[4]Zhang Qing Chen Zengqiang, “A simple algorithm of PI
generalized predictive self-adjusted controller” Journal of
Civil Aviation of China, 1998, 16(4):16-19.
[5]Chen Zengqiang, Che Haiping, Yuan Zhuzhi, “A
generalized predictive self-turning controller with proportion
and integration structure”, control and
design,1994,9(2):105~110
[6]Jin Yuanyu,”New generalized predictive control with
input constraints”, control and design, 2002, 17(4):506-508.
 2008 International Conference on Intelligent Computation Technology and Automation
Adaptive Neuro Sliding Mode Control of Nonlinear System
Xu Zi-bin1 2,Min Jian-qing1, Ruan Jian2
1 The MOE Key Laboratory of Mechanical Manufacture and Automation; Zhejiang University of
Technology, Hangzhou, China, 310014;
2 Zhejiang Shuren University, Hangzhou, China, 310015;
E-mail:xu_zibin@sina.com
Abstract
Aiming at the uncertain nonlinear system with a
dead zone input, a design method of adaptive neuro
sliding mode control is presented to combine neural
network theory with sliding mode control theory. RBF
neural networks are used to realize modeling of
nondeterministic and nonlinear system. Adaptive laws
are derived based on Lyapunov stability theory which
guarantees the stability of control system. Theoretical
analysis and simulation results indicate that the
control approach can be applied to the systems either
with or without series nonlinearity and/or dead zone in
the input.
1. Introduction
Almost all of control system is nonlinear essentially
in the world, and it is general containing a dead zone.
Dead zone element can worsen the system quality of
regulation, influence the output precision, even result
in the instability of a control system sometimes [1]. In
order to improve the control performance, many
people have investigated this system containing a dead
zone, partly compensate the influence using some
technical measure. Oldenburger, et al, presented
harmonic linearization method which affected transfer
characteristic of nonlinear element with adding a attach
signal, it can lead to linearization on condition of a
feebleness nonlinear system [2-3]. Xie, et al, studied
the predictive functional with dead zone nonlinearity,
the control system is transformed into linear by
designing nonlinear pre-compensator [4]. Tao, et al,
proposed an adaptive controller employing a dead zone
inverse to eliminate the dead zone influence, and
achieved the desired tracking performance [5-6], but it
is difficult to seek the adaptive dead zone inverse rules
of parameter estimate and control. Considering the
uncertainty of control plant, the complexity of dynamic
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DOI 10.1109/ICICTA.2008.195
behavior, difficulty of establishing accurate
mathematical models, with the above methods, the
applying range and control performance etc. are
important questions that need further to study.
Due to the capability of approximating arbitrary
nonlinear function, adaptation and learning to the
complex uncertain problems, neural networks are the
useful tool to deal with the problem of nonlinearity
control [7]. As a typical robust control, the sliding
mode variable structure control (VSC) can control
effectively the object of variable parameter and
external disturbance of the system by adjusting and
changing the structure of controller [8]. But VSC has a
disadvantage which blocks the widespread application,
namely, it is difficult to get the appropriate control law
when the system model parameter variety range is
unknown in advance.
Therefore, in this paper, we aim at the uncertain
nonlinear system with a dead zone input, a design
method of adaptive neuro sliding mode control (SMC)
is presented to combine neural network theory with
SMC theory. According to the characteristic of
approximate arbitrary nonlinear function [9-10], the
radial basis function (RBF) neural networks are used to
realize modeling of nondeterministic system. Adaptive
laws are derived based on Lyapunov stability theory
which guarantees the stability of control system. The
simulation results indicate that the control approach
has good tracking performance.
2. Description of the plant
Consider an n-order uncertain nonlinear system
with nonlinear input expressed by the following
equations
⎧ x& i = xi +1
⎪ (1)
⎨ x& n = f ( x , t ) + b( x , t )V (u ) + d (t )
⎪y = x
⎩
where i=1,2...n-1; x∈Rn is the state variable. f(x,t) is state x(0) isn’t near s=0, but at the state space arbitrary
uncertainties, |f(x,t)|<fmax. b(x,t)>0 is the value of position, we demand that system motion must tend to
control gain containing the uncertain nonlinear sliding surface, otherwise sliding mode motion cannot
element, and 0<b(x,t). d(t) is uncertain external begin. To satisfy the reaching condition ss& ≤ 0 , the
disturbance which has bound, i.e. |d(t)|<D. y∈R is the VSC control law is designed as
system’s output. V(u)∈R is the nonlinear input u = − sgn( s )( Δu + u 0 ) (6)
function containing a dead zone.
To clarify the dead zone nonlinear input function where Δu is defined by
n −1
V(u), it is mathematically defined as follows: 1+ ρ 1
⎧ φ (u − u0 ) = φ ( Δu ) ≥ m Δu u > u0
Δu = ∑
[ ci ei +1 + x d ( n ) + f max + D]
m b( x, t ) i =1
ρ >0 (7)
⎪ (2)
V (u ) = ⎨ 0 − u0 ≤ u ≤ u 0 where D is the upper limit of lumped uncertainty.
⎪φ (u + u ) = −φ ( Δu ) ≤ − m Δu u < −u0 Combining Eq. (6) and Eq. (2) results in the
⎩ 0

where m>0, u0>0, φ > 0 is the nonlinear function of u. equation

V(u) sgn( s )V (u ) ≤ − m Δu (8)
φ m We select the Lyapunov function V = 0.5s 2 , it can
be shown that
n −1
-u0
u0 u
V& = ss& = s[ ∑c e
i =1
i i +1 − xd
( n)
+ f ( x , t ) + b( x , t )V (u ) + d (t )]

n −1
m
-φ ≤ s[ ∑ce
i =1
i i +1 + xd
( n)
+ f max + D] + sb( x , t )V (u )

n −1
Fig.1 Characteristic of dead zone = s[ ∑ce
i =1
i i +1 + xd
( n)
+ f max + D] + s sgn(s )b( x, t )V (u )

n −1
3. Controller design
≤ s[ ∑ce
i =1
i i +1 + xd
( n)
+ f max + D] − s b( x , t )m Δu
3.1. VSC controller design for the plant n −1
= − s ρ[ ∑ce
i =1
i i +1 + xd
( n)
+ f max + D] ≤ 0
Define the desired output as xd, then the tracking
error, e, as the difference between the plant output and So we can see that the system is asymptotically
desired output, that is stable.
e = x − xd = [e e&L e( n −1) ]T = [e1 e2 L en ]T (3) Obviously, if V(u)=u, the control input has not
A switching surface in the error space is defined as contain dead zone, control law (6) can be applied as
s( x, t ) = ce (4) long as m<1. Also, it is still valid to nonlinear
continuous control system (u0=0).
where c =[c1 c2 K cn−1 1] . s ( x, t ) is the weight sum of
error, with given initial state xd(0)=x(0), the problem 3.2. Aaptive neuro SMC controller design for
of tracking x≡xd is equal to system states reach sliding the plant
surface s=0, and then move along the sliding surface
all the time when t>0, s≡0 represent linear differential Sometimes, it is difficult or impossible to predictive
equation, pole assignment method can be used to work fmax, b(x,t) and D in practical control systems, and it
out the proper c, for the purpose of obtaining stable leads to dissatisfy the control law (6). Due to the
sliding modes. capability of approximating arbitrary nonlinear
Design sliding mode equivalent control Veq, assume
function, fmax, b(x,t) and D can be substituted by fˆ , b̂
that s&( x, t ) = 0 , i.e.
n −1 and D̂ which are the outputs of RBF neural networks,
s&( x , t ) = ce& = ∑c e
i =1
i i +1 − xd ( n ) + f ( x , t ) + b( x , t )V (u )) + d (t ) = 0 in order to deal with adaptive neuro SMC in the paper.
The structure of RBF neural networks is shown in
Thus Veq can be described as Fig. 2.
n −1

∑
1
Veq = [− ci ei +1 + xd − f ( x, t ) − d (t )]
(n) (5)
b( x , t ) i =1
The function of Veq is to ensure that system states
maintain it onto sliding surface, if the system initial

285
 n −1
ss& = s(∑ ci ei +1 − xd + f ( x, t ) + b( x, t )V (u ) + d (t ))
(n)
h1
i =1
n −1
= s[ f ( x, t ) + d (t ) + ∑ ci ei +1 − xd ] + s[b( x, t ) − bˆ( x, βt ) + bˆ( x, βt )]V (u )
(n)

h2 i =1

x1 α f n −1
≤ s ( f max + D + ∑ ci ei +1 + xd ) + s[b( x, t ) − bˆ( x, βt )]V (u ) − s bˆ( x, βt ) m Δuˆ
(n)

i =1
β n −1
x2 b = s ( f max + D + ∑ ci ei +1 + xd ) + s[b( x, t ) − bˆ( x, βt )]V (u ) − s (1 + ρ )( fˆ ( x, αt )
(n)

i =1
n −1

xn γ d + dˆ ( x, γ t ) + ∑ ci ei +1 + xd
(n)
)
i =1
hm = s [ f max − fˆ ( x, αt )] + s[b( x, t ) − bˆ( x , βt )]V (u ) + s [ D − dˆ ( x, γ t )] − ρ s ( fˆ ( x , αt )
i n −1
+ dˆ ( x , γ t ) + ∑ ci ei +1 + xd )
(n)

j i =1

Fig.2 Structure of RBF neural networks = s [ fˆ ( x, α) − fˆ ( x , αt )] + s[bˆ( x, β ) − bˆ( x, βt )]V (u ) + s [dˆ ( x , γ ) − dˆ ( x, γ t )]

where x = [ x1 x 2 K x n ]T , is reference input + s [ f max − fˆ ( x , α )] + s[b( x, t ) − bˆ( x , β )]V (u ) + s [ D − dˆ ( x , γ )] − ρ s ( fˆ ( x, αt )
n −1
vector; h = [h1 h2 K hm ]T , is the RBF neural + dˆ ( x , γ t ) + ∑ ci ei +1 + xd )
(n)

i =1

networks vector, hj is the Gauss function. ~

= −α~ T h s − sβ T hV (u ) − γ~ T h s − s ε1 − sε 2V (u ) − s ε 3 − s ρ ( fˆ ( x , αt ) + dˆ ( x, γ t )
2
x − cj
n −1
+ ∑ ci ei +1 + xd
(n)
)
h j = exp(− 2
) j=1,2,…,m (9) i =1
2b j ~
= −α~ h s − sβ T hV (u ) − γ~ T h s − s ε1 − sε 2V (u ) − s ε 3 − s ρ ( fˆ ( x , αt ) + dˆ ( x, γ t )
T

where c j = [c1 j c2 j K cnj ]T , is the center of the j-th n −1

+ ∑ ci ei +1 + xd
(n)
)
i =1
hidden node, bj is the width of the j-th hidden unit.
Let the neural network weight adaptive law be
Suppose that there is an optimum weight ~&
vector α = [α 1 α 2 K α m ]T , β = [β 1 β 2 K β m ]T [α& t β& t γ&t ]T = [α~& β γ~& ]T = [η1h s η2 hV (u)s η3h s ]T (16)
and γ = [γ 1 γ 2 K γ m ]T , it makes RBF neural Then we can get
n −1
V& ≤ − s ρ ( fˆ ( x, α t ) + dˆ ( x, γ t ) + ∑ ci ei +1 + x d ) + s [ ε 1 + ε 2V (u ) + ε 3 ]
(n)
network output fˆ ( x, α) = α T h , bˆ( x, β) = β T h and i =1

dˆ ( x, γ ) = γ T h approximate to f max , b(x,t) and D, the If ρ > ε 1 + ε 2V (u ) + ε 3 (17)

n −1
approximation errors are ε 1 , ε 2 , ε 3 , that is
fˆ ( x , α t ) + dˆ ( x , γ t ) + ∑ce i i +1 + xd (n)

fˆ ( x, α) − f max = ε1 , bˆ(x, β) − b(x, t) = ε 2 , dˆ ( x , γ ) − D = ε 3 (10) i =1

Define α t , βt and γ t as estimate value of α , β then V& ≤ 0 .

and γ at time t, and bˆ( x, βt ) is non-singular in the When we define switch function as Eq. (4), design
adaptive controller as Eq. (11), and select adaptive law
adaptive process of plant, then control law can be as Eq. (16), the system tracking error will converge
written as along the sliding surface asymptotically to zero as time
u = − sgn( s )( Δuˆ + u 0 ) (11) goes to infinity according to the Barbalat theorem
where
1+ ρ 1 n −1
4. Simulation
Δuˆ = [∑ ci ei +1 + xd + fˆ ( x , αt ) + dˆ ( x , γ t )]
(n)
ˆ
m b ( x , β t ) i =1
(12) An uncertain system with three cases is taken for a
Next we meet the neural network weight adaptive simulation example. 1) the system containing a dead
law with Lyapunov method, analyze the stability of zone input, 2) the system with series nonlinearity input,
system as follows. 3) the system without input nonlinearity. Its model is
We define described as
~
α~ = α t - α , β = β t - β , γ~ = γ t - γ (13) ⎧ x&1 = x 2
⎪
Select the Lyapunov function ⎨ x& 2 = f ( x , t ) + b( x , t )V (u ) + d (t )
1 2 1 1~ ~ 1 ⎪y = x
V= s + η1−1 α~ T α~ + η 2 −1 β T β + η 3 −1 γ~ T γ~ (14) ⎩ 1
2 2 2 2 where
Differentiating Eq. (14) with respect to time, then 2 x 1 2 − 1) x 2 − x 1 , b( x, t ) = 20 sin(5πt ) + 120 ,
f ( x , t ) = −（
~ ~&
V& = ss& + η1−1α~ T α~& + η 2 −1 β T β + η3 −1γ~ T γ~& (15) d (t ) = 5 sin(2πt )
Where η1 > 0,η 2 > 0,η 3 > 0 , and The system has three cases input functions

286
 ⎧(u − 0.2（
) 1.1 − 0.05e
cos 20 u
) u > 0.2
Case 1: ⎪
V (u ) = ⎨ 0 − 0.2 ≤ u ≤ 0.2 1
⎪(u + 0.2（
) 1.1 − 0.05e
cos 20 u
) u < −0.2
⎩ 0.8

Case 2: V (u ) = 1.2u − 0.02e

sin 20 u
u 0.6

Case 3: V (u ) = u 0.4

e1
The desired input signal x d = sin πt . The control 0.2

parameter of simulation are taken as follows 0

c=[16 1], m=0.8, ρ=0.2, η1=η3=1000, η2=1.
-0.2
The system uses RBF neural network with 4 latent
nodes for learning fmax, b(x,t) and D, the initial -0.4
0 1 2 3 4 5 6
conditions x(0)=[1 0]T, bj=10, cj=10, w=0.1 t/s
The results are shown as Fig.3 and 4. Fig. 3 shows 5
the track errors of control law (11) applied to the plant,
it demonstrates that the controller provides good 0
control performance for the uncertain system
containing a dead zone input, the system with series -5

e2
nonlinearity input and the system without input
nonlinearity.
-10

0.8
case1
-15
0.6 case2 0 1 2 3 4 5 6
case3 t/s
0.4 Fig.4 Track error of control law (18)
e1

0.2
5. Conclusions
0

-0.2 In this paper, a novel design method of adaptive

1 2 3 4 neuro SMC is presented to combine neural network
t/s
theory with SMC theory for the uncertain nonlinear
0 system with a dead zone input. The proposed
controller can work effectively for the systems either
with or without dead zone and/or series nonlinearity in
case1
-5 the input, also it eliminates the limit of requiring
case2
e2

case3 uncertain upper bound for SMC, has a better dynamic

response performance and robust to system parameter
-10 changes and external disturbance.

Acknowledgements
1 2 3 4
t/s
Fig.3 Track errors of control law (11) This work is supported by the National Natural
If the dead zone characteristic is neglected in the Science Foundation of China No. 50675204, and the
system containing a dead zone, one has the following Natural Science Foundation of Zhejiang Province of
controller China No. Y107605, and the Opening Foundation of
n −1
1+ ρ Zhejiang Province Top Disciplines of China No.
u = − sgn( s )
bˆ( x , β t )
[ ∑ce
i =1
i i +1 + xd
(n)
+ fˆ ( x , α t ) + dˆ ( x , γ t )]
IME200706-009.
(18)
The track error applied to case 1 is shown as Fig.4, References
from the simulation results, the traditional variable
structure controller cannot control an uncertain system [1] Merritt H. E. Hydraulic control systems, John-Wiley,
containing a dead zone to obtain the desired dynamics New York. 1967.
of the system.

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[2] Oldenburger R. “Signal stabilization of a control system”.
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96-100 .
[3] Kuo-Kai Shyu, Yun-Yao Lee. “Compensation and
control of dither-smoothed nonlinearities”, JSME
International Journal, Series C, vol. 49, no. 2, 2006, pp. 512-
519.
[4] Xie Qi, Yang Maying, Zhang Junying, “Nonlinear
Predictive Functional Control with Dead Zone Pre-
compensation”, Control Engineering of China, vol. 10, no. 5,
2003, pp. 466-468.
[5] Gang Tao, Kovotovic, P V. “Adaptive control of plants
with unknown dead-zone”, IEEE Trans on Automatic
Control, vol. 39, no. 1, 1994, pp. 59-68.
[6] Ming Tian and Gang Tao. “Adaptive output dead-zone
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[7] Song Zuoshi, Yi Jianqiang, Zhao dongbin, “An adaptive
sliding mode control for a class of uncertain nonlinear
systems based on neural networks”, Electric Machines and
Control, vol. 9, no. 5, 2005, pp. 481-490.
[8] Chen Zengqiang, Lu Zhao, Yuan Zhuzhi, “Neural
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[9] Niu Yugang, Zhao Jiancong, Yang Chengwu, “Adaptive
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 2008 International Conference on Intelligent Computation Technology and Automation

Adaptive PID Control of Indoor Air Quality for an Air-conditioned Room

Xiaosong Gu(1) (2) Heng Li(1) Litie Zhao(1) Hanqing Wang(2)

(1)
School of Energy and Power Engineering, Changsha University of Science and Technology
Changsha, Hunan Province, 410076, China
E-mail: gu_xiao_song@163.com
(2)
School of Energy and Science Engineering, Central South University
Changsha, Hunan Province, 410082, China

Abstract industrial applications, because of uncertainty, non-

Good indoor air quality (IAQ) can increase human
comfort and productivity. An IAQ control method for
an air-conditioned room based on a self-adaptive PID
control theory is presented. Fuzzy algorithm is adopted
in the study to adjust the three parameters of PID
controller timely. Accordingly, this adaptive PID
controller can be applied to the nonlinear controlled
object- indoor CO2 level which is an important index of
IAQ and can be controlled by fresh air volume. Several
simulation experiments are carried out in accordance
with the actual conditions by changing controlled
object characteristic and adding continuous
disturbance to indoor CO2 emission sources. The
results show that the adaptive PID controller is more
robust, gives faster dynamic response time and has
better control performance, compared with a single
PID or fuzzy controller.
1. Introduction
Ventilation is a good method to maintain good IAQ.
The more fresh air is brought into the indoor
environment, the better the indoor air quality can be
achieved. However, conditioning fresh air will
consume a lot of energy. Therefore, an operationally
cost-effective fresh air control system is important for
a central air conditioning system.
The most common industrial controllers are the
proportional-integral-derivative (PID) controllers.
They have well understood properties and mature
design methods. The general continuous-time PID
controller has the expression
t
de
u ( t ) = k p e ( t ) + k i ∫ e ( t ) dt + k d (1)
0
dt
where e(t) is the error between the reference and the
controlled system output and kp, ki and kd are constant
P, I and D control gains, respectively. In many cases, it
can satisfy the control demand. But in some complex
linearity of the controlled object, conventional PID
probably cannot work well.
If a problem is not well understood and cannot be
precisely described mathematically, but has good
general “rule of thumb” on how to control it, a fuzzy
logic controller often works well[1-2]. In 1991, Fumio
Matsuoka finished the fuzzy controller design of an air
conditioner and carried out relevant experiments [3]. In
the following years, fuzzy control has been used in
HVAC (Heating ,Ventilating and Air Conditioning)
equipment and systems, such as a fan-coil unit, an air
conditioner, a central air conditioning system, a
hydronic heating system and a temperature comfort
control system, fresh air control for residential
buildings (Zhang 1996, 2003; Jiang 1997; Haissig
2000, Gouda 2006, Mateja 2005,Gu 2007)[4-10]. From
the above discussions, it is concluded that fuzzy
control has already been successfully used in HVAC.
The basic structure of the fuzzy logic controller is
shown in Fig.1 [2]. First, the error e and its time
derivative de must be translated into a linguistic
variable A and B respectively. This step is called
fuzzification as it uses fuzzy sets for translating this
real variable into the linguistic variable. After such
translation, the so-called fuzzy inference step evaluates
the set of IF-THEN rules defining the system behavior.
The result of this is again a linguistic value for the
output linguistic variable C. Finally, the
defuzzicication step translates this linguistic result into
a crisp variable K
As a complex thermodynamic system, central air
conditioning system has many disturbances and is not
easy to calculate its parameters. With the development
of computer science and control theory, many new
intelligent control theories come into being. This paper
introduces a Fuzzy-PID control algorithm. Fuzzy
control is adopted in the PID control process, and
according to the dynamic characteristics and behavior
of the system, on-line adjustment is carried out. The
methods reported here may be beneficial to research

978-0-7695-3357-5/08 $25.00 © 2008 IEEE 289

DOI 10.1109/ICICTA.2008.425
attempting to maintain indoor air quality with
advanced control methods.
A
e Fuzzi f i cat i on
Def uzzi f i cat i on
Fuzzy r ul e
i nf er ence
C
K
de B
Fig.1. Main steps of fuzzy control process.
2. Design of Fuzzy-PID controller
Fig.2 shows a typical fresh air control system.
Return air mixes with the fresh air first. After cooled
and dehumidified by fan coil, the mixed air is supplied
into the room. Personnel's activity, such as smoking,
will cause the indoor CO2 level to rise. The controller
increases the open degree of fresh air damper, and then
the increased fresh air volume dilutes indoor CO2 and
makes its level return to the set point (1000ppm). On
the contrary, if the indoor CO2 level is relatively low,
the controller can reduce the fresh air volume, so
energy is saved.
Fig.2. Room fresh air volume control system.
Fuzzy PID controller, which can meet with what e
and de require for PID parameters at different time
(Fig.3), inputs e/de and revise PID parameters on-line
and then self adaptive fuzzy PID controller is set up.
Fuzzy controller can find out the relation between three
parameters of PID, e/de through fuzzy inference and
make the controlled object good dynamic and stable
performance.
The proportional term kp is to accelerate the
response time and improve the precision. The greater
its value is, the faster the response speed and the higher
290
the system precision, but too big value may lead to
overshoot, or even cause the system to be unstable.
kp ki kd
de
dt
Fig.3. Structure of fuzzy PID controller.
The integral term ki is to dispel the stable error. A
relatively big value can dispel the static error of the
system fast, but if the value is too big, the saturation
phenomenon in the initial stage will happen. The
derivative term kd is to improve the systematic
dynamic characteristic with the function to suppress
the deviation to change toward any direction.
The inference mechanisms of the fuzzy logic
controller are realized by 49 rules. In addition,
defuzzification has been performed by the center of
gravity method. The rules that belong to the
membership functions are written in the same way for
each fuzzy logic controller. The rules are formed based
on e/de. If the e is much bigger than the set value and
de is increased rapidly, then the output of the controller
is also to be big. Therefore, u is increased, and the
output of the system goes to the set value. In this work,
the appropriate rules are given in Table 1. The names
of the abbreviations in Table 1 are NB (Negative Big),
NM (Negative Medium), NS (Negative Small), Z
(Zero), PS (Positive Small), PM (Positive Medium)
and PB (Positive Big), respectively.
Fuzzy logic shows experience and preference
through membership functions. A given fuzzy set maps
an input value to its appropriate membership value. A
membership function (MF) is a curve that defines how
each point in the input space is mapped to a degree of
membership between 0 and 1. The input space is
sometimes referred to as the universe of discourse, a
fancy name for a simple concept. These functions have
different shapes depending on the system experts
experience[2]. Suitable ranges are chosen for these
variables in the membership functions experimentally.
Triangular membership functions (Fig.4a,b,c) are
preferred since fast response is necessary for the
system. Fuzzy set theory and fuzzy logic establish the
rules of a non-linear mapping. The use of fuzzy sets
provides a basis for a systematic way for application of
uncertain and indefinite models.
 Table 1. Fuzzy inference rules

de
Δkp/Δki/Δkd NB NM NS ZO PS PM PB

NB PB/NB/PS PB/NB/NS PM/NM/NB PM/NM/NB PS/NS/NB ZO/ZO/NM ZO/ZO/PS

NM PB/NB/PS PB/NB/NS PM/NM/NB PM/NM/NB PS/NS/NB ZO/ZO/NM ZO/ZO/PS
NS PM/NB/ZO PM/NM/NS PM/NS/NM PS/NS/NM ZO/ZO/NS NS/PS/NS NS/PS/ZO
ZO PM/NM/ZO PM/NM/NS PS/NS/NS ZO/ZO/NS NS/PS/NS NM/PM/NS NM/PM/ZO
PS PS/NM/ZO PS/NS/ZO ZO/ZO/ZO NS/PS/ZO NS/PS/ZO NM/PM/ZO NM/PB/ZO
PM PS/ZO/PB ZO/ZO/NS NS/PS/PS NM/PS/PS NM/PM/PS NM/PB/PS NB/ PB/PB
PB ZO/ZO/PB ZO/ZO/PM NM/PS/PM NM/PM/PM NM/PM/PS NB/PB/PS NB/ PB/PB

3. Simulation results
Indoor CO2 level should have been measured by a
sensor. But if the controller can work well in the
simulation, it can work well too in the practical project.
Taking a residential house(Assume the room volume
V=60m3 , maximum fresh air volume Lmax =0.44m3/s)
for example, the measured indoor CO2 level is
influenced by a lot of respects, such as the precision
and position of the sensor , indoor pollution sources ,
(a) return air vent position , air flow form. It is difficult to
deduce the transfer function exactly linking fresh air
volume with the indoor CO2 level. The fuzzy PID
controller is now examined for its ability to control
linear system, and to evaluate its performance in
comparison with the corresponding conventional PID
controller. The system to be tested is a third-order
linear system with a transfer function as following.

K
G (s) = (2)
s ( s + 2ξωn + ωn 2 )
2

(b)
Where, ξ from 0.3~0.75, ωn =100, K =50000. For
this system, our best choice of continuous PID
controller gains ( ξ =0.3) are 0.4 for the proportional
term, 0 for the integral term, and 1.0 for the derivative
term. The sampling time is 1 ms and the desired set
point value is 1. The first plot ( ξ =0.3) shown in Fig.
5a presents the results from these two simulations. As
expected, both controllers produce excellent
trajectories. To investigate the robustness and dynamic
performance of the two controllers, the transfer
function G(s) is changed (ξ=0.45, 0.6, 0.75).
(c) Simulation results see Fig.5b,c,d. The fuzzy PID
controller reached the desired set point has an order of
Fig.4. Membership functions of kp/ki/kd. magnitude faster than the routine controller, implying
that the fuzzy PID controller is more robust in terms of
hitting the set point in a reasonable amount of time.

291
 For fuzzy PID controller, kp/ki/kd vary with sampling
time (Fig.6a,b,c) in order to keep good control
performance.

(a) ξ =0.3

(a)

(b) ξ =0.45

(b)

(c) ξ =0.6

(c)

Fig.6. kp/ki/kd variation during simulation.

4. Discussion and conclusions

During transition period, adjustment at initial stage
is especially important, therefore, appropriate fuzzy
(d) ξ =0.75 rules of kp/ki/kd should be designed .When the system
is close to the stable state , kp /ki / kd with certain value
Fig.5. Simulation results of a third-order can make it enter the stable state as soon as possible
system. with the security system , meanwhile , make the
system have certain anti-interference ability in the
stable state. Parameters selection of simulation has

292
very great influence in the course regulating and [10] GU Xiao-song, WANG Han-qing, “Fuzzy control
simulation result, so, it should be paid more attention of fresh air in residential air conditioning system”,
to. Journal of Harbin Institute of Technology (New
The fuzzy PID controller derived in this paper Series), vol.14, 2007, pp.489-492.
successfully demonstrated better performance than the
conventional PID controller in such aspects as
precision, stability, dynamic performance. The fuzzy
PID controller is also able to tolerate many poor
selections or inadequate implementations of the
controller gains which would make most conventional
controllers unstable. Since nonlinearity will be
encountered in many complex systems, such as VAV
air conditioning system, the ability of the fuzzy PID
controller to tolerate these nonlinear and gain-value
variation factors is a substantial improvement over
conventional linear PID controllers.

5. Acknowledgement

The authors acknowledge the projects (Grant No.

2006GK3064, 2007FJ4137) supported by Scientific
Research Fund of Science and Technology Bureau of
Hunan Province, China.

6. References
[1] Petr Hájek, “What is mathematical fuzzy logic”,
Fuzzy Sets and Systems, vol.157, 2006, pp.597-603.
[2] Mendel, “Fuzzy logic systems for engineering”, a
tutorial Proc IEEE, vol.83, 1995, pp.345–77.
[3] Fumio Matsuoka, “Refrigerating air conditioning
fuzzy control technique”, Japanese Refrigeration
Institute Transaction, vol.8,1991, pp.149-155.
[4] Jili Zhang, Dexing Sun, “Study on the fuzzy
control of the comfortable air-conditioning
system”, Refrigeration Journal (P.R.C), vol.3,
1996, pp. 37~44.
[5] Jili Zhang, Jinping Ou, Dexing Sun, “Study on
fuzzy control for HVAC system Part one:
Functioning fuzzy-subset Inference and
development of single-chip fuzzy controller”,
ASHRAE Transactions, vol.109, 2003.
[6] Jili Zhang, Dexin Sun, “Design of a microprocessor
controller for fan-coil units”, HVAC (P.R.C),
vol.27, 1997, pp.39~41.
[7] Haissig, “Adaptive fuzzy temperature control for
hydronic heating systems”, IEEE Control Systems
Magazine, vol.20, 2000, pp. 39~48.
[8] Gouda, S.Danaher, “Quasi-adaptive fuzzy heating
control of solar buildings”, Building and
Environment, vol.41, 2006, pp.1881-1891.
[9] Mateja, “Fuzzy control for the illumination and
temperature comfort in a test chamber”, Building
and Environment, vol.40, 2005, pp.1626-1637.

293
 2008 International Conference on Intelligent Computation Technology and Automation
Adaptive Robust Fuzzy Control for a Class of Uncertain Nonlinear Systems in
Pure-Feedback Form
Qiang Kang and Wei Wang, Yanjun Liu
Research Center of Information and Control, Dalian University of Technology, Liaoning,
Dalian, 116023, P.R. China
E-mail: ssakg@163.com
Abstract
This paper studies an adaptive fuzzy control
problem for a class of uncertain nonlinear systems in
the pure-feedback form. Compared with the existing
approaches, the two main advantages are that the
proposed algorithm can be implemented by utilizing
only one fuzzy logic systems (FLS) approximator and
the robustness of the closed-loop system is improved.
The proposed adaptive fuzzy control algorithm can
guarantee that all the signals of the closed-loop system
are uniformly bounded and the tracking errors
converge to an arbitrary small neighborhood around
zero. The feasibility of the proposed algorithm is
obtained by a simulation example.
1. Introduction
In recent years, for the systems with uncertainty,
adaptive control approach has obtained much attention
using the FLS or the neural networks [2-15]. Adaptive
control using The FLS has been studied in [2-6] by
feedback linearization. However, one of the key
restrictions in these schemes is that matching condition
are required to be satisfied. Recently, the backstepping
technique has been successfully employed in stability
problem of triangular nonlinear systems with unknown
function [7-15] based on the universal approximator.
Via the backstepping procedure, the proposed
algorithms are obtained for uncertain nonlinear
systems in the strict-feedback form. Subsequently,
several adaptive control approaches are proposed for
nonlinear pure-feedback systems by using the neural
network approximator. However, at least n the FLS or
the neural networks are needed to approximate
unknown nonlinear function where n denotes the
order of the considered system [7-15]. From the
viewpoint of the engineering application, major FLS or
neural networks are used in controller design that will
affect the control performance of the system and
increase the running cost.
978-0-7695-3357-5/08 $25.00 © 2008 IEEE
DOI 10.1109/ICICTA.2008.72
Based on the above disadvantage. A stable adaptive
fuzzy control algorithm for uncertain nonlinear pure-
feedback systems is proposed in this paper. Compared
with the existing results, the main advantage of this
scheme is that only one FLS is used in the controller
design. Therefore, the designed controller has the
simple structure and the control performance of the
closed-loop system is improved. In addition, for
nonlinear triangular structure systems most of the
analytical results in the adaptive fuzzy or neural
network control literature make the key assumptions
that the approximation error is bounded by some
constants [8-15] or square integrable [7]. If the
approximation errors are larger than the assumed
bounds or can’t be square integrable, no performance
of the system can be guaranteed. This paper relaxes
these conditions by only requiring that the
approximation errors are bounded by unknown bounds.
Thus, the robust performance of the system can be
improved by only adjusting unknown bounds of the
fuzzy approximation error in this paper.
2. System description and preliminaries
Consider the following nonlinear systems, which are
described by
 xi = f i ( xi , xi +1 ) + xi +1 , i = 1," , n − 1

 xn = f n ( xn ) + u (1)
y = x
 1
where xi = [ x1 ," , xi ] is the state of the i th subsystem;
xn = [ x1 ," , xn ] , u ∈ R and y ∈ R are the state, the
input and the output of the overall system, respectively.
Smooth functions fi ( xi , xi +1 ) are unknown. The
desired reference signal yr ( t ) , t ≥ 0 as well as
( n −1)
yr ," , yr are bounded.
The control objective is to design an adaptive fuzzy
controller for systems (1) such that all the signals of
systems are uniformly bounded and the system output
294
asymptotically tracks the reference signal to an Step 2: Similar to step 1, the virtual controller α 2 will
arbitrarily small neighborhood of zero. be chosen to make the error variable z2 = x2 − α1 as
In the following, we briefly review the
approximation property of the fuzzy logic systems. small as possible. The time derivative of z2 is
Using the above universal approximation theorem z2 = x2 − α1 = f 2 ( x3 ) + x3 − α1 (8)
[1], any given continuous function σ ( z ) can be Construct the following the virtual controller
expressed as α 2 = − z1 − k2 z2 (9)
σ ( z ) = θ *T ξ ( z ) + ε ( z ) (2) Introducing z3 = x3 − α 2 and using(9), we have
where θ * ∈ R M is the optimal fuzzy parameter vector, z2 = f 2 ( x1 , x2 , x3 ) − z1 − k2 z2 + z3 − α1 (10)
ξ ( z ) is a fuzzy basis function vector and Consider the following Lyapunov function andidate
ε ( z ) denotes the fuzzy approximation error. 1
V2 = V1 + z22 (11)
Assumption 1: There exists constant ε such that 2
By using (10), the time derivative of V2 is
ε* ≤ ε .
V = V + z z = V − z z − k z 2 + z z
2 1 2 2 1 1 2 2 2 2 3

3. Adaptive fuzzy controller design + z2  f 2 ( x3 ) − α1  (12)

Substituting (7) into (12), we have
Using the backstepping method, the system defined 2

in (1) can be stabilized by constructing an adaptive V2 = −∑ k j z 2j + z2 z3 + U 2 ( x3 , yr , y r ) (13)

j =1
fuzzy controller u . The detailed design is described in
the following steps. where U 2 ( Z 2 ) = U1 ( Z1 ) + z2  f 2 ( x3 ) − α1  and
Step 1: The derivative of z1 = x1 − yr is χ 2 = [ x3 , yr , y r ] .
T

z1 = x1 − y r = f1 ( x1 , x2 ) + x2 − y r (3)

Step i ( i = 3," , n − 1) : The time derivative of zi is
Choosing the desired virtual controller
zi = xi − αi −1 = f i ( xi +1 ) + xi +1 − αi −1 (14)
α1* = x2 = −k1 z1 − f1 ( x1 , x2 ) + y r , k1 > 0
Construct the following the virtual controller
Then there exists a Lyapunov function Vz1 = (1/ 2 ) z12 , α i = − zi −1 − ki zi (15)
such that Vz1 = −k1 z12 ≤ −k1 z12 ≤ 0 . Therefore, z1 = 0 is Introducing the variable zi +1 = xi +1 − α i and using
asymptotically stable. (15), (14) becomes
However, since the function f1 ( x1 , x2 ) is unknown, zi = f i ( xi +1 ) − zi −1 − ki zi + zi +1 − αi −1 (16)
the desired controller α1* cannot be implemented in Consider the following Lyapunov function candidate
practice. We will make use of the FLS to estimate 1
Vi = Vi −1 + zi2 (17)
unknown function. Construct the following the virtual 2
controller By using (10), the time derivative of Vi is
α1 = −k1 z1 + y r (4) V = V + z z
i i −1 i i
Introducing z2 = x2 − α1 and using (4), we have
= Vi −1 + zi  f i ( xi +1 ) − αi −1 
z1 = x1 − y r = f1 ( x1 , x2 ) − k1 z1 + z2 − y r (5)
− zi −1 zi − ki zi2 + zi zi +1 (18)
Consider the following Lyapunov function candidate
In step i − 1 , it has been obtained that
1
V1 = z12 (6) i −1
2 Vi −1 = −∑ k j z 2j + zi −1 zi + U i −1 ( Z i −1 ) (19)
j =1
By using (5), the time derivative of V1 is
Similarly, substituting (19) into , we have
V = z z = −k z 2 + z z + U ( Z )
1 1 1 1 1 1 2 1 1 (7) i
Vi = −∑ k j z 2j + zi zi +1 + U i ( Z i ) (20)
where U1 ( Z1 ) = z1 f1 ( x1 , x2 ) , Z1 = [ x1 , x2 , yr ]
T
and j =1

where the coupling term z1 z2 will be canceled in the where U i ( Z i ) = U i −1 ( Zi −1 ) + zi  f i ( xi +1 ) − αi −1  and
next step. T
Z i =  xi +1 , yr , y r ," , yr( )  .
i −1

295
 When i = n − 1 , (20) can be rewritten as εˆ = −εˆ + γ zn (30)
n −1
Vn −1 = −∑ k j z 2j + z n −1 zn + U n −1 ( Z n −1 ) (21) Using (29), the following inequality is true
j =1 1 T
W Wˆ − Γz S ( Z )  = −W T Wˆ = −W T W + W *
( )
Step n : the practical control input u will be Γ  n n 

constructed. = −W T W + W T W *
When zn = 0 , let u = 0 . Then it is achieved to make
1 1
zn as small as possible. In the following, we give the ≤ − W T W + W * (31)
2 2
design procedure in the case where zn ≠ 0 . Using (30) and Assumption 1, the following inequality
The time derivative of zn is is true
zn = xn − α n −1 = f n ( xn ) + u − α n −1 εˆ 2 zn2 εˆ 2 zn2
zn ε * ( Z n ) −  ˆ ≤ zn ε −
+ εε  ˆ
+ εε
The above equation can been changed as εˆ zn + τ εˆ zn + τ
U (Z ) εˆ 2 zn2
zn = u + U n ( Z n )  − n −1 n −1 (22) = zn εˆ −
εˆ z n + τ
1
γ
(
+ ε εˆ − γ zn )
zn
where U n ( Z n ) = f n ( xn ) − α n −1 + U n −1 / zn . ≤ τ − εε
 ˆ = τ − ε 2 − εε

In the following we will use the FLS to approximate 1 1
≤ τ − ε 2 + ε 2 (32)
unknown function U n ( Z n ) , then, U n ( Z n ) written as 2 2
Substituting (21) and (31)-(32) into (28), we obtain
U n ( Zn ) = W *S ( Zn ) + ε * ( Z n ) (23) n
1 1 1 1
Vn ≤ −∑ k j z 2j − W T W − ε 2 + ε 2 + W * + τ (33)
where W is the optimal weight vector, and ε ( Z n )
* *
j =1 2 2 2 2
denotes the minimal approximation error to be So far, the design procedure is finished. Then we
bounded by constant ε . Ŵ and εˆ will be used to obtain the following controller
estimate W * and ε , respectively. Let W = Wˆ − W * 

and ε = εˆ − ε . u = 0, when z n = 0
Substituting (23) into (22), we get 
u = − zn −1 − kn zn − Wˆ S ( Z n )
T
(34)
U (Z ) 
zn = u + W * S ( Z n ) + ε * ( Z n ) − n −1 n (24) εˆ zn
2
zn  − , when zn ≠ 0
 εˆ zn + τ
Construct the following actual controller 
εˆ 2 zn The following theorem shows the stability of the
u = − zn −1 − kn zn − Wˆ T S ( Z n ) − (25) closed-loop system and the control performance.
εˆ zn + τ
Theorem 1. Under the assumption 1, let yr ( t ) be a
Consider the following Lyapunov function candidate
bounded reference signal for all t ≥ 0 . Consider the
1 1 T  1 2
Vn = Vn −1 + zn2 + W W + ε (26) systems consisting of (1). By constructing the virtual
2 2Γ 2 controller α i , i = 1," , n − 1 and the actual controller u ,
where Γ is adaptation gain matrix.
The time derivative of Vn is the weight adaptation law Ŵ , then, it can be
guaranteed that all the signals of the systems are
1 
Vn = Vn −1 + zn zn + W T Wˆ + εε  ˆ (27) uniformly bounded and the tracking error converges to
Γ a small neighborhood of zero by suitably choosing the
Substituting (24) and (25) into (27), it is obtained that design parameters.
Vn = Vn −1 − zn −1 zn − k n zn2 + zn ε * ( Z n ) Proof: This proof will follow the quite standard
εˆ 2 zn2 1  stability analysis techniques of NN based on adaptive
−  ˆ − U n −1 ( Z n −1 )
+ εε control as can be found in [7-11]. From (6), (11), (17)
εˆ zn + τ 2 and (26), we obtain

+ W T Wˆ − Γzn S ( Z n ) 
1 n
1 1 T  1 2
(28) Vn = ∑ z 2j + W W + ε (35)
Γ   j =1 2 2 Γ 2
Choose the following adaptation law (33) can be rewritten as follows

Wˆ = −ΓWˆ + Γz S ( Z ) n n (29) Vn ≤ − µVn + δ (36)

296
where µ = min ( 2ki , λmin ( Γ ) ,1) , λmin ( Γ ) is minimal where x1 and x2 are states, and y is the output of the
1≤ i ≤ n
systems. The initial conditions are x1 ( 0 ) = 1, x2 ( 0 ) = 0
eigenvalue of Γ , δ = 1 ε 2 + 1 W * + τ .
2 2 and the desired reference signal is yr = cos ( t ) / 2 .
The process of proof is similar to that of the theorem
1 in [12-14]. Using (35), we conclude that
zi , i = 1," , n and Wˆ , εˆ are bounded.

Fig. 3. the actual controller u

Fig. 1. the system output y = x1 (solid line) and the desired

output yr = cos ( t ) / 2 (dashed line)

Fig. 4. The adaptation law Ŵ

Fig. 2. the system state x2 (solid line) and the virtual
controller α1 (dashed line)
Using the proposed approach, we can obtain the virtual
controllers, the actual controller and adaptation law.
The following fuzzy membership functions are chosen
by
µ A1 ( x1 ) = exp(−( x1 − 0.5)2 )
1

4. Simulation µ A ( x1 ) = exp(−( x1 ) 2 )
2
1

µ A ( x1 ) = exp(−( x1 + 0.5)2 )
3
In this section, simulation experiment is presented to 1

demonstrate the feasibility of the proposed approach. µ A ( x2 ) = exp(−( x2 − 0.5) 2 )

1
The model of the strict-feedback systems is described 2

as µ A ( x2 ) = exp(−( x2 )2 )
2
2

 x1 = (1 + 0.1x12 ) x22 + x2 , µ A ( x2 ) = exp(−( x2 + 0.5)2 )

 3

 x2 = x1 x2 + 2 cos( x1 ) + u,
2
(37)
y = x ,
 1

297
 The design parameters are chosen as γ = 10,τ = 0.1,
Γ = diag ( 2, 2 ) , k1 = 5, k 2 = 15 . The initial value of the
adaptive parameters are defined as Wˆ ( 0 ) = 0,
εˆ ( 0 ) = 0 .
Fig. 5. The adaptation law εˆ
Figs. 1-5 show the simulation results which are
obtained by applying the previous scheme to the
system (37) for tracking the reference signals
yr = cos ( t ) / 2 . The tracking performance is good, as
shown in Figs. 1 and 2. From Fig. 3, it can be seen that
the boundedness of the controller u . Figs. 4 and 5
illustrate that the adaptation parameters Ŵ and εˆ are
bounded.
5. Conclusion
A stable adaptive fuzzy control approach for
uncertain nonlinear strict-feedback systems is
proposed. The control input and the adaptation law are
obtained using Lyapunov synthesis approach. Overall
control scheme is achieved by utilizing only one FLS.
The running cost is reduced and the controller has the
simple structure.
6. References
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[6] S. C. Tong, B. Chen and Y.F. Wang, “Fuzzy adaptive output
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[7] W. Y. Wang, M. L. Chan, T.T. Lee, C.H. Liu, “Adaptive Fuzzy
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[9] Y. S. Yang and C. J. Zhou, “Robust adaptive fuzzy tracking
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[10] M. Wang, B. Chen, S. L. Dai, “Direct adaptive fuzzy tracking
control for a class of perturbed strict-feedback nonlinear
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2670, Dec. 2007.
[11] M. M. Polycarpou, “Stable adaptive neural control scheme for
nonlinear systems,” IEEE Trans. Automat. Contr., vol. 41, no.
3, pp. 447–451, Mar. 1996.
[12] M. M. Polycarpou and M. J. Mears, “Stable adaptive tracking
of uncertain systems using nonlinearly parametrized on-line
approximators,” Int. J. Contr., vol. 70, no. 3, pp. 363–384, Jun.
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[13] D. Wang and J. Huang, “Adaptive neural network control for a
class of uncertain nonlinear systems in pure-feedback form,”
Automatica, vol. 38, no. 8, pp. 1365–1372, Aug. 2002.
[14] C. Wang, D. J. Hill, S. S. Ge and G. R. Chen, “An ISS-modular
approach for adaptive neural control of pure-feedback
systems,” Automatica, vol. 42, no. 5, pp. 723–731, May. 2006.
[15] H. B. Du, H. H. Shao and P. J. Yao, “Adaptive neural network
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509–514, Mar. 2006.
 2008 International Conference on Intelligent Computation Technology and Automation
An Improved Generalized Predictive Control Algorithm Based on PID
Wei Guo ； Wei Wang ；Xiaohui Qiu
College of Information & Control，Nanjing University of Information Science and Technology
w_guo@sohu.com ；wangwei_0628@126.com ；xhqiu@nuist.edu.cn
Abstract
Based on the analysis of PID algorithm and
Generalized Predictive Control algorithm (GPC), the
performance index of Generalized Predictive Control
algorithm was restructured as PID form. The
derivation of PID-type Generalized Predictive Control
algorithm (PIDGPC) was given. The influence of PID-
type Generalized Predictive Controller parameter
tuning on system performance was analyzed in time
domain with simulations. Compared conventional
Generalized Predictive Control algorithm, PID-type
Generalized Predictive Control algorithm has better
control performance.
1. Introduction
Generalized Predictive Control [1] [2] [3] (GPC) is
an adaptive model predictive control algorithm which
obtains model parameters with online identification,
then utilizes them for multi-step prediction and rolling
optimization. Thus GPC has the characteristics of both
the general model-based predictive and adaptive
control. Adopting traditional parameterized model, it is
easy to online identify because of less model
parameters. Prediction and control in different level
makes the system design more flexible. Based on
practical feedback information, this iterative
optimization has strong adaptability for uncertainties
such as modeling errors and environment disturbance.
Taking the control incremental sequence into account
in the objective function, the GPC applies to the long
time-delay, non-minimum phase, as well as non-linear
processes, and conditions to better control effect.
Therefore it has attached great importance of the
control engineering, presented a number of new
algorithms and won tremendous successes on
industry[4][5], aerospace and the like. Yet large
calculation online and difficulty on retraining
overshoot are still issues.
Conventional PID [1] [6] control linearly consists of
proportion (P), integral (I) and derivative of the
978-0-7695-3357-5/08 $25.00 © 2008 IEEE
DOI 10.1109/ICICTA.2008.210
feedback system deviation. It is simple, intuitional and
pellucid. It has strong robustness, high reliability, and
wide applicability and is prone to realization. All such
merits, it remains a basic control law applied
extensively in the industrial process control [7].
However, the conventional PID control cannot achieve
desirable effects because the practical production
processes are often nonlinear and time-varying.
Attempts can be made to combine PID control with
GPC control in order to utilize their merits. Wang
Lihui [8] made an effort on PID based feedback
correction strategy of generalized predictive control
model parameters mismatched. K.K.Tan [9] attempted
to add PID control link on the basis of generalized
predictive control in unstable system. Chen Zengqiang
[10] presented the generalized predictive controller
with PI structure. Wang Fanzhen [11] analyzed the
robustness of the PID generalized predictive controller
on frequency domain. Zhang Ping [12] discussed the
Generalized Predictive self-tuning PID controller for
non-minimum phase systems. In this paper, the
objective function is rebuilt so as to have PID structure
and PIDGPC algorithm is proposed, the influence of
PID-type generalized predictive controller parameter
tuning on system performance is analyzed on time-
domain with simulations.
2. Formatting instructions
A SISO process can be described by “Controlled
Auto-Regressive and Integrated Moving-Average”
(CARIMA) as the form
A(q −1 ) y(t ) = B(q −1 )u (t − 1) + C (q −1 )ξ (t ) / Δ (1)
Where
A(q −1 ) = 1 + a1q −1 + " + an q − na
B (q −1 ) = b0 + b1q −1 + " + bn q − nb
C (q −1 ) = 1 + c1q −1 + " + cn q − nc
Δ = 1 − q −1
299
y (t ) is the system output and u (t ) is the control input, Where E j , F j , G j , H j are polynomials of q −1 ,the
q −1 is backward shift operator, {ai } , {bi } and {ci } orders are j − 1, na , j − 1, nb − 1 respectively.
are polynomial coefficients of A ， B and C Deduction is
respectively, na nb and nc are corresponding orders. y(t + j) = Gj Δu(t + j −1) + Fj y(t ) + H j Δu(t −1) + E jξ (t + j)
A GPC objective function is usually defined as Ignore ξ (t + j ) since it is random noise, the Optimal
follows: ∧
N
⎡ ∧ 2
⎤ Prediction y (t + j ) is
J = ∑ ⎢
j =1 ⎣
w (t + j ) − y (t + j ) ⎥ +
⎦ ∧
(2) y(t + j) = Fj y(t) + H j Δu(t −1) + Gj Δu(t + j −1) (7)
Nu
λ ∑ [ + u ( t + j − 1)] 2 Define
j =1 f (t + j ) = Fj y (t ) + H j Δu (t − 1)
Where N is the maximum output horizon, N u is the Thus
control horizon and λ is control weighting sequence. ∧

∧ y (t + j ) = f (t + j ) + G j Δu (t + j − 1) (8)
y (t + j ) is predictive system output correction value With the functions
in future P steps. w(t + j ) is given as a set value e(t + j) = [w(t + j) − f (t + j)] − Gj Δu(t + j −1), j = 1,2,", N
soften sequence from Δe(t + j) = [Δw(t + j) −Δf (t + j)] −[Gj Δu(t + j −1) − Gj Δu(t + j − 2)]
w(t ) = y(t ), j = 2,", N
w(t + j ) = α w(t + j − 1) + (1 − α ) yr (t ), (3) Δe2 (t + j) = [Δ2 w(t + j) − Δ2 f (t + j)] − [G j Δu(t + j −1) −
j = 1,", N 2Gj −1Δu(t + j − 2) + Gj −2Δu(t + j − 3)], j = 3,", N
Where yr (t ) is the set value on t time, α (0 ≤ α < 1) Vector and matrix are introduced to facilitate the
derivation
is soften factor. Assume that
∧ w = [ w(t + 1)," , w(t + N )]T
e(t + j ) = w(t + j ) − y (t + j ) Δw = [ w(t + 1), Δw(t + 2)," , Δw(t + N )]T
j = 0,1," , N Δ2w = [w(t +1), Δw(t + 2) − w(t +1), Δ2w(t + 3),", Δ2w(t + N)]T
Thus the performance index can be expressed as
N Nu f = [ f (t + 1)," , f (t + N )]T
J = ∑ e(t + j ) + λ ∑ [+u (t + j − 1)]
2 2
(4) Δf = [ f (t + 1), Δf (t + 2)," , Δf (t + N )]T
j =1 j =1
Add PID parameters in this algorithm, a new PIDGPC
Δ2 f = [ f (t +1), Δf (t + 2) − f (t +1), Δ2 f (t + 3),", Δ2 f (t + N)]T
objective function can be obtained e = [e(t + 1)," , e(t + N )]T
N
J = ∑{Ki [e(t + j)]2 + Kp[+e(t + j)]2 + Kd [+2 e(t + j)]2} Δe = [e(t + 1), Δe(t + 2)," , Δe(t + N )]T
j =1 (5)
Nu
Δ2e = [e(t +1), Δe(t + 2) − e(t +1), Δ2e(t + 3),", Δ2e(t + N)]T
+λ∑[+u(t + j)]2 U = [Δu (t )," Δu (t + NU − 1)]T
j =1

e (t ) = Δ e ( t ) = 0 ⎡ g0 0 " 0 ⎤
∧ ⎢ g g0 % # ⎥⎥
e(t + j ) = w(t + j ) − y (t + j ) ⎢ 1
Where K p K i K d are the coefficients of proportion,
Gi = ⎢ # g1 % 0 ⎥
⎢ ⎥
integral and differential respectively. To facilitate the ⎢ g N −2 # % g0 ⎥
−1
) = 1 , introduce a set ⎢ g N −1 g N −2 " g N − Nu ⎥⎦
derivation, we can assume C ( q ⎣ N × Nu
of Diophantine equations
1 = E j (q −1 ) AΔ + q − j Fj (q −1 )
(6)
E j B = G j + q− j H j

300
 ⎡ g0 0 " 0 ⎤ 3. Simulation and analysis
⎢ g −g g0 % # ⎥
⎢ 1 0 ⎥ Model Transfer Function is
Gp = ⎢ # g1 − g0 % 0 ⎥ G ( s ) = 1 /( s + 1)(3 s + 1)(5 s + 1)
⎢ ⎥
⎢ g N−2 −gN −3 # % g0 ⎥ We make Periodic Sampling T=1, the model is
⎢ gN −1 − gN −2 gN −2 − gN −3 " gN −NU − gN −NU −1 ⎥⎦ dispersed by
⎣ N×Nu

⎡ g0 0 " 0 ⎤
G(q−1) = (0.0077q−1 + 0.0212q−2 + 0.0036q−3 )/
⎢ ⎥
⎢ g1 − 2g0 g 0 % # ⎥ (1−1.9031q−1 +1.1514q−2 −0.2158q−3 )
Gd = ⎢ g2 −2g1 +g0 g1 −2g0 % 0 ⎥ Using step input and least squares identification,
⎢ ⎥
# # %
⎢ g0 ⎥ with na = 1 ， nb = 1 ，the identification model can be
⎢gN−1 −2gN−2 + gN−3 gN−2 −2gN−3 +gN−4 " gN−Nu −2gN−Nu−1 +gN−Nu −2 ⎥⎦
⎣ N×Nu written as
As gi is the coefficient of q − i in G j (q −1 ) , we can G0 (q−1 ) = (0.0419q−1 + 0.0719q−2 ) /(1− 0.8969q−1 )
obtain There are comparisons between PIDGPC algorithm
e = w − f − GU
i
and GPC algorithm in figure 1 and figure 2, with

Δe = Δw − Δf − GPU Nu = 3 ， N = 3 ， α = 0 ， λ = 5 ， Ki = 0 ，
K P = 9 ， K d = 5 in figure 1 and N u = 3 ， N = 3
Δ 2 e = Δ 2 w − Δ 2 f − GdU
The new objective function is ， α = 0.8 ， λ = 5 ， K i = 8 ， K P = 12 ，
J = Ki eT e + K p ΔeT Δe + Kd Δ2eT Δ2e + λU TU (9) K d = 2 in figure 2.From the two figures, we can see
Assume ∂J / ∂U = 0 ，then simplify it, the result can that by adjusting parameters, the advanced PIDGPC
be represented as algorithm does better in restraining overshoot
suppression, fast tracking system, improving the
Δu(t) = R p (Δw−Δf ) + Ri (w− f ) + Rd (Δ2w−Δ2 f ) (10) dynamic performance and maintaining the stability of
Where system comparing with basic GPC algorithm.
Then we can test the influence of each parameter
Rp = e1T (λI + KpGTp Gp + KG T T −1
i i Gi + Kd Gd Gd ) KpGp
T
over the system by adjusting them. In figure 3, output
Ri = e1T (λI + KpGTp Gp + KiGiT Gi + Kd GdTGd )−1 KiGiT curves of system are given with different values of K i ,
Rd = e1T (λI + KpGTp Gp + KG T T −1
i i Gi + Kd Gd Gd ) KdGd
T
where Nu = 3 ， N = 3 ， α = 0 ， λ = 5 ，
e1T = [1, 0," , 0]TNu ×1 K P = 12 ， K d = 2 . With the value increase of K i ,
We use a matrix to simplify the formula the system dynamic performance is enhanced and
response speed is increased. But overshoot is also
⎡1 0 0 " 0⎤
⎢−1 1 increased and stability of system is decreased.
⎢ 0 % # ⎥⎥ In figure 4, output curves of system are given with
S = ⎢ 0 −1 1 % 0 ⎥ different values of K p , where N u = 3 ， N = 3 ，
⎢ ⎥
⎢ # % % % 0⎥
α = 0 ， λ = 1 ， Ki = 8 ， K d = 2 . With the value
⎢⎣ 0 " 0 − 1 1 ⎥⎦
Results can be obtained increase of K p , the system dynamic performance is
G p = SGi , Gd = S Gi , Δw = Sw ,
2 enhanced and response speed is increased. But
overshoot is also increased, which affects the stability
Δ 2 w = S 2 w , Δf = Sf , Δ 2 f = S 2 f , of system.
Using the equation
Ω = K i I + K p S T S + K d ( S 2 )T ( S 2 )
We can see
Δu (t ) = e1T (λ I + GiT ΩGi ) −1 GiT Ω( w − f ) (11)

301
Figure 1. Comparison of PIDGPC and GPC Figure 4. Influence of Kp on system output

Figure 2. Comparison of PIDGPC and GPC

Figure 5. Influence of Kd on system output

In figure 5, output curves of system are given with

different values of K d , where N u = 3 ， N = 3 ，
α = 0 ， λ = 0.5 ， Ki = 8 ， K P = 12 . With the
value increase of K d , the system dynamic performance
has declined and response speed has slowed down. But
overshoot is restrained efficiently and stability of
system is enhanced.

Figure 3. Influence of Ki on system output
4. Conclusion
On the basis of generalized predictive control, we
unify the PID control method to form a new predictive
control algorithm by changing objective function,
enable it has generalized structural feature of
proportion (P), integral (I), and the derivative
(D).There is also a certain similarity between the
parameter setting and the conventional PID parameter
variation. We can see from the above simulation

302
testing: Comparing with GPC, PIDGPC may
effectively restrain overshoot, have a better dynamic
performance and quicker system tracking by
adjusting K i , K p ， K d parameters properly. It is
more precise, robust, stable and suites industrial
applications for improving the industrial quality.
5. Acknowledgment
This work is supported by the National High-Tech
Research and Development (863) Program of China
(No.2006AA040308) and the Research Fund of
Nanjing University of Information Science and
Technology (No.20070089).
6. References
[1]. S. LI, Computer Control Basic. Hefei: University of
Science and Technology of China Press. 2001.
[2]. W WANG, Generalized Predictive Control theory and
its applications. Science Press. 1998.
[3]. D. Clarke, C. Mohtadi and p. Tuffs, “Generalized
Predictive Control: Part 1 and Part 2,” Automatica,
1987, vol.1, no.23, pp. 137-160.
[4]. M. Xu and S. Li, “Practical generalized predictive
control with decentralized identification approach to
HVAC systems,” Energy Conversion and Management,
2007, vol.1, no.48, pp.292-299.
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[5]. C Lu and C Tsai. “Generalized Predictive Control using
recurrent fuzzy neural network for industrial
processes,” Journal of Process Control, 2007, vol.17,
no.1, pp.83-92.
[6]. Y. LIU, “Nonlinear Predictive PID Control Based on
Neural Networks,” Control Theory and applications,
2003, vol.9, no.22, pp.19-20.
[7]. Y Kansha, L Jia and M Chiu. Self-Tuning PID
Controllers based on the Lyapunov approach.
Chemical Engineering Science, 2008.
[8]. L WANG, “PID feedback correction strategy
overcoming model parametric mismatch of GPC,”
Journal of Zhejiang university of technology, 2005,
vol.33, no.3, pp.266-267.
[9]. K. Tan, S. Huang, “Development of a GPC-based PID
controller for unstable systems with dead time,”
Transactions, 2000, vol.1, no.39, pp.57-70.
[10]. Z. CHEN, H. CHE and Z. YUAN, “Generalized
Predictor and Self-Corrector Control with P I
Structure,” Control and Decision, 1994, vol.2, no.9,
pp.106-108.
[11]. F. WANG, Z. CHEN and X.YAO, et al, “Frequency-
domain-based Robustness Analysis for PID
Generalized Predictive Control,” Engineering Science,
2006, vol.8, no.10, pp.66-70.
[12]. P. ZHANG, B. QU. “Generalized Predictive Self-
tuning PID Controller for Non-minimum Phase
Systems,” Control Theory and Applications, 2004,
vol7, no.23, pp.15-18.
 2008 International Conference on Intelligent Computation Technology and Automation
Analysis of Vehicle Rotation during Passage over Speed Control Road Humps
J. P. Hessling
SP Technical Research Institute of Sweden,
Measurement Technology,
Box 857, SE-50115 Borås, Sweden
peter.hessling@sp.se
Abstract
A method based on digital filtering for studying the
dynamic response of vehicles is applied to determine
the rotation of vehicles passing over speed control
humps. Design criteria for determining the optimal
hump length which strongly affects the rotation, is
proposed. The study focus on principal differences in
angular response of buses and cars to explain the
large and harmful acceleration recently measured at
the driver’s seat in buses running at allowed speed.
1. Introduction
Moving vehicles are excited in response to various
time-dependent forces and torques originating from the
profile and roughness of the road. In one of the most
successful and globally spread speed reducing
measures – road humps [1] – vehicles are intentionally
excited in excess. A road hump is a modified, usually
elevated short (~3-20m) section of the road. Below the
speed limit, road humps should provide a safe and
comfortable passage, but also be gentle to the vehicle
to avoid mechanical failures. Above the speed limit,
the discomfort should increase rapidly so as to enforce
a distinct speed reduction. The magnitude of the
vehicle response is mainly moderated by the height of
the hump, while the most important variation with
speed is set by its profile and length. The dynamic
response of various vehicles is not normally
systematically analyzed before the humps are put into
operation, even though the sudden change in road
condition raises several critical issues such as safety,
handling and comfort. A few years ago, one of the
authors constructed optimal road humps for a desired
vertical vibration of the vehicle [2]. Recently, we
978-0-7695-3357-5/08 $25.00 © 2008 IEEE
DOI 10.1109/ICICTA.2008.311
Pingyu Zhu
Hunan Provincial Key Lab of Health
Maintenance for Mechanical Equipment,
Hunan University of Science and Technology,
Xiangtan 411201, China
zhu.pingyu@gmail.com
synthesized and analyzed the optimal profile
differently utilizing a digital ‘vehicle’ filter [3]. A
single axis model was then utilized to find the basic
profile of the front and rear sides of the hump, while
little attention was paid to its length. Here, the rotation
effects which requires a model with several axis is
addressed.
There is at present a discussion [4-5] whether or not
bus drivers might suffer from injuries due to daily
passage over many speed humps. To evaluate the risk
of damaging the human spinal cord, there is a standard
[6] for evaluating the daily vibration dose. The bus
response is indeed estimated to be stronger than in
personal cars. Therefore, we will compare the
responses of typical cars and buses. For any given
hump and vehicle there will be a threshold velocity
above which the risk of discomfort and injury for
frequent passage becomes substantial. The claim by
bus drivers that this threshold may be exceedingly low
will here also be investigated.
2. Method
The response of the vehicle from the road profile is
determined in two steps: 1. A vibration model of the
vehicle is set up and reduced into a s-plane transfer
function (section 2.1). 2. Time domain propagators are
then synthesized as digital filters (section 2.2).
2.1. Vibration model of vehicle
Any vehicle with linear time-invariant passive
suspension can be analyzed similarly to the previously
studied material testing machine [7]. Each of the front
and rear axle models consists of two damped spring
mass subsystems coupled in series, a non-suspended
(wheels etc.) and a suspended (car body) part, see
304
Fig. 1. The radius of gyration ρ of the body mass m B state-space formulation with twice as many equations,
determines the resistance against angular vibration and but limited to first order time derivatives,
a is the center-of-mass, both normalized in the axle ( y1 y2 y3 y4 ) ≡ (w Λθ x1F x1R )
separation Λ . . (3)
yk + d ≡ ∂ t yk , k = 1,2,3,4
Λ
aΛ w The equations of motion then read (ϕ n ≡ k n + cn ∂ t ) ,

θ m B , ρΛ ⎛1 0 ⎞ ⎛ 0 1⎞ ⎛x ⎞
⎜⎜ ⎟⎟ ∂ t y = ⎜⎜ ⎟⎟ y + E ⎜⎜ 2 F ⎟⎟
ˆ
⎝0 M ⎠ ⎝K C⎠ ⎝ x2 R ⎠
l1F x1F x1R l1R Mˆ = diag (M ρΛ m F mR ) , (4)
T
⎛ 0 " 0 ϕ2F 0 ⎞
mF mR E = ⎜⎜ ⎟⎟
⎝ 0 " 0 0 ϕ2R ⎠
l2 F
x2 F x2 R l2 R Taking the Laplace transform of Eq. (4) and solving
for the states Y we obtain (Φ n ≡ k n + scn ) ,

Fig. 1 Vehicle model. ⎞ ⎛ 1

Y (s ) = [s − D]−1 E~(s )⎜⎜
⎟ X (s )
⎟ 2F
⎛ sΛ ⎞
⎜− ⎟
⎝ v ⎠
The coordinates x 2 F and x 2 R are the inputs and the ⎝e ⎠
⎛ 0 " Φ 2 F (s ) mF
T
translation w and rotation Λθ of the vehicle body the ~ 0 ⎞
E (s ) = ⎜⎜ ⎟ , (5)
outputs, respectively. Since both axes must experience ⎝0 " 0 Φ 2 R (s ) mR ⎟⎠
the same road profile, the input coordinates are related ⎛ 0 1 ⎞
by a time delay given by the velocity v and Λ , D = ⎜⎜ ˆ −1 ˆ −1 ⎟
⎟
x2 R (t ) = x2 F (t − Λ v ) . The model have four degrees of ⎝M K M C⎠
freedom (w, Λθ , x1F , x1R )
and its topology can be The transfer function from front wheel coordinate x2 F
expressed by a [symmetric] matrix [7] (a ≡ 1 − a ) , to angular deflection Λθ is thus,

⎛ −l1F −l1R al1F −a l1R l1F l1R ⎞ ⎛ 1 ⎞

⎜ ⎟
H θ (s ) = P[s − D ] E (s )⎜ exp⎛ − sΛ ⎞ ⎟
⎜ ⎟ −1 ~

⎜ al −a l −a l1F +a l1R
2 2
− al1F a l1R ⎟ ⎜ ⎜ ⎟⎟ . (6)
L = ⎜ 1F 1R . (1) ⎝ ⎝ v ⎠⎠
l1F − al1F −l1F −l2 F 0 ⎟ = (0 1 0 " 0)
⎜ ⎟ P
⎜ l −l1R −l2 R ⎟⎠
⎝ 1R a l1R 0
For convenience, each subsystem may be defined by its
When used for the spring (damping) constants resonance frequency ω n and relative damping ζ n ,
l n = k n (ln = cn ) , the matrix will be denoted K (C ) .
kn cn
As the vehicle moves, local vibrations will scatter into ωn = ~ ζn = ~
the entire vehicle since the matrix is non-diagonal. This m n 2 knm
( )
n
is the mechanism behind the excitation of the whole ~
m = mB ρ + a 2 2 ~
m = mF . (7)
1F 2F
vehicle as it moves along the road. The equations of
motion are Newton’s force and torque laws,
~
m 1R = mB (ρ 2
+a 2
) ~
m 2R = mR

∑f n
kn = mk ∂ t2 xk 2.2. Digital filtering for vehicle response
μ kn . (2)
∑ n Λ
= ρ 2 mB ∂ t2 (Λθ ) The vehicle is will here be realized as a digital
‘vehicle filter’, synthesized to have the frequency
response derived in section 2.1. The often preferred
where ∂ t is the time-derivative while f kn and μ kn mapping technique [8] will be applied. First, the
represent the n-th force and torque. The spring and transfer function (Eq. 6) is written in terms of zeros
damping forces of the model equal − kΔx and −c∂ t Δx (~z k ) and poles ( ~p k ) in the continuous time Laplace s-
for a contraction Δx , respectively. Finding the plane,
solution is facilitated by a transformation of Eq. 2 to a

305
 ∏ (1 − s ~z )
Hθ (s ) = .
k
(8)
0.04

∏ (1 − s ~p ) k 0.02

BUS: θ Λ
0
These poles and zeros are then transformed to the
-0.02
discrete time z-plane with the exponential conformal
-0.04
mapping, 0 5 10 15 20

q = exp(q~ f ), q = z , p .
Distance (m)
k k S (9) k k k 0.04

The IIR filter is directly found as, 0.02

CAR: θ Λ
4 0

( z−z ) 4
(1− p )
∑b z 4 k
k
-0.02
5 km/h

G (z ) = ∏
30 km/h

(1 − z ) ∏ (z − p )
k =0
θ
k
≡ k
4
. (10) -0.04
60 km/h
k =1 k
∑a z k =1 k

k =0
k
k 0 5 10
Distance (m)
15 20

Fig. 3 Impulse responses. The vertical dashed

The input and output coefficients of the filter are then lines indicate the impact on the rear axle.
given by {bk } and {ak } , respectively.
The dynamic response is neither instantaneous nor
without distortion. A static treatment is equivalent to
3. Application – vehicle rotation perfect dynamic response equal to −1, 1 at distances
x = 0, Λ , respectively, and otherwise vanishing.
Cars and ordinary buses will be studied (Table 1):
Beyond the double axle impact, the whole vehicle will
Table 1. Vehicle parameters. be excited with two impulses generated when the
Parameter(-s) Car Bus vehicle hits the front and rear ends of the hump. Due to
⎡ω1F ω1R ⎤ 1 ⎡ 2 1.4⎤
1 . ⎡ 2 .2 ⎤
2 the difference in sign of the front and rear slopes,
⎢ ⎥ ⎢ ⎥ Hz ⎢ ⎥ Hz constructive (destructive) interference will result when
⎣ω2 F ω2 R ⎦ 2π ⎣ 10 10 ⎦ ⎣8 9 ⎦ the impulse response auto-correlation function is at
⎡ζ 1F ζ 1R ⎤ ⎡0.25 0.25⎤ ⎡0.25 0.25⎤ minimum (maximum) for a lag equal to the hump
⎢ ⎢ ⎥ ⎢ ⎥
⎣ζ 2 F ζ 2 R ⎥⎦ ⎣ 0.1 0.1 ⎦ ⎣ 0.1 0.1 ⎦
length, see Fig. 4.

[ ] [20 30] [20 30]

BUS: Imp. resp. autocorr.

m B m F−1 m R−1
0.1
a 0.40 0.60 0.05
ρ 0.25 0.35 0
-0.05
Λ 3m 7m -0.1

The low entrance bus has a stiff suspension. The 0 1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20

Lag (m)
relative damping of the vehicles is based on a common
CAR: Imp. resp. autocorr.

15 km/h
Q-value [5]. The center-of-mass differs since the 0.1 30 km/h
engine often is placed in the front in cars but in the rear 0.05
45 km/h

in buses. The large radius of gyration of the bus 0

reflects its more uniform mass distribution. -0.05
-0.1

3.1. Vehicle dynamics 0 1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20

Lag (m)

For the transient excitations caused by any localized
road disturbance it is convenient to study the impulse
responses of the vehicles as functions of distance.
Their variation with speed is the operating principle of
road humps. The impacts of the front and rear axles
separated by Λ are easily identified, see Fig. 3.
Fig. 4 Auto-correlation of impulse responses.
Evidently, a critical hump length for both vehicles is
given by the axle separation (minimum at the vertical
lines), which is the ‘static’ result. There is only the
(static) shallow minimum of correlation for the car but
several minima for the bus: For a short lag/hump
length around 2 m the rotation is really strong if
v = 30 km/h . This is likely caused by the stiffness of
the bus which induce oscillations around 2 Hz or a
wavelength of about 5 m – when the front axle has

306
traveled this distance from the rear side of the hump,
the rear axle hits its front side and maximum
constructive interference results. If v ≈ 15 km/h , the
correlation is increased to maximum (Fig. 4) and the
rotation is reduced. Alternatively, if the velocity is
exceedingly low, typically v ≤ 5 km/h , the 2 Hz
oscillation triggered by the front axle passing the rear
hump side has had time to disappear before the rear
axle receive the front hump pulse. The hump length
then exceeds the correlation length of the impulse
response function (Γ ) , estimated as the maximum lag
for which the correlation function is ‘substantial’.
A possible road hump design is to avoid less
predictable interactions originating from the two sides
of the hump. A static analysis would yield a hump
length Ω ≥ Λ . The dynamic correlation length
increases with velocity and is typically 2Λ . Typically,
the road hump should be around 15 m for the studied
bus and 6 m for the car, if the speed limit is 30 km/h .
This is almost twice as long as the recommended
length Ω ≥ 8 - 10 m for bus passage in Sweden.
max θ Λ CAR = 0.1 is increased to 0.132 due to each
passage over the front and rear ends of the hump, as
can be seen for the 20 m hump. The combined
excursion is further increased to max θ Λ CAR = 0.173 .
Passing the hump at the speed limit instead of very
slowly thus gives 70% larger rotation of the car. For
Ω = Λ CAR , max θ BUS ≈ 0.4 max θ CAR . Increasing the
length to Ω = 20m > ΓBUS , the bus rotation is reduced
from max θ Λ BUS = 0.175 to max θ Λ BUS = 0.148 .
The variation of the response with velocity is the
fundamental operating principle of road humps. A
‘dynamic’ design of the hump for buses is, according
to Fig. 4, to use a length Ω = 4.5 m : For this lag the
impulse response has minimum correlation for
v = 20 km/h but maximum for v = 30 km/h . The
rotation should thus be more violent for the lower than
the larger speed, which is also confirmed in Fig. 6. At
v = 5 km/h the bus is able to follow the hump profile.
0.15

3.2. Road hump response 0.1

Since the angular response is mainly influenced the 0.05

length of the road hump, only the almost ideal [3]
BUS: θ Λ

harmonic profile will be used. It consists of two 0

sinusoidal sections with an easily scalable intermediate
flat top. The length Ω is here defined as the separation -0.05
5 km/h
20 km/h
between the half height positions. There is no other 30 km/h
hump length with enhanced rotation for the car than the -0.1
statically determined critical hump length Ω = Λ , see
Fig. 4. To reduce the impact on the bus the hump
length should be Ω ≥ ΓBUS ≈ 20 m . It is also of interest 0 1 2 3 4 5 6 7 8 9 10 11 12 13 14 15
Distance (m)
to study the response for Ω ≥ Λ BUS ≈ 7 m , see Fig. 5. Fig. 6 Angular excitation for bus and
Ω = 4 .5 m .
0.2

0.1
For buses with large overhang and the engine in the
BUS: θ Λ

0
rear, the distance between the driver’s seat and the
center-of-mass is comparable to the axle separation.
-0.1

-0.2
The acceleration, in units of g = 9.81 m/s 2 , the driver
0 5 10 15 20 25 30 35 40
Distance (m) Ω=ΛCAR=3 m
will be exposed to is then of the order of ∂ t2θ Λ . The
0.2 Ω=ΛBUS=7 m limit of acceptable acceleration is around 0.1g . Here it
0.1 Ω=ΓBUS=20 m may be much larger, see Fig. 7.
CAR: θ Λ

-0.1

-0.2
0 5 10 15 20 25 30 35 40
Distance (m)

Fig. 5 Road hump response at v = 30 km/h .

Indeed, the car rotation (bottom) is amplified at
distance 5.5 m for Ω = Λ CAR . The static excursion

307

0.8
0.6
0.4
BUS: ∂t θ Λ/g
0.2
2
0 The authors are indebted to Johan Granlund at the
-0.2
-0.4
-0.6
0 1 2 3 4 5 6 7 8 9 10 11 12 13 14 15
Distance (m)
Fig. 7 Angular acceleration for bus.
According to Fig. 7, the threshold velocity for which
max ∂ t2θ Λ ~ 0.1g , is v ≈ 10 km/h . If the driver insists
on driving at the speed limit v = 30 km/h , the seat
acceleration might be ten times larger or close to 1g .
The driver may then loose contact with the seat for
short periods of time. Indeed, an injury has been
reported [9] were a bus passenger claimed to have lost
contact with the seat. Unfortunately, the large
amplitude of oscillation up to twice the road hump
height (~ 0.2 m ) , makes it difficult to reduce the
acceleration with a soft suspended seat.
Rotation is likely not nearly as fatal for cars. The
distance between the seat and center-of-mass is usually
a small fraction of the axle separation. This implies
that the drivers and passengers will be exposed to an
angular acceleration much less than ∂ t2θ Λ . The
threshold velocity for acceptable angular acceleration
might be well above the speed limit.
4. Conclusion
A method to study the rotation of vehicles passing
over speed control road humps has been proposed. The
hump may either be made for the interference between
the responses when the vehicle hits its front and rear
sides, or be of sufficient length to avoid it. Simple
criteria for both alternatives have been proposed. To
avoid interference, the hump length Ω should exceed
the correlation length of the angular vehicle impulse
response. This length was found to be around twice the
axle separation Λ . The recommended static estimate
Ω ≥ Λ may thus result in strong interference and
unpredictable rotation.
The principal differences between buses and
personal cars were also explored. At the same speed,
the drivers of buses may experience a much larger
acceleration than the drivers of cars – a road hump
designed for a speed limit of v = 30 km/h for cars may
5 km/h
10 km/h result in a maximum speed for acceptable acceleration
30 km/h due to rotation in buses of only about v = 10 km/h .
5. Acknowledgment
Swedish Road Administration Consulting Services and
Erik Skarp, bus driver at Borås Lokaltrafik in Borås,
Sweden, for invaluable discussions. Financial support
from National Metrology, of the Swedish Ministry of
Industry, Employment and Communication, grant
38:10, and National Natural Science Foundation of
China, grant No.50774032, are gratefully
acknowledged.
6. References
[1] ITE Technical Council Task Force on Speed Humps,
“Guidelines for the Design and Application of Speed
Humps”, Washington, D.C., USA: ITE Institute of
Transportation Engineers, 1993, pp. 11-15.
[2] P.Y. Zhu, X. J. Li, D. S. Liu, and Y. D. Peng, “Inverse
Design for the Profile of a Vehicle Speed Control Bump”,
ICVE’2002, Nanjing, 2002.
[3] J. P. Hessling, P. Y. Zhu, D.S. Liu, “Optimal road hump
for comfortable speed reduction”, 4th ISPMM’ 2008,
International Symposium on Precision Mechanical
Measurements, Anhui, China, Aug. 25-29, 2008.
[4] http://www.dynamicmeasurementsolutions.com/Articles/
imacXXVI230__BRA.pdf
[5] K. Ahlin, J. Granlund, and R. Lundström, Whole-body
Vibration When Riding on Rough Roads – A shocking Study,
Swedish National Road Administration, Vol. 31E, 2000.
http://www.vv.se/filer/skakstudie.pdf.
[6] ISO 2631-5: 2004 Evaluation of the Human Exposure to
Whole-Body Vibration, Geneva: International Standard
Organization, 2004.
[7] J. P. Hessling, “Dynamic calibration of uni-axial material
testing machines”, Mech. Sys. Sign. Proc., 22 No. 2, 2008,
pp. 451-466.
[8] Chen Chi-Tsong, Digital Signal Processing, New York:
Oxford University Press, 2001.
[9] http://www.vti.se/epibrowser/Webbdokument/Transportf
orum/TP-
f%C3%B6redrag%202008/24%20Test%20av%20befintliga
%20Granlund.pdf
308
 2008 International Conference on Intelligent Computation Technology and Automation
Application of Improved PID Model Algorithmic Control Algorithm
Wei Guo；Xin Chen；Xiaohui Qiu
College of Information &Control, Nanjing University of Information Science &Technology
guowei@nuist.edu.cn；aonediana@163.com; xhqiu@nuist.edu.cn
Abstract
Based on the analysis of PID control algorithm
and model algorithmic control (MAC) algorithm, this
paper presents a new algorithm, the proportional
integral differential model algorithmic control
（PIDMAC） algorithm. The new algorithm, which is
simple in structure, reliable in operation and robust in
performance, is combined with the virtues of the two
algorithms above and superior in predictive function.
The influence of PIDMAC controller parameter tuning
on system performance was investigated in time
domain. The parameter election range was discussed
in simulative research. Through analysis and
comparing in simulative research, it is indicated that
PIDMAC algorithm has better performance than
conventional MAC algorithm, and grounds well for
engineering application.
1. Introduction
Model algorithmic control (MAC) algorithm is one
of the important representative model predictive
control algorithms, which is delivered by J.Richalet
etc. in 1978, and has advanced a lot over the years[1].
The model of MAC control algorithm is unit pulse
response. Traditional autocorrecting of single step
prediction is extended to multiple steps prediction.
Based on the practical feedback information, repeating
optimization of the algorithm restrains effectively the
algorithm sensitivity to parameter change of the model.
It has strong adaptability to uncertainty of model error
and environmental disturbance. At the same time,
MAC algorithm adopts location signal, so the swing
interference is great. And MAC algorithm is designed
according to a low order linear approximate model,
while complicated industrial processes have many
uncertainties on the aspects of model order, nonlinear
and environmental disturbance. So, the research of
improved MAC algorithm and the discussion of
parameter design to the influence of robustness have
important theoretical significance and practical value
978-0-7695-3357-5/08 $25.00 © 2008 IEEE
DOI 10.1109/ICICTA.2008.213
of application. [2]-[4] Traditional feedback control
algorithm—PID control is simple in principle, easy to
understand and implement in engineering, which is still
widely used in industrial process control. Many
advanced control methods is based on PID control
algorithm. But conventional PID control algorithm can
not achieve ideal control effect in some practical
production process with nonlinear and time varying
uncertainty. In order to solve these problems, people
explore the improvement of PID controller and
propose the predictive PID controller, introducing
steady-state error weighted items into predictive
control performance index in a broad sense. Predictive
control algorithm is rebuilt according to PID control
algorithm. It means that the predictive control
algorithm is decomposed as PID form and then the PID
controller has predictive function [5][6]. In order to
apply the virtues of the two control algorithms, PID
control algorithm is combined with model algorithmic
control algorithm. The restricted objective function is
altered to PID form. The new predictive control
method, PIDMAC control algorithm, is formed and
worth to be discussed[7].
2. PID and MAC control algorithm
PID controller is still one of the most extensive
application of conventional control algorithm in
industrial process control. It is combined proportional,
integral and derivative of feedback system deviation.
MAC control algorithm with the model of unit pulse
response ( {hi }( i =1,2,...) ) optimizes control system by
model predicting, rolling optimization online and
feedback revising. The best excellence of MAC is that
it puts the estate, hard control constraints and random
disturbances into target function directly to optimize
the control system. The algorithm deals with the
constraints and disturbances systematically and
distinctly. The MAC control algorithm is applicable in
asymptotical stationary linear system for its simple
model, less calculation and robustness in performance.
309
 Consider the quadratic performance index: P ⎧⎪ 2 ⎫⎪
J = ∑ ⎨Ki ⎡⎣e( k +1) ⎤⎦ +K p ⎡⎣Δe( k +1) ⎤⎦ +Kd ⎡Δ2e( k +1) ⎤ ⎬
2 2
∧ 2 ⎢⎣ ⎥⎦
2 ⎪⎩ ⎪⎭ (1)
J = Yd ( k +1)−Y ( k +1) + U ( k )
R 2
+λu ( k )
where Yd ( k +1) is desired output vector, Yˆ ( k +1) is where
output estimation value of system in future P steps, e ( k +1)=Yd ( k +1)−Yˆ ( k +1) =Yd ( k +1) −Yˆ0 ( k +1)− A2u ( k )
(2)
U ( k )=[u ( k ),"u ( k + P −1)]T is control matrix, R is P is prediction steps. λ >0 is control weighting
control weighted matrix. Control system predictive factor. K p is proportion coefficient, Ki is integral
state space model is: coefficient and K d is differential coefficient. Yd ( k +1)
⎧⎪ X ( k +1)= AX ( k )+ Bu ( k )
⎨ ， is desired output in future P steps. Yˆ ( k +1) is output
⎪⎩ y( k ) =CX ( k ) estimation value of system in future P steps,
where X (k ) = [x1 (k ),", x N (k )]T is state vector, ∧
Y 0 ( k +1) is predictive output in future P steps.
⎡0 1 0 " 0⎤ Then
⎢0 0 1 " ⎡ h1 ⎤
⎢ 0 ⎥⎥ ⎢h ⎥ e ( k )=Yd ( k )−Yˆ0 ( k ) − A2U ( k −1) (3)
A= ⎢ # % 0 % #⎥ , B=⎢ 2 ⎥ , According to formula (2) and formula (3), we can
⎢ ⎥ ⎢ # ⎥
⎢# % % % 1⎥ ⎢ ⎥ get
⎢⎣0 " " " ⎣ hN ⎦ N ×1
0 ⎥⎦ N ×N
Δe ( k + 1) = e ( k + 1) − e ( k )
(4)
C =[1 0 " 0]1×N are coefficient matrixes. = ΔY ( k + 1) − ΔYˆ ( k + 1) − ⎡⎣ A2U ( k )− A2U ( k −1) ⎤⎦
d 0
Minimizing the performance index function, we get then Δe( k )=ΔYd ( k )−ΔYˆ0 ( k )− ⎡⎣ A2U ( k −1)− A2U ( k − 2 ) ⎤⎦ (5)
the instantaneous control input:
From formula (4) and formula (5), we get as
u ( k )= K1 ⎡⎣Yd ( k +1) −Yˆ0 ( k +1) ⎤⎦ , where K1= ⎡⎣ k1,k2 ,"k p ⎤⎦ is follows:

)
−1 T
(
2 2 2
Δ e ( k +1 ) = Δ Y ( k +1 ) − Δ Yˆ ( k + 1 )
the first row of the matrix A2T QA2 + R A2 Q , d 0 (6)
− ⎡⎣ A 2U ( k ) − 2 A2U ( k −1 )+ A2 U ( k − 2 ) ⎤⎦
T
Yˆ0 ( k +1)= Ap Xˆ ( k )= ⎡⎣ xˆ2 ( k ), xˆ3 ( k ),", xˆ p +1( k ) ⎤⎦ ， To facilitate the derivation, vectors and matrixes are
⎡ h1 0 " ⎤
0 introduced as follows:
⎢ h ⎥ T
⎢ 2 h1 % #
⎥ Yd = ⎡⎣ yd ( k +1),", yd ( k + P ) ⎤⎦ ，
⎢ # % % 0 ⎥ T
⎢ ⎥ ΔYd = ⎡⎣ yd ( k +1),Δyd ( k + 2 ),",Δyd ( k + P ) ⎤⎦
⎢ hm hm −1 " h1 ⎥
A2 = ⎢
h1+ h2 ⎥
T
" " ⎡ ⎤
⎢ m +1
h
⎥ yd ( k +1),Δyd ( k + 2 ) − yd ( k +1),Δ 2 yd ( k +3), ⎥
Δ Y =⎢
2
⎢ # " " # ⎥
⎢ d ⎢", Δ 2 y ( k + P ) ⎥
p −m +1 ⎥ ⎣⎢ d ⎦⎥
⎢ h ⎥
⎢ p h p −1 " ∑ hi ⎥ T
⎣ i =1 ⎦ P×m Yˆ0 = ⎡⎣ yˆ0 ( k +1),", yˆ0 ( k + P ) ⎤⎦ ，
Yˆp ( k +1) is predictive output correction value. ΔYˆ0 = ⎡⎣ yˆ0 ( k +1),Δyˆ0 ( k + 2 ),",Δyˆ0 ( k + P ) ⎤⎦
T

T
⎡ yˆ ( k +1),Δyˆ ( k + 2 )− yˆ ( k +1),Δ 2 yˆ ( k +3),⎤
3. PIDMAC controller 2
Δ Y0 =ˆ ⎢ 0 0 0 0 ⎥
⎢ ⎥
⎣",Δ yˆ0 ( k + P )
2
⎦
PID control is combined with MAC control for the
T
sake of improving the control performance of control e = ⎣⎡e( k +1),",e( k + P ) ⎦⎤ ，
system. By introducing proportion, integral and T
differential into the new objective function, the Δe = ⎣⎡e( k +1),Δe( k + 2 ),",Δe( k + P ) ⎦⎤
structure of the deduced controller is characterized by T
general proportion, integral and differential. The new Δ 2e= ⎡ e( k +1), Δe( k + 2 )−e( k +1),Δ 2e( k +3),",Δ 2e( k + P ) ⎤
⎣⎢ ⎦⎥
performance index has generalized structure of
T
proportion, integral and differential. U = ⎣⎡u ( k ),",u ( k + m −1) ⎦⎤

310
 ⎡ h1 0 0 " 0 ⎤ where
⎢ ⎥
( )
" −1 T
⎢ 2h h1 0 0 ⎥ T T T
R = e λ +K p A2P A2P +Ki A2I A2I +Kd A2D A2D K A
⎢ # % % # 0 ⎥ P 1 p 2P
⎢ ⎥
( λ + K p A2 PT A2 P + Ki A2 I T A2 I + Kd A2 DT A2 D ) Ki A2 I T
" " " −1
⎢ hm h1 ⎥
= e
A =⎢ R
2I " " " h1+h2 ⎥ I 1
⎢ m+1
h
⎥
R = e ( λ + K p A2 P A2 P + K i A2 I A2 I + K d A2 D A2 D ) K A
−1
⎢ # % % # # ⎥ T T T T
⎢ ⎥ D 1 d 2D
⎢ P− m +1 ⎥
h
⎢ P hP−1 " " ∑ i⎥ h e1 =[1,0,",0]m×1 .
T
⎣ i=1 ⎦ P×m
⎡ h1 0 " " 0 ⎤
⎢ h −h h " " 0 ⎥⎥ 4. Simulation research and analysis
⎢ 2 1 1
⎢ # # % # # ⎥
⎢ ⎥ The transfer function of the simulation model
A2P =⎢hm −hm−1 hm−1 " h2 −h1 h1 ⎥
⎢h −h hm −hm−1 " h3−h2 h2 ⎥ is G ( s )= s + 2 15s 2 + 2 s +1 . Sampling period is T =3 , and
⎢ m+1 m ⎥
⎢ # % % # # ⎥ input is used. Fig. 1 is PIDMAC algorithm compared
⎢ h −h ⎥
⎣ P P−1 hP−1−hP−2 " hP−m+2 −hP−m+1 hP−m+1⎦ P×m with conventional MAC algorithm, where
λ =5, K P =5, Ki =10, K d = 2 . The improved algorithm has
A2 D = smaller oscillation and better to maintain system
stability. Overshoot is reduced, so the system can be
⎡ h1 0 " " 0 ⎤
⎢ ⎥ fast tracked in the process to the stable condition and
h2 − 2 h1 h1 % # 0
⎢ ⎥ the dynamic performance is improved by adjusting the
⎢ h3 − 2 h2 + h1 h2 − 2 h1 % # 0 ⎥ parameters K p , Ki and K d as figure 2~figure 4.
⎢ # % % # #
⎥
⎢ ⎥
⎢ hm − 2 hm −1 + hm − 2 " " " h1 ⎥
⎢ ⎥
⎢ hm +1 − 2 hm + hm −1 " " " h2 − h1 ⎥
⎢ # % % # # ⎥
⎢ ⎥
⎣ hP − 2 hP −1 + hP − 2 " " hP − m + 2 − 2 hP − m +1 + hP − m hP − m +1 − hP − m ⎦
P×m

According to the vectors and matrixes above, we

can derive the formulas as:
e =Yd −Yˆ0 − A2 I U (7)
Δe =ΔYd −ΔYˆ0 − A2 PU (8)
Δ 2e=Δ 2Yd −Δ 2Yˆ0 − A2 DU (9)
Transformed into vector form, formula (1) is
represented as follow:
Figure 1. Comparison of PIDMAC and MAC algorithm
J = Ki eT e + K p ΔeT Δe + K d Δ 2eT Δ 2e+ λU T U
Substituting formula (7), formula (8) and formula
(9) into equation above, let ∂J ∂ΔU = 0 , we can get
the equation as follow:
K
i ( − A2 I T Yd + A2 I T Yˆ0 + A2 I T A2 IU )
(
+ K p − A2 PT ΔYd + A2 PT ΔYˆ0 + A2 PT A2 PU )
+K
d ( − A2DT Δ2Yd + A2 DT Δ2Yˆ0 + A2 DT A2 DU ) + λU = 0
The final form is represented as:
( ) (
u ( k )= RP ΔYd −ΔYˆ0 + RI Yd −Yˆ0 + RD Δ 2Yd −Δ 2Yˆ0 ) ( )
Figure 2. Influence of K p on system control performance

311
 Through the adjustment of parameters, the influence
that each parameter has on system and comparison
with the model algorithmic control conventional
algorithm can be tested. Fig.2 illustrates the influence
of Kp on system control performance,
where λ =5, Ki =5, K d =0 . There are system output
response curves of different values of parameter K p .
Within a certain range, the dynamic performance of
system is enhanced, tracking speed is up, overshoot is
reduced along with the increase of K p .
Figure 3. Influence of Ki on system control performance
The system output response curves of different
values Ki are described in Fig. 3, where
λ =10, K P =3, K d =0 . With the increase of Ki , especially
when Ki ≥10 , system still has smaller overshoots, and
maintains good stability. In Fig. 4, there are system
response curves of different values K d ,
where λ =5, K P =1, Ki =10 . We can see from the figure
that though system performance improved with the
increase of K d in a wide range, the system is not very
sensitive to the altering of K d . Performance is not
improved in evidence.
Figure 4. Influence of K d on system control performance
312
5. Conclusion
Making use of the advantages of both control
algorithms, A new predictive control algorithm is
formed. The parameter setting has certain similarity
with conventional PID control algorithm for its
generalized structure of proportion, integral and
differential. Parameter design of PIDMAC control
algorithm is guided and the changes of control system
performance are analyzed by simulations through. It
lays a foundation for further researching selecting
ranges of performance optimized parameter as well as
algorithm’s application in cascade control. The
obtained method has achieved certain engineering
practical values.
6. Acknowledgment
This work is supported by the National High-Tech
Research and Development (863) Program of China
(No.2006AA040308) and the Research Fund of
Nanjing University of Information Science and
Technology (No.20070089).
10. References
[1] Richalet J, Rault, “A. Model Predictive Heuristic Control:
Application to Industrial Process”. Automatica, vol.14, no.5,
pp.413~428, 1978.
[2] S. Li, Compute Control Basis. Hefei: University of
Science and Technology of China Press, 2001.
[3] Y. Jin, Process Control. Beijing: Tsinghua University
Press, 1997.
[4] H. Shao, Industrial Process Advanced Control. Shanghai:
Shanghai Jiao Tong University Press, 1997.
[5] F. Wang, Z. Chen, and X. Yao, et al, “Frequency-domain-
based robustness analysis for PID generalized predictive
control”, Engineering Science, vol. 8, no. 10, pp. 66-70,
2006.
[6] K. Kwok, M. Ping, and P. Li, “A model-based augmented
PID algorithm,” Journal of Process Control, vol.10, no.1, pp.
9-18, 2000.
[7] W.Guo, S.Yao, “Improved PID dynamic matrix control
algorithm based on time domain”. Chinese Journal of
Scientific Instrument, vol.28, no.12, pp.2174-2178, 2007.
 2008 International Conference on Intelligent Computation Technology and Automation
Application of Variable Structure Control in Missile
Electromechanical Actuator System
Yuan Gao Liang-xian Gu
College of Astronautics College of Astronautics
Northwestern Polytechnical Northwestern Polytechnical
University University
Xi’an, Shannxi Province, Xi’an, Shannxi Province,
710072, China 710072, China
gaoyuannwpu@hotmail.com gulx@nwpu.edu.cn
Abstract
Parameter variation and load disturbance will have
great influence on the performance of missile
electromechanical actuator system and further on the
performance of the entire missile system during the
missile flight process. To solve this problem, a variable
structure control system for missile electromechanical
actuator system was proposed in this paper. To verify
the proposed control scheme, simulation has been
performed for different system parameters. Simulation
results indicate that the proposed variable structure
control method can provide the properties of
robustness to load and environment disturbance and
insensibility to parameter variation. So it is very
suitable for complicated and variable flight
environment of missile.
1. Introduction
Electromechanical actuator is the implementation
mechanism of missile control and guidance system. Its
performance will have great influence on the entire
missile system. Traditionally, the actuator controller is
designed utilizing classical control theory for a given
state according to the performance requirements, that is
to say the actuator system is assumed to be a
time-invariant system. This kind of controller usually
has simple structure and control law and can satisfy the
performance requirements when missile flight state and
environment change in a relatively small range. But
during the flight process, the actuator system
parameters are not constants all the time. They will
change with variations of missile flight altitude, speed
and rudder deflection angle etc., especially the flight
altitude and speed can change greatly in a large range,
978-0-7695-3357-5/08 $25.00 © 2008 IEEE 313
DOI 10.1109/ICICTA.2008.151
Lei Pan
College of Astronautics
Northwestern Polytechnical
University
Xi’an, Shannxi Province,
710072, China
dongeast007@hotmail.com
and the rule of parameter change is usually
unpredictable. If the traditional method is adopted in
controller design, it needs to be designed for each
flight state so as to adjust controller parameters
simultaneously. Otherwise, the designed controller will
not satisfy the tempestuously variable flight state. This
method greatly increases the workload and complexity
of controller design.
The variable structure control is an effective,
high-frequency switching control strategy for linear
and nonlinear systems with uncertainties [1]. It features
good robustness to load disturbance and insensibility to
parameter variations and fast dynamic response [2].
This paper proposes a variable structure controller
for missile electromechanical actuator system instead
of the traditional controller designed utilizing the
classical control theory. This scheme simplifies the
designing process and reduces the workload of
controller design, and can be implemented very easily.
Simulation results show that the proposed variable
structure controller is evidently robust to load
disturbance and insensitive to parameter variations.
2. Mathematical Model of Missile
Electromechanical Actuator
A typical electromechanical actuator system is
commonly composed of controller, drive, servo motor,
reducer and feedback potentiometer, shown in Fig.1.
ui ue u DC Servo θ δ
Controller Drive Reducer
Motor
uf
Feedback
Potentiometer
Fig.1 Block diagram of missile
electromechanical actuator
 The mathematical model of electromechanical parameters. In missile flight mechanics, the hinge
actuator can be expressed utilizing the following moment is stated as [4]:
equations [3] without regard to the damping torque, the M h = mh qSb (8)
viscous friction torque and the windings inductance of
motor armature. where
Voltage balance equation: mh — hinge moment coefficient
u = Ra I a + K eθ (1) q —dynamic pressure
Torque equation: M = Km I a (2) S —rudder area
Mechanical equation: b — average aerodynamic chord length.
.Both mh and q are time-variant. mh is related to
d 2θ M h
M =J + (3) the rudder deflection angle δ , and q varies along with
dt 2 K iη
the change of missile flight speed and height. During
where
the entire missile flight process, the flight speed and
u —armature control voltage height can change in a large range, so the load torque
Ra —armature windings resistance M h will change acutely. Furthermore, the control
I a —armature current voltage u lies on the error between the required
K e —counter electromotive force coefficient rudder deflection and the actual rudder deflection, thus
u is also variable with time. Thus it can be seen the
θ —angular position of servo motor shaft mathematical model of missile electromechanical
M —control torque actuator system defined in equation (5) is time-variant.
K m —torque coefficient This makes the controller designed by traditional
method unsuitable for the actuator system.
η —transmission efficiency
J —equivalent moment of inertia of rotor and 3. Variable Structure Controller Design [5]
load relative to motor shaft
K i —transmission ratio Variable structure control comprises the basic two
actions: hitting and sliding mode actions. The hitting
M h —load torque, here it is hinge moment action satisfies sliding mode existence condition with
Suppose the rudder deflection angle is δ , the discontinuous control input which directs the state
towards the sliding surface in state space. The sliding
relationship between δ and θ is
mode action lets the system move along the sliding
θ = Kiδ (4) surface to have robust control performance.
According to the motion equations of DC servo To satisfy the hitting condition, we need to select
motor, we can obtain the transfer function of missile the switching gains properly. And we should choose
electromechanical actor by combining equations (1), appropriate gradient value for the sliding surface to
(2), (3) and (4) . make the state converge to the origin in good manner.
δ K Equation (5) is the transfer function of missile
= (5) electromechanical actuator. It may be rewritten in the
ua s (τ m s + 1) form of differential equation.
where
d 2δ dδ
1 Ra M h τm 2 + = Ku (9)
K= − (6) dt dt
K e K i η K i2 K m K eua
Assume δ is the desired rudder deflection, and
*

JRa
τm = (7) e ( e = δ * − δ ) is the error between desired rudder
Ke Km deflection δ* and actual rudder deflection δ . Let
From equation (5), we can see that a typical missile
electromechanical actuator system can be simplified to
state variable x1 = e , x2 = e , equation (9) may be
a second-order time-variant system. According to rewritten as follows.
equation (6), the transfer function parameter K is dx2 x K
=− 2 − u+ f (10)
determined by the hinge moment M h and the control dt τm τm
voltage u without regard to the variations of other

314
 d 2δ * 1 dδ * ⎧ Kϕ1
where f = +
dt 2 τ m dt
. ⎪− τ x1s < 0
⎪ m
Equation (10) can be rewritten in the form of state ⎨ (17)
⎪⎛ c − 1 − Kϕ2 ⎞ x s < 0
⎪⎜⎝ τ m τ m ⎟⎠ 2
equation,
⎧ x1 = x2 ⎩
⎪ Thus the switching gains of the control law are
⎨ 1 K (11)
⎪ x2 = − τ x2 − τ u + f ⎧α > 0, x1s > 0
⎩ m m ϕ1 = ⎨ 1 (18)
The switching function can be written as ⎩ β1 < 0, x1s < 0
s = cx1 + x2 (12) ⎧⎪α 2 > (τ m c − 1) K , x2 s > 0
where c is the sliding surface gradient. ϕ2 = ⎨ (19)
When the system state is in the sliding mode phase, ⎪⎩ β 2 < (τ m c − 1) K , x2 s < 0
the switching function maintains zero. The configuration of variable structure control for
s = cx1 + x2 = cx1 + x1 = 0 (13) missile electromechanical actuator system is shown in
Fig.2.
The solution of equation (13) is
α1 ϕ1 x1
x1 ( t ) = x1 ( 0 ) e− ct (14) δ* x1
β1 K δ
It is obvious that when c > 0 in the sliding mode s
u
α2 s ( τm s + 1)
phase, the second-order system looks like an
asymptotically stable first-order system with a time x2 β2 ϕ2 x2
constant of c . The dynamic characteristics are
independent of system equation.
Choose the variable structure control law as Fig.2 Diagram of variable structure control for
u = ϕ1 x1 + ϕ2 x2 (15) missile electromechanical actuator

where ϕ1 and ϕ2 are switching gains. 4. Simulation Results and Discussion [6]
According to the sliding mode condition, when the
system state has not been in the sliding mode action From equation (6), all the influences of load
phase, the following hitting condition must be satisfied disturbance and variations of environment and missile
to direct the system state towards the sliding surface flight state on electromechanical actuator system can
from any initial state and keep it in the sliding mode be boiled down to the influence on the parameter K .
stably and reliably. When the flight state changes, the parameter K will
⎧⎪ lim+ s < 0 change accordingly.
s →0
⎨ Or ss ≤ 0 (16) To verify the feasibility of the proposed variable
lim
⎪⎩ s →0− s > 0 structure control system, simulation of different cases
of K has been performed and the results were
Substitute equation (11) and (15) into (16), and
compared with conventional controlled actuator. The
assume the given rudder deflection δ * is a step signal, cases of parameter K are as follows: (1) do not
we can obtain change, (2) shrunk to 1/10, (3) expanded 10-fold. The
⎡ 1 K ⎤ parameters of electromechanical actuator used in this
s ⎢cx2 − x2 − (ϕ1 x1 + ϕ2 x2 ) ⎥ simulation are given as follows [7]:
⎣ τm τm ⎦ K m = 0.0205rad/Nm K e = 0.0205V/ ( rad/s )
Kϕ1 ⎛ 1 Kϕ2 ⎞ Ra = 1.38Ω La = 0.22mH
=− x1s + ⎜ c − − ⎟ x2 s < 0
τm ⎝ τm τm ⎠ −6
J = 4.16 ×10 Kg ⋅ m 2
η = 85% Ki = 216
The sufficient conditions to satisfy the hitting The simulation results are shown from Fig.3 to
condition are as follows. Fig.5. Fig.3 shows the response outputs of
electromechanical actuator system with both variable
structure control and conventional control when
parameter K do not change. It is obvious that for both
control types, the dynamic response has no overshoot

315
and steady-state error, the quality of transition process
is good. But the response of variable structure control
is obviously faster than conventional control. Fig.4 is
the output when the parameter K is shrunk to 1/10 of
its original value. Reduction of K is equivalent to
reduction of electromechanical actuator open-loop gain,
so the response slows down. But still, the response of
variable structure control is faster than that of
conventional control. Fig.5 is the response curve when
parameter K is expanded to 10 times of its original
value. By virtue of the increase of open-loop gain, the
response of conventional control becomes to have
overshoot, the dynamic characteristics become worse.
On the contrary, the dynamic and steady characteristics
Fig.5 Expanded to 10 ⋅ K
of variable structure control nearly hold the line before
and after variation of parameter K .
It can be seen from the above simulation results 5. Conclusion
that the proposed variable structure control can still
satisfy the performance requirements despite the
A variable structure controller for missile
acutely variation of electromechanical actuator system
electromechanical actuator system has been proposed
parameter. This control method can enhance the stable
in this paper. The validity for practical implementation
precision and improve the dynamic characteristics of
is demonstrated through computer simulation. The
system.
simulation results show that the proposed controller
can provide the properties of insensibility to parameter
variations and robustness to load disturbance, and is
suitable for complex and variable flight environments.

Acknowledgement
This work is supported by Weapons Preliminary
Research Focused Funds of P.R. China under Grant No.
9140A01010106HK03.

References
[1] Tahara J L, Tsuboi K, Sawano T, Nagata Y, “An Adaptive
VSS Control Method with Integral Type Switching Gain”,
Proceedings of the IASTED International Conference
Fig.3 No change of K
Robotics and Applications, Florida, USA, 2001,
pp.106-111.
[2] Yan-jun Li, Ke Zhang, Self Adaptive Control Theory and
Application, Northwestern Polytechnical University Press,
Xi’an, 2005.
[3] Zhong-xu Gao, Mechanical and Electrical Engineering,
Tsinghua University Press, Beijing, 2002.
[4] Xue-fu Lv, Missile Flight Mechanics, Northwestern
Polytechnical University Press, Xi’an, 1995.
[5] Wei-bing Gao, Variable Structure Control Theory, China
Science and Technology Press, Beijing, 1990.
[6] Jin-kun Liu, MATLAB Simulation of Variable Structure
Control with Sliding Mode, Tsinghua University Press,
Beijing, 2005.
[7] Yuan Gao, Liang-xian Gu,“Research on Self Adaptive
Control Method of Missile Electric-Servo-Actuator
Fig.4 Shrunk to K 10 System, Measurement and Control Technology, Beijing,
2007,26(11),pp. 33-35.

316
 2008 International Conference on Intelligent Computation Technology and Automation
Catastrophe Control Technique in High Dimension System
SUN Yao, WANG Xiao-bin, MO Hong-wei
College of Automation, Harbin Engineering University, 150001, China.
E-mail: wxbzhj@yahoo.com.cn
Abstract
Catastrophe control was discussed in high-
dimensional nonlinear systems without getting
eigenvalues. Using the coefficients of characteristic
equations, the linear control gains for catastrophe
critical conditions were determined. The nonlinear
gains were chosen by utilizing the center manifold
theory and normal form reduction to assure the
stability of limit cycle. Applications were illustrated for
submarine motion model to create a catastrophe with
preferred properties at a desired location. This
convenient and effective control algorithm has a bright
future in nonlinear control system design.
1. Introduction
Many system behaviors in factual engineering are
described by nonlinear differential equations. Since in
high-dimensional system the analytical eigenvalues are
difficult to compute, we can only analyze the
qualitative characteristics nearby the equilibriums. In
1972, the catastrophe theory was illuminated by French
mathematician Rene Thom aiming at system state
transition analysis [1]. Catastrophe theory is a well-
established approach with applications in different
research areas such as physics [2], chemistry, biology,
social sciences and engineering.
Oscillatory behaviors of nonlinear systems can be
beneficial in many practical applications such as
artificial heart control, monitoring and fault diagnosis
in electromechanical systems, and providing an
impending collapse warning signal to the system. The
literature on oscillation control has grown at a rapid
pace. Creation of oscillation via catastrophe control is
one way to design oscillatory behaviors with specified
properties into nonlinear dynamical systems. This
paper will study a control algorithm for creating
catastrophe oscillatory behaviors in nonlinear system
of arbitrary dimension.
978-0-7695-3357-5/08 $25.00 © 2008 IEEE
DOI 10.1109/ICICTA.2008.178
2. Catastrophe oscillation theory
Catastrophe theory discusses the differential
dynamic system state jumping phenomenon from
mathematical aspect. The main methodologies are
bifurcation theory, singularity theory and structure
stability conception. Catastrophe control is to design
the controller which can change the catastrophe
characteristic of nonlinear system to get desired
behavior. The objective of control can be stabilization
and/or delay of an existing catastrophe, reduction of
the amplitude of bifurcated solutions, optimization of a
performance index near catastrophe point, re-shaping
of a catastrophe diagram, creation of benefit
catastrophe at desired location, or a combination of
some of these.
Catastrophe oscillation is a transition process to
make system altered from one state to periodical
oscillatory state surrounded by a limited cycle.
Consider an n-dimensional nonlinear continuous-
time system:
x = f μ ( x ) (1)
where x = ( x1 , x2 ," xn ) ∈ R
T n
are state variables;
μ = ( μ1 , μ2 ," μm ) ∈ R
T m
are control variables, or
catastrophe parameters; f : R n × R m → R n are
sufficiently smooth functions of x and μ ,and the
derivate of x and μ is continuous.
According to singularity theory, the equilibrium
surface is S : f μ ( x) = 0 ; singularity point set is the
subset of S which satisfy det Dx f μ ( x) = 0 . Assume
that x0 ( μ ) is an equilibrium point which exists and is
asymptotically stable for a range of parameter values.
Outside the normal operating regime, i.e., as μ is
varied, the operating point can lose its stability in a
number of ways. For instance, a complex conjugate
pair of eigenvalues of the linearization of (1) at x0 may
cross the imaginary axis into the right half of the
317
complex plan as μ is varied through a critical stability criterion, which is stated in terms of the
coefficients of the characteristic equations instead of
value μ0 . Alternately, the equilibrium point might
those of eigenvalues.
cease to exist past a parameter value for which the Suppose the characteristic polynomial of the Jacobi
linearization has a zero engenvalue. Then the system is matrix as
known to undergo a Hopf bifurcation to periodic P(λ ; μ ) = det( Dx f μ ( x0 ) − λ I )
solutions. So, the catastrophe oscillation occurs.
= p0 ( μ )λ n + p1 ( μ )λ n −1 (2)
+ " + pn −1 ( μ )λ + pn ( μ )
Let
Δ1 ( μ ) = p1 ( μ ) ,
p1 ( μ ) p0 (μ )
Δ 2 (μ ) = ,
p3 ( μ ) p2 (μ )
#
p1 ( μ ) p0 (μ ) " 0
p3 ( μ ) p2 (μ ) " 0
Δ n (μ ) =
# # % #
Figure 1. Hopf bifurcation p 2 n −1 ( μ ) p 2n−2 ( μ ) " p n ( μ )
To create this catastrophe oscillation by controller
If i<0 or i>n , pi ( μ ) = 0 and
at desired point ( x0 , μ0 ) need two basic critical
conditions including the eigenvalue assignment and the
Δ n ( μ ) = p n ( μ )Δ n −1 ( μ ) .
transversality condition: The equivalent criterion for original one is
(1) The eigenvalue assignment that the Jacobi (H1) the eigenvalue assignment that p n ( μ 0 ) > 0 ,
matrix Dx f μ0 ( x0 ) of (1) has a pair of pure imaginary Δ1 ( μ 0 ) > 0 , Δ 2 (μ 0 ) > 0 , " , Δ n −2 ( μ 0 ) > 0 ,
eigenvalues λ1 ( μ ) an λ1 ( μ ) , λ1 ( μ0 ) = ω0i , ω0 ∈ R and Δ n −1 ( μ 0 ) = 0 ;
and the other (n-2) eigenvalues have negative real parts (H2) the trasversality condition that
at μ = μ0 ; d (Δ n −1 ( μ ))
≠ 0.
(2) The transversality condition that dμ μ =μ0
d (Re(λ1 ( μ )))
≠0
dμ μ = μ0 3. Catastrophe control law
From the above critical criterion, to detect the
existence of catastrophe oscillation at equilibrium Preserving the equilibrium structure of the original
system is a basic principle of catastrophe control. So,
( x0 , μ0 ) must get all of the eigenvalues of we apply the washout filter. Consider the control
Dx f μ0 ( x0 ) in first. The control gains can be easily system with wash-out filter as
~
derived according to the critical conditions for low x = f ( x, u; μ ) = f μ ( x) + u (3)
dimension system. However, for high-dimensional w = x − dw , u = g ( x − dw; K1 , K 3 )
systems, the explicit expression of the control gains
becomes difficult or even impossible. Several authors μ ∈ R is the catastrophe parameter; u is the control
focus on the eigenvalues assignment for critical input vector; wk is the state variable vector of washout
condition. However, while the transversality condition
filter which is stable when d > 0 . The linear term of
fails, the dynamic outcome of the designed control
system may become one type of degenerate control gain K 1 is utilized to determine the critical
bifurcations which can not satisfy the design of conditions. The nonlinear term K 3 control the stability
catastrophe controller.
Ref. [5] indicated an equivalent implicit criterion of of bifurcation solutions.
Hopf bifurcation on the basis of the Routh-Hurwitz We take (3) as an n-dimensional system, denoted by

318
 ~
x = Fμ ( x; μ ) (4) form reduction to analytically derive the stability
condition with respect to the nonlinear gain vector K 3 .
where x is the vector ( x, w) , and
~ Assume that λ1 ( μ 0 ) = ω0i and λ1 ( μ 0 ) = −ω 0 i with
~ ⎛ f ( x, u; μ ) ⎞
Fμ ( x; μ ) = ⎜⎜ μ ⎟ . Suppose that ( x 0 ; μ 0 ) is ω 0 = Im(λ1 ( μ 0 )) > 0 is the pair of pure imaginary
⎟
⎝ x − dw ⎠ eigenvalues of D F ( x ; μ , K * ) and M is the
x 0 0 1
the desired bifurcation point where would occur the
catastrophe oscillation. eigenmatrix with respect to the other eigenvalues
λ j ( μ 0 ) with Re(λ j ( μ0 )) < 0 ( 3 ≤ j ≤ n ). Denote v j
3.1. Linear control gain vector K 1 as the eigenvector of λ j ( μ 0 ) ( 1 ≤ j ≤ n ) and
N = (Re v1 ,− Im v1 , r3 , r4 , " , rn ) where rj = v j
As a critical condition of linear gain term K 1 , the
~ if λ j ( μ 0 ) is real or r j = Re v j and r j +1 = − Im v j if
eigenvalue assignment must require D x F ( x 0 ; μ 0 , K 1 )
having a pair of pure imaginary eigenvalues and the the λ j ( μ 0 ) and λ j +1 ( μ 0 ) are a complex conjugate pair.
others with negative real parts. But the Jacobi matrix Taking a coordinate change x = x0 + Ny where
would never be a constant one for import the gain
y = ( y1 , y 2 , ", y n ) T , we can convert the system (4)
vector K 1 . Since it is difficult to calculate all the
into the form,
explicit eigenvalues in high dimension system, we
adopt the implicit criterion (H1) to choose a proper y = F ( y; μ ) (5)
Where
K 1 for catastrophe oscillation. Under the ~
F ( y; μ ) = ( F 1 , F 2 ," , F n ) T = P −1 F ( x 0 + Ny ; μ )
constrains pn (μ 0 , K1 ) > 0 ,
with F (0; μ ) = 0 and its Jacobi matrix
Δ1 (μ 0 , K1 ) > 0 , Δ 2 ( μ 0 , K1 ) > 0 , " ,
⎡0 −ω0 0⎤
Δ n −2 ( μ0 , K1 ) > 0 , to compute the
equation Δ n −1 ( μ 0 , K 1 ) = 0 would be easily.
A( μ0 ) = ⎢⎢ω0 0 0 ⎥⎥ (6)

Generally, the trasversality condition depends on ⎢⎣ 0 0 M ⎥⎦

the derivative of eigenvalues with respect to the The stability condition of limit cycle is
parameter μ , its computation is impossible if without β ( K 3 ) = 2 Re(( g 20 ( μ0 ) g11 ( μ0 ) − 2 g11 ( μ0 )
2

the explicit eigenvalue expressions in high-dimension (7)

cases. Criterion (H2) presents the approach which 1 i g (μ , K )
g 02 ( μ0 ) )
2
− + 21 0 3 )
utilizes the derivative of simple polynomial 3 2ω0 2
Δ n −1 ( μ , K1 ) to satisfy the trasversality condition. where
By selecting any d > 0 , we solve for the 1 ∂2F1 ∂2 F1 ∂2 F 1
vector K1 = K1* from Δ n −1 ( μ 0 , K1 ) = 0 , which g 20 ( μ0 ) = ( − +2
4 ∂y1∂y1 ∂y2 ∂y2 ∂y1∂y2 (8)
simultaneously satisfy with the other inequities in (H1)
∂ F
2 1
∂ F 2
∂ F 1 2 1
and (H2). So the occurrence of a catastrophe oscillation + i( − −2 ))
of system (4) is designed at the desired location ∂y1∂y1 ∂y2 ∂y2 ∂y1∂y2
at ( x0 ; μ 0 ) . 1 ∂2F1 ∂2F1 ∂2 F1 ∂2 F1
g11 ( μ0 ) = ( + + i( + ))
4 ∂y1∂y1 ∂y2 ∂y2 ∂y1∂y1 ∂y2∂y2
3.2. Nonlinear control gain vector K 3 (9)
1 ∂ F 2
∂ F 1
∂ F 2 1 2 1

The stable oscillation results a more desirable g 02 ( μ0 ) = ( − −2

4 ∂y1∂y1 ∂y2 ∂y2 ∂y1∂y2
system response in engineering application. So, we (10)
should choose the nonlinear gain K 3 to deals with the ∂2 F1 ∂2 F1 ∂2F1
+ i( − +2 ))
stability of the limit cycle created by K 1 . We employ ∂y1∂y1 ∂y2 ∂y2 ∂y1∂y2
the techniques of center manifold theory and normal and if the dimension of system (5) n = 2 , then
g 21 ( μ 0 , K 3 ) = G 21 ( μ 0 , K 3 ) . (11a)
Otherwise, then

319
 g 21 ( μ0 , K3 ) = G21 ( μ0 , K3 ) ⎧ ⎡ u ⎤ ⎡ wq − vr ⎤ ⎡ zG q − yG r ⎤ ⎡ ( yG p − xG q )q + ( zG p − xG r )r ⎤ ⎫ ⎡ X ∑ ⎤
⎪ ⎪
m ⎨ ⎢⎢ v ⎥⎥ + ⎢⎢ur − wp ⎥⎥ + ⎢⎢ xG r − zG p ⎥⎥ + ⎢⎢ ( zG q − yG r ) r + ( xG q − yG p ) p ⎥⎥ ⎬ = ⎢⎢ Y∑ ⎥⎥
n−2 (11b) ⎪ ⎢ w ⎥ ⎢ vp − uq ⎥ ⎢ y p − x q ⎥ ⎢ ( x r − z p ) p + ( y r − z q )q ⎥ ⎪ ⎢ Z ⎥
+ ∑ (2G110
k
s11k + G101
k k
s20 ) ⎩⎣ ⎦ ⎣ ⎦ ⎣ G G ⎦ ⎣ G G G G ⎦⎭ ⎣ ∑ ⎦

k =1
⎡ Ix I xy I xz ⎤ ⎡ p ⎤ ⎡ ( I zx p + I zy q + I z r )q − ( I yx p + I y q + I yz r ) r ⎤
⎢ ⎥ ⎢ ⎥
⎢ I yx Iy I yz ⎥ ⎢⎢ q ⎥⎥ + ⎢ ( I x p + I xy q + I xz r )r − ( I zx p + I zy q + I z r ) p ⎥
where
⎢ I zx I zy I z ⎦ ⎣⎢ r ⎦⎥ ⎣ ( I yx p + I y q + I yz r ) p − ( I x p + I xy q + I xz r ) q ⎥⎦
⎥ ⎢
⎣
1 ⎛ ∂3 F 1 ∂3 F 1 ∂3 F 2
G21 ( μ0 , K3 ) = ⎜ + + ⎡ yG w − zG v ⎤ ⎡ yG (vp − uq ) + zG ( wp − ur ) ⎤ ⎡ K ∑ ⎤
⎢ ⎥
8 ⎝ ∂y1∂y1∂y1 ∂y1∂y2 ∂y2 ∂y1∂y1∂y2 + m ⎢⎢ zG u − xG w ⎥⎥ + m ⎢⎢ zG ( wq − vr ) + xG (uq − vp) ⎥⎥ = ⎢ M ∑ ⎥
⎢⎣ xG v − yG u ⎥⎦ ⎢⎣ xG (ur − wp) + yG (vr − wq ) ⎥⎦ ⎢⎣ N ∑ ⎥⎦
∂F3 2
⎛ ∂3F 2 ∂3 F 2
+ +i⎜ + (18)
∂y2 ∂y2 ∂y2 ⎝ ∂y1∂y1∂y1 ∂y1∂y2∂y2 The symbols of the model are described in Ref. [7].
Substituting the influence of hydrodynamic
∂3 F 1 ∂3 F 1 ⎞ ⎞
− − ⎟⎟
coefficients into the model respectively, the following
∂y1∂y1∂y2 ∂y2 ∂y2 ∂y2 ⎠ ⎟⎠ matrix form is obtained,
(12) A(u v w p q r)T = ( f x f y f z f k f m f n )T

j −2 1⎛ ∂ F 2
∂ F1 ⎛ ∂ F
2 2
∂ F 2 2 2 1 ⎞⎞ (19)
G110 = ⎜ + +i⎜ − ⎟⎟ ⎟ According to experiences, the axial equation can be
2 ⎜⎝ ∂y1∂y j ∂y2 ∂y j ⎜⎝ ∂y1∂y j ∂y2∂y j ⎠⎠
⎟ replaced by the experiential expression

( ) = U ⎛⎜⎝1 − e ⎞.
−0.52 R −0.52 u
(13) U ≈ u ≈ U0 1− e |ψ | L
L
⎟
⎠
0
j −2 1 ⎛ ∂2 F 1 ∂2F 2 ⎛ ∂2 F1 ∂2 F 2 ⎞⎞
G101 = ⎜ − +i⎜ + ⎟⎟ ⎟ A = (aij )6×6
2 ⎜⎝ ∂y1∂y j ∂y2 ∂y j ⎜⎝ ∂y2 ∂y j ∂y1∂y j ⎠⎠
⎟
⎡∗ ∗ ∗ ∗ ∗ ∗ ⎤
(14) ⎢∗ 14448 0 −0.22 0 −0.152 ⎥
⎢ ⎥
In (11b), s11 = (s11
1
, s112 ,", s11n − 2 ) T and ⎢* 0 14297.57 0 0.163 0 ⎥
n−2 T =⎢ ⎥
s 20 = ( s 120 , s 20
2
, ", s 20 ) are the solutions of the ⎢* −0.155 0 24071.24000 0 −0.234 ⎥
following linear equations, respectively, ⎢* 0 0.136 0 244304 0 ⎥
⎢ ⎥
Ms11 = −h11 and ( M − 2iω 0 I ) s 20 = − h20 (15) ⎣* −0.195 0 0.158 0 265680⎦
(20)
The vectors h11 = (h111 , h112 , " , h11n − 2 ) T and
f y = 14401.2 wp − 14220ur
h20 = (h20
1
, h202 , " , h20n −2 ) T is
+ 10.56 pq + 8.86uv + 48u 2δ r
1⎛ ∂ F
2
∂ F
j
⎞2 j
f z = 14234.8uq −14448vp +10.72 p2 +12.16rp
h11j − 2 = ⎜⎜ + ⎟⎟ (16)
4 ⎝ ∂y1∂y1 ∂y 2 ∂y 2
⎠ + 0.626u2 − 9.6uv − 4.28u2δs
1 ∂ F
2 j
∂ F
2 j
∂2 F j
h20j − 2 = ( − − 2i ) (17) f m = 220154rp − 856uq − 12.16vp − 0.712u 2
4 ∂y1∂y1 ∂y2∂y2 ∂y1∂y2
+ 33.4uw − 112v 2 − 40u 2δ b
In what follows, the stability of the bifurcation
solutions in system (4) can be stated as, the created f k = −28.8up − 18.72ur + 1.6vq − 10.72wp
limit cycle is stable if β ( K 3 ) < 0 and unstable − 1.6wr + 8.8uv + 21.28vw
if β ( K 3 ) > 0 . So, the stability of the created f n = −220154 pq − 12.64up
bifurcation solutions can be desirably manipulated by
− 840ur − 10.56 wp − 40u 2δ r
choosing K 3 to adjust the sign of β ( K 3 ) .
(21)
Employ the washout filter: m  = w − dm . The control
4. Application to submarine analysis input is u = k1 ( w − dm) + k3 ( w − dm)3 .
To show the feasibility of the proposed control We expect to create a catastrophe oscillation at
algorithm in high-dimension system, we investigated desired location ϕ = 0 and x0 ＝ ( − 0.9715473757 ，
the following submarine’s space motion model. 1.339828467 ， − 0.4251731961 ， 0.07135276657 ，
− 0.002450682016). Selecting d = 0.1 and then

320
determine K 1 ＝ 6.292202428 by (H1) and (H2).
Therefore, we can numerically compute all eigenvalues
and eigenvectors as − 2.39 ± 0.000556 i , − 0.0388,
± 0.0042 i , − 0.0267. Next, following the procedures
of the center manifold theory and normal form
reduction, the nonlinear gain is given as K 3 ＝ 2.13245.
Thus, we get the stable limit cycle.
Figure 2. The created stable limit cycle
From this example, we study the catastrophe
oscillation control in high-dimensional system of a
submarine arbitrarily close to the capsizing attack
angle, in a manner which provides an impending lost
stability warning signal. This signal is a small-
amplitude, stable limit cycle-type pitching motion of
the submarine which persists to within a prescribed
margin from impending capsizing.
5. Conclusion
In this paper, we proposed a general control
algorithm for creating catastrophe properties in high
dimension system. Washout filter aided feedback
controllers preserve the original equilibrium of system,
which satisfy the engineering applications. The method
involves computation of implicit critical conditions and
321
stabilization of the bifurcation solutions. As example,
the submarine motion equations for creating a stable
limit cycle were considered. The occurrence of period
solution can provide a warning signal to helmsman.
This catastrophe control algorithm presented a new
approach for monitoring and controlling complex
nonlinear systems, and may be widely applied in
designing of control systems.
6. Acknowledge
This paper was supported by National Natural Science
Foundation of China (60672035), and Doctoral
Program Foundation of Institutions of Higher
Education of China (20050217021).
7. References
[1] F.H. Ling, Catastrophe Theory and Application,
Shanghai Jiaotong University, Shanghai, 1987
[2] T. Tamaki, T. Torii, K. Meada, Stability analysis of black
holes via a catastrophe theory and black hole
thermodynamics in generalized theories of gravity. Physical
Review D, 2003, pp. 1-9.
[3] J. Guckenheimer, P. Holmes, Nonlinear Oscillations,
Dynamical Systems and Bifurcations of Vector Fields,
Springer-Verlag, New York, 1986.
[4] G.L. Wen, D.L. Xu, Control algorithm for creation of
Hopf bifurcations in continuous-time systems of arbitrary
dimension. Physics Letters A, 2005, pp. 93-100.
[5] W.M. Liu, J. Math, Anal. Appl. 1994.
[6] L.P. Tang, Y. Sun and Y.C. Bi, Catastrophe Establish
Control, Automation Technique and Application, 2004, pp. 8-
10.
[7] W.W. Wang, A Study on Submarine Voyage Training
Simulator Based on Virtual Reality, Harbin Engineering
University, Harbin, 2002.
[8] E.H. Abed, J.H. Fu, H.C. Lee and D.C. Liaw, Bifurcation
Control of Nonlinear Systems, Proceedings of the New
Trends in System Theory Conference, Italy, 1990.
 2008 International Conference on Intelligent Computation Technology and Automation
Chattering-Free LS-SVM Sliding Mode Control for a Class of Uncertain
Discrete Time-Delay Systems with Input Saturation
Jianning Li, Yibo Zhang, Haipeng Pan
Institute of Automation, Zhejiang Sci-Tech University, Hangzhou, 310018
zhangy41@yeah.net
Abstract
Least squares support vector machine (LS-SVM)
classifiers are a class of kernel methods whose solution
follows a set of linear equation. In this work, a least squares
support vector machine sliding mode control (LS-SVM-SMC)
strategy is presented for uncertain discrete time-delay system
with input saturation. An equivalent matrix is constructed for
input saturation condition in the scheme. Output of LS-SVM
is used for replacing sign function of the reaching law in
traditional sliding mode control (SMC). Combined LS-SVM-
SMC with linear Matrix Inequalities (LMIs), a chattering
free SMC algorithm is applied in uncertain discrete time-
delay systems with input saturation. The feasibility and
effectiveness of the LS-SVM-SMC scheme are demonstrated
via numerical examples. As a result, compared with
conventional SMC, LS-SVM-SMC is able to achieve the
desire transient response with input saturation. And there is
no chattering in steady state while unmatched parameter
uncertainty exists.
1. Introduction
A characteristic of the SMC is the creation of a
specific operating mode, the so-called sliding mode,
which occurs on a predetermined sliding surface [1]. In
sliding mode, SMC is robustness to parameter
uncertainty and invariance to unknown disturbance.
Due to the widespread using of digital controllers,
research of variable structure control for discrete-time
system becomes an important branch of control theory,
and different reaching laws are presented in [2-3]. The
main drawback of these reaching conditions is that
when system states are in switching region, they can
not reach original point, but tend to reach a chattering
close to it. In recent years, a number of papers have
been done based on [2], see e.g. [4-6].
In applications, input saturation and state
constrained exist. When they are introduced in
conventional sliding mode control algorithm, perfect
systems response performance can not be achieved
easily, and even the system may be unstable. A linear
978-0-7695-3357-5/08 $25.00 © 2008 IEEE
DOI 10.1109/ICICTA.2008.130
variable structure control approach is proposed in [7]
for discrete time systems subject to input saturation. In
[8], the input saturation condition is expressed in terms
of LMIs.
Time delays commonly occur in many dynamic
systems and a source of instability and poor
performance even in a linear model [9]. Therefore, the
stability analysis and robust control for dynamic time-
delay systems has attracted considerable attention of a
number of researchers over the past years, see e.g. [10-
11].
In this paper, a class of uncertain discrete time-delay
systems with input saturation is concerned. In order to
achieve desired closed-loop performance and
robustness, a chattering free control, which combined
LMI approach and LS-SVM with discrete quasi sliding
mode control law, is proposed. Compared with
conventional sliding mode control strategy, LS-SVM-
SMC with input saturation algorithm has many
advantages. Firstly, it overcomes large input exists in
traditional SMC. Secondly, the control algorithm is
chattering free and robustness to unmatched parameter
uncertainty and time delay.
The organization of this paper is as follows. In
section 2, we will review the theories of LS-SVM and
introduce some useful lemmas. In section 3, the system
description for uncertain discrete time-delay systems
with input saturation is addressed. In section 4, a LS-
SVM-SMC scheme for uncertain discrete time-delay
system with input saturation is introduced. The
stability analysis of LS-SVM-SMC is shown in section
5. In section 6, the simulation results are presented to
show the effectiveness of the proposed control for
uncertain discrete time-delay systems with input
saturation. Finally, conclusions are given in section 7.
2. Theory
322
 A detailed description of the theory of SVM can be ⎧ uH
referred in several excellent books and tutorials [12-13]. ⎪ u (k ) if ui (k ) > uH
An alternate formulation of SVM is LS-SVM proposed ⎪⎪ i
in [14]. The LS-SVM method is considering the D(i, i) = ⎨ 1 if − uL ≤ ui ( k ) ≤ u H , i = 1, 2,..., m (8)
⎪ u
following optimization problem: ⎪− L if ui (k ) < −u L
1 γ ⎪⎩ ui (k )
Min : L( w, b, ξ ) = wT w + (∑ i =1 ξi2 )
l

2 2 then (5) can be rewritten as

s.t. : yi = wT ϕ ( xi ) + b + ξi , i = 1, 2,..., l (1) x(k + 1) = ( A+ ΔA) x(k ) + ( Ad + ΔAd ) x(k - h) + BDu(k ) (9)
The feature map ϕ ( x) is implicitly known from
Mercer’s theorem. The dual problem in (1) is given by 4. LS-SVM-SMC design for uncertain
the following set of linear equations [15]: discrete time-delay systems with input
⎡ K + γ −1 I n 1 ⎤ ⎡α ⎤ ⎡ y ⎤ saturation
⎢ T ⎥⎢ ⎥ = ⎢ ⎥ (2)
⎣ 1 0⎦ ⎣ b ⎦ ⎣ 0 ⎦
We choose the following function as [2], the
For a new given input x , the LS-SVM classifier is
parameter is designed according to LMIs.
given by
s = Cx, C = BT P (10)
f ( x) = sgn(∑ i =1α i K ( x, xi ) + b)
l
(3)
where P is the solution of LMIs which will introduce
LS-SVM classifiers achieve comparable later.
performance as the standard SVM on a serious of The reaching law is selected as
benchmark data sets with less overall complexity. s (k + 1) = s (k ) − qTs (k ) − ε Tos, q > 0, ε > 0 (11)
Then, we introduce some useful lemmas that are
where os is the output of LS-SVM and defined as
essential for the proof for the following parts.
follows
Lemma 1[16] For any x, y ∈ R n , and a matrix
os = LSSVM ( s( k )) (12)
M > 0 , the following inequality holds
LSSVM denotes the functional characteristics of LS-
2 xT y ≤ xT Mx + yT M −1 y (4) SVM.
The control law is combined discrete quasi-sliding
3. System description mode control with equivalent control, the overall
control u ( k ) is chosen as
Consider the following uncertain discrete time- u (k ) = −(CB) −1[CAx(k ) + CAd x(k − h)]
delay system with input saturation
x(k + 1) = ( A + ΔA) x(k ) + ( Ad + ΔAd ) x(k − h) + Bsat (u (k )) (5) + (CB) −1[(1 − qT ) s (k ) − ε Tos ] (13)
The LS-SVM-SMC control scheme is shown in Fig1.
where x(k ) ∈ R n is the state vector, u (k ) ∈ R m is the
control input, A , Ad and B are appropriate dimensions,
ΔA, ΔAd ∈ R n×n represent parameter uncertainties.
h denotes the nonnegative time delay. The function
sat (u (k )) is defined as:
⎧ uH if ui ( k ) > u H
⎪ (6) Fig 1. Diagram of LS-SVM-SMC
sat (ui (k )) = ⎨ ui (k ) if − u L ≤ ui (k ) ≤ u H , i = 1, 2,..., m
⎪ −u In sliding mode, the control u (k ) is described as
⎩ L if ui ( k ) < −u L
u (k ) = −(CB) −1[CAx(k ) + CAd x(k − h)] (14)
where uH , uL ∈ R + are bounded actuator limitations.
so dynamic equation of quasi-sliding mode is given by
The saturating function (6) is conveniently expressed x(k + 1) = ( A + ΔA − BD (CB )−1 CA) x( k )
as
+ ( Ad + ΔAd − BD (CB )−1 CAd ) x(k − h) (15)
sat (u ( k )) = Du ( k ) (7)
where D ∈ R m×m satisfying

323
5. Robust stability analysis M 3 = − ( A d +ΔAd ) PBD ( BT PB ) -1 BT PA
− AdT PB( BT PB )-1 DBT P( A+ ΔA)
Theorem 1 For any x ∈ R p ， y ∈ R q , G and E are
+ AdT PB ( B T PB ) -1 DB T PBD ( B T PB ) -1 B T PA
matrices with compatible dimensions, the following
inequality holds +( Ad + ΔAd )T P( A+ ΔA) (22)
−2 xT GEy ≤ xT GG T x + yT E T Ey (16) M 4 = − ( Ad + ΔAd ) PBD ( B PB ) B PAd
T -1 T

Proof 0 ≤ (G x + Ey ) (G x + Ey )
T T T
− AdT PB( BT PB )-1 DBT P( Ad + ΔAd ) − Q
= xT GG T x + 2 xT GEy + yT E T Ey + AdT PB ( B T PB ) -1 DB T PBD ( B T PB ) -1 B T PA
⇒ −2 x GEy ≤ x GG x + y E Ey □
T T T T T
+( Ad + ΔAd )T P( Ad + ΔAd ) (23)
Theorem 2 Consider the dynamic equation of the Consider M 1 and according to Theorem 1, Lemma 1.
quasi-sliding mode (15) is asymptotically stable if
there exists symmetric position-definite P , Q such that − xT ( k )( A+ ΔA)T PBD ( BT PB ) −1 BT PAx ( k )
the following linear matrix inequalities hold, ≤ 1/ 2 xT (k )( A+ ΔA)T PBD ( BT PB) −1 DBT P( A+ ΔA) x(k )
⎡ 2 AT PA − P + Q + 2 AT A + ( A + ΔA)T P ( A + ΔA) +1/2 xT (k ) AT PAx(k ) (24)
⎢
⎢ ( Ad + ΔAd )T P( A + ΔA) T T T −1
− x ( k ) A PB ( B PB ) DB P ( A+ ΔA) x (k )
T

⎢ 2 DBT P ( A + ΔA)
⎢ ≤ 1/ 2 xT (k )( A+ ΔA)T PBD ( BT PB) −1 DBT P( A+ ΔA) x(k )
⎣⎢ 0
+1/2 xT (k ) AT PAx(k ) (25)
( A + ΔA) P( Ad + ΔAd )
T
If the following conditions are satisfying,
2 Ad PAd + 2 AdT Ad − Q + ( Ad + ΔA d )T P ( Ad + ΔAd )
T
⎧ I + BD ( BT PB ) −1 DBT < 0
0 ⎨ (26)
⎩ − I + P −1 < 0
2 DBT P ( Ad + ΔAd )
xT (k ) AT PB( BT PB ) −1 DBT PBD ( BT PB ) −1 BT PAx ( k )
2( A + ΔA)T PBD 0⎤
⎥ < xT (k ) AT Ax(k ) (27)
0 2( Ad + ΔAd ) PBD ⎥
T

⎥<0 According to (24), (25) and (27), we have

−( BT PB ) 0 ⎥ xT (k ) M 1 x (k ) < xT (k )[ AT PA+ ( A+ ΔA)T P( A + ΔA)
0 −( BT PB) ⎥⎦
+ ( A+ ΔA)T PBD( BT PB )−1 DBT P ( A+ ΔA)
⎡ I BD ⎤ ⎡− I I ⎤
⎢ DBT − BT PB ⎥ < 0 ⎢ I − P ⎥ < 0 (17) + AT A − P]x(k ) < 0 (28)
⎣ ⎦ ⎣ ⎦
Proof Define the following Lyapunov function as M 2 , M 3 and M 4 are according to the same rules as M1 ,
V ( x (k )) = xT ( k ) Px( k ) + ∑ i =1 xT (k − i )Qx(k − i ) > 0 (18)
h
then the following inequalities can be obtained.
ΔV ( x(k )) = V ( x(k + 1)) − V ( x(k )) ⎡ x (k ) ⎤
ΔV < [ x T (k ) xT ( k − h )]Σ ⎢ ⎥ (29)
= xT ( k ) M 1 x ( k ) + xT ( k ) M 2 x ( k − h ) ⎣ x (k − h ) ⎦
+ xT ( k − h ) M 3 x ( k ) + xT ( k − h ) M 4 x ( k − h ) (19) where
⎡Ω Ω 2 ⎤
M 1 = −( A + ΔA)T PBD ( BT PB )−1 BT PA Σ=⎢ 1 ⎥ (30)
⎣ Ω3 Ω 4 ⎦
− AT PB( BT PB )−1 DBT P ( A + ΔA) − P + Q
Ω1 = 2 AT PA − P + Q + 2 AT A+ ( A+ ΔA)T P( A + ΔA)
+ AT PB( BT PB)−1 DBT PBD( BT PB)−1 BT PA
+2( A+ ΔA)T PBD( BT PB )-1 DBT P( A+ ΔA)
+ ( A + ΔA)T P ( A + ΔA) (20)
Ω 2 = ( A+ ΔA)T P( Ad + ΔAd )
−1
M 2 = −( A + ΔA) PBD( B PB) B PAd
T T T
Ω3 = ( Ad + ΔAd )T P( A+ ΔA)
− A PB( B PB) DB P ( Ad + ΔAd )
T T -1 T
Ω4 = 2 AdT PAd − Q + 2 AdT Ad + ( Ad + ΔAd )T P ( Ad + ΔAd )
+ AT PB ( BT PB ) -1 DBT PBD ( BT PB )-1 BT PAd
+2( Ad + ΔAd )T PBD( BT PB )-1 DBT P( Ad + ΔAd )
+ ( A+ ΔA)T P ( Ad + ΔAd ) (21)
If [ xT (k ) xT (k − h)] ≠ 0 , then

324
 ΔV < 0 ⇔ Σ < 0 (31)
By applying Schur complement to (26) and
(29), we have
⎡ 2 AT PA − P + Q + 2 AT A + ( A + ΔA)T P ( A + ΔA)
⎢
⎢ ( Ad + ΔAd )T P( A + ΔA)
⎢ 2 DBT P ( A + ΔA)
⎢
⎢⎣ 0
( A + ΔA)T P ( Ad + ΔAd ) Fig 2. Traditional SMC. Sliding surface.
2 A PAd + 2 AdT Ad − Q + ( A + ΔA)T P( Ad + ΔAd )
T
d

0
2 DBT P( Ad + ΔAd )
2( A + ΔA)T PBD 0 ⎤
⎥
0 2( Ad + ΔAd ) PBD ⎥T

⎥<0
−( BT PB ) 0 ⎥
0 −( BT PB) ⎥⎦
⎡ I BD ⎤ ⎡− I I ⎤ (b)
⎢ DBT − BT PB ⎥ < 0 ⎢ I − P ⎥ < 0 Fig 3. Traditional SMC. Control input
⎣ ⎦ ⎣ ⎦
Obviously, sign function in u (k ) (34) causes
The proof is complete.
chattering, and large control input exists.
So we can draw a conclusion that the system Then, LS-SVM is used for replacing sign function of
trajectories starting from any initial state will the reaching law (33).
asymptotically convergent the sliding surface, and
system trajectories restricted to the sliding surface are
robust stable from Theorem 2.

6. Numerical example
Consider uncertain time delay system in the form
[17] and the discrete system of [17] is described as
follows: (sampling time ts = 0.05 , h = 10 )
Fig 4. LS-SVM-SMC. Sliding surface.
⎡ 0.9489 0.0452 ⎤ ⎡ 0.1sin(2k ) −0.3sin(k ) ⎤
A=⎢ ⎥ ΔA = ⎢ ⎥
⎣ −0.0904 0.8585 ⎦ ⎣ −0.1sin(k ) 0.075sin(3k ) ⎦
⎡0.9999 −0.0051⎤ ⎡ 0.0500 −0.0001⎤
Ad = ⎢ ⎥ B=⎢ ⎥
⎣0.0256 1.0512 ⎦ ⎣ 0.0006 0.0256 ⎦
⎡ −0.2 sin(2k ) 0.1sin(3k ) ⎤
ΔAd = ⎢ ⎥ (32)
⎣ 0.1sin(k ) −0.175sin( k ) ⎦
First, consider the system (32) without input
saturation, in other words, D = [1 0；0 1] , q = 10 ,
ε =1 Fig 5. LS-SVM-SMC. Control input
s(k + 1) = s(k ) − qTs (k ) − ε T sgn( s( k )) (33) One can see from Fig 4 that sliding surface is
u (k ) = −(CB) −1[CAx( k ) + CAd x( k − h)] smooth. Fig 5 indicates that chattering is eliminated,
but large control input still exists. Then, the algorithm
+ (CB) −1[(1 − qT ) s(k ) − ε T sgn( s (k ))] (34) with input saturation in the scheme is considered.
uH = 20, − uL = −20 (35)

325

Fig 6. System state
Fig 7. Sliding surface
Fig 8. Control input
Obviously, the system is asymptotical stable, and
sliding mode motion trends to the origin point in finite
time in the present of unmatched parameter
uncertainties and time delay. Compared Fig 3、Fig 5
with Fig 8, the control input is reduced effectively
7. Conclusion
In this paper, a LS-SVM-SMC for uncertain discrete
time-delay systems with input saturation is proposed.
The sign function of reaching law in conventional
SMC is replaced by the output of LS-SVM. An
equivalent matrix is constructed with input saturation,
and parameters of sliding surface and controller can be
determined by solving LMIs. The derived controllers
are robust so that the closed-loop system is stable in
the presence of unmatched parameter uncertainties and
time delay. The chattering in conventional switching-
type sliding controls is eliminated, and input saturation
is considered.
326
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[8]T.Hu, Z.Lin, “An analysis and design method for linear
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 2008 International Conference on Intelligent Computation Technology and Automation
Current Control of Active Power Filters Assisted by Repetitive Controller
Tang Xin, Ma Yingzhao, Li Hongtao
College of Electrical & Information Engineering, Changsha University of Science and
Technology, Changsha, China
tangxin_csu@163.com
Abstract
In this paper, repetitive control is employed to
design the current controller of active power filter for
reducing the steady-state error due to periodic
command. Zero steady-state error for current
harmonics is realized. Harmonic reduction and power
factor correction will both be carried out by the
proposed filter. Discussions on the design of the
current and voltage control loops are given.
Experimental results verified the feasibility of the
proposed method, obtained from a 10KW shunt active
power filter.
1. Introduction
Tracking or rejection of periodic signal is an issue
commonly found in power electronics applications, i.e ,
switching power supplier, ac/dc converter and active
power filter. In voltage source inverter, two current
control methods have been used, a hysteresis band
control and a ramp comparison method [1-5].
When the reference current is a non-sinusoidal
signal, as in active power filters, a hysteresis controller
is deemed viable solution. While the hysteresis
controller is simple and robust, it has major drawbacks
in variable switching frequency, current error of twice
the hysteresis band and high-frequency limit-cycle
operation [1].
The switching frequency produced by a ramp
comparison method, which is determined by the carrier
wave frequency, can be kept constant. If the reference
current is a direct signal, as a dc drive, zero steady-
state error can be secured by using a conventional
proportional-integral (PI) algorithm. When the
reference current is a periodic signal, as in ac drive,
however, conventional PI would lead to steady-state
error due to finite gain at the operating frequency. As a
result, there is a steady-state error between reference
current and output current if a ramp comparison
method with a conventional PI is used. A synchronous-
978-0-7695-3357-5/08 $25.00 © 2008 IEEE
DOI 10.1109/ICICTA.2008.268
frame PI was then proposed to eliminate the steady-
state error. But, significant computation arising from
the need for multiple reference frames would limit its
application [5].
The paper designs and implements a repetitive
current controller for a single-phase active power filter.
An outer voltage loop that assures the active power
balance of the whole system is designed from the
energy-balancing point of view. Then the task of
current loop is to maintain sinusoidal-shape source
current in phase with the line-to-neutral voltage in spite
of corresponding load current. Designing parameters
and digital realization of control algorithm will also be
studied.
2. Inner current control loop
A schematic diagram for a single-phase shunt active
filter is shown in Fig. 1 where L is the filter inductance,
C is the capacitance, iF (t) is the filter inductor current,
uc(t) is the DC bus voltage, us(t) is the supply voltage,
respectively.
If the filter current i F (t ) includes harmonic
component i Lh (t ) and reactive component i Lq (t ) and
is described by
i F (t ) = i Lh (t ) + i Lq (t ) (1)
The supply current consists only of active component
of fundamental current:
iS (t ) = i L (t ) − i F (t ) = i Lp (t ) (2)
A block diagram representation of the current loop
control is shown in Fig. 2 where i S* (t ) is the reference
supply current that will be generated by the difference
between the primary voltage loop PI controller and the
load current, Gi (s ) is the transfer function of inverter,
and Gi ( s ) = K pwm /(1 + τ p s ) .
327
 iS (t ) iL (t ) R( w) = K q ( jw) S O ( jw) (5)
u S (t )
where S O ( jw) = 1 /(1 + GO ( jw)) is the sensitivity
function of the original unity feedback system.
iF (t ) It is easy to ensure that 1+GP(s) = 0 has no zeros in
the right half of the s-plane by adjusting the constant
KPWM. Based on the above condition, if R(w) < 1 for
L
all w , then the closed-loop system of Fig. 2 is stable
uC (t )
for all values of Td . The effect of the free design
parameter Kq(s) on the stability of the repetitive
control system is clearly illustrated by (5).
Let K q ( s ) = 1 /(1 + τ q s ) be a first-order filter and its
Fig. 1 Single-phase shunt active filter magnitude-frequency characteristics, which satisfy
u S (t ) K q (s) ≤ 1 , are shown in Fig. 3 . The magnitude-
∞
K q ( s )e − sTd
u r (t ) frequency characteristics of S O (s) , which satisfy
iS* (t ) i S (t )
Gi (s )
1
S O (s) ∞
= M s and S O ( jws ) = 1 , are also shown in
e(t ) sL
Fig.3.
From the condition of (5), the K q (s ) is designed as
Fig. 2 Repetitive current control loop
K q ( jws ) = 1 /(1 + jwsτ q ) < 1 / M s (6)
2.1. Repetitive control
If the reference signal is a periodic signal, as in
active power filter, conventional PI is difficult to
eliminate steady-state error. Repetitive control
originated from the internal model principle provides a
solution to eliminate periodic error occurred in
dynamic systems. A repetitive controller can be viewed
as a periodic wave-form generator, augmented within
the control loop of a control system. That is a closed-
loop regulated by a feedback controller, so that the
periodic error can be eliminated. In the repetitive
control scheme, all frequency modes of the periodic
inputs can possibly be included in the control loop.
Repetitive control is shown in Fig. 2 and its transfer
function is written as Fig. 3 magnitude-frequency characteristics of
U (s) K q ( s )e − sTd S O (s) and K q (s )
Gr (s) = r = (3)
E ( s ) 1 − K q ( s )e − sTd 3. Outer voltage control loop
where Td is the period of the input, Ur(s) is the
repetitive control output, E(s) is tracking error and The purpose of the voltage control loop is to
Kq(s) is a low-pass filter with a free parameter to be regulate the DC bus voltage and to generate a reference
designed for the repetitive control loop that is used to current to compensate for the harmonics in the load
improve the closed-loop stability such that high power factor and low current THD can
be achieved. if the filter current iF(t) is taken as the
2.2. Parameter design of current controller control input to the shunt filter, the transfer function
From the repetitive current control loop of Fig.2, the between the regulated bus voltage and the filter current
characteristic equation of the closed-loop system is found can be written as
as U (s) 1
GV ( s ) = =− (7)
1 + GO ( s ) − K q ( s )e − sTd = 0 (4) I F (s) Cs
1 From the energy-balancing point of view, The
where GO ( s ) = Gi ( s ) . required supply current is(t) can be obtained by
Ls
introducing a PI controller within the control loop.
Define the regeneration spectrum as

328
 Consider a PI controller of the form with undamped natural frequency
GPI 1 ( s) = K P1 + K I 1 / s (8) 2πf u K I1
where KP1 and KI1 are constants, applying to (7) with
ωu = = (11)
n C
the required supply current derived from the supplied Clearly the undamped natural frequency wn is
voltage us(s), the block diagram of the voltage control independent of the load current. If the bandwidth of
loop is shown in Fig. 4a where α is a constant. the voltage loop is set to 1/n times the supply
Assuming that a steady state can be reached and the frequency fu, the integral gain KI1 becomes
steady-state output of the PI controller w(t) is Wo, the
(2πf u ) 2 C
block diagram of the voltage loop at the steady state K I1 = (12)
can be approximate by Fig. 4b. The output bus voltage n2
can be approximated as If the damping ratio ξ of the voltage loop is set to
Gu (s) W one, the proportional gain KP1 becomes
U C (s) = (αW0U S ( s ) − 0 + I L ( s )) 4πf u C
1 − G cu ( s )G u ( s ) s K P1 = 2ξω n C = (13)
G cu ( s )Gu ( s ) n
− U C* ( s ) u S (t )
1 − Gcu ( s )Gu ( s ) α
s W0 *
u (t ) iS* (t )
=− (αW 0U S ( s ) − + I L ( s )) C

Cs + K P1 s + K I 1
2
s G PI 1 ( s) × G r (s )

K P1 s + K I 1 iS (t )
+ U C* ( s ) （9） uC (t )
Cs + K P1 s + K I 1
2

where U C* ( s) is the Laplace transform of the reference Fig. 5 Full block diagram of control for active filter
voltage U C (t ) .If the steady-state PI controller output is A full block diagram of the proposed control
smooth, the generated supply current reference will scheme is shown in Fig. 5.
have small THD.
iL (t ) 4. Experimental results
αu S (t ) To demonstrate the simple design and effectiveness
of the proposed controller, an experimental shunt
iS* (t ) active filter was built with L=500mH, C=470mF,
uC* (t ) uC (t )
Gcu (s ) × Gu (s) nominal supply voltage was 110VRMS and the supply
iF (t ) frequency was fuٛ 50 Hz. The bus DC voltage was set
to Uc=200V. Note that the setting of Uc had to be
(a) larger than the peak supply voltage us(t), and α was
iL (t ) set to 0.01 such that the peak value of αu S (t ) was
αW0 u S (t ) − W0 about 1.56 V. The setting of α was to make sure that
the multiplier output would not be easily saturated. MS
uC* (t ) iS* (t ) uC (t ) and ws are 4.5 and 3141rad/s respectively，hence τ p is
Gcu (s ) w(t ) Gu (s )
iF (t ) 0.06. The algorithm soft is programmed in a DSP
TMS320LF2808.
A common nonlinear load was AC to DC
(b) conversion using a full-bridge rectifying circuit. The
Fig. 4 Block diagram of voltage control loop nominal supply voltage was 110VRMS and the voltage
(a) Voltage control loop THD was around 3%. Fig, 5 shows the load current
(b) Steady-state approximation of voltage control loop waveform, the load current spectrum, the load current
If the bandwidth of the voltage loop is too high, the THD and the power factor obtained from the Fluke
disturbances will be reflected on the bus voltage and as 41B power harmonics analyser. The RMS load current
a result on the generated supply current reference. The was 1.97A. There were clearly a lot of 3rd, 5th, 7th etc.
supply current reference will be corrupted by higher high-order harmonics and the current THD was 61.8%.
harmonics. The voltage loop characteristic equation is The power factor of the circuit was 0.77. When the
given by active filter was introduced, there was clearly a
Δ( s ) = Cs 2 + K P1 s + K I 1 (10) significant improvement in the power factor and the
current THD. Fig. 6 shows the effects when the

329
proposed active filter was added. The RMS supply
current became 1.93 A. The high order harmonics had
clearly been reduced and the current THD was 5.6%.
The power factor of the overall system was 0.98.
(a)
(b)
(c)
(d)
Fig. 5 Nonlinear load.
(a) Supply current waveform
(b) Supply current spectrum
(c) THD of supply current
(d) Power factor
. tracking current harmonics. In addition, the external
330
(a)
(b)
(c)
(d)
Fig. 6 Performance of active filter.
(a) Supply current waveform
(b) Supply current spectrum
(c) THD of supply current
(d) Power factor
5. Conclusion
In active power filter using a ramp comparison with
conventional PI for current control, there is always
current tracked error between a desired signal and APF
output current even in steady state. In this paper
repetitive control apply to current control of active
power filter to ensure zero steady-state error for
slow dynamics voltage loop ensures the active power
balance of the whole system and the mathematical
burden of resolving the load current to fundamental
and harmonics is not required.
6. Acknowledge
Project supported by Provincial Natural Science
Foundation of Hunan (06JJ50101)
7. References
[1] S. Buso, L. Malesani, and P. Mattavelli, “Comparison of current
control techniques for active power filters,” IEEE Trans. Ind.
Electron., vol. 45, pp 722 -729,1998.
[2] H. Komurcugil and O. Kukrer, “A new control strategy for
single-phase shunt active power filters using a Lyapunov
function,” IEEE Trans. Ind. Electron., vol. 53, no. 1, pp. 305–
312, Feb. 2006.
331
[3] S. Fukuda and S. Sugawa, “Adaptive signal processing based
control of active power filters,” in Proc. IEEE IAS Annu.
Meeting, pp. 886–890,1996.
[4] Y. Sato, T. Ishizuka, K. Nezu, and T. Kataoka, “A new control
strategy for voltage-type PWM rectifiers to realize zero steady-
state control error in input current,” IEEE Trans. Ind. Applicat.,
vol. 34, pp. 480–486, May/June 1998
[5] Xiaoming Yuan, Willi Merk, Herbert Stemmler, and Jost
Allmeling, “Stationary-Frame Generalized Integrators for
Current Control of Active Power Filters With Zero Steady-State
Error for Current Harmonics of Concern Under Unbalanced and
Distorted Operating Conditions,” IEEE Trans. Ind. Applicat.,
vol. 38, pp. 523–532, March/April 2002.
 2008 International Conference on Intelligent Computation Technology and Automation
DC Servo Motor PID Control in Mobile Robots with Embedded DSP
Hongfu Zhou[1]
1
Mechanical School in South China U. of Technology, Guangzhou 510641
E-mail:mehfzhou@scut.edu.cn[1]
Abstract
The research presents a DSP embedded control
method for DC servomotor in mobile robots, which
controlled DC motor by PID method in embedded DSP.
The controller hardware architecture in the research
consists of PWM module, encoder module, H-Bridge
module, and DSP embedded system module. The DC
motor velocity control, position control and current
control are work by PID software in DSP embedded
system. The research realized DC servomotor drive
control for mobile robots with the PID method in the
DSP embedded system.1
Keywords: DSP embedded system, PID, DC
servomotor control, mobile robots control
1. Introduction
DC motors are widely used in mobile robots, which
there have been numerous conventional approaches in
literature to the DC motor drive control [1]. Although
many advanced control technology such as model
reference adaptive control, self-turning control [2],
sliding mode control [3] and fuzzy control [4] have
been proposed to improve system performances, the
PID control is still widely used method in DC motors
control, which is proportional-integral-derivative
design. But in PID control, the automatic turning PID
parameter sometimes is difficulty [5]. And for
overcome the problem, some adopt PID and fuzzy
hybrid control method, which use fuzzy control for
PID parameter automatic turning and PID for DC
motor drive control. However the hybrid method is a
rather complex mathematical model for DC motors
controller[6].
In the research, a PID controller, is used for control
DC motor drive in mobile robots.
2. Hardware for DC Motor Control
*
The project is supported by Guangdong Provincial Science and
Technology Founding of China (2007B010400053)
978-0-7695-3357-5/08 $25.00 © 2008 IEEE
DOI 10.1109/ICICTA.2008.426
2.1 Close loop control for DC servo control
system
The architecture of DC servo motor control consist
of power drive module, encoder module, PWM
generator module, communication with up computer
module and some IO circumference interface. The
microprocessor in the control system is DSP in
TMS320LF 2407.
The circuit for close loop DC servo controller
systems shows in Fig 1, where it including PID control
module in DSP system, and there are two loops,
position loop, and velocity loop which based on
feedback signal from encoder. The two loops are
realized with software in the DSP embedded software
module. The H-bridge in Fig 1 can chose MOSFET or
integrated power IC, such as L298, where in the
research use MOSFET circuit to design H-bridge for
its capacity in big current.
Fig 1. Close Control in PID
2.2 Encoder position feedback signal processor
The DC servo motor control used the increase
encoder in the research for position and velocity
feedback, which include encoder A, B and encoder C
signal. In the design, it used encoder A signal as
interrupt signal for counter the move position pulses,
encoder B signal as move direction identify and
encoder signal C as home position signal.
Also the system used 4 times multiply circuit for
promote the resolution. The feedback is calculated by
embedded system software in the DSP program.
The encoder circuit interface in embedded system
shows in Fig 2.
The encoder DSP process program in external
interrupt function, c_int(). In the interrupt function,
signal A is as interrupt signal, which trigger by edge
detect for encoder signal.
332
 }
}
else
{
C_Speed = 0;
T_Speed = 0;
IO_Status = IO_temp;
}
Fig 2 Encode signal connect XINT2CR = XINT2CR | 0x8000;
The move direction judges in the DSP embedded asm(" CLRC INTM ");
system by a soft function in DSP. In the function when }
signal A level is higher than signal B, it is positive
move, otherwise it is negative move, which show in 2.3 DC motor drive circuit
soft function, c_int(), the direction judges is a part of The DC servo motor drive circuit, which is a H-
the soft. Following is the interrupt function, c_int(). Bridge, show in Figure 3, where VT1, VT2, VT3, and
VT4 are four Triode or chose MOSFET for control
void c_int() current and current direction in DC servomotor control
{ circuit. The single DC motor drive test circuit board
static unsigned int IO_Status=0; shows in Fig 4.
static unsigned int IO_Count=0;
static unsigned int IO_temp;
unsigned int temp;
if(PIVR!=0x0011)
{ asm(" CLRC INTM ");
return;
}
if(C_Speed==0)
{
T_Speed = 0;
T2CNT=0;
} Fig 3 DC servo drive circuit
temp = (PBDATDIR & 0x0040);
if(temp!=IO_Status)
{
IO_Count++;
}
else
{
IO_Count = 0;
}
if(IO_Count>3)
{
IO_temp = temp;
}
if(IO_temp==IO_Status)
{
if(IO_temp!=0) Fig 4. DC board test bridge board
{ The multi DC motor drive board shows in Fig 5,
C_Speed++; which used in bomb disposal robot for four DC motors
C_Distance++; drive, and every DC motor drive by a H bridge. The H
} bridge has four MOSFET for control motor current and
else motor move direction.
{
C_Speed--;
C_Distance--;

333
 depend on the control system, which it includes input
position value, encoder feedback and PID control.
The PWM control shows in Figure 7, where the
PWM signal get from output in DSP module, and the
signal send to H Bridge for drive DC servomotor. The
4 DC motor drive board shows in Fig 5.

Fig5 DC servomotor driver board Fig 7. PWM signal control motor

3) PWM output program
2.4 The DC servomotor PWM control
For PWM output soft function, it consists of PWM
1) PWM control initial function, PWM value set function, and PWM
The PWM control, Pulse Width Modulation control, output, which it is in main function of the embedded
is based on duty cycle control. When the signal output soft system. The PWM initial function is PWM_Init
in the full rated voltage, it move in full speed. The soft function. PWM value set function is SetSpeed
speed control is used by output average. function. The soft function shows in following.
In the formula 1, it gives motor rotational speed,
where n represents speed, U the voltage input, I the void PWM_Init()
current in the DC motor coil, R total resistance, φ {
magnetic flux, and K the coefficient. MCRA=MCRA | 0x00C0;
EVAIFRA=0xFFFF;
ACTRA=0x0006;
DBTCONA=0x0530;
(1) 40M/16=2.5M,死区时间5*0.4us=2us
The wave graphics for DC motor in PWM control T1PR=SPEED;
shows in Figure 6. 0.8us*2500=2ms
CMPR1=XPWM;
COMCONA=0xA600;
T1CNT=0;
EVAIMRA=0x0080;
T1CON=0x154E;
}
void SetSpeed(unsigned int v)
{ CMPR1=v; }
The PWM output is a part of program in main
program, which shows in following.
Fig 6 PWM output in main.c program:
The voltage mean value, Uo, for PWM shows in if(pid_flag)
{
formula 2, which it represents drive average voltage for
pid_flag = 0;
DC motor.
if(GetSpeed==0)
{ XPWM = 1250; }
else
{
（2） XPWM = XPWM + PIDcontrol();
In the formula 2, the PWM on duty cycle is an if(XPWM>2500)
important parameter, which change voltage output and XPWM = 2500;
achieved the velocity modulation. if(XPWM<0)
2) PWM control mode XPWM = 0;
The low level control module in the DC servo }
system has used the PWM pulse as control output, SetSpeed(XPWM);
where the PWM pulse frequency range in the research }
is about 1k in the system. And the PWM output value

334
3. PID control 3.2. PID control program
3.1. PID control model Software architecture in the PID control, it consists
DC motor control hardware architecture module main sub program, interrupt sub program and PID
show in Fig 8, where the PID controller is in DSP control sub program, where the main sub program is
microprocessor program. for initial control data, interrupt program is for PWM
output and PID motor control adjust, and PID sub-
program is for calculate error e and PID output value.
Following function PIDcontrol() is PID control sub
program.

Void PIDcontrol()
Fig 8 PID control Hardware Architecture {
The PID control model consists of proportional, static double dValue[3];
integral and derivative, which show in Fig 9, where static double dOldError;
e(t) is error signal it receive, and u(t) is output from the double dError;
controller. For best property in motor control, it can be double dDemandSignal=GetDemandSignal();
got by chose different coefficient KP, KI, and KD. double dFreedbackSignal=GetFeedbackSignal();
dError=dDemandSignal- dFreedbackSignal;

dValue[0]=Kp*dError;
dValue[1]= dValue[1] + Ki*dError*dTimeInterval;
dValue[2]=Kp*(dError-dOldError)/ dTimeInterval;

dOutSignal=dValue[0]+ dValue[1]+ dValue[2];

SendControlSignal(dOutSignal);
Fig 9 PID control model }
In Fig 9, it shows PID control hardware architecture, 4. Experiment
where output is position or velocity, and input is The DC servo motor control hardware shows in
position command or velocity command. In the Fig 9, Figure 10, where the up computer send move data to
the coefficient, proportional gain KP, it reduces rising DSP board, and the DSP board transmit the data into
time, i.e. if the Kp more big, the response more quickly. PWM signal to H-bridge which drive the DC motor
If the KP chose to big, it will overshoot and unstable. move. Here the control algorithm is PID logical
Otherwise it makes response slow and decrease adjust control.
accurate. The proportional control, it never eliminates
the steady state error. The coefficient, integral gain Ki,
it is for remove the steady state error in the system, but
it make transient response worse. The coefficient,
differential gain kD is for improve system stability,
reduce overshoot and improve transient response.
Formula 1 is transfer function for the PID control
system.

(1)

Following it is PID differential equation. Fig 10. Experiment for one DC motor in PID control
In the hardware, the connect diagram for emulator,
k DSP developing board and computer show in Fig 11,
U(K)=Kp e(k)+ Ki (sum e(t) T + Kd (e(k)-e(k-1))/T where the note book computer to DSP developing
board connect by USB to RS232 transfer cable, which
where Kp—proportion coefficient, download program or data from up computer to DSP
Ki —integral coefficient, Ki=Kp/Ti developing board, and simulator connect by JTVG
Kd—deferential coefficient, Kd=Kp *Td between emulator and DSP developing board.

335
 The DSP embedded module show in Fig 12, where In Fig15, it shows data process interface for DC motor
DSP system received up computer data, encoder data speed feedback in CCS (Code Composer Studio), which
from DC motor, and send PWM data to H bridge. is software for DSP control interface.

Fig 15 DC motor speed feedback

Fig 11. Computer module cable
5. Conclusion
The DC servomotor PID control is realized by DSP
embedded system in mobile robot, and the experiments
are in single DC servomotor and robots multi DC
motors drive control, which get satisfied result in the
research PID control method. This method presents a
cost effective method for robots DC motor drive.

References
[1]Y. Zhang, L.S. Shieh, C.M. Akujuobi & W. Ali, Digital
Fig 12. DSP module cable PID controller design for delayed multivariable systems,
Fig 13 shows the key parts for the embedded Asian Journal of Control, 6(4), 2004.
system, where it includes DSP module, encoder [2]A.A.EI-Samahy, M.A.EI-Sharkawi,and S.M.Sharaf,
“Adaptive multi-layer self-tuning high performance tracking
module, and DC power board.
control for DC brushless motors,” IEEE Trans. on Energy
Conversion, vol. 9, pp. 311-316, 1994.
[3]J. Y. Hung, R. M. Nelms, and P. B. Stevenson, “An output
feedback sliding mode speed regulator for dc drives,” IEEE
Trans. Ind. App., vol. 30, pp. 691-698, 1994.
[4] F. F. Cheng and S. N. Yeh, “Application of fuzzy logic in
the speed control of AC servo system and an intelligent
inverter,” IEEE Trans. On Energy Conversion, vol. 8, pp.
312-318, 1993.
[5]A. Leva, “PID auto-tuning algorithm based on relay
feedback,” Proc. Inst. Electr. Eng., pt. D, vol. 140, pp. 328-
338, 1993.
[6]TMS320F/C24x DSP Controller Reference Guide,
Peripheral Library and Specific Devices, Number
Fig 13 shows the key parts
SPRU161C, Texas Instrument, June 1999.

Fig 14. Robot DC motor drive in PID control

This PID control for mult-DC motor control is in
bomb disposal robot, which shows in Fig 14.

336
 2008 International Conference on Intelligent Computation Technology and Automation

Design of Autopilot for Aerodynamic/ Reaction-jet Multiple Control Missile

Qi SHeng Sui1 Xin Li1 Yong Hua Fan2

1. College of Astronautics, Northwestern Polytechnical UniversityˈXi’an 710072ˈP.R. China
E-mail: fyhlixin@163.com
2. College of Automation, Northwestern Polytechnical UniversityˈXi’an 710072ˈP.R. China

Abstract present. In this scheme Aerodynamic is used as

A new scheme of Reaction-jet/Aerodynamic Multi-
control missile using pose controlled pulse-engine is
present. In this scheme Aerodynamic is used as
feedback control, and Reaction-jet is feed-forward
control. In the first part, the model of the multi-control
system is given; then, the Aerodynamic controller is
designed by using pole assignment, and the Reaction-
jet controller has been designed by using the term of
entirely compensated. Finally it has been proved by
simulation that this multiple controller can greatly
enhance response speed and the scheme is feasible
1. Introduction
When tactical missile using the aerodynamic
maneuver only attacks targets, the phenomenon of
undershoot often occurs, because of the efficiency of
pure aerodynamic maneuver reducing with the altitude
of missile increasing. This problem can be effectively
solved by using reaction-jet control system. And the
aerodynamic/ reaction-jet multiple control technology
has been applied successfully in designing the missile
autopilot, such as Pac-3 missile. Although the research
in the domain of aerodynamic/ reaction-jet multiple
controls are past overseas, the research productions are
very abundant in resent years. The methods of design
the aerodynamic/ reaction-jet multiple control autopilot
are present in reference[1][2]; Ji G has been researched
the guidance performance of aerodynamic/ reaction-jet
multiple control missile[3]; Jia X.H and Fan Y. H has
been researched the robustness of aerodynamic/
reaction-jet multiple control system[4][5]; Wen J.and
Zhao G..L has investigated the lateral jet interaction in
reference[6][7].
A new scheme of Reaction-jet/Aerodynamic Multi-
control missile using pose controlled pulse-engine is
feedback control, and Reaction-jet is feed-forward
control to increase response speed of autopilot. Finally
it is proved by simulation that this multiple controller
is feasible.
This paper is organized as follows: Section Ċ
presents the aerodynamic model of the aerodynamic/
reaction-jet multi-control missile. In section ċ the
multiple controllers has been designed. In Section Č
gives the simulation results of the multi-control
scheme. And the conclusion is included in the final
sections.
2. Model of the aerodynamic /Reaction-
JET multiple control system
Assume missile has 180 micro pulse engines,
which are arraying in 10 circles distributing in the
foreside of the missile equably and interleavingly. All
the micro pulse engines are in the region of
1100mm~1400mm distance from center of gravity of
the missile. Fig(1) gives the position of the micro pulse
engines.
Fig 1 the Position of the Micro Pulse Engines
W represents the delay time of the lateral thrust, T
represents the one order equivalent time constant of the
K p
lateral thrust, represents the coefficient of
interaction of the lateral thrust, which is a function of
Mach, altitude, angle of attack and number of the
micro pulse engines etc.

978-0-7695-3357-5/08 $25.00 © 2008 IEEE 337

DOI 10.1109/ICICTA.2008.101
Linearization equations of the aerodynamic/ reaction- 3. Design of autopilot for the multiple
jet multiple control missiles can be given as follows: control system
-  a1-  a2D D 3rG i  a3G
T  a4D D 5rG i  a5G 3.1 the Structure of the Multiple control
System
- T D (1) The structure of the multi-controller is shown as Fig
In equation (1),
G , G i represents
aerodynamic helm (3). The Aerodynamic autopilot has two feedback
maneuver and unit micro pulse engines maneuver. The loops, in the inner loop the pitch rate
Zz and the
a ,a ,a ,a ,a
formulas of dynamics coefficient 1 2 3 4 5 is estimation of attack angle D
is feedback to enhance
as follows: the stability of the system, and in the outer loop the
M zZz acceleration of the missile is feedback to increase the
a1  maneuverability. The Reaction-jet is used as feed-
Jz forward to improve the response of the system.
M zD
a2 
Jz
M zG
a3  (2)
Jz
YD  P
a4
mV Fig 3 the Structure of the Multiple Control System
YG
a5 3.2 Design of the Aerodynamic Control
mV Autopilot

in equation (2),
M zZz , M zD , M zG represents the pitch The poles assignment method is used to design the
controller for the inner loop. Ignoring the affection of
D G
moment derivative separately, Y , Y represents the
a5 , the transform function of the inner loop is as

lift derivative separately;

J z , P, m, V represents follows˖
moment of inertia (about the positive z-axis) ,power of Zz (s) a3s  a3a4

engine, mass and velocity of missile separately. And G z (s) s  (a1  a4 )s  (a2  a1a4 )
2

a ,a
dynamics coefficient 3r 5 r represents the moment D (s) a3

efficiency and force efficiency of one micro pulse G z ( s ) s  (a1  a4 ) s  (a2  a1a4 )
2

engines separately.
the equations(4) and (5) can be written as
M zGi transform function matrix.
a3r 
Jz G (s) g (s) / d (s)
(3)
Y Gi ª  a3 s  a3 a4 º
a5 r  g (s) « »
mV ¬  a3 ¼
d (s) s 2  (a1  a4 ) s  (a2  a1a4 ) (6)
the expected characteristic polynomial is as
follows:

dc ( s) s 2  2[ d' Zd' s  Zd' 2 (7)

According to the equations of the poles assignment

338
 dc ( s ) d ( s )  K T g ( s ) Td
1
(8) a2  a1a4
> kZ kD @
T
K a1  a4
let , equation(8) can be written as [d
follows: 2 a2  a1a4
a3 a4
ª  a3 0 º ª kZ º ª 2[ d/ Zd/  ( a1  a4 ) º Kd 
« « /2 » (9) a2  a1a4
¬  a3 a4  a3 »¼ «¬ kD »¼ ¬ Zd  ( a2  a1a4 ) ¼
1
k ,k
So the controller gain Z D can be get from equation T1d
a4
(9).
The integral controller is always used in the KDn qSC Dy /( mg )
acceleration control loop to eliminate the static error.
a3r a4
The controller is as follows˖ K dr 
kI a2  a1a4
G (s)
s a5 rV
(10) K nGi
mg
3.3 Design of the Reaction-jet Control
Autopilot because of
Td 2  T1d K d 1 KDn and
Assume the feed-forward controller of the reaction-jet Td [  T1d K d 1 KD n
,the equation(11) can be
control system is r
G ( s) a
, and 5 can be neglected.
predigested as follows˖
Then the closed loop transform function of the multi-
control system is as follows: Td2 s 2  2] Td s  1  K w Kdr  KD KwT1d Kdr
N ( s) Gr (s)
Gc ( s ) (11) T1d Kd KDn
(16)
M ( s)
1  Kw Kdr  KD KwT1d Kdr
in the equation(11)ˈ |
T1d Kd KDn
N(s) kI kD kZT1d Kdr KnD  Gr (s)T1d KnD Kd
sP(s)Gr (s)KnD  sGr (s)KnGi kZ Kdr (T1d s 1) (12) 4. Simulation and Analysis
sGr (s)KnGi kZkD KdrT1d Suppose the sampling cycle of pulse engines is 0.02s.
D
M(s) sP(s)  skZKdr  skDkZT1d Kdr  kI kZkDT1d Kn Kdr Fig (5) ̚Fig (7) gives the response of over loading of
the multiple control system and the number of the
sP(s)Gr (s)KnGi  sGr (s)KnGi kZKdr (T1d s 1) (13) micro pulse engines under different conditions and
Gi different commands. n=0, 1,2,3,4 represents number of
sGr (s)Kn kZkD KdrT1d
the micro pulse engine fired one time.
P( s ) Td2 s 2  2[ d Td s  1 (14)
According to the entirety compensation condition of
the feed-forward control[6]˖
Td2 s 2  2[d Td  1  KZ K dr  KD KZT1d K dr
Gr ( s) (15)
T1d K d KDn

in the equation(15) ˈ Z D K ,K
represents the
controller gain of the pitch rate feedback loop and
estimation of attack angle feedback loop separately.
And the formulas of coefficients of transform function
Td , [ d , K d , T1d , KDn , K dr
as follows:

339
 more speedy. That is to say, the multi-control system
has shorter raise time. However the multi-control
system has the bigger overshot with the number of the
micro pulse engine increasing. In Fig (5), when the
number of the pulse engine exceed 3, the Reaction-jet
can not increase the performance yet, In Fig (6) and
Fig (7) , when the number of the pulse engine exceed 2,
the overshot of the multi-control system has achieved
20%. So this scheme has a problem of optimized
number of the Reaction-jet engine, and this problem is
needed to study deeply later

5.Conclusion

Fig 5 V˙1.2MaˈH˙100m, response of the over load From the simulation above, we can draw the
conclusions:
1) This scheme can increase effectively the response
speed of autopilot.
2) The multi-control system has different performance
with different number of the Reaction-jet engine. So
the multi-control system has a optimized number of the
Reaction-jet engine

6. References
[1] Fan Y.H Yang J. Research of Using Aerodynamic
Reaction-jet Controller for Designing Missile Autopilot
[J]. CONTROL TECHNOLOGY OF TACTICAL
MISSILE, N0.3,2005:2̚4.
[2] Jia X.H. Fan Y.H, Yang J. The Design of
Aerodynamic/Reaction-jet Controller of Missile
Autopilot [J]. Journal of Projectiles, Rockets, Missiles
 and Guidance, Vol.25, NO.3,2005: 2̚4.
Fig 6 H=4000mˈV=3Ma, response of the over load
[3] Ji G. Yang J. Analysis on Side Jet/Aerodynamics
Compound Control of Air to Air Missile in Endgame[J].
Journal of Projectiles,Rockets,Missiles and Guidance,
Vol.24,NO.4, 2004:17~18.
[4] Jia X.H. Fan Y.H, Yang J. Research of the Robust and
Stability for Aerodynamic/Reaction-jet controller of
Missile Autopilot [J]. Journal of Projectiles, Rockets
Missiles and Guidance, Vol.25, NO.4,2005:1~2.
[5] Fan Y.H, Xue Y, Yang J. Research of the Robust and
Stability for Aerodynamic/Reaction-jet controller of
Missile Autopilot [J].CONTROL TECHNOLOGY OF
TACTICAL MISSILE, N0.3,2006:5~7.
[6] Wen J. Zhao G. L, Numerical simulation on lateral jet
interaction in supersonic flows Journal of Beijing
University of Aeronautics and Astronautics Vol.31,No.6,
2005:691~695

Fig 7 H=8000mˈV=2Ma, response of the over load

Fig (5)~ Fig (7) show that the more micro pulse engine
works, the performance of the multi-control system is

340
 2008 International Conference on Intelligent Computation Technology and Automation

Design of Combustion Control System for MSW Incineration Plant

Qin Yufeia,Bai Yana, Shen Zhonglib, Zhang Keminga

a
North China Electrical Power University
b
Changsha University of Science and Technology
qinyufei@ncepu.edu.cn

Abstract Table 1 illustrates the composition of MSW in Beijing.

In order to give a MSW incineration plant with a
good combustion characteristic, a control system for Table 1 The composition of MSW, Beijing, 2007
MSW plant was designed. According to the detailed
Item Value
analysis of the composition data from the MSW
incineration plant, the basic characteristics of MSW is Food waste (%) 45.22
revealed, and the combustion model of MSW Garden Waste (%) 6.58
incineration plant with its control strategy is discussed. Paper (%) 15.77
The combustion control system includes grate system,
Plastics (%) 15.56
primary air system and secondary air system. It is
proved that the strategy is suitable for MSW Textiles (%) 1.87
incineration plant control. The significant economic Ashes (%) 10.8
and environmental benefits are achieved. Metal (%) 1.19
Glass (%) 3.02
1 Introduction
Moisture (%) 50.37
The volume of municipal solid waste (MSW)
produced annually is increasing rapidly with the
development of Chinese economic. In 2006, the Heating Value
national total output of MSW is about 148 million tons High Heating Value (kJ/kg) 8042
in China. Statistics [1] show that above 93% of MSW is Low Heating Value(kJ/kg) 6231
land filled (most of it is simply landfill), but the Note: The content of each component was measured and
Chinese government and the other social organizations calculated on a wet weight basis.
pay more attention to MSW incineration now, because
incineration is an efficient way to reduce the waste It shows that the MSW in China contains more food
volume and farmland occupation. and garden wastes than is found in developed countries.
There are 69 MSW incineration plants have been This is attributable to differences in cooking styles. In
built in China, and most of them are imported from addition, the recyclable content of MSW in China is
developed countries. However, the automatic less than in developed countries, particularly with
combustion control system is supplied with the regard to paper waste. The moisture has a great impact
incineration equipments, which are difficult to use after on the burning rate of MSW, and varies with weather
commissioning because of the complication of Chinese change. World Bank [2] suggested that the lower
MSW. heating value must be at least 7000 kJ/kg, and never
This research takes a MSW incineration plant which fall above 6000 kJ/kg in any season for the reason that
is the largest waste-to-energy plant in China as an the low heating value of MSW will affect the
example. economics of incineration. The MSW plant where these
were sampled has lower low heating value, but with the
2 Composition analysis of MSW development of the economy and the wide use of LNG,
the heating value will arise.
MSW typically consists of food and garden wastes, This analysis reveals the basic characteristics of
paper products, plastics, textiles, wood, ashes and MSW: high moisture, more components and low
soils .etc. These components are different in heating heating value. These characteristics would serve as the
value, size and shape. MSW with different analytical basis in the design of control system.
compositions will exhibit different thermal properties.

978-0-7695-3357-5/08 $25.00 © 2008 IEEE 341

DOI 10.1109/ICICTA.2008.309
3 Modeling of MSW incineration
A widely used model of MSW incineration divides
the incineration process into four successive
sub-process: evaporation of moisture from the waste,
volatile release/char formation, burning of the
hydrocarbon volatiles in the gaseous space, and the
combustion of char particles. Figure1 illustrates
theoretical picture of incineration processes in furnace.
In fact, the incineration processes inside the furnace are
highly three-dimensional, and there is no clear
boundary between these processes.
Secondary air
Volatile
Combustion
Feeder Drying Volatile release Fixed Carbon
Drying /char formation Combustion
Grate Burning Burning
Burnout
Grate1 Grate2
Grate
Primary air
Figure1. Incineration processes in furnace
Primary air is fed from underneath the grate and
secondary air into the region above the burning grate.
The general process can be described as:
Waste ⎯⎯⎯ Heat
→ Volatile (C m H m , CO2 , H 2 O , etc )
+Char + Ash
Combustion modeling has been successfully
accomplished using neural network[3]. Data driven
methods are suitable for MSW incineration plant
modeling: each plant behaves in a unique way.
Therefore, operational data, which can be routinely
collected at all plants, is ideally fit for describing such
individual behavior.
Target Steam Flow Rate SV
Air Flow Cal.
4 Waste receiving
Waste is stored in a large bunker from which it is
transported by waste cranes into a waste charging
hopper. Within in the bunker the waste should be stored
in the bunker for about 3 to 5 days, and turned over
regularly. The high water content of waste makes it
hard to ignite and combust. The primary objectives of
waste storage are to dehydrate the waste, increase the
heating value, and improve the combustion effect.
5 Combustion control system
The operation of a MSW plant is subject to both
economic and environmental objectives. Economic
objectives are revenue maximization and cost
minimization. This will be fulfilled by aiming for:
z Maximization of waste throughput;
z Maximization of the energy output, e.g., steam
production;
z Minimization of the products of environmental
concern, e.g., NOx, dioxins and heavy metal;
Furnace temperature is one of the most important
parameter of combustion. During normal operation, the
furnace temperature shall be around 850℃ to prevent
the generation of dioxin which is a dangerous
environmental pollution. Eight thermal couple
temperature sensors are placed on the furnace to
measure the temperature. The temperature signal
obtained from these sensors is used for controlling the
(1)
combustion. Temperature control depends mainly on
the heating value and the load.
Besides the thermal couple, four waste thickness
level switches and a finishing line sensor are installed
in the furnace.
Air Flow
Steam

F
Air Balance Cal.

Secondary Air
Primary Air Cal.

SV
Thickness Flue Gas
Grate Speed Temperature O2
Cal. Finishing Line
Grate Furnace Boiler
M ass Flow Air Flow System Loops
Selection Block Grate System Loops
Figure2. Combustion Control System

342
 Figure 2 shows the main combustion control loop.
The combustion control system includes grate system,
primary air system and a secondary air system. The key 60
of the control loop design is to consider these systems
50
as an entirety. The steam flow affects both the air flow

Thi ckness( mm)

and grate speed as shown in Figure 2. Small fluctuation

Wast e Layer
40
in oxygen content is controlled by secondary air while
the major corrections are done by the air flow.
30

5.1 Grate system 20

The incineration line consists of a feeder and four 10

grates. According to the model of incineration, grate
also is divided into four zones: drying grate, burning
grate1, burning grate2, burnout grate. Each grate has it
own function corresponding to the incineration model,
the drying, volatile release, combustion .etc, must be
located correctly.
5.1.1 Grate speed
The burning grate speed is controlled according to
the deviation between a target steam flow rate and
actual steam flow rate, corrected by the waste thickness
and finishing line. In this case, the equation for the
burning speed is:
Q 21
S =α × b + β
120.0 (2)
Where:
S: Burning grate speed; Qb: Target steam flow;
α,β: Parameter, these value were adjusted during
commissioning.
The speed of drying grates and feeder will adjust
according to the burning grate speed, usually with a
constant ratio. The feeder is used to control the waste
amount. In any case, the speed of feeder should change
slowly to prevent the grate from jamming. The
automatic combustion system does not control the
speed of burnout grate. It has a weak effect on
combustion.
5.1.2 Waste layer thickness To obtain the
maximum stable combustion, waste should be spread
on the grate equally not too thick or too thin. Consider
the waste layer from the evaporation process, thin
waste layer make the waste easy to dry and volatiles
easy to release. Figure 3 shows the experimental results
of the moisture effect on waste layer thickness [4]. So
waste layer thickness should be adjusted according to
the heating value of waste.
0
0% 10% 20% 30% 40% 50% 60%
Figure3. Moisture level
5.2 Combustion air system
The quality of waste varies depending on the time of
a day as well as on the season. The combustion air
copes with fluctuation of the waste. The necessary
combustion air is calculated with the both target steam
flow rate and the excess air ratio. The equation for the
total combustion air flow is:
F = α × Qb × + β − F2 (3)
21 − O2
Where:
F: Combustion air flow; Qb : Target steam flow;
α,β: Parameter, these values are adjusted during
commissioning; O2: Oxygen content; F2: Leak air flow.
There is an air balance function block after the
calculation of total air flow as Figure 2 shows. This is
used to distribute the primary air flow and secondary
air flow. Basically this calculated necessary air is
distributed proportionally to each grate for primary air
and to secondary air.
In order to prevent the generation of dioxin, the
amount of air corresponds to an overall excess air
number around 1.6, thus resulting in a higher flue gas
loss.
5.2.1 Primary air Evaporation of moisture
from the waste needs a lot of heat which is supplied by
primary air. Primary air is heated by steam air
pre-heater and distributed proportionally to each grate.
Furnace temperature and the primary air temperature
interact with each other. The combustion will be
improved when the primary air temperature is high.

343
Only by stable combustion can generate enough steam
and flue gas. Conversely, the steam guarantees the [6] Hao Zhou, Kefa Cen, Jianren Fan, 1998, “Modeling and
working of the steam air pre-heater. optimization of the NOx emission characteristics of a
tangentially fired boiler with artificial neural networks”,
Energy, 29(2004), pp. 167-183.
5.2.2 Secondary air During the processes
occurring on the grate, the combustible waste materials [7] K. Jørgensen, O.H. Madsen, “Modern Control Systems
are transformed into a gaseous form consisting in a for MSW Plants”, Process Safety and Environmental
mixture of many volatile components. Secondary air is Protection, (1) 2000, pp. 15-20.
injected into the furnace through high velocity nozzles,
[8] Olar Zerbock, “Waste Reduction in Developing Nations”,
to mix the flue gas. It also resulted in an increase in the
Urban Solid Waste Management, Michigan Technological
velocity of the main hot gas stream. This can therefore
University, 2003, pp. 261-262.
cause a significant operational problem in the plant.
Poor penetration and high velocities in this region
could also result in a sudden lack of oxygen availability
in the core of the hot main gas stream. Thus,
optimization of the secondary air would be necessary to
achieve faster gaseous mixing.
In this combustion air control strategy, the secondary
air flow is calculated according to oxygen content or
boiler temperature. The selection block in Figure 2 is
used to select these two modes. If the boiler
temperature is high than certain value, it will switch to
temperature control, otherwise is oxygen content
control.

6 Conclusion
This paper has presented the control philosophy
applied at the MSW plant. The overall design
philosophy has been incorporated into the distributed
control system (DCS). This gives a plant with a good
combustion characteristic.

7 References
[1] Harmless Disposal of Garbage, National Bureau of
statistics of China, (2008), pp.1193-1197.

[2] World Bank Technical Guidance Report, Municipal Solid

Waste Incineration, World Bank Washington, DC, 1999.

[3] Changqing Dong, Baosheng Jin, Daji Li, “Predicting the

heating value of MSW with a feed forward neural network”,
Waste Management, (2) 2003, pp. 103-106.

[4] Y.B. Yang, C. Ryu, J. Goodfellow, V. Nasserzadeh Sharifi,

J. Swithenbank, “Modelling Waste Combustion in Grate
Furnaces”, Process Safety and Environmental Protection,
(3) 2004, pp. 208-222.

[5] Goh, Y.R., Siddall, R.G., Nasserzadeh, V., Zakaria, R.,

Swithenbank, J.,Lawrence, D., Garrod, N. and Jones, B.,
1998, “Mathematical modeling of the waste incinerator
burning bed”, J Inst Energy, 71(487), pp. 110-118.

344
 2008 International Conference on Intelligent Computation Technology and Automation

Exploiting Sequential-Valve-Gate Molding to Control Weld Lines

Feng Ruan, Yi Liu, Zujun Zhang, Juan Liao, Bo Chen

South China Univ. of Tech., Guangzhou 510640, Guangdong, China
meliuyi@yahoo.cn

Abstract comes, the controller opens the secondary gate. Doing

this minimizes the pressure loss in the system and
Weld line is one of the defects occurring in injection controls the weld-line positions.
molded parts which should be positioned at low-stress
and non-critical areas. The paper presents an approach
to effectively specify the weld-line locations by
exploiting sequential-valve-gate molding. The method
accurately repositions the weld lines to the desired
locations by varying the opening timings of valve gates
and the index of conformity degree between the actual
and the desired weld-line locations. An example is used
to illustrate the approach.

1. Introduction
Fig.1 Sketch map of SVG molding
Weld line is one of the defects occurring in
injection molded parts, which affects both the 2. Methodology
appearance and the strength of the products [1-2]. In
the multi-gated injection molding process, weld lines A three-stage optimization methodology, namely
will inevitably be present. If weld lines can’t be molding partitioning, optimum valve gates locations
avoided, they should be positioned at low-stress and determination and opening timings of valve gates
non-critical areas. adjusting, is proposed. The basic procedures are as
Zhong et al. [3] presented an approach to make the follows.
total length of the weld lines minimized and the
weld-line locations furthest away from the sensitive 2.1. Molding partitioning
places by applying genetic algorithm. Chen et al. [4]
presented an approach to apply fuzzy control logic in
controlling the weld line position for an injection
molded part. Zhai et al. [5] presented an approach to
specify the locations of the weld lines by sizing the
runners in a multi-gated injection molding with the
optimum gate locations. The methodology repositions
the weld lines to the desired locations by varying the
runner sizes.
Based on the above mentioned methods to control
the weld-line locations, this paper presents an approach
to effectively specify the locations of the weld lines by
exploiting sequential-valve-gate (SVG) molding.
Fig.1 shows a typical sequence in sequential valve Fig.2 Partitioning the molding into
gate molding. This is accomplished by opening the sub-moldings
single gate at the start of fill and allowing the flow to
extend radially outward. Once the arbitrary later time Weld lines are usually visual defects and structural

978-0-7695-3357-5/08 $25.00 © 2008 IEEE 345

DOI 10.1109/ICICTA.2008.211
defects in injection molded parts, so it should be
located at low-stress and non-critical areas. Fig.2
shows the desired weld-line locations in a given area.
The geometry of the weld lines is simplified as straight
lines. According to these straight lines, the molding is
partitioned into several sub-moldings. The weld-line
locations will be redefined at the stage of the opening
timings of valve gates adjusting since the geometry of
the weld lines will not always be straight during the
iteration process in opening timings adjusting.
2.2. Valve gate location determination
In the multi-gated injection molding process, the
part quality and the proper working of the mold are
greatly affected by the gate location, because it
influences the manner in which the plastic flows into
the mold cavity. Therefore, the product quality can
be greatly improved by determining the optimum
gate location. The ideal filling pattern is that the melt
front could simultaneously reach boundary points of
the part. So the question about optimum valve-gate
location equals to minimize arithmetical average
difference among flow lengths from valve-gate location
to boundary characteristic points. In this article, a
general method is developed to automatically predict
the optimal valve-gate locations based on equivalent
flow length algorithm.
2.2.1. Mathematic model of equivalent flow length
algorithm. A mathematic model of equivalent flow
length algorithm has been established for determining
the optimal valve-gate location at every sub-molding
[6]. In order to facilitate the research, the paper
describes the injection part as a closed boundary curve
shown in Fig.3.
Fig.3 Boundary points and flow path
Generation and manipulation of the key points that
represent the geometric boundary and the inner of the
part are provided as well. Every inner point is equal,
346
which can be the valve-gate location. The distance
from a boundary point to an inner point is called flow
length. If we denote the coordinates of valve-gate
location as G(x, y, z) and the coordinates of boundary
points as: (x1, y1, z1), (x2, y2, z2),…,(xN, yN, zN), then
any flow length may be expressed as:
d i = ( x − xi ) 2 + ( y − yi ) 2 + ( z − zi ) 2 .
The average flow length from the boundary points to a
valve-gate point may be expressed as:
N
d = ∑ di / N .
i =1
In order to determine the optimum valve-gate location
in the inner points, the arithmetical difference among
flow lengths should be minimized, so Eq.1 should get
the minimum in inner points:
N
f ( x, y , z ) = ∑ ( d i − d ) 2 (1)
i =1
2.2.2. Realization of equivalent flow length
algorithm. It is an important work to subdivide a
closed region into boundary and inner points for
computation and optimization. Boundary and inner
points should be generated to wholly and exactly
represent the shape feature of the part. In this paper, all
sub-moldings are subdivided into boundary and inner
points by means of the FEM software Moldflow. The
optimum valve-gate locations in inner points are
determined by means of the data analysis software
Matlab.
2.3. Opening timings of valve gates adjusting
The optimum valve gate locations for all the
sub-moldings are separately determined according to
equivalent flow length algorithm. If all valve gates are
simultaneously opened, the actual weld line will be
different from the desired position as shown in Fig.4.
Hence, the opening timings of valve gates adjusting are
necessary to bring the actual weld lines to the desired
positions.
Fig.4 Simulation results using opening gates
 If we denote the volume of every sub-molding as: locations is listed in Fig.6.
V1 ,V2 ,…,VN (V1＜V2＜…＜VN ), then the total filling
time may be expressed as: Reading desired weld-line locations
N

∑V i
t= i =1
(i = 1, 2,3,", N ) ,
ν Partitioning the molding
the opening timing of every valve gate may be
expressed as:
V − Vi −1
ti = i (i = 1, 2,3,", N ) , (2) Computing f of gate points in a sub-molding
ν
where ν is flow rate in injection molding.
Because of the complexity of the part geometry, Searching the minimum f in a sub-molding
the actual weld line will still be unconformable to the
desired position when the opening timing of every
valve gate is set according to Eq.2. At the same time, Searching all optimum valve-gate positions
a weld line isn’t always straight, so the difference
between the desired and the actual weld line couldn’t
be specifically represented. Evaluating weld-line positions according to ti
In order to effectively control the weld lines to
appear at the desired positions, a new representation is
presented to indicate the difference between the Repositioning by adjusting ti and γi
actual and the desired weld-line locations. Since a weld
line is formed at the location where two flows meet, the Fig.6 Flow chart of the proposed scheme
ratio of volume filled to the total volume of the
sub-molding indicates whether the actual weld line is at 3. Example
the desired location. Let Vfilled is the volume filled by a
valve gate within a sub-molding and Vi is the total An example is presented here to illustrate the
volume of the sub-molding. Define a ratio γi to approach. A part with two chambers connected by a
represent the index of conformity degree between the hinge as shown in Fig. 7 is studied. The dimensions of
actual and the desired weld-line locations: each chamber are 150mm × 100mm × 25mm with
V filled material Generic PP. The average wall thickness is
γi = (i = 1, 2,3,", N ) .
Vi 2.0mm. The processing condition are melt temperature
To have γi exactly equal to 1 is difficult, and an = 230℃, mould temperature = 40℃. This part is
iteration process is used to adjust ti so that the deviation molded by a two valve-gate injection mold. A weld line
of γi from 1 is minimized. The final weld-line positions is expected between the gates. As the weld line
are shown in Fig.5. significantly reduces the strength of the part, it should
not be across the hinge. The weld line is specified in
the left chamber as depicted in Fig.7.

A B

Fig.7 Desired weld-line location of the

Fig.5 Controlling weld lines to the desired
locations
The flow chart of the whole process for exploiting
sequential-valve-gate molding to control the weld-line
model
The entire model is divided into two sub-moldings
A and B based on the specified weld line. According to
the equivalent flow length algorithm, A and B

347
sub-moldings are subdivided into boundary and inner
points by means of the FEM software Moldflow. The
optimum valve-gate locations in A and B inner points
are determined by means of the data analysis software
Matlab. The calculation results show that G1 and G2
are the optimum valve-gate locations of A and B
sub-moldings as shown in Fig.8.
G1 G2
Fig.8 Actual and desired weld-line locations
Through calculation, the volume of A sub-molding
3 writing the paper. I’d like first to give my grate to my
is 35.1942cm , the volume of B sub-molding is
35.1942cm . By setting the flow rate of 30cm3/s, the
3
total filling time is 3s, the delay opening time of G1
compared with G2 is 0.75s. The actual weld line isn’t
conformable to the desired position according to 0.75s
as shown in Fig.8. An iteration process is used to
control weld line to the desired locations by adjusting ti
and γi.
By setting the delay opening time of t = 1.3s, the
3 [1] W.R. Jong, and K.K. Wang, “Automatic interpretation of
volume filled by G1 is 34.5144cm , the ratio γ1 of
volume filled by G1 to the total volume of A
sub-molding is 0.9807; the volume filled by G2 is
3
58.4761cm , the ratio γ2 of volume filled by G2 to the
total volume of B sub-molding is 1.0118. The deviation
of γ1 and γ2 from 1 is minimized, so the final weld-line
location is conformable with the desired location as
shown in Fig.9.
Fig.9 The final weld-line location of the model
348
4. Conclusions
Many approaches have been presented in weld line
positioning. Various objective functions and theories
are used for optimization to control the weld-line
locations. These methods are not only complex but also
deep. Sequential-valve-gate molding is an alternative
and appropriated method to control the flow for weld
line positioning for multi-gated parts. The method is
not only simple but also maneuverable. The example
examined indicated that the proposed method is
effective in re-positioning the weld lines to desired or
specified regions of the part. So, the method is an
important reference and can be applied in engineering
practice.
5. Acknowledgements
This work is supported by Guangzhou S&T
Planned Project under the grant 2007Z2-D9091. Many
people gave me support and help in the process of
dear teacher, professor Mr.Ruan, who generously gave
me his kindly help and instructions during the whole
process of my paper-writing. Then I’d like to give my
many thanks to my classmates who helped me a lot
with my information collecting and paper-polishing.
References
weld lines and air traps in injection molding by synthesizing
deterministic and heuristic knowledge”, ANTEC, May 7-11,
1990, pp.197-202.
[2] S. Dairanieh, A. Haufe, H. J. Wolf, and G. Mennig,
“Computer simulation of weld lines in injection molded
poly(methyl methacrylate)”, Polymer Engineering and
Science, v 36, n 15, Mid-Aug, 1996, pp.2050-2057.
[3] H.D. Zhong, and Y.M Deng, “Optimization of length and
location of weld-line in injection molding based on genetic
algorithm”, China Plastics Industry, 2006(11), pp.27-32.
[4] M.Y. Chen, Y.C. Chen, and S.C. Chen, “To apply fuzzy
theory in the control of weld line of plastic injection
Molding”, Proceedings of the 2004 IEEE Conference on
Cybernetics and Intelligent Systems, 1-3 December, 2004,
pp.1137-1142.
[5] M. Zhai, Y.C. Lam, and C.K. Au, “Runner sizing and
weld line positioning for plastics injection molding with
multiple gates”, Engineering with Computers, 2006(21),
pp.218-224.
[6] H.Y. Xiang, S. Sun, and Y.X. Zhong, “Optimization of
gate position for plastic injection mold based on point set
distribution of part boundary”, Journal of Computer Aided
Design & Computer Graphics, 2003(12), pp.1544-1548.
 2008 International Conference on Intelligent Computation Technology and Automation
Freeway Feedback Ramp Metering
Based on Neuron Adaptive Control Algorithm
Chi Qi Zhongsheng Hou
Advanced Control Systems Advanced Control Systems
Lab, Beijing Jiaotong Lab, Beijing Jiaotong
University, University,
E-mail: E-mail:
qichi1982@126.com zhshhou@bjtu.edu.cn
Abstract
The freeway congestion problem can be addressed
employing a lot of different measures. Ramp metering
is the most widely used control measures which is a
direct and efficient way to control and upgrade
freeway traffic by regulating the number of vehicles
entering the freeway. This paper proposes two ramp
metering algorithms in which the neuron adaptive
control algorithms are applied to tune the rate of
metering on-line in real time. Compared to traditional
method of feedback ramp metering, these two new
methods effectively reduce the oscillator of traffic
density and the ramp metering, have stronger
robustness, better instant response and better control
precision at the same time. With rigorous analysis, it is
shown that the proposed learning identification scheme
can guarantee the convergence and robustness. A
number of simulation results are provided to
demonstrate that these two new algorithms are capable
of meeting the requirements of both reliability and
real-time performance.
1. Introduction
Congestion on freeways forms when the demand
exceeds capacity. It has been recently realized that the
control strategies based on accurate mathematics
modal can’t provide a complete solution. Because the
model and some parameters are changeful according to
transportation affairs, environment and weather
condition etc. Since the traditional strategies based on
accurate mathematics modal are often not feasible or
insufficient to significantly reduce congestion, it is put
forward such as ramp metering, real-time speed
control, and others. Ramp metering is one of the most
widely used control measures that are historically
employed in freeway networks. Ramp metering is a
978-0-7695-3357-5/08 $25.00 © 2008 IEEE 349
DOI 10.1109/ICICTA.2008.259
Xingyi Li
Advanced Control Systems
Lab, Beijing Jiaotong
University,
E-mail:
lixinyii@163.com
direct and efficient way to control and upgrade freeway
traffic by regulating the number of vehicles entering
the freeway. The rate of metering is calculated
depending on the specific strategy deployed. It is well
known, from previous theoretical investigations and
field operation tests, that ramp metering has various
positive effects. If appropriately applied, the
congestion delay can be reduced 21% [1].
One of the most widely used ramp metering
algorithms is ALINEA, which is put forward in 1991
by Papageorgiou et al [2]. ALINEA uses feedback
regulation to maintain a desired level of occupancy, or
the target occupancy, which is usually chosen to be the
critical occupancy, and apply the kinematics wave with
locally calibrated fundamental diagrams as the
underlying traffic modal. It has many correction
forms, such as FL-ALINEA, UP-ALINEA, UF-
ALINEA, X-ALINEA/Q etc [3].
However, the selection of rate of metering and
parameter comes from experience in ALINEA, which
is lack of theories foundation. At the same time, the
parameter is difficult to adjust on-line for traditional
ALINEA method. With the developing of nerve
network, how to put together the network technique of
the artificial nerve and traditional ALINEA method to
resolve the on-line adjustment of parameter in
ALINEA, is a very meaningfully topic.
2. Model summary
This model of freeway section is shown in Figure 1.
There are λ lanes in mainline and only one lane in
ramp.

Figure 1. Isolated ramp model
The overall dynamics of the system [4] now can be
written as
+x r [ k]
ρ [ k +1] = ρ[k] + (qu[k] − q[k] + ) （1）
+t λ r(k) = r(k −1) + KR (o − oout (k))
ρ[k ]
q[k ] = v f (1 − ) ρ[k ] （2）
ρ jam
Where,
ρ [k ] - Traffic density on the mainline at time k
(veh / mile)
qu [k ] - Traffic flow entering the mainline section
from the freeway for each lane at time k (veh / hour)
q[k ] - Traffic flow leaving the mainline section
from the freeway for each lane at time k (veh / hour)
r [ k ] - Rate of the flow of traffic into the mainline
from the ramp at time k (veh / hour)
+t - Length of the sample period (hour)
+ x - Length of the mainline section (mile)
v f - Free flow speed on mainline (miles/hour)
ρ jam - Jam density on the mainline (veh/mile)
The relationship between traffic density and traffic
flow is shown in Figure 2.
Figure 2. The relationship between traffic speed
and density
It is obvious from Figure 2 above that if we can
maintain the traffic density at the critical value we can
obtain the highest traffic flow [5].
3. Freeway feedback ramp metering based
on neuron adaptive control algorithm
350
3.1. ALINEA
Ramp control system can be categorized as open-
loop and closed-loop. In an open-loop ramp control
system (demand capacity control, upstream occupancy
control, gap acceptance control, etc.), the control input
(e.g. ramp metering rate) is independent of the system
output, the existing traffic conditions (e.g. volume,
occupancy, gap, etc.). It is influenced very much by
external disturbances. While ALINE is a closed-loop
ramp metering strategy, which uses feedback
regulation to maintain a desired level of occupancy, or
the target occupancy. The control law is described
below:
（3）
Where
r (k ) - Rate of the flow of traffic into the mainline
from the ramp at time k (veh / hour)
r (k − 1) - Rate of the flow of traffic into the
mainline from the ramp at time k-1 (veh / hour)
o - A set (desired) value for the downstream
occupancy
K R > 0 - A regulator parameter, which is usually
set K R = 70 [1].
In this paper, we regulate the rate of the flow of
traffic into the mainline from the ramp by the error
between the density of downstream and the desired
density, which is described below:
r(k) = r(k −1) + (ρ(d), ρ(k −1), Knac ) （4）
Where
ρ d - A set (desired) value for the downstream
density
- The output of neuron adaptive control
algorithms
K nac - The regulator parameters of neuron
adaptive control algorithms
The set value K nac has great influence to the ramp
metering rate and the density of mainline. When the
traffic demand fluctuates strongly, the constant
regulator parameter can’t attain good regulation effect.
So we introduce neuron adaptive PID control
algorithm [6] and neuron adaptive PSD control
algorithm [6] to tune the rate of metering on-line.
3.2. Freeway feedback ramp metering based on
neuron adaptive PID control algorithm
 The overall structure of freeway feedback ramp Where, ηI , ηP , ηD is the learning rate of
metering based on neuron adaptive PID control
algorithm is shown in Figure 3. integral, proportion and differential cell. The effect of
freeway feedback ramp metering based on neuron
adaptive PID control algorithm is influenced by the
selection of regulator parameter K , η I , η P , η D .

3.3. Freeway feedback ramp metering based on

neuron adaptive PSD control algorithm

Freeway feedback ramp metering based on neuron

adaptive PSD control algorithm is obtained by
Combining the neuron adaptive PSD control algorithm
and neuron adaptive PID controller. The overall
structure of freeway feedback ramp metering based on
Figure 3. Freeway feedback ramp metering
neuron adaptive PSD control algorithm is shown in
based on neuron adaptive PID control Figure 4. The symbols are same as Figure 3.
algorithm
The control process and the set state are reflected in
the Conversion in Figure 3. ρ cr is the critical density,
ρ (k ) is the real-time downstream density. These two
variables are converted into the inputs of the neuron
x1 ， x2 ， x3 , which are described respectively as
follow:
x1(k) = e(k) ⎫
x2 (k) = e(k) ⎪
⎪
⎬ （5）
x3 (k) = e(k) − 2e(k −1) + e(k − 2)⎪ Figure 4. Freeway feedback ramp metering
based on neuron adaptive PSD control
z(k) = ρcr − ρ(k) = e(k) ⎪⎭ algorithm
The algorithm is described as follow:
Set wi (k )(i = 1, 2,3) denote the weights 3
⎫
r(k) = K ∑w'i (k)xi (k) ⎪
of xi (k ) . K is the proportion coefficient of the i =1
⎪
neuron, K > 0 . r ( k ) is the rate of the flow of traffic 3
⎪
into the mainline from the ramp at time k. The freeway wi (k) = wi (k)/ ∑ wi (k)
'
⎪
feedback ramp metering based on neuron adaptive PID i =1 ⎬ (8)
control algorithm is given by w1 (k +1) = w1(k) +ηI z(k)r(k)[e(k) + e(k)] ⎪
3 ⎪
r (k ) = K ∑ wi (k ) xi (k ) （6） w2 (k +1) = w2 (k) +ηP z(k)r(k)[e(k) + e(k)]⎪
i =1 w3 (k +1) = w3 (k) +ηD z(k)r(k)[e(k) + e(k)]⎪⎭
Where sgn[e( k )] = sgn[e( k − 1)] ,
If
3
⎫
w'i (k ) = wi (k) / ∑ wi (k ) ⎪ K(k) = K(k −1) + c
K(k −1)
(9)
i =1
⎪⎪ Tv (k −1)
w1 (k +1) = w1 (k ) +ηI z(k )r(k) x1 (k ) ⎬ （7） Where,
w2 (k +1) = w2 (k ) +ηP z(k )r(k ) x2 (k )⎪ Tv (k) = Tv (k −1) + L* ×sgn[ +e(k) −Tv (k −1) +2 e(k)]
⎪
w3 (k +1) = w3 (k ) +ηD z(k )r(k) x3 (k ) ⎪⎭ (10)
Or，
K ( k ) = 0.75 × K (k − 1) (11)

351
 Where,
0.025 ≤ c ≤ 0.05 ⎫
⎪
0.05 ≤ L ≤ 0.1
*
⎪
x1(k) = e(k) ⎪
⎪⎪
x2 (k) =+e(k) = e(k) − e(k −1) ⎬ (12)
⎪
x3 (k) =+ e(k) = e(k) − 2e(k −1) + e(k − 2)⎪
2

z(k) = ρcr − ρ(k) ⎪

⎪
e(k) = ρcr − ρ(k) ⎪⎭
Due to the introduction of the gain K self-adjusting,
the self-learning, self-organization and robustness of
Figure 6. Curves of ramp metering
the algorithm get obvious improved.
The effect is shown in Figure 7.
4. Simulation
We present a basic distributed modal developed
above. Then we will develop Matlab software for
simulation. All of the related parameters are listed as
follows: v f = 80km / h , ρ jam = 110veh /(kmilane) ,
ρ cr = 55veh /(kmilane) , ρ (0) = 30veh /( km ilane) ,
L(0) = 10veh ,
q (0) = 1500veh / h ,
x = 500m , the length of simulation step is 10s.
Total number of simulation is 1000. The disturbance is
chosen as white noise. In addition, the traffic flow
entering the mainline section from the freeway is Figure 7. Curves of the density of mainline
shown in Figure 5. The simulation shows that these two new methods
effectively reduce the oscillator of traffic density and
the ramp metering, have stronger robustness, better
instant response and better control precision at the
same time, which adjusts the metering rate to keep the
density downstream of the on-ramp at a desired level.
At the same time, due to the introduction of neuron
adaptive control algorithm, the oscillator of metering
rate and density of mainline is obviously weakened.
In addition, due to the introduction of the gain K
self-adjusting, the self-learning, self-organization and
robustness get obvious improved. For verifying this, a
good effect is obtained when the traffic flow from the
upstream fluctuates seriously. The traffic flow entering
the mainline section from the freeway is shown in
Figure 5. Curve of traffic flow entering the
Figure 8.
mainline section from the upstream
At the same initial state, ALINEA, Freeway
feedback ramp metering based on neuron adaptive PID
and PSD control algorithms are adopt respectively. The
curves of ramp metering are shown in Figure 6.

352

Figure 8. Curve of traffic flow entering the
mainline section from the upstream
At the same initial state, ALINEA, Freeway
feedback ramp metering based on neuron adaptive PID
and PSD control algorithms are adopt respectively. The
curves of ramp metering are shown in Figure 9.
Figure 9. Curves of ramp metering
The effect is shown in Figure 10.
Figure 10. Curves of the density of mainline
5. Conclusions
353
Ramp metering is implemented in many countries.
There are no uniform or standard evaluation criteria
and the measures of effectiveness (MOE) vary with the
system objectives. But it is clear that if neural network
is properly implemented, ramp metering can
significantly reduce the oscillator of traffic density and
the ramp metering and maintain a desired level, which
can prevent congestion and increase traffic throughput.
Furthermore, due to the advantages of neural
network, It is a meaningfully topic to adopt artificial
neural networks into the system wide ramp metering
strategies. Neural network-based ramp metering is
shown to be able to directly handle nonlinear systems
without resorting to linearization. It can also be tuned
on-line, which makes them adaptive to a changing
environment.
6. References
[1] V. Pravin, “Reducing highway congestion: an empirical
approach, Special Issue: Fundamental Issue in Control”,
European Journal of Control, SPRINGER Country of
publication Great Britain, Great Britain, 2005, pp.301-309.
[2] M. Papageorgiou, “ALINEA: A local feedback control
law for on-ramp metering”. Transportation Research Record
1320, TRB, National Research Council, Washington, D. C.,
1991, pp.58-64.
[3] E. Smaragdis and M. Papageorgiou, “A series of new
local ramp metering strategies”. Transportation Research
Board 8th, Mira Digital Publishing, New York, 2003.
[4] M.J. Lighthill, and G.B. Whitham, On kinematic waves:
Ii. A theory of traffic flow on long crowded road, In Rroc.
Royal Society, London, 1955, 317-345.
[5] J. Xu, Traffic Control Based on Neural Optimization.
Institute of Automation, Chinese Academy of Sciences,
Beijing, 2007.
[6] J. K. Yi, and Y. B. Hou, Intelligent Control, Publishing
House of Beijing University of Technology, Beijing, 2003.
 2008 International Conference on Intelligent Computation Technology and Automation

Global Chaos Synchronization of the Lorenz–Stenflo Systems

via Linear State Error Feedback Control

Yun Chen
College of Electronic Engineering, Naval University of Engineering, Wuhan 430033, China
mathyun@sina.com
Xiaofeng Wu
Guangzhou Naval Academy, Guangzhou 510430, China;
College of Electronic Engineering, Naval University of Engineering, Wuhan 430033, China
Zhifang Gui
College of Electronic Engineering, Naval University of Engineering, Wuhan 430033, China

Abstract to chaos synchronization. This paper utilizes the

This paper studies a linear feedback synchroni-
zation scheme for the chaotic Lorenz-Stenflo systems.
Some sufficient algebraic criteria for global chaos
synchronization of the master and slave Lorenz-Stenflo
systems via linear state error feedback control are
rigorously proven by means of Lyapunov stability
theory. The obtained criteria are further optimized to
improve their sharpness. The numerical examples
verify the effectiveness of these criteria.
1. Introduction
Chaos synchronization has received considerable
attention since the early work by Pecora and Carroll
[1]. Many control techniques have been applied to
synchronize two chaotic systems, e.g. linear state error
feedback control [2-10], variable substitution control
[11-14], active control [15], adaptive control [16],
sliding mode control [17], back-stepping control [18],
sinusoidal state error feedback control [19], etc.
The Lorenz-Stenflo system is a four-dimensional
autonomous chaotic system [20-23]. It has been
theoretically and numerically verified that two Lorenz-
Stenflo systems coupled by a nonlinear feedback
controller can achieve chaos synchronization, e.g. by
an adaptive controller [23] or by an active controller
[24]. However, chaos synchronization of the Lorenz-
Stenflo systems via a linear state error feedback
controller has been an issue to be solved and the
relevant synchronization criterion has not been
concerned in the existing literatures.
It is well known that the linear state error feedback
controller is one of the simplest controllers applicable
Lyapunov stability theory to study the global chaos
synchronization of two Lorenz-Stenflo systems
coupled by a linear state error feedback controller.
Some sufficient algebraic criteria for the
synchronization are rigorously derived by
appropriately choosing a quadratic Lyapunov function.
The obtained criteria are further optimized to improve
their sharpness.
The layout of the paper is as follows. In next
section, a master-slave linear feedback synchronization
scheme for the Lorenz-Stenflo systems is presented
and the sufficient synchronization criteria for the
scheme are derived and optimized. In Sec.3, some
numerical examples are illustrated and used to show
the effectiveness of the obtained criteria. Finally, some
conclusive remarks are described in Sec.4.
2. Synchronization scheme and criteria
The Lorenz-Stenflo system can be described as [20]
⎧ y1 = α ( y 2 − y1 ) + γ y 4 ,
⎪
⎪ y 2 = y1 ( r − y3 ) − y 2 ,
⎨ (1)
⎪ y 3 = y1 y2 − β y3 ,
⎪⎩ y 4 = − y1 − α y 4 ,
where α (> 0) , γ (> 0) , r (> 0) and β (> 0) are called
the Prandtl number, rotation number, Rayleigh number
and geometric parameter, respectively. For some
values of the above parameters, system (1) exhibits the
complex chaotic behaviors [24].
System (1) can be reformed as the following matrix
form,
y = Ay + f ( y ) , (2)

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DOI 10.1109/ICICTA.2008.224
where y = ( y1 , y 2 , y3 , y 4 )T ∈ R 4 , and chaos synchronization in the sense of (5) as global
chaos synchronization.
⎛−α α 0 γ ⎞
⎜ ⎟ In order to find the sufficient criterion for global
⎜ r −1 0 0 ⎟ chaos synchronization of scheme (3), the following
A=⎜ ,
0 0 −β 0 ⎟ assumption and lemma must be introduced.
⎜ ⎟
⎜ −1
⎝ 0 0 − α ⎟⎠ Assumption. The chaotic trajectory of the master
Lorenz-Stenflo system is bounded, i.e., for any
and f ( y ) = (0,− y1 y3 , y1 y 2 ,0) . T
bounded initial state x(0) within the defining domain
Now, construct a master-slave synchronization
of the master system, there exist some real constants
scheme for two identical Lorenz-Stenflo systems
ρ i (i = 1, 2, 3,4) such that,
coupled by a linear state error feedback controller,
u (t ) = K ( x − z ) , as follows, xi (t , x(0)) ≤ ρ i , i = 1, 2, 3,4 ∀t ≥ 0 .
⎧Master : x = Ax + f ( x), The above Assumption is in light of the bounded
⎪ feature of chaotic attractor [25].
⎨Slave : z = Az + f ( z ) + u (t ), (3)
b
⎪Control : u (t ) = K ( x − z ), Lemma. The function δ (u ) = au + for variable
⎩ u
where x, z ∈ R 4 , K ∈ R 4×4 is a coupling matrix to be b
u > 0 has minimum δm = δ ( ) = 2 ab , where
determined, defined by a
K = diag{k1 , k 2 , k3 , k 4 } . (4) both the constants a and b are positive.
Our objective is to design a constant matrix K such Theorem 1. The synchronization scheme (3) achieves
that the trajectories, x(t ) and z (t ) , of the master and global chaos synchronization if there exist the
slave systems satisfy constants μi > 0 (i = 1, 2) and a coupling matrix
lim || x(t ) − z (t ) ||= 0 , (5) K = diag{k1 , k 2 , k 3 , k 4 } such that
t →∞
where || ⋅ || denotes the Euclidean norm. [μ 1(r + ρ3 ) + α ]2 μ ρ2 (γ − μ2 ) 2
k1 > −α + + 1 2 + , (11)
Define an error vector 4μ 1(1 + k2 ) 4(β + k3 ) 4μ 2(α + k4 )
e= x−z =(x1 −z1,x2 −z2,x3 −z3,x4 −z4) . k 2 > −1 , (12)
Then we have k3 > − β , (13)
f ( x) − f ( z ) = (0,−( x1 x3 − z1 z3 ), x1 x2 − z1 z 2 ,0)T k 4 > −α . (14)
= D ( x ) e + ϕ (e ) , (6) Proof. Take a positive definite, decrescent and radially
where, unbounded quadratic Lyapunov function,
⎛ 0 0 0 0⎞ V (e) = eT Pe, P = diag{ p, μ1 p, μ1 p, μ 2 p} ,
⎜ ⎟
⎜ − x3 0 − x1 0⎟ , (7) where p, μ1 , μ 2 > 0 .
D ( x) = ⎜
x x1 0 0⎟
⎜ 2 ⎟ For ϕ (e) defined by (8), it is clear that ϕ (e)T Pe =
⎜ 0 0 ⎟⎠
⎝ 0 0
e T Pϕ (e) = 0 for any e . Hence, the derivative of V (e)
ϕ (e) = (0, e1e3 , − e1e2 , 0 )T . (8)
with respect to t along the trajectory of the dynamical
Based on equality (6), we can obtain a dynamical
error system as follows, error system (9) is,
e = ( A − K )e + f ( x) − f ( z ) = ( A − K + D( x))e + ϕ (e) V(e) = eT Pe+ eT Pe = (H(x)e +ϕ(e))T Pe+ eT P(H(x)e + ϕ(e))
= H ( x)e + ϕ (e) , (9) = eT ( H ( x)T P + PH ( x))e + ϕ (e)T Pe + eT Pϕ (e)
where, = eT ( H ( x)T P + PH ( x))e
H ( x ) = A − K + D( x) It follows from Lyapunov’s stability theorem for
⎛ − α − k1 α 0 γ ⎞ non-autonomous systems (Theorem 4.1 in [26]) that
⎜ ⎟
⎜ r − x3 − 1 − k2 − x1 0 ⎟. the dynamical error system (9) is globally uniformly
=⎜ ⎟
(10)
asymptotically stable provided that V(e) < 0 , or,
x2 x1 − β − k3 0
⎜ ⎟
⎜ −1 − α − k 4 ⎟⎠ equivalently, that the matrix S = H ( x) T P + PH ( x) is
⎝ 0 0
Obviously, the synchronization issue (5) is negative definite.
equivalent to the global uniform asymptotical stability From equation (10), we can obtain that
of the error system (9) at e = 0 . Hence, we refer to

355
 ⎛ s11 s12 s13 s14 ⎞ optimization issue is to choose μ1 > 0 and μ 2 > 0
⎜ ⎟
⎜ s12 s22 0 0 ⎟ such that the value of the function,
S = H ( x) P + PH ( x ) = ⎜
T
p,
s 0 s33 0 ⎟ C(μ1, μ2 ) = −α + 1
[μ (r + ρ3 ) +α]2 μ 1ρ22
+ +
(γ − μ2 )2
⎜ 13 ⎟ ,
⎜s ⎟ 4μ 1(1+ k2 ) 4(β + k3 ) 4μ 2(α + k4 )
⎝ 14 0 0 s44 ⎠
is minimal.
where, s11 = −2(α +k1) , s22 = −2μ1(1+ k2 ) ,
Let
s33 = −2μ1(β + k3) , s44 = −2μ2(α +k4) , s12 = α + μ1(r − x3) ,
[ μ (r + ρ 3 ) + α ] 2 μ1 ρ 2 2
s13 = μ1x2 , s14 = γ − μ2 . Δ1 ( μ1 ) = 1 +
4 μ1 (1 + k 2 ) 4( β + k 3 )
Let
⎡ (r + ρ 3 ) 2 ρ22 ⎤ α2 (r + ρ3 )α
⎛s s ⎞ ⎛s s14 ⎞ =⎢ + ⎥ μ1 + + ,
S11 = ⎜⎜ 11 12 ⎟⎟ , S12 = ⎜⎜ 13 ⎟ , ⎢⎣ 4(1 + k2 ) 4(β + k3 ) ⎥⎦ 4(1 + k 2 )μ1 2(1 + k 2 )
⎝ s12 s22 ⎠ ⎝ 0 0 ⎟⎠
(γ − μ2 )2 μ2 γ2 γ
⎛s 0 ⎞ Δ2 (μ2 ) = = + − .
S 22 = ⎜⎜ 33 ⎟⎟ . 4μ2 (α + k4 ) 4(α + k4 ) 4(α + k4 )μ2 2(α + k4 )
⎝ 0 s 44 ⎠
From the Lemma, we can respectively obtain that
According to Schur theorem in matrix theory [27],
the minima of the Δ1 and Δ 2 , as follows,
the above matrix S is negative definite if and only if
⎛ α2 ⎞
⎛s 0 ⎞ ⎛ − 2μ1(β + k3 ) 0 ⎞ ⎜ ⎟
S22 = ⎜⎜ 33 ⎟⎟ = ⎜⎜ ⎟ < 0 , (15) ⎜ ⎟
⎝ 0 s44 ⎠ ⎝ 0 − 2μ2 (α + k4 )⎟⎠ Δ 1m = Δ1 ⎜
4 (1 + k 2 )
⎟
and ⎜ (r + ρ 3 ) 2
ρ2 2
⎟
⎜ +
⎛ 2 2 ⎞ ⎝ 4 (1 + k 2 ) 4( β + k 3 ) ⎟⎠
−1 T ⎜ s11 − s13 − s14 s12 ⎟
S11 − S12 S 22 S12 = ⎜ s33 s 44 ⎟ < 0 . (16) α 1 ⎡ (r + ρ 3 ) 2 ρ 2 2 ⎤ ( r + ρ 3 )α
⎜ s22 ⎟⎠ = ⎢ + ⎥+ ,
⎝ s12 2 (1 + k 2 ) ⎣⎢ 1 + k 2 β + k 3 ⎦⎥ 2(1 + k 2 )
It is obvious that inequality (15) is satisfied if both
the inequalities (13) and (14) hold. Δ 2 m = Δ 2 (γ ) = 0 .
Again, inequality (16) is satisfied if and only if As a result, the minimum C * of C(μ1 , μ 2 ) for
s22 = −2 μ1 (1 + k 2 ) < 0 , (17) μ1 > 0 and μ 2 > 0 is
and
C * = −α + Δ1m + Δ 2 m
s 2 s 2 s 2 s 2 s 2
s11 − 13 − 14 − s12s22−1s12T = s11 − 13 − 14 − 12 ⎡ (r + ρ 3 ) 2
s33 s44 s33 s44 s22 α 1 ρ 2 2 ⎤ ( r + ρ 3 )α
= −α + ⎢ + ⎥+ .
2 (1 + k 2 ) ⎣⎢ 1 + k 2 β + k 3 ⎦⎥ 2(1 + k 2 )
s12 2 s13 2 s14 2
= −2(α + k1 ) − − − < 0,
s 22 s33 s44 Based on the above, the synchronization criterion
(11)-(14) can be optimized to produce a sharper
i.e.,
criterion, presented in the following corollary.
s122 s132 (γ − μ2 ) 2 Corollary 1. The synchronization scheme (3) achieves
k1 > −α + + + . (18)
4μ1 (1 + k2 ) 4μ1 (β + k3 ) 4μ2 (α + k4 ) global chaos synchronization if there exists a coupling
It follows from the Assumption that matrix K = diag{k1, k2 , k3 , k4 } such that
s13 2 = ( μ1 x2 ) 2 ≤ μ12 ρ 2 2 , α 1 ⎡(r + ρ3 )2 ρ2 ⎤ (r + ρ3 )α
2
k1 > −α + ⎢ + ⎥+ , (19)
s12 2 = [α + μ1 (r − x3 )]2 ≤ [μ1 (r + ρ 3 ) + α ]2 . 2 (1+ k2 ) ⎢⎣ 1+ k2 β + k3 ⎥⎦ 2(1+ k2 )
Thus, both the inequalities (17) and (18) hold k 2 > −1 , (20)
provided that both the inequalities (11) and (12) are
k3 > − β , (21)
satisfied.
This completes the proof. k 4 > −α . (22)
Remark. The criterion obtained above is only The following criterion is related to a simple
sufficient but not necessary for the synchronization. In coupling matrix.
practice, it is always expected that the sufficient Theorem 2. The synchronization scheme (3) achieves
criterion can provide a wide range of the coupling global chaos synchronization if there exist the
coefficients k i (i = 1, 2, 3, 4) . Such a criterion is thought
to be less conservative or sharper. Thus, an interesting

356
constants μ i > 0 (i = 1, 2) and a coupling matrix
K = diag{k1 , 0, 0, 0} such that
[μ1 (r + ρ3 ) + α ]2 μ1ρ 2 2 (γ − μ2 ) 2
k1 > −α + + + .
4μ1 4β 4μ2α
(23)
Similar to Corollary 1, criterion (23) can be
optimized, as seen in Corollary 2.
(b)
Corollary 2. The synchronization scheme (3) achieves
global chaos synchronization if there exists a coupling
matrix K = diag{k1 , 0, 0, 0} such that

α ρ2 2 (r + ρ3 )α
k1 > −α + (r + ρ3 ) 2 + + . (24)
2 β 2

3. Numerical simulations
(b)
Consider a Lorenz-Stenflo system with the Figure 1. The chaotic trajectories of the master and
parameters α = 1.0 , γ = 1.5 , r = 26.0 and β = 0.7 . slave Lorenz-Stenflo systems. (a) Master system; (b)
Slave system.
The initial conditions of the master and slave systems
are freely chosen as
( x1 (0), x2 (0), x3 (0), x4 (0)) = (5, 1, 25, − 2) ,
( z1 (0), z 2 (0), z3 (0), z 4 (0)) = (−2, − 8, 10, 2.4) ,
respectively. The chaotic trajectories of the master and
slave systems are illustrated in Figure 1. Based on the
optimized criterion (19)-(22), we obtain a coupling
matrix K = diag{33.0, 1.0, 2.5, 3.0} , which can lead to
the synchronization of the master and slave chaotic Figure 2. Chaos synchronization of the master and
systems, as shown in Figure 2. Based on the optimized slave Lorenz-Stenflo systems coupled by K =
criterion (24), we obtain another coupling matrix diag{ 33.0, 1.0, 2.5, 3.0} .
K = diag{67.5, 0, 0, 0} . The synchronization evolution
of the master and slave chaotic systems via the latter
coupling matrix is shown in Figure 3.

Figure 3. Chaos synchronization of the master and

slave Lorenz-Stenflo systems coupled by K =
(a)
diag{67.5, 0, 0, 0} .

4. Conclusion
Some sufficient criteria for global chaos synchro-
nization of the master-slave Lorenz-Stenflo systems
via the linear state error feedback control have been
obtained. Optimization technique has been applied to
(a) improve the sharpness of these criteria. The illustrated
examples have verified the effectiveness of the criteria.
All the obtained criteria are expressed as the form of

357
algebraic inequality, showing their advantage in
applications.
Acknowledge
This wok was supported by the National Nature
Science Foundation of China under grant No.
60674049.
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 2008 International Conference on Intelligent Computation Technology and Automation
Globally Exponentially Stabilizing Control for a Class of Continuous-time
Bilinear Systems
Xian Zhang, Xin-Rong Yang
School of Mathematical Science, Heilongjiang University, Harbin 150080 , P. R. China
zhangx663@126.com; yxr19841123@163.com
Abstract
The globally exponentially stabilizing control
problem of a class of continuous-time bilinear systems
is studied. For the systems, we give a nonlinear
control. Under weaker premise than that in [1], the
globally exponentially stability of the close-loop
systems under the control is investigated by using
Lyapunov’s stability theory.
1. Introduction
Bilinear system is what people hope a kind of really
fine nonlinear system form. Their nonlinearity is due to
product of state and input variables. But bilinear
systems are linear separately with respect to the state
and the input. It is thought to be a good “compromised
thing” which is between linear model and nonlinear
one [10]. Moreover, bilinear system is the simplest in
structure and in some sense the “closest” to linear one.
Therefore, some theories and methods which have
established in linear systems may be transplanted or
extended to bilinear systems. According to its
bilinearity, its research is more difficult than linear
system. Hence, people have many problems to further
study.
Bilinear systems are close to the actual model, so it
appears that many important processes, not only in
engineering, but also in industry, ecology, biology and
socio-economics, may be modeled by bilinear systems.
They can describe dynamic characteristics of a class of
important nonlinear systems in a larger area of a steady
operation. And their description accuracy is better than
approximate of the traditional linear models [11].
According to its special structure, there exist obvious
advantages in controlability, optimization, etc. Hence,
it has great practical value and theoretical significance
for us to study bilinear systems [7]. Because the above
advantages, bilinear systems have attracted many
scholars of the applied mathematics, control theory and
application engineers. Since the late 1960s, a large
978-0-7695-3357-5/08 $25.00 © 2008 IEEE
DOI 10.1109/ICICTA.2008.91
number of bilinear system problems are beginning to
be studied [1-6,8,9].
Some problems about reachability, stabilization and
controlability of continuous bilinear systems have been
solved [1,3-6,8,9]. For different continuous bilinear
systems, the nonlinear switching function, linear
feedback and quadratic feedback control have been
designed to ensure global asymptotical stability of the
closed-loop system. Using static state feedback and
bounded dynamic output feedback, the sufficient
conditions of the global stabilization of the system is
given by [6]. The stabilization and controlability
problems are studied by [4].
A nonlinear control is proposed by [1] so that the
closed-loop system is exponentially stable. Under
weaker premise than that used by [1], in this paper it is
investigated that the globally exponential stability of
the close-loop systems under the control. So the
conclusion of this paper can be widely applied in many
fields.
As follows, all the matrix norms and vector norms
referred are spectrum norms and the 2-norm,
respectively.
2. Main result
This paper considers the control of a bilinear system
of the form
x (t ) = Ax (t ) + u (t ) Nx (t ), (1)
where x (t ) ∈ \ is the system state vector,
n
u (t ) is a
n×n n× n
scalar control input, and A ∈ \ and N ∈ \ are
constant square matrices.
Autonomy system of the above bilinear system is
x (t ) = Ax (t ). (2)
It is well known that system (2) is said to be globally
exponentially stable if there exists α , β > 0 such that
−βt
x (t ) ≤ α e x (0) when t > 0 for any initial state
x (t ) ∈ \ .
n
359
 Let S be the unit sphere in \ . For a function
n theorem.
n Theorem 1 If the bilinear system (1) and the nonlinear
x : \ → \ , we define the function x̂ : \ → S by control (3) satisfy Assumptions 1 and 2, then the
⎧ x (t ) , x (t ) ≠ 0, closed-loop system formed by (1) and (3) is globally
⎪ exponentially stable.
xˆ (t ) = ⎨ x (t ) The proof of Theorem 1 will be shown in Section 4.
⎪ 0,
⎩ x ( t ) = 0. In the rest of this section, we will illustrate why the
Consider the nonlinear control is as follow: combination of Assumptions 1 and 2 are weaker than
the combination of (a) and (b). Note that Assumption 1
u (t ) = − ρ xˆ T (t )QNxˆ (t ), (3) implies (a), it suffices to prove the following
where ρ is a positive control gain, and Q is a known proposition.
positive definite matrix. Notice that the control law Proposition 1 The combination of (a) and Assumption
u (t ) is uniformly bounded for whatever value of state 2 implies (b).
Proof Firstly, we show that
x (t ) . According to (3), we have
S k = ( −1) Qad .
k k
(7)
u (t ) = − ρ xˆ (t )QNxˆ (t )
T

It is proceeded by induction on k . It is easy to see that

≤ ρ Q N = ρ qn , ∀t > 0. (4) S 0 = ( −1) Qad according to the definitions of S 0 and
0 0

Where q and n are, respectively, the norms of Q

k = p,
0
ad . Assume that (7) holds for i.e.,
and N .
S p = ( −1) Qad . When k = p + 1, using the above
p p
The following theorem obtained by [1] offers a
sufficient condition under which the closed-loop
equation and the definition of S k gives
system formed by (1) and (3) is globally exponentially
S p +1 = A S p + S p A = ( −1) A Qad + ( −1) Qad A.
p T p p p
stable. T

Theorem A If the following (a) and (b) hold, then k

the closed-loop system formed by (1) and (3) is From the above equation, the definition of ad and
globally exponentially stable. condition (a), one has
(a) There exists a positive-definite matrix Q > 0 such S p +1 = ( −1)
p +1
QAad − ( −1)
p p +1 p
Qad A
that AT Q + QA = 0; = ( −1)
p +1
Q ( Aad − ad A)
p p

(b) There exists an integer m (≥ n − 1) such that p +1 p +1

= ( −1) . Qad
span{ad z , k = 0, " , m} = \
k n
for any nonzero
So (7) holds.
x0 ∈ \ , where ad ’s are defined recursively by
n k
Secondly, from Assumption 2 and (7), one obtains
k +1 n = rank [S 0 z S1 z " S m z ]
ad = N , ad = Aad − ad A, k = 0, 1, 2, " .
0 k k

= rank [( −1) Qad z ( −1) Qad z "

0 0 1 1
The purpose of this paper is to generalize Theorem
A by weakening conditions (a) and (b) in Theorem A.
( −1) Qad z ]
m m

Precisely, the conditions (a) and (b) in Theorem A will

= rank [ad z ad z " ad z ]
0 1 m
be weakened to the following two assumptions:
Assumption 1 There exists a positive-definite matrix
for any nonzero z ∈ R . Thus, (b) holds. ,
n
Q > 0 such that
Now we can claim that Theorem A is an especial
A Q + QA ≤ 0.
T
(5) example of Theorem 1, which suggests that the
Assumption 2 There exists an integer m > 0 such that applicative scope of Theorem 1 is more extensive.
rank [S 0 z S1 z " S m z ] = n
3. Preliminary results
for any nonzero z ∈ R , where S k ’s are defined
n

recursively by In order to prove our main result (i.e., Theorem 1),

S 0 = QN , in this section we propose three lemmas.
Lemma 1 Let k be a nonnegative integer. If system (1)
S k +1 = A S k + S k A, k = 0, 1, " , m,
T
(6) satisfies Assumption 2, and there exists a constant
vector x0 ∈ \ such that
n
and Q is defined as in (5).
The main result of this paper is the following

360
 T
A ( t − kT ) A ( t − kT ) obtained that
x0 ≡ 0, ∀t ∈ [ kT , kT + T )
T
x0 e QNe (8) T
x ( kT ) T
A ( t − kT ) A ( t − kT ) x ( kT )
for some T > 0, then x0 = 0. A ( t − kT )
e QNe A ( t − kT )
e x ( kT ) e x ( kT )
Proof Let
T
A ( t − kT ) A ( t − kT )
ϕ (t ) = x0 e x0 .
T
QNe
≡ 0, ∀t ∈ [ kT , kT + T ),
Firstly, we will prove that
T
A ( t − kT ) A ( t − kT )
which contradicts Lemma 1. Therefore, x ( kT ) = 0.
ϕ (t ) = x0 e x0 , i = 0, 1, " , m,
(i) T
Si e (9) Furthermore, (12) holds from (13). ,
where Si is defined as in Assumption 2. Lemma 3 Let system (1) satisfy Assumption 2, T > 0 ,
It is proceeded by induction on i . From (8) and the and x (t ) be a nonzero solution of the closed-loop
system formed by (1) and (3). And denote
definitions of ϕ (t ) and S 0 , it is easy to see that (9)
K = {k | x ( kT ) ≠ 0, k is a nonnegative integer} ,
holds if i = 0. Assume that (9) holds for i = p , and so
∫ ( xˆ (t )QNxˆ (t ) ) dt, ∀k ∈ K ,
kT + T 2
it is Bk = T

T
kT
A ( t − kT ) A ( t − kT )
ϕ ( t ) = x0 e x0 .
( p) T
S pe then inf Bk = μ > 0.
k ∈K
When i = p + 1, one has
Proof Let
 = {ψ (t ) ∈ X | ψ ( kT ) ≠ 0, ∀k ∈ K } ,
T
( p +1) A ( t − kT ) A ( t − kT )
ϕ ( t ) = x0 e
T T
A S pe x0 X
+ x0T e A
T
( t − kT )
S p e A ( t − kT ) Ax0 where X is the set consisting of all solutions of the
 is
closed-loop system formed by (1) and (3). Then X
from the above equation, and hence
( p +1)
T
A ( t − kT ) A ( t − kT )  . If we write
not empty, since x (t ) ∈ X
ϕ ( t ) = x0 e ( A S p + S p A) e
T T
x0

= x0T e A
T
( t − kT )
S p +1e A ( t − kT ) x0 {
G = ψ ( kT ) | ψ (t ) ∈ X
,k ∈K , }
then G is a subset of the unit sphere S in \ . And
A ( t − kT ) A ( t − kT ) n
from (6) and e A = Ae . . So (9) holds.
Secondly, putting t = kT into (9), we have define a scalar function B (⋅) on S satisfying
x0 Si x0 = 0, i = 0, 1, " , m.
(
B ψ ( kT ) = ) (ψ (t )QNψ (t ) ) dt,
T kT + T 2

∫
T

kT
These identities can be put into a matrix from (14)
x 0 [ S 0 x0
T
S1 x0 " S m x0 ] = 0. (10) ∀ψ ( kT ) ∈ G.
This, together with Assumption 2, implies that It is easy to see taht the closed-loop system formed
x0 = 0. , by (1) and (3) has the form
Lemma 2 Let system (1) satisfy Assumption 2, T > 0 , x (t ) = Ax (t ) − ρ ( xˆ T (t )QNxˆ (t ) ) Nx (t ). (15)
and k be a nonnnegtive integer, If x (t ) is a solution Since the right-hand side of the above equation has
of the closed-loop system formed by (1) and (3), then first-order derivative with x (t ), it follows that the

xˆ (t )QNxˆ (t ) ≡ 0, ∀t ∈ [ kT , kT + T )
T
(11) arbitrary solution ψ (t ) ∈ X of (15) depends
if and only if continuously on its initial condition ψ ( kT ). B (⋅) can
x (t ) ≡ 0, ∀t ∈ [ kT , kT + T ). (12)
be viewed as continuous function with ψ (t ), and thus
Proof The sufficiency is obvious. Now we will show
the necessity. one can deduce that B (⋅) is continuous with ψ ( kT ).
One has u (t ) ≡ 0, ∀t ∈ [ kT , kT + T ) from (3) and
Since the domain of B (⋅) is compact, it follows that
(11). So the closed-loop system formed by (1) and (3)
B (⋅) has the minimum value η on S . Moreover, it is
such that
x (t ) = Ax (t ), ∀t ∈ [ kT , kT + T ), easy to see that inf B (ψˆ ( kT )) ≥ η ≥ 0 from the
ψˆ ( kT )∈G
and hence
A ( t − kT )
definition of B (⋅).
x (t ) = e x ( kT ), ∀t ∈ [ kT , kT + T ). (13)
If there exist k 0 ∈ K and ψˆ 0 (t ) ∈ G such that
If x ( kT ) ≠ 0 , by substituting (13) into (11), it is

361
 ( )
B ψ 0 ( k 0T ) = 0, that is V ( kT + T ) − V ( kT )
( k +1) T

( ) = ∫ x (t )( A Q + QA) x (t ) dt
2 T T
k0T + T

∫ ψ 0 (t )QNψ 0 (t ) dt = 0.
T
(16) kT
k0T

∫ ( xˆ (t )QNxˆ (t ) )
kT + T 2
−2 ρ
2
to ψ 0(t )
T
According continuously with t [7], x (t ) dt
kT

(ψ (t )QNψ (t ) ) ρ
2

∫ ( xˆ (t )QNxˆ (t ) ) V (t ) dt
T kT + T 2
is nonnegative and continuous with ≤ −2 T

λmax
0 0 kT

t . One can obtain from (16) that

ρ
∫ ( xˆ (t )QNxˆ (t ) ) dt.
kT + T

ψ 0 (t )QNψ 0 (t ) ≡ 0, ∀t ∈ [ k 0T , k 0T + T ).
2
≤ −2 V ( kT + T )
T T
(19)
λmax kT

By Lemma 2, one can deduce that

The following is to show that
ψ 0(t ) ≡ 0, ∀t ∈ [ k 0T , k0T + T ), which contradicts the V ( kT + T ) ≤ θ V ( kT ), (20)
fact k0 ∈ K and ψ 0(t ) ∈ G , hence where θ = (1 + 2
ρμ
λmax )
−1
and μ is defined as in Lemma
inf B (ψˆ ( kT )) > 0. 3 Moreover, it is easy to see that 0 < θ < 1.
ψˆ ( kT )∈G

In a word, one can obtain (i) If xˆ T (t )QNxˆ (t ) ≡/ 0, ∀t ∈ [ kT , kT + T ), then from

μ = inf Bk ≥ inf B ψ ( kT ) > 0
k ∈K ψ ( kT )∈G
( ) Lemma 2 one obtains x (t ) ≡/ 0, ∀t ∈ [ kT , kT + T ).
Since V (t ) is nonincreasing, one can deduce that
from the definitions of Bk and B (⋅). , x ( kT ) ≠ 0. According to (19) and Lemma 3, one has
ρμ
V ( kT + T ) − V ( kT ) ≤ −2 λ V ( kT + T ).
4. The proof of main result max

Rearranging the above inequality, we have

Based on those preliminary results obtained in V ( kT + T ) ≤ θ V ( KT ), so (20) holds.
Section 3, in this section we will give the proof of
(ii) If xˆ T (t )QNxˆ (t ) ≡ 0, ∀t ∈ [ kT , kT + T ), then one
Theorem 1.
Proof of Theorem 1 Given any initial condition, if has V (t ) ≡ 0, ∀t ∈ [ kT , kT + T ) from Lemma 2 and the
x (t ) ≡ 0, then the conclusion holds obviously. If definition of V (t ). Since V (t ) is nonincreasing and
x (t ) ≡/ 0, then define a Lyapunov fuction candidate nonnegative, one obtains V ( kT + T ) ≤ θ V ( kT ) for any
V (t ) = x (t )Qx (t ), t ≥ 0,
T θ . Hence (20) holds.
where Q is defined as in Assumption 1. Notice that If k = 0, 1, 2," , then one can deduce from (20) that
V (T ) ≤ θ V (0),
V (t ) ≤ λmax x (t ) ,
2
(17)
V (2T ) ≤ θ V (T ) ≤ θ V (0),
2

where λmax is the maximum eigenvalue of the positive- "

definite matrix Q. The time derivative of V (t ) along V ( kT ) ≤ θ V (( k − 1)T ) ≤ θ V (0). (21)
k

(1) and (3) is given by Since Q is a positive-definite matrix, there exists an

V (t ) = x (t )( A Q + QA) x (t ) + 2 x (t )QNx (t )u (t )
T T T

inverse matrix P such that Q = P P. According to

T

= x (t )( A Q + QA) x (t )
T T
(21) and the definition of V (t ), one has
−2 ρ ( xˆ (t )QNxˆ (t ) ) x (t ) .
T 2 2
2
(18) Px ( kT ) = x ( kT ) P Px ( kT )
T T

This, together with Assumption 1, implies that

≤ θ x (0) P Px (0)
k T T

V (t ) ≤ 0, and hence V (t ) is nonincreasing, i.e.,

=θ
2
Px (0) ,
k
V ( kT + T ) ≤ V (t ), ∀t ∈ [ kT , kT + T )
for any nonnegative integer k . According to Hence
Assumption 1, (17) and the above equation, integrating Px ( kT ) ≤ ( θ ) ≤( θ) P x (0) . (22)
k k
Px (0)
(18) from kT to ( k + 1)T yields
Using (1) and (4) gives
x (t ) ≤ ( a + ρ n 2q ) x (t ) , (23)

362
where a = A . Taking the time derivative of the
2
6. Acknowledge
= x (t ) x (t ), one obtains
T
identity x (t )
d This work is supported by the Postdoctoral Fund of
x (t ) = 2 x (t ) x (t ) ≤ 2 x (t ) x (t ) , (24)
T
2 x (t ) Heilongjiang Province.
dt
where the inequality results from the Schwarz 7. References
inequality. Cancelling x (t ) from (24) and using (23),
one has [1] Chen M. S., Exponential stabilization of a constrained
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d 992.
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( a + ρ n 2q )( t − kT )
x (t ) ≤ e x ( kT ) pp. 334-348.
[3] Genesio R. and Tesi A., The output stabilization of SISO
T ( a + ρ n 2q )
≤e x ( kT ) , ∀t ∈ [ kT , kT + T ). (25) bilinear systems. IEEE Trans. Auto. control, Vol. 33, No. 10,
−1 −1
1988, pp. 950-952.
Since x ( kT ) = P Px ( kT ) ≤ P Px ( kT ) , one has [4] Khapalov A. Y. and Mohler R. R., Reachable sets and
controllability of bilinear time-invariant systems: A
T ( a + ρ n 2q ) −1
x (t ) ≤ e ( θ) P x (0) ,
k
P qualitative approach. IEEE Trans. Auto. control, Vol. 41, No.
(26) 9, 1996, pp. 1342-1346.
∀t ∈ [ kT , kT + T ) [5] Longchamp R., Controller design for bilinear systems.
from (22) and (25). It is easy to see that there exists a IEEE Trans. Auto. control, Vol. 25, No. 3, 1980, pp. 547-548.
(T + T )
[6] Lu G. P. and Zheng Y. F., Global stabilizability of
γ ∈ (0, 1) such that θ =γ k
, and hence bilinear systems (in Chinese). Acta Automatica Snica, Vol.
( kT + T ) ln γ
25, No. 6, 1996, pp. 820-823.
( θ) =e
k
. This, together with (26), implies [7] Moheer R. R., Bilinear Control Processes, New York and
that London: Academic, 1973.
T ( a + ρ n 2q ) −1 ( kT + T ) ln γ
[8] Rahn C. D., Stabilizability conditions for strictly bilinear
x (t ) ≤ e P e P x (0) , systems with purely imaginary spectra. IEEE Trans. Auto.
(27) control, Vol. 41, No. 1, 1996, pp. 1346-1347.
∀t ∈ [ kT , kT + T ). [9] Ryan E. P. and Buckingham N. J., On asymptoatically
By using (27) and stabilizing feedback control of bilinear systems. IEEE Trans.
( kT + T ) ln γ t ln γ Auto. control, Vol. 28, No. 8, 1983, pp. 863-864.
e ≤e , ∀t ∈ [ kT , kT + T ), [10] Xu, D. X., Research on optimal control of bilinear
one obtains system (in Chinese). Master Degree Thesis of Xi’an
T ( a + ρ n 2q ) −1 t ln γ University of Technology, 2005.
x (t ) ≤ e P P e x (0) . (28) [11] Zhang, X. H. and Zhang, Q. L., Analysis of stability
T ( a + ρ n 2q ) −1 control for bilinear singular system (in Chinese). J. Systems
Let α = e P P , β = − ln γ , it is easy to Engineering, Vol. 21, No. 2, 2006, pp. 192-195.
see that α > 0, β > 0. From (28) one has
−βt
x (t ) ≤ α e x (0) .
Hence the closed-loop system formed by (1) and (3) is
globally exponentially stable. ,

5. Conclusion
The globally exponentially stabilizing control
problem of a class of single-input continuous-time
bilinear systems is studied. For the systems, we give a
nonlinear control. Under weaker premise than that used
by [1], the globally exponential stability of the close-
loop systems under the control is investigated by using
Lyapunov’s stability theory. Hence, the conclusion of
this paper can be widely applied in many fields.

363
 2008 International Conference on Intelligent Computation Technology and Automation

Guaranteed Cost H∞ Robust Control for Uncertain Multiple Time-varying

Delays Systems with Nonlinear Perturbation

Xinjun Ma 1, 2, Bugong Xu 3, Yongjun Cao 2

1 School of Computer Science & Engineering, Guangzhou, 510640, China; 2 Automation
Engineering R & M Center, Guangdong Academy of Sciences, Guangzhou, 510070, China; 3
College of Automation Science & Engineering, Guangzhou, 510640, China
E-mail: aumaxj@126.com

Abstract time-varying delay system, the result with time related

Guaranteed cost H∞ robust control for uncertain
multiple time-varying delays systems with nonlinear
perturbation is studied by state feedback. The delay is
time varying, and the nonlinear perturbations meet
linear constraints. Based on Lyapunov-Krasovskii
functional, two new guaranteed cost H ∞ robust
control results are presented in terms of matrix
inequalities technique and nonlinear dealing method.
In the end, a examples is given to illustrate that the
presented method is effective.
1. Introduction
many effective results of the research on robust
control and robust H∞stabilization for uncertain time
delay systems has been achieved with great efforts of
scholars. At the same time, the uncertainty and
which can reduce the conservative is effective [4-6]。
A class of guaranteed cost H∞ robust control for
uncertain multiple time-varying delays systems with
nonlinear perturbation is studied by state feedback.
New guaranteed cost H∞ robust control results are
presented in terms of matrix inequalities technique and
nonlinear dealing method. In the end, an example is
given to illustrate that the presented method is
effective.
2. System description and Preliminary
Consider the uncertain system with multiple time-
varying delays as following
x ( t ) = ( A0 + ΔA0 ( t ) ) x ( t ) + Hw ( t ) + Bu ( t )
+ ∑ i =1 ( Ai + ΔAi ( t ) ) x ( t − hi ( t ) )
k
+ f (t , x (t ), x ( t − h1 ( t ) ) ,..., x ( t − hk ( t ) ) , (1)

perturbations is inevitable for real systems. Thus,
robust performance and anti-perturbation capability
should be considered in the system design. Guaranteed
cost control holds a definite quadratic performance
upper bound or minimal quadratic stability. and H∞
control is an effective method for perturbations. So,
combining the characters of both guaranteed cost
control and H ∞ control, the closed loop time-delay
systems will have better dynamic capability for time-
delay uncertain system. Therefore, guaranteed cost
control attracts many researchers’ interest [1-6].
Petersen[1] adopts Riccati equation methods of
uncertain system with quadratic stabilization,
providing optimal guaranteed cost controller rule,
where system is no delays. Guaranteed cost controller
for time-invariant delay system with parameter
uncertainties is studied by scholars, and some results
are achieved by matrix inequation technique [2, 3]. For
x ( t ) = φ ( t ) , t ∈ ⎡ − max hi , 0 ⎤ ,
⎣⎢ i =1,2,...,k ⎦⎥
y ( t ) = Cx ( t ) + Du ( t ) .
where x ( t ) ∈ R n is state vector; φ ( t ) is initial condition.
hi ( t ) denotes time-varying-delay , i = 1,… , k ,
which meets
0 ≤ hi ( t ) ≤ hi , h ( t ) ≤ ηi < 1, i = 1,… , k . (2)
Ai , B, H , C i = 0,… , k is constant matrix with
appropriate dimensions; ΔAi , i = 1,… , k denotes
uncertain matrix with appropriate dimensions and such
forms as fellows
ΔAi = NF ( t ) Ei ,
(3)
F ( t ) = diag { F0 ( t ) , F1 ( t ) , … , Fk ( t ) }
where D and Ei , i = 1,… , k is real matrix with
appropriate dimensions; Fi ( t ) ∈ R ni ×ni is time-varying

978-0-7695-3357-5/08 $25.00 © 2008 IEEE 364

DOI 10.1109/ICICTA.2008.4
measurable Lebesgue real matrix and meets constrains 3. Main results
FiT ( t ) Fi ( t ) ≤ I , i = 1,… , k . Note the nonlinear
perturbation simply as When there are no uncertainties, we have the
f ( t ) := f (t , x(t ), x ( t − h1 ( t ) ) ,..., x ( t − hk ( t ) ) , (4) following system (1)
x ( t ) = A0 x ( t ) + ∑ i =1 Ai x ( t − hi ( t ) ) + f ( t ) + Hw ( t ) ,
k
And which meets
f T ( t ) f ( t ) ≤ a02 xT ( t ) G0T G0 x ( t ) x ( t ) = φ ( t ) , t ∈ ⎡ − max hi , 0 ⎤ , (9)
(5) ⎣⎢ i =1,2,..., k ⎦⎥
+ ∑ i =1 ai2 xT ( t − hi ( t ) ) GiT Gi x ( t − hi ( t ) )
k
y ( t ) = Cx ( t ) .
Where ai , i = 0,… , k are constant, Gi , i = 0,… , k are At first, we study the system (9) can realize
real matrix with appropriate dimensions guaranteed cost robust stabilization by equation (7).
Quadratic guaranteed cost function is Theorem 1 ： Let any time-varying delay
+∞ T 0 ≤ hi ( t ) ≤ hi , hi ( t ) ≤ ηi < 1 , i = 1,… , k , if there exist
J∗ = ∫0 x ( t ) Q0 x ( t ) dt. (6)
V > 0, Ti > 0, Ri , Si , U , ρ > 0 , i = 1,… , k
where Q0 is definite symmetrical matrix. ⎡ Σ L1 Lk Lh I Na Nb G VQ0 ⎤
⎢ LT VA1T 0 ⎥
We aim at design memory less static state output ⎢ 1
L11 0 0 0 0 0
⎥
feedback controller ⎢ ⎥
⎢ T ⎥ , (10)
u ( t ) = Kx ( t ) , (7) ⎢ Lk 0 Lkk 0 0 VAkT 0 0 0 ⎥
⎢ LTh 0 0 − Lhh 0 HT 0 0 0 ⎥
And study the guaranteed cost condition of system (1), ⎢ ⎥<0
⎢ I 0 0 0 −ρ I 0 0 0 ⎥
then we have the closed loop system with equation (1) ⎢ NT A1V Ak V H I −W 0 0 0 ⎥
and equation (7) ⎢ aT ⎥
⎢ Nb 0 0 0 0 0 −I 0 0 ⎥
x ( t ) = ( A0 + ΔA0 ( t ) ) x ( t ) + f ( t ) + Hw ( t ) ⎢ GT
⎢ 0 0 0 0 0 0 − LG 0 ⎥⎥
⎣⎢ Q0 V −Q0 ⎦⎥
T
0 0 0 0 0 0 0
+ ∑ i =1 ( Ai + ΔAi ( t ) ) x ( t − hi ( t ) ),
k
⎡ Ri Si ⎤
(8) ⎢ ST ≥0 (11)
x ( t ) = φ ( t ) , t ∈ ⎡ − max hi , 0 ⎤ , ⎣ i V ⎥⎦
⎢⎣ i =1,2,...,k ⎥⎦ Where
y ( t ) = Cx ( t ) . Σ = A0V + BU + ( A0V + BU )T + ∑ i =1 ( hi Ri + Si + SiT + Ti ),
k

where A0 = A0 + BK , C = C + DK . Lii = − ( 1 − ηi ) Ti , Li = AV
i − Si , Lh = H , Lhh = γ ,
2

Lemma 1 [7]
: Assume that a ( ⋅) ∈ R , b ( ⋅) ∈ R and
na nb
N a = ( A0V + BU )T , Nb = ( CV + DU )T ,
N ( ⋅) ∈ R na ×nb are defined on the interval Ω . If G = diag { a0VG0T , a1VG1T , … , akVGkT } ,
⎡X Y ⎤ na ×na LG = diag { ρ −1 I , ρ −1 I … , ρ −1 I } ,
⎢ * Z ⎥ ≥ 0 for any matrices X ∈ R , Y ∈ R na ×nb and
⎣ ⎦ 1 − ηi
W = ∑ i =1
k
V ,, i = 1,… , k .
Z ∈ R nb ×nb , then the following holds: hi
Then the system (9) can realize guaranteed cost robust
⎡a ( s )⎤ ⎡ X Y − N ⎤ ⎡a ( s )⎤
T

−2∫ aT ( s ) Nb ( s ) ≤ ∫ ⎢ ⎥ ⎢ ⎢ ⎥ds stabilization by equation (7), where the gain of

Ω Ω b(s)
⎣ ⎦ ⎣* Z ⎥⎦ ⎣ b ( s ) ⎦ controller is
Lemma 2 [8]
： set Ω0 ( x ) ∈ R n×n , Ω1 ( x ) ∈ R n×n K = UV −1 , (12)
are any quadratic function ， if there exists And one g guaranteed cost of system (9) is:
1 0 0 T
scalar ρ > 0 let Ω0 ( x ) − ρΩ1 ( x ) < 0 holds for any J ∗ = φ T ( 0 )V −1φ ( 0 ) + ∑i =1
1 − ηi ∫−hi ∫r
k
φ ( s )V −1φ ( s ) dsdr
(13)
nonzero x ∈ R n ,then Ω0 ( x ) ≤ 0 holds with
+∑i =1 ∫ φT ( s )V −1TV
k 0 −1
i φ ( s ) ds.
− hi
Ω1 ( x ) ≤ 0 for any x ∈ R − { 0 } 。 n
Prove: by
Lemma 3 [8]: Let Q = QT , R = RT be definition t
x ( t −τi ( t ) ) = x ( t ) − ∫ x ( s ) ds, (14)
matrices, F and E, be real matrices of appropriate t −τ i ( t )

dimensions with FF T ≤ I . Then, for any scalar ε > 0 , System (9) can be rewritten as
Q + HFE + E F H < 0 T T T
holds if there exists
k
(
x ( t ) = A0 + ∑ i =1 Ai x ( t ) ) (15)
Q + ε HH + ε E E < 0.
-1 T T
−∑
k
A
t
∫ x ( s ) ds + f ( t ) + Hw ( t ) .
i =1 i t − hi ( t )

365
Choose Lyapunov functional V = V1 + V2 + V3 , where G11 = PA0 + A0T P + ∑ i =1 ( hi X i + Yi + YiT + Qi ) + A0T ZA0 ,
k

V1 = xT ( t ) Px ( t ) , V3 = ∑
t
∫
k
i =1 t − hi ( t )
xT ( s ) Qi x ( s ) ds. G12 = ⎡⎣ PA1 − Y1 + A0T ZA1 , … , PAk − Yk + A0T ZAk ⎤⎦ ,

V2 = ∑ i =1
1 0 t G13 = P + A0T Z , G33 = Z , G23 = ⎡⎣ A1T Z1 , … , AkT Z ⎤⎦ ,
1 − ηi ∫− hi ( t ) ∫t + r
k
xT ( s ) Px ( s ) dsdr ,
⎡ L1 + A1T ZA1 A1T ZA2 ,… A1T ZAk ⎤
Along the solution of V we obtain ⎢ ⎥
A2T ZA1 A2T ZAk
G22 = ⎢ ⎥,
V1 = 2 xT ( t ) P ∑ i =0 Ai x ( t ) + 2 xT ( t ) Pf ( t )
k ⎢ ⎥
(16) ⎢ ⎥
⎢⎣ AkT ZA1 AkT ZA2 ,… Lk + AkT ZAk ⎥⎦
+2 xT ( t ) PHw ( t ) − 2∑ i =1 xT ( t ) PAi ∫
k t
x ( s ) ds.
t − hi ( t )
Li = − ( 1 − ηi ) Qi , i = 1, 2,… , k .
Defining a ( ⋅) , b ( ⋅) and N in (14) as a ( s ) = x ( t ) ,
let Ξ 0 ( t ) = Ξ0 ( t ) + z T ( t ) diag { R, 0, 0 } z ( t ) , 则有
b ( s ) = x ( s ) and N i = PAi for all t − τ i ( t ) ≤ s ≤ t , and
⎡ G11 G12 G13 ⎤
applying Lemma 1 will supply Lemma 1 we have ⎢ T ⎥
t Ξ 0 ( t ) = z T ( t ) ⎢ G12 G22 G23 ⎥ z ( t ) ,
−2 xT ( t ) PAi ∫ x ( s ) ds ≤
t − hi ( t ) ⎢⎣ G13
T T
G23 G33 ⎥⎦
⎛ hi X i + Yi − PAi ⎞
xT ( t ) ⎜ ⎟ x ( t ) + 2 x ( t )( PAi − Yi ) (17)
T where G11 = G11 + Q0 . Inequation (5) can rewritten as
⎝ +Yi − Ai P + Qi
T T
⎠
t
Ξ1 ( t ) = z T ( t ) diag ⋅ (
⋅x ( t − hi ( t ) ) + ∫ x ( s ) Px ( s ) ds.
T (21)
t − hi ( t ) − a02G0T G0 , −a12 G1T G1 ,… , −ak2 GkT Gk , I ) ⋅ z ( t ) ≤ 0.
also By lemma 2,if ρ > 0 let
V2 ≤ ∑ i =1 hi / ( 1 − ηi ) xT ( t ) Px ( t )
k
Ξ 0 ( t ) − ρΞ1 ( t ) = z T ( t ) Ξz ( t ) < 0, (22)
−∑
t
∫
k
i =1 t − hi ( t )
xT ( s ) Px ( s ) ds where
⎡ G11 G12 G13 ⎤
( )
T (18)
= A0 x ( t ) + ∑ i =1 Ai x ( t − hi ( t ) ) + f ( t ) + Hw ( t ) ⎢ T ⎥ ⎡ Xi Yi ⎤
k
Ξ = ⎢ G12 G22 G23 ⎥ ， ⎢ T ≥ 0, i = 1, 2,..., k
⎣ Yi P ⎥⎦
(
×Z A0 x ( t ) + ∑ i =1 Ai x ( t − τ i ( t ) ) + f ( t ) + Hw ( t )
k
) ⎢⎣ G13
T T
G23 G33 ⎥⎦

−∑ i =1 ∫
k t
xT ( s ) Px ( s ) ds, G11 = G11 + Q0 + ρ a02 G0T G0 , G33 = Z − ρ I ,
t − hi ( t )
⎡ L1 + A1T ZA1 A1T ZA2 ,… ⎤
A1T ZAk
h
k
⎢ ⎥
where Z = ∑ i P , and A2T ZA1 A1T ZAk
1 − ηi G22 =⎢ ⎥,
i =1 ⎢ ⎥
⎢ ⎥
V3 ≤ ∑
k
i =1
xT t Qi x ( ) (t ) ⎢⎣ AkT ZA1 Ak ZA2 ,… Lk + Ak ZAk ⎥⎦
T T
(19)
−∑ Li = − ( 1 − ηi ) Qi + ρ ai2 GiT Gi , i = 1, 2,… , k.
k
i =1
(
1 − ηi xT ) ( t − hi ( t ) ) Qi x ( t − hi ( t ) ).
then Ξ 0 ( t ) < 0 ,that is , V ≤ Ξ0 ( t ) < 0 holds for all
When w ( t ) = 0 , we have
z ∈ R 3n − { 0 } satisfying (15). Based on Lyapunov-Kra
V = V1 + V2 + V3 ≤ zT ( t ) Ξ 0 z ( t ) = Ξ 0 ( t )
sovskii stability theorem, (22) means equation (9) is gr
⎡ G11 G12 G13 ⎤ (20) adual stable at w ( t ) = 0 . By V ≤ Ξ0 ( t ) < 0 we obtain
= z ( t ) ⎢ G12
T T
G22 G23 ⎥ z ( t )
⎢ ⎥ V ≤ Ξ0 ( t ) − z T ( t ) diag { Q0 , 0, 0 } z ( t )
⎣⎢ G13 G23 G33 ⎦⎥
T T

where < − z T ( t ) diag { Q0 , 0, 0 } z ( t ) = − xT ( t ) Q0 x ( t )

z T ( t ) = ⎡⎣ xT ( t ) , qT ( t ) , f T ( t ) ⎤⎦ , (23)
By V ( ∞ ) = 0, we have
qT ( t ) = ⎡⎣ xT ( t − h1 ( t ) ) , , xT ( t − hk ( t ) ) ⎤⎦ , ∞ ∞ T
∫0 Vdt = V ( ∞ ) − V ( 0 ) ≤ −∫0 x ( t ) Q0 x ( t ) dt = − J ,
so

366
J ≤ V ( 0 ) = ∑ i =1
1 0 0 T ⎡ Ω P A0T Z ⎤
1 − ηi ∫− hi ∫r
k
φ ( s ) Pφ ( s ) dsdr L1 Lk Lh
⎢ T ⎥
⎢ L1 L11 0 0 0 0 A1T Z ⎥
+ φ T ( 0 ) Pφ ( 0 ) + ∑ i =1 ∫
k 0
φ T ( s ) Qiφ ( s ) ds = J ∗ . ⎢ 0 0 0 0 ⎥
− hi
⎢ T ⎥
We now prove y ( t ) 2 ≤ γ w ( t ) 2 . Set zero initial ⎢ Lk 0 0 Lkk 0 0 Ak Z ⎥ < 0 , (28)
T

condition and w ( t ) ∈ L2 [ 0, ∞ ] ≠ 0 , we have ⎢ LT 0 0 0 Lhh 0 H T Z ⎥

⎢ h ⎥
V ( t , x ( t ) ) t =0 = 0 , ⎢ P 0 0 0 0 −ρ Z ⎥
⎢ ZA ZA − Z ⎥⎦
∞ ⎣ 0 ZAk ZH Z
J yw = ∫0 ( y ( t ) y ( t ) − γ w ( t ) w ( t ) ) dt
T 2 T 1

Ω = PA0 + A0T P + ρ a02 G0T G0 + C T C + Q0

∞
≤ ∫ ( yT ( t ) y ( t ) − γ 2 wT ( t ) w ( t ) + V ) dt + ∑ i =1 ( τ i X i + Yi + YiT + Qi ),
k
0
+V ( t , x ( t ) ) − V ( t, x ( t ) ) (24)
t =0 t =∞ Lii = − ( 1 − ηi ) Qi + ρ ai2GiT Gi , Li = PAi − Yi , i = 1,… , k ,
⎛ U11 G12 G13 G14 ⎞
hi
⎜ GT G G24 ⎟ Lh = PH , Lhh = γ 2 I , Z = ∑ i =1
k
G23 P, i = 1,… , k .
= zT ( t ) ⎜ T
12 22 ⎟z(t ) 1 − ηi
⎜ G13 G23
T
G33 G34 ⎟
⎜ T ⎟ note A0 = A0 + BK , C = C + DK , multiple both sides
T T
⎝ G14 G24 G34 G44 ⎠ of equation (28) with
= Π 0 ( t ) = zT ( t ) Π 0 z ( t ) , diag { P , … , P −1 , I , I , Z −1 } , multiple both
−1

where
sides of equation (27) with diag { P −1 , P −1 } , and
z T ( t ) = ⎡⎣ xT ( t ) , qT ( t ) , f T ( t ) , wT ( t ) ⎤⎦ ,
introduce variables
qT ( t ) = ⎡⎣ xT ( t − h1 ( t ) ) , , xT ( t − hk ( t ) ) ⎤⎦ ,
U = KP −1 , V = P −1 , W = Z −1 , Ri = P −1 X i P −1 ,
U11 = C T C + G11 , G14 = A0T ZH , Si = P −1Yi P −1 和 Ti = P −1Qi P −1 , we get equation (10)
T
G24 = ⎣⎡ H T ZA1 , … , H T ZAk ⎦⎤ , 1 − ηi
and equation (11), where W = ∑ i =1
k
V ,, i = 1,… , k .
G34 = H Z , G44 = H ZH − γ I .
T T 2 hi
□
Let Π 0 ( t ) = Π 0 ( t ) + z T ( t ) diag { Q0 , 0, 0, 0 } , and
In the following, the condition of robust
inequation (5)can be rewritten as stabilization for closed loop system (9) with state
Π1 ( t ) = z T ( t ) ⋅ diag (−a02 G0T G0 , feedback is studied..
(25)
− a12G1T G1 ,… , −ak2 GkT Gk , I , 0) ⋅ z ( t ) ≤ 0. Theorem 2: Let 0 ≤ hi ( t ) ≤ hi , hi ( t ) ≤ ηi < 1 ,
By lemma 3, if ρ > 0 let i = 1,… , k for all time-varying delay, if there exist
Π 0 ( t ) − ρΠ1 ( t ) = z T ( t ) Π z ( t ) < 0, that is Δ = diag [ ε 0 I n 0 , ε1 I n1 , …, ε k I nk ] > 0 ，
V > 0, Ti > 0, Ri , Si ,Wi ,U 和 ρ > 0 i = 1,… , k ,which
⎛ U11 G12 G13 G14 ⎞
⎜ T ⎟ make the below hold
G G22 G23 G24 ⎟
Π = ⎜ 12 , (26) ⎡ Σ
⎢ T
L1 Lk Lh I Na M Δ VE0T Nb G VQ0 ⎤
⎥
⎜ G13
T
G23T
G33 G34 ⎟ ⎢ L1 L11 0 0 0 0 VA1T 0 VE1T 0 0 ⎥
⎜ T T T ⎟ ⎢ 0 0 0 0 0 0 0 0 ⎥ ,
⎝ G14 G24 G34 G44 ⎠ ⎢ T
⎢ Lk 0 0 Lkk 0 0 VAkT 0 VEkT 0 0 ⎥
⎥
⎢ LT 0 ⎥
⎡ X i Yi ⎤ ⎢ h
0 0 0 − Lhh 0 HT 0 0 0 0
⎥
⎢ Y T P ⎥ ≥ 0, i = 1, 2,..., k (27) ⎢ I 0 0 0 0 −ρ I 0 0 0 0 0 ⎥
<0
⎣ i ⎦ ⎢ NT
⎢ a A1V AkV H I −W MΔ 0 0 0 0 ⎥⎥
⎢ ΔM T 0 ⎥
Where U11 = U11 + ρ a02 G0T G0 + Q0 . 则 Π 0 ( t ) < 0 mea ⎢
0 0 0 0 0 ΔM T −Δ 0 0 0
⎥
⎢ E0V E1V Ek V 0 0 0 0 −Δ 0 0 0 ⎥
ns that system (9) is gradually H ∞ stable. Applying Sc ⎢ NbT 0 0 0 0 0 0 0 0 −I 0 0 ⎥
⎢ T ⎥
⎢ G 0 0 0 0 0 0 − LG 0 ⎥
hur complementary to Π 0 , we have ⎢ T −Q ⎦⎥
⎣ Q0 V 0 0 0 0 0 0 0 0 0 0 0

(29)
⎡ Ri Si ⎤
⎢ ST ≥0 (30)
⎣ i V ⎥⎦
Where

367
 Σ = A0V + BU + ( A0V + BU )T ⎛0 0 ⎞ ⎛ −2 −0.5 ⎞ ⎛ 1.2 ⎞
A0 = ⎜ ⎟ , A1 = ⎜ 0 ,B = ⎜
⎝ 0 −1 ⎠ ⎝ −1 ⎟⎠ ⎝ 1 ⎠
⎟,
+ ∑ i =1 ( hi Ri + Si + SiT + Ti ),
k
C = ( 0 1 ) , D = 0.1, a0 = 1, a1 = 0.3,
(41)
N ii = − ( 1 − ηi ) Ti , N i = AV
i − Si , Lh = H , Lhh = γ ,
2 ⎛1⎞ ⎛1 0⎞ ⎛1 0⎞ ⎛1 0⎞
H = ⎜ ⎟ , Q0 = ⎜ ⎟ , G0 = ⎜ =
1 ⎟⎠ ⎜0 1⎟
, G1 ,
⎝1⎠ ⎝0 1⎠ ⎝0 ⎝ ⎠
N a = ( A0V + BU )T , Nb = ( CV + BU )T ,
⎛1 0 1 0⎞ ⎛1 0 1 0⎞
E0 = ⎜ ⎟ , E1 = ⎜ 0 1
G = diag { a0VG0T , a1VG1T , … , ak VGkT } , 0 1 ⎟⎠
,
⎝0 1 0 1⎠ ⎝
⎛ ⎞
LG = diag { ρ −1 I , ρ −1 I … , ρ −1 I } ,
0.1 0 0.2 0
J =⎜ ⎟,
⎝ 0 0.1 0 0.2 ⎠
hi
W = ∑ i =1 set φ ( s ) = ( 0.3s 0.1 )T , s ∈ ( −1, 0 ) ， and given
k
V , i = 1,… , k .
1 − ηi
γ = 5,η = 0.1 ,we get delay upper
Then the system (9) is H ∞ stabilization by state
bound h = 0.1325 and the following matrices
feedback controller (7), where the gain of controller is:
⎛ 0.0142 0.0137 ⎞ ⎛ 0.0613 0.0515 ⎞
K = UV −1. (31) V =⎜ ⎟ ,T = ⎜ ⎟,
And one guarantied cost of system (1) is ⎝ 0.0137 0.0369 ⎠ ⎝ 0.0515 0.0601 ⎠
1 0 0 T ⎛ 0.0152 0.0152 ⎞ ⎛ −0.0144 −0.0137 ⎞
J ∗ = ∑ i =1 R=⎜ ,S = ⎜
1 − ηi ∫−τ i ∫r
k
φ ( s ) V −1φ ( s ) dsdr ⎟ ⎟,
(32) ⎝ 0.0152 0.0558 ⎠ ⎝ −0.0192 −0.0450 ⎠
+ φ ( 0 )V φ ( 0 ) + ∑
0
∫ U = ( −0.0608 −0.0454 ) , ρ = 54.1377,
−1 k −1 −1
T
( s )V TiV φ ( s ) ds.
i =1 −τ i
φT

Prove: note (10) as Γ , replace Ai of equation (10) ⎛ 0.1088 0 0 0 ⎞

with Ai + MFEi , i = 0,1,… , k ,we have ⎜ 0 0.1088 0 0 ⎟
N =⎜ ⎟.
Γ = Γ+Γ <0 (33) ⎜ 0 0 0.1145 0 ⎟
⎜ ⎟
Where Γ = L + L , using equation (3), we attain
T
⎝ 0 0 0 0.1145 ⎠
T
L = ⎡⎣ M T , 0, … , 0, 0, M T ⎤⎦ ⋅ The gain of controller is
K = ( -4.8137 0.5528 ) ,
diag [ F0 ( t ) , F1 ( t ) , … , Fk ( t ) ] ⋅ ,
and one guaranteed cost is J = 4.3514 。
[ E0 , E1 , … , Ek , 0, 0 ] = MF ( t ) E
where
M = ⎡⎣ M T , 0, … , 0, M T ⎤⎦ ,
T References
E = [ E0V , E1V , … , EkV , 0, 0 ] . [1] Petersen, I. R. and Mcfarlane, D.C., Optimal guaranteed
Applying lemma 3 and equation (3), we have cost control and filtering for uncertain linear systems, IEEE
Δ = diag [ ε 0 I n 0 , ε1 I n1 , …, ε k I nk ] > 0 (34) Trans. Auto. Contr., 1994, 39(9): 1971-1977
Make the following hold [2] Fishman A., Dion J. M，Dugard L. and Neto A. T. A
Γ + M ΔM T + E T Δ −1 E < 0, (35) linear matrix inequality approach for guaranteed cost control.
Then applying Schur complementary to (35), we get Proceeding of the 13th IFAC World Congress, San
the inequation (29) holds. □ Francisco, USA, 4, 1996.

[3] Kienitz K .H. Guaranteed cost control approach to the

4. Example stabilization of uncertain linear discrete-time, 1990,
21(4):643-652
When k = 1, considering system (1) have
[4] Chang S .S .L .and Peng T .K .C .Adaptive guaranteed
cost control of systems with uncertain parameters. IEEE
Transactions on Automatic Control, 1972, 17(4): 474-483.

[5] Yu, L., and Chu, J., An LMI approach to guaranteed

cost control of linear uncertain time-delay systems,
Automatica, 1999, 35:1155-1159.

368
[6] Mahmoud, M S., and Xie, L., Guaranteed cost control
of uncertain discrete systems with delays, Automatica, 2000,
73: 105-114.

[7] Lee Y S, Moon Y S, Kwon W H, Kwan H L. Delay-

dependent robust H∞ control for uncertain systems with
time-varying state-delay, Proc. of Conf. on Decision and
Control. Florida USA, 2001: 3218-3213

[8] V. A. Yakubovich, S-procedure in nonlinear control

theory, Vest. Leningr. Univ., 1971, 1: 62-67.

369
 2008 International Conference on Intelligent Computation Technology and Automation

H∞ Controller Design of the Synchronous Generator

Jianying Gong, Rong Xie, Weiguo Liu (Senior Member, IEEE), Shuanqin Xie
School of Automation, Northwestern Polytechnical University, Xi’an 710072 China
gongjianying@tom.com

The configuration diagram of synchronous

Abstract electrical machine from reference [2] is shown in Fig.1.
A, B and C symmetrical armature windings were set
This paper presents a design method of H∞ the stator of generator, and the field winding and D
controller of the synchronous generator used in and Q damper windings were set in the rotating part of
aircraft power supply system. A linear system model of the dynamo.
generator is provided, and an approach of solving H∞
control was offered. In order to manifest the control
effect of H∞ controller, a generator with traditionary
PSS excitation controller was offered. The simulation
results show that the H∞ controller makes the
regulating process of the output terminal voltage be
smoother.

1. Introduction
Figure 1 configuration diagram of synchronous
In aircraft ac power supply system, certain loads generator, a) Setting of winding, b) Direction of
require regulated 115V ac supplies for their operation, voltage and current
when the load changes. With the development of In a three phase synchronous generator, there are
control theory, more and more new control methods time-varying parameters in its circuit equations
have being used to design controllers which will because the self-inductances and mutual inductances of
control the operation of synchronous electrical the machine windings depend on the rotor position.
machine. Direct modeling of the system in the three-phase
The H∞ control theory which use the H∞-norm as reference frame is embarrassing. So we converted the
the performance evaluation is one of the most mature ac system variables into equivalent dc variables in dq
and well-used theory in the field of robust control, and coordinates. The synchronous generator represents a
the H∞ control theory is already become one of the linear DC field synchronous machine. The voltage
most popular subject which researched by many equations and flux-linkage equations of the machine is
people in both control theory and engineering described as follows.
application. In recent years, the H∞ control problem Voltage equations:
have been simplified in both concept and algorithm, d
and the correlative software package have been vd = ψ d − ωψ q − Rs id (1)
developed and well used, so the H∞ control theory dt
d
gradually become a practical engineering theory. vq = ψ q + ωψ d − Rs iq (2)
In this research, H∞ control theory is used in the dt
design of the generator controller to make the d
v f = Rf if + ψf (3)
regulating process of the output terminal voltage dt
become smoother. d
0= ψ D + RD iD (4)
dt
2. Synchronous generator modeling d
0= ψ Q + RQ iQ (5)
dt
Where,

978-0-7695-3357-5/08 $25.00 © 2008 IEEE 370

DOI 10.1109/ICICTA.2008.334
 Rs - armature phase resistance, w z
P(s)
ω - rotor speed, u y
vd , vq -armature terminal voltage in dq coordinates,
K (s)
id , iq -armature terminal current in dq coordinates,
Figure 2 Description of the Generalized System
ψ d ,ψ q -armature flux linkage in dq coordinates,
called the generalized control object, described as the
v f , i f -field winding terminal voltage, current, following state-space equations:
⎧ x = Ax + B1 w + B2 u
Rf - field winding resistance, ⎪
⎨ z = C1 x + D11 w + D12 u (11)
ψf - field winding flux, ⎪y = C x + D w+ D u
⎩ 2 21 22
iD , iQ - damper winding current in dq coordinates, Where,
ψ D -damper winding flux linkage in d axis, x∈R
n
-the state variable;
w∈ R
q
ψ Q -damper winding flux linkage in q axis, - the external disturbance signal which
include reference signals, disturbances and noises.
RD - damper winding resistance in d axis,
u ∈ R - the control input signal;
m

RQ -damper winding resistance in q axis, z ∈ R -the output signal which include tracking
r

Flux-linkage equations: signals, regulation signals and actuator’s outputs;

ψ d = − Lmd id − Lls id + Lmd i f + Lmd iD (6) y ∈ R - the measurement signal, as the sensor’s
p

ψ q = −iq Lmq − Lls iq + Lmq iQ output signals.

(7)
The formula (11) can be represented as follow:
ψ f = Lmd i f + Llf i f − Lmd id + Lmd iD (8) ⎡A B1 B2 ⎤
⎡A B⎤
P ( s ) = ⎢⎢ C1 D11 D12 ⎥⎥ = ⎢ ⎥ (12)
ψ D = Lmd iD + LlD iD − Lmd id + Lmd i f (9) ⎣C D ⎦
⎢⎣C2 D21 D22 ⎥⎦
ψ Q = Lmq iQ + LlQ iQ − Lmq iq (10) The relationship between the inputs and the outputs
Where, can be described as:
Lmd , Lmq - mutual inductance in dq coordinates, ⎡ z ⎤ ⎡ P11 P12 ⎤ ⎡ w⎤
⎢ y⎥ = ⎢P ⎥⎢ ⎥ (13)
Lls -leakage inductance of stator in dq coordinates, ⎣ ⎦ ⎣ 21 P22 ⎦ ⎣ u ⎦
u = Ky (14)
Llf - leakage inductance of field winding,
Take the formula (14) into the formula (13) to
iD , iQ - damper winding current in dq coordinates, eliminate the measurement signal y, and the closed-
loop transfer function which from w to z can be
LlD - damper winding leakage inductance d-axis, expressed as：
LlQ - damper winding leakage inductance q-axis, Twz = F ( P, K ) = ( P11 + P12 K ( I − KP22 ) −1 P21 ) (15)
In this model, we assume a constant rotor speed. Based on the above deduction, the standard H∞
The reason is that changes in the generator load would control problem can be described as H∞ optimal
not likely affect the engine speed in aircraft ac power control problem [4] [5]:
supply system. So that, the mechanical equation of Find a real rational controller to ensure the closed-
motion is not to be take into consideration. loop system stable, and minimize the performance
demand the norm of the transfer function matrix, the
3. Description of the H∞ Control Problem formula is expressed as the following:
J = min Twz ∞
The following system can be described as a (16)
= min ( P11 + P12 K ( I − KP22 ) −1 P21 ) = γ 0
generalized system, which shown in Fig.2 [4][6][7]: ∞

In the Fig.2, K(s) is the controller which to be γ0 is the minimum which could be achieved. But it
designed; P(s) is a linear time-invariant system, or is quite difficult to minimize the performance demand
directly. Compared with the H∞ optimal control

371
problem, the H∞ suboptimal control problem is easier According to Theorem 1, the γ-suboptimal state-
to be solved. The approach of the H∞ suboptimal feedback controller can be obtained from solving the
control problem can be described as two steps. First, linear matrix inequality above.
give certain conditions to the system. Second, check Based on the formula (20), the following optimal
whether the controller can be norm-bounded under the problem can be established and solved:
given conditions. min ρ
⎡ AX + B2W + ( AX + B2W )T B1 (C1 X + D12W )T ⎤
4. Algorithm of the H∞ Control Problem ⎢ ⎥
s. t ⎢ B1T −I D11T ⎥<0 (21)
⎢ C1 X + D12W D11 −ρ I ⎥
⎣ ⎦
From the complicated operator method to the Riccati
X >0
equation, there are many algorithms can solve the H∞
If the optimal problem can be solved, combined with
standard control problem. One of the widely used
Theorem 1, the optimal H∞ controller can be obtained
algorithms at the present is the LMI approach. The
using the optimal solution of the optimal problem
advantage of the LMI approach is that it can use the
above, and the corresponding minimum quantitatively
matrix operation which is comparatively direct to
evaluation is ρ .
design the controller, and have no more restrictions to
the system. Formula (21) is a convex optimization problem
The conditions and the algorithm of the H∞ optimal which using the linear matrix inequality restriction and
control problem are defined as the following [3][4]: the linear target function, and can be solved by using
Theorem 1: When there are a positive definite the element solver mincx in the LMI toolbox.
matrix X and a matrix W, which make the following
matrix inequality (17) come into existence, a H∞ state- 5. Controller Design
feedback controller can be designed to the system (11).
The matrix inequality is expressed as the following: The control problem considered in this paper is to
⎡ AX + B2W + ( AX + B2W ) T
B1 (C1 X + D12W ) T
⎤ regulate output terminal voltage of generator to a
⎢ ⎥ specified value. Basically, damper windings have no
⎢ B1T −I D11T ⎥<0 (17)
⎢ C1 X + D12W D11 −I ⎥ influence on the regulation of generator’s output
⎣ ⎦
voltage, so the damping windings are ignored. The
If X* and W* are the feasible results of the matrix phase currents isd and isq, being state variables, cannot
inequality (17), K=W*(X*)-1 is a state-feedback be the input variables at the same time. Therefore, a
controller of the system (11). fictitious terminal resistance Ra was added to the model.
The matrix inequality (17) is linear matrix inequality This resistance has a relatively high value and does not
of the matrix variables X and W, it can be solved using affect other variables. So the equivalent circuit of the
the element solver feasp which is in the LMI toolbox synchronous generator can be represented in Fig. 3.
of MATLAB. ωψ q
For the given performance scalar γ>0, a suboptimal id isd Rs Lls if
state-feedback controller can be designed for the −+
+ iad Rf
system (11). The suboptimal state-feedback control imd
problem can be described as: vd Ra Lmd Lf
Twz ( s ) ∞ < γ (18)
vf +
The formula(19) can be educed from the −
−
formula(18):
γ −1Twz ( s ) ∞ < 1 (19) iq isq Rs ωψ d Lls
Use the γ C1 ， γ D11 and γ D12 to replace the
-1 -1 -1 +−
+ iaq
matrices C1、D11 and D12 in the system (19), and the γ- Lmq
vq Ra
suboptimal state-feedback controller can be designed
using the following matrix inequality: −
⎡ AX + B2W + ( AX + B2W)
T
B1 γ (C1 X + D12W) ⎤
−1 T
Figure 3 equivalent circuit of the synchronous
⎢ ⎥
⎢ B1T −I γ −1D11T ⎥<0 (20) generator
⎢ γ −1 (C1 X + D12W) γ −1D11 −I ⎥ To make the description of the synchronous
⎣ ⎦
generator conform to the system (19), the equations
corresponding to Fig. 3 can be described as a linear
system in state-space form:

372
 ⎧ x = Ax + B1 w + B2 u ⎡ 29699 -2059.7 27522 ⎤
⎨ (22) W *= ⎢ -121.78 -2064.9 -112.86 ⎥
⎩ z = C1 x + D11 w + D12 u ⎢ ⎥
Where, the matrixes A, B1, B2, C1, D11 and D12 are ⎣⎢ 5.3534 -0.34243 4.4479 ⎦⎥

defined respectively as follows: ⎡ 53505 2333.8 49584 ⎤

⎡ ( Ra + Rs ) L ff ω Lq L ff Lmd R f ⎤ X *= ⎢ 2333.8 45679 2161.8 ⎥
⎢ ⎥
⎢− − ⎥
⎣⎢ 49584 2161.8 45953 ⎥⎦
⎢ Ldf Ldf Ldf ⎥
⎢ ω Ld R + Rs ω Lmd ⎥ According to Theorem 1, the H∞ controller can be
A=⎢ − − a ⎥ obtained as the following:
⎢ Lq Lq Lq ⎥
⎢ ⎥ ⎡ 0.6750 -0.0806 -0.0331 ⎤
⎢ − ( Ra + Rs ) Lmd
ω Lq Lmd Ld R f K =W * ( X * ) = ⎢ 0.0130 -0.0442 -0.0124 ⎥
⎥
-1

− ⎢ ⎥
⎢⎣ Ldf Ldf Ldf ⎥⎦ ⎣⎢ 0.1227 -0.0000 -0.1323 ⎦⎥
⎡ L ff Ra Lmd ⎤
⎢ 0 ⎥ 6. Results Analysis
⎡ ⎤
0 ⎢ Ldf Ldf
⎥
⎢ ⎥
B1 = ⎢ 0 ⎥ , B = ⎢ 0
R
⎢ ⎥ 2
a
0 ⎥, In order to compare with the simulation results of
⎣⎢1 ⎦⎥ ⎢ Lq ⎥ the H∞ controller in the same conditions, a Power
⎢L R Ld ⎥
System Stabilizer (PSS) excitation controller of a
⎢ md a 0 ⎥ synchronous generator obtained in literature [2] is used.
⎣⎢ Ldf Ldf ⎦⎥ The PSS controller is shown in Fig. 4.
⎡ Ra 0 0 ⎤ , ⎡0 ⎤
C1 = ⎢ 0 R 0 ⎥ D11 = ⎢1 ⎥
⎣ a ⎦ ⎣ ⎦
⎡ a
− R 0 0 ⎤
D12 = ⎢ ⎥
⎣ 0 − R a
0 ⎦
Ld = Lls + Lmd ,
Figure 4 PSS controller of synchronous generator
Lq = Lls + Lmq , In the simulation, the load was loaded up the
generator and cut down from the generator
L ff = L f + Lmd ,
respectively. The regulating processes of two
Ldf = Lls ⋅ L f + Lls ⋅ Lmd + Lmd ⋅ L f 。 controllers are shown in figures. When the load which
is 10kW was loaded up, changes of output power and
The parameters of synchronous generator were
output terminal voltage were shown in Fig.5 and Fig.6
obtained form literature [8].
respectively.
The state variables x, input variables u, reference
signals w, and the measurement signals z are defined 30

respectively as follows: PSS

25 H∞
⎡isd ⎤ ⎡ id ⎤
⎢ ⎥ ⎢ ⎥ ⎡ vd ⎤ 20
x = isq , u = iq , w = V f _ Nld , z = ⎢ ⎥
⎢ ⎥ ⎢ ⎥ ⎣ vq ⎦
P (kW)

⎢⎣ i f ⎥⎦ ⎢⎣ v f ⎥⎦ 15

In the system, the measurement signals z are the 10

output variables y.
5
The system (22) associate with formula (20), the H∞
controller was designed. When the upper bound of the 0
performance demand is selected as γ=0.48, the W* and 0.08 0.1 0.12
t (s)
0.14 0.16

X * can be solved using the iterative LMI. Figure 5 regulating processes of output power,
when load increased

373
 makes the regulating process smoother and has
200
stronger robustness.
100
(V)

0 7. Conclusion
abc
V

-100

-200 Bypassing effect of some nonlinear characteristic, a

0.08 0.1 0.12 0.14 0.16
t (s) linear system model of the synchronous generator was
200 presented. An approach of solving H∞ control was
100
offered. In order to make the regulating process of the
(V)

output terminal voltage be smoother, a H∞ controller

abc-Hinf

0
was designed. The simulation results of that the load
was loaded up the generator and cut down from the
V

-100

-200 generator respectively were shown in time domain

0.08 0.1 0.12 0.14 0.16
t (s) figures. Compared with PSS controller, the H∞
Figure 6 regulating processes of output voltage, controller has better control effect.
when load increased
When the load which is 10kW was cut down, 8. References
changes of output power and output terminal voltage
were shown in Fig.7 and Fig.8 respectively. [1] A. E. Fitzgerald, Charles Kingsley, Jr., Stephen D.
Umans, “Electric Machinery, Sixth Edition,” The McGraw-
40
PSS
Hill Companies, Inc. 2003
35
H∞
30 [2] Tang Yunqiu, Zhang Yihuang, Fan Yu, “AC Electric
25 Machine Dynamic Analysis,” CHINA MACHINE PRESS,
P (kW)

20 Beijing, 2004
15
[3] D. Xie, L. Wang. “Robust stability analysis and control
10
synthesis for discrete-time uncertain switched systems”.
5
Proceedings of the 42nd IEEE conference on decision and
0
0.08 0.1 0.12 0.14 0.16 control, Maui, Hawaii USA, December 2003, pp. 4812-4817.
t (s)
Figure 7 regulating processes of output power, [4] Li Yu. Robust Control-Linear Matrix Inequalities,
when load decreased Beijing: Tinghua University Press, 2002

[5] Y Nesterov, A Newireosky. The projective method for

200 solving linear matrix inequalities. Math Programming Series
(V)

B, Special Issue on SDP, 1996

0
abc
V

[6] S. G. Wang, H.Y. Yeh, and P. Roschke, “Robust control

-200 forstructural systems with parametric and unstructured
0.08 0.1 0.12 0.14 0.16 uncertainties”, Journal of Vibration and Control, 7, 2001, pp
t (s)
753-712

200 [7] C Charbonnel. H∞ and LMI attitude control design:

(V)

towards performances and robustness enhancement. Acta

abcHinf

0 Astronautica,2004,54(5):307-314
V

-200 [8] Sriram Chandrasekaran, Douglas K. Lindner, Konstantin

Louganski and, Dushan Boroyevich, “Subsystem Interaction
0.08 0.1 0.12 0.14 0.16
t (s) Analysis in Power Distribution Systems of Next Generation
Airlifters”, Proceedings of the European Power Electronics
Figure 8 regulating processes of output voltage, Conference, EPE’99, Lausanne, Switzerland, September
when load decreased 1999.
The simulation results show that the control effects
of the H∞ controller is better than the PSS controller.
Compared with PSS controller, the H∞ controller

374
 2008 International Conference on Intelligent Computation Technology and Automation
H∞ State Feedback Control for the Stabilization of the Three Euler Angles of
Helicopter Based on LMI
Rong Xie, Xinmin Wang, Yan Li
School of Automation, Northwestern Polytechnical University, Xi’an 710072, China
E-mail:xierong2005@tom.com
Abstract
The H∞ state feedback control for the stabilization
of the three Euler angles of helicopter is studied. The
little perturbation model of helicopter is introduced.
The proper generalized control variables are chosen
and the generalized control object is established. The
H∞ state feedback algorithm is developed based on the
Iterative Linear Matrix Inequality (LMI) approach and
the digital simulation is finished. The simulation
results demonstrate the effectiveness of the H∞ state
feedback controller.
1. Introduction
As a space vehicle which has special agility,
helicopter has been used more and more in both
military and civil areas. Helicopter is usually statically
unstable, the flight control system of helicopter is
nonlinear, multi-variables and strong-coupling, and the
airscrew’s aerodynamics characteristic is also very
complicated. In addition, much uncertain factors may
have influences on the flight system when helicopter is
in flight. Because of the reasons mentioned above, the
flight control system of helicopter must have strong
robustness in order to restrain the model uncertainties
from inside of the flight system and the disturbances
from outside of the flight system.
The H∞ control theory which use the H∞-norm as
the performance evaluation is one of the most mature
and well-used theory in the field of robust control, and
the H∞ control theory is already become one of the
most popular subject which researched by many people
in both control theory and engineering application. In
1981, Zames used the H∞-norm as a target function to
optimize the system performance, which is considered
as the real beginning of the H∞ control theory. In 1989,
Doyle summarized the H∞ control problem as solving
the Lyapunov function and the Riccatti function,
provided a clear idea for the design of the robust
978-0-7695-3357-5/08 $25.00 © 2008 IEEE
DOI 10.1109/ICICTA.2008.332
controller. Until then, the H∞ control problem have
been simplified in both concept and algorithm, and the
correlative software package have been developed and
well used, so the H∞ control theory gradually become a
practical engineering theory.
In this research, helicopter is chosen as the control
object, the stabilization of the three Euler angles of
helicopter is considered as the main goal which to be
achieved, and the iterative LMI algorithm is used in the
design of the H∞ state feedback controller to strengthen
the stability and improve the robustness of the flight
system.
2. Mathematics Model
Assume ignoring the influence of flexibility
oscillation and distortion, and choosing the proper
reference frame, the little perturbation principle can be
used to obtain the 6 degree-of-freedom dynamics
differential equations, and the linearization equations
of helicopter’s disturbed movements can be obtained
by linearized the 6 degree-of-freedom dynamics
differential equations.
The forces and the moments on the 3-axies of
helicopter can be expressed as the following form:
X u u + X w w＋X u u + X w w + X v v + X ϑϑ + X ϑϑ + X γγ
(1)
+ Xψψ + X Bic Bic + X Aic Aic + X δ rc δ rc + X ϑc ϑc = 0
Y v + X w＋Y u + Y w + Y v + X γ + X ψ + Y ϑ
v w u w v γ ψ ϑ
(2)
+Yγ γ + Yψψ + YBic Bic + YAic Aic + Yδ rc δ rc + Yϑc ϑc = 0
Zϑϑ + Z w w＋Zu u + Z w w + Z v v + Zϑϑ + Zϑϑ + Zγγ
(3)
+ Zψψ + Z Bic Bic + Z Aic Aic + Zδ rc δ rc + Zϑc ϑc = 0
Lγγ + Lw w＋Lψψ + Lu u + Lw w + Lv v + Lϑϑ + Lϑϑ
(4)
+ Lγ γ + Lψψ + LBic Bic + LAic Aic + Lδ rc δ rc + Lϑc ϑc = 0
M w w＋M ϑϑ + M u u + M w w + M v v + M ϑϑ + M γ γ
(5)
+ Mψψ + M Bic Bic + M Aic Aic + M δ rc δ rc + M ϑc ϑc = 0
N  w＋N ϑ + N γ + N u + N w + N v + N ϑ + N γ
w ϑ γ u w v ϑ γ
(6)
+ Nψψ + N Bic Bic + N Aic Aic + Nδ rc δ rc + Nϑc ϑc = 0
375
 The standard mathematics model of helicopter can u ∈ R m is the control input signal.
be obtained using the little perturbation linearization
equations above. The expression of the standard z ∈ R r is the output signal, including tracking
mathematics model can be written as the following signals, regulation signals and actuator’s outputs.
form: y ∈ R p is the measurement signal, as the sensor’s
⎧ x = Ax + Bu output signals.
⎨ (7)
⎩ y = Cx + Du The formula (10) can be expressed as the following
expression:
In the formula (7), x ∈ R n is the state variable of ⎡A B1 B22 ⎤
⎡A B⎤
the system, u ∈ R is the control input of the system. P ( s ) = ⎢⎢ C1 D12 ⎥⎥ = ⎢
n
D11 ⎥ (11)
⎣C D ⎦
x = [u v w θ γ ψ θ γ ψ ]T (8) ⎢⎣C2 D21 D22 ⎥⎦
u = [ Bic Aic δ rc ϑc ]T (9) The relationship between the inputs and the outputs
can be described as:
In the expression (8):
u, v, w denotes the velocity increment which along ⎡ z ⎤ ⎡ P11 P12 ⎤ ⎡ w⎤
⎢ y⎥ = ⎢P ⎥⎢ ⎥ (12)
the helicopter’s 3-axis X, Y, Z respectively. ⎣ ⎦ ⎣ 21 P22 ⎦ ⎣ u ⎦
θ, γ, ψ denotes the pitch angle, bank angle and u = Ky (13)
yawing angle respectively. Take the formula (13) into the formula (12) to
θ, γ ,ψ denotes the pitch angular velocity, bank eliminate the measurement signal y，and the closed-
angular velocity and yawing angular velocity loop transfer function which from w to z can be
respectively. expressed as：
In the expression (9): Twz = F ( P, K ) = ( P11 + P12 K ( I − KP22 ) −1 P21 ) (14)
Bic denotes the longitudinal cyclic pitch input.
Based on the above deduction, the standard H∞
Aic denotes the lateral cyclic pitch input. control problem can be described as the following two
δrc denotes the tail rotor pitch input. problems [4-6]:
ϑc denotes the collective pitch input.
3.1. H∞ optimal control problem
3. Description of the H∞ Control Problem
Find a real rational controller to ensure the closed-
The following system can be described as a loop system stable, and minimize the performance
generalized system, which shown in Fig.1[3-6]: demand the norm of the transfer function matrix, the
w z formula is expressed as the following:
P(s) J = min Twz ∞
u y (15)
= min ( P11 + P12 K ( I − KP22 ) −1 P21 ) = γ 0
∞

K (s) γ0 is the minimum which could be achieved. But it

Figure 1 Description of the Generalized
System
In the Fig.1, K(s) is the controller which to be
designed; P(s) is a linear time-invariant system, or
called the generalized control object, described as the
following state-space equations:
x = Ax + B1w + B2u
z = C1 x + D11w + D12u
y = C2 x + D21w + D22u
In the formula (10):
x ∈ R is the system state variable.
n closed-loop system stable, and ensure the H∞–norm of
w ∈ R q is the external disturbance signal, including
reference signals, disturbances and noises.
is quite difficult to minimize the performance demand
directly. Compared with the H∞ optimal control
problem, the H∞ suboptimal control problem is easier to
be solved. The approach of the H∞ suboptimal control
problem can be described as two steps. First, give
certain conditions to the system. Second, check
whether the controller can be norm-bounded under the
given conditions.
(10)
3.2. H∞ suboptimal control problem
Find a real rational controller K(s) to ensure the
the transfer function Twz less than γ, the formula is
expressed as the following:

376
J = Tw z ∞
According to Theorem 4.1, the γ-suboptimal state-
(16) feedback controller can be obtained from solving the
= ( P11 + P12 K ( I − K P22 ) − 1 P21 ) <γ
∞ linear matrix inequality above.
In the formula (16), γ ≥ γ 0 . The H∞ suboptimal Based on the formula (20)，the following optimal
problem can be established and solved:
control problem is also called the H∞ standard control
min ρ
problem.
⎡ AX + B2W + ( AX + B2W )T B1 (C1 X + D12W )T ⎤
⎢ ⎥
s. t ⎢ B1T −I D11T ⎥<0 (21)
4. Algorithm of the H∞ Control Problem
⎢ C1 X + D12W D11 −ρ I ⎥
⎣ ⎦
From the complicated operator method to the Riccati X >0
equation, there are many algorithms can solve the H∞ If the optimal problem can be solved, combined with
standard control problem. One of the widely used Theorem 4.1, the optimal H∞ controller can be
algorithms at the present is the LMI approach. The obtained using the optimal solution of the optimal
advantage of the LMI approach is that it can use the problem above, and the corresponding minimum
matrix operation which is comparatively direct to quantitatively evaluation is ρ .
design the controller, and have no more restrictions to Formula (21) is a convex optimization problem
the system. which using the linear matrix inequality restriction and
The conditions and the algorithm of the H∞ optimal the linear target function, and can be solved by using
control problem are defined as the following [4-6]: the element solver mincx in the LMI toolbox of
Theorem 4.1: When there are a positive definite MATLAB.
matrix X and a matrix W, which make the following
matrix inequality (17) come into existence, a H∞ state-
5. Controller Design
feedback controller can be designed to the system (10).
The matrix inequality is expressed as the following:
In this section, the control law which designed using
⎡ AX + B2W + ( AX + B2W ) T B1 (C1 X + D12W ) T ⎤
⎢ ⎥ the H∞ state-feedback control under the disturbance of
⎢ B1T −I D11T ⎥<0 (17) the external wind is given.
⎢ C1 X + D12W D11 −I ⎥
⎣ ⎦ The full-order state equation of helicopter is used in
If X* and W* are the feasible results of the matrix the simulation, and the models of actuators in each
inequality (17), K=W*(X*)-1 is a state-feedback channel of helicopter are added into the simulation for
controller of the system (10). lifelike effects. Choose the group of parameters which
The matrix inequality (17) is linear matrix inequality represents the helicopter in flight on the conditions of
of the matrix variables X and W, it can be solved using high attitude and high speed, the system matrices A and
the element solver feasp which is in the LMI toolbox B are deduced from the parameters above, the
of MATLAB. dimension of the system matrix A is 9×9, the
For the given performance scalar γ>0, a suboptimal dimension of the input matrix B is 9×4.
state-feedback controller can be designed for the In this controller, the main goal is considered as how
system (10). The suboptimal state-feedback control to use the H∞ state-feedback controller to ensure the
problem can be described as: stability of the three Euler angles of helicopter under
Twz ( s ) ∞ < γ (18) the disturbance of the external wind. The external wind
is mainly considered as the vertical wind in this
The formula(19) can be educed from the research.
formula(18): After adding the disturbance of the vertical wind, the
γ −1Twz ( s ) ∞ < 1 (19) full-order state equation of helicopter can be expressed
Use the γ-1C1 ， γ-1D11 and γ-1D12 to replace the as the following:
matrices C1、D11 and D12 in the system (10), and the γ- ⎡U ⎤
X = AX + BU + BF F = AX + [ B BF ] ⎢ ⎥ (22)
suboptimal state-feedback controller can be designed ⎣F ⎦
using the following matrix inequality: In formula (22), BF is the linearized matrix of the
⎡ AX + B2W + ( AX + B2W)T B1 γ −1 (C1 X + D12W)T ⎤ vertical wind disturbance; F is the input of the vertical
⎢ ⎥
⎢ B1T
−I γ −1D11T ⎥<0 (20) wind disturbance.
⎢ γ −1
(C X + D W ) γ −1
D − I ⎥ The upper bound of the performance demand is
⎣ 1 12 11 ⎦
selected as γ=0.8, and W* and X * can be solved using
the iterative LMI.

377
 W*＝ Hinf Control Compares with PID
⎡ − 0.3438 − 0.0783 − 0.9575 0 0 0 0.1618 0.0056 − 0.0412 ⎤ 10
⎢ − 0.0005 − 0.2328 0.0746 0 0 0 0.0002 − 0.5072 − 0.0379 ⎥⎥
Hinf Control
⎢ 5

θ [Deg]
PID-uncertainty
⎢ − 0.0012 0.0261 0.0009 0 0 0 0.0004 0.0187 − 0.0313 ⎥
⎢ ⎥ 0
⎣ 2.9217 4.0202 70.283 0 0 0 − 2.6851 − 4.7802 − 5.2957 ⎦
-5
X *＝ 0 10 20 30 40 50 60 70 80 90 100
⎡ 0.6244 0.2538 1.87 0.0091 0 −0.0012 −0.2645 −0.0728 −0.0568⎤ time /s
⎢ 0.2538 2.1037 1.9832 0.0029 −0.0028 −0.0292 −0.1556 0.0686 0.0075 ⎥⎥ 20
⎢ Hinf Control
⎢ 1.87 1.9832 45.323 −0.0013 −0.0005 0.0176 −1.713 −1.6825 −2.9613⎥
⎢ ⎥ 10

γ [Deg]
PID-uncertainty
⎢ 0.0091 0.0029 −0.0013 0.0007 0 0 −0.0048 −0.0001 −0.0003⎥
⎢ 0 −0.0028 −0.0005 0 0.0008 0 0 −0.0048 −0.0002⎥ 0
⎢ ⎥
⎢ −0.0012 −0.0292 0.0177 0 0 0.0005 0 −0.0001 −0.0036⎥ -10
⎢ −0.2654 −0.1555 −1.713 −0.0048 0 0 0.1547 0.0656 0.0865 ⎥ 0 10 20 30 40 50 60 70 80 90 100
⎢ ⎥ time /s
⎢ −0.0728 0.0686 −1.6825 −0.0001 −0.0048 −0.0001 0.0656 0.4635 0.1494 ⎥
⎢ −0.0568 0.0075 −2.9613 0.0003 −0.0002 −0.0036 0.0866 0.1495 0.2652 ⎥⎦
⎣ 10
Hinf Control
According to Theorem 4.1, the H∞ state-feedback 5 PID-uncertainty

ψ [Deg]
controller can be obtained as the following:
0
K_inf =
⎡−0.0773 0.0168 −0.0191 10.9248 −0.0321 −5.7116 1.6028 0.0199 −0.9834 ⎤ -5
⎢−0.0094 −0.0616 −0.0194 0.9973 −7.9230 −0.7739 0.1198 −1.3714 0.3594 ⎥⎥
0 10 20 30 40 50 60 70 80 90 100
⎢ time /s
⎢ 0.0288 0.0172 −0.0519 −2.2134 0.5610 −1.9027 −0.2246 0.1205 −0.7136 ⎥
⎢ ⎥
0.0417 0.4207 −35.0650 −27.1881 −95.1579 −4.3918 −4.3743 −12.6597⎦
Figure 2 Comparison of the PID control v.s the
⎣ 0.2072
H∞ state feedback control under the disturbance
of vertical wind of 5m/s
6. Simulation Results
Hinf Control Compares with PID
20
Hinf Control
The simulation results of H∞ state-feedback control 10 PID-uncertainty
θ [Deg]

are compared with the simulation results of the PID

0
control in the same conditions. The conclusion shows
that the control effects of the H∞ state-feedback control -10
0 10 20 30 40 50 60 70 80 90 100
is better than the PID control, as the H∞ state-feedback time / s
control can make the system have better restraining 20
Hinf Control
effects and stronger robustness. 10 PID-uncertainty
γ [Deg]

In the simulation, the controller which designed

0
above can control the three Euler angles of helicopter
return to the balance point from the initial disturbance -10
0 10 20 30 40 50 60 70 80 90 100
of 10°, realize the goals of keeping the three Euler time / s

angles stable. 10
Hinf Control
The simulation results of the three Euler angles 5 PID-uncertainty
ψ[Deg]

control which using the H∞ state feedback control and

the PID control are shown in the Fig.2 and the Fig.3. 0

In Fig.2 and Fig.3, the simulation results of the PID -5

0 10 20 30 40 50 60 70 80 90 100
control is not good enough for the flight system which time / s
exist uncertainties causing by the disturbance of the
vertical wind. Figure 3 Comparison of the PID control v.s the
The steady-state errors are comparatively large in H∞ state feedback control under the disturbance
the three Euler angles when using the PID control. The of vertical wind of 20m/s
steady-state error of the pitch angle is about 1～2°, the The control results of the H∞ state feedback
steady-state error of the yawing angle is about 2°. And controller is better than the PID controller in the same
the steady-state errors will become larger when the conditions. The H∞ state feedback controller stabilizes
vertical wind disturbances get larger. the three Euler angles of helicopter return to the
balance point from the initial disturbance of 10°. The
three Euler angles of helicopter could be controlled
well around the balance point when the vertical wind
disturbance even come to 20m/s, the steady-state error
of the yawing angle is no more than 1°, and the steady-
state error of the pitch angle or the bank angle is nearly

378
zero. The process of control accommodation is smooth,
do not have much oscillation.
7. Conclusion
The H∞ state feedback control for the stabilization
of the three Euler angles of helicopter when the system
exist disturbance of external wind is studied. The H∞
state feedback control theory is developed using the
Iterative Linear Matrix Inequality (LMI) approach. The
simulation is finished, and the simulation results shows
that the designed H∞ state feedback control law have
good restraining effect to the external disturbance, and
ensure the system have certain performance demand at
the same time. Finally, the simulation results of the H∞
state feedback controller and the PID controllers are
compared, the final results demonstrate the
effectiveness of the H∞ state feedback controller.
[9] C Charbonnel. H∞ and LMI attitude control design:
towards performances and robustness enhancement. Acta
Astronautica,2004,54(5):307-314
[10] T Iwasaki, RR Skelton. All controllers for the general
H∞ control problem: LMI existence conditions and state
space formulas. Automatica,1994,30(8)
[11] Kalman R E. When is a linear control system optimal.
[J]. Trans. ASME. J. Basic Eng, Ser. D, 1964, 86(1): 51-60
[12] Belletrutti J J, MacFarlanne A G J, Characteristic loci
techniques in multivariable control system design [J]. IEE
Proc, 1971, 118(11): 1291-1297
[13] Rosenbrock H H. Design of multivariable control system
using the inverse Nyquist array [J], IEE Proc, 1969, 116(12):
1929-1936

8. References
[1] Vidyasagar M, Viswanadham N. Algebtraic design
techniques for reliable [J]. IEEE Trans. Automatic. Control,
1982,AC-29 (5): 1085-1095

[2] Peterson I R ,Hollot C V. A Riccati equation approach to

the stabilization of uncertain linear systems. Automatic, 1986 ,
22(4) :3972411.

[3] S Boyd, LE Ghaoui, E Feron et al. Linear Matrix

Inequalities in System and Control Theory. SIAM,
Philadelphia, 1994

[4] Li Yu. Robust Control-Linear Matrix Inequalities,

Beijing: Tinghua University Press, 2002

[5] Y Nesterov, A Newireosky. The projective method for

solving linear matrix inequalities. Math Programming Series
B, Special Issue on SDP, 1996

[6] A Nemirovski, P Gahinet. The projective method for

solving linear matrix inequalities. Math Programming Series
B, Special Issue on SDP, 1996

[7] Zames,G. Feedback and Optimal Sensitivity: Model

Reference Transformations, Multiplicative Seminorms and
Approxumate Inverses, IEEE Trans. Automat. Contr, Vol. 26,
1981: 301～320

[8] L. Feng, J. L. Wang, E. K. Poh and F. Liao, “Reliable H∞

aircraft flight controller design against faults with
state/output feedback,” In Proceedings of the International
Conference on Physics and Control, pp: 112-117, St.
Petersburg, Russia, Aug 2003.

379
 2008 International Conference on Intelligent Computation Technology and Automation

H ∞ Control of Switching Delayed Stochastic Hopfield Neural Network

Systems with Markovian Jumping Parameters

Xiaole Xu, Lixin Gao, Haiwa Guan

Institute of Operations Research and Control Sciences, Wenzhou University ，
Zhejiang 325027, China
E-mail:xxl6641@yahoo.com.cn;lxgao@wzu.edu.cn

Abstract networks with time-varying delay and Markovian

This paper considers the problem of H control of
∞ are derived in term of linear matrix inequalities.
a class of Hopfield neural network systems with time-
varying delays and Markovian jumping parameters.
The delays are assumed to be bounded. The jumping
parameters considered here are generated from a
continuous-time discrete-state homogenous Markov
process, which are governed by a Markov process with
discrete and finite state space. Our purpose is to
design state feedback controllers that guarantee the
systems are stochastic stability with a prescribed
jumping parameters. By using Lyapunov stability
theory, sufficient conditions for solvability the problem
Notations: In this paper, X ≥ Y (respectively, X > Y ),
where X and Y are symmetric matrices, means
that X − Y is positive semi-definite (respectively,
positive definite). ( Ω, F , P ) is a complete probability
space with a filtration { Ft }t≥0 satisfying the usual
condition(i.e. the filtration contains all P-null sets and
( )
is right continuous). Denote by LP ⎤ n
F0 ⎣ −τ ,0 ⎦;ℜ the
⎡

performance γ . Based on the Lyapunov method and

stochastic analysis approach, a sufficient condition for
(
family of all F0 − measurable C ⎡⎣ −τ ,0 ⎤⎦;ℜn -valued )
the solvability of the problems are derived in term of random variables ξ = {ξ (θ ) : −τ ≤ θ ≤ 0} such that
linear matrix inequalities, which can be easily checked P
by resorting to available software packages. A sup −τ ≤θ ≤0 E ξ (θ ) <∞ . For a matrix M ,
numerical example is exploited to demonstrate the
represent it’s transpose, λmax ( M ) stands for it’s
T
effectiveness of the proposed results. M
maximum eigenvalue. The operator norm of M is

1. Introduction (T
)
denoted by M = λmax M M . E ( x ) stands for
the expectation of stochastic variable x . Matrices, if
In the past two decades, the research related to not explicitly stated, are barely assumed to have
Hopfield neural networks has received considerable compatible dimensions.
attention. Many applications have been developed in
different areas such as combinatorial optimization,
knowledge acquisition and pattern recognition [1]. 2. Problem formulation
Recently, it has been realized that axonal signal
transmission delays often occur in various neural Let {r ( t ),t≥0} be a right-continuous Markov chain
networks, and may cause instability and oscillations in
system. In [2], it considers the time delay is constant on the probability space taking values in values in the
and gets some conservative results. In [3], it considers finite space S = {1,2,…, N } with the following
only the stability of a class of linear time-delay system, transition probabilities:
but the other system performance analysis and ⎧⎪ γ ij Δ+ o( Δ ) if i ≠ j
controller synthesis were not studied. P {r ( t +Δ )= j|r ( t )=i} = ⎨
In this paper, we focus on the H ∞ control synthesis ⎪⎩1+γ ii Δ+ o( Δ ) if i = j

for a class of uncertain stochastic Hopfield neural

978-0-7695-3357-5/08 $25.00 © 2008 IEEE 380

DOI 10.1109/ICICTA.2008.386
 o( Δ ) Definition 2. The system in (1) - (3) is said to be
where Δ > 0 and lim Δ = 0 , γ ij ≥ 0 is the stochastically stable with disturbance attenuation γ if
Δ→0
transition rate from i to j if i ≠ j and γ ii = − ∑ γ ij . for all v(t ) ∈ L ⎡⎣0,∞ ⎤⎦ , the system is stochastically
2
j ≠i
stable and the response { z ( t )} under the zero initial
In this paper, we consider the following delayed
Hopfield neural network with Markovian jumping condition, i.e., φ = 0 satisfies
parameter rij (i, j ∈ S ) ⎡∞ ⎤ ⎡∞ ⎤
E ⎢ ∫ zT ( t ) z ( t )dt ⎥ ≤ γ ⎢ ∫ vT ( t )v( t )dt ⎥
2

{
dx ( t ) = Ai x( t )+ Adi x( t −τ ( t ) )+Wi f ( x( t −τ ( t ) ) ) ⎣⎢ 0 ⎦⎥ ⎣⎢ 0 ⎦⎥
(1)
{ }
+ Buiu ( t )+ Bvi v( t )} dt + H 0i x( t )+ H1i x( t −(τ ( t ) ) ) d ω 3. H Control problem
∞
z ( t ) = Ci x ( t ) + Cui u ( t ) + Cvi v ( t )
(2) First we will give the following lemma which will
be frequently used in the proofs of our main results in
x ( t ) = φ ( t ) ， r ( t ) = r ( 0 ) ∀t ∈ [ −τ ,0]
this paper.
(3) Lemma1. [6] For any constant matrix
T n
where x ( t ) = ⎡⎣ x1( t ), x2 ( t ),…, xn ( t )⎤⎦ ∈ ℜ is the neural n×n T
M ∈ℜ , M = M > 0 , scalar γ > 0 , vector
r n
state vector, u ( t ) ∈ R is the control input, function ω : ⎡⎣ 0,γ ⎤⎦ → ℜ such that the integrations are
p well defined, the following inequality holds:
v ( t ) ∈ R is the disturbance input which belongs
⎡ γ ω s ds ⎤ M ⎡ γ ω s ds ⎤ ≤ γ γ ω T ( s ) M ω ( s ) ds .
T
⎢⎣ ∫0 ( ) ⎥⎦ ⎢⎣ ∫0 ( ) ⎥⎦ ∫0
q
to L2 [ 0,∞ ] , z ( t ) ∈ R is the controlled output. τ ( t )
is the unknown time-varying delays, which satisfies We focus on the design of H ∞ controller for the
0 ≤ τ ( t ) ≤ τ and τ ( t ) ≤ d < 1 where τ and d are system in (1) - (3). In order to solve this problem, we
known constants. Ai = diag ( a1i ,a2i ,…ani ) is a first consider the problem of H ∞ performance
diagonal matrix, and aij > 0, i = 1, 2, … , n, analysis for the unforced system, namely u ( t ) ≡ 0 .
n×n Assumed that the initial condition is zero, we have the
j = 1, 2 … N . Wi ∈ ℜ is the connection weight following theorem.
n×n n×n Theorem 1. Given a scalar γ > 0 and consider
matrix. H 0i ∈ ℜ and H1i ∈ ℜ are known real
stochastic time-delay jumping neural network system
m
constant matrices . ω ( t ) = ⎡⎣ω1( t ),ω2 ( t ),…,ωm ( t )⎤⎦ ∈ ℜ (1)—(3). Assume that there exist symmetric positive
is a m-dimensional Brownian motion, definite matrices Pi , Q, S such that the following
satisfying E {dω (t )} = 0 , and linear matrix inequalities hold:
⎡
n
f ( x ) = ⎡⎣ f1( x1 ), f 2 ( x2 ),…, f n ( xn ) ⎤⎦ ∈ ℜ is the neuron ⎢ Ψ1i Pi Adi Pi Bvi H 0iΤ Pi CiT PiWi ⎤⎥
⎢ ⎥
activation function with f ( 0 ) = 0 . And we suppose ⎢ ∗ Ψ 2i 0 H1i Τ Pi 0 0 ⎥
⎢ ⎥
that f ( ) is bounded and satisfies the following Εi = ⎢ ∗ ∗ −γ 2 I 0 CviT 0 ⎥<0 ( 5)
⎢ ∗ ∗ ∗ − Pi 0 0 ⎥
Lipschitz condition: ⎢ ⎥
⎢ ∗ ∗ ∗ ∗ −I 0 ⎥
f ( x ) ≤ Gx (4) ⎢ ∗
⎣ ∗ ∗ ∗ ∗ − I ⎥⎦
n×n
where G ∈ ℜ is a known constant matrix. i = 1, 2, N
Definition 1. The delayed Hopfield network is said to
be globally stochastically asymptotically stable, for Τ N
Ψ1i := P A + A P + ∑ γ P + Q + τ S
every network mode satisfying (1) in the mean square i i i i ij j
if the following condition holds j =1
⎛ 2⎞ Τ
lim E ⎜ x( t ,r ( t ) ) ⎟ = 0 ∀t > 0 Ψ 2i := − (1−d ) Q + G G
t →∞ ⎝ ⎠
then, the system is stochastically stable with the given
disturbance attenuation γ .

381
Proof: Using Schur complement (see [7]),
Εi < 0 implies that
Noting (4) and using the simple inequality
⎡ T ⎤
⎢ Ψ1i + PW
i iWi Pi Pi Adi Pi Bvi 0 ⎥ （9 ）
⎢ ∗ Ψ 2i 0 0 ⎥
T T T T
x y+ y x≤ x x+ y y ( x, y ∈ R n )
Ε0i = ⎢⎢ ⎥
0 ⎥⎥
we get that
⎢ ∗ ∗ −γ 2 I
i i f ( x ( t − τ ( t ) ) ) ≤ x ( t ) PW
(t ) PW
T T T
⎢ −1 ⎥ 2x i iWi Pi x ( t )
⎢⎣ ∗ ∗ ∗ −τ S ⎥⎦
⎡ Τ⎤
+x
T
(t − τ ( t )) GT Gx (t − τ ( t ))
⎢ H 0i ⎥ (10)
⎢ Τ⎥
+ ⎢ H1i ⎥ Pi ⎡⎣ H 0i 0 0⎤⎦ N
⎢ ⎥
H1i For ∑ γ ij = 0 substituting （10）to £ V ( x( t ),r ( t ) ) ,
⎢ 0 ⎥ j =1
⎢ 0 ⎥
⎣ ⎦ letting
⎡ Τ⎤ v (t ) = 0
⎢ Ci ⎥
⎢ 0 ⎥
⎢ ⎥ ⎣⎡Ci 0 Cvi 0⎦⎤ < 0 and
⎢ Τ ⎥ ⎡ Τ
⎢Cvi ⎥ ⎢ Τ ⎛ t ⎞ ⎤⎥
Τ Τ
⎢ 0 ⎥
⎣ ⎦ η0 ( t ) = ⎢ x ( t ), x ( t −τ ( t ) ),⎜⎜ ∫ x( s )ds ⎟⎟ ⎥
⎢ ⎜ t −τ ( t ) ⎟ ⎥
(6) ⎣ ⎝ ⎠ ⎦
one can get
£ V ( x( t ),r ( t ) )
Constructing a positive definite Lyapunov-Krasovskii
function V ( x( t ),r ( t ) ) as follows:
⎡ Ψ1i Pi Adi 0 H 0iT P PiWi ⎤
⎢ ⎥
V ( x ( t ) , r ( t ) = i ) := xΤ ( t ) P x ( t )
i
i ⎢ ∗ Ψ 2i 0 H1iT Pi ∗ ⎥
Τ ⎢ ⎥
t t (7) ≤ η (s) ⎢ −1 ⎥ η (s)
+ ∫ xΤ ( s )Qx ( s ) ds + ∫ 0 ∫ xΤ (η )Sx (η ) dη ds 0 ⎢ ∗ ∗ −τ S 0 ∗ ⎥ 0
t − τ (t ) −τ t + s ⎢ ∗ ∗ ∗ − Pi ∗ ⎥⎥
⎢
From (1) - (3), the weak infinitesimal operator £ of ⎣⎢ ∗ ∗ ∗ ∗ − I ⎦⎥

the stochastic process V { x( t ),r ( t )} ( t≥0 ) is given by: (11)

So, if exist symmetric positive definite matrices
£ V ( x( t ),r ( t ) ) Pi , Q, S such that LIMs
1⎡
⎡Ψ ⎤
⎣⎢ { ( (
:= lim Ε V x t +Δ ),r ( t +Δ ) )| x( t ),r ( t )=i} −V ( x( t ),r ( t )=i ) ⎤⎦ Pi A PW H T Pi
+ Δ ⎢ 1i di i i
⎥ 0i
Δ→0 ⎢ ⎥
Ψ ⎢ ∗ ∗ ⎥<0H T Pi
Τ
i⎣
Τ
(
≤ 2 x ( x ) P ⎡ Ai x ( t ) + Adi ( t − τ ( t ) ) + Wi f x ( t − τ ( t ) ) ) ∗
2 i
⎢ ∗ ∗ ⎥
1i
− Pi
⎢ ⎥
Τ Τ
+ Bviv( t ) ⎤⎦ + x ( t ) Qx ( t ) + τ x ( t ) Sx ( t ) − ∗ ⎢⎣ ∗ ∗ − I ⎥⎦
(12)
0
∫ x ( s ) Sx( s )ds − (1 − d ) x ( t − τ ( t ) ) Qx ( t − τ ( t ) )
Τ Τ hold, then the delayed Hopfield network is
t −τ ( t ) stochastically asymptotically stable.
In the following, we assume zero initial condition,
Τ
+ ⎡ H x ( t ) + H x ( t − τ ( t ) )⎤ P ⎡ H x ( t ) + H x ( t − τ ( t ) )⎤ i.e., x ( t ) = 0 for t ∈ [ −τ ,0 ] , and define
⎣ 0i 1i ⎦ i ⎣ 0i 1i ⎦
⎧ ⎫
⎛ J ( t ) = E ⎨∫0t ⎡⎢ zT ( s ) z ( s )−γ 2vT ( s )v( s )⎤⎥ ds⎬ (13)
N ⎜ Τ t
Τ ⎩ ⎣ ⎦ ⎭
+ ∑ γ ij ⎜ x ( t ) Pj x( t )+ ∫ x ( s )Qx( s )ds
j =1 ⎜⎝ t −τ ( t ) It is easy to see that
⎧
0 t ⎞ J ( t ) ≤ ⎨∫0t ⎡⎢ zT ( s ) z ( s )−γ 2vT ( s )v( s )
Τ
+ ∫ ∫ x (η ) Sx(η )dη ds ⎟ ⎩ ⎣
⎟
τ t +s ⎠
（8）
+£ V ( x( s ),r ( s ) ) ⎤⎦ ds } (14)

382
Next, let then, with the state feedback controller given
⎡ Τ −1
⎢ Τ Τ ⎛⎜ t ⎞ ⎤⎥ by u ( t ) = Ki x ( t ) , where Ki = K i X i the system is
Τ Τ ⎟
η1 ( t ) = ⎢ x ( t ), x ( t −τ ( t ) ),v ( t ),⎜ ∫ x( s )ds ⎟ ⎥ stochastically stable with the given disturbance
⎢ ⎜ t −τ ( t ) ⎟ ⎥
⎣ ⎝ ⎠ ⎦ attenuation level γ .
Substituting （10）to £ V ( x( t ),r ( t ) ) and utilizing
Proof: First of all, the closed-loop system can be
expressed as follows:
Schur complement, we have that
Τ 2 Τ {
dx ( t ) = Ai x(t )+ Adi x(t −τ ( t ) )+Wi f ( x( t −τ ( t ) ) )
z ( s ) z ( s ) − γ v ( s ) v ( s ) + £ V ( x( s ),r ( s ) ) (16)
Τ {
+ Bvi v(t )} dt + H 0i x( t )+ H1i x( t −(τ ( t ) ) ) d ω}
≤ η1 ( s ) Ε0iη1 ( s )
z ( t ) = C ui x ( t ) + Cvi v ( t ) (17)
From the definition 2, the closed-loop system (1)-(3) is
stochastically stable with a disturbance attenuation where Ai := Ai + Bui Ki , C ui := Ci + Cui Ki
level γ > 0 . The proof is now completed.
Hence, the result follows immediately by applying
Theorem 2. Given a scalar γ >0 and consider stochastic the proof of Theorem1, representing Ai by Ai ,
time-delay jumping neural network system (1)-(3).
Assume that there exist symmetric positive definite Ci by C ui , we get

matrices X , S , matrices K i such that the following Σ =

i 1i
linear matrix inequalities hold: ⎡Π Pi Adi Pi Bvi
Τ
H 0i Pi ( Ci + Cui Ki )
T
PW ⎤
⎡Ψ A Bvi Xi HT ⎢ 1i Τ
i i
⎥
⎢ i di 0i ⎢ ∗ Π 2i 0 H1i Pi 0 0 ⎥
⎢ T ⎢ ∗ 2 T ⎥
⎢ ∗ −I 0 H
1i ⎢ ∗
∗ −γ I 0 Cvi 0
⎥
⎢ ∗ ∗ − Pi
⎢ ∗ ∗ −γ I 2 0 ⎢ 0 0
⎥
Σ = ∗⎢ ∗ ∗ − Xi
⎢ ∗ ∗ ∗ ∗ −I 0 ⎥
i ⎢ ⎢⎣ ∗ ∗ ∗ ∗ ∗ −I ⎥⎦
⎢ ∗ ∗ ∗ ∗
⎢ <0
⎢ ∗ ∗ ∗ ∗ (18)
⎢ ∗ ∗ ∗ ∗
⎢ N
⎢⎣ ∗ ∗ ∗ ∗ 1i i ( ) (
Π := P Ai + Bui K i + Ai + Bui K i )Τ Pi + Q + τ S + ∑ γ P
ij j
j =1
T T ⎤
X i CiT + Ki Cui Xi Λi ⎥
Xi Π 2i = Ψ 2i
0 0 0 0 ⎥
⎥
It is clear from the definition or the constant
T 0 ⎥
( )
Cvi 0 0
⎥
u that u −1I ≥ (1 − d )−1 I + GT G . Now
0 0 0 0 ⎥ < 0 (15)
⎥
−I 0 0 0 ⎥ let Q = u −1I , S = S −1 and use Schur complement, we
∗ −uI 0 0 ⎥ can get
⎥
−1 ⎥ ⎡Θ Pi A Pi Bvi H T Pi
∗ ∗ −τ S 0 ⎥ ⎢ 1i di 0i
− J i ⎥⎦ ⎢
∗ ∗ ∗
⎢ ∗ −I 0 H T Pi
1i
T T ⎢ 2
Ψ i := Ai X i
T
+ B K i + X i Ai + Ki B + rii X i + WiWi
T ⎢ ∗ ∗ −γ I 0
ui ui
Σ = ∗ ⎢ ∗ ∗ − Pi
2i ⎢
Λ i := ⎡⎣ X i ,..., X i ⎤⎦ ⎢ ∗
n×( N −1) n ∗ ∗ ∗
⎢
{
J i := diag ri1−1X1,...,rii −1−1X i −1,rii +1−1X i +1, …,riN −1X N } ⎢ ∗
⎢ ∗
∗ ∗ ∗
−1 ∗ ∗ ∗
⎢
(
u := (1 − d ) G G + 1
T
) ⎢⎣ ∗ ∗ ∗ ∗

383
 ⎤ ⎡ −0.6 0 ⎤ ⎡0.002 0 ⎤
( Ci +Cui Ki )T PW
i i I I ⎥ Bv 2 = ⎢ ⎥ Bu 2 = ⎢ ⎥
0 0 0 0 ⎥ ⎢⎣ 0 −0.6 ⎥⎦ ⎢⎣ 0 0.002 ⎥⎦
⎥
Using Matlab LMI control Toolbox to solve the LMIs
T
Cvi 0 0 0 ⎥
⎥ (15), we obtain the solution as follows:
0 0 0 0 ⎥<0 ⎡ 0.0355 -0.1037 ⎤
⎥ （19）
−I 0 0 0 ⎥ K1 = 1.0e + 003 * ⎢ ⎥
⎣⎢ 0.5363 -1.4645 ⎦⎥
∗ −I 0 0 ⎥
⎥
∗ ∗ −uI 0 ⎥ ⎡0.0355 -0.1037 ⎤
K 2 = 1.0e + 003 *
−1 ⎥ ⎢⎣0.5363 1.4645 ⎥⎦
∗ ∗ ∗ −τ S ⎥⎦

Τ N
Θ1i := Pi ( Ai + Bui Ki ) + ( Ai + Bui Ki ) Pi + ∑ γ P 5. Conclusions
ij j
j =1
Pre-multiplying and post-multiplying the inequality (15) In this paper, the H ∞ problem for a class of
by uncertain stochastic delayed neural networks with
diag ⎡⎣ Pi I I Pi I I I I ⎤⎦ Markovian jumping parameters has been considered.
Stabilization and disturbance attenuation have been
−1 −1
where Pi = X i , K i = Ki Pi and using Schur guaranteed by our proposed H ∞ control with LMI
complement, we get (19). Σ 2i < 0 implies Σ1i < 0 . optimization approach, which can be tested easily
using the Mat lab LMI toolbox. A simple example has
The proof is now completed.
been used to demonstrate the usefulness of the main
result.
4. Numerical example
In this section, an example is used to illustrate the 6. Acknowledge
usefulness of the theory presented in this paper.
Example 1.Consider the system (1)-(3) is as follows: This work is supported by National Nature Science
⎡γ γ12 ⎤ ⎡ −0.5 0.5 ⎤ ⎡ 0.5 0 ⎤ Foundation of China under Grant 60674071
⎢ 11 ⎥=⎢ ⎥ G=⎢ ⎥
⎢⎣γ 21 γ 22 ⎥⎦ ⎢⎣ 0.5 −0.5⎥⎦ ⎣⎢ 0 0.5⎦⎥
7. References
τ = 0.12 d = 0.375 r = 0.4 u = 0.5
Mode I: [1] Z. Wang, Y. Liu, X. Liu, On global asymptotic stability
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⎢⎣ 0 −2 ⎥⎦ d 1 ⎢⎣ 0 0.3⎥⎦ ⎢⎣ 0 1 ⎥⎦ [2] G. Wei, Z. Wang, Nonlinear H control of stochastic
, ∞
⎡ −0.001 0 ⎤ ⎡0.001 0 ⎤ time-delay systems with Markovian switching, Chaos
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⎣ 0 0.005⎥⎦
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⎢⎣ 0 0.001⎥⎦ [3] X. Jang, Q. Han, Delay-dependent robust stability for
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⎡ −0.5 uncertain linear systems with interval time-varying delays,
⎡0.001 0 ⎤ 0 ⎤
B =⎢ ⎥ Bv1 = ⎢ ⎥ Automatica 42,2006,1059-1065
u1 ⎣ 0 0.001⎦ ⎣⎢ 0 −0.5⎦⎥ [4] J. Wu, T. Chen, Delay-dependent robust stability
C1 = ⎡⎣ 0.5 0.2⎤⎦ Cu1 = ⎡⎣0.2 0.1⎤⎦ Cv1 = 0 and H control for jump linear systems with delays, Systems
∞
Control Letters 55, 2006, 939-948
Mode Ⅱ:
[5] J. Chen, Delay-dependent robust H control of uncertain
⎡ −3.1 0 ⎤ ⎡1 0 ⎤ ⎡ 0.2 0 ⎤ ∞
A2 = ⎢ ⎥ W2 = ⎢ ⎥ A = ⎢ ⎥ neural systems with state and input delays: LMI optimization
⎢⎣ 0 −2 ⎥⎦ ⎢⎣ 0 1 ⎥⎦ d 2 ⎢⎣ 0 0.4 ⎥⎦ approach, Chaos Solitons &Fractals 33, 2008, 442-451
, ,
[6] K. Gu. An integral inequality in the stabilty problem of
C2 = ⎡⎣0.52 0.21⎤⎦ Cu 2 = ⎡⎣0.21 0.12 ⎤⎦ Cv 2 = 0
, , time-delay systems, in: Proceedings of 39th IEEE Conference
⎡ −0.002 on Decision and Control, December 2000, Sydney, Australia,
0 ⎤ ⎡ 0.002 0 ⎤
H 02 = ⎢ ⎥ H12 = ⎢ ⎥ 2000, pp. 2805-2810
⎢⎣ 0 0.002 ⎥⎦ ⎢⎣ 0 0.005⎥⎦ [7] S. Boy, L. E. Ghaoui, E. Feron, V. Balakrishnan, Linear
，
matrix inequalities in system and control theory. Philadelphia:
SIAM; 1994

384
 2008 International Conference on Intelligent Computation Technology and Automation
H ∞ Control for Nonlinear System via Piecewise Fuzzy Lyapunov Approach
Zhu Yun Ji Zhicheng
Institute of Electrical Automation, Jiangnan University, Jiangsu, Wuxi, 214122, China.
Email: minna0301@163.com
Abstract
This paper deals with the disturbance of nonlinear
Takagi-Sugeno (T-S) fuzzy system. Based on piecewise
fuzzy Lyapunov function and LMI method, the
systematic design procedures were given and the
sufficient conditions for closed-loop system stability
were derived and the parameters design method
of γ -superior H ∞ controller for closed-loop system
was provided. Simulation results show the effectiveness
of the proposed method.
1. Introduction
In recent years, the Takagi-Sugeno(T-S) fuzzy
system has aroused more and more researcher's
interests. Based on the direct Lyapunov method,
literature [1-2] proposed the public Lyapunov function
method to study the stabilization of T-S fuzzy system
so as to find a common positive definite matrix P
satisfying sufficient conditions for stabilization of all
subsystems. But regarding the fuzzy system with large
number of premise variables, it’s difficult to find public
positive definite matrix P which satisfies all rules. In
order to reduce the conservative to obtain public
definite matrix P , literature [3-4] proposed the
coefficient and the regular weight correspond
multi-skill Lyapunov function method, that is carries
on the system stability determination with the fuzzy
Lyapunov function the method. To some certain extent
although this method reduced the conservative to find
public positive definite matrix P , this method must
satisfy the many Lyapunov inequalities. If rule number
is bigger, then the solution difficulty is harder.
Adopting concepts of double overlap fuzzy division
and the biggest overlap rule group which proposed by
literature [5], this paper constructs the discrete
piecewise fuzzy Lyapunov function, then proposes a
new sufficient condition for determine the stable of
978-0-7695-3357-5/08 $25.00 © 2008 IEEE
DOI 10.1109/ICICTA.2008.239
closed loop T-S fuzzy control system with only
needing to satisfy some Lyapunov inequalities
separately in each biggest overlap rule group, thus
reduced the conservative and difficulty above stable
distinction method. With the so-called parallel
distributed compensation (PDC) scheme, it’s possible
to design the controller.
In many kinds of applications, it is necessary to take
immunity of the whole system into consideration when
design the controller due to the existing of disturbance.
And it is also an important target to appraise the quality
of a controller. In order to solve this problem, this
paper discusses the stabilization of the fuzzy discrete
system, proposes the sufficient conditions for
asymptotically stable for closed loop system and
provides the parameters design method of
γ -superior H ∞ controller for closed-loop system by
using the method of piecewise fuzzy Lyapunov
function, zero-pole assignment feedback matrix and
LMI based on literature [6-9]. Finally, simulation
results show the effectiveness of the proposed method.
2. T-S discrete fuzzy system with extern
input disturbance
Consider a discrete fuzzy system with multi-input
and multi-output, which can be described by the
following discrete T-S fuzzy model:
M1i
Ri : if x1 ( k ) is and … xn ( k ) is M ni
,
then x
i
( k + 1) = Ai x ( k ) + Bi u ( k ) + Di w ( k )
y i (k ) = Ci x (k ) i = 1, 2, r (1)
where R the i th inference rule; i = 1, 2,.., r
i
denotes the number of inference rules,
x ( k )=[ x1( k ),..., xn ( k )]
T
is the measurable premise
i i
vector, M ,...M 1 n is the fuzzy set, y (t )∈Rr is the
385
output, u( k )∈R p is the input, w ( k )∈R s is the 2aT b ≤ aT Xa + bT X −1b (5)
external disturbance, Ai , Bi , Ci , Di are the constant where X is a random positive definite matrix.
matrixes with proper dimensions. Theorem 3.1: As for the discrete fuzzy control
Adopting the PDC control scheme, we can get: system (4)，suppose the states are measurable，if
Ri : if x1 (k ) is M 1i and… xi ( k ) is M ni , there exists symmetric and positive matrix Pρi
u(k ) = ∑ i =1 µi ( x (k )) Fi x (k )
r such that following inequality satisfied:
then (2)
 − Pρ i G lli Pρ i D li Pρ i 
Clear the T-S fuzzy model (1), it’s easier to  
 Pρ i ( G lli )
T
obtain the ith discrete fuzzy system equation. − Pρ i + C liT 0 <0
f f  
x (k + 1) = ∑∑ hli (k )h ji (k )  Pρ i D li −γ 2 I 
T
0

l =1 j =1
i, l , ρ = 1, 2, …, r (6)
×  ( Ali + Bli Fji ) x (k ) + Dli w (k )   
f  −2Pρi (Glji +Gijl )Pρi (Dli + Dji )Pρi 
y (k ) = ∑ µli ( x (k ))Cli x (k ) (3)  T −Pli − Pji

i =1 Pρi (Glji +Gijl ) 0  <0
For the whole fuzzy region, (3) can be changed into  +(CliTCji +CTjiCli ) 
(4):  
Pρi ( Dli + Dji )
T
r 0 −2γ 2
I 
x ( k +1) = ∑λi ( x ( k ) )  
i =1 i, ρ = 1, 2,… , r , 1 ≤ j < l ≤ r (7)
with G = Ali + Bli K ji , G jl = A ji + B ji K li .
f f i i
×∑∑ hli hki ( Ali + Bli Fki ) x(k ) + Dli w(k ) (4) lj

l =1 k =1 Proof: Define the Lyapunov function of the i th local

With λi ( x ( k ) ) defined as the characteristic model, if x ( k ) and x ( k+1) located in the same
function of each fuzzy region. fuzzy region:

{　　　
　　　x ( k ) ∈ Si ,　　 f λ k = 1
λi ( k ) = 1,
0, otherwise　 ∑ i =1 i ( )
Vi ( x (k )) = x T ( k ) Pi ( k ) x ( k )
f
Pi (k ) = ∑ hli ( k ) Pli ( k ) (8)
l =1

∆Vi ( x ( k ) )
3. H ∞ Control

In this section, we will discuss the method of H ∞ = xT ( k + 1) Pi x ( k + 1) − x T ( k ) Pi x ( k )

control for the fuzzy system described by (1) with f f f f f

external disturbance. = ∑∑∑∑∑hρi ( k +1) hli ( k ) hji ( k ) hmi ( k ) hni ( k )

As for fuzzy system (1), if there exist fuzzy state ρ =1 l =1 j =1 m=1 n=1
feedback control law (2), such that:
a. The closed-loop system (4) is asymptotically stable {
×  xT ( k ) ( AliT + FjiT BliT ) + wT ( k ) DliT  Pρi
when w =0.
b. Under the condition of zero initial value, satisfied
× ( Ami + Bmi Fni ) x ( k ) + Dmi w ( k )  − x T ( k ) Pli x ( k )}
H ∞ norm constraints: For simplicity, we let:

y (k ) 2 ≤ γ w (k ) Ali + Bli F ji = Glji , Ami + Bmi Fni = Gmn

i
.
2
Hence,
where • 2 is the standard norm of L2[ 0,∞ ) . γ is the f f f f f
fixed positive constant . Then we regard the fuzzy state ∆Vi ( x ( k ) ) = ∑∑∑∑∑ hρi ( k + 1)
feedback control law which satisfies the above ρ =1 l =1 j =1 m =1 n =1
conditions as γ -superior fuzzy H ∞ control law. ×hli ( k ) h ji ( k ) hmi ( k ) hni ( k )
Lemma 3.1: If there exist proper dimension matrixes
a and b such that following inequality satisfied: {
×  x T ( k ) GljiT + wT ( k ) DliT  Pρ i

386
 × Gmn
i
x ( k ) + Dmi w ( k ) − xT ( k ) Pli x ( k ) }  x (k )
≤ hli ( k ) h ji ( k )  
T

f  f f f f 
  x (k )
T
 w ( k )
= ∑ hρ i ( k + 1)  ∑ ∑ ∑ ∑  hli ( k ) h ji ( k )    ( G i )T P G
 w ( k ) ( Glji ) Pρ i D li   x ( k ) 
T
ρ =1  l =1 j =1 m =1 n =1  × lj ρ i li
 (10)

 D liT Pρ i G lj D liT Pρ i D li   w ( k ) 
×  lj
( )
 Gi T P 
ρi
 hmi ( k ) hni ( k )  G mn
i
 x (k )
Dmi  

 Substituting (10) into (9), we have:
   w ( k )
T
 Dli Pρ i 
 x (k )
T

 x ( k )   Pli
T
0  x ( k )    ∆Vi ( x ( k ) ) ≤ hli ( k ) h ji ( k )  
 w ( k )
(9)
−    
 w ( k )  0 0   w ( k )   
 ( G i )T P G (G )i
Pρ i Dli   x ( k ) 
T
Define the vectors:
×  lj ρ i li lj
 
 x (k )
T
( G i )T P   Dli Pρ i G lj

T
DliT Pρ i Dli   w ( k ) 
a = hli ( k ) h ji ( k ) 
T
  lj ρi

 w ( k )
lj Thus:
 Dli Pρ i 
T
  ∆Vi ( x ( k ) ) + y T ( k ) y ( k ) − γ 2 w T ( k ) w ( k )
 x (k )
bmn = hmi ( k ) hni ( k ) Gmn Dmi    f 2  x (k )
i T

f
≤ ∑ hρi ( k + 1) ∑ hli ( k ) 
 w ( k ) 
ρ =1  l =1 w ( k )
From lemma 3.1, we know that:
1 1 T −1  ( G i )T P G 
a b ≤ aljT Λalj + bmn Λ bmn (G )
T
 lj Pρ i Dli   x ( k ) 
T ρ i li i
lj mn
× − P + C T C 
lj
2 2 
where 0 ≤ hli ( k )≤1 , Λ= Pρ−i1 , applying to alj , bmn ,  li T li i li   w ( k )
 Dli Pρ i G lj Dli Pρ i D li − γ I 
T 2

we can get:
 x (k )
T
f f
+2∑∑ hli ( k ) hji ( k ) 
f f f f

∑∑∑∑ h ( k ) h ( k ) h ( k ) h ( k )
l =1 j =1 m =1 n =1
li ji mi ni
l =1 i < j

w ( k )
ΞT i Pρ i iΠ   x ( k )  
( lj ) ρ i mn (G )
 x (k )
T
 Gi T P Gi Pρi Dmi   x ( k ) 
i T ΞT i Pρ i iΞ − Ω + Θ
× lj
 ×  
  Π T i Pρ i iΞ ΠT i Pρi iΠ − γ 2 I   w ( k )  
 w ( k )  T DliT Pρi Dmi   w ( k )  
i
 Dli Pρi Gmn
1  x (k ) 
T ( )
where Ξ= Glji +G ijl 2 , Π=( Dli + D ji ) 2 , Ω=( Pli +Pji ) 2 ,
≤ hli ( k ) h ji ( k )   Θ=( CT C ji + CTjiCli ) 2 .
2  w ( k ) li

 ( G i )T P G According to hli2 ( x ( k ) ) > 0 ， hli ( x ( k ) ) and

×  lj ρ i li (G )
i T
lj Pρ i Dli   x ( k ) 
  h ji ( x ( k ) ) > 0 , if the following two inequalities hold:
 DliT Pρ i Glj
 DliT Pρ i Dli   w ( k ) 
( Gi )T P G − P 
( Gi )T P Gi ( Gi )T P D   x ( k ) 
 lj ρi li li ( Glji ) Pρi Dli 
T
1
+ hmi ( k ) hni ( k )  mn ρi mn mn ρi mi
 
2  Dmi
T i
PρiGmn Dmi Pρi Dmi   w ( k )
T +CT C <0
 li Tli 
By the symmetrical characteristic of l , j , m , n , we  Dli PρiGlj
i
DliT Pρi Dli − γ 2 I 
(11)
can obtain:
f f f f
ΞT iP iΞ−Ω+Θ ΞT iP iΠ 
 ρi ρi 
∑∑∑∑ h ( k ) h ( k ) h ( k ) h ( k )li ji mi ni 
T T
 <0
l =1 j =1 m =1 n =1  Π iP iΞ Π iP iΠ−γ I
 ρi ρi 
 x (k )
T
( G i )T P G i (G ) Pρ i Dmi   x ( k ) 
i T (12)
×   lj ρ i mn lj
  Then
 w ( k )  Dli Pρ i Gmn DliT Pρ i Dmi   w ( k )  ∆Vi ( x( k) ) + yT ( k) y( k ) −γ 2wT ( k ) w( k) < 0 (13)
T i


387
 (G ) i T
lj Pρi Gli − Pli + CliT Cli < 0 (14)
x2 ( k )
x1 ( k ) M 11 M 21 M 31

−2 0 2
For CliT Cli >0 ，it’s obvious that: −2 R 1 R2 R3

M 12
(G ) i T S1 S2
lj Pρi Gli − Pli < 0 (15)

( )

M 22
That is ∆Vi x ( k ) < 0 0 R4 R5 R6

For the overall T-S fuzzy system, it’s easier to see

that: S3 S4

M 32
∆V ( x( k ) ) + yT ( k ) y ( k ) −γ 2wT ( k ) w( k ) < 0 2 R7 R8 R9
Fig.1. The structure of premise rules
∆V ( x ( k ) ) < 0 (16) The equal of Henon two-dimensional mapping
According to (16), we know that closed loop system system state is:
(4) is asymptotically stable when w=0 . x(k + 2) = 1 + bx (k ) − ax 2 (k + 1) (20)
By setting the initial value equal to zero，we have: And the system presents the chaotic state[6] when
∑
∞
k =0
yT ( k ) y ( k ) − γ 2 w T ( k ) w ( k ) < 0 a =1,b=0.3 as shown in Figure 2.
The related parameters are as follows:
y 2 <γ2 w
2 2
that is: (17) C =  0.5 −1 ; C =  −1 0  ; C =  0 1 ; C = C = C ;
2 1 2 3 4 7 1
By (16) and (17), we know that closed loop system C = C =C ; C =C =C ; D = 0.1 0 ; D = 0 0.2 ;
5 8 2 6 9 3 1 2
(4) is asymptotically stable. D = −0.1 0.1
; D4 = D7 = D1 ; D5 = D8 = D2 ; D6 = D9 = D3
3
Then we prove that inequalities (6), (7) equal to
By the state feedback control, we set the linear
inequalities (10), (11).
subsystem expected closed-loop pole values as follows:
By Schur complement, inequalities (11) and (12)
equal to (18) and (19): P11 = P12 = P13 = P21 = P22 = P23 = P24 = P31 = P32 ;
 − Pρ−i1 Glli Dli  P33 = P34 = P41 = P42 = P43 = P44 = −0.75
T
−0.75 .
 
( Glli )
T
0  < 0 (18)
1.5
− Pli + CliT Cli
 T 
 Dli −γ 2 I 
1
0

 
0.5
−1
 −2Pρi Glji + Gijl Dli + Dji 
x2

 
0
−Pli − Pji
( Glji + Gijl )
T
0  < 0 (19)
 +CliT Cji +CTjiCli 
-0.5

 
( Dli + Dji )
T
−2γ 2 I 
-1

 0 -1 -0.5 0
x1
0.5 1 1.5

Fig. 2. Chaotic track of Henon two-dimensional mapping

Multiplying (18) and (19) from left and right, respectively, with fixed parameters.
by diag { Pρi , I , I } , it results (6) and (7). Adopting closed-loop zero-pole assignment
The proof is completed. method, we can get the state feedback matrixes of each
region linear subsystem.
4. Example K = [ -0.25193,-0.36667 ] K = [ -0.25,-0.2 ]
41 42
K = [-0.5,-0.36667 ] K = [ -0.20286,-0.2]
43 44
In this section, to show the effectiveness of the
proposed closed loop discrete T-S fuzzy system K = [ -0.53333,-0.73333] K = [-0.25193,-0.36667 ]
31 32
controller design technique, we adopt the example of K = [-0.70952,-0.66667 ] K = [-0.5,-0.36667 ]
two-dimensional mapping Henon. 33 34
The system matrix ( Ali , Bli ) is the same as K = [ -0.22738,-0.36667 ] K = [ -0.13067,-0.22 ]
21 22
lecture [6]. K = [-0.25193,-0.36667 ] K = [ -0.25,-0.2 ]
23 24

388
K = [-0.2960,-0.7333] K = [ -0.2273,-0.3666] piecewise fuzzy Lyapunov function (PFLF) approach,
11 12 H ∞ state feedback control and zero-pole assignment
K = [ -0.5333,-0.7333] K = [-0.25193,-0.36667] method, we obtain a new stable condition in the form
13 14
According to LMI method, we find the common of LMIs and a new method for designing controller
which has been applied to the closed discrete fuzzy
positive definite matrix Pi which satisfied Theorem system. And the simulation results indicate that the
3.1 to be: controller is effective which demonstrates the feasible
 4.8502 1.1913  5.1577 0.5767  of the presented method.
P = ,P =
11 1.1913 6.7468 12  0.5767 6.0779 
 5.0223 0.5104   5.0223 0.5104 
Acknowledge
P = ,P =
13  0.5104 6.4047  14  0.5104 6.4047 
This work is supported by the National Natural
6.7705 1.1749   6.3834 1.0724  Science Foundation (No.60774030) and the Program
P = ,P =
21 1.1749 5.2026  22 1.0724 5.3913 for Innovative Research Team of Jiangnan University
 6.7574 1.0785 6.2842 0.5666 
P = P24 = 
23 1.0785 5.16  
0.5666 5.2432 
References
6.3850 0.9053  6.6564 1.1669  [1] Tanaka K, Sugeno M. Stability Analysis and Design of
P = P =
31 0.9053 5.5151 32 1.1699 5.4048  Fuzzy Control System [J]. Fuzzy Sets and Systems
(S0165-0114), 1992, 45(2): 135-156.
 6.3003 0.6952  6.6615 0.6979 
P =
33  0.6952 5.4810  34 0.6979 5.2323 
P =
[2] Wang H O, Tanaka K, Griffin M F. An Approach to Fuzzy
Control of Nonlinear Systems: Stability and Design
7.2920 1.4550  6.7785 0.9153
P = Issues [J]. IEEE Trans. Fuzzy Systems (S1063-6706),
41 1.4550 4.7481 42 0.9153 4.8391
P =
1996, 4(1): 14-23.
7.2384 0.9585  6.7927 1.0643 
P =
43 0.9585 4.5492  44 1.0643 4.8864 
P = [3] Jamal Dafouz, Pierre Riedinger, and Claude Jung.
Stability Analysis and Control Synthesis for Switched
T Systems: A Switched Lyapunov Function Approach [J].
The initial value of the state is X0 (k) = −1 1 . IEEE Trans. Automatic Control (S0018-9286), 2002,
The white-noise is adding from the sample time 70 47(11): 1883-1887.
to 100. The response is showing in Fig.3.
1
[4] Tanaka K, Hori T, Wang H O. A Multiple Lyapunov
0.8
x1 Function Approach to Stabilization of Fuzzy Control
x2
Systems[J]. IEEE Trans. Fuzzy Systems (S1063-6706),
0.6
2003, 11(4): 582-589.
0.4

0.2
[5] Xiu Z H, Ren G. Stability Analysis and Systematic
0 Design of T-S Fuzzy Control Systems [J]. Acta
x

-0.2 Automatica Sinica (S0254-4156), 2004, 30(5): 731-741.

-0.4

-0.6 [6] Zhan Song-tao, Ren Guang. Design of Discrete Fuzzy

-0.8
Control System Based on Piecewise Fuzzy Lyapunov
-1
Approach [J]. Journal of System Simulation. Jan., 2007.
0 50 100 150 200 250
• • • • Vol. 19 No. 2, pp:352-420.
Fig. 3. The state response of the closed-loop T-S fuzzy system
with external disturbance [7] Zhicheng Ji, Yinghuan Zhou. Stabilization of a Class of
The simulation results show that the system can Fuzzy Control Systems via Piecewise Fuzzy Lyapunov
Function Approach[C], ACC, 2007, New York, USA, July,
restore to the normal state within a short time
2007.
which demonstrates that the presented method is
effective. [8] Zhicheng Ji, Yinghuan Zhou, Yanxia Shen. Robust
Stabilization of Takagi-Sugeno Fuzzy Systems with
5. Conclusion Parametric Uncertainties Using Fuzzy Region Concept[J],
ICIC 2006, Lecture Notes in Artificial Intelligence
In this paper, the discrete T-S fuzzy system with (LNAI), Springer, Vol. 4114, 152–158, 2006.
external disturbance has been considered. Via

389
 2008 International Conference on Intelligent Computation Technology and Automation
Intelligent greenhouse control-System based on Agent
Xu Dahua Li Hua
（College of Engineering，Nanjing Agricultural University，Nanjing 210031，china）
xudahua@njau.edu.cn
Abstract
A greenhouse control system structure model based
on Agent and a Technology Control Centre based on
Multi-Agent Technology are designed with the using of
Agent technology in the greenhouse control system.
Data collection and storage method has been studied
of the greenhouse system, and it reduced the load of
the up-machine and the network effectively. Based on
embedded development technology, the greenhouse
system's independent regulative function and
environment auto-adapted were enhanced. Finally
confirmed the system model’s reliability, usability and
scientific by the analysis and comparison to the system
performance.
Key Words
Agent; architecture; thread; regress control
1. Introduction
The greenhouse is a place which can change the
plant growth environment, create the optimum
condition for the plant growth and avoid the influence
of the outside four seasons change and the poor climate
condition. Environmental control was the key
technology of the greenhouse facilities to achieve the
production goal by the enhancing the control and work
precision. At present, the world's greenhouse control
technology developed very quickly, and some
countries have achieved the development from
automation to intelligent. Agent is a actual system's
abstract as a new methodology, has been widely
applied in the areas such as computer science, fuzzy
control and production decentralization control and has
been able to deal with some very complex problems.
Agent may feel environment by the sensor, then affect
the environment again by the effector. Although the
automatic control system based on Agent has been
widely applied, the intelligent greenhouse control
system based on Agent is still rare.
So we design a greenhouse control system to real-
time monitor the temperature, humidity, carbon,
dioxide, concentration, and other environmental
parameters in greenhouses by using the Agent
technical. When the temperature, humidity and carbon
978-0-7695-3357-5/08 $25.00 © 2008 IEEE
DOI 10.1109/ICICTA.2008.215
dioxide concentration exceed a set upper and lower
limit, the corresponding implementing agencies are
drove to compensate the temperature, humidity, carbon
dioxide concentrations, and as a result all the
parameters in greenhouse are in the appropriate range
of crop growth.
2. Agent Technology
Agent-oriented modeling embodiment the method of
the computer system synthesis, and ameliorate
modeling, design, theory and practice of the computer
system enormously. It must follow and use the existing
mature technology and perform to expand. The multi-
Agent system modeling may use procedure-oriented,
object-oriented and knowledge engineering-oriented
etc existing methods [1].
Agent system is a highly open intelligent system. Its
structure design influence to system's intelligence and
performance directly. The main problems of Agent
structure modeling need to solve are the module
composition of Agent, and how to exchange
information between each module, how does the
information the Agent senses affect its behavior and its
internal condition and how to combine these modules
with software and hardware to form an organic whole.
The system structure model based on Agent mainly has
careful reflection Agent, response Agent and mixed
Agent, where mixed Agent contains classical logic
mixed type and decision theory mixed type Agent.
1.1 careful reflection Agent: Expressing Agent
with seven tuples::=<Aid, P, I, A, see, next，action>;
1.2 response Agent: Expressing Agent with five
tuples::=<Aid, P, A, see, action>;
1.3 classical logic mixed type: Expressing Agent
with eight tuples::=<Aid, P, I, A, R*, see, next ，
action>;
1.4 decision theory mixed type Agent: Expressing
Agent with eleven tuples::=<Aid, P, A, Dva, Dar, Rule,
see, next，estimate, action>;
In the above type, Aid is a certain concrete Agent
marking; P is a visual Agent condition set, I is the
Agent internal behavior set; see, next, action is the
Agent internal observation, thought and behavior
decision-making process respectively; R* is the
390
inference rule sequence set. R is the correspondence
results state set of the Agent possible action. Dva is
corresponding rule set of the visual condition and the
solution set. Dar is corresponding relationship between
the solution set and the result state. Rule is the concrete
decision rule set; estimate is the designation solution
set. Which decides the result state according to R and I
is the promise goal.
3. System Structure Design
System architecture is shown in Fig 1. The whole
greenhouse control system is coordinated by “task
scheduling center”. Each Agent thread uses the
different structural models according to the actual
situation. Data are collected real-time by the data
collection Agent thread, and transformed to the unified
data format and stored in the real-time data documents.
When the system uses and analyzes these data, the data
collection Agent takes out the data from the data files.
Therefore, this thread is indicated by response Agent;
Environment Agent senses system environment,
accepts the Agent collected information, makes correct
decision to this information and takes corresponding
action by searching there own knowledge base and rule
set. This module is indicated by careful reflection
Agent. The main function of up-machine is “the
system control center”. Its main task is to set the initial
data collected parameters, view the data of the
designated greenhouse real-time and issue operation
orders to the correlative hardware equipment.
Many equipments such as temperature sensor,
humidity sensor and CO2 sensor are placed in each
greenhouse of this system, and connected with the
Industrial Control Machine which could be Program.
As the realization of multi-transmitter and multi-
receiver sharing in one line in the transmission of RS-
485 interface, strong anti-interference capability and
quick transmission of data, each greenhouse
monitoring point and system control center uses the
bus network structure and RS-485 interface to question
and answer data communication. The system issues
two kind of orders to each greenhouse, one is periodic
temperature collected order which is completed by the
task scheduling center timer by the task scheduling
center timer to collect and display the data of
greenhouse real-time; The other is non-periodic which
is artificially intervened by operator. For example
when the monitoring wants to know a certain
designated greenhouse’s temperature he can carry out
such operation.
391
System control center
Up-machine
Task scheduling center
Data collecting Agent communicate Agent
Environment sensation Operation Agent
Agent
Intelligent control center Intelligent control center
………
Greenhouse 1 Greenhouse n
Fig．1 System architecture
4. Intelligent control center
In each greenhouse places a Program Industrial
Control Machine to accept data collected order and
control command from up-machine. Each up-machine
has an intelligent control Agent center. This Agent was
designed with the decision theory mixed type Agent,
and its center procedure uses WinCE C to compile and
was embedded to the up-machine. It is the key of the
system development. its structure is shown in Fig 2.
The intelligent control center is the main-body of
“task scheduling center”, it consists of the intelligent
analysis module, the data collection module, the data
processing module and the data transmitting Agent
module. the intelligent analysis Agent analysis the
order-package sent by dispatch center, then decide
which collecting movements need to be processed and
sent them to the data collecting Agent according to its
configuration files and rule set; Data collecting Agent
executives the collecting order, drives the equipment
connected with the up-machine to collect data, and sent
the collecting information to data processing Agent.
Data processing Agent processes collected data and
obtains data according to the data structure rule set,
then calls the data transmitting Agent; The data
transmitting Agent according to user’s request transmit
data to the database, binary or XML document and so
on.
 use of the greenhouse's existing equipments. At present
Intelligence control
centre
the alterable control system mainly focused on the
research of temperature, illumination, relative
Intelligence-analysis Configure
Agent file
humidity, CO2 concentration. Each parameter’s weight
in the system isn’t the same in the greenhouse. In order
to control each greenhouse accurately and real-time, a
task
mathematical model based on the environmental
Collecting Agent
scheduling parameters in the greenhouse was established for the
center
Role
development of intelligent analytic Agent aimed at its
-processing Agent collection specific circumstances. In the model there is a random
variable Y and m variables x0 ，x1 ，．．．，xm-1,
-transmitting Agent
where xi was the system collected environmental
parameter. For one time of the system’s operation on
the assumption of n groups of observation data （
x0i,x1i,…,xn-1,i,yi ） (i=0,1,…,n-1), the relationship
Binary file between variable Y and each environment parameter
Database XML File
was expressed by linear formula (1).
Fig.2 Architecture of intelligent control center Y=a0x0+a1x1+…+an-1xn-1+an （1）
Each Agent of intelligent control center uses a Where a0，a1，…，an-1 were the partial regression
independent thread which parallel run with the main coefficients, and satisfied the equation(2).
thread to develop, simultaneously uses tabulation data
structure to construct task list to preserve all
assignments. The data collecting Agent thread read the a0 y0
task list and sent the task, finally using the round-robin a1 y1
queue structure constructs data processing Agent data a2 y2
queue to save all the data from the threads. The data ⋅ ⋅
transmitting Agent thread reads the data and take （CCT） ⋅ = ⋅
corresponding treatments. The collected data is stored （2）
⋅ ⋅
in the USB memory connected with the up-machine in am-1 yn-2
order to reduce the network bandwidth and raise the am yn-1
data communication speed. If up-machine need
examine a certain greenhouse’s condition, we can start
the examination thread, meanwhile the network only where
has the data of the designated greenhouse, thus the data
communication speed is raised and the data error rate is
lower. x00 x01 x02 ．．． x0,n-1
x10 x11 x12 ．．． x1,n-1
5. Intelligent Analysis Agent Design ． ． ． ． ．
The research found that it cannot enable the crops to C= ． ． ． ． ．
achieve the best output in the greenhouse to use the ． ． ． ． ．
precise computer environment control procedure to xm-1,0 xm-1,1 xm-1,2 ．．． xm-1,n-1
regulate the greenhouse’s environment according to 1 1 1 ．．． １
setting value. Crops’ growth and development doesn’t
depend on a particular temperature of one time, but
mainly depends on the average temperature levels in a In order to make the system at the best running
time. It causes the control system develop to the "set status, the system model correspondence leaning
free" system. In the research of the synthesis variance sum of squares q should achieve a minimum.
temperature control system it doesn’t set a fixed According to the least square method principle to
temperature value. The temperature in the greenhouse enable
n −1
q = ∑ [ yi − (a 0 x 0 i + a1 x1i + ... + am − 1 xm − 1, i + am)]2
changes between the highest and the lowest to achieve
the ideal average temperature in a long time. So the
i =0
computer may adjust freely according to the outdoor
climate at the lowest energy consumption and the best to achieve a minimum, the first is to calculate q using

392
the Cholesky decomposition to the equation(2),then
calculate the duplicate correlation coefficient of each
environment parameter r = 1− q / t .Where
n −1 n −1
t = ∑ (Yi − Y ) 2 and Y = ∑ Yi / n .When r is closer
i=0 i =0
to 1, the relative error q/t is closer to zero, the effect of
the system linear regression is good, and it is indicated
that currently the greenhouse’s operational situation is
good. Finally calculate the relation between Y and the
partial correlation coefficient
vj = 1 − q / qj , ( j = 0,1,..., m − 1) to regulate
system’s each environment parameter real-time. Where
n −1
⎛ m −1
⎞ staff needed to see a certain greenhouse’s or several
qj = ∑ [ yi − am + ∑ akxki ⎟]2 When vj is bigger, it
⎜ greenhouses’ real-time and historical data, the superior
i=0
⎜⎜ k =0
⎟⎟
⎝ k≠ j ⎠ the system data collection, processing and repeater
is indicated that this parameter’s influence is more
remarkable to Y and indicated that this environment
parameter is at a abnormal state simultaneously. When
the system started to work, the initial value was 1 for
variable Y. When Y≥0.5, the data repeater Agent
module stored the data in the USB memory connected
with the up-machine. It reduced the network data
current capacity effectively. Once the data processing
Agent found vj parameter exceeded the normal
threshold continuously in a time or Y <0.5, the alarm
thread was started immediately and the abnormal data
was sent to the data collecting control center
simultaneously.
6. System Performance Analyses & Test
In the tradition monitor system, the system collected
data was often stored in data server connected with the
up-machine. The time of data collection for once was
the sum of t1, t2, t3, s and c. That is:
T=t1+t2+t3+s+c.Where t1, t2, t3, s and c respectively
was the time that the data message was sent to the up-
machine, collection order was sent to the collection
equipment from the up-machine, the up-machine
connected with the data server, the software expense
when the up-machine connected with the data server
and the collected information processing time.
In the intelligent greenhouse system based on Agent,
the data collection Agent thread of the up-machine is
mainly responsible for the duty's distribution and
control. It didn’t collect and store the data. When Y
from the data communication Agent is 1, it issued data
collection order to the corresponding greenhouse’s
intelligent control center data processing Agent. The
up-machine only show the most important
393
environmental data of each greenhouse rather than
stored data under normal circumstance. If the up-
machine needed to collect a certain greenhouse’s data,
it only needed to start the corresponding data copy
order, set the looked data source, then the data repeater
Agent of the corresponding greenhouse’s up-machine
will repeater the corresponding data to the up-machine.
Such the system time expense was the sum of the time
(t1'=max (t11, t12 ...... t1i)) that the up-machine data
information was sent to the up-machine and the
time(t2'=max (t21, t22 ...... t2i)) that the collection
order from the up-machine transmission was sent to the
greenhouse. That is: T'=t1'+t2'.
As the up-machine didn’t stored data and its main
function is to control the system. Even if the monitor-
machine needn’t to increase the extra expense because
function was executed by the up-machine
corresponding Agent thread. So the environmental data
curve or the video data that the up-machine showed
was smooth it had better realized the system
requirements without blocking and the noise.
7. Conclusion
At present the greenhouse control system has
developed to the crop growth model, the greenhouse
integrated environment factor analysis model and the
automatic collection and intelligent control of the
agronomist system's greenhouse information. The
foreign greenhouse industry is devoting to the
telemetry, the network technology, the distributional
intelligent control to apply in the greenhouse
management and control, simultaneously the climate
adjustment, the irrigation system and the nourishing
supply system looks as a whole to realize the remote
control. Compared with the foreign technology, the
hardware system of our country's greenhouse control
technology has basically achieved the international
synchronized level, but the system's intellectualized
degree is still far from enough. The paper proposed the
greenhouse control system based on Agent, designed
system architecture model based on Agent and
discussed the application of Agent technology in the
greenhouse control. Therefore, the Agent technology
based on remote control to be applied in the
greenhouse real-time monitoring and the automatic
regulation technology will be a new luminescent spot
and the development trend in the greenhouse control
development.
8. References
[1]Xu Dahua. Development of intelligent monitor- [2] Geoff Nitscke. Cooperating air traffic control
system based on Agent[C]. Proceedings of the 26th agent[J]. Applied Artificial Intelligence, 2001, 15(13):
Chinese Control Conference, 2007, Volume (4):639- 209-235.
642

394
 2008 International Conference on Intelligent Computation Technology and Automation
Model Reference Adaptive Tension Control of Web Packaging Material
Baosheng WANG1, Jianmin ZUO2, Mulan WANG2, Hongyan Hao1
1. School of Material Engineering, Nanjing Institute of Technology, Nanjing 210013, China;
2. Jiangsu Key Laboratory of Advanced Numerical Control Technology, Nanjing 211167, China;
wbaosh@163.com
Abstract
Web tension control in packaging machinery is
crucial to ensure product quality. This paper presents
a mathematical model of tension on base of dynamic
analysis for the typical transport system, and analyzes
the primary factors which bring tension change.
Because the traditional PI controller is ineffective to
adjust the tension when the radius of the unwinding
roll is getting smaller, a model reference adaptive PI
controller is proposed to improve the system
performance. The reference model is given by a
mathematical formula, and adaptive control laws for
controller parameters are established with gradient
method. The performance of the control system is
tested through computer simulation. The results show
that the dynamic performance and stability of the
system are improved significantly, and tension is
controlled and maintained at an appropriate level.
1. Introduction
Belt winding device used as transport system is an
important component of packaging machinery, such as
sheet cutter, corrugated paper manufacturing line and
flexible package equipments, etc. The performance of
the transport system has an important effect on product
quality and packing efficiency. It depends on the web
tension maintained throughout the supplying process.
When too large or too small tension is provided, plastic
deformation and fracture of packaging material will be
induced, and wrinkle is easy to be formed. If the
tension fluctuates sharply, the packaging material will
deviate. Thus, the packaging quality will be affected,
and characters will not be printed accurately on the
packaging material. To avoid these phenomena, it is
essential that the web tension be controlled and
maintained at an appropriate level if a satisfactory web
quality is to be obtained.
Various studies have addressed the issue of tension
control in web transport system. Two tension control
methods[1], namely the open-loop tension controller
and the close-loop tension controller with a tension
978-0-7695-3357-5/08 $25.00 © 2008 IEEE
DOI 10.1109/ICICTA.2008.281
transducer, are commonly used in industrial
application. The former method involves so-called
torque control techniques. Tension control is easy to be
realized with the method, but it is difficult to ensure
the accuracy of web tension. The latter method
involves the use of feedback control with a transducer
used to measure the tension output. It can provide a
precision control for the web tension, and is widely
applied. During the transport process, radius of the web
is getting smaller. Therefore, rotational inertia of the
web is changing constantly, and the typical PI control
method is ineffective to adjust the web tension[2]. Many
researchers have paid more attention to the problem,
and devote to exploration of new and effective method
for tension control increasingly. K.J.Okada[3] presented
adaptive fuzzy control for web tension control system.
F.Janabi-Sharifi[4] developed a neuron-fuzzy system
for looper tension control. M.Anfbal Valenzuela[5]
developed a sensorless control system using observer
techniques with inertia compensation. In this paper,
model reference adaptive control (MRAC) method is
used to realize the web tension control.
2. Dynamic analysis
Fig.1 shows a typical transport system of packaging
material. The web is wound out of the unwind roll,
through the load cell subsystem with two companion
idle rollers, and then is transported to next packaging
device. The two idle rollers guide the moving web
wrapping around the load cell in a fixed angle during
the processes. Where, v is the transport velocity. R is
the radius of the unwind roll. r is the radius of the
unwind roll core. FT denotes the tension of web
packaging material. M R is the output torque of the
magnetic power brake. M f is the friction torque at the
unwind roller. ω is the unwind angular velocity.
During the unwinding process, according to the
angular momentum theorem of the particle system, the
following equation describing the transport system
395
 load cell maintain the web tension at an appropriate level, M R
idle roller idle roller should be adjusted according to the instantaneous
roll core v FT v radius of unwind roll that can be measured directly
with caliper or gotten by calculation.
r ω
MR tension
Mf unwind transducer
R 3. Model reference adaptive tension control
roll
tension 3.1. Principle of the tension control
magnetic controller
power brake
The element of tension control is shown in fig.2.
Figure 1. A schematic of the web transport system Tension detecting is realized by a tension sensor, and
dynamics can be obtained: the tension signal detected is converted into electronic
d ( Jω )
signal. Then, the signal is converted into digital signal
= FT R − M R − M f (1) by an AD converter and transferred to tension
dt controller. Based on difference between the detected
Where, J is the total moment of inertia of the unwind value and reference, exciting current that will be
roll, and is composed by web packaging material and inputted into magnetic power brake is calculated with a
the core of unwind roll. It can be calculated as: certain method by controller. Therefore, an appropriate
1 1 torque is outputted by the magnetic power brake to
J = JR + Jr = π b ρ ( R 4 − r 4 ) + π b ρ1 r 4
2 2 (2) control the web tension effectively. From this view,
1 1 1 tension control in essence is torque control.
= π b ρ R + π b ( ρ1 − ρ ) r = π b ρ R 4 + J 0
4 4

2 2 2 reference
Where, J R is the inertia of web material. J r represents magnetic output
tension transport
the inertia of unwind roll core. ρ is the density of controller
D/A power
device
－ brake
packaging material. ρ1 is the density of unwind roll
core. b is the width of the material. J 0 is constant A/D tension transducer
calculated with J 0 = πb( ρ1 − ρ )r 4 / 2 .
Figure 2. Elements diagram of tension control system
When material is wound out of the unwind roll, J
and ω are time variables because of getting smaller of
3.2. Control system structure
unwind roll radius. Based on the formula of ω = v / R ,
the following equation can be obtained: Because the radius and inertia of the unwind roll are
dω 1 dv v dR time-variable, effective control is difficult to be
= − (3)
dt R dt R 2 dt provided by the conventional PI control. Adaptive
Because thickness of material is rather small, the control method can be used to identify the model
following assumption can be deduced: structure and system parameters, and adjust the
δvdt = 2πRdR parameters of the controller according to the transient
Then, the change of the radius can be described as state of the system. So, adaptive control is even more
the following formula: effective than conventional PI control to control the
dR δv web tension in a nonlinear and time varying system.
= (4)
The typical structure is shown in fig.3. Based on the
dt 2π R
With the Eqs. (1)-(4), tension can be calculated as: difference between output of the reference model and
1 dω dJ output of the adjustable system, the control system
FT = ( M R + M f + J +ω )
R dt dt reference model ym(t)
MR Mf 1 J dv 3 Jδ (5) r(t) e(t)
= + + ( πbρR2 + 02 ) + ( bρδ − 0 4 )v2
R R 2 R dt 4 2πR yp(t －
If friction torque is ignored, and velocity is adjustable system
)
constant, the tension can be calculated simply with
equation (6). adaptive mechanism
M 3 Jδ
FT = R + ( bρδ − 0 4 )v 2 (6)
R 4 2πR Figure 3. Model reference adaptive control
According to equation (6), M R and R are the main system with parallel structure
factors that affect the web tension. To control and

396
parameters can be adjusted by the adaptive mechanism 1 t
according to established adaptive laws. Therefore, f ( K p , Ti ) =
2 ∫ t0
e2dτ (8)
optimal control effect can be obtained[6].
Where, f ( K p , Ti ) is the system performance index.
MRAC is combined with PI control in this paper
considering practical requirement of the web transport e = M m − M p is the generalized error. K p and Ti are
system. Fig.4 shows the structure of the model proportion coefficient and integral time constant of the
reference adaptive PI control system. M m is the output controller.
of reference model. M p is the torque of adjustable Gradient of the f ( K p , Ti ) can be expressed as:
system. K p and Ti are proportion coefficient and T
integral time constant of the PI controller. Fr and F ⎡ ∂f ∂f ⎤
∇f ( K p , TI ) = ⎢ ⎥
are the referenced tension and the fact output tension ⎢⎣ ∂K p ∂Ti ⎥⎦
respectively. K A and K J are the scale coefficients of On the assumption that gain includes initial value
D/A converter and tension sensor. K v and Tv are and variable value, expression of gain is:
magnification and inertia time constant of the magnetic t ∂e (9)
power brake. e is generalized error. K = K p + ΔK = K
p0 −λ e pdτ p0 k ∫t0 ∂K p

Mm Where, K p 0 is the initial gain. ΔK p is the variable

reference model
e gain. λk is searching step of K p .
adaptive mechanism
－ In the same way, Ti can be described using:
Fr 1 Kv Mp 1 F
Kp + t ∂e
Ti s
KA Tv s + 1
R Ti = Ti 0 − λ i ∫ e dτ
－ t0 ∂Ti
KJ According to e = M m − M p , following equations
Figure 4. Adaptive tension control system can be obtained:
⋅ ∂e ∂M p (10)
K p = −λ k e = λk e
∂K p ∂K p
3.3. Reference model
⋅ ∂e ∂M p (11)
Ti = −λi e = λi e
As an assistant system, reference model is ∂Ti ∂Ti
constructed commonly according to desired output. For Equations (10) and (11) are the adaptive control
the nonlinear relation between torque and tension and laws. Furthermore, according to transfer function of the
the difficulty to be described with transfer function, the adjustable system, the torque M p can be calculated as:
reference model is given by a mathematical formula as
M n+ C K Kv
the following: Mp = (K p + i )K A
3 J δ R s Tv s + 1
M m = Fr R − ( b ρ R δ − 0 3 ) v 2 Thus,
4 2πR
∂M M n+ C
Let C denote the ( 3 bρRδ − J 0δ )v 2 constant. Then,
Kv (12)
=
p
KA
4 2πR 3 ∂K p R Tv s + 1
M m = Fr R − C (7) ∂M p M n+ C 1 Kv (13)
= KA
∂Ti R s Tv s + 1
3.4. Adaptive control laws With the equations (10)~(13), K p and Ti can be
simplified as:
Adaptive control laws are the basis of parameter ⋅ ∂M p M +C Kv
K =λ e =λ e n K (14)
adjustment for the control system, and have important p k
∂K p
k
R
A
Tv s + 1
effects on system performance. When system
⋅ ∂M p M n+ C 1 Kv (15)
parameters are changed slowly, part parameter Ti = λ i e = λi e KA
optimization method can be adopted to adjust the ∂ Ti R s Tv s + 1
parameters of controller. The traditional methods are
gradient method, conjugate gradient method and 4. Simulation results
variable metric method, etc. In this system, gradient
method is used to optimize the controller parameters. In this section, the computer simulation to verify
System performance index are described as the the performance of the control system is executed. In
following: the system, the initial radius of unwind roll is 600mm.

397
Transport velocity is 5m/s. Thickness of packaging
material is 0.05mm. The radius of unwind roll core is
200mm. Width of packaging material is 1000mm.
Magnification and inertia time constant of the
magnetic power brake are 5.0 and 0.02 respectively.
Scale coefficient of tension sensor is 0.1. Proportion
coefficient and integral time constant of the controller
are set 1.01 and 0.021 respectively.
Fig.5 and fig.6 are the simulation results of the
system with Matlab. As shown in fig.5, Compared
with PI control, the presented control method reduces
the overshoot and oscillating amplitude. Also, the
regulation time is decreased, and dynamic
performance is improved significantly. From fig.6,
when the radius of unwind roll is changed obviously,
PI control can not provide an effective control to the
web tension. Therefore, the system becomes unstable.
MRAC controller can adjust the controller parameters
on line according to the transient state of the transport
system. So, the web tension is controlled and
maintained effectively, and the stability of system is
guaranteed.
12
PI
10
A. An dynamic model for the transport system of
web packaging material is developed successfully.
Dynamic analysis is executed and the formula of
tension is deduced. Based on the formula, main factors
that affect tension are obtained and analyzed.
B. To remedy the defection of traditional PI control
on the constant tension control, a control strategy of
MRAC is presented to control and maintain the web
tension at an appropriate level. Simulation results show
that the method is effective to control web tension, and
a satisfactory web quality is obtained.
C. Despite the great amount of work done in this
paper, there are still a lot of things to be taken care of
and significant gains to be achieved, such as
relationship between transmission speed and tension,
tension estimation, compensation of inertia and friction.
6. Acknowledgement
The work is supported by the open foundation of
Jiangsu key laboratory of advanced numerical control
technology (Grant KXJ06121), and also is supported by
the scientific foundation of Nanjing institute of
technology (Grant KXJ07001).

8
MRAC 7. References
Amplitude

6 [1] C.W. Cheng, C.H. Hsiao, C.C. Chuang, and K.C. Chen,
“Observer-Based Tension Feedback Control of Direct Drive
4 Web Transport System”, Proceeding of the 2005 IEEE
International Conference on Mechatronic, Taipei, 2005, PP.
2 745-750.
0
0 0.2 0.4 0.6 0.8 1 [2] Wang chunxiang, Wang yongzhan, Lu hua, et al, “A
Time(s)
Research of the Precise Tension Control System and Control
Figure 5. Step response Precision”, Chinese Journal of Scientific Instrument, 2000,
vol.21, No.4, pp.407-409.
13 13
[3] Kenji Okada, Tetsuzo Sakamoto,“An adaptive fuzzy
12 12 control for web tension control system”, IEEE transaction on
industry applications, 1998, vol.34, No.4, pp.1762-1767.
11 11
[4] F.Janabi-Sharifi, “A neuron-fuzzy system for looper
10 10 tension control in rolling mills”, Control engineering
practice, 2005, vol.13, No.1, pp.1-13.
9 9

[5] M.Anfbal Valenzuela, John Martin Bentley, “Sensorless

8 8
tension control in paper machines”, IEEE transaction on
PI MRAC
7 7
industry applications, 2003, vol.39, No.2, pp.294-304.
2990 2990.5 2991 2990 2990.5 2991

Figure 6. Step response with radius becoming smaller [6] Xie Xinmin, Ding feng, Adaptive control, Tsinghua
publishing house, Beijing, 1999.
5. Conclusions
From the results of this research, the following
conclusions can be drawn.

398
 2008 International Conference on Intelligent Computation Technology and Automation
Research of Optimizing Ignition Control System in Gaseous Fuel Engine
Based on RBF Neural Network
Hongwei Cui
School of Transportation & Automotive Engineering, Shenzhen Polytechnic
E-mail: hongweicui@szpt.edu.cn
Abstract
Ignition timing is crucial to the performance,
efficiency and emissions of a spark ignition engine.
This paper presents a new approach to achieve the
optimizing ignition control in gaseous fuel engine by
using RBF neural network. In order to meet the control
objective, the relationship of ignition angle and
gaseous fuel engine performance is studied. The
learning algorithm of RBF neural network is also
described in this paper. The experimental ignition
angle and the training result of RBF neural network
are compared under various work conditions. Results
show that ignition control system can successfully
fulfill requirements of gaseous fuel engine. Because of
the implementation of optimum ignition system based
on RBF neural network, gaseous fuel engine
performance is greatly improved. The testing results
show that ignition control system established in this
paper is accurate and practical.
1. Introduction
There are many factors that effect optimum ignition
angles of gaseous fuel automotive engine. These
factors include some structural parameters of engines.
In addition, some operating parameters such as engine
speed, engine load, air-fuel ratio and coolant
temperature also greatly influence the ignition timing.
During the ageing and wearing process of the gaseous
fuel engine, these influencing factors will change to a
certain extent. The interaction of these factors will
also appear. Therefore, it is hard to convey these
effects on optimum ignition angles definitely.
Mappings of Ignition angles are often achieved by
making plentiful calibration experiments on gaseous
fuel engine bench. At variant engine speed and load,
optimum ignition angles are acquired through the
interpolation method. Because of the advantage in
processing nonlinear variation and multivariable
system, artificial neural network can be applied to
978-0-7695-3357-5/08 $25.00 © 2008 IEEE
DOI 10.1109/ICICTA.2008.482
solve the problem of optimizing ignition angles in
gaseous fuel engine.
2. The establishment of ignition control
system in gaseous fuel engine
Ignition timing control is usually a closed loop
system. The feedback is the output signal of knocking
sensor which mounted on the gaseous fuel engine.
Ignition angles are determined by a microcontroller
through detecting the knocking signal. The engine
always operates near the verge of knocking. Knocking
combustion usually occurs when the engine operates
with high load. Under partial load or especially light
load with high engine speed, knocking combustion will
not occur when the gaseous fuel is ignited at the
optimum angle. The octane value of gaseous fuel such
as Liquefied Petrochemical Gas is high. The antiknock
quality of LPG is good enough. So this conventional
method can not guarantee the optimum ignition control
under the whole working condition. Another closed
loop control system makes use of the output of
cylinder pressure sensor as a feedback signal. Because
crankshaft position under the maximum explosion
pressure will be affected by combustion cyclical
fluctuations, the control effect will not be satisfying in
practical application.
In order to implement the optimum ignition control
in a LPG engine, a microcontroller is mounted between
the Hall element and the primary coil. The output
signal of Hall-effect sensor goes through a wave-
shaping circuit and get to the microcontroller interface.
This microcontroller directly takes the Hall impulse as
datum reference. The microcontroller continuously
gathers parameters of operating engine load, engine
speed and coolant temperature at the meantime. Based
on the analysis of all the data acquisition, optimal
ignition angles are achieved. This microcontroller
specifically outputs periodical and sequential duty
cycle signal which drives the power transistor. The
power transistor determines the turn-on or turn-off of
399
the ignition primary coil. The optimum control of
ignition is realized based on the above hardware and
software. This system is a set of combination system of
data sample, parameters monitor and data analysis,
which adopt the microcontroller as its core. The
ignition control system of LPG engine is shown in
Figure 1.
Fig.1 The ignition control system of LPG engine
3. Optimizing ignition angles based on RBF
neural network
Ignition timing of gas mixture is crucial to the
performance, efficiency and emissions of a spark
ignition engine. If ignition advance angles are not
appropriate, thermal efficiency and power performance
will decrease. The fuel consumption and emission will
increase correspondingly. Late ignition timing can
deteriorate engine power. Early ignition timing will
increase the exhaust gas of NOx and HC. Therefore it is
valuable to research the optimizing ignition control.
Compared to gasoline fuel, gaseous fuel possesses
specific property. The octane value of LPG is high.
The antiknock quality of LPG is better than that of
gasoline. There are some differences in maximum
combustion pressure, changing rate of pressure,
combustion time etc between gasoline fuel and gaseous
fuel. As a result, the ignition control system of gaseous
fuel engine should be optimized to achieve higher
ignition energy. The engine power and emission should
be improved.
Radial Basis Function is primitively adopted to
design Neural Network by Broomhead and Lowe in
1988. RBF network possesses local quality. It can
simulate the neural network structure of local
adjustment and the overlap of acceptance domain in
human brain. Compared to global approximation
approach of BP network, RBF network possesses
advantages of high learning speed and powerful ability
to approximate functions. RBF network consists of
400
three complete link layers. The first is input layer
composed of signal source nodes. Input layer is
connected to hidden layer through non-linear
transformation. Hidden layer is composed of some
neurons. After linear weighting the output of hidden
layer, the result is considered as the output of the
whole network. The structure of RBF network is
shown in Figure 2.
Fig.2 The structure of RBF network
RBF neural network can be described as follows.
n
f ( X ) = ∑ wiϕ ( X − ci ) (1)
i =1
In formula (1), n is the number of nodes in hidden
is the input. {ci }i =1 is the vector which
n
layer. X = {x j }mj=1
connects input layer to hidden layer. {wi }in=1 is the
weight vector. ϕ (⋅) is the radial basis function. ϕ (⋅)
is often adopted as Gaussian function.
x j − ci
2
ϕi ( x j ) = exp(− ), σ >0 (2)
2σ 2
Mean square deviation of Gaussian function
determines the generalization ability of neural network.
The selection of centre has a great influence on the
approximation ability of network. Essentially, RBF
neural network is adopted to fit a space curved surface
which is needed to be mapped. Centre vector {ci }i =1
n
and weight vector {wi }i =1 are regulated by numbers of
n
radial basis functions. Then mapping function
f ( wi , ϕ ) is finally formed.
Direct computing method is primarily adopted in
learning of RBF neural network. Except randomly
selecting centre, there are many other kinds of
algorithm such as self-organizing learning, supervised
learning and K-means clustering.
For the optimum ignition control, engine speed (n),
engine load (p) and coolant temperature (t) on ignition
angles are the most important influence factors.
Because air-fuel ratio is often controlled near the
stoichiometric value, the influence of air-fuel ratio on
ignition is not considered. There are three nodes in the
input layer of RBF neural network as follows.
x1 = n , x 2 = p , x 3 = t . The output of RBF neural
network is the optimal ignition angle. Fifty groups of
data are acquired via engine bench experiments. Data
distribution of engine speed and engine load is shown
in Figure 3.
Fig.3 Data distribution of engine speed and engine load
4. Learning algorithm of RBF neural
network
Hybrid learning algorithm is adopted in RBF neural
network. K-means clustering method is used in hidden
layer. The linear optimizing strategy is used in output
layer. K-means clustering algorithm is described as
follows.
(1) Initializing the centre of
c i (0), i = 1,2, " , n . Learning speed rate is β , 0 < β < 1 ,
which is often randomly selected.
(2) Computing the Euclidean distance and determining
the node of minimum distance.
d i (k ) = X (k ) − c i (k − 1) , i = 1,2, " ,n
d min (k ) = min d i (k ) = d r (t )
(3) Revising the centre.
ci (k ) = ci (k − 1) , 1 ≤ i ≤ n, i ≠ r
cr (k ) = cr (k − 1) + β (k )[ X (k ) − cr (k − 1)]
(4) Recalculating the distance of
d r (k ) = X (k ) − cr (k )
Practical computational process is described as follows.
The input is x1 = 0.15 , x2 = 0.51 , x3 = 0.8 .
The corresponding speed, load and temperature are as
follows.
n =1500rpm, p =51Kpa, t =80℃, β = 0.6 .
β is the speed rate of learning. Original centre value is
selected as follows.
c11 (0) = 0.89 , c12 (0) = 0.76 , c13 (0) = 0.45 ,
c21 (0) = 0.02 , c22 (0) = 0.82 , c23 (0) = 0.44 ,
c 31 (0) = 0.62 , c 32 (0) = 0.79 , c33 (0) = 0.92 .
The Euclidean distance is computed.
d1 = [ x1 − c11 (0)]2 + [ x 2 − c12 (0)] 2 + [ x3 − c13 (0)]2 = 0.86
d 2 = [ x1 − c 21 (0)]2 + [ x 2 − c 22 (0)]2 + [ x3 − c 23 (0)]2 = 0.49
d 3 = [ x1 − c31 (0)] 2 + [ x 2 − c32 (0)] 2 + [ x3 − c33 (0)] 2 = 0.56
d 1 > d 3 > d 2 , r = 2.
The centre of RBF is revised.
c11 (1) = c11 (0) , c12 (1) = c12 (0) , c13 (1) = c13 (0),
c 31 (1) = c 31 (0) , c 32 (1) = c 32 (0) , c 33 (1) = c 33 (0).
c21 (1) = c21 (0) + β ⋅ [ x1 − c21 (0)] = 0.098
c 22 (1) = c 22 (0) + β ⋅ [ x2 − c 22 (0)] = 1.006
c 23 (1) = c 23 (0) + β ⋅ [ x3 − c23 (0)] = 0.656
d 2 = (0.15 − 0.098) 2 + (0.51 − 1.006) 2 + (0.8 − 0.656) 2 = 0.52
Error correcting algorithm is adopted to learn the linear
weight wi in the output layer. The training procedure
of LMS algorithm is described as follows.
(1) Initializing the weight w(0) .
(2) Computing the error and minimizing performance
index under the k group input.
n
1 1
E k ( w) = [d ( k ) − ∑ wi ( k )ϕ ( X − ci )] 2 = e 2 (k ) (7)
2 i =1 2
n
1 1
J ( w) = ∑ [d (k ) − ∑ wi ( k )ϕ ( X − c i )] 2 = ∑ e 2 (k ) (8)
clustering. 2 k i =1 2 k
Gradient algorithm is used as follows.
∂E k ( w) ∂E k ∂ϕ (9)
∇E k / w = =
∂w(k ) ∂ϕ ∂w
∂E ( w)
w( k + 1) = w( k ) + η k = w( k ) + ηe( k )ϕ ( k ) (10)
(3) ∂w( k )
(4) η is the training gain.
(3) J ( w) = ∑ E k ( w) ≤ ε . If the condition is satisfied, the
(5) k
(6) training is finished. Otherwise, go back to step (2).
nodes.
5. The result of optimizing ignition angle
Fifty input samples are trained by RBF neural
network. The result of optimizing ignition angle is
shown in Figure 4. From this figure, it can be seen that
optimal ignition angles are expressed as mapping
relations of LPG engine speed, engine load and coolant
temperature. It is due to the learning function and
highly nonlinear mapping ability of RBF neural
401
network. Optimal ignition angles can be acquired
during the whole work condition of LPG engine.
During the ageing and wearing process of LPG engine,
optimal ignition angles can also be acquired by
retraining the RBF neural network. The LPG engine
performance is greatly improved. In order to verify the
accuracy of ignition angles acquired by the training of
RBF neural network, experimental optimum ignition
angles under the engine speed of 1800 rpm are
compared with optimal ignition angles acquired by
RBF neural network. The deviation curve is shown in
Figure 5. The comparing result shows that the
deviation is tiny. At the 80 percent of engine load, the
training result of RBF neural network is the same as
experimental ignition angle. The deviation is also tiny
at other engine loads. These experimental results
indicate the distinct advantage of RBF neural network
in solving the optimizing ignition problem. Optimum
ignition angles acquired by RBF neural network are
accurate and reliable.
Fig.4 The result of optimizing ignition angle
Fig.5 Deviation curve
Experimental results also show the great influence
of ignition timing on the performance of LPG engine.
402
When changing the ignition angle, the output torque is
tested and compared under the engine speed of
2000rpm. Experimental results are shown in Figure 6.
As a result, higher torque of LPG engine can be
achieved at the optimum ignition angle. At the same
time, the emission performance is also improved.
Fig.6 Torque output ( 2000 rpm engine speed)
6. Conclusions
Based on RBF neural network, the optimizing
ignition problem of LPG engine is studied in this
paper. Optimal ignition angles are acquired through
fifty training samples by using K-means clustering
method and LMS algorithm. By comparing
experimental ignition angles and training ignition
angles, the effect of RBF neural network adopted in
ignition control is demonstrated. Test of a spark-
ignition LPG engine is performed. Higher torque of
LPG engine can be achieved at the optimum ignition
angle. Meanwhile, the emission performance and fuel
economy maintain good status. The result shows that
this method presented in this paper is accurate and
practical.
7. Acknowledgment
This work is partially supported by Shenzhen
Scientific Project Fund. The project number is
05KJS015.
8. References
[1] M Hafner, M.Schuler, O.Nelles, R.Isermann, “Fast neural
networks for diesel engine control design”, Control
Engineering Practice, 2000, pp. 1211-1221.

[2] Qian Yueyi, Electronic Control System in Automobile

Engine, Mechanical Industry Press, Beijing, 1999.

[3] Yousefi G R, “An application of artificial neural networks

in power system load modeling”, Power Engineering Society
General Meeting, San Francisco, California USA, 2005,
1(17), pp.308-313.

[4] Wang J S,Chen Y P, “A fully automated recurrent neural

network for unknown dynamic system identification and
control”, Circuits and Systems, IEEE Trans on Neural
Networks, 2006,53 (7), pp.1363-1372.

403
 2008 International Conference on Intelligent Computation Technology and Automation

Output Feedback Adaptive Control of Uncertainty Robot Using Observer

Backstepping

Jianxian Cai, Xiaogang Ruan, Xinyuan Li

Beijing University of Technology Electronic Information and Control Engineering，
Institute of Artificial Intelligence and Robotics
cjxlaq@163.com

Abstract arm system. The simulation results demonstrate that

the control scheme is feasible.
This paper presents an observer-based adaptive
control scheme for robot system, for which we have 2. Robot system description
both unmeasured velocity and uncertain parameters.
Using the observer backstepping method, an adaptive n-joint rigid robotic system’s dynamic equation
velocity observer can be designed independently from can be expressed as:
the state-feedback controller. Furthermore we use M (q )q + C(q, q )q + G (q ) = τ (1)
integral action to compensate the estimation error
terms, as they were disturbances, which can ensure the where the vector q is the n × 1 joint angle, the
convergence of the tracking error to zero. Furthermore vector q is the n × 1 joint angular velocity, the vector
a simulated example shows the performance of the q is the n × 1 joint angular acceleration, M (q ) is the
control scheme applied to a two-link manipulator.
n × n symmetric positive definite inertia matrix,
1. Introduction C(q, q )q is the n × 1 vector of Coriolis and
centrifugal forces matrix, G (q ) is the
Recent years have brought forward many control
n × 1 gravitational vector, τ is the n × 1 vector of joint
methods [1] for output feedback control system. The
actuator torques.
characteristic of output feedback system is that the
nonlinearity relies on the measured output, and there Character 1: The inertia matrix M (q ) is uniformly
isn’t coupling between the unmeasured statuses with bounded, and satisfies:
unknown parameters. The robot system [2] is a typical M min (q ) ≤ M (q ) ≤ M 0 (q ) ∀q ∈ R n×1
nonlinearity and uncertain system. The nonlinearity of
Character 2: Coriolis and centrifugal forces matrix
robot system doesn’t rely on the unmeasured velocity,
and there is strong coupling effect between velocity C(q, q ) satisfy the interchangeability, namely
and unknown Inertial Parameter. Therefore robot C(q, q 1 )q 2 = C(q, q 2 )q 1
system can’t be written the form of output feedback Character 3: Coriolis and centrifugal forces
control system as above and corresponding can’t adopt
the control methods as above. matrix C(q, q ) satisfy:
Aiming at these problems, this paper adopts C(q, q ) < C max q
backstepping method [3-5] to design an adaptive
observer. The adaptive observer can be designed where C max is nonnegative definite.
independent of state feedback controller. The concrete Character 4: the selected coordinate parameters
ideas is that backstepping method is used to the errors
dynamic equation M  (q) − 2C(q, q ) is Skew-
between desired speed and observed speed, and then
designed the adaptive observer. Otherwise there is an symmetric matrix, namely
integral term was introduced to compensate the  (q) − 2C(q, q )) x = 0
x T (M
observed errors which regarded as disturbance, which
where x ∈ R .
n
will grantee the output tracking errors of system.
Finally the control method was used to two-joint robot

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DOI 10.1109/ICICTA.2008.315
 Character 5: z 1 = z 2 + α 1 + ~
x 1 − q d (9)

M (q )ψ + C(q, ξ )ξ + G (q ) = Select the stable function α1 as follow:

ϕ 0 (q, ξ ,ψ ) + ϕ (q, ξ ,ψ )θ α 1 = −C1 z 1 − D1 M 1 + q d (10)

where C1 is strictly positive definite continuous
where ξ ,ψ ∈ R , θ ∈ R
n p
is uncertain parameter feedback matrix.
vector.
D1 is defined as :
Hypotheses: Angle velocities satisfy
q ( t ) ≤ ω max . D1 = diag[d 1 ,..., d n ] (11)

Define the status vector as follow: where d i > 0(i = 1,..., n ) ;

t
⎛ x ⎞ ⎛ q ⎞ M 1 is defined as : M 1 = ∫ z 1 (τ )dτ ;
x = ⎜⎜ 1 ⎟⎟ = ⎜⎜ ⎟⎟ (2) 0
⎝x2 ⎠ ⎝q⎠ The purpose of introducing − D1 M 1 is
Then the dynamic equation(1)can be written:
compensate the observe error of ~
x1 .
x 1 = M −1 ( x 2 )(τ − C( x 2 , x 1 ) − G ( x 2 )) (3) Inserting formula (10) in formula (9):
x 2 = x 1 (4) z 1 = −C1 z1 − D1M 1 + z 2 + ~
x1 (12)
So formula (9) can be rewritten as:
3. Adaptive controller based on z 2 = x̂ 1 − α1(13)
backstepping The formula (13) can be processed as follow by
using formula (5) and (10) and (12):
This paper designs the adaptive observer to estimate
velocity and uncertain parameters. The equation of z 2 = −(C12 − D1 )z1 + C1 (z 2 + ~
x 1 ) − C1 D 1 M 1
observe choose a form as follow:
− q d + M̂ (q) −1 (τ − Ĉ(q, x̂ 1 ) − Ĝ (q)) (14)
x̂ 1 = ψ (q, x̂ 1 ,τ , θˆ) + K~
x1 (5) Select the control law as:
ψ (q, x̂ 1 ,τ ,θˆ) = M̂ (q) −1 (τ − Ĉ(q, x̂ 1 ) x̂ 1 − Ĝ (q)) τ = −M̂(q)[−(C12 − D1 )z1 + C1 z 2 − q d
where x̂ 1 is estimating velocity; ~ x 1 = x 1 − x̂ 1 is + C1 D 1 M 1 + C 2 z 2 + D 2 M 2 + z 1 ]
the observe errors; K > 0 is an angle gain matrix.
The Parameter Estimation of above equation adopts
+ Ĉ(q, x̂ 1 ) x̂ 1 + Ĝ (q ) (15)
adaptive law: Inserting control law in formula(14), the result is:
 z 2 = −C 2 z 2 − D 2 M 2 − z1 + β~x1 (16)
θˆ = −Γϕ T (q, x̂ 1 ,ψ )~x 1 (6)
Definite D2 as follow:
where ϕ T (q, x̂ 1 ,ψ ) is a regressor which is
D 2 = diag[d n +1ω1T ω1 ,..., d 2 n ω nT ω n ] (17)
determined by character five; Γ > 0 is an angle gain
where β = [ω1 ,..., ω n ] , d i > 0(i = n + 1,...,2n ) .
T
matrix.
Defined the first error variable: z1 =q−qd, then: The error dynamical equation can be attained from
formula (12) and(16):
z 1 = x 1 − q d (7)
z = −(C z + E)z − D z M + W~ x 1 (18)
The main thought of backstepping method is to
select one status variable to realize the actual control, ⎡z ⎤ ⎡C 0⎤
the paper then select: Where z = ⎢ 1⎥ , Cz = ⎢ 1 ⎥ ,
⎣z 2 ⎦ ⎣ 0 C2 ⎦
ξ1 = x̂ 1 = z 2 + α 1 (8)
where z 2 is the second error variable; α 1 is a
⎡ 0 1⎤ ⎡ D1 0⎤ ⎡I⎤
E=⎢ ⎥ , Dz = ⎢ ⎥ , W = ⎢ ⎥.
stable function. ⎣ − 1 0⎦ ⎣0 D2 ⎦ ⎣β ⎦
The above method is the best to realize the actual Theorem ： the closed loop system is gradually
control which can be proved. stable when select the control law as (15) for error
The following result can be attained from formula dynamical equation(18).
(7)and formula(8): Proof: select Lyapunov function as:

405
 ~ ~ ~
V ( z, ~
x 1 , θ ) = 0.5(z T z + ~
x 1T M (q )~
x 1 ) + θ T Γ −1θ ) The following result can be attained use formula
(11) and (12):
(19)
Above formula derivative with respect to time: − z T D z z + z T W~
x 1 − 0.25~
x 1T P~
x1
 = z T z + ~ ~ ~
x 1T M (q )~
x 1 + θ T Γ −1θ 3
1 ~ T ~ 1
= −∑ [d i (~zi −
V
x 1 ) ( zi − ) + d i+3
Subtracting formula (3) and (5): i =1 2d i 2d i
x 1 = −C(q, x 1 ) x 1 + C(q, x̂ 1 ) x̂ 1
M (q ) ~ 1 ~ T ~ 1 ~
− M(q)K~x1 − γ (20)
(~zi +3ω i +3 − x 1 ) ( z i + 3ω i + 3 − x1 ) < 0
2d i + 3 2d i + 3
where (26)
γ = (M(q )ψ + C(q, x̂ 1 ) x̂ 1 + G (q)) Then formula (25) can be rewritten as:
− (M̂ (q )ψ + Ĉ(q, x̂ 1 ) x̂ 1 + Ĝ (q ))
(21) V ≤ −z T C z + z T D (z − M ) − ~ x 1T (M (q)
z z
Above formula (21) can be rewritten by using + C( q , x 1 ) − C( q , ~
x1 ) − 0.25P)~ x1 (27)
character 5:
Definition: σ = λ min ( KM (q ) + M (q ) K ) 2
γ = ϕ 0 (q, x̂ 1 ,ψ ) + ϕ (q, x̂ 1 ,ψ )θ − ϕ (q, x̂ 1 ,ψ Using character 1, 3and hypotheses, attain the
~
− ϕ (q, x̂ 1 ,ψ )θˆ = ϕ (q, x̂ 1 ,ψ )θ (22) following result:
Inserting formula (21) in formula (19):  ≤ − z T C z + z T D (z − M) − (σ
V z z
x 1 = −C(q, x 1 ) x 1 + C(q, x̂ 1 ) x̂ 1
M (q ) ~ −C ω −C ~ x − 0.25P) ~ x
2
M max M 1 1
~
− M (q )K~x 1 − ϕ (q, x̂ 1 ,ψ )θ (23) Continue settle above formula:
 ≤ − z T C z + z T D z t (0.5z − 1)dτ
z ∫
Inserting formula (6), (18) and (23) in above
formula, attain: V z 0
 = z T [−(C + E)z − D M + W~
V x1 ] − (σ − C M ω max − C M ~
x 1 − 0.25P) ~
2
z z x1
+~x 1 [−C(q, x 1 ) x 1 + C(q, x̂ 1 ) x̂ 11
T
t
~ Because lim ∫ (0.5z − 1)dτ < 0 , so when the
− M (q )K~x 1 − ϕ (q, x̂ 1 ,ψ )θ ] (24) t →∞ 0

~ following formula establish

+ 0.5~xTM (q ) ~
x − θ Tϕ T (q, x̂ ,ψ )~
1 1 1 x σ > C Mω max + C M ~x 1 + 0.25P (28)
Use character 2 to settle the second term of above
formula: The result V  ≤0 attain, so the system is
~
x 1T [−C(q, x 1 ) x 1 + C(q, x̂ 1 ) x̂ 1 − M (q )K~
x1 asymptotically stable.
~
− ϕ (q, x̂ 1 ,ψ )θ ] 4. Simulation results
= −[~
x 1T C(q, x 1 )~
x1 − ~ x 1T C(q, ~
x 1 )~
x1
Comprehensive simulation studies have been
+ x 1 C(q, x 1 ) x 1 ] − x 1 M(q)K~
~ T ~ ~ T
x1 carried out using a two-link robot manipulator to
~T ~ identify this approach.
− θ ϕ (q, x̂ 1 ,ψ ) x 1 M (q )q + C(q, q )q + G (q ) = τ
Inserting above formula in formula(24)and using
⎛ m 2 l 22 + 2m 2 l1 l 2 cos(q 2 ) + (m 1 + m 2 )l12 , ⎞
character 4, the formula (24) can be settled as: ⎜ ⎟
 = − z T C z − z T D M + z T W~ ⎜ m l 2 + m 2 l1l 2 cos(q 2 ); ⎟
V z z x1 M( q ) = ⎜ 2 2 ⎟
m 2 l 22 + m 2 l1 l 2 cos(q 2 ),
⎜ ⎟
−~x 1T [M (q)K + C(q, x 1 ) − C(q, ~
x 1 )]~
x1 ⎜ ⎟
⎝ m 2 l 22 ⎠
= −z T C z z − z T D z M + z T D z z − z T D z z ⎛ − 2m 2 l1l 2 sin(q 2 )q 2 , ⎞
⎜ ⎟
+ z T W~ x 1 − 0.25~
x 1T P~
x1 − ~
x 1T [M (q )K − m 2 l1l 2 sin(q 2 )q 2 ;
C( q ) = ⎜ ⎟
+ C ( q , x ) − C( q , ~
x ) − 0.25P]~ x ⎜ m 2 l1l 2 sin(q 2 )q 1 , ⎟
⎜ ⎟
1 1 1
(25)
⎝ 0 ⎠

406
 ⎛ m 2 l 2 g cos(q 1 + q 2 ) ⎞
⎜ ⎟
G (q ) = ⎜ + (m1 + m 2 )l1g cos(q 1 ) ⎟
⎜ m l g cos(q + q ) ⎟
⎝ 2 2 1 2 ⎠
Fig. 1 Two-link manipulator model
The dynamic equation and the parameters of the
manipulator choose as:
m1 = 1[Kg], m 2 = 1.5[Kg], l1 = 1[m], l 2 = 1[m]
The observer parameters and initial condition setting
as:
K = 5I , Γ = 0.1, α = 2 , d i = 1(i = 1,...,4)
C1 = 2I , C 2 = 2I , q(0) = (0,0)[rad]
q (0) = (0,0)[rad s] , x̂ 1 (0) = (1,1)[rad s]
This paper suppose m 2 is an unknown parameters,
the robot is controlled to track a circular diameter of
0.5 meters, and the most programming velocity of
−1
circle is 0.62m ⋅ s , the simulation result as
Fig.2,Fig.3 and Fig.4.
Fig.2 The first haulm velocity error curve
Fig.3 The second haulm velocity error curve
407
Fig.4 Parameter estimation error curve
5. Conclusion
This paper presents an observer-based adaptive
control scheme for robot system, for which we have
both unmeasured velocity and uncertain parameters.
Backstepping Using the observer backstepping
method, an adaptive velocity observer can be designed
independently from the state-feedback controller, and
introduce integral item to compensate observer error.
The closed loop system of robot is proved
asymptotically stable by using Lyapunov stability
theory. In the end the simulation indicate using the
control method designed in the paper robot system still
has good control performance when being noise or the
control signal is small.
6. References
[1] M. Krstic, I. Kanellakopoulos, and P. Kokotovic:
Nonlinear and Adaptive Control Design. Wiley, 1995, pp.
223-228.
[2] R. Johansson: Adaptive Control of Robot Manipulator
Motion. IEEE Transactions on Robotics and Automation,
Vol. 6, No. 4, August 1990, pp.366-380.
[3] T. I. Fossen, A. Gravlen. Nonlinear Output Feedback
Control of Dynamically Positioned Ships Using Vectorial
Observer Backstepping. IEEE Transactions on Control
Systems Technology, Vol. 6, No. 1, January 1998, pp.354-
368.
[4] Jen-te Yu, Jie Chang. A New Adaptive Backstepping
Control Algorithm for Motion Control System. IEEE
Rockwell Scientific, Vol. 6, No.3, 1999, pp.154-168.
[5] S. Y. Lim, D. M. Dawson, K, Anderson: Re-Examining
the Nicosia-Tomei Robot Observer-Controller from a
Backstepping Perspective. IEEE Transactions on Robotics
and Automation, Vol. 4, No. 3, May 1996,pp.234-249.
[6] Jung-Shan Lin, Ioannis Kanellakopoulos. Nonlinearities
Enhance Parameter Convergence in Strict-Feedback System.
IEEE Transactions on Automatic Control, Vol. 43, No. 9,
Sep. 1998,pp.178-189.

[7] Ling Y, Tao G. Adaptive Backstepping control design

for linear multivariable plants[A]. Proc of the 35th CDC[C]
Kobe. 1996, pp. 438- 443.

[8] Zhang Y, P A Ioannou. Nonlinear control design for

linear time varying systems[A]. Proc of the35th CDC[C]
Kobe.1996, pp.3353- 3358.

[9] Zhang Y, P A Ioannou. Linear robust adaptive control

design using a nonlinear approach[A]. Proc of the 13th
Triennial World Congress, IFAC[C].San Francisco
.1996, pp.223-228.

408
 2008 International Conference on Intelligent Computation Technology and Automation
Parameter Space Approach for Active Fault Tolerant Control Design
Yuan Bo1，Yang Jun2
1． College of Automatic, Northwestern Polytechnical University, Xi'an 710072，China
2． College of Astronautics, Northwestern Polytechnical University, Xi'an 710072，China
E-mail：ybstrong@126.com
Abstract
Fault tolerant control is one of the developments
direct of control theory, contrasting with traditional
control system, which hasn’t mature design method.
Parameter space approach is used to design the fault
tolerant control system in the paper. With these work,
it is attempted to find the relationship between fault
modes, control performance demands, controller
performance and fault diagnosis algorithm.
1. Introduction
Since the centrifugal adjustor for controlling steam
engine were designed by James Watt in 18th century,
control theory has experienced many important
development, such as single-state to multi-state, certain
system to uncertain system and so on. Nowadays,
many new important ideas are given, and fault tolerant
control is among them. The sign of fault tolerant
control is the concept of integral control given by
Niederlinski in 1971, and one of the first articles about
fault tolerant control is the article on reliable
stabilization written by Siljak in 1980.
The method of fault tolerant control can be divided
into two types: passive fault tolerant control and active
fault tolerant control. The passive fault tolerant control
is to realize insensitive to fault by the robust of control
system, and the active fault tolerant control is to adjust
controller structure or parameter according to the result
of fault detection and diagnosis.
The traditional control system has mature design
method, but for the fault tolerant control system,
especially for the active fault tolerant control, the
design method needs further research. Considering the
design sequence and relationship of fault modes,
control performance demand, controller performance
and fault diagnosis algorithm, a design method is given
in the paper. The elementary idea is given as follows:
978-0-7695-3357-5/08 $25.00 © 2008 IEEE
DOI 10.1109/ICICTA.2008.99
1) To confirm the fault modes and the performance
demands of the control system, not only for the control
system without fault, but also for the control system
with faults
2) According to the performance demands of fault
modes, to design a series of common controller with
the parameter space method. So-called common
controller is the controller which can satisfy
performance demands of several different modes
3) According to the results of controller design, the
conclusion of adopting the active fault tolerant control
system or the passive fault tolerant control system can
be drawn. The passive fault tolerant control system can
be adopted when a common controller can satisfy the
performance demands of all the modes; otherwise, it
needs to adopt the active fault tolerant control system.
And the demands of fault detection and diagnosis
algorithm can be given with the results of controller
design.
2. Well/Fault modes modeling
The state space realization of the general control
object is assumed to be
⎧ x = Ax + Bu
⎨ (1)
⎩ y = Cx
where， x = [ x1 x2 ]T ，
⎡ −0.49 1 ⎤
A=⎢ ⎥
⎣ 1.93 −0.11⎦ ，
⎡1 0 ⎤
C=⎢ ⎥
⎣0 1 ⎦
Assume that faults only affect matrix B, which is
given as follows:
1) Well mode
409
 ⎡ 0 ⎤ Before designing the controller with the method of
B1 = ⎢ ⎥ parameter space, the basal concept and theorem of
⎣ −1.29 ⎦ parameter space are given as follows:
2) Fault mode 1 1) Definition of Γ -stability
⎡ 0 ⎤ The anticipant characteristic of controller dynamics
B2 = ⎢ ⎥ can be obtained with the Γ -area of eigenvalue plane.
⎣ −0.95⎦ And the Γ -area can be the left-half opening plane
3) Fault mode 2 (stability of continuous system) , the circle inside with
⎡ 0 ⎤ the centre of (0, 0) and radius of ωn (the max
B3 = ⎢ ⎥
⎣ −0.56 ⎦
bandwidth of continuous system) or the left-half
opening plane of parallel of imaginary number axis(the
That is to say, the model with well/fault modes minimum regulative time ), and so on.
considered appears the characteristic of multi-model, When the eigenvalue of control system is in the Γ -
which can be described as follows:
area, the system is called well in stability ( Γ -stability).
⎧ x = Ax + Biu Figure 1and figure 2 gives the example of Γ -stability
⎨ (2)
⎩ y = Cx
area.
+j
Where, i = 1, 2,3
The controller adopts the structure of state feedback,
given as follows:
u = Kx (3)
K = [ k1 k2 ]
T
O +1

3. Performance demands and controller

design

3.1. Performance demands

Figure 1. The Γ -stability area
According to the damp ratio ζ and natural (The part of shadow)

frequency ωn , performance demands of controller are

given as follows:
0.6 ≤ ζ ≤ 1
s
1.8 ≤ ωn ≤ 2.6

3.2. Controller design O

Nowadays, two kinds of method to solve the
problem of robust controller design has appeared. One
of them is the robust control theory based on the theory
of arithmetic operators and the theory of H ∞ , which is
good at solving the problem of analysis and synthesis
to the system with un-modeling dynamics. And the Figure 2. The Γ -stability area of second-order system
other method is the robust control theory based on the (The part of shadow)
theory of parameter space method and the theory of 2) Theorem of pole-placement
pole-placement, which is good at solving the problem With the polynomial given as follows:
of parameter uncertainty with boundary and analysis P(λ ) = P0 + P1λ + " + Pn −1λ n −1 + λ n = ⎡⎣ PT 1⎤⎦ λ
and synthesis of multi-model. When the control system
T
has faults, it will appear the characteristic of multi- where, λ = ⎡⎣1 λ " λ n ⎤⎦
model.

410
 There exists a matrix A with n × n and a vector b ratio , and ζ max is the upper limit upper limit of damp
with n × 1 , which satisfied the equations given as ratio.
follows:
k1 and k2 form a K-space (it’s a plane). And with
det R ≠ 0 ，
computer used, the parameter area with Γ -stability
R = ⎡⎣b, Ab," , An −1b ⎤⎦ can be painted expediently.
According to the method given above, the sector
det(λ I − A + bK ) = ⎡⎣ P
T T
1⎤⎦ λ described by the performance demand given in chapter
and the exclusive solution is 3.1 can be divided with grid method, and each ( ωi ，
⎡ eT ⎤ ξi ) of points of intersection can obtain corresponding
⎢ T ⎥
e A⎥
1⎤⎦ E ， E = ⎢
parameter space of all modes with theorem of pole-
K T = ⎡⎣ PT
⎢ " ⎥ placement, see in figure 3 to figure 5.
⎢ T T⎥
⎣e A ⎦
T −1
Where e is the last row of R .
Then the parameter space computer aid design
method of second-order system is briefly introduced as
follows.
The system is described by
⎡ 0 1 ⎤ ⎡0⎤
x = ⎢ ⎥ x+ ⎢ ⎥u (4)
⎣ −a0 −a1 ⎦ ⎣b0 ⎦
Assume the polynomial of above system to
be p (λ ) = p0 + p1λ + λ 2 , so P = [ p0 p1 ] .
According to the theorem of pole-placement given Figure 3. The parameter space of well mode
above, the feedback gain is
T
⎡1 1 ⎤
K = ⎢ ( p0 − a0 )
T
( p1 − a1 ) ⎥ (5)
⎣ 0
b b0 ⎦
According to the demand of Γ -stability, the
parameter P = [ p0 p1 ] of anticipant pole
polynomial must satisfy a group of restriction
⎧ ωn2min − a0
⎪ k1 ≥
⎪ b0
⎪ ω 2 − a0
⎪ k1 ≤ n max
⎪ b0
⎨ (6) Figure 4. The parameter space of fault mode 1
⎪ k ≥ 2ζ min b0 k1 + a0 − a1
⎪ 2 b0
⎪
⎪ 2ζ max b0 k1 + a0 − a1
⎪k2 ≤
⎩ b0
Where, ωn min is the lower limit of natural
frequency, and ωn max is the upper limit upper limit of
natural frequency. ζ min is the lower limit of damp

411

Figure 5. The parameter space of fault mode 2
The parameter space of common controller can be
obtained by painting the parameter space of all modes
in one K plane, see in figure 6.
Figure 6. The parameter space of common controller
In figure 6, the blue is parameter space of well
mode, the red is parameter space of fault mode 1, and
the black is parameter space of fault mode 2.
From the figure 6, we can know that there be a part
of overlap between parameter space of well mode and
parameter space of fault mode 1, so it can be concluded
that there be an common controller between well mode
and fault mode 1, but there be not an common
controller between well mode and fault mode 2.
Therefore, it needs to design two kinds of controller,
and the corresponding gain given as follows according
to the result of figure 6.
K = [ −2 −4]
T
Gain of well mode/fault mode 1:
K = [ −5 −8]
T
Gain of fault mode 2:
412
4. Performance demands confirmation of
fault diagnosis algorithm
With the result of controller design, it can be known
that there is not a common controller for the
performance demands of all modes, so the conclusion
of adopting active fault tolerant control can be drawn.
That is to say, the fault diagnosis algorithm is required.
And according to the result that there be an
common controller between well mode and fault mode
1, without an common controller between well mode
and fault mode 2, the sensitivity performance demand
of fault diagnosis algorithm can be confirmed that the
fault diagnosis algorithm needs to be sensitive to the
fault mode 2, meanwhile, it needs not to be sensitive to
the fault mode 1.
To this step above, all the work, including
performance demands, controller design, the scheme
choice of active/passive fault tolerant control and main
performance demands confirmation of fault diagnosis
algorithm, are accomplished.
5. Conclusion
With the reference of traditional controller design
method, parameter space method of active fault
tolerant control system is adopted to attempt to find the
relationship between fault modes, performance
demands , controller performance and performance
demand of fault diagnosis algorithm. And it is wished
to be helpful to the research work of active fault
tolerant control system design.
[1] Patton, R., Frank, P., and Clark, R., “Fault Diagnosis in
Dynamic System-Theory and Application ” , NewYork:
Prentice Hall, 1989.
[2] Graham R. Drozeski, Bhaskar Saha, George J.
Vachtsevanos, “A Fault Detection and Reconfigurable
Control Architecture for Unmanned Aerial Vehicles”,
IEEEAC paper, Version 4, 2004.11.14.
[3] Takeharu Kameyama, Yoshimasa Ochi, “Design of a
Failure Tolerant Flight Control System with Unscented
Kalman Filter”, AIAA Guidance, Navigation and Control
Conference and Exhibit, 2005.8.15-8.18.
[4] Alvaro P Oliva, “Flight Control Reconfiguration
Following Sensor Failure”, AIAA Guidance, Navigation and
Control Conference and Exhibit, 2001.8.6-8.9.
[5] Ye Y, “Fault-tolerant pole assignment for multivariable
system using a fixed state feedback”, Control Theory and
Application(in Chinese)，1993,10(2), pp. 212-218.
 2008 International Conference on Intelligent Computation Technology and Automation
Pole-placement for Generalized Systems Simultaneous Stabilization
Jing Ma1, Zhiwei Gao2
1
Control Science and Engineering School of Jinan University, China.
E-mail: majingjn@126.com
2
Electrical Engineering and Automation School of Tianjin University, China.
E-mail: cse_maj@ujn.edu.cn
Abstract
Basis on stable fractional theory and state-space
realization of generalized systems, the pole-placement
problem are analyzed in a single generalized system
stabilization at first. Then, parameterization of all
simultaneous stabilizing controllers for a set of
generalized plants has been proposed in term of stable
inverses and stable null spaces, which is shown to have
a structure similar to the controller parameterized
results for a single generalized plant. Finally the pole-
placement problem for simultaneous stabilization of
generalized systems is proposed, which is an extension
of result that the pole-placement problem for a single
generalized system stabilization. At last a case study
shows the method is right and effective.
1. Introduction
Pole-placement plays an important role in linear
control system. It has been used to construct the
asymptotic stability and optimize the dynamic
performance of system. Thus the pole-placement for
generalized system simultaneous stabilization is
discussed indispensably. Stable factorization theory is
an effect method in study the many variables control
system, which has been widely used in simultaneous
stabilization and robust stabilization for ordinary
system, for example reference [1,2,3]. In generalized
system, stable factorization theory has also been
studied thoroughly in reference [4-8]. However, the
simultaneous stabilization problem and pole-placement
problem of generalized system is not studied enough
for complex. In the paper, stable factorization theory
and state-space realization have been used to analyze
pole-placement for single generalized system
stabilization. Then, a class of controller simultaneously
stabilizing generalized systems is proposed and
accordingly pole-placement is discussed in the
simultaneous stabilizing generalized systems.
978-0-7695-3357-5/08 $25.00 © 2008 IEEE 413
DOI 10.1109/ICICTA.2008.121
2. Preliminaries
Consider the following linear time-in-variant
generalized system P:
⎧ Ex = Ax + Bu
⎨ (2.1)
⎩ y = Cx + Du
The transfer function matrix of (2.1) is denoted by
P( s ) = C ( sE − A) −1 B + D , or
⎡ sE − A B ⎤
⎢ ⎥, (2.2)
⎣ C D⎦
Where the state is x ∈ R n ， the input is u ∈ R m , and
the output y ∈ R p ， the matrix E may be singular with
rankE < n . To guarantee that system (2.1) has a
unique solution, we assume that it is regular, i.e.,
det( sE − A) −1 ≠ 0, s∃C . In addition, it is necessary for
us to assume the system (2.1) to be properly
stabilizable and properly detectable in this paper for
application significance.
Some notations are first given for discussion later:
S, class of proper stable rational functions.
μ (S ) , set of proper stable rational matrices with
arbitrary sizes.
Rm×r, set of real matrices of size m×r.
I, identity matrices of size with arbitrary.
U, subset of units of S, that is, given f ∈ U , then
−1
f ∈S .
U(S), subset of units of μ (S ) ,that is, given
A∈ U (S ) , then A −1 ∈ μ ( S ) .
l.c. , left coprime.
l.c. f . , left coprime factorization.
r.c. , right coprime.
r.c. f . , right coprime factorization.
3. pole-placement in feedback control of a By reference [9], it is well known that the class of
single generalized system stabilization all the controllers to properly stabilize the system (2.1)
can be generated by use of a generalized observer-
Lemma 1 Suppose a generalized system (2.1), based controller, with an additional internal feedback
~ ~ loop involving a proper and stable dynamics transfer
( D, N ) and ( Nˆ , Dˆ ) are l.c. f . , r.c. f . of P(s ) , function matrices. That is, Figure 1, where
~ ~ u = − Kξ + s , r = Cξ − y
C ( s ) ∈ μ ( S ), ( Y , X ) and ( Xˆ , Yˆ ) are l.c. f . , r.c. f . of
C (s ) , then the following statements are equivalent,
i） C (s ) can properly stabilize the P(s ) ,
~ ~
ii） Y Dˆ + XNˆ ∈ U ( S ) ,
~ ~
iii) NXˆ + DYˆ ∈ U ( S ) .
Lemma 2 Suppose a generalized system (2.1),
~ ~
( D, N ) and ( Nˆ , Dˆ ) are l.c. f . , r.c. f . of P(s ) ，
C ( s ) ∈ μ ( S ), C (s ) can properly stabilize the P(s ) .
~ ~
( Y , X ) and ( Xˆ , Yˆ ) are l.c. f . , r.c. f . of C (s ) , Select
matrices K ∈ R m× n , H ∈ R n× p , such that
( sE − A + BK ) −1 , ( sE − A + HC ) −1 ∈ μ (S ) . Define:
~ ⎡ sE − A + HC B ⎤ ~ ⎡ sE − A + HC H ⎤
Y =⎢ ⎥, X =⎢ ⎥,
⎣ K I⎦ ⎣ K 0⎦ Figure 1. Controller class to properly stabilize the
⎡ sE − A + BK − B ⎤ ⎡ sE − A + BK B ⎤ system (2.1)
D̂ = ⎢ ⎥ , N̂ = ⎢ ⎥,
⎣ K I ⎦ ⎣ C I⎦
Lemma 1~Lemma 3 can be easily obtained from
~ ⎡ sE − A + HC H ⎤ ~ ⎡ sE − A + HC B ⎤ reference [5] and [9], their proofs are omitted here for
D=⎢ ⎥, −N = ⎢ ⎥,
⎣ −C I⎦ ⎣ −C 0⎦ the sake of space.
⎡ sE − A + BK H ⎤ ˆ ⎡ sE − A + BK H⎤ Theorem 1 Consider the close-loop poles of Figure 1
Yˆ = ⎢ ⎥, X =⎢ ⎥, are {σ o , σ C , σ R } , where σ o are finite eigenvalues of
⎣ C I⎦ ⎣ K 0⎦
generalized observer ( sE , A − FC ), σ C are generalized
then, i) all the transfer function matrices described are
controller ( sE , A − BK ), and σ R are poles of a properly
proper and stable,
~ ~ stabilizing transfer function matrices R.
ii） Dˆ , D, Y and Yˆ are nonsingular,
~ ~ Proof: By Lemma 2, we have,
iii） P( s ) = Nˆ Dˆ −1 = D −1 N = C ( sE − A) −1 B ,
⎡ sE − A + FC B F⎤ ⎡ sE − A + BK B⎤
~ ~ ~ ~ ⎡ Y~ ~
X⎤ ⎢ ⎡ ˆ⎤
iv） NXˆ + DYˆ = I ， Y Dˆ + XNˆ = I , ⎢ ~ ~⎥ = K I 0 ⎥⎥ , ⎢ D ⎥ = ⎢ −K I ⎥⎥
⎣⎢− N D ⎦⎥ ⎢ Nˆ ⎢
⎡ Y~ ~
X ⎤ ⎡ Dˆ − Xˆ ⎤ ⎣⎢ −C 0 I ⎦⎥ ⎣⎢ ⎦⎥ ⎣⎢ C 0 ⎦⎥
v) ⎢ ~ ~ ⎥ ⎢ =I .
ˆ ⎥
(3.1)
ˆ
⎣⎢− N D ⎦⎥ ⎣⎢ N Y ⎦⎥ ⎡ sI − Ar Br ⎤
if, R( s ) = C r ( sI r − Ar ) Br + Dr = ⎢ r ,
⎣ Cr Dr ⎥⎦
Lemma 3 Suppose a generalized system (2.1),
~ ~ ⎡ sI − Ar Br ⎤
( D, N ) and ( Nˆ , Dˆ ) are l.c. f . , r.c. f . of P(s ) , then, [I r Rr ] = ⎢ r
0
~ ~ ⎥.
C ( s) ∈ μ ( S ), select ( Y , X ) and ( Xˆ , Yˆ ) are l.c. f . , ⎣ Cr Ir Dr ⎦

r.c. f . of C (s) , if Eq. (3.1) can be gained, then the ~ −1 ~ ⎡sE C − AC BC ⎤

Also, since C ( s ) = D C NC = ⎢
,
⎣ CC DC ⎥⎦
parameterization of all controller to properly stabilize
thus, using Lemma 3, we gained
the generalized system (2.1) is obtained by
⎡ Y~ ~
X⎤
⎧⎪C ( R ) = (Y~ − RN~ ) −1 ( X~ + RD
S ( P) = ⎨
~
) = ( Xˆ + Dˆ R )(Yˆ − Nˆ R ) −1 . [D~ C ]
N C = [I C
~
R ]⎢ ~ ~⎥
~ ~ ⎢⎣− N D ⎥⎦
⎪⎩ R ∈ μ ( S ), det(Y − RN ) ≠ 0, det(Yˆ − Nˆ R ) ≠ 0

(3.2)

414
 ⎡ sE − A + FC B F⎤ Consider a set of r linear time-invariant generalized
⎡ sI − Ar 0 Br ⎤ ⎢
=⎢ r ⎥ ⎢ K I 0 ⎥⎥ plants Pi , (i = 1,2, " , r ) , having minimal realizations
⎣ Cr Ir Dr ⎦
⎢⎣ −C 0 I ⎥⎦ ⎧ E x = Ai xi + Bi u
Pi , ⎨ i i . (4.1)
⎡ sE − A + FC 0 B F⎤ ⎩ y = C i x i + Di u
⎢ Br C sI r − Ar 0 Br ⎥⎥ The transfer function matrix of (4.1) is denoted as
=⎢
P(s ) ,
⎢⎣ K − Dr C Cr Ir Dr ⎥⎦
⎡ sE − Ai Bi ⎤
Pi ( s ) ↔ ⎢ i
Di ⎥⎦
So, state-space realization of controller C (s ) can be (4.2)
given by below description, ⎣ Ci
⎡ sE − A + FC 0 ⎤ ⎡ B⎤ Where, xi ∈ R ni is the state vector, u ∈ R m is the
sEC − AC = ⎢ ⎥ + ⎢ ⎥[K − Dr C Cr ]
⎣ Br C sI r − Ar ⎦ ⎣0⎦ input vector, and y ∈ R p is the output vector of the i-th
⎡ sE − A + FC + BK − BK − BDr C BC r ⎤ plant. The symbol ↔ is used to indicate the state space
=⎢ ⎥, realization of transfer function matrices.
⎣ Br C sI r − Ar ⎦ ~ −1 ~ ~ ~
If, Pi = Di N i ， N i ∈ μ p×m ( S ) ， Di ∈ μ p× p ( S ) ,
⎡ F ⎤ ⎡B⎤ ⎡ F − BDr ⎤ then defining M,
BC = ⎢ ⎥ − ⎢ ⎥ Dr = ⎢ ⎥,
⎣ Br ⎦ ⎣ 0 ⎦ ⎣ Br ⎦ ~ ~
⎡D N1 ⎤
CC = [K − Dr C C r ] , ⎢ ⎥
1

M =⎢ # # ⎥ , ( M ∈ μ pr ×( m + p ) ( S )) . (4.3)
DC = Dr . ⎢D~ ~ ⎥
⎣ r Ni ⎦
Then, the eigenmatrix of closed-loop control system
By Lemma 2，we have,
involving P(s ) and C (s ) is derived ,
⎡ sE − AM B M ⎤
sE cl − Acl = M ↔⎢ M ⎥
⎡ sE − A + BDC ( I + DDC ) −1 C BCC − BDC ( I + DDC ) −1 DC ⎤ , ⎣ CM DM ⎦
⎢ −1 ⎥ ⎡ sE1 − A1 + H1C1 " − H1 B1 ⎤
⎣ − BC ( I + DDC ) C sEC − AC + BC ( I + DDC ) −1 DC⎦ 0
⎢ # % # ## ⎥⎥
that is, sE cl − Acl ⎢
⎢ 0 " sEr − Ar + H r Cr − H r Br ⎥ . (4.4)
=⎢
⎡ sE − A + BDr C BK − BDr C BC r ⎤ C1 " 0 I D1 ⎥
⎢ ⎥
= ⎢⎢ − FC + BDr C sE − A + FC + BK − BDr C BC r ⎥⎥ . ⎢ # % # # # ⎥
⎢ I Dr ⎥⎦
⎣⎢ − Br C Br C sI r − Ar ⎦⎥ ⎣ 0 " Cr
Then, matrices sE cl − Acl can be primary transformed, Obviously, M is a model of generalized observer. It
we have, exists a right null space S and a stable right inverse R
⎡ sE − A + FC 0 0 ⎤ if choosing rankE M = pr and m+p>pr by reference
⎢
sE cl − Acl ~ ⎢ FC + BD r C sE − A + BK BC r ⎥⎥ [10]. That is , MS = 0 pr ×( m + p − pr ) and MR = I pr .
⎢⎣ Br C 0 sI r − Ar ⎥⎦ Theorem 2 The parameterization of all simultaneously
stabilizing controller of a set of plants (4.1) is given by
⎡ FC − BD r C BC r sE − A + BK ⎤
⎢ ⎥. C = ( R2U + S 2 Q)( R1U + S1Q) −1 , (4.5)
~⎢ Br C sI r − Ar 0 ⎥ where，
⎢⎣ sE − A + FC 0 0 ⎥⎦
U ∈ U pr × p ( S ) , Q ∈ μ ( m + p − pr )×( m + p − pr ) ( S ) , (4.6)
Let det( sEcl − Acl ) = 0 , that is,
MS = 0 pr ×( m + p − pr ) ， MR = I pr ,
FC − BDr C BCr sE − A + BK
R = [ R1 R 2 ]T , S = [ S 1 S 2 ]T ,
det Br C sI r − Ar 0 =0.
sE − A + FC 0 0 R1 ∈ μ ( S ) p× pr , R 2 ∈ μ ( S ) m× pr ,
Thus, S1 ∈ μ ( S ) p×( m + p − pr ) , R 2 ∈ μ ( S ) m×( m + p − pr ) ,
det( sE − A + BK ) det( sE − A + FC ) det( sI r − Ar ) = 0 . ( R1U + S1Q) is nonsingular.
Q.E.D. Proof: (Necessity) Given U and Q satisfying (4.6),
4. Pole placement for the simultaneous there exist a simultaneously stabilizing controller
stabilization of generalized systems C = ( R 2U + S 2 Q)( R1U + S1 Q) −1 ,

415
 ⎡ Yˆ ⎤ ⎡U ⎤
or , ⎢ C ⎥ = [R S ]⎢ ⎥ = RU + SQ . 5. Design examples
ˆ
⎣⎢ X C ⎦⎥ ⎣Q ⎦
Since MR = I, MS =0, it follows that, This section discusses a design example to illustrate
⎡ Yˆ ⎤ the main results of the paper. Consider two plants P1,
M ⎢ C ⎥ = M ( RU + SQ) = U P2：
ˆ
⎣⎢ X C ⎦⎥
⎧ ⎡0 1⎤ ⎡1 0 ⎤ ⎡2 1 ⎤
satisfying Lemma 1, C is controller, which can ⎪ x = ⎢ ⎥ x + ⎢1 0⎥u
stabilize a set of plants (4.1). P1： ⎨⎢⎣0 0⎥⎦ ⎣ 0 1 ⎦ ⎣ ⎦
(Sufficiency) Given a simultaneously stabilizing ⎪
⎩ y = [− 1 1]x + [1 0]u
−1
controller C = Xˆ C YˆC , we need to find a U and a Q ⎧ ⎡1 0 ⎤ ⎡1 0⎤ ⎡0 2⎤
⎪ x = ⎢ x+⎢
such that the controller can be expressed as (4.5), that P2： ⎨⎢⎣0 0⎥⎦ ⎥
⎣5 2 ⎦ ⎣3 0⎦
⎥u
is, ⎪
⎩ y = [1 1]x + [0 1]u
⎡ YˆC ⎤ ⎡U ⎤
⎢ ˆ ⎥ = [R S ]⎢ ⎥ = RU + SQ .
A controller C will simultaneously stabilize them,
⎣⎢ X C ⎦⎥ ⎣Q ⎦ the desired close-loop poles each is σ 1 = (−1.5,−5.6) ,
From reference [10], there always exist σ 2 = (−5,−5.6) .
⎡ M ⎤ ⎡ YˆC ⎤ ⎡U ⎤ ⎡ 4⎤ ⎡ − 2⎤
⎢ G ⎥ ⎢ ˆ ⎥ = ⎢Q ⎥ . Select H 1 = ⎢ ⎥ , H 2 = ⎢ ⎥ ,
⎣ ⎦ ⎣⎢ X C ⎦⎥ ⎣ ⎦ ⎣ 2⎦ ⎣1 ⎦
Their proofs are omitted here for the sake of space. Thus, using Lemma 2, system M can be constructed by
⎡ Yˆ ⎤ ⎡ Yˆ ⎤ l.c. f . of P1 and P2 , that is
Thus, U = M ⎢ C ⎥ , Q = G ⎢ C ⎥ . ⎡− 5 s + 4 0 0 −4 6 1 ⎤
⎢⎣ Xˆ C ⎥⎦ ⎢⎣ Xˆ C ⎥⎦ ⎢− 2
satisfying (4.5). ⎢ 1 0 0 − 2 3 0 ⎥⎥
Q.E.D ⎢0 0 s −3 −2 2 0 4 ⎥
M ↔⎢ ⎥.
Remark, Clearly, by Lemma 2 and Lemma 3, we
⎢0 0 − 4 − 1 − 1 3 − 1⎥
can derive that Ŷ , X̂ , − N̂ , D̂ , and R are equivalent ⎢ −1 1 0 0 1 1 0 ⎥
⎢ 1 0 1 ⎥⎦
to R1U , R2U , S1 , S 2 , and Q in the equation (4.5) ⎣ 0 0 1 1
respectively. Thus, the class of all the controllers for Clearly, det( sE M − AM ) = 0 → s1 = −1.5, s 2 = −5.
simultaneously stabilize a set of plants (4.1) can be By reference [10], a stable right inverse R of M can be
generated by use of a generalized observer-based
controller, with an additional internal feedback loop obtained, then choose Q=0 and U = [1 1]T , we have
involving a proper and stable dynamics plant according ⎡0 s + 43 45 12 4 ⎤
to the work by reference [9]. This result is similar to ⎢0 19 20 5 2 ⎥⎥
⎢
the controller parameterized for a single generalized ⎢2 6 s + 9 4 − 2⎥
plant. Thus, theory of Theorem 1 can be extended to RU ↔ ⎢⎢0 12 7 1 7 ⎥
⎥,
solve pole-placement for generalized system
⎢ −1 − 3 − 4 −1 1 ⎥
simultaneous stabilization. From Theorem 1 and ⎢ 0 4 4 1 0 ⎥
reference [10], we can obtain a corollary. ⎢ ⎥
⎣⎢ 1 3 5 2 0 ⎥⎦
Corollary 1 Given a set of plants (4.1) is
det( sE RU − ARU ) = 0 → s = −5.6.
simultaneously stabilized by controller C obtained
Such that C controller simultaneously stabilized
from theorem 2, such that the closed-loop poles of P1 and P2 can be given by Theorem 2. Transfer
simultaneously stabilizing control system function of C is illustrated as,
are {σ M , σ RU , σ Q } , where σ M are finite eigenvalues 1 ⎡ 5s + 21 ⎤
GC ( s ) = 2 ⎢ ⎥.
of generalized observer M, σ RU are finite eigenvalues 3s + 76 s + 251 ⎣11s + 48⎦
of generalized controller RU, and σ Q are finite From above, the transfer function of close loop
control system that is made of controller C, P1 and P2
eigenvalues of poles of properly stabilizing plant Q. can be expressed respectively, that is,
Thus from above corollary, It is easy to obtain
arbitrarily poles-placement for generalized system
simultaneous stabilization.

416

[2.3s 2 + 15.2 s + 7.5 3.7 s + 4.1]
H ( P1 , C ) =
s 2 + 7.1s + 8.4
[4.3s + 9 s 2 + 12.4s + 5.6]
H ( P2 , C ) = .
s 2 + 10.6 s + 28
Thus, poles of H ( P1 , C ) and H ( P2 , C ) can be
calculated, which are (-1.5,-5.6) and (-5,-5.6).
Obviously, they satisfied all requirements of pole-
placment. Moreover meet points of corollary 1.
⎡sin t ⎤
Suppose u = ⎢ ⎥ , thus, simulation of output
⎣u (t ) ⎦
response for simultaneous stabilizing control system
can be given respectively as Figure 2 and Figure 3.
Figure 2. Output response of H ( P1 , C )
Figure 3. Output response of H ( P2 , C )
It is easy to see that controller C not only can
simultaneously stabilize P1 and P2 but also pole-
placement is satisfied by above work.
6. Conclusions
In the paper, stable factorization theory and state
space realization have been used to analyze the pole-
placement problem for generalized system
simultaneous stabilization, which is an extension of
result that the pole-placement problem for a single
generalized system stabilization. In addition
simultaneous stabilization of a set of linear time-
invariant generalized plants is discussed and
parameterization for controllers is obtained in terms of
stable right inverse and stable right null space.
Obviously controller which is shown to have a
structure by use of a generalized observer-based
controller, with an additional internal feedback loop
involving a proper and stable dynamics plant. All
above works are satisfying and significant by an
example.
,
7. References
[1] M, A. Kale, J. H. Chow and K. D. Minto, “A controller
parameterization and pole-placement design for simultaneous
stabilization”, Proceedings of 1990 American Control
Conference, 1990, pp.116-121.
[2] GAO Zhiwei, XU Nini and WANG Xianlai,
“Doubly Coprime Factorizations for General Proper Systems
by using Reduced-Order Observer-Based Controllers”,
Control theory and applications, Tianjin, Dec., 2000, Vol.17,
No.6, pp. 836-840.
[3] ZHANG Gao-Min JIA Ying-Min . “Robust stability of
feedback system with coprime factor perturbations”. Acta
Automatica Sinica, Beijing, Nov., 2002, Vol.28, No.6, pp.
974-976.
[4] GAO Zhi-wei, “Parameterization Of Reduced Function
Observers For LinearSystem ”, Acta Automatica Sinica,
Beijing, Jul., 2000, Vol.26, No.4, pp. 515-518.
[5] GAO Zhi-wei, “stable factorization theory of generalized
system”, postdoctor report, mathematics sciences institute of
Nankai University, Tianjin, 1998.
[6] GAO Zhi-wei, GAO Qiang, Guo-jun,LI Hao-zhi,
“Parameterization of Linear Observers For Singular Systems
Related to Luenberger's State Observers”, Systems
Engineering and Electronics, 2003, Vo1.25, No.5, pp. 575-
580.
[7] GAO Zhi-wei, WUYa-jun, BIANMi , “Parameterization
of All Observers for Generalized Dynamical System”,
Journal of Tianjin University, Tianjin , Nov., 2003, Vol.36,
No.6, pp. 677-680.
[8] Zhiwei Gao, and A. T. P. So, “A general doubly coprime
factorization for descriptor systems”, Systems and Control
Letters, 2003, Vol.49, pp. 213-224.
[9] Gao Zhiwei, Wang Xianlai, Li Guangquan, “Analysis
for the Bzout identity of generalized systems”, Transactions
of Tianjin University, Tianjin , 1998, Vol.4 . No.1, pp. 15-21.
[10] MA Jing, GAO Zhi-Wei, “Simultaneous stabilization
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Zhangjiajie, China. 2007, Vol.2, pp. 180-184.
417
 2008 International Conference on Intelligent Computation Technology and Automation
Pyrocondensation Material Radiation Control System Based on Virtual
Instrument
Wei He
School of Computer science &Technology,
Soochow University, Suzhou, Jiangsu, 215006,
China
hewei-2100@163.com
Abstract
Pyrocondensation material is a kind of high
scientific and technologic product in wide use. To
improve the quality of pyrocondensation material,
radiation control is the key procedure .On the basis of
full investigation of pyrocondensation material
radiation process, this paper puts forward the
pyrocondensation material radiation control system
based on VI (Virtual Instrument).This method makes
full use of advantages of VI to realize automatization of
the radiation process, and improves production
efficiency.
1. Introduction
Pyrocondensation material is made of polymers like
polyolefin, because this kind of polymer has the
character of memory after radiation [1]. In the process
of pyrocondensation material production, the dosage of
radiation is very important; it could directly affect the
capability of pyrocondensation material, such as
thermal shrinkage, mechanical property, etc. So the
establishment of precise radiation control system is the
key to improve the quality of products. Since the 1980s,
with the development of nuclear reactors and particle
accelerator, radiation technology became more and
more popular. Radiation Chemistry begins to develop
in the early 1960s in China, the first generation of
pyrocondensation material developed and produced by
CAS Changchun Institute of Applied Chemistry was
used in first Chinese earth satellite. After several
decades of development and the expansion of
978-0-7695-3357-5/08 $25.00 © 2008 IEEE
DOI 10.1109/ICICTA.2008.253
Yunfei Li
School of Computer science &Technology,
Soochow University, Suzhou, Jiangsu, 215006,
China
liyf@suda.edu.cn.
application field, pyrocondensation materials now are
very important in our country. With the rapid
development of micro-electronics, computer, software,
network and modern measure, people begin to care
about the research of new radiation technologies and
automation of radiation technology industry.
2. Control system design based on virtual
instrument
VI [2,3,4] (Virtual Instrument) is put forward by NI
(National Instruments), Inc in 1980s. It is the
combination of computer technology, traditional
instruments, hardware and software, application
graphics software function and the measure technology
which is managed by compute. VI is new type of
instrument which is controlled by computer and
defined by users, could expediently link, exchange the
information and share the network resource with other
instruments. It has the properties of reuse, low cost and
expandable, and develops very rapidly in modern
world.
2.1 Hardware design of control system
Large numbers of AC contactors, relays and other
switch devices are used in this system, if all of them
directly controlled by the computer that will made the
system become very complex and increase the cost and
difficulty of system development. So PLC is used to
control relative switch devices in this system that could
make sure the safety of control process. The structure
of pyrocondensation material radiation control system
based on VI is shown in figure 1.
418
 Figure 1 VI hardware structure
The basic methods of VI assembly are: [1] the type
of pyrocondensation material identified by PLC; [2]
IPC inputs the information about technology speed,
radiation intensity. All of the information is dealt by
inner operator, and then transmitted by PLC to control
the speed of transducer and frequency conversion
motor; [3] speed of transmission equipment is
controlled by transmission motor. The detailed
information is as follow:
(1) Identification of pyrocondensation materials.
The most important control parameters in the
pyrocondensation material radiation control system are
transmission speed and radiation intensity. Because the
number of the material’s type is very large, every type
of the material has the only one kind of transmission
speed and radiation intensity. In this system, PLC is
used to identify the type of pyrocondensation materials,
to improve the quality of the products.
(2) Speed precision control. Equipment transmission
speed parameter from input to output needs three
processes: [1] from IPC to PLC; [2] from PLC to
transducer; [3] from transducer to frequency
419
conversion motor. Because of the inherent hardware
errors and a variety of instrument synchronization
errors, "delay" brings the difficulties into the speed
control. NI (National Instruments) series PXI of
dual-core embedded controller is used in this system as
a synchronous logic flip-flop, the beginning of time,
the termination of the time, and the length of the error
are controlled in the scope allowed to improve the
[5]
speed control accuracy . Figure 2 is a VI example
which can realize cycle-time control
Figure 2 VI example of cycle-time control
(3) Real time speed tracking the change of beam.
The dosage of radiation which pyrocondensation
material needed must be the fixed value. So we should
make sure the ratio of transmission speed V and
accelerator beam I is fixed. V/I=C (C is a fixed value).
If beam changed in the radiation process, the which could realize the flow control of radiation and
transmission speed must be changed to satisfy the management of produce process, such as output
[6,7,8]
balance of them. However, because of the mechanical statistics, consume calculation . Figure 3 is the
transmission delay (second level), the real-time effect practical interface of radiation control system.
of "tracking" is not very well. How to solve this
problem has been a hot issue in recent years. In this
paper we dealt with the speed according to the value of
real-time beam. The math model of speed is as follow:
Real-time speed= (device speed/beam default) ×
real-time beam

vdevice− speed
vreal −time− speed = × I real −time −beam × k
I speed − default

[1] I real −time−beam > I1 , k = k1

' Figure 3 Interface of radiation control system

[2] I1 < I real −time−beam < I1 , k =1
' '
[3] I 2 < I real −time−beam < I1 , k = k1
' '
[4] I real −time−beam < I 2 , k = k2
I1 is beam’s normal upper limit parameter;
I1'
is beam’s normal lower limit parameter 1;
I 2'
is beam’s normal lower limit parameter 2;
k1 is beam’s exceeding upper limit parameter;
k1'
is beam’s exceeding lower limit parameter 1;
Process of radiation control system is as follow:
(1) Startup and check itself;
(2) If impulse is 26, operate the default speed and wait
for the material;
(3) Estimation of the material type;
(4) Estimation of the real time location;
(5) If material under the beam, the system is working ,
the speed and intensity of the radiation must match
the material;
(6) Update of the location of material;
(7) If the material do not out of the radiation area, go
to(5);
(8) If there is no material under the beam, output the
alarm; else go to (2)

k2' 3. Application effect

is beam’s exceeding lower limit parameter 2.
This system has operated several moths, has
2.2 Software design of control system produced 20 types of products, some of the system
effect which is based on VI is shown in table 1.
The software platform used in this system is
Windows/CVI which is the product of National
Instruments. It is VI software based on C language

420
 Table 1 VI control optimize result

Product Group v
v

Pyrocondensation 1 7.59 7.03

thin-walled tubule
Pyrocondensation 2 7.93 7.31
thin-walled tubule
Pyrocondensation 3 8.02 7.53
thin-walled tubule
Pyrocondensation 1 6.54 6.08
flame-retardant tube
Pyrocondensation 2 6.68 6.58
flame-retardant tube
Pyrocondensation 3 6.67 6.56
flame-retardant tube
Pyrocondensation sheet 1 6.61 6.32

Pyrocondensation sheet 2 6.85 6.30

Pyrocondensation sheet 3 6.61 6.25

Pyrocondensation 1 7.01 7.00

flame retardant
fixed-length tube
Pyrocondensation 2 7.21 7.13
flame retardant
fixed-length tube

… … … …

v is the average speed after the device is controlled
by VI, v is the average speed before the device is
controlled by VI. See table 1, the product efficiency is
improved by the radiation control system based on VI.
This system improves the degree of automation and
lays a solid foundation foe radiation control.
4. Conclusion
This paper puts forward the pyrocondensation
radiation control system based on virtual instruments.
The characters of virtual instruments are used to
resolve several technologies difficulties in the process
of system design and development, such as
pyrocondensation material identification, speed raise,
beam tracking, etc. This system has been successfully
applied in one pyrocondensation material radiation
workshop, realized production automation, improved
the production efficiency and the quality of products,
obtained obvious economic benefits, and had high
promotion value.

421
5. Reference

[1] Zhao Shengjun, Pang Ruiping, “Application of

Pyrocondensation Material in Power Transformation
Equipment”, Journal, Insulating Materials, Guang Xi, 2007,
40(5),pp. 30-31,34.
[2] Chen Chao, He Liming, Luo Jun, “Exploitation of
Measurement and Control System of PDE Based on Virtual
Instrument Technology”, Journal, Computer Engineering,
Shang Hai, 2007,33 (19),pp.224-226.
[3] Chen Xiaoping, Li Yunfei, Yan Youjun, et al,
“Development of Inverter Testing System Based on Virtual
Instrument Technology”, Journal, Chinese Journal of
Scientific Instrument, Bei Jing, 2004, 25(5) pp.684- 687.
[4] Que Hao, Yue Ruihua, “Integrated Measurement System
Based on Virtual Instrument Technology”, Journal, Control
& Automation, Bei Jing, 2007,31, pp.130-132.
[5] Liu Hong, “Development and Application of the PXI
Technology”, Journal, Measurement & Control Technology,
Bei Jing, 2006, 25(6), pp.51-53.
[6] QIU Zhi-ping, LI Shu-jun, “Application of virtual
instrument based on Labwindows/CVI in field of testing”,
Journal, Computer Engineering and Design,Bei Jing,
2007,28(22),pp.5544-5545, 5548.
[7] Liu,Liyue Xie,Xin Liu,Juefu, “ Interface Implementation
of VC Based on LabVVindows/CVI’s DLL” , Journal,
Control & Automation, Bei Jing, 2006,10s,pp.190-192.
[8] Ren Dejun, Yao jin, Wang yonggui, “Design of PLC
Based Automatic Irradiation Control System of Accelerator” ,
Journal, Shang Hai, Process Automation Instrumentation,
2005,01,pp.38-39,43.

422
 2008 International Conference on Intelligent Computation Technology and Automation

Quadratic Robust Stabilization of a Class of Switched Linear Systems with

Uncertainties

Xingmin Ji
Department of Mathematics and Physics , Xi’an Institute of Post and Telecommuncation , Xi’an,
Shaanxi Provine,China 710061
jxmin@xiyou.edu.cn

Abstract system to be asymptotically stable under an arbitrary

law. A considerable number of techniques have been
The quadratic robust stabilization problem for a proposed to construct such a Lyapunov function. Most
class of switched linear systems with uncertainties is switched systems in practice, however, do not have a
studied. The systems not only contain uncertainties, but common Lyapunov function, yet they still may be
also experience uncertainties in the input channels. asymptotically stable under some properly chosen
Suppose there exists common Lyapunov function every switching law. The multiple Lyapunov function
subsystem of switched linear system, the sufficient technique is an effective tool for finding such a
conditions for quadratic robust stabilization of the
switching law [6].
switched systems with uncertainties are presented by
using Lyapunov methods. When certain family matrices Quadratic stability (stabilization) is a preferable
are negative definite, quadratic robust stabilization system property. Some sufficient conditions have been
under arbitrary switching laws is obtained. summarized in [7] and [8]. In earlier works,
stabilization of linear switched systems was studied
1. Introduction [9]-[13].
The quadratically robust stabilizable problem for a
In recent years, there has been increasing interest in class of switched linear systems is studied in the paper.
the analysis and synthesis of switched systems and The systems not only contain uncertainties, but also
hybrid systems due to their importance both in theory experience uncertainties in the input channels.
and applications. Hybrid and switched systems have
numerous applications in control of mechanical 2. Problem Statement
systems, automotive industry, flight and air traffic
control, intelligent vehicle highway systems, robotics, We use standard notations throughout the paper.
etc. By switched systems we mean a class of hybrid
MT is the transpose of the matrix
dynamical systems consisting of a family of continuous
(or discrete) time subsystems and a rule that governs M. M > 0 ( M < 0 ) means that M is positive
the switching between them. The key issue in the study definite(negative definite).
of switched systems is stability (or stabilization), We consider a switched linear system given by
•
controllability and observability. In [1]-[5],the
x = ( Ai + ΔAi (t )) x + ( Bi + ΔBi (t ))u + Δf i ( x)
controllability and observability of switched systems
are discussed. (1)
n× n
Due to the hybrid nature of switched systems where x∈R n
Ai , Bi ∈ R
is the state, are
operation, stability is more difficult to study than
known real constant matrices, i is a piecewise
common systems. The existence of a common
constant switching signal taking values in
Lyapunov function for all subsystems was shown to be
a necessary and sufficient condition for a switched {1,2,", m} , ΔAi (t ), ΔBi (t ) : R → R n× n
is real

978-0-7695-3357-5/08 $25.00 © 2008 IEEE 423

DOI 10.1109/ICICTA.2008.110
valued function matrices representing time-varying 1
parameter uncertainty in the system XFY + Y T F T X T ≤ β XX T + Y TY
β
model, Δf i ( x) : R n → R n is an unknown
function. 3. Main Results
•
x = Ai x + Bi u (2)
Theorem 1 Suppose system (1) satisfies assumption
System (2) is called nominal system of system (1). 1, assumption 2 and assumption 3. If there exist
Assumption 1 There exist common Lyapunov constant μ i > 0 , ε i > 0 , i = 1,2, " , m , such
function every subsystem of switched system (2),i.e.
that the family of matrices
there exist controller u i = M i x ,such that the
−Q i = ( Ai + Bi M i ) T P + P( Ai + Bi M i ) +
inequality
( Ai + Bi M i ) T P + P ( Ai + Bi M i ) < 0 (3)
PDi DiT P + M iT K iT K i M i + μ i2 P( Ei EiT +
1
has positive definite solution matrix P . Gi GiT ) P + ( FiT Fi + H iT H i ) + ε i I ,
Assumption 2 The norm-bounded time-varying μ i
2

parametric uncertainties are described by

i = 1,2, " , m
ΔAi (t ) = Ei Σ i (t ) , ΔBi (t ) = Di Φ i (t ) ,
is negative definite, then (1) is quadratically robust
i = 1,2, " , m , where Ei Di is a known real stabilizable.
constant matrix, Σ i (t ) , Φ i (t ) is an unknown matrix Proof By Lemma 1,
function and satisfies (ΔBi M i ) T P + P (ΔBi M i ) ≤ PDi DiT P +
Σ Ti (t )Σ i (t ) ≤ FiT Fi , Φ Ti (t )Φ i (t ) ≤ K iT K i M iT ΦTi Φ i M i
( i = 1,2, " , m ), Fi , K i is a known real constant Let the Lyapunov function be V ( x) = x T Px , then
matrix. the time-derivative of V ( x(t )) along the trajectory
Assumption 3 The unknown nonlinear function of system (1) is
Δf i (x) takes the form d • •
V ( x(t )) = x T Px + x T P x
Δf i ( x) = Gi Ψi ( x) x , i = 1,2, " , m dt
where Gi is a known real constant matrix, Ψi (x) = x T [( Ai + Bi M i ) T P + P ( Ai + Bi M i )]x +
is an unknown matrix function and satisfies 2 x T PΔAi (t ) x + 2 x T PΔBi (t ) M i x +
Ψ ( x)Ψi ( x) ≤ H H i ( i = 1,2, " , m ),
i
T T
i for
2 x T PΔf i ( x)
∀x ∈ R , H i is a known real constant matrix.
n
≤ x T [( Ai + Bi M i ) T P + P( Ai + Bi M i ) +
We first give the definition of quadratic robust
stabilization. PDi DiT P + M iT K iT K i M i ]x +
Definition 1 The system (1) is quadratically robust 2 x T PΔAi (t ) x + 2 x T PΔf i ( x )
stabilizable via state-feedback if and only if there
exists a positive definite function V ( x) = x T Px , = − x T Qi x + 2 x T PE i Σ i (t ) x + 2 x T PGi Ψi x −
ε >0 and a switching rule such that μ i2 x T P( Ei EiT + Gi GiT ) Px −
d 1
V ( x) < −εx T x , ∀x ≠ 0 x T ( Fi T Fi + H iT H i ) x − ε i x T x
dt μ i2
for all trajectories of the system(1). 2
Lemma 1[10] Let X , Y , F be real constant 1
= − x Qi x − μ i E Px −
T T
Σ i (t ) x −
μi
i
matrices of suitable dimensions with FT F ≤ I .
Then, for any scalar β > 0 ,

424
 2
1
μ i G Px −
T 1
Ψi ( x) x − ≤ M iT K iT K i M i + β i PDi DiT P .
i
μi βi
1 Let V ( x) = xT Px , then the time-derivative of
x ( Fi Fi − Σ (t )Σ i (t )) x −
T T T

μ i2 V ( x(t )) along the trajectory of system (1) is

i

1 d
x T ( H iT H i − ΨiT ( x) Ψi ( x)) x − ε i x T x dt
V ( x(t ))
μ i2
2 = x T [( Ai + Bi M i ) T P + P( Ai + Bi M i )]x +
≤ −ε x ,
2 x T PΔAi (t ) x + 2 x T PΔBi (t ) x + 2 x T PΔf i ( x)
where ε = min{ε i , i = 1,2,", m} . Thus, the
≤ x T [( Ai + Bi M i ) T P + P ( Ai + Bi M i ) +
conclusion is proved. ▇
ΔAi (t ) 1
Assumption 4 The parameter uncertainty ( Fi T Fi + M iT K iT K i M i ) +
is as follows βi
ΔAi (t ) = Ei Σ i (t ) Fi , i = 1,2, " , m β i P( Ei EiT + Di DiT ) P]x −
where Σ i (t ) is an unknown matrix function and 1
2
2
β i Δf i ( x ) − Px + β i2 Δf i ( x ) +
satisfies Σ (t )Σ i (t ) ≤ I ( i = 1,2, " , m ), Ei ,
T
i βi
Fi are known real constant matrices of suitable 1
xT P 2 x
dimensions. β i
2

Assumption 5 The unknown nonlinear function

= x [( Ai + Bi M i ) T P + P ( Ai + Bi M i ) +
T

Δf i (x) satisfies
1
Δf i T ( x)Δf i ( x) = x T GiT Gi x , i = 1,2, " , m ( Fi T Fi + M iT K iT K i M i ) +
βi
where Gi is known real constant matrices of suitable
β i P( Ei EiT + Di DiT ) P]x −
dimensions. 2
Theorem 2 Under Assumption 1,Assumption 4 and 1
β i Δf i ( x) − Px + β i2 x T GiT Gi x +
Assumption 5, system (1) is quadratically robust βi
stabilizable under arbitrary switching laws if there exist
1
constant scalars β i > 0 ( i = 1,2," , m ) such that xT P 2 x
β i2
the family of matrices
− Qi = ( Ai + Bi M i ) T P + P ( Ai + Bi M i ) + ≤ x T [( Ai + Bi M i ) T P + P( Ai + Bi M i ) +
1
1
( FiT Fi + M iT K iT K i M i ) + ( FiT Fi + M iT K iT K i M i ) + β i P ( E i E iT +
βi βi
1
β i P( E i E iT + Di DiT ) P + β i2 GiT Gi +
1
P2 Di DiT ) P + β i2 GiT Gi + P 2 ]x
β 2 β i2
i
, d
V ( x(t )) ≤ − x T Qi x ≤ −λ min (Qi ) x
2
Hence .
i = 1,2, " , m is negative definite. dt
Proof By Lemma 1, for any real scalars Then Theorem 2 is proved. ▇
β i > 0 ( i = 1,2," , m )
1 4. Conclusion
ΔAiT P + PΔAi ≤ FiT Fi + β i PEi EiT P ,
βi In this paper, the problem of quadratically robust
stabilizable for a class of linear switched systems
(ΔBi M i ) P + P (ΔBi M i )
T

425
with uncertainties is discussed. The strict completeness
of certain family of matrices guarantee gives quadratic [7]D.Liberzon , A S.Morse, “Basic problems in stability and
robust stabilization. A switching law is also designed design of switched systems ” ,IEEE. Control System
according to the strict completeness. Magazine, 1999,19(5),pp. 59-70.

References [8] R A.Decarlo , M S .Branicky, “Pettersson S. Perspectives

and results on the stability and stabilizability of Hybrid
[1] J. Ezzine, A H. Haddad, “ Controllability and system ” , Proceedings of the IEEE., 2000,88(7),pp.
observability of hybrid systems”,Int. J. Control , 1989, 49(6), 1069-1082.
pp.2045-2055.
[9] J.P. Hespanha, D.Liberzon, E.D.Sontag , “Nonlinear
[2] G.M.Xie , L.Wang , Q.K.Ye,“Controllability of a class of norm-observability notions and stability of switched
hybrid dynamical systems ” ,Applied Mathematics and systems ” ,IEEE Transactions on Automatic
Mechanics,2003,24(9),pp. 919-949. Control,2005,50(2),pp. 154—168.

[3] L.Yang, J.M.Li,“Sufficient and necessary conditions of [10] W.A.Sun , F.Q.Yuan , F.Dong et al,“ Sufficient
controllability and observability of a class of linear switching conditions for quadratic Robust stability of a class of
systems ” ,Systems Engineering and switched linear systems with uncertainties ”, Mathematica
Electronics,2003,25(5),pp. 588-590. Applicata, 2006,19(3),pp. 492-497.

[4]G.M.Xie , D.Z.Zheng,“Research on controllability and [11] X.L.Zhang ,Y.Z.Liu ,J.Zhao,“Robust control of a class
observability of hybrid dynamical systems”,Control Theory of switched systems ” ,Journal of Northeastern
and Applications,2002,19(1),pp. 139-142. University,2000,21(5),pp.498—500.

[12] X.L.Zhao ,Y.S.Fan,“Robust controller for a class of

[5]G.M.Xie , D.Z.Zheng,“Nonsingular transformation of
uncertain switched linear systems ” ,Journal of Tsinghua
linear switched systems ”,Journal of Tsinghua University,
University,2004,44(1),pp. 126-129.
2002,42(9),pp. 1273—1275.

[6] M S.Branicky, “Multiple Lyapunov functions and other [13]X.M.Ji ,“Robust state feedback stabilization of a class of
analysis tools for switched and hybrid systems ” ,IEEE. switched linear systems with uncertainties”,Proceddings of
Transactions on Automatic Control,1998,43(4),pp.475-482. the 26th Chinese Control Conference,2007,pp. 690-692.

426
 2008 International Conference on Intelligent Computation Technology and Automation
Random Vibration Optimal Control of Vehicle Based on Semi-active
Suspension System
Jia Xu, Hong-Li Wang, Zhi-Wen Zhu, Gen Ge
College of Mechanical Engineering, Tianjin University, Tianjin 300072, P.R.China
E-mail: xujia_ld@163.com
Abstract
A stochastic nonlinear dynamical model of Semi-
Active Suspension System had been presented
considering the stochastic factor of the road. The
Hamilton function had been described as one
dimension diffusion process by using stochastic
average method, the backward Kolmogorov equation
for reliability function and the conditional moment of
the first-passage time and their associated boundary
and initial conditions are derived, the optimal control
strategy aimed to obtain the maximization of reliable
function had been accessed by dynamic programming
principles. Numerical simulation results of partial
differential equations fitted for reliability function and
the conditional moment of the first-passage time had
been obtained by finite difference methods. the
numerical results indicated that the security enhanced
when the constrained control force increased..
1. Introduction
Suspension is one of the most important part in cars
nowadays, its main function is to transfer the forces
and moments between body and wheels, mitigate the
impact loads from the roughness road surface,
attenuate the vibration caused by the loads so as to
make the cars drive stable and unblock. The passive
suspension system cannot fit the different road surfaces
for its unchanged parameters. At this time, The active
suspension system replace the passive one, whose
parameters can be changed to fit the road surface. The
Active control and VOFB control of the suspension
system have been discussed. But the active suspension
system costs much money and consumes lots of
energy, which restricts the application of active
suspension system[1-2]. The semi-active suspension
system whose damp can be changed can fit the
demands of different road conditions, improve the
comfortability and stability by changing the value of
damp. Compared with active suspension, the semi-
978-0-7695-3357-5/08 $25.00 © 2008 IEEE
DOI 10.1109/ICICTA.2008.149
active suspension costs less and consume less energy,
so its application is very excessive.
The researches about semi-active suspension focus
on the development and manufacture of
magnetorheological intelligent material, control
strategy research[3-7]. Few of then focus on stochastic
nonlinear dynamics[8-10]. In the near decades,
reliability is always the one of focus problems in
stochastic dynamics theory, some valuable theoretic
results have been obtained already. First-passage is an
important part of reliability research, which focuses on
researching the probabilities and times when the
system reaches the edge of the safety areas. In this
paper, the response of semi-active suspension system
when unstable has been investigated.
2. Stochastic model
Figure 1 Semi-active suspension system of vehicle
Ignore the mass of spring, considering the lag
character of the MR damper[11], We establish the
model by using the law of force and acceleration, at the
same time, the road incentive is considered as random
force, F is the control force, the stochastic model can
be described as follows:
1 + c2q = αqW(t) + βW(t) + F
mq +kq +c0q +cq3 3
(1)
where m presents the mass of vehicle, k presents the
stiffness of spring, c0 presents the damp coefficient,
c1q 3 + c2 q3 presents the lag effect of MR damper
according to [12], α qW (t ) presents the force brought
427
from the inner stochastic factors, β W (t ) presents the random variable, here performance character should be
force brought from road surface, the system (1) is selected as expectation of the functional. As to the
defined as a weak damp and weak excitation quasi stochastic optimal control of semi infinite time process,
Hamiltonian system considering the discount cost function and the
Simply system (1),we obtain: irrelevant of stable state and initial state, we can use
the performance character as follows:
′ +c0′q+c1′q3 +c2′q3 =α′qW(t) +β′W(t) +u
q +kq (2) 1 tf
where J (u ) = lim ∫ f ( x, u, t )dt (6)
t f →∞ t f
0
k′ =k/mc
, 0′ =c0 /mc, 1′ =c1 /mc
, 2′ =c2 /m,α′ =α/m,β′ =β/mu , =F/mChang
The corresponding control is called ergodic control.
e the form of system (2), we obtain:
The random dynamic programming principles is to
⎪⎧q = p set up and solve the random dynamic programming
⎨ (3)
⎪⎩p =−c1′p −c2′q −c0′ p−kq
3 3
′ +u+(α′q+β′)Wt () principle functions to the certain random optimal
The Hamilton function can be written as follows: control problem, determine the optimal control, then
solve the optimal state. Let value function:
H ( p, q) = p 2 / 2 + k ′q 2 / 2 (4)
V (tl , H ) = sup P{H(τ , u) ∈Ω,τ ∈[tl , t f ]} (7)
According to the quasi Hamiltonian theory, the system u∈U
(3) converges to the one-dimensional Ito diffusion Where U represents the constraint suffered by the
process:
control force, “sup” is abbreviation of “supremum”, tl
∂H
dH = [m(H )+ < u >]dt + σ (H )dB(t ) (5) represents the initial time and t f represents the initial
∂p
Where: B (t ) is a standard Weiner time. So the value function V (tl , H ) is the conditional
process, m( H ) and σ ( H ) present drift coefficient and reliable function of optimal control system under
diffusion coefficient of uncontrolled system, they can control. According to the random dynamic
be calculated by quasi non-integrable Hamiltonian programming principles, the The random dynamic
stochastic average method[13]: programming function denotes as follows:
4 Dα ′β ′ 2 1 / 2 ∂ ∂H ∂ 1 ∂2
m ( H ) = D β ′2 + H + ( ) +u ] + σ2(H) 2 }V(tl , H) = 0 (8)
sup{ +[mH
π k′ u∈U ∂tl ∂p ∂H 2 ∂H
Dα ′2 − k ′c0′ 3 2 −
3 The termination time of function (8) is:
H − ( c1′ + c2′ k ′ 2 ) H 2 V (t f , H ) = 1, H ∈ Ω (9)
k′ 2 π
The boundary condition is:
16 2 3 / 2 Dα ′2 2
σ 2 ( H ) = 2Dβ ′2 H +
Dα ′β ′ H + H V (t f , H ) = 0, H = Γ (10)
3 k′ k′
As to the problem of mean first-passage time, the
1 ∂H
<i>=
T (H ) ∫Ω
(i /
∂p
)dq value function can be described:
V ( H ) = sup E[τ ( H , u )] (11)
As u is a function of p, q , we cannot calculate the u∈U

Where V ( H ) satisfies the random dynamic

∂H
value of < u > temporarily. Next section we will programming function as follows:
∂p
∂H ∂ 1 ∂2
describe it in detail. sup{[m(H) +u ] + σ2 (H) 2 }V(H) =−1 (12)
u∈U ∂p ∂H 2 ∂H
3. Optimal control the boundary condition:
V ( H ) = 0, H = Γ (13)
It is the feedback force who changes the unstable The functions (7-13) composite the nonlinear
system into stable or enhances the reliability of the stochastic optimal control strategy aim at the max
system as to the stochastic dynamical system. The reliability, further the optimal control force u * in the
stochastic stabilization is an ergodic control method base of quasi Hamilton system’s stochastic average
with undetermined cost function in semi infinite time. method and random dynamic programming principles.
The aim of optimal control can be described as the Suppose that the force was bounded, that is,
extremum of a functional, which is called cost −b ≤ u ≤ b . From equation (8) we can know that the
functional or performance character. As for the
problem of stochastic optimal control, the state and optimal control force u * should make the left reaches
control are both random process, the functional is

428
the maximum value, so that the optimal control Refer to other document data, we obtain the values of
forcefulfills: parameters. Select the safety area boundary Γ = 10 , time
∂H ∂V interval Δt = 10 −5 , the figures of reliability function and
u* = bsign( ) (14) conditional moment of the first-passage time function are
∂p ∂H
given as Fig2-Fig3.
For the value function V ( H ) is the decreasing
function of H , that is, ∂V / ∂H < 0 , so the equation 1.000

(14) can be simplified as:

∂H
u* = −bsign( ) (15)
∂p b=1

Substitute (15) into (13) and do the average , we can

R(t)
get b=0.5
∂H 2 2b 1/ 2
<u >= − H (16)
∂p π b=0

Substitute (16) into (5), the under controlled Ito

differential equation after average: 0.998
0 2 4 6 8 10
dH = m′( H ) dt + σ ( H ) dB (t ) (17) t

Where :
2 2b Figure 2-a Conditional reliability function when H = 4
m ′( H ) = m( H ) − H 1/ 2 (18)
π 1.000

The optimal conditional reliable function 0.995

Ropt (t | H 0 ) of (17) fulfills the BK(background
0.990
Kolmogorov) equation:
∂Ropt ∂Ropt 1 2 ∂2 Ropt 0.985
R(t)

= m(H0 ) + σ (H0 ) (19) b=0

∂t ∂H0 2 ∂H02 0.980
b=0.5
Initial condition: 0.975

Ropt (0 | H 0 ) = 1, H 0 ∈ Ω (20) 0.970

b=1
Boundary conditions: 0.965
Ropt (t | H 0 ) = 0, H 0 = Γ (21) 0 2 4 6 8 10
t
Ropt (t | H 0 ) < ∞, H 0 = 0 (22)
The under controlled system’s first-passage time Figure 2-b Conditional reliability function when H = 6
popt (T | H 0 ) fulfills: 1.00

∂Ropt (t | H 0 )
popt (T | H 0 ) = − |t =T (23)
∂t
0.95

If left boundary is an entrance boundary, the 0.90

corresponding Boundary condition of BK function can
R(t)

b=0
be rewritten as follows: 0.85
b=0.5
∂Ropt ∂Ropt
= m( H 0 ) , H0 = 0 (24) b=1

∂t ∂H 0 0.80

0.75
4. Numerical result 0 2 4
t
6 8 10

For the BK (Backward-Kolmogorov) function Figure 2-c Conditional reliability function when H = 8
reliability function fulfils is partial differential
function, the analytical solutions usually cannot be
obtained. Here we use finite difference method to
obtain the numerical solution.

429
 the enhance of the control force can make the system more
0.0010 b=0
safety.
From Figure 3a-c we can see that the conditional moment
0.0008 b=0.5
of the first-passage time function p (T | H 0 ) exists a peak in
b=1
0.0006 its sharp with the passage of time and the peak value
increases with H increases, that is, the system becomes
p(T)

0.0004
dangerous than before, but the enhance of the control force
can reduce the peak value and fortify the system.
0.0002

5. Conclusion
0.0000
0 2 4 6 8 10
T The optimal control problem of semi-active
suspension system model suffered with random
Figure 3-a Probability density of first-passage time excitation has been discussed in this paper. The
when H = 4 Hamilton function has been described as one
dimension diffusion process by using stochastic
b=0
0.010
average method, the backward Kolmogorov equation
b=0.5
for reliability function and conditional moment of the
0.008
first-passage time have been established, the numerical
results are given in virtue of figures according to the
0.006
classification of boundary conditions and initial
p(T)

b=1 conditions. The results indicate that the safety of

0.004
system state is becoming weaker and more fragile to be
damaged with the time flow and increase of H ;
0.002
meanwhile, the enhance of the control force can reduce
0.000
the risk.
0 2 4 6 8 10
T
Ackowledge
Figure 3-b Probability density of first-passage time
when H = 6 The project supported by the National Natural
Science Foundation of China (10732020).
b=0
0.10 b=0.5
References
b=1
0.08
[1] Wang Hongli, Shi Lei, etc, “Active control for nonlinear
vibration of automotive suspension”, Journal of Mechanical
0.06
p(T)

Strength, 2000, 22(3), pp. 164-166.

0.04
0.02
0.00
0 2 4 6
T
Figure 3-c Probability density of first-passage time
when H = 8
From Figure 2a-c we can see that the reliable function
R(t | H 0 ) is becoming smaller with the passage of time and
it is reducing faster when H increases, but the enhance of
the control force can slow the attenuation. that is, the
probability of system state staying the safety area is
becoming smaller and the system becomes more fragile to be
damaged with the time flow and increase of H ; meanwhile,
8 10
[2] Qiao Yu, Wang Hongli, etc, “VOFB control of nonlinear
vibration for active suspension”, Chinese Journal of
Mechanical Engineering, 2002, 38(12), pp. 21-24.
[3] Y. Q, Ni, J. M. Ko and C W, Wong, “Non-parametric
Identification of Nonlinear Hysteretic Systems”, Journal of
Engineering Mechanics, 1999, 125(2), pp. 206-215.
[4] Dafeng Jin, Yiming Zhang, “Adaptive control of Semi-
Active suspension for all-service vehicle”, JSAE review,
1995, 16(2), pp. 214-215.
[5] Choi, S.B, Lee, Chang, E.G, “Field test results of a semi-
active ER suspension system associated with skyhook
controller”, Mechatronics, 2001, 11(3), pp. 345-353.
[6] Dong Xiaomin, Yu Miao, etc, “Research on application
of human-like intelligent control used to vehicle magneto
rheological semi-active suspension”, China Academic
Journal Electronic Publishing House, 2007, 18(7), pp. 764-
769.
[7] Fang Zifan, Deng Zhaoxiang, “Study on Control Method
of Automotive Magnetorheological Semi-active Suspension

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System”, China Academic Journal Electronic Publishing
House, 2007, 18(9), pp. 1121-1124.
[8] Roberts J B, Spanos P D, “Stochastic averaging: An
approximate method of salving random vibration problem”,
Int J Nonlinear Mechanics, 1986, 21, pp. 111-134.
[9] Zhu W. Q, Ying, Z. G, Soong, T.T, “An optimal
nonlinear stochastic control strategy for randomly excited
structural systems”, Nonlinear Dynamics, 2001, 24, pp. 31-
51.
[10] Ma YF, Xiu ZL, Sun LH, et al, “Hopf bifurcation and
chaos analysis of a microbial continuous culture model with
time delay”, International Journal of nonlinear sciences and
numercal simulation, 2006, 7(3), pp. 305-308.
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[11] Pan Cunzhi, Yang Shaopu, et al, “Experimental study of
a Semi-active control isolation System with Magneto-
rheologicaI Damper”, Journal of Shijiazhuang railway
institute, 2006, 19(3), pp. 36-39.
[12] Yang Shaopu, Shen Yongjun. Bifurcation and
singularity of lag nonlinear system. Beijing, Science Press,
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[13] Zhu Weiqiu, Nonlinear stochastic dynamics and control,
Beijing, Science Press, 2003.
 2008 International Conference on Intelligent Computation Technology and Automation

Research Quality Pig Growth Temperature Control System

Ma congguo 1,2 , Zhao dean1

1
Jiangsu University, P.R.China
2
Huaiyin Institute of Technology, P.R.China
macongguo@163.com

Abstract control technology are applied to control the ambient

The temperature settings of quality pig growth
environment affects their growth and the
environmental regulation energy consumption and
breeding system economic benefit directly. Based on
the input output sampled data, the method simulating
quality pig growth temperature model with BP neural
network was simply introduced, Fuzzy Genetic
Algorithm (FGA) was used to optimize on-line
temperature settings; in control process, FGA was
used to regulate the parameters of fuzzy controller, the
experimental results have shown fuzzy controller gets
better precision than before. The practice has shown
breeding system economic benefit has the very big
enhancement after using this system's controller.
1. Introduction
In quality pig production, feed utilization is quite
influenced by environmental factors besides the
animals; the ambient temperature [1] affects pig
thermal regulation and impacts their health and
performance. It is necessary for the temperature to
control effectively. In order to enhance the economic
benefit of breeding system and reduce breeding cost,
this paper will right instruct the practice of pig
production and provide the reference of reasonable
controlling temperature according to the growth
temperature and the ratio law of feed intake and gain
weight.
This paper uses neural networks to establish
nonlinear pig temperature models of multi-input and
multi-output, and puts forward neural network
identification method, and avoids the pig physiology,
growth, and so nonlinear, time varying, saturation, and
other complex [1]. BP neural network trained will be
regarded as quality pig temperature model of breeding
controlling system, the system will optimize the
controlling system settings of temperature by using
genetic algorithms, genetic algorithms and fuzzy
temperature of quality pig growth.
2. Controlling system design
Breeding system is a corresponsive process of
multi-input and multi-output complex physiology and
growth, which is strongly nonlinear, strong coupling
and the characteristics of the distribution parameters.
The opening of breeding environmental equipment and
the outside climate will affect the environmental
temperature, according to the temperature impact the
ratio of feed intake and gain weight during different
growth stages, the system controls environmental
temperature by grading, that is different environmental
temperature in different growth stages. The system is
shown [2] [3] in Figure 1.
Figure 1. Optimal controlling system
In optimizing system Ⅰ, the system optimizes the
temperature settings of the ambient environment by
using FGA and the temperature model of pigs, and
neatly controls the breeding environment temperature
based on the settings value according to pigs at
different growth stages. Because the environmental
temperature affects response (the daily gain and feed
consumption), the system applies neural network
improved to identify the temperature models of pigs. In
optimizing system Ⅱ, the states of controlling
equipment and other factors affect the environment

978-0-7695-3357-5/08 $25.00 © 2008 IEEE 432

DOI 10.1109/ICICTA.2008.244
temperature, FGA and neural network model of the
environment are made use of optimizing the
controlling parameters and rules attached to the fuzzy
controller to adjust the ambient temperature.
2.1. FGA optimizing system
The realization of fuzzy genetic algorithm [3] is :
during the genetic algorithm course of groups, fuzzy
controller timely and adaptively adjusts crossover and
mutation probability of genetic algorithm to gain the
better controlling quality and the faster convergence
and finds the best fuzzy rules. Pc and Pm of fuzzy
genetic algorithm is not fixed, basing on the current
synthesis individuals fitness in the population, fuzzy
control methods generate the Pc and Pm of the next
genetic manipulation, and speed up the process of
genetic algorithm and improve the quality of
convergence after the end of each iteration process,
Fuzzy Genetic Algorithm flow chart is shown in Figure
2.
Figure 2. Flow chart of FGA
The steps are as follows:
Step1: initialization. Set number of iterations
counter k←0, set the maximum number of iterations
K; individuals randomly generated as the initial
group’s oldpop (0).
Step2: Individual rating. Calculate all individual
fitness in oldpop (k) groups.
Step3: Select computing. Operators will act on the
colony, in this paper; the choice operator is the
selection method of adaptation (roulette wheels).
Step4: crossover and mutation computing , the
operator of crossover and mutation will operate
groups, cross probability of Pc(k) and mutation
probability of Pm (k) derive from the output of fuzzy
controller, the groups of oldpop (k) will generate the
next groups of oldpop(k +1) after selection, crossover
and mutation computing. Fuzzy controller determines
the value of each group Pc and Pm, and the methods of
fuzzy controlling rules obtain the best results of genetic
433
algorithm through iterative process, they are detailed
by the literature [3].
Step5: the judgment of termination conditions. If k
≤ K, k ← k +1, go Step2; If k> K, the largest fitness of
individual will be optimal solution output in the
process of evolution, termination computing.
2.2. Optimization system I
Optimization System I, which is made up of the
temperature models of quality pigs identified by neural
network and fuzzy genetic algorithm, they will find the
best settings of environmental temperature. In order to
obtain greater economic benefits, this paper chooses
the ratio of gain weight and feed intake as the
maximize fitness function, which characterizes the
maximize benefits of feed intake, namely:
N
J =1 ∑ (α ⋅ D(k ) / β ⋅ W (k ))
k =1
(1)
among formula: D(k) as the weight of feed
consumption, W(k) as pig gain weight, α and β is
the temperature influencing coefficient of pig feed
consumption and gaining weight, K = 1,2… N for the
sampling time.
(1) Neural Network
According to the experimental data [1] and
expertise, the growth temperature of pigs is related the
states of controlling equipment of the growth
environment and inlet temperature factors. The
literature [1] dynamically simulated the curves of pigs
daily gain , feed consumption and the ratio of pigs gain
weight and feed consumption under different the
conditions of environment temperature, their input and
output have taken on non-linear dynamic mapping
relations, BP neural network improved [4] identified
the growth temperature model of quality pigs is shown
in Figure 3.
Figure 3. Identification model structure
The BP neural network contains three layers, and
identifies quality pigs gaining weight W (K) (k = 1, 2,
N; different sampling time) and feed consumption D
(K) (k = 1, 2, N; different sampling time) model under
different ambient temperature T (k) (k = 1, 2, N;
different sampling time),Its input is current
temperature and the past gain weight and the past feed
consumption , The output is the pig gain weight W (K)
and feed consumption D (K) of the current moment,
the paper has adopted BP algorithm improved, the
training's goal of BP neural network is to make the
average square error (MSE) Minimum:
(2)
E =
MSE
1
N
( 2
)
(∑∑WJ(K)−HJ(K) +∑∑ DJ(K)−MJ(K) )
2
( )
0 J K J K
among formula: N0 is the total number of data points,
The Wj(k) and Hj(k) denote the j output of k data
point expectations heavy of pigs and the actual output
of the model, the Dj(k) and Mj(k) figure the j output
of k data point feed consumption expectation and the
actual output of the model. The data trained are quality
pigs gaining weight and feed consumption at different
temperatures, they are provided for the neural network
during the training process. According to the principle
of the minimum mean square error and the shortest
training time, the network chooses 64 neuron numbers
hidden layer.
(2) genetic coding
Genetic coding is conversion methods ,the
feasibility solution of question is transformed from
solution space to searching space of the genetic
algorithm, during genetic algorithm running process, it
doesn’t directly operate the actual decision variables of
solving problems, but the individual coding of feasible
solution is imposed various genetic manipulation to
achieve the purpose of optimization. Optimizing
system I, it is necessary to optimize the parameters of
temperature settings value, which has a certain
precision and a relatively small number, therefore, the
paper uses binary encoding method, their mapping
relations:
T = T + binrep 2 L (T − T ) （3）
i i min
i
i max
Among formula: Ti as the temperature settings,
[Timin, Timax] is range of the temperature change,
binrep expresses the binary integers of the Li long
string of binary.
2.3. Optimization system Ⅱ
Optimization System Ⅱ, FGA optimizes
quantifying factor, scale factor, membership function
width and fuzzy rules, and finds the best parameters of
fuzzy controller to ensure the temperature accuracy of
pig’s growth environment, this paper adopts the
opposite value of absolute between the system settings
and the system output error as fitness function, namely:
N
（4）
T =− −∑T
k =1
set T i
Among formula: Tset as settings, Ti as system output
values, N as the sampling frequency, the fitness
function synthesizes the rise time, the exceeding,
steady state error, and many other performance
indicators of the system. The goal of optimization is to
make fitness function T the largest. The three layer BP
neural network [5] identifies model of the pig’s growth
environment during the optimizing process.
(1) fuzzy controller design
In the realization of fuzzy control algorithm, the
accuracy value of inputs must be transformed into a
corresponding value of fuzzy sets domain, this is the
conversion of the basic domain (exact quantity) to the
fuzzy set domain (fuzzy quantity), this conversion
process need introduce the concept of quantitative
factors. If the error and error rate are two inputs of
fuzzy controller, the error quantization factor is ke,the
quantization factor of error change rate is kc, similarly,
the output of the fuzzy control algorithm can not
directly control object, which must be switched the
basic domain accepted by the system object through
the scale factor ku. Theoretical analysis and
experimental results have shown that the size of
quantitative factors and scale factor and two
quantitative relationship of the fuzzy controller will
make a great impact on the controlling performance;
their size identified is often a very tedious process by a
lot of debugging. Prerequisite language variables of
fuzzy control rules form the space of fuzzy input; the
linguistic variables of the conclusions constitute a
fuzzy output space. Each fuzzy linguistic value is
corresponding a fuzzy subset and determines the curve
shape of the subset membership function in fact; the
shape of the fuzzy subset membership function largely
influences the controlling effects. The sharp shape of
the membership function has high resolution
characteristics; instead, it is low resolution
i min characteristics. This paper takes to improve the
temperature of pigs growth environment as an example
in winter and closes the other implementing
equipment, A hot stove enhances the temperature of
the environment, following figures 4 and 5 for
membership function of temperature error and
temperature error change rate, figure 6 output of hot
stove ventilation membership function of working
time, figure 7 hot stove heating the fuzzy rules of
working length.
Figure 4. Error Figure 5. Error rate
434

Figure 6. Time function
as Figure 9 from an initial temperature at 25 oC to
temperature settings at 28 oC in winter, which is
compared with the fuzzy controller which wasn’t
optimized, the results have showed that the controlling
error of temperature were smaller and the system will
be able to provide the better growth environment for
quality pigs.
Figure 7. Fuzzy rules

Fuzzy rules are generally based on expert knowledge

or experiences, but different controlling objects, expert
knowledge and experience can only play a guiding
role, controlling rules should also be changed with the
object, certain optimization method must match rules
of the controlling object. Therefore, this paper
synthetically optimize ke, kc, ku of quantifying factor
and the scale factor and a, b, c of the width of the Figure 8. Temperature settings
subset membership function and X1, X2, X3 of fuzzy
control rules.
(2) genetic coding
This paper takes the principle of multi-parameter
tandem coding, so here each chromosome can be
divided into three parts, binary encoding for the
quantitative factors and the scale factor (ke, kc,
ku),The binary encoding for width of the membership
function (a, b, c), binary coding for the controlling
rules (X1, X2, X3), single chromosome coding as
follows:
Individual=ke, kc, ku, a, b, c, X1, X2, X3 (5)
Figure 9. Controlling result
3. Experiment and control results
4. Conclusion
The experiment chosen 80 hybrid quality pigs
named Duchangda (the male trigamous equal This paper aims at temperature control objective
numbers), and researched temperature impact to and precision of quality pig breeding environment,
production performance of the growing pig. In the which is set by relying on experience and difficultly
indoors, the temperature of many independent small attains optimal controlling problems, optimization
rooms can be automatically adjusted according to settings and the fuzzy controller based on fuzzy genetic
algorithm were proposed, optimization settings results
demand, their adjustable range is 0-40 ℃,experimental
and controlling results have shown that the quality pig
design applied 4ⅹ5 factor tests[1], pigs will be environmental temperature control system is certain
divided into 20 to 40 Kg, 40-60Kg, 60-80Kg, 80- reliability. The temperature controlling system
100Kg four growth stages according to their weight, optimized will establish the foundation of further
temperature was set up five levels of 23,26,29,32 and research and development environment controlling
35 ℃, The total processing was 20,each had four pigs system suited to China's animal breeding
(2 male 2 trigamous),specific testing consults the characteristics.
literature [1].
According to the different growth stages of quality References
pigs, by optimizing system I ,the best settings of
temperature is shown in Figure 8 during the different [1] Guo Chun hua, Production Performance Model of high
growth stages, they are 28oC,22 oC,28 oC,22 oC during temperature and low temperature on growth and fattening
four growth stages. We repeatedly optimized fuzzy pigs, Breeding pig, 2005(5):12-16.
controller of optimizing system Ⅱand experimented in [2] Dai Jian feng, LuoWei hong, Qiao Xiao Jun, etal, Model-
our experiment site, the temperature responded curve based decision support system for greenhouse heating

435
 temperature setpoint optimization, Transactions of the
CSAE, 2006, 22(11): 187-191.
[3] QI Zhi dong, ZHU Xin Jian, ZHU Wei Xing, Integrated
Optimization of Neuron-fuzzy Controller Base on Fuzzy
Genetic Algorithm, Computer Simulation, 2004, 21 (6):
122 -126.
[4] Wang Da Yi, Ma Xing Rui, Neuron-Optimal Guidance
Law for Lunar Soft Landing, Engineering and Electronic
Technology, 1999, 21 (12):31～34.
[5] Gong Chi Kun, Mao Han ping, Summer Temperature-
Humid Fuzzy-Neural Network Control in Greenhouse
By Using Genetic Algorithm, Transactions of the
CSAE, 2000, 16(4):106-109.

436
 2008 International Conference on Intelligent Computation Technology and Automation
Research on Temperature Control Algorithm in Pipe Production Process
Wanzhi Chen
Liaoning Technical University, HuLuDao 125105, China
chenwanzhi@hotmail.com
Abstract
To the temperature’s controlled characteristic in
process of pipe production this paper provides the
thought of improving the unidentifiable adaptive
algorithm by adopting the fuzzy forecast control
arithmetic. It provides the special methods of
temperature curve control and designs the detailed
data combined with practical application, solves the
control problems of industrial process with time lag,
uncertainty, strong inertia, etc. The physical running
effect of system shows that the algorithm’s adaptability
and flexibility and effect are satisfactory.
1. Introduction
The large-size conical tank of pipe production has
the different requires to temperature of various craft,
and the tank’s different zones also have different
demands to the temperature control. There are many
complex relations among the zones. The ordinary
linear regulation has difficult in order to get the ideal
process control to temperature with the affection of
stochastic factors.
2. Description of temperature
The pipe production is a complex control system
whose characteristics can’t be described with strict
mathematic equation, so the ordinary linear regulation
can’t meet with demands of the objects and the
industry control, the result is very bad if using the PID
algorithm. The value’s action process can be described
exactly with differential equation, but the valve’s
parameters will change if the running time is long, so
the differential equation which describe the value’s
characteristics will lose it’s meaning, so that the whole
system will can’t function normally. Above all, this
paper concludes the controlled variables characteristics
of pipe production tank [1].
1) The no linearity of the controlled object.
978-0-7695-3357-5/08 $25.00 © 2008 IEEE
DOI 10.1109/ICICTA.2008.82
2) The correlation among the variables of the
controlled object.
3) The unknown and variable characteristics of the
controlled object’s time lag.
4) The change with time, uncertainty and dispersion
characteristics of the controlled object’s parameters.
5) The time change, unknown, uncertainty and
variety of the surrounding’s disturbance.
3. Fuzzy forecast control algorithm
At present, the unidentifiable adaptive control
algorithm which brought forward by Marsik and Strejc
throw away the process mathematic model, it can
realize process adaptive control by examine the
temperature actual output and the expectant output on
line. It is a very effective method to deal with the
uncertain object control’s problem. But the method
uses the process’s present and past messages to control
the present action, it can’t forecast the future outputs
and changing trend of the process, so it can’t control
the strong inertia and complex industrial process.
Due to meet the demands of the pipe temperature
control in production process control and doesn’t add
demands to process model and also makes the
unidentifiable adaptive control algorithm adapt to
complex industrial process control whose
characteristics has the characteristics of time lag and
difficulty to model. Because fuzzy control is a sort of
control method based on the difference between
process actual output and expectant output. It has
original effect to deal with some controlling problems.
So this design adopts fuzzy forecast control to amend
the controlling principle of non-identification and
adaptive controlling algorithm. It not only resolves the
controlling problem of absolute time lag in process, but
doesn’t bring forward new demands to process model.
3.1. The unidentifiable adaptive control
The unidentifiable adaptive control algorithm
brought forward doesn’t need identification process
437
parameter, and it only needs examine the process
actual output and expectant output on line [2], this
adaptive algorithm is simple and practical.
At the sampling moment of k , hypothesize
that y ( k ) is the process actual output, w( k ) is the
−1
process expectant output, z is the lag factor.
Define e ( k ) , ec ( k ) and er ( k ) as the difference between
the process actual output and expectant output, the
changing rate of the deviation and acceleration of the
deviation. They are described as following equations.
e ( k ) = w( k ) − y ( k )
ec ( k )=e ( k )−e ( k −1) =(1− z −1 )e ( k )
er ( k )=ec ( k )−ec ( k −1) =(1− 2 z −1 + z −2 )e ( k )
Unidentifiable adaptive control
controlling rule is:
ua ( k )= g ( k )[e ( k )+ 2 Kc ( k ) ec ( k )+ 2 Kc 2 ( k )er ( k )]
g ( k ) is controller’s gain,
Kc ( k ) is controller’s parameter.
In the process of the unidentifiable adaptive control
algorithm, we neither thought the model’s structure of
the process nor the process’s parameter. The controlled
objects only based on the output and input messages in
the process, as far as these fermentation processes
which is difficult to model, it is a very effective
controlling method [3]. It is mainly showed on the
online rectification to g ( k ) and Kc ( k ) .The rectified
results can affect the controlling system’s results
directly.
Kc ( k ) can be rectified with the following equation.
ΔKc ( k )= L∗sign[ ec ( k ) − K c ( k −1) er ( k )]
Here while 0.05≤ L∗ ≤0.1 the controlling system is
stable, g ( k ) can be got by following equation.
1 If the process actual output is smaller than expectant
Δg(k)= δ g(k−1)
Kc(k−1)
δ is a little positive number whose spectrum is
0.025≤δ ≤0.05 .
The calculating amount of the unidentifiable
adaptive control algorithm is very little, it used
message of present and pasted process to decide the
controlling action, and it can’t control the strong time
lag objects.
3.2. The adaptive fuzzy forecast control
Hypothesize that the pure lag time of the process
is d , e ( k ) is the deviation between the process actual
output and expectant output at the sampling moment
of k , Δe ( k ) is the change value of the deviation
between the process actual output and expectant output
between the moment k and the moment k − d ,
e ( k ) and Δe ( k ) can be described as:
e ( k ) = w( k ) − y ( k )
Δe ( k )=e ( k )−e ( k − d )=(1− z − d )e ( k )
Ke and K Δe is the fuzzy proportional factor of
e ( k ) and Δe ( k ) , Ku is the clear factor of the output of
the forecast control, E ( k ) and ΔE ( k ) is the language
variables of the e ( k ) and Δe ( k ) , so the adaptive
controller’s structure based on the fuzzy forecast
algorithm is as the following Figure 1.
1 − 2 z −1 + z −2 Self-emend
1 − z −1
algorithm’s Control + u (k ) y (k )
ω (k )+ e(k ) Process
Rules
− +
kε 1− z −d
k Δε
ΔE(k) Fuzzy
ku
Rules
E(k)
Figure 1.Structure of adaptive fuzzy forecast controller
The fuzzy forecast function of the adaptive fuzzy
forecast controller is, at each sampling moment, to
estimate the function of the controller system and
rectify the unidentifiable adaptive controlling rules
according to the actual output. We use two-
dimensional fuzzy forecast controller, so this
controller’s input at the moment of k is
e ( k ) and Δe ( k ) , the output is the rectified value
Δu f ( k ) of the controlling law, so the fuzzy regulation
of the forecast control is:
If E ( k ) is Ai and ΔE ( k ) is B j , then ΔU f ( k ) is Cl .
ΔU f ( k ) is the language variables of Δu f ( k ) , Ai ,
B j and Cl are the fuzzy sets of e ( k ) , Δe ( k ) and Δu f ( k ) .
output at the moment of k , [ y ( k )<ω ( k )] , and the
process fact output have the even smaller trend than the
expectant output. So we can infer that the input at the
moment of k − d is too small, we should increase the
output of the controller. Oppositely, if the process
output is bigger than the expectant output [ y ( k )>ω ( k )] ,
and the process output has the even bigger trend than
the expectant output. So we can infer that the input at
the moment of k − d is too big, we must decrease the
controller’s output at the moment of k − d . Using the
same analytical method we can get the control value’s
fuzzy rectified rules under the other model, as Table 1
shows.
E ( k ) , ΔE ( k ) both use full-overlapped symmetrical
triangular membership function as Figure 2.
438
 The output variable ΔU f ( k ) use the symmetrical system besides eliminating the deviation, preventing
singleton subordinated function, as Figure3. the system from overshooting, even cause the system
oscillate.
Table1.Control Rules of Fuzzy Forecast We use the arithmetic of weight average to explain
the output of the fuzzy forecast control; it is decided by
ΔU f ΔE the following algorithm [4].
P Z N
E n
P PB PM PS Δu f ( k ) = Ku ∑ W (i , j )Cl ( ΔU f ( k ))
Z PS ZE NS i , j =1
N NS NM NB u ( k ) is the control value of the process input.
2
Ai ( E ) u ( k ) = g ( k )[e ( k ) + 2 K ( k ) ec ( k ) + 2 K ( k )er ( k )]
c c
N Z P n
+ K ∑ W (i , j )Cl ( ΔU f ( k ))
u
i , j =1

-a 0 a E
3.3. The Control Model
Figure 2. Subordinate function of fuzzy sets 1
According to the many factors in the pipe
C（l ΔU f ）
production we get the final model process using the
NB NM NS ZE NB NB NB method that combine the principle modeling with
process modeling through the industry experiments.
Ke −τ s
-c 0 c ΔU f G ( s)=
1+Ts
Figure 3. Subordinate function of fuzzy sets 2 K means proportional coefficient, T means inertial
coefficient, τ means time lag constants.
Using the adaptive control methods based on fuzzy
forecast to control the pipe production process
described in the above equation. According to the
demand of controlling craft in fermentation process,
we make the fuzzy proportional factor
Ke =5 and K Δe = 20 , clear factor K = 2 , sampling time
T = 0.1s in fuzzy forecast control, the gain parameter
of the unidentifiable adaptive control
algorithm L∗ =0.08 , controller’s parameter δ =0.035 .
Then we get a good result.
14
12
10
Figure 4. Illustration of fuzzy control input and output
8
6
± a and ± c in Figure 2 and 3 is the bounds of the
4
fuzzy domain, Ai ( E ) and Cl ( ΔU f ) is the subordinated
2
function of the fuzzy variables E and ΔU f .
0 2 4 6 8 10 12 14 16 18 20 22
We can get the relationship about the fuzzy
controller’s language rules’ outputs and inputs using Figure 5. Recorded curved line of pipe production
the rules of Form 1 to infer the result. As Figure 4 In the actual process experiment, the actual running
shows, it is a curved surface which shows the nonlinear curve is showed as Figure 5 through the process of a
relationship between the input and output. when the period, the dynamic property of the temperature
deviation changes bigger, the change of the controlling controlling curve is very good.
value can decrease it swiftly, when the deviation
changes smaller, we must consider the stability of the

439

4. Conclusion
Through the actual running situation about the
industrial control of the pipe production. We can see
that the system’s dynamic property is good, so we can
get good effects of production process, industrial
process which with time lag, uncertainty strong inertia
by using this control method, which adaptive fuzzy
forecast [5].
Acknowledge
This work is partially supported by LTU Grant
07A128
References
[1]Wanzh Chen, “Research of Temperature Characteristics
and Control Algorithm in Beer’s Fermentation Process”, The
440
2nd International Conference on Computer Science &
Education, ICCSE 2007, pp. 245-248.
[2] Marsik, J. - Klan, P. - Strejc, V, “Easy Design of
Deadbeat Control Using Plant Step Response Only”, Control
Engineering Practice, vol. 2, January. 1993, pp. 381–384.
[3]Mamzic, C., “Guidelines for the application of statistical
process control in the continuous process industries”,
Measurement and control, vol. 28, March. 1995, pp. 69–73.
[4]Takagi T, Sugeno M, “Fuzzy identification of System and
its application to modelling and control”, IEEE Trans. Syst,
Man, and Cybern, vol. 15, Feb. 1985, pp. 116–132.
[5]Jinxian Zhao, “Research of Monitoring System by
Microcomputer in the Beer’s Fermentation Process”, PH.
Degree Paper, Sep.2001
 2008 International Conference on Intelligent Computation Technology and Automation

Robust Control for Uncertain Linear Differential Algebraic Systems with

Time Delays

Xingmin Ji
Department of Mathematics and Physics , Xi’an Institute of Post and Telecommuncation , Xi’an,
Shaanxi Provine,China 710061
jxmin@xiyou.edu.cn

Abstract ⎧ •
⎪ E x(t ) = [ A + ΔA(t )]x(t ) + [ B + ΔB (t )]u (t ) + Cx (t − τ 1 (t ))
⎪ + ΔC (t ) x(t − τ 2 (t )) + Du (t − τ 3 (t )) + ΔDu (t − τ 4 (t ))
The uncertain linear differential algebraic systems ⎨
with multiple time delays in system state and control ⎪ + Δf 1 ( x(t )) + Δf 2 ( x (t − τ 5 (t ))), t > 0
⎪
are studied. The systems not only contain uncertainties, ⎩ x(t ) = φ (t ), t≤0
but also experience uncertainties in the input channels. (1)
The condition for robust stabilizable independent of
delay of this kind of systems is presented by using where x(t ) ∈ R n is the state, u (t ) ∈ R m is the
Lyapunov methods. Using solutions of Lyapunov and
control. A, C ∈ R n×n and B , D ∈ R n×m are
Riccati equations, a linear state feedback control law
n× n
is put forward here. known matrices. ΔA(t ), ΔC (t ) ∈ R and
n×m
1. Introduction ΔB(t ), ΔD(t ) ∈ R are time varying uncertainties,
which satisfying
The problem of stabilizing uncertain systems with ΔA(t ) = M 1 F1 (t ) N 1 , ΔB(t ) = M 2 F2 (t ) N 2 ,
time varying and bounded parametric uncertainties has
ΔC (t ) = M 3 F3 (t ) N 3 , ΔD(t ) = M 4 F4 (t ) N 4 (2)
attracted a considerable amount of interest in recent
years.Sufficient conditions for quadratic stability of where M i ∈ R n×si (i = 1, " ,4) ,
linear systems with time-varying structured qi × n qi × n
Ni ∈ R (i = 1,3) or N i ∈ R (i = 2,4) are
uncertainties are formulated in [1] and[2].The robust
stability of time delay systems are discussed in [3]-[7]. known constant matrices, and
si × qi
But the systems in [3] –[7] are only subject to state Fi ∈ R (i = 1, " ,4) are unknown matrix
delay without control delay. The robust stability of a satisfying
kind of linear uncertainties systems with time delay is
Fi T (t ) Fi (t ) ≤ I ∀i = 1, " ,4, ∀t > 0
considered in [8]. But the uncertainties are all linear. A
kind of uncertainties systems which subject to time Δf1 ( x(t )) = G1δ ( x(t )) ,
delay in system state and control is studied, and the Δf 2 ( x(t − τ 5 )) = G2δ ( x(t − τ 5 )) ，
uncertainties maybe nonlinear.
δ ( x) ≤ Gx(t ) , (3)
2. Problem Statement and Preliminaries τ i (t )(i = 1,",5) are arbitrary differentiable

Consider the class of uncertain linear differential functions satisfying :for all t > 0
algebraic systems with time delay described by
•
equations of the following form 0 ≤ τ i (t) ≤ d i < ∞ , τ i (t ) ≤ ξ i < 1 , i = 1," ,5
(4)

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DOI 10.1109/ICICTA.2008.291
 φ t
∫
t
∫
Suppose is a continuous vector valued function
x T ( s) R2 x( s)ds + x T ( s ) R3 x( s )ds +
defined in [− d ,0] with d = max{d i , i = 1," ,5} . t −τ 2 t −τ 3
t t
Definition 1 Consider the uncertain linear
differential algebraic system (1),the system (1) is said ∫ t −τ 4
x T ( s ) R4 x( s )ds + ∫
t −τ 5
x T ( s ) R5 x( s )ds
stabilizable independent of delay if there exists a state (10)
linear feedback control u (t ) = Kx (t ) ,positive where P > 0 is the solution of (5). Then consider the
• • time-derivative of V ( x, t )) along the trajectory of
definite function V (t ) , and V (t ) < 0 ,where V (t ) system. With (4) it follows that
is derivative of V (t ) along system (1) •

Lemma [9] For arbitrary n-dimension − (1 − τ i ) ≤ −(1 − ξ i ) < 0 .

n×1 + So
vector y, z ∈ R ， r ∈ R , we have •

1 V ( x, t ) ≤ x T (t )( P T A + A T P + P T BK + K T B T P +
2 y z ≤ ry y + z T z
T T
5
r ∑ R ) x(t )
i =1
i

3. Main Results and Proof + 2 x T (t ) PΔAx(t ) + 2 x T (t ) PΔBKx(t )

Theorem 1 Consider the uncertain linear

+ 2 x T (t ) PCx (t − τ 1 ) + 2 x T (t ) PΔCx(t − τ 2 )
differential algebraic system (1). Suppose system (1) + 2 x T (t ) PDKx(t − τ 3 ) + 2 x T (t ) PΔDKx(t − τ 4 )
satisfies (2)-(4). If there exist positive definite matrices
Q ∈ R n×n , R ∈ R m×m and constants + 2 xT (t ) PΔf1 ( x(t )) + 2 x T (t ) PΔf 2 ( x(t − τ 5 ))
μ i > 0 , i = 1," ,8 ， such that the following 5
equation: − ∑ (1 − ξ i ) x T (t − τ i ) Ri x(t − τ i ) (11)
i =1
E P=P E T T

∧ Suppose μ i > 0, i = 1,",8 ，with lemma it follows

P T A + AT P − PBRˆ −1 B T P + Qˆ + PHP T + G = 0 that
(5) 1
has a positive definite solution P ，where 2 x T (t ) PΔAx(t ) ≤ x T (t )[ μ1 PM 1 M 1T P T + N1T N1 ]x(t )
μ1
NT N In N 3T N 3 GT G (12)
Qˆ = Q + 1 1 + + +
μ1 μ 3 (1 − ξ1 ) μ 4 (1 − ξ 2 ) μ 7 2 x (t ) PΔBKx(t ) ≤ x (t )[ μ 2 PM 2 M P +
T T T
2
T

(6) 1 T T
T T K N 2 N 2 K ]x (t ) (13)
Rˆ = R +
N N2
+ 2 Im
+
N N4 4
， μ2
μ2 μ 5 (1 − ξ 3 ) μ 6 (1 − ξ 4 ) 2 x (t ) PCx (t − τ 1 ) ≤ μ 3 x T (t ) PCC T P T x(t ) +
T

∧ 1
G= GT G (7) 1 T
x (t − τ 1 ) x (t − τ 1 ) (14)
μ 8 (1 − ξ 5 ) μ3
H = μ1 M 1 M 1T + μ 2 M 2 M 2T + μ 3 CC T + 2 x T (t ) PΔEx (t − τ 2 ) ≤ μ 4 x T (t ) PM 3 M 3T P T x(t )
μ 4 M 3 M 3T + μ 5 DD T + μ 6 M 4 M 4T + 1
+ x T (t − τ 2 ) N 3T N 3 x(t − τ 2 ) (15)
μ 7 G1G + μ 8 G 2 G
T T
(8) μ4
1 2
Then the system (1) is robust stabilizable independent 2 x T (t ) PDKx (t − τ 3 ) ≤ μ 5 x T (t ) PDD T P T x(t )
of the time delays, and the state feedback controller is 1
+ x T (t − τ 3 ) K T Kx(t − τ 3 ) (16)
u = Kx = − Rˆ −1 B T Px (9) μ5
Proof Let the Lyapunov function be
t 2 x T (t ) PΔDKx (t − τ 4 ) ≤ μ 6 x T (t ) PM 4 M 4T P T x(t )
V ( x, t ) = x (t ) E Px(t ) + ∫
T T
x ( s ) R1 x( s )ds +
T
1
t −τ 1
+ x T (t − τ 4 ) K T N 4T N 4 x(t − τ 4 ) (17)
μ6

442
2 x T (t ) PΔf 1 ( x(t )) = 2 x T (t ) PG1δ ( x(t )) ≤ GT G
+ ]x(t )
1 μ 8 (1 − ξ 5 )
μ 7 xT (t ) PG1G1T P T x(t ) + δ Tδ
μ7 •
that is

1 V ( x, t ) ≤ x T (t )( P T A + AT P − PBRˆ −1 B T P
= μ 7 x T (t ) PG1G1T P T x (t ) + x T (t )G T Gx(t )
μ7 + Qˆ + PHPT + G) x(t )
∧

(18)
− x T (t )(Q + K T RK ) x(t ) +
2 x (t ) PΔf 2 ( x(t − τ 5 )) = 2 x (t ) PG 2 δ ( x(t − τ 5 ))
T T

x T (t )( Rˆ −1 B T P + K )T Rˆ ( Rˆ −1 B T P + K ) x (t )
∧
1
≤ μ 8 x (t ) PG2 G P x (t ) +
T T T
δ δ T where Q̂ ， R̂ ， G ， H are given by (6)-(8). With
μ8
2
(5) ,we have
•
= μ 8 x T (t ) PG 2 G 2T P T x (t ) + V ( x, t ) ≤ − x T (t )(Q + K T RK ) x(t ) < 0
1 Therefore ， the system (1) is robust stabilizable
xT (t − τ 5 )G T Gx (t − τ 5 ) (19)
μ8 independent of the time delays. ▇

Suppose Q > 0 , R > 0 , μ i > 0, i = 1, ",6 . 4. Conclusion

n× n
Define K as in (9), let Ri ∈ R (i = 1, " ,5) be
The uncertain systems linear differential algebraic
given by：
systems with multiple time delays in system state and
1 1 control are studied. And the uncertainties maybe
R1 = I n , R2 = N 3T N 3
μ 3 (1 − ξ1 ) μ 4 (1 − ξ 2 ) nonlinear .The condition for robust stabilizable
independent of delay of this kind of systems is given.
1 Using solutions of Lyapunov and Riccati equations, a
R3 = KTK ,
μ 5 (1 − ξ 3 ) linear state feedback control law is proposed.
1
R4 = K T N 4T N 4 K ， References
μ 6 (1 − ξ 4 )
∧ 1 [1] I.R..Petersen , C.V .Hollot ,“A Riccati equation approach
R5 = G GT G （20） to the stablilization of uncertain linear systems ” ,
μ 8 (1 − ξ 5 ) Automatica,1986,22,pp. 397—411.
Applying (12) — (20) to (11),the following
inequalities are obtained， [2]. P.P.Khargonekar, I.R.Petersen, K Zhou, “ Robust
• stabilization of certain linear systems:Quadratic stabilization
V ( x, t ) ≤ x T (t )[ P T A + A T P + P T BK + and H∞ control theory ” ,IEEE Trans. Automat.
N1T N1 In Contr.,1990,pp.353—356.
K T B T P + (Q + +
μ1 μ3 (1 − ξ1 )
[3] J.C.Shen , B.S Chen,F.C Kung , “ Memoryless
T
N N3 GT G stabilization of uncertain dynamic delay systems:Riccati
+ 3
+ )
μ 4 (1 − ξ 2 ) μ 7 ) equation approach”,IEEE Trans.Automat.Contr.,1991,36,pp.
638—640.
N 2T N 2 In N 4T N 4
+ K (R +
T
+ + )K [4] M.S.Mahmoud, N.F Aimuthairi, “ Design of robust
μ2 μ 5 (1 − ξ 3 ) μ 6 (1 − ξ 4 )
controller for time delay systems ” ,IEEE
− (Q + K T RK ) + P( μ1 M 1 M 1T + μ 2 M 2 M 2T Trans.Automat.Contr.,1994,39,pp.995---999.

+ μ 3CC T + μ 4 M 3 M 3T + μ 5 DD T + [5] M.S.Mahmoud,“Quadratic stabilization of continuous

time systems with state delay and norm-bounded
μ 6 M 4 M 4T + μ 7 G1G1T + μ 8 G 2 G 2T ) P T time-varying uncertainties ” , IEEE
Trans.Automat.Contr.,1994,39,pp. 2135---2139.

443

[6]S.Phoojaruenchanachai, K.Furuta, “ .Memoryless
stabilization of uncertain linear systems including
time-varying state delays ” , IEEE Trans.
Automat.Contr.,1992,37,pp.1022---1026.
[7] M.N.A Parlakci, “ Robust stability of uncertain
time-varying state-delayed systems ” ,IEE Proc.-Control
Theory Appl. 2006,153,pp.469-477.
[8] J.S.Luo , P.P.J.van den Bosch , S.Weiland ,
A.Goldenberge ,“ Design of performance robustness for
uncertain linear systems with state and control delays”,IEEE
444
Transactions on Automatic Control 1998,43,pp. 1593---1596.
[9] J.P..Hespanha , D.Liberzon , E.D.Sontag ,“Nonlinear
norm-observability notions and stability of switched
systems”,IEEE Transactions on Automatic
Control,2005,50,pp.154—168.
[10] W.A.Sun , F.Q.Yuan , F.Dong et al, “ Sufficient
conditions for quadratic Robust stability of a class of
switched linear systems with uncertainties” , Mathematica
Applicata, 2006,19,pp.492-497.
 2008 International Conference on Intelligent Computation Technology and Automation

Robust Controller Design for boiler system

Zhiqi Hu, Hanbai Fan, Yujun He

Department of Electronics & communication Engineering
North China Electric Power University
Baoding, Hebei Province, China
zhiri365@163.com

Abstract designed with the aid of modern control techniques are

usually of high order, difficult to implement, and virtually
In this paper, a robust controller is designed for boiler impossible to re-tune on line. PID controllers, on the other
system based on loop-shaping H∞ control. Loop shaping hand, are simple, easy to implement, and comparatively
method is to choose compensator to shape open-loop easy to re-tune on line. So to get a simple PID tuning
singular frequency property, so get close-loop method is necessary.
performance, and trade off between robust performance
and robust stability. its essentiality is to shape system’s 2. Loop shaping method
frequency property. The method by regulating system’s
frequency property to get desired performance is familiar As for the single loop system , loop shaping method is
with technician. Because state space has property of commonly used for controller design [3]. In order to
numeration convenient, so transform shaped model to facilitate the explanation, in this paper, we take 2×2 stable
state space for numeration to get accuracy solution. The process as the example, to explain loop shaping method.
procedure gives how to choose pre-compensator The transfer function matrix for process is:
determined the performance of the final closed-loop ⎡ y1 ⎤ ⎡u1 ⎤ ⎡G11 ( s ) G12 ( s ) ⎤ ⎡u1 ⎤
system for Loop shaping method. In order to implement ⎢ ⎥ = G (s)⎢ ⎥ = ⎢ ⎥⎢ ⎥ . (1)
the complex H ∞ controller, a method is proposed to ⎣ 2⎦
y ⎣u 2 ⎦ ⎣G 21 ( s ) G 22 ( s )⎦ ⎣u 2 ⎦
reduce high controller which get from Loop shaping H∞ In order to decoupling for closed-loop system , then
method to a multivariable PID controller. Simulation expected open system must be diagonal, then
shows that the designed multivariable PID controller ⎡G11 G12 ⎤ ⎡ K11 K12 ⎤ ⎡ L1 0 ⎤
have good robust stability and performance. ⎢ ⎥⎢ ⎥=⎢ ⎥. (2)
⎣G21 G22 ⎦ ⎣ K 21 K 22 ⎦ ⎣ 0 L2 ⎦
Where L1 and L2 is desired loop shaping, then
1. Introduction controller K is:
With society advancing and production developing, ⎡1 − G11 −1
G12 ⎤ ⎡ K 11 0 ⎤
K =⎢ ⎥ ⎢ ⎥ = WaWi . (3)
in many practical control problems, for example −1
petrolatum, chemical industry, aviation and power plant et, ⎣⎢− G 22 G12 1⎦⎥ ⎣ 0 K 22 ⎦
controlled model becomes more complexity, and exits So controller design by loop shaping procedure is:
many uncertainty, it requires considering uncertainty of z Design a decoupled compensate controller, often
system in controller design. Uncertainty of system comes static decoupler is:
from modeling error of plant, or diversity of exogeneous ⎡ 1 − G11 (0) −1 G12 (0)⎤
disturbance. We often hope designed controller make Wa = ⎢ ⎥. (4)
−1
system satisfying anticipant performance objectives in ⎣⎢− G 22 (0) G12 (0) 1 ⎦⎥
large range in control system design. That is to say, in z Selected K11 and K 22 according to desired loop
certain extent disturbance range, when parameters of shaping L1 and L2 ,for desired loop shaping, Consider
controlled model vary in some way, the designed system
one-delay model
still achieve specified performance.
k
Despite the enormous interest that modern control g ( s) = e −τ s . (5)
techniques have sparked among academics during the last 1 + Ts
three or four decades. PID controllers are still preferred By the PID tuning method based on H ∞ loop shaping, the
in industrial process control. The reason is that controllers desired loop shaping is:

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DOI 10.1109/ICICTA.2008.430
 λ (1 + Ts ) ~
. (6) z Robust Stabilization: For the shaped plant G ,solve
kτs the robust stabilization problem:
Here λ can be thought of as a weighting between stability ⎡ ~
( I + GK ∞ ) −1
~ ~
( I + GK ∞ ) −1 G ⎤
−1
ε max = inf ⎢ (10)
robustness and performance. Let ~ −1 ~ ~⎥
K∞
⎣⎢ K ∞ ( I + GK ∞ ) K ∞ ( I + GK ∞ ) −1 G ⎦⎥
k1 ∞
−1
Gˆ1 ( s ) = G11 − G12 G22 G21 = e −τ1s . (7) where ε max is a designed factor. If ε max << 1 (indicates
1 + T1s
incompatibility between the specified loop shape, the
k2
−1
Gˆ 2 ( s ) = G22 − G21G11 G12 = eτ 2s . (8) nominal plant phase, and robust closed-loop stability.)
1 + T2 s return to adjust W1 or W2 . Select ε ≤ ε max , then
Then select synthesize a feedback controller K ∞ , which robustly
⎡ λ1 ⎤
⎢ (1 + T1 s) 0 ⎥ stabilize the normalized left coprime factorization of
⎡K11 0 ⎤ ⎢ k1τ 1 s ⎥. (9) ~
Wi = ⎢ ⎥=⎢ G (See Fig.1b).
⎣ 0 K 22 ⎦ λ2 ⎥
⎢ 0 (1 + T2 s)⎥
⎣ k τ
2 2 s ⎦ z The final feedback controller is constructed as
K = W1 K ∞W2 (See Fig.1c).
This approach for H ∞ -optimization problem in (10) can
3. Loop-Shaping H∞ approach
be solved explicitly without iteration, and the H ∞ problem
is always regular and only requires the solution of two
The loop shaping H ∞ method [5] is first to specify a Riccati equations. So the effort to compute the controller
desired loop shape by the designer (ignoring closed-loop is little once the compensators are chosen.
stability considerations at this stage), and then the
‘shaped’ plant is further compensated by a controller
using the normalized LCF robust stabilization method. In 4. H∞ Controller reduction
this case, the guaranteed stability properties of
the H ∞ method ensure close- loop stability. Because the H ∞ controllers designed using two Riccati
Given a plant G , the loop-shaping H ∞ design procedure equations are of the same order as that of the generalized
as follows: plant, so the final controller may be high. About 90% of
z Loop Shaping: A pre-compensator W1 (WaWi ) and /or industrial controllers are of PID-type. So it is useful if the
post-compensator W2 are used to shape the singular values high-order controllers can be reduced to PID control
~ structure.
of G so that the shaped plant G = W2 GW1 has a desired In the state-space domain. consider a controller K (s ) ,
open- loop shape(See Fig.1a). given by a state-space realization of the form
⎧ x = Ak x + Bk y
⎨ . (11)
⎩u = C k z + Dk y
(a) The Shaped Plant z Find a similarity transformation T such that
⎡0 0 ⎤
TAk T −1 = ⎢ ⎥. (12)
⎣0 a 2 ⎦
Where a2 is nonsingular. This transformation can be
computed using the eigenvalues decomposition of Ak.
z With this T , C k and Bk are decomposed as follows:
⎡b1 ⎤
C k T = [c1 c2 ], T −1 Bk = ⎢ ⎥ . (13)
(b) H∞ Compensation ⎣b2 ⎦
z A high PID approximation of the form
K PID ( s) = K p + K i / s + K d s . (14)
It can be obtained by truncating the Maclaurin expansion
of the controller with respect to the variables:
K ( s) = C k ( sI − Ak ) −1 Bk + Dk
⎛
−1 . (15)
⎡0 0 ⎤ ⎞ ⎡b1 ⎤
= [c1 c 2 ]⎜⎜ sI − ⎢ ⎥ ⎟⎟ ⎢ ⎥ + D k
(c) Final Controller ⎝ ⎣0 a 2 ⎦ ⎠ ⎣b2 ⎦
c1b1
Figure 1. The Loop Shaping Design Procedure = + ( Dk − c 2 a 2−1b2 ) − c 2 a 2− 2 b2 s + O ( s )
s

446
Since we are most interested in the low frequency band. ⎡108 ⎤ ⎡0.34 ⎤ ⎡108 ⎤
So we have x o = ⎢⎢ 66.65⎥⎥ , u o = ⎢⎢0.69 ⎥⎥ , y o = ⎢⎢ 66.65⎥⎥，
K p = Dk − c 2 a 2−1b2 , K i = c1b1 , K d = −c 2 a 2−2 b2 . (16) ⎢⎣ 428 ⎥⎦ ⎢⎣0.436 ⎥⎦ ⎢⎣ 0 ⎥⎦

It is then clear that the resulting PID controller achieves

good approximation at low frequencies, especially the Its state space linear model as follows:
integral action, so we can expect that the resulting PID ⎡− 2.509e − 3 0 0⎤ ⎡0.9 − 0.349 − 0.15⎤
controller will retain the disturbance rejection A = ⎢⎢ 6.940e − 2 ⎥
− 0.1 0⎥ , B = ⎢⎢ 0 14.155 0 ⎥⎥
performance of the high-order controller.
The following steps need to be considered after the ⎣⎢− 6.690e − 3 0 0 ⎦⎥ ⎣⎢ 0 − 1.398 1.659 ⎦⎥
reduction procedure: ⎡ 1 0 0⎤ ⎡ 0 0 0 ⎤
z Due to the minimum-phase requirement of a PID C=⎢ 0 1 0⎥ ,D = ⎢ 0 0 0 ⎥
⎢ ⎥ ⎢ ⎥
controller, the signs of the proportional gain, the integral ⎢⎣6.34e − 3 0 4.71e − 3⎥⎦ ⎢⎣0.253 0.512 − 0.014⎥⎦
gain and the differentiator should be the same. So if the z
Controller design
corresponding elements of Kp, Ki and Kd do not have the ① H ∞ controller design
same sign, then we need to discard the term that has the
opposite sign with the element in Ki, which is the most Firstly, Loop shaping. Open-loop singular values
important term. -nominal plant see fig.2. In order to improve gain and
z The derivative action should be taken with care. We frequency band at low frequency, after several
find that a PID approximation with ideal differentiator s experiments, Open-loop singular values-shaped plant see
sometimes destabilizes a process even though the original fig.3), we select W1 as follows:
high-order controller works well. This seldom happens for
single-loop processes, but it is quite common for
multivariable processes. We believe the reason is that the
phase information of the original controller is lost when
using an ideal differentiator. Thus, a filter of the form
1
singular values

should be used for the differentiator.

α s +1

5．Experiment

z System model
Consider a 160MW boiler system, its nonlinear model
equation is:
⎧ x1 = −0.0018u 2 x19 / 8 + 0.9u1 − 0.15u 3
⎪ frequency
⎪ x 2 = (0.073u 2 − 0.016) x1 − 0.1x2
9/8
Figure 2. Open-loop singular values-nominal plant
⎪⎪ x = (141u − (1.1u − 0.19) x ) / 85
⎨
3 3 2 1

⎪ 1y = x1
⎪y = x
⎪ 2 2

⎪⎩ y3 = 0.05(0.13073x3 + 100acs + qe / 9 − 67.975)

Where state variables x1 , x2 and x3 is boiler drum pressure
singular values

(Kg/cm2), output power(MW), fluid density of system

(Kg/m3). Control variables u1 , u2 and u3 is regulation valve
for fuel, turbine regulation valve and feed water
regulation valve. y3 is drum water level . acs and qe is:
(1 − 0.001538 x3 )(0.8 x1 − 25.6)
a cs = ( Kg / s)
x3 (1.0394 − 0.0012304 x1 )
q e = (0.854u 2 − 0.147) x1 + 45.59u1 − 2.514u 3 − 2.096 ( Kg / s )
At operating points
frequency
Figure 3. Open-loop singular values-shaped plant

447
 ⎡ 0.0011 0.0037 0.0271 ⎤ ⎡3(1 + 1 / s) 0 0 ⎤ in-realizable parts (namely the proportion and integral
W1 = ⎢- 0.0043 0.0071 - 0.0000⎥ ⎢ 0 3(1 + 1 / s ) 0 ⎥ sign opposite parts). The PI controller approximation as
⎢ ⎥⎢ ⎥
⎢⎣- 0.0005 0.0060 0.1625 ⎦⎥ ⎣⎢ 0 0 3(1 + 1 / s)⎦⎥ follows:
⎡0.0582 + 0.0031/ s 0 0.9818 + 0.0321/ s ⎤
K ( s) = ⎢⎢ ⎥
Secondly, Robust stabilization, it synthesize a feedback
0 0.0233 + 0.0093 / s 0 ⎥
controller K ∞ ,which robustly stabilizes the normalized
⎢⎣ 0 0 5.8946 + 0.1925 / s ⎥⎦
~
left coprime factorization of G , with stability margin
ε max = 0.40597 . z Simulation
Thirdly, the final robust H ∞ controller is 8 rank We use H ∞ controller and multivariable PI controller
controller. Its state space is: to simulate for three instances.
⎡0 0 0 0.0003 - 0.0011 - 0.0023 - 0.0140 - 0.0447 ⎤ Firstly, t=10s, input Δu1 = 10% step input
⎢0 ⎥
⎢ 0 0 0.0002 - 0.0056 - 0.0024 - 0.0184 - 0.1782 ⎥ disturbance, t=200s, input Δy1 =10Kg/cm2 step output
⎢0 0 0 0.0001 - 0.0028 - 0.0040 - 0.0610 - 0.0442 ⎥
⎢ ⎥ disturbance, t=500s, Δr1 =-10Kg/cm2 setpoint disturbance
0 0 0 - 0.1261 0.8475 0.0975 - 7.9245 28.3476 ⎥
Ak = ⎢ for 1st channel. See fig.4.
⎢0 0 0 0.0358 - 1.2294 - 0.4397 - 0.9873 - 13.0859 ⎥
⎢ ⎥ Secondly, t=10s, input Δu2 =10% step input
⎢0 0 0 0.0247 - 0.3236 - 0.3556 - 1.8249 - 0.9345 ⎥
⎢0 0 0 - 0.0019 0.0283 0.0202 - 0.1148 - 0.2374 ⎥ disturbance, t=200s, input Δy2 = 10MW step output
⎢ ⎥
⎣⎢0 0 0 - 0.0012 0.0339 0.0139 - 0.0162 - 0.23100 ⎦⎥ disturbance, t=500s, Δr2 =20MW setpoint disturbance for
⎡3.0000 0 0 0.0008 - 0.0034 - 0.0070 - 0.0419 - 0.1342 ⎤ 2st channel. See fig.5.
C k = ⎢⎢0 3.0000 0 0.0006 - 0.0169 - 0.0071 - 0.0553 - 0.5345 ⎥⎥ Thirdly, t=10s, input Δu3 =10% step input disturbance,
⎢⎣0 0 3.0000 0.0004 - 0.0085 - 0.0120 - 0.1830 - 0.1327 ⎥⎦
t=200s, input Δy3 =0.1m step output disturbance, t=500s,
⎡ 0.0024 0.0001 - 0.0001⎤
Δr3 =0.1m setpoint disturbance for 3st channel. See fig.6.
⎢ 0.0001
⎢ 0.0000 0.0000⎥⎥
⎢ - 0.0179 - 0.0004 0.0008 ⎥
⎢ ⎥
- 4.5058 - 1.7578 42.7012 ⎥
Bk = ⎢
⎢ - 0.1048 1.8776 - 1.3498 ⎥
⎢ ⎥
⎢ - 0.1799 0.5390 6.7136 ⎥
⎢ - 0.0613 - 0.0888 - 1.1121 ⎥
⎢ ⎥
⎣⎢ 0.0076 - 0.1117 0.1178 ⎦⎥
⎡ 0.0073 0.0002 - 0.0003 ⎤
Dk = ⎢⎢ 0.0002 0.0000 0.0000⎥⎥
⎢⎣- 0.0536 - 0.0012 0.0023⎥⎦
② the PID controller approximation of
the H ∞ controller by equation (16) is:
⎡ 0.0582 - 0.0196 0.9818⎤
K p = ⎢⎢ 0.0018 0.0233 0.0002 ⎥⎥
⎣⎢- 0.1158 - 0.1516 5.8946⎦⎥
⎡ 0.0031 0.0023 0.0321⎤
K i = ⎢⎢- 0.0004 0.0093 - 0.0001⎥⎥
⎢⎣- 0.0004 0.0011 0.1925⎥⎦
⎡ - 0.5608 0.3134 - 14.1128⎤
K d = ⎢⎢ - 0.0095 - 0.0224 0.0049 ⎥⎥
⎣⎢ - 1.2731 1.9245 - 84.6233 ⎦⎥
Because the differential effect can cause the high Figure 4. Response for 1st(solid: H ∞ controller, dashed: proposed PI)
frequency un-modeling trend, so commonly it isn’t Fig 4~6show that:
recommend to use the differential effect. Ignore the (1) Output y1 and y2 influences each other very small,
smaller coefficient item within K p , K i and all of the which satisfied decoupling.

448
 (2) Output y3 and y1 , y3 and y2 are decoupling, that
is y3 step change influence y1 and y2 very small, on
the contrary, not true.
(3) Close system track load changing fast, which
guarantee safety for system.
(4) System is influenced by input and output very small
and disappeared fast.

6. Conclusion
A robust PID controller design method was proposed to
deal with both performance and robust stability
specifications for multivariable processes. It was shown
that the H ∞ controller guaranteed stability properties of
the close-loop system. The final PID controller
parameters is easy to achieve by reduction of
H ∞ controller. Illustrative example show that the
method is easy to use and can find PID settings that have
good time-domain performance and robustness.

7. Acknowledgment

The work was sponsored by Scientific Research

Foundation for Young Teacher (No.200611031), North
Figure 5. Response for 2st(solid: H ∞ controller, dashed: proposed PI) China Electric Power University.

8. References
[1] J. Bao, J. F. Forbes, and P. J. Mclellan, “Robust multiloop PID
controller design: A successive semidefinite programming
approach,” Ind. Eng. Chem. Res., vol.38,pp. 3407-3419, 1999.22
[2] B. S. Chen, Y. M. Chiang, and C. H. Lee, “A genetic approach to
mixed H2/H∞ optimal PID control,” IEEE Control System Magazine,
vol.15, pp.51-56, 1995.
[3] J. C. Doyle, B. A. Francis, and A. R. Tannenbaum, Feedback
Control Theory，New York: Macmilan Publishing Company, 1992.
[4] Skogesstad, S. and I. Plstlethwaite, Multivariable Feedback
Control: Analysis and Design, Wiley, New York, 1996.
[5] D.C. McFarlane, and K. Glover, Robust Controller Design Using
Normalized Coprime Factor Plant Descriptions, Spring-Verlag,
New York, 1990.
[6] J. W. Dong, and G.. B. Brosilow, “Design of robust multivariable
PID controllers via IMC,” Proc. American Control Conference,
Albuquerque, New Meico, pp.3380-3384, 1997.
[7] H. Panagopoulos and K.J. Astrom, “PID Control Design and H∞
Loop Shaping,” Proc. IEEE Conf. Contr. Appl., Hawaii, USA,
pp.103-108(1999).
[8] A. Visioli, “Optimal tuning of PID controllers for integral and
unstable processes,” IEEE Proc. Control and Applications, vol.148,
no.2, pp.180-184, 2001.
[9] X. Jin, W. Tan, ZH. J. Li, and J. Z. Liu, “Tuning of robust PID
controllers for typical industrial processes,” Control Theory &
Applications, vol.22, no.6, pp.943-953, December 2005.
[10]W. Tan, “Tuning of a modified Smith predictor for processes with
time delay,” Control Theory & Applications, vol.20, no.2,
pp.297-301, April 2003.

Figure 6. Response for 3st(solid: H ∞ controller, dashed: proposed PI)

449
 2008 International Conference on Intelligent Computation Technology and Automation

Robust H∞ Controller Design for Wheeled Mobile Robot with Time-delay

Wenping Jiang
School of Electrical Engineering and Automation
Tianjin University
Tianjin 300072, China
jiangwenping@gmail.com

Abstract The WMR we discussed in this paper is AS-R robot

This paper introduces the modeling problem of
wheeled mobile robots with nonholonomic restriction,
and proposes a nonlinear mathematical model with
uncertain disturbance and time-delay. Then we
transform this nonlinear system into a linear one.
Based on LMI, a local feedback H∞ robust controller is
designed and its validity is verified by simulation.
1.Introduction
made by Grandar Robotics Company. It is composed of
three modules, including drive module, control module,
and sensor module. The three components are
connected and fixed through bolts. The robot keeps its
balance by three wheels: two front wheels (body 1 and
2) are driving wheels and one rear wheel (body 3) is
steering wheel. The geometrical model is schematically
depicted in Fig.1.

Wheeled mobile robots(WMR) are widely used in

lots of dangerous and heavy jobs, including the
transportation of nuclear waste, fire control, lunar
exploration etc. At present, another promising
application is extended for the assistance of disabled,
handicapped or elderly people[1-3].
In control field, WMR researchers have focused on
establishing mathematical models, trajectory tracking
and stabilization controller designing. Literature [4]
applied UKF arithmetic in mobile robot control and
gained better control effect, but its complexity limits its
practical application. Literature [5][6] introduced
intelligent arithmetic in this filed and avoided Fig. 1. Geometrical model of the mobile robot
establishing the precise mathematical models, but the
design of control rules are highly dependent on Point F is the projection of the mass center C of the
personal experience, and its preciseness and stability robot; Point P is the center of the two front wheels axle;
are not satisfactorily addressed and need to be further 2b denotes the distance between the two front wheels; r
examined. is the radius of the wheels; lF is the distance between
WMR is a complicated nonlinear coupling system
with model uncertainties and time delay. In this paper, point P and point F; θ P is the heading angle of the
based on kinematic and kinetic analysis for the AS-R robot; v1 and v2 are the speed of left and right driving
3-Degree of freedom differential WMR,a nonlinear
wheels respectively; Vp denotes the speed of point P; .
mathematical model with uncertain disturbance and
ω is the angular speed of the WMR. The relationship
time delay is established. An approximate linearizing
algorithm based on balanced flow pattern is proposed between vP and v1 , v2 is：
to transform the model to linear control system. Then, υ1 + υ2
based on LMI, a partial feedback H∞ controller is υP = （1）
2
designed. Finally, simulation is performed and the
result shows the efficiency of the method. The relationship between ω and v1 , v2 is：
−v1 + v2
2.Problem description ω= (2)
2b

978-0-7695-3357-5/08 $25.00 © 2008 IEEE 450

DOI 10.1109/ICICTA.2008.466
 It is easy to see that: xF = β1u1 cos θ P + β3 w1 cos θ P − y Pω
⎧ 
ω = θ ⎪
P (3) ⎪ + lF β 2 u2 sin θ P + lF β 4 w2 sin θ P
⎨ (13)
Coordinate components of vP are： yF = β1u1 sin θ P + β 3 w1 sin θ P + xPω
⎪ 
⎪⎩ − lF β 2 u2 cos θ P − lF β 4 w2 sin θ P
⎧ xP = υ P cos θ P
⎨ (4) Time delay in WMB system appears in two
⎩ y P = υ P sin θ P situations ： In local controller, position signal from
The relationship between point P and point F is： robot to sensor and the execute signal from actor to
robot cause time delay; In remote network controller,
⎧ xF = xP − lF cos θ P
⎨ (5) the signal transmission cause time delay. So a matrix
⎩ yF = yP − lF sin θ P Ad is used to express the time delay of the system.
Taking the derivative of formula (5)： The state variable x = ( x1 x6 )
T
x2 x3 x4 x5
⎧ xF = xP + lF ω sin θ P
( θP ) is used to describe the
T
⎨ （6 ） = xF yF θP x F y F
⎩ y F = y P − lF ω co s θ P
The WMR is in the condition of nonholonomic position and stance of the mobile robot. The six
restriction. And the restriction is expressed as: variables denote the X axis displacement, Y axis
displacement, angular displacement, X axis speed, Y
xF sin β − y F cos β − l β = 0 (7) axis speed and angular speed of the mobile robot in the
Taking the derivative of formula (6): world coordinates.
⎪⎧ 
xF = xP + lF ω sin θ P + lF ω 2 cos θ P Above all, mathematical model with uncertain
⎨ (8) disturbance and time delay is established as:
yF = 
⎪⎩  yP − lF ω cos θ P + lF ω 2 sin θ P
Taking the derivative of formula (4): ⎛ x1 ⎞ ⎛ x4 ⎞ ⎛ 0 0 ⎞
xP = vP cos θ P − vP ω sin θ P ⎜ ⎟ ⎜ ⎟ ⎜ ⎟
⎧  ⎜ x2 ⎟ ⎜ x5 ⎟ ⎜ 0 0 ⎟
⎨ (9)
yP = vP sin θ P + vPω cos θ P
⎩  ⎜ x3 ⎟ ⎜ x6 ⎟ ⎜ 0 0 ⎟ ⎛ u1 ⎞
⎜ ⎟=⎜ ⎟+⎜ ⎟⎜ ⎟
Substitute formula (4) into formula (9): ⎜ x4 ⎟ ⎜ − x6 x5 ⎟ ⎜ β1 cos x3 lF β 2 sin x3 ⎟ ⎝ u2 ⎠
xP = vP cos θ P − y Pω
⎧  ⎜ x ⎟ ⎜ x x ⎟ ⎜ β sin x −lF β 2 cos x3 ⎟
⎨ (10) ⎜⎜ 5 ⎟⎟ ⎜⎜ 4 6 ⎟⎟ ⎜⎜ 1 3
⎟⎟
yP = vP sin θ P + xP ω
⎩  x
⎝ 6⎠ ⎝ 0 ⎠ ⎝ 0 β2 ⎠ (14)
Substitute formula (10) into formula (8): ⎛ 0 0 ⎞
⎪⎧ 
xF = vP cos θ P − y Pω + lF ω sin θ P + lF ω 2 cos θ P ⎜ ⎟
⎨ (11) ⎜ 0 0 ⎟
yF = vP sin θ P + xPω − lF ω cos θ P + lF ω 2 sin θ P
⎪⎩  ⎜ 0 0 ⎟ ⎛ w1 ⎞
Driving motors of the AS-R robot are RE36 Model +⎜ ⎟ ⎜ ⎟ + Ad X (t − τ )
⎜ β 3 cos x3 lF β 4 sin x3 ⎟ ⎝ w2 ⎠
made by the Maxon Company. They are ⎜ β sin x −l β cos x ⎟
hollow-cup-rotor DC electrical machines. T1 and T2 are ⎜⎜ 3 3 F 4 3
⎟⎟
driving torque of the left and right front wheels ⎝ 0 β4 ⎠
respectively. Let The parameters of the mobile robot are showed in
u1 = T1 + T2 , u2 = T1 − T2 . u = [u1 u2 ] is the input
T
Table 1.
vector. Uncertain disturbance vector w=[w1 w2 ]T
Table 1. The parameters of the mobile robot
denotes the disturbance put on the v and ω. Then
kinetic equations can be expressed as[7]: Symbol Parameter Value Unit
⎧ vP = β1u1 + β 2 w1 r radius of front wheel 0.105 m
⎨ (12)
⎩ω = β 3u2 + β 4 w2 M mass of robot 25 kg
1 b 1 1 moment of inertia of
Where β1 = , β2 = , β3 = , β4 = . M J
robot
0.5512 kg.m2
Mr Jr M J
denotes the mass of the WMR, and J is the moment of distance between the
2b 0.41 m
inertia of the WMR. two front wheels
Substitute formula (12) into formula (11): distance between point
lF P and point F
0.09 m

From formula (14) we can see the WMB system is a

complicated nonlinear coupling system. This makes it

451
difficult for us to analyze and control the robot
frequently and accurately. So we introduce an Use LMI tool box in Matlab, we can get suited
approximate linearizing algorithm[8] to transform the matrix X and matrix Y. Then, a proper local feedback
model to linear control system. H∞ controller is obtained:
⎧ x = Ax + Ew + Bu + Ad x(t − τ ) ⎡ -0.1620 -0.0622 -1.2221 -0.1093⎤
⎨ （15） k =⎢ ⎥
⎩ y = Cx ⎣ -0.0617 0.0003 -0.0971 -0.0155 ⎦

3.Local feedback H∞ controller design 4．Simulation result

For the facility application in engineering situation, Applying the local feedback H∞ controller
we reduced the order of original system to 4 by the represented in Section 3 to the target mobile robot, a
method introduced by [9]. local closed loop control system is formed, as shown in
⎧ x = A1 x + Ad x(t − τ ) + B1 w + B2 u Fig.3.
⎨ （16）
⎩ z = C1 x
Where,
⎡0 0 0 1 ⎤
⎢0 0 −0.0175 −0.01⎥⎥
A1 = ⎢
⎢0 0.0175 0 0 ⎥
⎢ ⎥
⎣0 0 0 0 ⎦
⎡ 0 0 ⎤ ⎡ 0 0 ⎤
⎢0.04 0 ⎥ ⎥ ⎢ 0.381 0 ⎥⎥
B1 = ⎢ B2 = ⎢ Fig 3．Simulation frame of feedback system
⎢ 0 −0.163⎥ ⎢ 0 −0.319 ⎥
⎢ ⎥ ⎢ ⎥
⎣ 0 1.814 ⎦ ⎣ 0 3.542 ⎦ For open loop system, let u1 and u2 be constants, we
⎡ 0.3 0 0 0 ⎤ obtain a circle contrail. The X-Y plot, angular speed
⎢ 0 ⎥⎥ and linear velocity plot are shown in Fig4.
⎡ 0.01 1 0 0 ⎤ ⎢ 0.1 0.2 0
C1 = ⎢ =
0 0 1 ⎥⎦
A
⎣ 0
d
⎢ 0.1 0 0.2 0 ⎥
⎢ ⎥
⎣ 0.1 0 0 0.2 ⎦
If there exists matrix X=XT and matrix Q,Y,
satisfied the following linear matrix inequality:
⎧ ⎡( AX + B2Y )T + AX + B2Y + Q B1 (C1 X )T Ad X ⎤
⎪⎢ ⎥
⎪⎢ B1T −γ I 0 0 ⎥
⎪⎢ <0
⎨ C1 X 0 −γ I 0 ⎥
⎪⎢ −Q ⎦⎥
⎥
⎪ ⎢
⎣ XAdT 0 0
⎪⎩ X >0
（17）
Then, a state feedback robust H∞ controller u=YX-1x(t)
can be obtained to guarantee the local feedback
system(as shown in Fig2.) progressive stability[9].
ω z
P(s)

u y

K(s)

Fig.2. The frame of local feedback control system

452
 From Fig.5.we can see that when there exists
time-delay, the system is not convergent, so the control
result is not satisfied.
According to the method introduced above, a robust
H∞ feedback controller is designed to improve the
situation. The angular speed and linear velocity plots
are shown in Fig.6.

Fig4. The plots of open loop system

(a)X-Y plot (b)angular speed (c) linear velocity

When there exists time-delay in system, the

according plots are shown in Fig.5.

Fig.6.Plots of feedback system with time-delay

(a) angular speed plot (b) linear velocity plot

From the simulation results we can see, the linear

velocity and angular speed are convergent to zero with
the local robust H∞ controller. So the system is
progressive stability. Also we can see the controlled
resolution is closed to 10-4 and 10-6 respectively with
the controller we designed. In one word, the whole
system is stable and robust with time-delay and
uncertain disturbance.

5．Conclusions
In this paper, based on the kinematic and kinetic
analysis for the AS-R 3-DOF differential wheeled
mobile robot, a mathematical model with time delay
and uncertain disturbance for such robots is proposed..
Based on model reduction, a partial output feedback
H∞ robust controller is designed via LMI. Simulation
results show the whole system is reasonably stable.
Our results can be extended to nonlinear systems
widely existing in engineering situations.

Fig5. The plots of system with time-delay

Acknowledgement
(a)X-Y plot (b)angular speed (c) linear velocity

453
 This paper is supported by Tianjin Natural Science
Foundation (06YFJMJC03600).

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[3] M.L. Corradinia, G. Orlandob,Control of mobile robots

with uncertainties in the dynamical model:a discrete time
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Mathematics, 1994

454
 2008 International Conference on Intelligent Computation Technology and Automation

Robust H ∞ Control for Discrete-time Switched Linear Systems Subject

to Exponential Uncertainty

Changlin Li 1 , Fei Long 1,2 , Changzhen Cui 1

1. College of Science, Guizhou Uniersity, Guiyang 550025, Guizhou, PR China
2. College of Electronic Science and Information Technology, Guizhou University,
Guiyang 550025, Guizhou, PR China
E-mail: hao0817941@sina.com, flong1973@yahoo.com.cn, c.cz125@126.com

Abstract: In this paper, we address the robust
H ∞ control problem of discrete-time switched linear
systems with exponential uncertainties. By using Taylor
series approximation and convex polytope technique,
exponential uncertain discrete-time switched linear
system is transformed into an equivalent switched
polytopic model with an additive norm bounded
uncertainty. For such equivalent switched model, we
design its switching strategy and associated state
feedback sub-controllers so that such switched model is
asymptotical stabilization with H ∞ disturbance
attenuation based on multiple Lyapunov function
technology and LMI approach.
1. Introduction
Switched linear system belongs to a special class of
hybrid system, which comprises a collection of
subsystems described by linear dynamics together with
a switching law that specifies the switching between
the subsystems.
Generally speaking, exponential uncertainty
ρ In this paper, based on multiple Lyapunov function
represents the terms like e M ρ or ∫
0
e M τ dτ that depend
on an unknown, possibly discrete event parameter ρ .
The H ∞ control problem for switched system subject
to exponentially uncertain is a very challenging
problem. In the present literature, this problem is
treated by assuming estimable delay-uncertainties [1].
Andrea Balluchi, et al [2] treats the uncertain
exponential terms as bounded uncertainties. L. Hetel, et
al [3] studies the stabilization problem for a class of
discrete-time switched linear systems with exponential
linear systems subject to exponential uncertainties by
using Taylor series approximation and convex polytope
technique. It is assumed that the switching strategy
used in this paper is picked in such a way that there are
finite switches in finite time.
Our goal is to design a switching strategy σ (k ) and
associated state feedback sub-controllers such that the
resulting closed-loop system is asymptotical
stabilization with a prescribed H ∞ disturbance
attenuation level for all admissible exponential
uncertainties. Firstly, we show that exponential
uncertain switched system is transformed into an
equivalent polytopic model with an additive norm
bounded uncertainty based on Taylor series
approximation and convex polytope technique. And
then, the robust disturbance attenuation property of
such equivalent switched model is investigated by
taking advantage of multiple Lyapunov function
technology and LMI approach.
2. Problem Statements
technology and LMI approach, we investigate the
asymptotical stabilization with H ∞ disturbance
attenuation for the exponentially uncertain switched
discrete-time linear system (1) via switched state
feedback.
⎧ x(k +1) = Aσ ( ρ (k )) x(k ) + B1σ ( ρ (k ))u(k ) + B2σ ω
⎨ (1)
⎩ z (k ) = Cσ ( ρ (k )) x(k ) + Dσ ( ρ (k ))u(k )
with Aσ ( ρ (k)) = eMσ ρ ( k ) , B1σ ( ρ (k )) = (∫ ρ (k ) M s

0
σ
e )
ds Nσ ,

, D ( ρ (k )) = ( ∫ ds ) R .
ρ (k ) Q s
uncertainties under the arbitrary switching rule, and Cσ ( ρ (k )) = eQσ ρ ( k ) ρ e σ
σ
0
then obtained results are extended to cope with network
controlled systems. The H ∞ control problem for some where x ∈ n
is the system state; u ∈ is the control m

uncertain switched linear systems was also input; ω ∈ r

is the exogenous disturbance input that
∞
investigated, such as bounded uncertainties [4-7], linear
fractional uncertainties [8, 9], polytopic uncertainties
satisfies ∑ω
k =0
T
(k )ω (k ) < ∞ ; z ∈ n
is the controlled
[10], actuator saturation [11, 12], modeling output variable. The switching
uncertainties [13, 14], and so on. Motivated by the signal σ (⋅) : ∪ {0} → ={1,2, … ,N}, N < ∞ denotes
reference [3, 15], we intend to investigate the robust
H ∞ problem for a class of discrete-time switched the piecewise constant switching rule. The uncertain

978-0-7695-3357-5/08 $25.00 © 2008 IEEE 455

DOI 10.1109/ICICTA.2008.261
parameter ρ (k ) is positive, time varying, bounded dimensions ,where M and Q are symmetric and
and 0 < ρ < ρ (k ) < ρ . Mi ∈ n× n
, Q > 0 , then M + LT QL < 0 if and only if
Ni ∈ n× m
, Qi ∈ n× n
, Ri ∈ n× m
and B2i ∈ n× r
. Each ⎛M LT ⎞ ⎛ −Q − 1 L ⎞
⎜ ⎟ < 0 or ⎜ T ⎟ < 0. ■
quintuplet{ ( M i , N i , Qi , Ri , B2i ) , i ∈ } describes ⎝L −Q −1 ⎠ ⎝ L M⎠
different dynamic behavior of system (1). Definition 2.1: The sequence{ (km , rm ) ︳
The objective of this paper is, for any given γ > 0 , rm =1,2, … ,N;m=1,2, … } is said to be switching
to find a state feedback switched controller so that the sequence, if (i): σ (km ) ≠ σ (km − 1) , (ii):
switched system (1) satisfies
a) With zero disturbance input condition ω ≡ 0 , it is σ (km ) = σ (km + 1) = = σ ( km + tm ) = rm , tm ≥ 1 .
asymptotically stable for all admissible uncertainties. Moreover, the constant tm is said to be dwell time
b) With zero-initial condition x(0) = 0 , length of the rm − th subsystem.
l l

∑z
k =0
T
(k ) z (k ) < γ 2 ∑ ω T (k )ω (k ) for all nonzero ω
k =0 3. Robust H ∞ Control via Switched State
∞
Feedback
satisfying ∑ω
k =0
T
(k )ω (k ) < ∞ and all admissible

uncertainties. In this section, the robust H ∞ problem of system

Now, we introduce two support lemmas and the (1) is investigated via switched state feedback. Before
concept of switching sequence. the design of switched controller, we firstly show how
Lemma 2.1 ([3]): Consider the uncertain the system (1) can be expressed as a switched polytopic
polynomial parameter dependent n-order matrix system with an additive norm bounded uncertainty.
L( ρ ) = L0 + L1 ρ + L2 ρ 2 + + Lh ρ h According to the Lemma 2.1 and the properties of
exponential matrix,
with the uncertain parameter ρ is positive, bounded j j −1
∞ M ∞ M
e Mx = ∑ j = 0 x j , ∫ e Ms ds = ∑ j =1
x
and 0 < ρ < ρ < ρ . Then we can find a convex xj
j! 0 j!
polytope with h + 1 vertices that envelopes L( ρ ) , i.e.
the following Lemma is obvious.
there exist parameters Lemma 3.1 ([3]): The switched linear system (1)
∑
h +1
μ j ( ρ ), j = 1, 2, , h +1 satisfying j =1
μi ( ρ ) = 1 subject to exponential uncertainties can be
expressed as:
L( ρ ) = ∑ j =1 μ j ( ρ )U j .
h +1
, μ j ( ρ ) > 0 such that ⎧ x(k + 1) = ( Aσh ( ρ (k ) + ΔAσh ( ρ (k ) ) ) x(k )
⎪
where U j , j = 1, 2, , h + 1 represent the polytope ⎪
⎪ + ( B1hσ ( ρ (k ) + ΔB1hσ ( ρ (k ) ) ) u ( k ) + B2σ ω
⎨
(2)
vertices given as follows.
⎪ z (k ) = ( Cσ ( ρ (k ) + ΔCσ ( ρ ( k ) ) ) x(k ) +
h h

⎧⎪U1 = L0 + L1 ρ + + Lh ρ h , U 2 = L0 + L1 ρ + + Lh ρ h ⎪
⎨
⎪⎩ … ,U h +1 = L0 + L1 ρ + + Lh ρ h
⎪⎩ ( Dσh ( ρ (k ) + ΔDσh ( ρ (k ) ) ) u(k )
Aσh ( ρ (k )) = ∑ i =1 μi ( ρ (k ) ) U σAhi
h +1
The relation between the uncertain parameter ρ where (3)
and μ j ( ρ ) is given by B1hσ ( ρ (k )) = ( ∑ ( μ ( ρ (k ) )U ) ) N
h +1
i =1 i
B1h
σi σ (4)
⎧ ρ−ρ
Cσh ( ρ (k )) = ∑ i =1 μi ( ρ (k ) ) U σChi
h +1
⎪1 − , j =1 (5)
⎪ ρ −ρ
⎪ j −1
⎪ρ − ρ
j −1
ρj −ρj
Dσh ( ρ (k )) = ( ∑ ( μ ( ρ (k ) )U ) ) R
h +1
i =1 i
Dh
σi σ (6)
μ j ( ρ ) = ⎨ j −1 − , j = 2,3, ,h
∑
j −1 h +1
⎪ρ − ρ ρj −ρj
i =1
μi ( ρ ) = 1, μi ( ρ ) > 0, i = 1, 2, , h + 1. (7)
⎪ h
⎪ρ − ρ ,
h
⎧ Ah M σ2 2 Mh
j = h +1 ⎪ Uσ 1 = I + M σ ρ + ρ + + σ ρh
⎪ρh − ρh
⎩ ⎪⎪ 2! h!
Lemma 2.2 (Schur complement, [16]): For ⎨ … (8)
constant matrices M, L and Q with appropriate ⎪ 2 h
⎪U σAh, h +1 = I + M σ ρ + M σ ρ 2 + + M σ ρ h
⎪⎩ 2! h!

456
⎧ B1h Mσ 2 M σh stabilization with H ∞ disturbance attenuation γ via
⎪ Uσ 1 = ρ I + ρ + + ρ h +1 switched state feedback if there exist symmetrically
⎪ 2! ( h + 1)!
⎪ positive definite matrix X i and matrices Yi with
⎨ … (9)
⎪ h i = 1, 2, , N and j = 1, 2, , h + 1 such that the
⎪U σB1, hh +1 = ρ I + M σ ρ 2 + + M σ ρ h +1 following linear matrix inequality is satisfied for any
⎩⎪ 2! (h + 1)!
i = 1, 2, , N and j = 1, 2, , h + 1 .
⎧ Ch Qσ2 2 Qσh h ⎡ −Xi 2(U ijAh X i + U ijB1hYi )T
⎪ σ1U = I + Q ρ + ρ + + ρ 0
σ
2! h! ⎢
⎪⎪ ⎢ 0 Xi Xi
⎨ … (10) ⎢
⎢ 2(U ij X i + U ij Yi ) X i −Xi
Ah B1h
⎪ 2 h
⎪U σCh, h +1 = I + Qσ ρ + Qσ ρ 2 + + Qσ ρ h ⎢ 2(U Ch X + U DhY ) 0
⎪⎩ 0
2! h! ⎢ ij i ij i

⎢ Fi Yi 0 0
⎧ Dh Qσ 2 Qσh ⎢
⎪ Uσ 1 = ρ I + ρ + + ρ h +1
2! ( h + 1)! ⎢⎣ Ei X i 0 0
⎪
⎪
⎨ … (11) 2(UijCh X i + UijDhYi )T Fi YiT Ei Xi ⎤
⎪ h ⎥
⎪U σDh, h +1 = ρ I + Qσ ρ 2 + + Qσ ρ h +1 0 0 0 ⎥
⎪⎩ 2! (h + 1)! 0 0 0 ⎥
⎥<0 (14)
⎧ h h M
j −I 0 0 ⎥
⎪ΔAσ (ρ (k )) = e
M ρ (k )
− ∑ j =0 ρ j (k )
j ! 0 −I 0 ⎥
⎪ ⎥
⎪ h ⎛ ρ (k ) h +1 M
j −1
⎞ 0 0 −I ⎥⎦
⎪ΔB1σ (ρ (k )) = ⎜ ∫ eMs ds − ∑ j =1 ρ j (k ) ⎟ Nσ where
⎪ ⎝ 0 j! ⎠
⎨ j
(12) Ei = 4ηi γ A−2 + 4γ C−2 + 2γ −2γ A−2ψ 22iηi2 ,ηi = tr ( X i−1 ),
⎪ΔC h (ρ (k )) = eQρ (k ) − Q
∑ j = 0 j ! ρ j (k ) ,
h

⎪ σ Fi = 4ηi γ B−2 + 4γ D−2 + 2γ −2γ B−2ψ 22iηi2 ,ψ 22i = tr ( B2Ti B2i )

⎪ In this case, the state feedback sub-controller gain
⎪ h ⎛ ρ (t ) Qs h +1 Q
j −1
⎞
⎪ΔDσ (ρ (k )) = ⎜ ∫0 e ds − ∑ j =1 ρ j (k ) ⎟ Rσ and switching strategy are taken as
⎩ ⎝ ⎠ K ih = Yi X i−1 , σ (k ) = arg min xT (k ) ( X i−1 ) x(k )
j!
(15)
1≤ i ≤ N
The relation between the uncertain parameter ρ (k )
Proof: Setting X i = Pi −1 , Yi = K ih Pi −1 , pro-
and the coordinates μi ( ρ ) is given by Lemma 2.1. ■
multiplying and post-multiplying the matrix
Notice that the uncertain items diag ( Pi , Pi , I , I , I , I ) in left-side of matrix inequality
ΔAσ ( ρ (k ) ) , ΔB1σ ( ρ (k ) ) , ΔCσ ( ρ (k ) ) and ΔDσ ( ρ (k ) )
h h h h
(14), then according to (3)-(7), the matrix inequality
are bounded while 0 < ρ < ρ (k ) < ρ . Therefore one implies the following matrix inequality.
can write ⎡ − Pi 0 2( Aih ( ρ ))T
⎢
γ A−1 = sup ΔAσh ( ρ ) , γ B−1 = sup ΔB1hσ ( ρ ) ⎢ 0 Pi I
ρ < ρ ( k )< ρ ρ < ρ ( k )< ρ
⎢
⎢ 2 Ai ( ρ ) I − Pi −1
(13) h
γ C−1 = sup ΔCσh ( ρ ) , γ D−1 = sup ΔDσh ( ρ )
ρ < ρ ( k )< ρ ρ < ρ ( k )< ρ ⎢ 2C h ( ρ ) 0 0
By the above analysis, switched dynamic model (2) ⎢ i

⎢ Fi K i h
0 0
is actually a switched polytopic system subject to an ⎢
additive norm bounded uncertainty. As lemma 3.1 has ⎢⎣ Ei I 0 0
showed, such a switched model can be used to
represent the switched linear system (1). Therefore, 2(Cih ( ρ ))T Fi ( K ih )T Ei I ⎤
⎥
stabilizing switched dynamic model (2) is equivalent to 0 0 0 ⎥
doing the system (1). 0 0 0 ⎥
For disturbance attenuation performance of system ⎥<0 (16)
(2), we have the following result. −I 0 0 ⎥
Theorem 3.1: Given any constant γ > 0 , the 0 −I 0 ⎥
⎥
switched linear control system (2) is asymptotically 0 0 − I ⎥⎦

457
where ⎡ 2( Arhm ( ρ ))T Prm Arhm ( ρ ) + Frm ( K rhm )T K rhm
Aih (ρ ) = Aih (ρ) + B1hi (ρ)Kih , Cih (ρ) = Cih (ρ) + Dih (ρ)Kih . ⎡ 2 T T ⎤ ⎢
= ⎢ xT (k ) ω B2 rm ⎥ × ⎢ +2(Crhm ( ρ ))T Crhm ( ρ ) + Erm I − Prm
In view of Lemma 2.2, the matrix inequality (16) is ⎣ 2 ⎦ ⎢
⎢⎣ 2 Prm Arhm ( ρ )
equivalent to the following inequality.
⎡ x(k ) ⎤
⎡ 2( Aih ( ρ ))T Pi Aih ( ρ ) + Fi ( K ih )T K ih ⎤ 2( Arhm ( ρ ))T Prm ⎤ ⎢ ⎥
⎢ 2( Aih ( ρ ))T Pi ⎥ ⎥× 2
⎥⎦ ⎢ B2 rm ω ⎥
⎢ +2(Ci ( ρ )) Ci ( ρ ) + Ei I − Pi ⎥ < 0 (17)
h T h 2 Prm
⎣⎢ 2 ⎦⎥
⎢ ⎥
⎣⎢ 2 Pi Aih ( ρ ) 2 Pi ⎦⎥ Assume x(0) = 0 and introduce the performance
l
⎧1 k ∈ Κ i J = ∑ ( z T (k ) z (k ) − γ 2ω T (k )ω (k ))
Consider the notations: α i (k ) = ⎨
⎩0 k ∉ Κ i k =0
Let
where
Κ i = {k ∈ the ith subsystem is active at the k th step}
{(km , rm ) | rm ∈ ; m = 1,2, ; 0 = k1 < k2 <
< ks < l}
be switching sequence that is generated by the
The closed-loop dynamic of system (2) with state
switching strategy (15) in the set {0,1, 2, ,l} . Noting
feedback controller (15) is given by:
that x(k1 ) = x(0) = 0 , then for every ω satisfying
⎪⎧x(k +1) = ( Aσ ( k ) (ρ ) + ΔAσ ( k ) (ρ )) x(k ) + B2σ ω
h h

⎨ (18) ∞
⎪⎩ z(k ) = (Cσh(k ) (ρ) + ΔCσh( k ) (ρ )) x(k ) ∑ω
k =0
T
(k )ω (k ) < ∞ ,
where ΔArhm ( ρ ) = ΔArhm ( ρ (k )) + ΔB1hrm ( ρ (k )) K rhm , l l

ΔC ( ρ ) = ΔC ( ρ (k )) + ΔD ( ρ (k )) K .
h h h h J = ∑(zT (k)z(k) −γ 2ωT (k)ω(k) +ΔV(x(k))) − ∑ΔV(x(k))
rm rm rm rm k=0 k =0
Consider switched parameter dependent Lyapunov- l

like function = ∑(zT (k)z(k) −γ 2ωT (k)ω(k) +ΔV(x(k))) −V(x(l))

(∑ )
k=0
N
V ( x(k )) = xT (k ) α (k ) Pi x(k ) (19) l
≤ ∑(zT (k)z(k) −γ 2ωT (k)ω(k) +ΔV(x(k)))
i =1 i

Then for any k ∈ Κ rm , the discrete difference of k =0

Lyapunov-like function (19) along with the trajectory By virtue of the matrix inequality (17), it follows
of the closed-loop dynamic system (18) is given by that J < 0 . That is to say
l l
ΔV = xT (k) ⎡⎣(Arhm ( ρ ))T Prm Arhm ( ρ ) + ∑z
k =0
T
(k ) z (k ) < γ 2 ∑ ω T (k )ω (k )
k =0
2(Arhm ( ρ ))T Prm ΔArhm ( ρ) + (ΔArhm ( ρ))T Prm ΔArhm ( ρ ) − Now, we prove that the switched system (2) with
Prm ⎤⎦ x(k) + 2xT (k)(Arhm ( ρ ))T Prm B2rm ω + ω ≡ 0 is asymptotically stable.
Let
2xT (k)(ΔArhm ( ρ ))T Prm B2rmω +ωT B2Trm Prm B2rm ω {(km , rm ) | rm ∈ ; m = 1,2, ; 0 = k1 < k2 < < ks < }
⎡2( Arhm ( ρ))T Prm Arhm ( ρ) ⎤ be switching sequence that is generated by the
≤ xT (k) ⎢ ⎥ x(k) + switching strategy (15) in the set of natural numbers.
⎢⎣+2(ΔArm ( ρ )) Prm ΔArm ( ρ) − Prm ⎥⎦
h T h
For any k ∈ K m , the derivative of V ( x ) along with
2xT (k)( Arhm ( ρ ))T Prm B2rmω +ωT B2Trm Prm B2rm ω +γ 2ωTω + the trajectory of the switched system (18) with ω ≡ 0
is given by
γ −2 xT (k)(ΔArh ( ρ ))T Pr B2r B2Tr Pr ΔArh ( ρ ) x(k)
m m m m m m
⎡ 2( Arhm ( ρ ))T Prm Arhm ( ρ ) + 4η rm γ A−2 I ⎤
⎡2(Crhm ( ρ ))T Crhm ( ρ ) + ⎤ ΔV ≤ x T ( k ) ⎢ ⎥ x(k )
⎣⎢ +4η rm γ B ( K rm ) K rm − Prm
−2
−z (k)z(k) + x (k) ⎢ ⎥ x(k) ⎦⎥
T T h T h

⎢⎣2(ΔCrm ( ρ)) ΔCrm ( ρ) ⎥⎦

h T h

⎡ 2( Arhm ( ρ ))T Prm Arhm ( ρ ) + Frm ( K rhm )T K rhm

By means of (13), we have ⎢
≤ ⎡⎣ xT (k ) 0 ⎤⎦ × ⎢ +2(Crm ( ρ )) Crm ( ρ ) + Erm I − Prm
h T h
z T (k ) z (k ) − γ 2ω T ω + ΔV ⎢
⎡ 2( Arhm ( ρ ))T Prm Arhm ( ρ ) + Frm ( K rhm )T K rhm ⎤ ⎢⎣ 2 Prm Arhm ( ρ )
≤ xT ( k ) ⎢ ⎥ x(k ) +
⎢⎣ +2(Crm ( ρ )) Crm ( ρ ) + Erm I − Prm
h T h
⎥⎦ 2( Arhm ( ρ ))T Prm ⎤ ⎡ x(k ) ⎤
⎥×⎢ ⎥
2 xT (k )( Arhm ( ρ ))T Prm B2 rm ω + ω T B2Trm Prm B2 rm ω 2 Prm ⎥⎦ ⎣ 0 ⎦
Therefore, by virtue of the matrix inequality(17),

458
 for any k ∈ K m , the discrete difference of Lyapunov-
like functions (19) alone with the trajectory of the
switched system (18) with ω ≡ 0 is less than zero.
Without of generally, suppose that km +1 ∈ K m +1 and
km +1 − 1 ∈ K m . Then by Lyapunov-like functions (19),
switching strategy (15) and Pi −1 = X i , i = 1, 2,
V ( x ( km +1 ) ) − V ( x ( k m +1 − 1) )
= xT (km +1 ) Prm+1 x (k m +1 ) − xT (km +1 − 1) Prm x(km +1 − 1)
= xT (km +1 ) X r−m1+1 x (k m +1 ) − xT (km +1 − 1) X r−m1 x(km +1 − 1) < 0
Hence by Lyapounv stability theory, under the action
of switching controller (15), the asymptotic stability of
system (2) with ω ≡ 0 follows immediately. This
completes the proof. ■ 3613.
4. Conclusions
The robust H ∞ control problem has been studied
via switched state feedback for switched linear discrete
systems with exponential uncertainties by using Taylor
series approximation, convex polytope technique and
LMI method. Sufficient conditions are, by solving
linear matrix inequalities, presented to realize the H ∞
control design. How to design a switching strategy and
an associated output feedback controller to improve the
performance of switched systems should be further
studied in the future work.
Acknowledgements
This work was partially supported by the Natural
Science Foundation of China under Grant No.
60764001, the Science Foundation of Guizhou
Province under Grant No.20072208, the West Light
Talent Project of The Chinese Academy of Sciences
(2007) and the Indraught Talents Foundation of
Guizhou University (2007).
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459
 2008 International Conference on Intelligent Computation Technology and Automation
Robust Output Feedback Stabilization for Uncertain Switched Systems
Shao Wei, Wang Jiabin, Ding Yanmei
Shenyang Normal University，Shenyang 110034, China
E-mail: shwei@126.com
Abstract
The problem of robust stabilization for a class of
uncertain switched linear systems is studied. Supposed
that there exist finite appointed static output feedback
controllers, the subsystem can’t be stabilized by using a
single appointed controller accordingly. The parameter
uncertainties are time-varying and unknown but are
norm-bounded. By using the completeness and LMI
(linear matrix inequality) method, a sufficient
condition of robust stabilization for uncertain switched
linear systems is obtained. The method of hybrid output
feedback control is designed to make the closed-loop
systems be asymptotically stable on the equilibrium
point.
1. Introduction
Switched systems consist of several subsystems and
a switching law determining at any time instant which
subsystem is active. Switched systems have been
studied in many fields of science ranging from
intelligent robots to spaceflight in recent years. There
has been increasing interest in the stability analysis of
switched systems. Most of the results are obtained and
based on the Lyapunov function or linear matrix
inequalities or other methods (see e.g., [1-4]). However,
the results on robust stabilization for uncertain
switched systems are few (see [5,6]).
In this paper, robust output feedback stabilization for
a class of switched linear systems is considered. State
matrix and input matrix of each subsystem have
uncertainties with norm-bounded. By using the single
Lyapunov function method and the multiple Lyapunov
function method, sufficient conditions of asymptotical
stability for closed-loop systems are obtained
respectively. There exist finite appointed static output
feedback controllers. Under the assumption of the each
subsystem can not be stabilized, the switched systems
are stabilized by using hybrid output feedback method.
978-0-7695-3357-5/08 $25.00 © 2008 IEEE
DOI 10.1109/ICICTA.2008.27
2. Problem formulation
Consider a class of switched linear system given by
x = ( Aσ + ΔAσ )x +( B σ + ΔB σ )u
y = Cx （1）
where x∈R n
, u∈R m
, y is output and
σ :[ 0,+∞) → P = {1,2, " p} is the switching law
indicating the active subsystem at each instant.
Ai , Bi are state matrix and input matrix of the i-th
subsystem respectively and C is output matrix.
ΔAi , ΔBi are uncertainties. Uncertainties have the
following forms
ΔAi = E i F( t )Di , ΔBi = M i F( t )N i （2）
where Ei , Di , M i , N i are constant matrices. F( t )
satisfies
F T( t )F( t ) ≤ I （3）
Lemma: For any matrix X , Y with suitable
dimensions and a constant α > 0 , the following
expression holds
X T Y + Y T X ≤ αX T X + α −1Y T Y
The systems (1) have p appointed output feedback
controllers u = Fi y . Each of them can not stabilize the
corresponding subsystem. By using output information,
the switching law is designed to make switched
systems be stable.
3. Main results
Definition: If there exists i ∈{1,2, " , p} and a set of
symmetrical matrices generated by {Z 1 , Z 2 ," , Z p } ,
such that x T Z i x ≤ 0 holds for any x ∈ R n . Then the
set is complete. If there exists i ∈{1,2, " , p} and a set
of symmetric matrices generated by{Z 1 , Z 2 ," , Z p } ,
460
such that x T Z i x < 0 holds for any x ∈ R n /{0} . Then
the set is complete strictly.
3.1. The single Lyapunov function method
Theorem2: If there exist two negative or positive
numbers β1 , β 2 and two symmetric positive matrices
P1 ， P2 , numbers ε > 0 and γ > 0 such that the
following two matrix inequalities hold simultaneously
− P1 A1 - A1 P1 + β1( P2 - P1 ) - P1 B1 F1 C − C T F1 B1 P1 −
T T T

Theorem1: If there exists a symmetric positive 1 1

εD1 D1 − P1 E1 E1 P1 − γS T S − P1 M 1 M 1 P1 > 0
T T T
p
matrix P for ∑ Z i < 0 , such that the set generated ε γ
i =1
（10）
by Z i = ( Ai + Bi Fi C ) T P + P( Ai + Bi Fi C ) + εDi Di +
T
− P2 A2 - A2 P2 + β 2( P1 - P2 ) - P2 B 2 F2 C − C T F2 B 2 P2 −
T T T

1 1 1 1
PE i E i P + γS T S + PM i M i P is complete strictly,
T T
εD2 D2 − P2 E2 E2 P2 − γS T S − P2 M 2 M 2 P2 > 0
T T T
ε γ ε γ
where S = N i Fi C . Then uncertain switched （11）
closed-loop systems (1) are asymptotical stable. Then we find consequentially a switching law
Proof : Appointed output feedback controllers σ :[ 0,+∞) → P = {1,2} to stabilize the switched
u = Fi y （6） closed-loop systems (1).
Design a switching law Proof: Without a loss of generality, we assume that
i = arg{min x T[( Ai + Bi Fi C )T P + P( Ai + Bi Fi C ) + β1 and β 2 are positive.
j

1 1 If x T( P1 - P2 )x ≥ 0 and x ≠ 0 , we have
εDi Di + PEi Ei P + γS T S + PM i M i P]x} （7）
T T T

ε γ
x T[ P1 A1 + A1 P1 + P1 B1 F1 C + C T F1 B1 P1 +
T T T

where function arg(•) denotes a subscript of

1 1
εD1 D1 + P1E1E1 P1 + γS T S + P1M 1M 1 P1]x < 0 （12）
T T T
expression . ε γ
Consider the closed-loop systems
If x T( P2 - P1 )x ≥ 0 and x ≠ 0 ，we have
x = ( Ai + ΔAi )x +( Bi + ΔBi )Fi Cx ，i ∈ P = {1,2, " , p}
x T[ P2 A2 + A2 P2 + P2 B 2 F2 C + C T F2 B 2 P2 +
T T T

（8）
1 1
εD2 D2 + P2 E2 E2 P2 + γS T S + P2 M 2 M 2 P2 ]x < 0（13）
T T T
Take Lyapunov function V( x) = x T Px ε γ
p
where P is determined by ∑ Zi < 0 Let Ω 1 = { x | x T( P1 - P2 )x ≥ 0 , x ≠ 0}
i =1
Ω 2 = { x | x T( P2 - P1 )x ≥ 0 , x ≠ 0}
V( x) = 2 x T P( Ai + ΔAi + Bi Fi C + ΔBi Fi C )x
Take V1( x) = x T P1 x ， V 2( x) = x T P2 x
= x [( Ai + Bi Fi C ) P + P( Ai + Bi Fi C )] x +
T T
Design a switching law
x T[( ΔAi + ΔBi Fi C ) T P + P( ΔAi + ΔBi Fi C )] x ⎧1 x ∈ Ω1
σ( x( t )) = i = ⎨ （14）
≤ x T[( Ai + Bi Fi C ) T P + P( Ai + Bi Fi C ) + ⎩ 2 x ∈ Ω 2 − Ω1
1 1 If x ∈ Ω1 ，we have
εDi Di + PEi Ei P + γS T S + PM i M i P] x （9）
T T T

ε γ V1( x) ≤ x T[ P1 A1 + A1 P1 + P1 B1 F1C + C T F1 B1 P1 +
T T T

When the i-th subsystem is active, we have V( x) < 0 1 1

εD1 D1 + P1E1E1 P1 + γS T S + P1M 1M 1 P1]x < 0
T T T

in view of the strict completeness of set Z i . ε γ

Switched systems (1) are stabilized by output （15）
Else x ∈ Ω 2 − Ω1 ，we have
feedback controllers and the switching law. Switched
V2( x) ≤ x T[ P2 A2 + A2 P2 + P2 B 2 F2 C + C T F2 B 2 P2 +
T T T
closed-loop systems are asymptotical stable.
1 1
εD2 D2 + P2 E2 E2 P2 + γS T S + P2 M 2 M 2 P2 ]x < 0
T T T

ε γ
3.2. The multiple Lyapunov function method
（16）

461
If x T( P1 - P2 )x ≥ 0 and x ≠ 0 ， matrix inequality the feasibility of the adopted methods.
（15）holds. Else x T( P2 - P1 )x ≥ 0 and x ≠ 0 ，matrix
inequality（16）holds.
The switched closed-loop systems are asymptotical
stable under the given switching law（14）.

4. Numerical example
Consider uncertain switched systems
x = ( Ai + ΔAi )x +( Bi + ΔBi )u Figure 1. State response curves of switched systems
i = 1,2 （17）
y = Cx
⎡− 4 1 ⎤ ⎡ 2 0⎤
where A1 = ⎢ ⎥ , A2 = ⎢ ⎥ ,
⎣ 1 2⎦ ⎣0 1⎦
⎡ 2 0⎤ ⎡0.1sin( t ) 0 ⎤
B1 = ⎢ ⎥ , ΔA1 = ΔA2 = ⎢ ⎥,
⎣ 0 1⎦ ⎣ 0 0.1 cos( t )⎦
⎡1 0 ⎤ ⎡0.2 sin( t ) 0 ⎤
B2 = ⎢ ⎥ , ΔB1 = ΔB2 = ⎢ ⎥,
⎣ 0 2 ⎦ ⎣ 0 0. 2 cos( t )⎦
Figure 2. State trajectory of switched systems
⎡ 0 .1 0 ⎤ ⎡0 . 2 0 ⎤
E1 = E 2 = ⎢ ⎥ , M1 = M 2 = ⎢ ⎥,
⎣ 0 0 . 1⎦ ⎣ 0 0.2⎦ 5. Conclusion
⎡3 ⎤ ⎡ − 2⎤
D1 = D2 = N 1 = N 2 = I , F1 = ⎢ ⎥ , F2 = ⎢ ⎥ ,
⎣ − 2⎦ ⎣ − 3⎦ The problem of robust output feedback stabilization
for a class of switched linear systems with
C = [0 1] , x 0 = [ 0.3 2] T
uncertainties is studied. Some systems can not be
Z i = ( Ai + Bi Fi C ) T P + P( Ai + Bi Fi C ) + stabilized by static output feedback. However, they can
be stabilized by using the methods of hybrid output
1 1
εDi Di + PEi Ei P + γS T S + PM i M i P （18）
T T T
feedback.
ε γ
2
By ∑ Z i < 0 ，we obtain References
i =1

⎡4.7708 5.6307 ⎤ [1] E. Skafidas, R. J. Evans, A. V. Savkin, et al, “Stability

P=⎢ ⎥ , ε = 2.0513 , γ = 1.9981 result for switched controller systems”, Automatica,
⎣5.6307 12.5681⎦ 35(4), 1999, pp. 553-564.
On the basis of equality（18）, we obtain [2] X. Zhang, Y. Liu, J. Zhao, “Asymptotic stability of a
class of discrete switched systems”, Control Theory
⎡− 23.4978 25.8714 ⎤
Z1 = ⎢ ⎥
and Applications,19(5), 2002,pp.774 – 776.
⎣ 25.8714 111.5780⎦ [3] D. Liberzon, A. S. Morse, “Basic problems in stability
and design of switched systems”, IEEE Control
⎡ 23.5786 − 22.0525 ⎤
Z2 = ⎢ ⎥
Systems Magazine, 19(5), 1999, pp.59-70.
⎣− 22.0525 − 111.6661⎦ [4] M. S. Branicky, “Multiple Lyapunov functions and
other analysis tools for switched and hybrid systems” ,
Construct Lyapunov function V( x) = x T Px IEEE Trans Automatic Control, 43(4), 1998, pp.
It is obvious that the set generated by Z i is strict 475-482
[5] H. Sun, C. Lu, J. Zhao, “Output feedback robust
complete，then V( x) < 0 . stabilization of linear system via controller switching”,
Output feedback controllers Control Theory and Applications, 19(3), 2002, pp.
⎧ F Cx, if x T( Z 1 − Z 2 )x < 0 438-441.
u = Fσ y = ⎨ 1 （19） [6] X. Zhang, J. Zhao, “Robust stabilization of switched
⎩ F2 Cx, if x ( Z 2 − Z 1 )x < 0
T
linear systems with uncertainty under arbitrary
So switched closed-loop systems determined by (17) switching”, Acta Automatica Sinica, 28(5), 2002,
and (19) are asymptotical stable. The simulation results pp.859-861.
show the validity of the designed switching law and

462
 2008 International Conference on Intelligent Computation Technology and Automation

Robust reliable H∞ control for discrete-time Markov jump systems

Tang Zhongyi1,2,Duan Weiping1,Ni Wei1,Chen Jiaorong2
(1.Inst. of Automation ,huaiyin institute of technology,Huaian
2.Inst. of Automation,Jiangnan Univ.,Wuxi)
001TZY@163.com

Abstract of reliable controller is derived via the linear matrix

This paper is concerned with the robust reliable H∞
control problem for discrete-time Markovian jump
systems with actuator failures. A more practical model
of actuator failures than outage is considered. Based
on the state feedback method, the resulting closed-loop
systems are reliable in that they remain robust
stochastically stable and satisfy a certain level of H∞
disturbance attenuation not only when all actuators
are operational, but also in case of some actuator
failures. The solvability condition of controllers can be
equivalent to a feasibility problem of coupled linear
matrix inequalities (LMIs). A numerical example is
also given to illustrate the design procedures and their
effectiveness.
Key words:Discrete-time Markov jump systems,
Actuator failure, Reliable control, Robust H∞-control,.
1. Introduction
Recently, a great deal of research has been focused
on Markov jump linear systems. Most of results are
inequality approach.
This paper is organized as follows. Preliminaries
and the formulation of the problem are given in section
2.Section 3 presents a reliable state feedback controller
design procedure in terms of LMIs. In section 4 ,the
design scheme to design robust reliable H∞ controller
is proposed. A numerical example is also given to
illustrate the design procedure in section
5.Finally,some concluding remarks are given in section
6.
2. Problem statement
Let {rk , k ∈ κ } be a Markov chain with state space
S = {1,2, … , N } .Denote the state transition matrix
by P = [ p ij ]i , j∈S ,i.e., the transition probabilities of
{rk , k ∈ κ } are given by
Pr{rk +1 = j | rk = i} = p ij , for i, j ∈ S
N

∑p
under a full reliability assumption that all actuators are
operational. However, in practical situations, actuator with pij ≥ 0 for i, j ∈ S ,and ij = 1 , for
j =1
failures may be encountered sometimes. Since
actuators are very important in transforming the i∈S .
controller output to the plant, how to preserve the Consider a discrete-time Markovian jump linear
closed-loop control system performance in the case of system with actuator failures in the state. The system
actuator failures will be more meaningful. For general parameters contain norm-bounded uncertainties. Let
linear systems, the problem of reliable control has been the system dynamics be described by the following:
~ ~
studied in [1-3],and for general nonlinear systems in x k +1 = A(k , rk )x k + B(k , rk )u kf + B w (rk )w k (1)
[4-7]. To the best of our knowledge, it seems that the ~ ~
reliable control for Markovian jump systems has only z k = C(k , rk )x k + D(k , rk )u kf + D w (rk )w k (2)
been studied in [8].However, the actuator failures are
modeled as outages in [8],i.e., when a failure occurs, x s = φ( s ), s ∈ {−d , ,0}, r (0) = r0 (3)
the control action simply becomes zero. The outage where x k ∈ R n is the system state,
model is the simplest case of control component
failures, but it can not represent the failures exactly. ukf = [u kf1 u kf2 f
u km ]T ∈ R m is the signal from
There are no results on the reliable control for discrete-
time Markovian jump systems. the actuator that has failed, w k ∈ R q is the
This paper considers the robust reliable H∞ control disturbance input which belongs to L2 [0, ∞), and
problem for discrete-time Markovian jump systems
with actuator failures. A more general failure model is zk ∈ R p
is the controlled output. To simplify the
adopted for actuator failures, which consists of a notation, W (k , i ) will be denoted by W i (k ) .For
scaling factor with upper and lower bounds to the
control action. A sufficient condition for the existence

978-0-7695-3357-5/08 $25.00 © 2008 IEEE 463

DOI 10.1109/ICICTA.2008.402
 ~ ~ α θ − α 0θ
instance, A(k , i ) is denoted by Ai (k ) ,and so on.
lθ = , θ = 1,2, ,m (7)
For each i ∈ S , α 0θ
~ ~
Ai (k ) = Ai + Δai (k ) , Bi (k ) = Bi + Δbi (k ) , Then,it is obvious that
~ ~ M = ( I + L) M 0 , L ≤ J ≤ I (8)
C i (k ) = C i + Δci (k ) , Di (k ) = Di + Δdi (k ) ,
In this paper, it is assumed that for all h ∈ [ − d ,0] ,
with Ai , Bi , C i and Di are matrices with appropriate
there exist a scalar 1 ≤ δ < ∞ such that
dimensions, Δai (k ) , Δbi (k ) , Δci (k ) , Δdi (k ) are
x k +h ≤ δ x k (9)
unknown matrices denoting the uncertainties in the
Obviously, this assumption does not represent a
system. Assume that the uncertainties are norm-
bounded and may be described as restriction since δ can be chosen arbitrarily.
⎡Δ ai (k ) Δ bi (k ) ⎤ ⎡ E1i ⎤ Definition 1 The nominal jump system with uk = 0
⎢ Δ (k ) Δ (k )⎥ = ⎢E ⎥ Δ i (k )[H 1i H 2i ] is said to be stochastically stable if for all
⎣ ci di ⎦ ⎣ 2i ⎦ φ( s ) ∈ R n defined on {− d , … ,0} and initial mode
(4) ~
where E1i ∈R
n× n f
, E 2i ∈R
p×n f
, H 1i ∈R
n f ×n r0 ∈ S ,there exists a finite number N (φ, r0 ) > 0
n f ×m such that
H 2i ∈ R are known constant matrices, and T
~
n f ×n f lim E{∑ x kT (k , φ, r0 ) x k (k , φ, r0 ) | φ, r0 } < N (φ, r0 )
Δi (k ) ∈ R are unknown matrix functions T →∞
k =0
satisfying (10)
Δ (k ) Δi (k ) ≤ I , i ∈ S
T
i (5) The uncertain system (1)-(3) is said to be robust
stochastically stabilizable if it is stochastically
When Δi (k ) ≡ 0, then system (1)-(3) is referred to as Δi ≤ 1 .
stabilizable for all possible uncertainty
a nominal jump linear system with actuator failures.
The following failure model is adopted in this paper: 3. State feedback reliable controller design
In this section, a sufficient condition for the
u kfθ = α θ u kθ , θ = 1,2, ,m (6) robust stochastic stabilizability of the discrete-time
where uk = K i x k = [u k1 u k 2 u km ]T ∈ R m is Markovian jump linear systems (1)-(3) with

the control input, 0 ≤ α lθ ≤ α θ ≤ α uθ ,and α uθ ≥ 1 . w k ≡ 0 is presented.

Theorem 1 The nominal jump system with actuator
In the above model of actuator failure, when
failures is stochastically stable if there exist
αθ = 0 ,it corresponds to the case of the complete
Q > 0, Pi > 0 and K i , i = 1,2, , N , satisfying
u kθ .When α θ > 0 ,it corresponds to the
failure of
Τ i = A Ti Pi A i + A Ti Pi B i K i + ( A Ti Pi B i K i ) T
case of partial failure of u kθ .If α θ = 1 , then
+ K iT BiT Pi Bi K i − Pi < 0 (11)
u kfθ = u kθ ,which corresponds to the case of no failure where
of u kθ . N

Denote
Pi = ∑ pij P j and K i = MK i .
j =1
M = diag{α 1 , α 2 , … , α m }, The remaining of this section is devoted to designing
M 0 = diag{α 01 , α 02 , , α 0 m } , a robust, mode-dependent state feedback controller in
the form of
J = diag{ j1 , j 2 , …, j m }, uk = K i x k (12
L = diag{l1 , l 2 , …, l m } , )
Theorem 2 There exist reliable state feedback
L = diag{ l1 , l 2 , , l p }, controllers for the system(1)-(3),if there exist positive
α lθ + α uθ α uθ − α lθ scalar ε 1i , ε 2i and matrices Xi > 0 ,
where α 0θ = , jθ = ,
2 α uθ + α lθ

464
R > 0 and Yi , i = 1,2,… N satisfying the following ~ ~ ~ ~
Ξ1i = ( A i (k ) + B i (k )K i ) T Pi (A i (k ) + B i (k )K i )
matrix inequalities − Pi < 0 (14)
⎡ν1i ν 2i ⎤
⎢* <0 Pi = Vi ηViT ,where
ν 3i ⎥⎦
(13) Noting that
⎣ η = diag{P1 ,…, PN } ,
then the mode-dependent reliable state feedback
controller(12) with K i = Yi X i−1 stabilizes the Vi = [ pi1 I , , piN I ] ,thus Ξ 1i can be
uncertain jump system with actuator failure (1)- (3), From the Schur complement, it is easy to find that the
where matrix inequality (14) is equivalent to the following
matrix inequality:
⎡− X i a13 a16 ⎤ ~ ~
⎢ * ⎡− P ( A i (k ) + B i (k )K i ) T Vi ⎤
⎢ a 23 a 24 a 26 ⎥⎥ Ξ 2i = ⎢ i ⎥<0
⎣ * − η −1 ⎦
ν 1i = ⎢ * * a34 a36 ⎥
⎢ ⎥ (15)
⎢ * * * ⎥ Note that
⎢⎣ * * * * a56 ⎥⎦ Ξ 2i = Λi + Θi + ΘiT ,where
⎡ a17 YiT M 0T J
1
2
Xi ⎤ ⎡− P ( A i + B i K i ) T Vi ⎤
⎢ ⎥ Λi = ⎢ i ⎥
0⎥ ⎣ * − η −1 ⎦
⎢a 27 0
ν 2i = ⎢a 37 0 ⎥, ⎡ 0 ⎤
Θ i = ⎢ T ⎥ Δ i (k )[H 1i + H 2i K i 0] .
0
⎢ ⎥
⎢ ⎥ ⎣Vi E1i ⎦
⎢a
⎣ 47 0 0 ⎥⎦ By Lemma 1[9] ,it is obvious that (15) holds if and
only if there exists a positive scalar ε 1i such that
ν 3i = diag{a 67 ,−ε 2i I,0} ,
⎡ 0 ⎤
where
[
Λ i + ε 1i ⎢ T ⎥ 0 E1Ti V ]
a13 = pi1 ( Ai X i + Bi M 0Yi ) T , ⎣Vi E1i ⎦
⎡( H + H 2 i K i ) T ⎤
⎥[H 1i + H 2i K i 0] < 0
a16 = piN ( Ai X i + Bi M 0Yi ) T , + ε 1−i1 ⎢ 1i
a17 = (H 1i X i + H 2i M 0 Yi ) , T ⎣ 0 ⎦
(16)
a 23 = − X1 + ε 1i pi1E1i E1Ti + ε 2i pi1B i JB Ti , Therefore, using Schur complement, one can find that
(16) is equivalent to (22).
a 24 = ε 1i pi1 pi 2 E1i E1Ti + ε 2i pi1 pi 2 B i JB Ti
⎡− Pi q1i q 2i ⎤
a 26 = ε 1i pi1 piN E1i E1Ti + ε 2i pi1 piN B i JB Ti ⎢ q3i 0 ⎥⎥ < 0 (17)
⎢
a 27 = ε 2i pi1 B i JH , a 37 = ε 2i pi 2 B i JH ,
T
2i
T
2i ⎢⎣ − ε 1i I ⎥⎦
a 34 = − X 2 + ε 1i p i 2 E1i E1Ti + ε 2i pi 2 B i JB Ti , where
q1i = ( Ai + Bi K i ) T Vi , q 2i = (H 1i + H 2i K i ) T ,
a 36 = ε 1i p i 2 p iN E1i E1Ti + ε 2i p i 2 p iN B i JB Ti
q 3i = − η −1 + ε 1i ViT E1i E1Ti Vi .
a 56 = − X N + ε 1i piN E1i E1Ti + ε 2i piN B i JB Ti ,
By (8) and (17),and using Lemma2[3],it follows that
a 47 = ε 2i piN B i JH , T
2i ⎡ g 1i g 4i ( H 1i + H 2i M 0 K i ) T ⎤
a 67 = −ε 1i I + ε 2i H 2i JH T2i . ⎢ ⎥
⎢* g 2i ε 2iVi Bi H 2Ti ⎥<0 (18)
Proof From the Theorem 1,the sufficient condition ⎢* * g 3i ⎥
for stochastic stability of the uncertain jump system ⎣ ⎦
with actuator failures (1)-(3) with uk = K i x k is that where
the following inequalities hold: g 1i = − Pi + ε 2−i1K Ti M T0 JM 0 K i ,

465
g 2i = −η −1 + ε 1iViT E1i E1Ti Vi + ε 2iViT Bi JBiT V , b49 = a 37 , b55 = a 44 , b57 = a 46 ,
g 3i = −ε 1i I + ε 2i H 3i JH , T
3i b58 = ε 1i pi 2 E1i E 2Ti + ε 2i pi 2 Bi JDiT ,
g 4i = ( Ai + Bi M 0 K i ) T V . b59 = a 47 , b77 = a 66 , b79 = a 67 ,
Let X i = Pi−1 , Yi = K i X i . b78 = ε 1i piN E1i E 2Ti + ε 2i piN Bi JDiT ,
Pre- and postmultiplying (18) by diag{X i , I, I} and b88 = − I + ε 1i E 2i E 2Ti + ε 2i Di JDiT ,
then using Schur complement,it is easy to check that
（18）is equivalent to (13).This completes the proof.
b89 = ε 2i Di JH 3Ti , b99 = a 77 .
4. Robust reliable H∞ controller synthesis Proof Define a performance function J T by
Theorem 3 There exist reliable H∞ controller for T −1
− γ 2 wk = E{∑ ( z kT z k − γ 2 w Tk w k )}.
2 2
the system(1)-(3) , if there exist positive scalar JT = zk 2 2
ε 1i , ε 2i and matrices X i > 0, R > 0 ,and Yi , k =0
Assume zero initial condition, hence
i = 1,2,… N satisfying the following matrix T −1
inequalities J T = E{∑ ( z kT z k + Vk +1 ( X k +1 , rk +1 ) − Vk ( X k , rk )
⎡ϑ1i ϑ 2 i ϑ3i ⎤ k =0
T −1
⎢* ϑ4i 0 ⎥⎥ < 0 (19) − γ 2 w Tk w k )} − E{VT ( X T , rT )} ≤ ∑ ξ Tk Φ i ξ k
⎢ k =0
⎢⎣ * * ϑ5i ⎥⎦ where
then the mode-dependent state feedback controller(12)
−1
ξ k = [ x kT x kT−d w kT ]T ,
with K i = Yi X stabilizes the uncertain jump
i
⎡Φi11 Φi12 Φi13 ⎤
system with actuator failures (1)-(3),and guarantees
that the closed-loop system verifies noise attenuation Φi = ⎢⎢ * Φi 22 Φi 23 ⎥⎥ ,
level γ ,
⎢⎣ * * Φi 33 ⎥⎦
where
where
ϑ1i = diag{− X i ,−γ 2 I}, ~ ~ ~ ~
Φ i11 = ( A i + B i K i ) T Pi ( A i + B i K i ) − Pi
⎡b14 b17 b18 b19 ⎤ ~ ~ ~ ~
ϑ2 i = ⎢ + (C i + Di K i ) T (C i + Di K i ) ,
⎣ pi1 Bwi
T T
piN Bwi T
Dwi 0 ⎥⎦ ~ ~ ~ ~ ~ ~
Φi12 = ( Ai + Bi K i ) T Pi Adi + (C i + Di K i ) T C di ,
⎡Y T M T J 1 / 2 Xi ⎤ ~ ~ ~ ~
ϑ3i = ⎢ i 0 ⎥, Φi13 = ( Ai + Bi K i ) T Pi B wi + (C i + Di K i ) T Dwi
⎣ 0 0⎦
,
ϑ5i = diag{−ε 2i I}, ~ ~ ~ T~
Φ i 22 = A Tdi Pi A di + C di C di ,
⎡b44 b45 b47 b48 b49 ⎤ ~ ~ T
⎢* Φi 23 = AdiT Pi B wi + C di Dwi ,
⎢ b55 b57 b58 b59 ⎥⎥
Φi 33 = B wi
T
Pi B wi + Dwi
T
Dwi − γ 2 I .
⎢* * ⎥
ϑ 4i = ⎢ ⎥, If Φi < 0 ,then J T < 0 holds.
⎢* * * b77 b78 b79 ⎥ Then using the same argument as in the proof of
⎢* * * * b88 b89 ⎥ Theorem 2, (19) is obtained. This completes the proof.
⎢ ⎥ 5. Numerical example
⎣⎢ * * * * * b99 ⎦⎥ To illustrate the proposed results, a numerical
where example is considered for robust reliable H∞ control.
b14 = a13 , b17 = a16 , b18 = (C i X i + Di M 0Yi ) T , The system is described by(1)-(3) and assumed to
have two modes, i.e., S = {1,2}. The mode switching
b19 = a17 , b44 = a 33 , b45 = a 34 , b47 = a 36 ,
is governed by a Markov chain that has the following
b48 = ε 1i pi1 E1i E 2Ti + ε 2i pi1 Bi JDiT , transition probability matrix:

466
 ⎡0.2 0.8⎤ ,
p=⎢ ⎥
⎣0.6 0.4⎦
The other data are as follows:
⎡0.5 0 ⎤ , ⎡1 0.2⎤ , ⎡0.6 0 ⎤ ,
A1 = ⎢ ⎥ A2 = ⎢ 0 1 ⎥ B1 = ⎢ ⎥
⎣ 0 0 .5 ⎦ ⎣ ⎦ ⎣ 1 0.1⎦
⎡0.8 0 ⎤ , ⎡ 0.1 0⎤ , ⎡ 0 0.2⎤ ,
B2 = ⎢ ⎥ C 11 = ⎢ ⎥ C 12 = ⎢ ⎥
⎣0.3 0.1⎦ ⎣0.2 0⎦ ⎣0.1 0 ⎦
⎡ 0. 1 0 ⎤ , ⎡ 0 0.1⎤ ,
C 21 = ⎢ ⎥ C 22 = ⎢ ⎥
⎣− 0.1 0⎦ ⎣0.1 0 ⎦
⎡− 0.1 0.1⎤ , ⎡− 0.1 − 0.2⎤ ,
D11 = ⎢ ⎥ D12 = ⎢
⎣ 0 0.2⎦ ⎣ 0 0.1 ⎥⎦ Fig.1. Evolution of modes,states versus time
⎡0.1 0⎤ , ⎡− 0.1 0 ⎤ 6. Conclusions
, E11 = ⎡
0 0⎤
D 21 = ⎢ ⎥ D 22 = ⎢ ⎥ ⎢ ⎥
, This paper discusses the reliable design problem for
⎣ 0 0⎦ ⎣ 0 − 0.1⎦ ⎣0 0.1⎦ discrete-time Markovian jump systems with actuator
⎡ 0 0⎤ , ⎡0.1 0⎤ , failures. The resulting control systems are reliable in
E 12 = ⎢ ⎥ E 21 = ⎢ ⎥ that they remain stable and provide guaranteed H∞
⎣0.1 0⎦ ⎣ 0 0⎦ performance when all actuators are operational as well
⎡0 0 ⎤
, H 11 = ⎡
0.2 0 ⎤ as when some actuator failures.
E 22 = ⎢ ⎥ ⎢ ⎥
,
⎣ 0 − 0 . 1 ⎦ ⎣ 0 .1 0 . 1⎦ 7. References
⎡0.2 0 ⎤ ⎡ 0.3 0.2⎤ [1]Veillette R J, Medanic J V, Perkins W R. Design of
H 12 = ⎢ ⎥ H 21 = ⎢− 0.1 0.1⎥
, , reliable control system.IEEE Trans Automat
⎣ 0.1 − 0.1⎦ ⎣ ⎦ Contr,1992,37:770-784.
⎡ 0.3 0.2 ⎤
, H 31 = ⎡
0 0⎤ [2]Guan L , Wang J, Wang F. Robust H∞ Control with
H 22 = ⎢ ⎥ ⎢ ⎥
, Actuator Faults.Computing Technology and Automation,
⎣− 0.1 − 0.1⎦ ⎣− 0.2 0⎦ 2006,25(2):4-7.
⎡ 0 0.2⎤ , ⎡0⎤ [3]Wang F Z, Yao B. Optimal Reliable Guaranteed Cost
H 32 = ⎢ ⎥ x0 = ⎢ ⎥ ， d = 3 ， γ = 2 . Control for Uncertain Linear Systems.Mathematics In
⎣0.2 0 ⎦ ⎣0.1⎦ Practice And Theory,2005,35(6):153-160.
It is assumed that two control channels of the [4]Wang Z D, Huang B, Unbehauen H. Robust reliable
system have partial failure as follows: control for a class of uncertain nonlinear state-delayed
0.1 ≤ α 1 ≤ 1.1,0.2 ≤ α 2 ≤ 1.2 ,i.e., systems .Automatica,1999,35:955-963.
[5]Yang G. H, Lam J & Wang J L. Reliable H∞ control for
⎡0.8333 0 ⎤
, M0 = ⎡
0.6 0 ⎤ affine nonlinear systems .IEEE Transactions on
J =⎢ ⎥ ⎢ ⎥ Automatic Control,1998,43(8):1112-1117.
⎣ 0 0.7143⎦ ⎣ 0 0.7⎦
[6]XiaoY L, Xu Z D. Robust Reliable Control for Uncertain
Let the uncertainties in each mode be given Nonlinear Systems With Time-Delay.Systems
by Engineering and Electronics,2002,24(5):32-40.
⎡0.2 0 ⎤ , ⎡0.1 0 ⎤ , [7]Fu Y S, Tian Z H, Shi S J. Reliable H∞ State Feedback
Δ1 (t ) = ⎢ ⎥ Δ2 (t ) = ⎢ 0 0.1⎥ Control of Uncertain Nonlinear Systems.Journal Of
⎣ 0 0 .2 ⎦ ⎣ ⎦ Applied Sciences,2000,18(3):280-282.
Assume α 1 = 0.2, α 2 = 0.3 ,the results of the simulation [8]Yu Z X, Wu T H, Sun J T. Robust reliable H∞ control of
uncertain Markovian jump systems with time-
are shown in Fig.1. where w k is given by delays.//Proceedings of the 42nd IEEE conference on
⎧1， 0 ≤ k ≤ 5 Decision and control,2003:5032-5034.
wk = ⎨ [9] Wang Y, Xie L, de Souza C E, Robust control of a class
⎩0, k >5 of uncertain nonlinear system.System &
It is observed that when actuator failures occur, the ControlLett,1992,19:
139-149.
closed-loop system with the robust reliable H∞
controller operates well.

467
 2008 International Conference on Intelligent Computation Technology and Automation

Self-Adapted Construction Control Analysis of Long Span

Pre-stressed Concrete Cable-stayed Bridge

CHEN Chang-song
Changsha Univ. of Sci. & Tech.Changsha, China
(changsongchen@vip.sina.com)

Abstract
To reach the optimum mechanics state of long span
prestressed concrete cable-stayed bridge after it
erected by construct control, a method is proposed to
identify, predict and adjust parameter in construct
control of cable-stayed bridge, which integrates the
minimum square method, grey prediction theory model
and influence matrix adjustment method compositively.
The method is also verified by construct control of the
longest span prestress concrete bridge in Asia, and the
effect of construct is very successful. This work of con-
struct control can absolutely demonstrate the validity
and practicability of the method.
1. Introduction
The construction process of prestressed concrete
cable-stayed bridge is very complex and has lots of
influence parameters. On the stage of design, these
parameters are generally assumed ideal. According to
the construction process, the theoretical value of con-
trol parameters such as control tensile of cable and
setting elevation may be determined by some methods
in order to reach the ideal state of bridge after it com-
pleted. In fact, because these parameters have errors
and if the control variety values also use theoretical
values on the process of the construction, the mechan-
ical state of bridge would deviate from theoretical
trace, and the bridge can not to reach the last ideal
state. How to adjust control variety values according to
the parameters’ error is one of the tasks in construct
control to insure the bridge close to the ideal state as
far as possible and to satisfy the design request. It is a
complex process in data analysis during construct of
cable-stayed bridge. It is necessary to establish a com-
pleted computer deal procedure so as to analyze in
time and quickly get a conclusion on the spot.
At present identification and prediction of parame-
ters error in construct control is still on the research
stage, which have such main methods as Karlman，
grey prediction theory model, the minimum square
method [1] (or with weight coefficient) and so on. Be-
cause these methods come from mathematic statistics
model or random data assumption, they may neglect
the necessary relationship between mechanical re-
sponse and parameters error, and have less physical
meaning, and all these leads them still far from engi-
neering application.
2. Identification, Prediction and Adjust-
ment of Parameters
We must make use of the tested data which has
been disposed by temperature influence [2] to identify
and predict the parameter error. One of the main tasks
in construct control is to identify the parameters error

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DOI 10.1109/ICICTA.2008.471
between actual and theoretical state in the finished no longer to identify
beam segment, and it is the basis of adjustment. Rewrite the parameter error as
JingzhouYangZe River Bridge has the main span of
500m in which length of cantilever beam is 250m.
{ΔP}4 = [ΔG ΔT ]T
Elevation of main beam is very sensitive to the change Establish the state variable array
of air temperature. At the same time, the error between {S}10 = [H L1 H L2 H L3 H L4 H L5 H R5 H R4 H R3 H R2 H R1 ]T
theoretical and actual value of some main parameters
caused by construction can also influence the elevation
Among them, H bu means elevation of beam on side
of main beam, cable tension and so on. If we can not
identify this error and adjust the control data in time, it b, and the number of segment is u (here from1 to 5
is hardly to satisfy the target state of design. counted from cantilever tip, unit: m )

2.1 Selection of Parameters The tested value of state variable is {S R }10 , the
Choosing the suitable parameters which are used to
corresponding theoretical valve is {S L }10 , then the
identify and predict is very important. In section 3, we
have already been the first step analysis to the sensitive difference array of state variable is
of the parameters. It can not include too marry para-
{ΔS }10 = {S R }10 − {S L }10
meters but they must be representative. The parameters
which affected accuracy of control obviously can not If the influence matrix between parameter array and
be neglected. Because the cable tension has bean cali-
state variable is denoted by [ APS ]10×4 , the element in
brated by the high precision instrument, we could as-
sume cable tension without error. We choose the
the matrix means: if there a unit change of in {P}4
weight of every segment as the object to identify and
predict. In this process, we suppose that all test data
then there are corresponding change in {S }10 . Divide
have been already eliminated with temperature influ-
ence. Then we can suppose the influence parameter
[ APS ]10×4 into
vector is

{P}4 = [G L GR TL T R ]T [ APS ]10×4 = [ AGS ATS ]T

Among them, GL、GR、TL、TR represent for the weight

of left and right segments on cantilever tip ( unit : Ton)
and the cable tension value (unit: percent ), respective-
ly.
The parameter error array is
2.2 Identification of Parameters
According to the physics meaning of the influence
matrix, we can establish the parameter identification
equation

{ΔP}4 = [ ΔG L ΔG R ΔT L ΔTR ] T [ APS ]10×4 {ΔP}4 = {ΔS }10

If Substitute it into the divided matrix, then

{ΔG} = [ΔGL ΔG R ]T ， {ΔT } = [ΔTL ΔTR ]T [ AGS ]{ΔG} = {ΔS }10 − [ ATS ]{ΔT }

If
Among them, ΔTL and ΔTR are obtained by test

469
 {ΔS G }10 = {ΔS }10 − [ ATS ]{ΔT } {ΔG} = [0.2477 − 0.0515]T
Then From the result, we know that the left cantilever

[ AGS ]{ΔG} = {ΔS G }10

The above equations are the final solution. Because
the number of the equations is more than the number
of unknown, we can only get the minimum square so-
lution, namely the solution of the follow equation
segment is heavier of 1.24% and the right is lighter of
0.26%.
2.3 Parameter prediction
Although the weight of each segment beam is not
the same, usually the weight error of each segment has

[ AGS ]T [ AGS ]{ΔG} = [ AGS ]T {ΔS G }10

We will take the analysis of identification and pre-
diction during the construction of 27th segment in “32”
tower as example. During the strengthen process after
the concrete cast, we select a period in which the
temperature influence is smallest for measurement and
test cable tensions and elevation of girder of the front-
est 5 segment. We can obtain the state variable differ-
ence array which was caused by error of cable tension
and weight of the segment.
statistical rules obviously. In grey theory it is assumed
that although the weigh error of each segment is ran-
dom, but it may be taken as grey value in a certain
means. Although the error data is miscellaneous and
disorderly, we can produce new data with rule by suite
method. We can find a hided and existed rule from
these data and predict the weight error of segment ac-
cording to it.
The model to predict in grey theory is called
GM (1,1)

{ΔS}10 = [23 14 12 8 5 1 2 2 3 3]T

In follow, we still take the finished segment to ex-
plain the procedure of prediction. Because weight error
We have already known the cable force’s error ar- of segments numbered from 23 to 27 have been iden-
ray by test (unit: percent) tified, which listed as:

{ΔT } = [51 4880 5 5180]T = [1.14 0.10]T {G } = [0.2105

( 0)
0.2745 0.3120 0.2136 0.2477]T

By the ahead calculation we can get the influence then we can produce the sequence of new data.
matrix
{G } = [0.2105
(1)
0.4850 0.7970 1.0106 1.2583]T
⎡− 24.8 5.5 24.8 0.7⎤
⎢− 21.6 5.2 18.3 0.6⎥⎥
⎢ Substitute white-form differential equation into li-
⎢ − 18.4 5.0 14.3 0.6⎥
⎢ ⎥ near equations as follows
⎢ − 15.3 4.8 10.7 0.6⎥

[ APS ]10×4
⎢ − 12.7
=⎢
4.5 7.6 5.3⎥
⎥
{aˆ} = ([B ]T [B ]) −1 [B ]T {YN }
⎢ 3.6 − 7.8 0.0 6.3⎥
⎢ 4.0
⎢
− 8.7 0.1 6.1⎥
⎥
Among them, {aˆ} = [a b] is the parameter ar-
T

⎢ 3.3 − 10.9 0.0 6.1⎥

⎢ 4.7 − 11.0 0.0 8.1⎥
ray to be identified.
⎢ ⎥
⎣⎢ 5.1 − 12.1 0.0 9.8⎥⎦

Then we can get minimum square solution, i.e.

470
 ⎡ 1 (1) ⎤ So we should not predict too many number of weight
⎢ − 2 [G (1) + G ( 2)]
(1)
1⎥
error, generally, not more than two.
⎢ 1 ⎥ ⎡ − 0.3478 1⎤
⎢ − [G (1) ( 2) + G (1) (3)] 1⎥ ⎢ − 0.6410 1⎥⎥ 2.4 Adjustment.
[B] = ⎢ 12 ⎥=⎢
⎢ − [G (1) (3) + G (1) (4)] ⎢
1⎥ ⎢ − 0.9038 1⎥
⎢ 2 ⎥ ⎥ Weight error of segment will influence the control
⎢ 1 (1) ⎥ ⎣− 1.13445 1⎦
target and lead the final state of the bridge to deviate
⎢− [G (4) + G (5)] 1⎥
(1)

⎣ 2 ⎦ from the ideal value. Therefore, after the identification

{YN } = [G(0) (2),G(0) (3),G(0) (4),G(0) (5)]T = [0.2745,0.3120,0.2136,0.2477]T
Then we can solve
{aˆ} = [0.06789 0.3133]T
The solution of the white-form equation is
Gˆ (1) (k + 1) = −4.4043e −0.06789 k + 4.6148
This is prediction model. To calculate the prediction
value of weight error, the above model must be re-
vised. Namely, the prediction formula of weight error
is
and prediction of parameters, we should adjust the
control data in time .The control data includes the set-
ting elevation and cable tension of current segment.
Among them, the most important is setting elevation
and last cable tension. Because the influence of weight
error is more serious to the control of closed segments
and relative smaller to the distant segment, so we se-
lect bending moment of middle section, bottom eleva-
tion of segment and cable tensions near current seg-
ment (altogether three section) as control targets. The
means of adjustment is the cable force and setting ele-
vation of future segment. Then the control target is

Gˆ ( 0) (k + 1) = 0.30939e −0.06789 k {F} = [M T M1 M 2 M 3 T1 T2 T3 H1 H 2 ]T

According to the formula we can predict the weight Among them, M, T, H denote section bending mo-
error of “28” and “29” segment. When k=6 , weight ment (unit: kN.m), cable tension (unit: kN ) and bot-
tom elevation respectively.
error of “28” segment is Gˆ ( 0 ) (6) = 0.2059 ，so the
In the following, we still take the last cable tension
weight of this segment is heavier of 1.03%. When k=7, adjustment of “27” segment as an example to explain
the weight error of “29” segment this process. According to the forward calculation, we
can obtain the ideal theoretical state. The relevant con-
ˆ
is G
(0)
(7) = 0.1924 , its weight is heavier of 0.96%.
trol target of nearby segment is
According to the formula, if we always adopt to {F} =[−321765
.5 822.9 −3785.4 −11121
.2 9900.4 9819.2 9962.7 61.905 61.881]T

predict weight error of future segment, the weight error

will change monotonously. This is not reasonable ob- We can get the parameter error array according to
viously. The reason: firstly, the predicting function the result of identification
belongs to exponent in the grey theory model of GM
(1,1), which is monotonous. Secondly, the original
{ΔG} = [ΔG2 ΔG3 ]T = [0.2477 0.2059]T
data does not renew in time. So in the prediction, the Suppose that we only adjust the cable tension in
data should contain the latest information and data and current and next segment, and then the adjustment ma-
wash out some old data. From the analysis, there is trix of cable tension is
error in the weight error prediction of future segment.
{ΔT } = [ΔT2 ΔT3 ]T

471
 If influence matrixes of control target due to para-
meter and cable tension are [ AGF ] and [ ATF ] respec-
tively, then according to the forward calculation result,
they are
⎡2.174 11.873 20.193 6.533 1.524 0.108 − 0.019 − 39 − 45⎤
[ AGF ] = ⎢ ⎥
⎣2.258 97.059 − 4.808 6.452 1.147 1.482 − 0.037 − 35 − 41⎦
⎡0.019 − 84.299 −12.538 − 4.027 −1.912 4.755 − 0.259 28 34⎤
[ ATF ] = ⎢
⎣0.018 −187.009 22.790 − 3.684 −1.476 −1.949 4.880 22 28⎦
Then we have the adjustment equation of cable ten-
sion
[ ATF ]{ΔT } = −[ AGF ]{ΔG}
The solution of the adjustment is
{ΔT } = [ΔT2 ΔT3 ]T = [0.5631 − 0.1216]T
So cable tension of “27” segment must increases
2.8% because of weight error. Both cable tensions
need increase 140kn. Otherwise, cable tension of “28”
segment should reduce about 0.61%, and each cable
tension reduces about 30kn. According to the adjust-
ment of cable tension “28” segment, the setting eleva-
tion of future segment need to be calculated again.
3. Conclusion
This paper is summary of practice of construct con-
trol including lots of long span PC cable-stayed
bridges, It integrates the minimum square method, grey
prediction theory and influence matrix adjustment me-
thod to carry out the identification, prediction of para-
meters and adjustment, and the whole comprehensive
method is clear, which is verified by real bridge. It can
T
satisfy the construct control needs of the long span
concrete cable-stayed bridge and is instructive.
T
⎥
Acknowledgments
My work is supported by National Natural Science
Foundation of China 50608008 and Specialized Re-
search Fund for the Doctoral Program of Higher Edu-
cation 20050536002.
References
[1] YAN Dong-huang. “Determining of Reasonable
Design States and Construction Control of Ca-
ble-stayed Bridge”. A Ph. D. Dissertation to academic
Degree Committee of Hunan University, Changsha,
China, Mar. 2001.
[2] CHEN Chang-song , YAN Dong-huang, CHEN
Hai-Ogian , TU Guang-ya and LIU Le-tian. “Analysis
of Temperature Influence on Long Span Prestress
Concrete Cable-Stayed Bridge Construction Control”.
Journal, highway and transportations research and
development(Chinese), Beijing, China, 2002, pp.84-87
472
 2008 International Conference on Intelligent Computation Technology and Automation
Self-adapting Fuzzy-PID Control of Variable Universe
in the Non-linear System
Mingqian Gao
School Automobile and Mechanical Engineering, Changsha University of Science and
Technology, Changsha, China
Email: gaomq828@sohu.com Email: heshh@csust.edu.cn
Abstract
To solve the non-linear system control problem in
the hydraulic servo control system, the self-adapting
fuzzy-PID control of variable universe is introduced.
By analyzing the phase plane characteristics of step
response, the fuzzy control rule base which decreased
cases of relying on experts’ experience was
established. According to error variety, the discourse
universe of the input and output fuzzy sets was adjusted
to get the precise PID parameters on line. The
simulation results show that this method is superior to
general fuzzy-PID control. It can efficiently reduce the
steady-state error and has stronger interference
immunity. The experiment result of the hydraulic servo
test-bed farther validates the better control
performance of the proposed method.
1. Introduction
In modern industrial control, PID control has been
in a dominant position with its advantages such as
simple structure, stability, clear physical meaning,
strong robustness and non steady-state error. However,
PID control relies on precise mathematical model, so it
is difficult to obtain accurate models and to reach
satisfactory control for the parameters time variation,
time delay and complex non-linear systems[1]. Some
scholars proposed to solve non-linear and time-varying
parameters of the problem by using neural networks
and genetic algorithm. However, because of the
complex design and huge calculation of the neural
networks and genetic algorithms, the real-time control
of the system has been limited [2]. In Zhuang Lifeng
and Yang Hui zhong’s[3] research, fuzzy control and
PID control are integrated to form fuzzy PID control.
By using fuzzy controller on-line to adjust PID control
parameters, we can obtain good control results.
However, the universe setting of the fuzzy controller
978-0-7695-3357-5/08 $25.00 © 2008 IEEE
DOI 10.1109/ICICTA.2008.327
Shanghong He
has a direct impact on the control precision, thus this
paper adopts self-adapting fuzzy PID control with
variable universe. Based on reference [4], the approach
of K p , K i , K d fuzzy control regulation is proposed by
analyzing the phase plane characteristic of step
response. This controlling method is used to the
simulation research of the non-linear system with static
dead zone. And the proposed method is applied in the
hydraulic servo test-bed.
2. Self-adapting fuzzy PID control
principle of variable universe
2.1 Self-adapting fuzzy PID control principle of
variable universe idea
Fuzzy control is a kind of computer numerical
controlling algorithm which is based on fuzzy set
theory, fuzzy linguistic variable and the fuzzy logic.
And by summarizing the human experience into a
controlled strategy, it shows efficient control on
controlled subjects in the systems of time-variation,
non-linear, delay, large inertia of the high-order. As to
the fixed universe of the conventional fuzzy PID
controller, the setting of the universe and fuzzy
membership function has a direct impact on the control
accuracy. Along with the continual decreasing of the
error, the supposed universe will not be suitable for the
reasoning of the fuzzy-PID control, thus it generates a
dead zone in the controlling processing. In order to
solve this problem, variable universe is mentioned. As
is shown in Fig.1, variable universe is that the universe
flex-factor plays a role in the fuzzy sets of input and
output fields. With increasing of the error, the original
universe expands; with decreasing of the error, the
original universe compresses.
Variable universe has the following advantages:
Firstly, it reduces the dependence of the experts’
experiences in the setting of the universe and fuzzy
473
control rules .Secondly, the shape choice of the
1NB NM NS Z PS PM PB
membership functions do not have obvious effects
on the overall control . At length, through the changes 0.8
of universe self-adapting, it improves controlling
0.6
accuracy and robustness of the system[5].
0.4

0.2

0
-3 -2 -1 0 1 2 3
(a) e and ec ’s membership function curve

1NB NM NS Z PS PM PB

0.8
0.6
0.4

Fig. 1 Variable universe ’s compression and 0.2

expansion 0

The structure of the self- adapting fuzzy PID control -0.3 -0.2 -0.1 0 0.1 0.2 0.3
of variable universe is shown in Fig. 2. Control system (b) ΔK p ’s membership function curve
uses e (error) and the ec (error change ratio) as inputs,
and ΔK p , ΔK i , ΔK d as outputs of a fuzzy controller. 1NB NM NS Z PS PM PB
Meanwhile, the input and output of the universes are
0.8
modified in real time by flex-factor. And then the
adjusted K p , K i , K d are used to control object, we 0.6
can complete real-time self-adapting control of the 0.4
object.
0.2
0
-0.12 -0.08 -0.04 0 0.04 0.08 0.12
(c) ΔK i ’s membership function curve

1NB NM NS Z PS PM PB

0.8
0.6
0.4
0.2
Fig. 2 Variable universe self-adapting fuzzy PID
0
controller structure graph
-3 -2 -1 0 1 2 3
2.2 Enactment of membership functions and
initial universes of input and output fuzzy sets (d) ΔK d ’s membership function curve
Fig. 3 Fuzzy subsets’ initial universes and
All the variables’ fuzzy subsets are defined as
membership functions
(NB,NM,NS,Z,PS,PM,PB). Taking into account of the
coverage , sensitivity ,robustness of universe, the fuzzy
subsets of the membership functions use “Z”- shaped

474
membership function in the left, triangulare 1.4

membership function in the middle, and “S”-shaped 1.2

d1

membership function curve in the right[6]. Variable e

c1 c2
1
and ec select the same membership functions and d2
initial universes, and the choice of the membership

Amplitude
0.8
functions and initial universes is illustrated in Fig. 3.
0.6

2.3 Defining rules of fuzzy PID control based 0.4

on phase plane characteristic of the step
0.2
response B1 B2 B3 B4
0
0 2 4 6 8 10 12
The fuzzy control rule is the modelling of the time (sec)

experience of operators’ (experts) long-term practical (a) The step response curve
accumulation, but relying on the experts has some
difficulties in setting the fuzzy controls rules. This
article puts forward an analytical method of fuzzy
control rules which is based on the plane
characteristics of the step response. This method
reduces the dependence of the expert’s experiences to a
certain degree.
The closed loop step response of the stable system
curve and the phase plane characteristics curve are
shown in Fig. 4, and (a) is the step response curve, (b)
is the plane characteristics curve. B1, B2, B3, B4, c1, (b) The phase plane characteristics curve
c2, d1, and d2 in the step response curve respectively Fig. 4 Step response and phase
corresponds each region and spot of the phase plane. characteristics of plane
In B1’s region, the error is relatively large, we
should increase the output u(k) to reduce the rising zone (e>0,ec>0), we should increase u (k ) ,that is,
time. When the curve arrives at c1 point and enters into
increase the value of K p and decrease the value
B2’s zone, we should reduce the output u(k) to prevent
overshoot [4]. When the curve is in B3’s zone, we of K i . When the response curve is closed to d2 point
should continue to reduce u(k) to make the curve return we should decrease the value of K p and increase
to c2 as soon as possible. When the curve passes c2
point and enters B4’s zone, we should increase u(k) to the value of K i to make the curve return to the steady
reduce error. state as soon as possible.
If not considering the impact of the differential, it As regards to K d , in B1’s zone (e <0, ec > 0),
appears Δu (k ) = K p ec(k ) + K i e(k ) , by which we when the curve is near to c1 point, with the decreasing
analyse K p and K i ’s impact on Δu(k) [7]. When the of error, in order to speed up the response and decrease
the rising time, the value of K d is decreased. In B2’s
phase plane characteristic curve in B1’s zone (e>0,
ec <0), u (k ) should be increased to improve the zone (e<0, ec <0) , to decrease the overshoot and make
the system return as soon as possible, we should
system response speed , so K i must be a greater value, continue to decrease the value of K d . In B3’s (e>0,
K p must be a smaller value. When it is near c1 point ec <0) zone, the system is in the state of call-back.
and enters B2’s zone (e<0, ec <0), in order to decrease When the curve is near to c2 point, to prevent
the overshoot we should reduce u (k ) , increase the overshoot, we should increase the value of K d .When
value of K p and decrease the value of K i . When it is the curve in B4’s zone (e>0, ec > 0) where it is closed
near point d1 and enters B3’s zone (e<0, ec > 0), we to d2 point, to make the system return to the steady
state against time, we should increase the value
should decrease the value of K p and increase the
of K d .The fuzzy rules which are the integration of the
value of K i . When it is near point c2 and enters B4’s
above analysis and experience [6] is exhibited in Fig. 5.

475
 Ec/E NB NM NS Z PS PM PB 523500
NB PB PB PM PM PS PS Z part is G ( s ) = , non-linear part
NM PB PB PM PM PS Z Z s + 87.35s 2 + 10470 s
3

NS PM PM PM PS Z NS NM of the parameters are a = 0.1 and k = 1, and the input

Z PM PS PS Z NS NM NM signal is the unit step signal.
PS PS PS Z NS NS NM NM
PM Z Z NS NM NM NM NB
PB Z NS NS NM NM NB NB
(a) ΔK p Fuzzy control rules
Ec/E NB NM NS Z PS PM PB
NB NB NB NB NM NM Z Z Fig. 6 The structure of simulated system
NM NB NB NM NM NS Z Z
NS NM NM NS NS Z PS PS
Z NM NS NS Z PS PS PM When t = 0.3s, adding an instantaneous interference
PS NS NS Z PS PS PM PM value 2.0 (200%), contrasting to the conventional
PM Z Z PS PM PM PB PB fuzzy PID control, the results are shown in Fig. 7.
PB Z Z PS NM PB PB PB
From Fig.7, it is that the conventional fuzzy PID
(b) ΔK i Fuzzy control rules control has a larger steady-state error. We can
Ec/E NB NM NS Z PS PM PB eliminate the steady-state error by adopting the
NB PS PS Z Z Z PB PB variable universe self-adapting fuzzy PID control
NM NS PS NS NS PS PS PM method. In the circumstances of imposed interference,
NS NB NS NM NS Z PS PM
Z NB NM PM NS Z PS PM conventional fuzzy PID control method is unable to
PS NB NM NS NS Z PS PS return to the pre-disturbance state, however, by using
PM NM NS NS NM Z PS PS the variable universe self-adapting fuzzy PID control
PB PS Z Z Z NS PB NB method, the system can fast return to the steady-state
(c) ΔK d Fuzzy control rules after the imposition of a transient interference. This
Fig. 5 Fuzzy control rules indicates that variable universe self-adapting fuzzy PID
control method is good at reducing the steady-state
2.4 Identification of the flex-factor error of non-linear systems and can be strongly
There are usually two ways in choosing flex-factor immune to interference.
[8]
: one is based on the fuzzy rules and the other is To verify the anti-interference characteristic of
established on the function model. This paper adopts variable universe self-adapting fuzzy PID control
the function model flex-factor [9.10]. The flex-factor method, we add transient interference value of 2.0 and
2 3.0 to the system at 0.3 s respectively. Fig. 8 shows
selected in the input universe: α ( x) = 1 − λ e − kx , the simulation results that the interference value
λ ∈ (0,1) , k >0; λ =0.7, k =0.5; x means input change has little effect on self-adapting fuzzy PID
2 control with variable universe which is a further
variable e. We select α (e) = 1 − 0.7 e −0.5e as e and explanation of its strong anti- interference capability.
ec ’s flex-factor. As for the output universe flex-factor,
we should consider the impact of ΔK p , ΔK i and ΔK d 4. Experimental results
on the control performance .So the following principle
should be adopted: the change of the flex-factor of the To evaluate the control performance of self-
output variables ΔK p and ΔK d must be consistent with adapting fuzzy PID control with variable universe in
non-linear system, self-adapting fuzzy PID control
the change of error, and ΔK i is opposite to the change with variable universe and general PID control
of error. Thus the flex-factor of the universe of the methods are applied respectively in the hydraulic
output variables ΔK p , ΔK d and ΔK i should be: position servo test-bed of the valve controlled
asymmetric cylinder. The hydraulic position servo
1
β p= 2 e , βd = 2 e , β i = . system of the valve controlled asymmetric cylinder is a
e + 0.6 typical non-linear system. Since the effective areas of
the piston are not equal in putting out and retracting,
the parameters as the gain and damping ration etc are
3. Simulation analysis changing in the two directions. The comparison
between the two control methods of the results is
In order to verify this control method, we simulate shown. Fig.9 is the general PID control of the test-bed.
the non-linear system illustrating in Fig. 6. The liner Fig.10 is the self-adapting fuzzy PID control with

476

1 - Step response curve of self-adapting fuzzy PID
control with variable universe
2 - Step-response curve of conventional fuzzy PID
control
Fig.7 Comparison of step response curves between
conventional fuzzy PID control and self-adapting
fuzzy PID control with variable universe
1-Step-response curve of interference 3.0
2 - Step response curve of interfere 2.0
Fig. 8 Comparison of step response curves between
two different interfere values
variable universe of the test-bed. By using the
proposed method, the test-bed’s overshoot is smaller,
and the rising time is shorter. Also the stable error is
nearly eliminated contrasted with the general PID
control.
5. Conclusions
To solve the control problem of non-linear system,
this thesis has presented the self-adapting fuzzy PID
control with variable universe. Through the phase
plane analysis of step-response curve, the fuzzy
control rules are developed combining with
experience, which is less dependent on the experts’
477
Fig. 9 The result of general PID control
in the test-bed
Fig.10 The result of self-adapting fuzzy PID control
with variable universe in the test-bed
experience. It is easy to select universe and
membership functions when we design the fuzzy
controller by using of variable universe mind. As long
as the cursory scope and membership functions’ shape
of the universe are known, the ideal control through its
self-adapting flex can be easily reached.
From the simulation result , the variable universe
self-adapting fuzzy PID control method can be used to
decrease the steady-state error of non-linear systems
which have dead zones. And it also has strong anti-
interference ability.
The experimental result shows that the proposed
control method has effective control for the hydraulic
position servo test-bed of valve controlled asymmetric
cylinder. So, we can use the proposed method to
achieve better control of the non-linear system which
need not the mathematical model.
6. Acknowledgements
This project was supported by the Natural Science
Foundation of Hunan Province , China (04JJ3029) ;
and was supported by Scientific Research Fund of
Hunan Provincial Education Department (05A017).
7. References
[1] Yu Yongquan, HuangYing, Zeng Bi. The Discourse Self-
adapting Fuzzy Controller for Temperature Control
Processing in Disinecting Cupboard. Proceedings of the
2004 IEEE International Conferenceon Fuzzy Systems,
vol(3),2007,pp. 1263-1267.
[2] Li Zhen, ChenYi, Han Yuanjie. Design and Simulation of
a Fuzzy-PID Controller with Variable Universe. Techniques
of Automation and Applications, 2004,23 (12),pp. 29-31.
[3] Zhuang Lifeng, Yang Huizhong. Design and application
of self-adapting fuzzy PID controller. Automation and
Instrumentation, 2005(1),pp.37-39.
[4] Seok-Yong Oh and Dong-Jo Park. Self-Tuning Fuzzy
Controller with Variable Universe of Discourse. IEEE
International Conference on Systems, Man and Cybemetics,
1995, Intelligent Systems for the 21st Century, vol(3),
1995,pp.2628-2632.
[5] Leonid Reznika, Omar Ghanayemb, Anna Bourmistrov.
PID plus fuzzy controller structures as a design base for
478
industrial applications. Engineering Applicatons of Articial
Intelligence,13(2000), pp.419-430.
[6] Liu Jinkun. Advanced PID control and MATLAB
simulation. BeiJing: Publishing House of Electronics
Industry,2004.
[7] Tao Yonghua, Yin Yixin,Ge Lusheng. New –type PID
control and application. Bei Jing: China Machine
Press,1998.
[8] ZHU Yan, GUO Junping. The Study and Simulation of
Fuzzy PID Based on Mutative Field. Journal of Air force
Engineering University (Natural Sciece Edition),
2005,6(5),pp.11-13.
[9] Li Hongxing, Miao Zhihong, Wang Jiaying. Stable
adaptive fuzzy control with variable universe of nonlinear
systems Scienc in China (Ser.E), 2002, 32(2),pp.211-223.
[10] Li hongxing. The Essence of Fuzzy Control and a kind
of Fine Fuzzy Controller. Control Theory & Applicatios.
1997,14(6),pp.868-871.
 2008 International Conference on Intelligent Computation Technology and Automation
Service-Oriented Organization Management and Coordination Control of MAS
Shen Jiquan Wu Zhiqiang
(School of Computer Science and Technology, Henan Polytechnic University, Jiaozuo, Henan
454000)
E_mail:sjq@hpu.edu.cn
Abstract
Based on the researches of service-oriented
architecture and distributed artificial intelligence, a
service-oriented organization management model of MAS
(Multi-Agent System) is designed. The central-
decentralized management mode and the management
strategy and mechanism of MAS are expounded. Then, the
coordination control features and forms of MAS are
analyzed and the multi-level coordination control and
partial global planning strategy is proposed.
1. Introduction
MAS(Multi-Agent System) is an important research
area of distributed artificial Intelligence. In the MAS, each
Agent is autonomous, which can control its internal
consciousness manner (faith, desire, intent, target,
promise and so on) as well as its behaviors to affect the
environment and achieve its target. There is no global
control or global target, so the competition behaviors
among Agents are inevitable, which result in
contradictories (conflicts), such as resource conflict, target
conflict, etc. For each Agent has the ability of solving
some problems and incomplete information, the
coordination, negotiation and cooperation among Agents
are required when a question can’t be solved
independently.
With the rapidly increased and popular applications of
grid computing environment, the Internet is transforming
toward grid and semantization and loose cooperative work
has become the mainstream of practical requirements. The
development of grid technology clears away obstacles for
Agent to understand information and realize the semantic
interoperation, and provides a good opportunity for Agent
to be applied in large-scale networks[1][2]. This paper
studies the service-oriented organization model and
coordination control scheme of the MAS with the theories
and technologies of grid and large systems cybernetics.
2. Organization model of MAS
The organization is the structure of system and often
called system structure or model of system structure in
978-0-7695-3357-5/08 $25.00 © 2008 IEEE
DOI 10.1109/ICICTA.2008.18
common systems. The model of system structure is the
organization model. Since MAS is a humanized system,
the organization of it has some characters of human
society. The purpose of organization is to make the
system elements become ordered so as to improve the
global benefit of the system. According to large scale
systems theory[1], a system should be observable,
reachable, controllable, expandable, reducible, as well as
feasible, reliable, flexible, upgradeable and effective. The
complexity of organization and relation is an important
index of the system organization optimization.
Fig. 1 Service-oriented organization model of MAS
2.1 Service-oriented organization model
Service-oriented Organization model (see Fig.1) is a
hierarchical structure based on the triangular structure of
the Web Services (3 roles: service provider, service
requester and service medium; 3 actions: service
publishing, discovering and binding). All the Agents in
the network constitute an Agent society, which contains a
number of Agent communities and each community has a
number of Agent groups. The Agent communities are
divided by the functions of Agents, such as tourist service
community, weather forecast community, financial
community, education community, etc. Generally, an
Agent can be both a service provider and a service
requester. It answers for its resource scheduling
independently and provides the service in the mode of
“as-needed”. Each Agent has equal jurisdiction to the
shared resources of the Agent society, namely, any Agent
479
can use all the shared resources comparably on the
premise of meeting related protocols and operation
regulations. In addition, obeying the relevant social
policy, any Agent can sponsor or join a community/inter-
communal Agent federation.
2.2 Communication model based on SOAP
Agents have different states, functions and targets.
These differences need to be reduced for their
coordination work. KQML and HPA-ACL, two common
languages for Agent communication, have poor cross-
platform interoperability. Therefore, SOAP (Simple
Object Access Protocol) is adopted as the communication
transport protocol among Agents .The SOAP provides a
simple mechanism for exchanging structured and
typological information equally by XML in a loose and
distributed environment. The message-path mechanism,
expandable Hearder and Body mechanism of it can
provide good supports for the distributed computing [3][4].
2.3 Central-decentralized management mode
In the organization model of MAS, a “central-
decentralized” management mode is adopted. The
medium Agents (including the social medium Agent and
community medium Agents) are responsible for
coordination management and control, such as the
registration, inquiry, publishing, binding,
authentication, trusteeship shift, subscription and
duplication of service, etc. The social medium Agent
controls the global restriction relations among the
activities of community medium Agents, such as the role
id, role ability (the set of supported operations), position,
state of a community medium Agent as well as the
relations between this community medium Agent and the
others, etc. while a community medium Agent controls
the restriction relations among the activities of Agents in
the corresponding community, such as the role id, role
ability (the provided service), position, state of an Agent
as well as the interactive restrictions between this Agent
and the others, etc. Each Agent is autonomous, which can
control its internal consciousness manner independently,
be responsible for its resource scheduling, determine its
behaviors to affect the environment, self-adaptively
choose a suitable negotiation protocol and achieve the
cooperation contract after the negotiation.
Actually, both the internal management of human body
and the management of human society adopt a “central-
decentralized” management mode. For example, the
management of central nerve and periphery nerves of
human bodies, “the macro control and micro relaxation”
in our country and so on. The MAS should also adopt this
humanized management mode. The researches of
"Biological control theory" and "Large systems
cybernetics" indicate that “central-decentralized” is a
general mode adopted by kinds of large scale systems[5].
* Biological large scale systems: For example: The
control and management system of human body. The
nervous system has “the central nervous system” and “the
periphery nerves”, which is in the “central-decentralized”
control and the management mode. The hormone system
has “the hormone main center” (hypothalamic center-
pituitary) and kinds of endocrine gland (thyroid gland,
pancreatic gland and so on), is also in this mode.
* Social large scale systems: Kinds of organizations
and associations in human society widely use the “central-
decentralized” management and control mode. For
example: The military system, from the commander in
chief to soldier groups; the political party system, from
the general secretary to party branches; the national
system, from president to residents' committees and so on.
* Engineering large scale systems: In the domain of
engineering technology, various computer management
and control systems generally use “the central-
decentralized” management mode. For example:
Distributed control system (DCS), multi-level computer
management system and so on.
Therefore, the MAS should also use the “central-
decentralized” management mode. But, the question is
how to combine and coordinate “the central management”
and “the decentralized management” for best management
benefit. There are two deviations:
1) Over-concentration: It possibly leads to “the
safe
autarchy management”. In the development history of
social large scale systems, there are a number of lessons
from the failure of autarchy management.
2) Excessive decentralization: It possibly causes “the
management confusion”. Similarly, there are many
materials of negative educations from the disintegrations
of organizations and enterprises.
In the internal management system of human body and
the successful human society associations, some
experiences about the “central-decentralized”
management are worth studying, summarizing and using
for reference. Therefore, in MAS, the method and
technology of “the artificial life” should be used to
simulate the advanced and successful management mode
of “central-decentralized” in the system of human body.
For example:
* Multi-level central-decentralized management and
control of human body’s nervous system.
* Multi-level central-decentralized management and
control of human body’s incretion system.
2.4 Management strategy and mechanism
2.4.1 Loose coupled management strategy
1) The management basis of a medium Agent is the
comprehensive message table, which contains some sub-
tables. The medium Agent maintains and updates these
sub-tables periodically, and in turn, the messages in these
sub-tables determine its duties and behaviors. The
comprehensive table mainly includes: AgentEntity, the
480
detailed information table of entity Agent description;
AgentService, a group information tables of specific web
services description; bingingTemplate, the technical
information table about the service entrance and structure
standard; tModel, the expression table of points and
technology in standard descriptions; AgentAssertion, the
information table which describes correlative relations
among Agents as well as AgentSubscription, the table
which describes the subscription information of data
entities and so on.
2) The community medium Agent decomposes a task
into low coupled subtasks and carries on the coordinated
assignment among the Agents in the local community.
When the load of the local community is heavy or the task
can’t be accomplished for some Agent’s abnormities, it is
required that the social medium Agent assigns the Agents
in a remote community to carry out the task. Then, the
local Agents and the remote Agents compose a temporary
federation, and cooperate with each other to complete the
task under the coordination of the local community
medium Agent. After completing the task, the remote
Agents return to its community and the temporary
federation is automatically dismissed.
3) When a remote community Agent composes the
temporary federation with the agents in local community,
it brings the corresponding subtask to its community. The
subtask can be further assigned among the Agents in its
local community, which indirectly makes the task get a
reasonable assignment in the network without transmitting
the description of subtask relation between communities.
2.4.2 Role-based medium service collaboration
mechanism
The system assigns an Agent to the community
according to its role, which establishes a hierarchical
cooperative relationship among system entities and
realizes the flexibility, expansibility and reducibility of
the system. Because the community management not only
can implement service management with finer granularity,
but also can make more explicit service and management
strategies so that service providers and requesters can be
connected rapidly and timely.
Service medium establishes an indirect cooperation
mode between service providers and requesters. On one
hand, adopting this mode remarkably decreases the
communication traffic of the system because service
requesters only send service requests to fixed service
mediums, instead of aimlessly sending requests to all
service providers, which differs from adopting a direct
cooperation mode. On the other hand, it can avoid wasting
of resources and deadlock because service medium can
make an overall consideration and management for finite
system resources. The greatest advantage of adopting this
indirect cooperation mode is that service medium can find
a cooperation partner for each entity timely, correctly and
expediently [6]. The message passing between service
481
medium and common Agents uses subscription
mechanism, which can be realized by some standard
OGSI interfaces including NotificationSource,
NotificationSubscribscription, NotificationSink, etc.
3. Coordination control of MAS
3.1 Features of coordination control
Since there is no global target, MAS is not suitable to
adopt the completely centralized control mode. It should
adopt the mode of loose coupled centralized control,
namely, the mode of medium service coordination control,
which has the following characteristics:
1) Each Agent control itself so as to attain its stability.
2) Agents can perceive and communicate with each
other so as to interact rapidly.
3) Agents can’t predict and control the global state of
the system directly except for the medium Agents. But
they can perceive exterior environment and ask the
medium Agents to modify or adjust system parameters to
coordinate system balance.
3.2 Coordination control form
When the MAS adopts the mode of medium service
coordination control, common Agents adjust and control
their behaviors spontaneously through perceiving exterior
environment and information exchange because the
medium Agents just take responsibility for coordination
management such as the registry, inquiry, publication,
discovery, binding of service. At the same time, they
coordinate system balance dynamically according to their
aim and desire. Based on the differences of
communication mode and message channel structure
among Agents, the coordination may adopt the following
forms[1][7]:
1) Guiding coordination. Select an Agent as leading
subsystem, and other Agents as dependent subsystems.
The leading subsystem observes, evaluates and adjusts the
running states of dependent subsystems. It performs the
coordination control of the dependent subsystems by
sending guiding coordination signals. Under the
leadership of the leading subsystem, the system completes
the whole target and task. The corresponding channel
structure of communication is as shown in Fig. 2(a).
2) Circulation coordination. All Agents are equal.
According to a certain order, they carry on the
coordination in a serial mode and the direction can be
clockwise or counter-clockwise. In the circulation,
neighboring Agents are coordinators, and at the same time
are coordinated. This method is adaptive to the condition
that serial structure and dependent relation exist among
tasks. The channel structure is as shown in Fig. 2(b).
3) Grouped coordination. The MAS is grouped by the
Agent’s location, coupling, communication and the need
of coordination. Different groups may adopt different
coordination schemes independently. The broken lines
between different groups show that the need of
coordination is low and the coupling is weak or the
communication is very difficult to accomplish. Under the
condition, the system has to adopt the off-line and non-
real-time coordination. The channel structure is as Fig.
2(c).
4) Holo-coordination. There is an entire channel of
communication and bi-directional coordination between
any two Agents. In an Agent system adopting holo-
coordination, any two Agents may coordinate, cooperate,
restrict and promote each other to achieve the aim of
coordination control. The holo-coordination may be
looked as the integration form of leading coordination,
circulation coordination and grouped coordination. The
channel structure is as Fig. 2(d).
Fig.2 Coordination control form
The above four coordination forms are typical control
schemes of distributed systems. In a real system, they can
combine with each other and be used flexibly. For a large
scale MAS, it’s very difficult to adopt holo-coordination
and grouped coordination is a better choice. The
coordination control of a group and inter-group may adopt
leading coordination, circulation coordination or holo-
coordination flexibly.
3.3 Coordination control strategy
In MAS, it may use the multi-level coordination
control and the strategy of partial global planning.
3.3.1 Multi-level coordination control.
The coordination in MAS is processing various
contradictions of the system and the management
procedure reasonably and correctly, making overall plans
and taking all factors into consideration, homeostasis,
harmonized cooperation and global optimization. In
"Large Systems Cybernetics", the “disassemble-
coordination” method has two steps to solve the question
of large-scale system optimization:
* Disassemble: The global optimization of large-scale
system is disassembled into the local optimization of
many subsystems, including: The task disassemble, the
resource disassemble, which can be resolved parallel.
* Coordination: On the basis of achieving the local
optimization of subsystems, the global optimization of
482
large-scale system can be realized through the task
coordination and resource coordination.
In MAS, each Agent can be looked as a virtual
artificial life. Therefore, inspired by the experiences and
lessons from the coordination, negotiation and
collaboration among human body’s interior organs and
among persons in human society, effective and successful
methods of coordination, negotiation and collaboration for
the MAS should be studied based on the simulation
human body and human society. For example:
* “win-win” coordination principle: Both sides in the
collaboration should obtain benefits from the cooperation.
* “equity” coordination principle: The statuses of both
sides in the collaboration are equal and “the game rules”
are fair to both sides.
The interior management and control system of human
body is a product of the human’s long-term evolution and
has various multi-level coordination mechanisms, which
is worth study and reference. For example:
1) The multi-level coordination of the nervous system,
such as:
* The reflection coordination of the cerebral cortex
* The sensory information fusion and coordination of
the thalamencephalon
* The movement coordination and postural balance of
the cerebellum
* The physiological function coordination of the brain
stem
* The sectional coordination of the spinal cord
* The bidirectional coordination of the sympathetic and
parasympathetic
2) The multi-level coordination of the hormone system,
such as:
* The hypothalamic center-pituitary (“hormone main
center”) carries the coordination among various glands by
hormones.
* The bidirectional coordination of the incretion
hormone, e.g. the insulin depresses the blood sugar and
the glucagon raises the blood sugar.
3.3.2 Partial global planning
Partial global planning (PGP) strategy is a typical
distributed coordination technique, whose characteristic is
that every node collects not only the actual states but also
the target information of other nodes. Therefore, the
partial-global planning can provide flexible coordination,
guarantee the alternation and avoid the task redundancy
among nodes. It will issue a notice when some nodes have
the same middle target. Every node maintains its own
PGP, uses PGP to coordinate its behaviors independently
and asynchronously so as to accomplish the whole task[7].
1) Task library
The relation among the tasks of Agent includes
behavior equality and contextual relation. The former
means that when some Agents have the same task and
they have realized this thing, they will assign only one
Agent to accomplish the task independently for avoiding
redundancy. The latter means that the completion of one
task is the precondition of another. The task continues
only when the precondition is completed. The
independent relation of the tasks of Agent also reflects on
time. It has to consider the beginning and end time of a
task for those Agent systems with high real-time
requirements. Apparently, the sequence and time of tasks
will influence the performance of the Agent system. So,
Agent has to recognize these relations and manage them
as the constituent parts of their behaviors. This needs to
build a task library. The task library has the task set, the
task structure view and the dependent relations of tasks.
Where:
The task set, T={T1,T2,… Tn}, includes all the system
tasks;
The structure view, Ti={ Ti1, Ti2, , Tim }, shows the
constitution of a task;
The dependent relation, Depend(Ta,Tb), shows task Ta
depending on task Tb; Commitment(t, T, A, B), shows
that Agent A promises Agent B accomplishing the task T
before time t.
Every task has execution priority, deadline and
promise of Agent. Promise is the key of coordination.
2) Basic method
(1) When a task starts, Agents get local task set,
structure view and the independent relations of tasks from
the task library. The PGP planner accomplishes the local
plan according to the priority, the estimate of execution
time and deadline, adds them to plan-behavior queue and
makes a promise for the task execution.
(2) In order to promote the coordination, the PGP
planner predicts the cost, result and practicability of the
behavior and rearranges the behaviors in the plan-
behavior queue to find a better behavior sequence. For
example, if there is a time restriction relation between a
local Agent’s task and a remote Agent’s task, such as the
local task depends on the remote task, the local Agent
doesn’t execute its task until receiving the result of the
remote task. The delay time depends on the deadline
promised by the remote Agent.
(3) According to the rearranged plan-behavior queue,
the PGP planner modifies the local plan so as to follow
the main steps of it in a better coordination mode and
483
builds the structure graph of showing the relations
between nodes.
4. Conclusion
This paper makes a preliminary study on the service-
oriented organization management and coordination
control scheme of the MAS, elaborates the SOAP-based
communication mode and central-decentralized
management mode, proposes the loose coupled
management strategy which takes the social medium
Agent and the community medium Agents as the service
medium and the role-based medium service collaboration
mechanism. Then, linking the "Large Systems
Cybernetics", this paper introduces the features and forms
of coordination control and discusses the multi-level
coordination control and PGP strategy.
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 2008 International Conference on Intelligent Computation Technology and Automation

Sliding Mode Control of Single-Phase AC-DC Boost Converter

Using Time-Varying Sliding Surface
HE Yiwen1, XU Weisheng1, Wang Hongrun2
1
School of Electronic and Information Engineering, Tongji University, Shanghai 200092, China
2
School of Physics and Electronics Engineering, Ludong University, Yantai 264205, China
hyw_66@sina.com.cn

Abstract In this paper a sliding mode controller using time-

Control of AC-DC converter in presence of
unknown time-varying load is a complex task due to
the strong nonlinearity inherent in the converter
structure and to the ones introduced by the load.
Traditional sliding mode control using constant sliding
surface only be insensitive to matched non-linearity
and disturbances. In this paper, a sliding mode
controller using time-varying sliding surface to
achieve fast output voltage response, disturbance
rejection and robust system in the presence of load
variation is demonstrated. Simulation results show the
effectiveness of time-varying sliding mode control
system compare with traditional one.
1. Introduction
varying sliding surface is presented for an AC-DC
boost converter operating with continuous input
current. The method presented is an extension of the
one developed in Reference [6] and allows the
converter accommodate to unmatched disturbances.
2. System Configuration and Proposed
Control Scheme
2.1. Single - Phase AC-DC Converter
The proposed system configuration is shown in
Fig.1. The main power circuit is a typical boost circuit.
There are three main structural parts in the circuit:
storage element (inductor), “energy gate” (switch), and
output filter. The power switch is controlled by the
sliding mode controller.

Power Factor Preregulators(PFP) have been used to

improve the current waveform of off-line power Vo
supplies [1]. Due to the continuous character of its
AC C R A/B
input current, simplicity and low cost, the most popular
topology used as PFP is the boost converter. Io
High performance power regulation is not possible
without taking into account dynamical properties of the
system. The real-life behavior of the circuit is out of IL Vi R(t)
the scope of control problem formulation. Therefore,
the problem of efficient power conversion is becoming Voltage
Current
attractive for both theoretical and practical oriented control
control(SMC)
(PI) Voref
studies [2] [3] [4].
PFP system is a nonlinear time varying system. In Fig.1 System configuration and proposed
past years, the sliding mode control (SMC) has been control scheme
accepted to control PFP system due to the using of
straightforward fixed nonlinear feedback control The model, describing the circuit behavior, is given
functions, which operate effectively over a specified by equation (1):
magnitude range parameter variations and Where vi is the output voltage of the full diode
disturbances. In sliding mode control, the trajectory of bridge, iL is defined as the inductor current, vo is the
the system is constrained to move or slide along a output voltage of the whole rectifier. u =1 if the power
predetermined hyper plane in the state space [5].But switch is turn-on and u=0 if the power switch is turn-
the traditional sliding mode control using constant off. vo and iL are selected as the state variables.
sliding surface only be insensitive to matched non-
linearity and disturbances.

978-0-7695-3357-5/08 $25.00 © 2008 IEEE 484

DOI 10.1109/ICICTA.2008.204
 ⎧⎪ didtL = vLi − vLo + vLo u
vi
iL∗ = Id (3)
vip
⎨ dvo iL vo iL Where input AC voltage vi is available for
⎪⎩ dt = C − RC − C u (1) measurement.
Introduce sliding variable:
Equation (1) shows it is a time-varying nonlinear s = iL∗ − iL (4)
system because a time-varying term vi in the first Define sliding mode control law as follows:
equation and the multiplication of the control u in both
equations.
u = sign( s ) (5)
The AC-DC boost converter is designed to achieve In the sliding mode(s=0) the inductor current is
two primary goals: a) keep the power factor value as equal to its reference value.
close as possible to unity; b) achieve efficient load The Id can be derived by balancing input and
voltage regulation to a desired constant level. output active power in steady state [8].
< IP > dc =< iL vi > dc
2.2. Control scheme =< I d vip sin 2 (ωt ) > dc (6)
Equation (1) clearly shows that the two control 1
goals cannot be achieved simultaneously [9] = I d vip
2
.Moreover, only one control input is available to
control the two independent state variables separately. vo 2
< OP > dc = (7)
The system dynamics can be divided into fast motion R
of input current and slow motion of output voltage.
This suggests the use of a cascade control structure Equating (6) and (7) and solving for Id yields:
2vo 2
composed of an external voltage controller that gives Id = (8)
the reference to an inner current loop. The block vip R
diagram of the controller is reported in Fig.2, where
the voltage loop adopt PI controller and current loop This is a constant sliding surface only insensitive to
adopt sliding mode controller using time-varying matched non-linearity and disturbances. But we want
sliding surface. to improve the capability of this converter to attenuate
a disturbance in the input voltage and its dynamic
R(t) Vipsin(ωt)
performance under pulsating load conditions. In both
cases, the matching condition given in [6] is not
Vref Voltage
Id +
Current AC-DC Vo satisfied. Therefore a time-varying sliding surface can
Controll Control
+ er _ ler
Conver Load prevent input voltage disturbance and load perturbation
_ ter
(PI) iL (SMC) effect is needed for this converter.
sin(ωt) First case (input voltage disturbances):
2v0 2
Input Current
I d (t ) = (9)
vip (t ) R
Output Voltage
Second case (load perturbations):
Fig.2 Block diagram of the controller
2v0 2
I d (t ) = (10)
In reference [7], the design of the sliding mode vip R (t )
control that forces input current to follow a calculated
For the control of this circuit, a proportional plus
reference profile, is presented. Such a profile is defined integral compensator (PI) is chosen for output voltage
as follows: regulator, in order to have a stable system with good
iL∗ = I d sin(ωt ) (2) steady state and dynamic response. The output of
*
Where sine wave of the iL should be in-phase with external voltage controller gives reference to the inner
input AC voltage vi=vipsin(ωt). That condition can be current loop.
met if iL* is being generated in real time as follows: I d = I pio (11)
Where Ipio is the output of PI controller.

485
 We can derive Id(t) from (9), (10) and (11),that
results:
First case (input voltage disturbances):
vip I pio
I d (t ) = (12)
vip (t )
Second case (load perturbations):
RI pio
I d (t ) = (13)
R(t )
3. Simulation
Simulations were realized in Matlab7.0
Fig.5 Harmonics spectrum of input current
environment with Simulink. The simulative parameters
have values Vs=220V, 50Hz; L= 1mH; C= 1410μF. The scaled input AC voltage and input current are
Reference output voltage Vd=400V. Nominal load shown in Fig.3 and Fig.4. As expected, the line-current
resistance is initially set to R=100 Ω and abruptly tracks the shape of the line voltage with a slight
changes at 0.3 sec to R= 50Ω. distortion.
The input current is analyzed by FFT, and the result
Input voltage and current is shown in Fig5. The THD of input current is 1.13%.
400
Obviously, it is satisfied to IEC 61000-3-2 standard.
200 Output voltage
300

0 250

200
-200
150

-400 100
0.2 0.22 0.24 0.26 0.28 0.3 0.32 0.34 0.36 0.38 0.4
Time.sec 50

Fig.3 Input AC voltage and current with step 0

0.2 0.22 0.24 0.26 0.28 0.3 0.32 0.34 0.36 0.38 0.4
load 50%(Time-varying SMC) Time.sec

Input voltage and current Fig.6 Output voltage with step load
400 50%(Traditional SMC)

200 Output voltage

300

0 250

200
-200
150

100
-400
0.16 0.162 0.164 0.166 0.168 0.17 0.172 0.174 0.176 0.178 0.18
Time.sec 50

Fig.4 Input AC voltage and current with step 0

0.2 0.22 0.24 0.26 0.28 0.3 0.32 0.34 0.36 0.38 0.4
load 50%(Time-varying SMC Time zoom) Time.sec
Fig.7 Output voltage with step load 50%
(Time-varying SMC)

One of traditional SMC control scheme is that

voltage loop adopt PI controller and current loop adopt
sliding mode controller using constant sliding surface.

486
The output voltage of the converter controlled by
traditional SMC is shown in Fig.6
The output voltage of the converter controlled by
sliding mode control with time-varying sliding surface
is shown in Fig.7. They illustrate the better
performance of time-varying SMC to attenuate
disturbance than traditional one.

4. Conclusion
A sliding mode controller for boost AC-DC
conversion using time-varying sliding surface with
input current quality and robustness improvement
compared with classical SMC is proposed. The results
from the proposed scheme illustrate the good quality of
input current and the robustness of system in the
presence of load variation.

References
[1] J. Sebastiin, M. Jaureguizar and J. Uceda, “An overview
of power factor correction in single-phase off-line power
supply systems”, IECON’94, pp.1688-1693.
[2] S.Baev, Y.Shtessel, I.Shkolnikov, “Nonminimum-phase
output tracking in causal systems using higher order sliding
modes”, Proceedings of IEEE ACC’07 – to appear.
[3] M.E.Elbuluk, G.C.Verghese, D.E.Cameron, “Nonlinear
control of switching power converters”, IEEE Trans. Control
Systems Technology, vol.5, no.4, pp.601-617, 1989
[4] G.Escobar, H.Sira-Ramirez, “A passivity based sliding
mode control approach for the regulation of power factor
precompensators”, in Proc. IFAC NOLCOS, Enschede, The
Netherlands, 1998
[5]Juan M. Carrasco, Jose M. Quero , “Sliding Mode Control
of a DC/DC PWM Converter with PFC Implemented by
Neural Networks”, IEEE Trans. Circuits and
Systems,vol.44,no.8,August 1997.
[6]Fossas E.et al. “Sliding Mode Control Reduces
Audiosusceptibility and load perturbation in the Cuk
Converter”, IEEE Trans. CAS, 1992 ,39( 10) :847～849.
[7]S.Baev, Y.Shtessel, H.Biglari, et al. “Sliding Mode
Control of a Unity Power Factor AC-to-DC boost converter”,
IEEE Conference on Decision and Control, New Orleans, LA,
USA,Dec.12-24,2007
[8]Yuri B. Shtessel, Alan S.I. Zinober, A.Shkolnikov,
“Sliding mode control of boost and buck-boost power
converters using the dynamic sliding manifold”, International
Journal of Robust and Nonlinear Control 2003,13:1285-
1298.
[9]R. Morici, C. Rossi, A. Tonielli, “Variable Structure
Controller for AC/DC Boost Converter” , Proceedings of
the International Conference IECON94, pp1449-1454, 1994

487
 2008 International Conference on Intelligent Computation Technology and Automation
Sliding Mode L2–L∞ Control forUncertain Stochastic Nonlinear Jump Systems
Ni Wei, Tang Zhongyi,Duan Weiping
Institute of Automation ,huaiyin institute of technology
001TZY@163.com
Abstract
The problems of stochastic stability and sliding
mode L2–L∞ control for a class of nonlinear matched
and mismatched uncertain systems with stochastic
jumps are considered in this paper. The uncertain
system under consideration may have mismatched
norm bounded uncertainties in the state matrix. The
transition of the jumping parameters in the systems is
governed by a finite-state markov process. A sufficient
condition is given for the existence of integral sliding
surface in terms of linear matrix inequalities (LMIs).
Then, a reaching motion controller is designed such
that the resulting closed-loop system can be driven
onto the desired sliding surface in finite time.
Moreover, a state feedback robust L2–L∞ controller is
also constructed by using the solution of LMIS.
Finally, we give a design example in order to show the
effectiveness of our method.
Key Words ： sliding mode control, mismatched
uncertain systems, markov process
1. Introduction
Markovian jump system is introduced by
Reference [1] Many interests have been attracted to
X X
solve the stochastic stability analysis and controller
synthesis problem of Markovian jump systems with
uncertainties in the last decades. Note that L2–L∞
control design has received considerable research
attention mainly because of its insensitivity to the exact
knowledge of the statistics of the noise signals. Such a
control procedure ensures that the L2–L∞ gain from the
noise input signals to the controlled output will be less
than a prescribed level, where the noise input is an
arbitrary energy-bounded signal.
Sliding mode control (SMC) is another active
research area. The SMC theory has provided effective
means to design robust state feedback controllers for
uncertain dynamic systems. Reference [2] and [3]
proposed integral-type sliding mode surface which
provide one more degree of freedom in design than the
linear siding surface, recently, Reference [4],[5] and [6]
have extended the integral surface to the mismatched
uncertainties. However, more than one surface isn’t
designed until Reference[7]. They addressed sliding
mode control for stochastic jump linear systems with
time-delay in terms of linear sliding mode surface.
978-0-7695-3357-5/08 $25.00 © 2008 IEEE
DOI 10.1109/ICICTA.2008.420
Briefly, the paper is organized as follows. Section 2
introduces definitions and preliminary results.Section3
designs different sliding mode integral surfaces
correspond to the mode of the jump systems with
matched uncertainties and considers the robust L2–L∞
control problem. An LMI solution is presented. Section
4 considers the jump nonlinear systems with
unmatched uncertainties in terms of the same method
as section 3.Section 5 provides several numerical
examples to provide illustration of the effectiveness of
our results and comparison with existing results.
Finally, Section 6 offers some concluding remarks.
2.System description and preliminary
results
Let the system to be controlled be represented by the
following differential equation:
x (t ) = A(r (t )) x(t ) + B ( r (t )){[ I + ΔB ( r (t ))]
⋅ u (t ) + f m (t )]} + C1 (r (t )) w(t ) + f n (t ) (1)
y (t ) = D(r (t )) x(t ) + E (r (t ))w(t ) + C 2 (r (t ))u (t )
(2)
x(t ) = ϕ (t ), t ∈ [−τ ,0] ,
Where x (t ) ∈ R is the state vector; u (t ) ∈ R is the
n m
control input, A(r (t )) ∈ R n×n is the system
n× m
characteristic matrix, B ( r (t )) ∈ R is the input
matrix , C1 (r (t )) , C 2 (r (t )) and D ( r (t )) are
known constant matrices of appropriate
dimensions; ΔB (r (t )) , f m (t ) ∈ R m represent the
system matched uncertainties, and f n (t ) ∈ R m
represents unmatched uncertainties of the system,
respectively, r (t ) is a homogenous, finite-state
Markovian process with right continuous trajectories
and taking values in a finite S = {1,2,… , N } with
generator (π ij ) with transition probability from mode
i at time t to mode j at time t + Δ , i, j ∈ S :
⎧ π Δ + o(Δ ), i ≠ j
P{r (t + Δ ) = j r (t ) = i} = ⎨ ij
⎩1 + π ii Δ + o(Δ ), i = j
488
 N
si represent different sliding mode surface
∑π
Where
ij = −π ii , π ij ≥ 0, ∀i, j ∈ S , i ≠ j
j =1, j ≠ i
correspond to the mode of the systems.
3. System with matched uncertainties
Where Δ > 0 and lim δ →0 o( Δ ) / Δ = 0 .
In this section, (1) with only matched uncertainties is
For simplicity, we will use considered,
Ai , Bi , C1i , C 2i , Di , Ei , ΔBi to represent the x(t ) = Ai x(t ) + Bi {[ I + ΔBi ]u (t ) + f m (t )} (4)
matrices A(r (t )) , B (r (t )) , C1 (r (t )) , C2 (r (t )) , The sliding mode controller using the sliding mode
surface (3) can be designed as
D (r (t )) , E ( r (t )) , Δ B ( r (t )) ,when the mode
⎧ (Gi Bi ) T si
r (t ) = i ∈ S ; l2 [0, ∞] stands for the space of square ⎪v(t ) − ρ i (t ) , si ≠ 0
u (t ) = ⎨ (Gi Bi ) T si (5)
integral vector functions over the interval [0, ∞] ; ⋅
⎪ , si = 0
refers to the Euclidean vector norm or the l2 [0, ∞] ⎩ v(t )
Where the switching gain function satisfies that
norm; I stands for the identity matrix of appropriate
1
dimensions . ρ i (t ) > {(1 − ε b ) v(t ) + ρ m (t ) (6)
Throughout this paper we shall make the following εb
assumption and use the following lemma: To prove that the above controller can reach and
Assumption 1. f m (t ) , ΔBi are bounded in Euclidean maintain the sliding mode surface, we choose
V = 1 si si . Differentiating the Lyapunov function,
norm by known nonlinear function as, T
2
f m (t ) ≤ ρ m (t ) , ΔBi ≤ 1 − ε b , where ρ m (t ) is the following equation can be obtained.
matched function, ε b is a positive constant. V = si Gi Bi {[ I + ΔBi ]u (t ) + f m (t ) − v(t )}
T

Assumption 2.The known nominal system of (1),

For si ≠ 0 , by substituting the SMC law (5) into the
x (t ) = Ai x (t ) + Bi u (t ), can be globally
previous equation ,we can obtain
asymptotically stabilizable via a state feedback
(Gi Bi )T si
V = si Gi Bi {− ρ (t ) + ΔBi
control. T

Assumption 3.For any (t , x) ∈ [0, ∞) and any (Gi Bi )T si

β1 > 0 , β 2 > 0 ,then (Gi Bi )T si
f n (t ) ≤ β1 x(t ) + β 2 w(t ) ⋅ [v(t ) − ρ (t ) ] + f m (t )} < 0
(Gi Bi )T si
Lemma 1: Let L , E and F be real matrices of
The previous inequality implies that the switching
appropriate dimensions with F satisfying feedback control law (5) guarantees that the sliding
F ≤ 1 ,then, for any scalar α > 0 ,we have mode si = 0 can be maintained.
LFE + E T F T LT ≤ α −1 LLT + αE T E Differentiating the sliding surface (3) with respect to
As state in assumption 2, there is a known state time
feedback control u (t ) = v (t ) of the nominal system si = Gi x(t ) − Gi Ai x(t ) − Gi Bi v(t ) (7)
of (1), such that x(t ) = Ai x (t ) + Bi v (t ) is stable and Substituting (4) into the previous equation, one can
obtain
satisfy some prescribed specifications. Hence, a
general problem may be raised which is that how to si (t ) = Gi Bi {[ I + ΔBi ]u (t ) + f m (t ) − v(t )} (8)
design the proper sliding surface response to the mode. By using the equivalent control method and setting
This is the most important idea of this work. si (t ) = 0 , si (t ) = 0 ,we can see that the equivalent
In this work, the integral sliding surface is proposed:
t
control is given by
si = Gi x(t ) − Gi x(t0 ) − ∫ [Gi Ai x(τ ) u eq (t ) = ( I + ΔBi ) −1[v(t ) − f m (t )] (9)
t0

+ Gi Bi v(t )]d (τ ) (3) And substitute the previous equation ueq (t ) into (1),
With Gi ∈ R m×n and Gi C1i = 0 . one obtain
x(t ) = Ai x(t ) + Bi v(t ) + C1i w(t ) (10)

489
For the class of sliding motion under consideration can Notice that Λ 1i < 0 ,then for all ζ (t ) ≠ 0 ,we have
be state as L2–L∞ control problem: given γ 2 ,∞ > 0 ,
J 2,∞ < 0 ,i.e.
find an admissible controller, one can obtain
On the other hand, LMI (12) implies
y (t ) ≤ γ 2 ,∞ w(t ) ∀w ∈ l 2 [0, ∞)
⎡ DiT ⎤ T ⎡P 0⎤
[ ]
∞ 2
⎢ T ⎥ Di EiT < γ 22,∞ ⎢ i
Theorem 1: For a given γ 2 ,∞ > 0 , the jump system
⎣ Ei ⎦ ⎣0 I ⎥⎦
in (10)(2) with v(t ) = 0 is robustly stable along the Therefore, the following holds:
pass and has an L2–L∞ performance level γ 2,∞ ,if there y T (t ) y (t ) = [ Di x(t ) + Ei w(t )]T [ Di x(t ) + Ei w(t )]
exit matrices Pi > 0 such that the following LMIs are < γ 22,∞ ∫ [ wT (θ ) w(θ )]dθ
t

feasible: 0
Taking the supremum
⎡Q Pi C1i ⎤
Λ1i = ⎢ 1i <0 < γ 2,∞ w(t ) 2 .
− I ⎥⎦
(11) y (t ) ∞
⎣* Definition 1.The disturbance-free jump system is said
⎡− Pi 0 DiT ⎤ to be stochastically stabilizable if there exists a linear
⎢ ⎥ feedback control law F (rk = i) = Fi (constant for
Λ 2i = ⎢ * − I EiT ⎥ < 0 (12)
⎢ * each value of i ), when r (t ) = i
⎣ * − γ 22,∞ ⎥⎦
u (t ) = − Fi x(t ) (16)
With
Such that the closed-loop system
Q1i = AiT Pi + Pi Ai + ∑ j =1π ij Pj
N
~
⎧⎪ x(t ) = Ai x(t ) + C1i w(t )
Proof: First, the stability is established along the pass ⎨ ~ (17)
of the nominal process in (10) with w = 0 .Choose the ⎪⎩ y (t ) = Di x(t ) + Ei w(t )
following Lyapunov functional candidate: With
V ( x(t ), i ) = x T (t ) Pi x(t ) ~
Ai = Ai + Bi Fi (18)
The infinitesimal operator ϑ (⋅) of the random process ~
Di = Di + C 2 i Fi (19)
{( x(t ), r (t ), t ≥ 0)} is given by is stochastically stable.
ϑV ( x(t ), i ) = x (t )( Ai Pi + Pi Ai + ∑ j =1π ij Pi ) x(t ) The following theorem give a solution to the L2–L∞
T T N
static feedback control problem.
(13) Theorem 2 Consider the systems (1) and let γ 2 ,∞ > 0
Notice that condition (11) implies
be a prescribed scalar. There exits a feedback
ϑV ( x(t ), i ) ≤ 0 controller of the form(16) such that the systems (17) is
So we conclude that the sliding motion described by robustly stable and has an L2---L∞ performance level
(10), with w(t ) = 0 ,for all t ,is stochastically γ 2,∞ ,if there exist some symmetric positive definite
stabilization.
Next, in order to establish the L2---L∞ performance, the matrices ( X 1 … X N ), (Y1 …YN ) such that the
zero boundary condition is assumed. Consider the following LMIs are feasible.
following performance index:
⎡Q C1i X i ⎤
Λ 3i = ⎢ 2 i <0
J 2,∞ = V ( x (t ), i ) − ∫ wT (θ )w(θ )dθ − I ⎥⎦
t (20)
(14)
0 ⎣ *
According to the stability along the pass of the process ⎡− X i 0 X i DiT + Yi C2Ti ⎤
and the zero boundary condition, then ⎢ ⎥
Λ 4i = ⎢ * −I EiT ⎥<0 (21)
J 2,∞ = V ( x (t ), i ) − V ( x(0), i ) − ∫ wT (θ )w(θ )dθ
t

0 ⎢ * * − γ 2,∞
2 ⎥
∞ ⎣ ⎦
= E{∫ (ζ T (t )Λ 1iζ (t ))dt}
∑
N
0 With Q3i = X i Ai + Ai X i +
T
j =1
π ij X j
Where
Proof. Substituting the controller(4) into (1),we obtain
ζ (t ) = [ x T (t ), wT (t )]T (15) the close-loop process as in (5).According to the proof

490
 ~ ~ According to (24) and setting si (t ) = si (t ) = 0 ,
of Theorem 1,replacing Ai and Di with Ai and Di in
(18) and (19),respectively, we can see that the closed- ueq (t ) can be obtained and substituted into (1) ,
loop systems in (17) is robustly stable along the pass
and has an L2–L∞ performance, if there exit matrices x(t ) = Ai x(t ) + Bi v(t ) + {I − Bi (Gi Bi ) −1 Gi } f n (t )
Pi > 0 satisfying + Ci w(t ) (27)
⎡Q Pi C1i ⎤ Theorem 3: Given γ 2 ,∞ > 0 ,suppose that, for some
Λ 5i = ⎢ 3i <0
I ⎥⎦
(22)
⎣* symmetric positive definite matrices（ X 1 … X N） ,
~
⎡− Pi 0 DiT ⎤ (Y1 …YN ) ,the inequality (21) and (28)holds:
⎢ ⎥
Λ 6i = ⎢ * − I EiT ⎥ < 0 (23) ⎡Q4i C1i X i Ti X i ⎤
⎢ *
⎣ * − γ 22,∞ ⎥⎦ Λ 7i = ⎢⎢ * − I + β2 I2
0 ⎥⎥ < 0 (28)
~T ~ ⎢⎣ * 1 α ⎥
With Q3i = Ai Pi + Pi Ai + ∑ π ij Pj ⎦
N * 2
j =1
Q3i = X i AiT + Ai X i + ∑ j =1π ij X j + 2 β12 ,
N
Performing congruence transformations to (22) and With
(23) by diag ( Pi −1 , I ) and diag ( Pi −1 , I , I ) , Ti = I − Bi (Gi Bi ) −1 Gi
respectively. defining X i = Pi −1 , Fi X i = Yi and Then, the system (1) can be stochastically stabilization
invoking the Schur complement, we know that (20) with L2–L∞ performance level γ 2 ,∞ by a state-
and (21) hold if (22) and (23) hold, and this concludes feedback controller of the form
the proof. −1
4. system with matched and unmatched v(t ) = Fi x(t ) = Yi X i x(t )
uncertainties Proof: Let the Lyapunov functional be given by
In this section, we apply the integral-type sliding V ( x(t ), r (t ) = i ) := x T (t ) Pi x(t ) (29)
surface (3) to general class of unmatched uncertainties Then, differentiating the Lyapunov function (29) with
which may satisfy assumption 3. respect to time using (1) yields
Differentiating (3) with respect to time using (1), One
obtains ϑV ( x(t ), i ) = ϑV ( x(t ), i ) + 2 x T (t ) PiTi f n (t )
s (t ) = Gi x(t ) − Gi Ai x (t ) − Gi Bi v (t ) Using Lemma 1, then
= Gi Bi {[ I + ΔBi ]u (t ) + f m (t ) − v(t )} + Gi f n (t ) 2 xT (t ) PiTi f n (t ) ≤ α −1 xT (t ) PiTiTi T Pi x(t )
(24) + αf nT (t ) f n (t )
The VSC law is in the same form as (5) while the According to assumption (c), we obtain
switching gain satisfies the following
f nT (t ) f n (t ) ≤ 2β1 x T (t ) x(t ) + 2 β 22 wT (t ) w(t )
2
1
ρ (t ) > {ρ m + (1 − ε b ) v(t ) The following proof is similar to the proof of theorem
εb 1.
+ (Gi Bi ) −1 Gi f n (t ) max
} (25) 5. Numerical example
In this section, we present a numerical example to
V (t ) =
T
Differentiating the Lyapunov function 1 s si
2 i illustrate the usefulness of the proposed theoretical
with respect to time using (10),one yields results. Let us consider a system with two modes and
continuous state x (t ) ∈ R .Let the dynamics in each
2
V (t ) = siT (t )Gi Bi {( I + ΔBi )u (t ) + f m (t )
mode be described as follows:
− v(t ) + (Gi Bi ) −1 Gi f n (t )} (26) Mode 1:
We can prove the V (t ) < 0 in a similar way in
the system with matched uncertainties .Hence, the
sliding mode can be maintained by the controller (5)
using the switching gain (25).

491
 ⎡ − 1 1 0⎤ ⎡1 0 0⎤ ⎡1⎤ + 2.1001) + [− 0.2310 0.9538]x(t )
A1 = ⎢ 0 0 1⎥ , B1 = ⎢1 1 0⎥ , C11 = ⎢⎢0⎥⎥ ,
⎢ ⎥ ⎢ ⎥
u 2 (t ) = −
1
(0.2 sin(t ) cos( x2 ) + 2.5326 x
⎢⎣ 0 1 0⎥⎦ ⎢⎣0 0 1⎥⎦ ⎢⎣1⎥⎦ 0.8
+ 2.1045) + [− 0.3541 0.1344]x(t )
⎡ 0.1 ⎤ ⎡ 0.1 ⎤ The following figure shows output.
D1 = ⎢ 0.1 ⎥ , E1 = ⎢⎢0.05⎥⎥ ,
T ⎢ ⎥ T
r

⎢⎣0.05⎥⎦ ⎢⎣ 0.1 ⎥⎦ 0.2

y

⎡ 0 ⎤ 0.15

⎢
ΔB1 = ⎢0.1sin(t ) cos( x1 )⎥⎥ , C21 = 1 ; 0.1

⎢⎣ 0 ⎥⎦ 0.05

Mode 2:
⎡1 0 0⎤ ⎡0.5 0 0⎤ ⎡0 ⎤
0

A2 = ⎢1 1 3⎥ , B2 = ⎢ 0 1 0⎥ , C12 = ⎢⎢1⎥⎥ ,
⎢ ⎥ ⎢ ⎥ -0.05
0 2 4 6 8 10 12 14 16 18 20
time(second)

⎢⎣0 1 0⎥⎦ ⎢⎣0.3 0 1⎥⎦ ⎢⎣0⎥⎦ Fig.1.output

6. Conclusions
⎡ 0.2 ⎤ ⎡ 0.2 ⎤ This paper deals with the L2–L∞ sliding mode
D2 = ⎢ 0.1 ⎥ , E2 = ⎢⎢0.05⎥⎥ ,
T ⎢ ⎥ T control problem for the class of nonlinear uncertain
continuous-time linear systems with Markovian
⎢⎣0.05⎥⎦ ⎢⎣ 0.1 ⎥⎦ jumping parameters. Two types of uncertainties have
been considered.
⎡ 0 ⎤
⎢ 7. References
ΔB2 = ⎢0.2 sin(t ) cos(u )⎥⎥ , C21 = 1 ; [1] N.N.Krasovskii , E.A.Lidskii .Analytical design of controllers in
systems with random attributes, I, II, III, Automation and
⎢⎣ 0 ⎥⎦ Remote Control, 1961,22: 1021-1025,1141-1146, 1289-1294
[2] V.Utkin and P.Shi. Sliding mode in systems operating under
Let us assume that ρ m ( x, t ) , w(t ) β1 and β 2 uncertainty conditions[C]. Proc of the 39th IEEE Conf on the
decision and control,Kobe,Japan,1996,12:4591-4596.
are the same in the three modes, i.e., [3] J.Ackermann and V.Utkin. Sliding mode control design bas ed
ρ m ( x, t ) = 0.2 sin(t ) cos( x2 ) , on Ackermann′s formula[J]. IEEE Trans on Autom
Contr,1998,43(2):234-237 .
⎧1, 0 ≤ t ≤ 10 [4] W.J.Cao and X.J.Xu.Nonlinear integral-type sliding surface for
w(t ) = ⎨ both matched and unmatched uncertain systems[J]. IEEE Trans
⎩0, t > 10 on automatic control,2004, 49 (8):1355-1360.
[5] Y.G.Niu, D.Ho and J.Lam.Robust integral sliding mode control
β1 = β 2 = 0.1 . for uncertain stochastic systems with time-varying delay[J].
Automatic,2005,41:873-880.
Finally let the generator matrix Π of the stochastic [6] H.H.CHOI.LMI-Based sliding surface design for integral sliding
process r (t ) be given by mode control of mismatched uncertain systems[J].IEEE Trans
on automatic control,2007, 52 (4):736-742.
⎡− 3 3 ⎤ [7] Y.Q.Xia, P.Shi, G.P.Liu and D.Rees. Sliding mode control for
Π=⎢ ⎥ stochastic jump systems with time-delay[C]. Proc of the 6th
⎣ 2 − 2⎦ world congress on control and automation, Dalian China
2006,6:354-358.
Assume L2–L∞ performance of level γ 2,∞ = 0.2 ,
by applying theorem 2,we can explicitly compute the
optimally achievable closed-loop L2–L∞ performance
γ 2,∞ from theorem 2 as γ 2,∞ = 0.1586 and obtain
the sliding mode controller ,i.e.,
1
u1 (t ) = − (0.1sin(t ) cos( x2 ) + 2.7661 x
0 .9

492
 2008 International Conference on Intelligent Computation Technology and Automation
Study of control logic for Automobile Anti-lock Braking System
Zhang xin, Lou yuanyuan, Yang xiufang
College of automobile & mechanical engineering, Changsha University of Science &
Technology, Changsha 410076
E-mail: zxxbzjy@sina.com
Abstract
Searching for an ideal logic principle has been
being the key for the research and development of
vehicle anti-lock braking system (ABS). Basing on
MATLAB/Simulink development environment, realizes
the computer software simulation of vehicle dynamics
model with ABS system, builds the definite state
machine State flow model for the ABS electronic
control unit, and further successfully architectures the
logic State flow diagram for four channel ABS system
and obtains satisfying system performance by
debugging it.
1. Introduction
In recent years, the research and development of
vehicle anti-lock breaking system (ABS) becomes
technological hot spot of domestic automobile industry.
Although research methods are various, but the
emphasis point is consistent, that is developing ideal
control logic algorithm. Computer software simulation
basing on MATLAB is the best solution to it. The
efficiency is highest and the effect is best.
MATLAB/simulink is a new kind of computer tools of
modeling and simulation. The majority of procedures
can use visualizing model, and avoid tediously work of
code establishment, and it carries on the unification
numerical calculation. The user needs not to care about
the concrete realization question of numerical
calculation methods, system model archives maximum
limit modularization, and it is advantageous for
revision and maintains. In order to develop a ideal
control logic algorithm of vehicle anti-lock breaking,
this paper basing on software environment of
MATLAB/simulink establishes a state flow finite state
machine model for the vehicles model of four channels
anti-lock breaking system and control logic of anti-
978-0-7695-3357-5/08 $25.00 © 2008 IEEE 493
DOI 10.1109/ICICTA.2008.476
lock breaking, it also studies the control logic
algorithm.
2. Basic control strategy of Anti-lock
Braking System
All of current mature products of Anti-lock braking
control adopt Logic Threshold control Method. The
principle based on the wheel adds and subtracts
angular speed threshold and reference slip ratio
composing. Anti-lock Logic make slip ratio fluctuating
near the Peak of Wheel Adhesion Coefficient, so it can
obtains a bigger wheel longitudinal force and
transversal force. Then Vehicle has a shorter breaking
distance and breaking stability. Figure 1 shows the
basic Principle of Anti-lock breaking control. At the
beginning stage, Breaking Pressure rises and produces
breaking deceleration. When it reaches a deceleration
value (Point A), wheel has the trend of lock. The
wheel condition has located the unstable region. Then
Breaking Torque reduces and Breaking Pressure
releases. The wheel breaking deceleration still drops
because of inertia this time. Afterward, it begins to rise
and begets the wheel angular acceleration. It shows
that the wheel has restored to stable characteristic
region. If Breaking Pressure is continually released the
wheel adhesion force will reduce, and finally it causes
breaking force to lose. But when wheel achieves stable
region, it hopes that vehicles pauses in this region as
long as possible. Then both of longitudinal force and
transversal force are bigger. In order to keep Breaking
Status stay in stability region a longer time, it employs
alternate boost pressure and decompress, so there are
different pressure increasing rate, then we obtain Best
breaking effect.

Vehicle speed
Speed
Wheel speed
Accelera
tion
Brake
pressure
Time
Fig. 1 Indicate for Anti-lock Braking Control
3. ABS control model basing on
MATLAB/Simulink
By using MATLAB/simulink mature commercial
software, the Computer Simulation System of Vehicle
Dynamic is established. MATLAB/simulink is a new
computer method of modeling and simulation.
Majority of procedures can use visible model and it
avoids tedious work of code establishment. The system
carries on unified Value Calculates, so simulation
efficiency is greatly enhanced. The Vehicle Dynamic
System embody by MATLAB/simulink modeling
method. The functional block diagram of vehicle
Dynamics model by MATLAB/simulink is showed on
figure 2. The main system model is made up of three
interconnected model: Driver model, Controller model
and Vehicles model.
Fig. 2 Vehicle Dynamics Model for ABS
3.1 Driver model
The model contains an open-loop input system. That
is drivers work as output. It includes steering angle,
494
breaking and throttle output. They are actually driver’s
operation to steering wheel, Braking pedal and
accelerator pedal. Tow output models can be used, one
is step output and another one is workspace model.
Step model is coming into being a step model output
and keeping the output till the end of simulation,
workspace can define a series of export. Given a time
export sequence, the value twinning appears, the first
value is time, and the second is output amplitude. The
time value must be arranged from infancy to maturity
in turn; for example, the output sequence of accelerator
pedal can be defined [0 60; 15 40; 16 100; 100 0; 200
0]. According to the need of simulate user can define
model adopted and corresponding model value. Driver
model only has output model but it doesn’t have input
model.
3.2 Vehicle model
The vehicle models composed of chassis system,
breaking system and actuating system. The chassis
system also contains wheel model, tire model and
whole vehicle model. The vehicle model is showed on
Figure 3.
3.3 Controller model
The controller model mainly is the ABS controller.
Anti-lock Control Logic is included in the controller
model, and it mainly is realized with logical condition.
In Computer Software program, it is described by
logical grammar structure just as if…then. The
complexity of breaking condition and state of read
leads to complexity of control logic when the control
logic is extremely complex.
The kind of description also changes very complex. In
the system, two models can be used to achieve Anti-
lock Control Logic algorithm, one is Function S based
on Simulink, code procedures is involved in S function,
the other is state flow methods. Because the latter
means gains outstanding advantages over the other in
the implementation of control logic, we adopt the latter
mean, state flow design of key part of Anti-lock logic
based on MATLAB Environment and achieve
satisfactory control results.
State flow is functional – large graphic design and
development tools of solving complex control and
senior logic problem. Basing on definite state machine
theory, it can effectively express loop statement and
conditional branch statement combining flow-chart
symbol and state-jump block diagram. As a result, it
implements flow control and describes action of
complex system clearly and exactly. State flow can not
only visual model and simulate complex interactive
system rapidly, design and develop complex
monitoring control system, but also change design
 concepts, assess simulation results and validate system
performance till achieving design requirement very
conveniently state flow has advantage in integrating
and interactive with MATLAB/Simulink development
environment. Simulink supports development of
continuous and discrete dynamic system in graphic’s
model environment. Control behavior by state flow
modeling is a powerful complement to simulink
algorithm model, integration into simulink model of
it’s’ flow-chart greatly strengthen the event-driven
ability of simulink. The combination of all of state
flow model in simulink model is a “machine”, state
flow encoder model can produce integer and floating
code based on the machine, immediate workplace
produces code for simulink part in the model. Both
codes can be seam less integrated.
Valve Signal
Wheel Speed
Convert Function
4. Establishment and adjustment of ABS
control logic state flow model
Because the logic control principle of four channels
is rather similar. We choose the first channel as the
example to illuminate. On figure5, control logic flow-
chart of the first channel is realized successfully by
state flow. The box in the figure stands for system state.
The state produces dynamic alteration following the
changes of event and condition. It id called event
driven: only when event accrues, state flow is awoken
and response, every state has four actions. They are
entry, during, Exit and on event name. And they
express respectively entering in staying in exiting
from the state and action occurred between the states
because of some event. Circle represent connecting
nodes, multiple different jump-approach can be chosen
in the in the nodes. Flow-lines with arrowhead
between two nodes or between node and state stand for
jump-approach. That is access road from source object
to goal object. The current sign is: event [condition], it
represents respectively event “occurred”﹑ “condition”
of the event ﹑ “conditioned behavior” and “jump
behavior”. Good application of these sign can avoid
from using some unnecessary state and express
structure of control-flow effectively.

Fig. 4 ABS Controller Model Based on Simulink

Figure 4 shows four channels as controller model
established by simulink. The input is vehicle angular
rate while output is electromagnetic entice valve signal,
and impute and output of actual vehicle ABS system is
same to it. Wheel speed is imported in the controller
model, and then whole vehicle model works out wheel
adds and subtracts angular speed and reference slip
ratio.
It means that the wheel speed turn into wheel
angular accelerated speed ap and reference slip ratio
Fig. 5 State flow model for ABS Control Logic
SR after transformer, which is composed of S function
The whole state flow model is constructed father-
Convert ap and SR are considered controller quantity
sun state model. Pressure father state contains two sun
of Anti-lock control logic. Its output is electromagnetic
states, P_state (Label1) and P_logic relation “and”,
valve signal dio and pressure adjustment state valve st.
there are also father-sun state model in both sun states.
The output is fed back into whole vehicle model and
The structure not only achieves Anti-lock function, but
close-loop control system is formed. The control logic
also keeps control logic structure clear, which is very
here is the key of ABS controller. Its rationality and
convenient for adjusting parameter and observing
efficiency directly relate to Anti-lock braking
complex process of state-jump. Meanwhile, according
effectiveness of the whole ABS system. It can be
to Anti-lock braking control disciplinarian described in
realized by use of the four-wheel state flow from
logic1 to logic4. the former, 0﹑1﹑2﹑3,the four braking stage showed
in Figure 7 can be described as four pressure adjust

495
state in state flow :S0(boost pressure state) ﹑
S1(decompression state) ﹑ S2(pressure maintaining
state)﹑S3(small step boost pressure state ), S0﹑S1﹑
S2,the stable states ,are expressed “Steady” uniformly
in P_logic. S3 is unstable state, it contains two sun
states S31 and S32, which respond to control of boost
pressure and pressure maintaining in small step process.
The time it relatively lasts in a small-step loop is
identified by parameter L1 and L2.L1 and L2 can
control steeper and temper. It plays the role of pressure
minor adjusting. Parameter is used to enactment
angular add speed threshold which jumps among four
pressure-adjust state. In the course of State flow
model’s operation, corresponding states carry out
during (abbr du) action and assign electromagnetic
valve signal differently. So it can achieve adjustment
of braking line pressure and intention of Anti-lock
braking .The threshold valve reference slip ratio SR
adopts.
After we designed controller model by State flow,
we can add a Scope model to the whole Vehicle
models which are architect in simulink. The scope
model can be used to in actual time inspect the control
results of Anti-lock Control Logic when operating
vehicle models. If we find the results can not hit for,
can change the par A, B, C in State flow model at
anytime, and can use the fine turning L1, L2, then re-
operate vehicle model to simulate, until we get
satisfied effect. The whole course is very convenient to
operate, and the design efficiency will be improving
greatly.
The result of Anti-lock control of vehicle in high
adhesion road by using this model is showed on Figure
6.Braking initial speed is 45km/h. from the figure we
know that the braking effect is fairly satisfy, the
wheels are always keep in good loop without occurring
lock event.
Wheel Speed km/h
Time s
Fig. 6 Result of ABS State flow Model Control
496
5. Conclusion
In this paper, basing on MAYLAB/Simulink
development environment, by the aid of building
mathematic model for the Anti-lock Braking System,
we build state flow finite state machine model aim at
the ABS electronic control unit, and further
successfully architectures the logic State flow diagram
four channel ABS system and obtains satisfying
system performance by debugging. Basing on this
administration’s duty, we can adopt another important
functional model of Simulink, Real-Time Workshop,
and acquire portable program source code of C
Language from the built model directly, architecture
application process which can real-time executive in a
variety of circumstances automatically, like real-time
system and single simulation. As a result, the course
from designing to effecting of Anti-lock Braking
System will be very rapid, and the development
efficiency of Anti-lock Braking System will be
improved greatly.
REFERENCES
1. ZHANG Xin, Theory and Practices for Hydraulic
ABS, Press of Central South University, 2005. 1
(in Chinese)
2. The MATHWORKS, Inc. STATEFLOW®:For
Use with SIMULINK, User’s Guide Version 2,
1999.9
3. The MATHWORKS, Inc. Real-Time Workshop®
For Use with SIMULINK, User’s Guide Version 3,
1999.9
4. Lutz Koester, “Automatic Code Generation for the
TriCore Architecture from Infineon Technologies”,
Occasion of Embedded Intelligence, Nuremberg,
2000
5. ZHANG Xin, WU Weiguo, LIU Jiaqi, The
Integrated Development System for Vehicle
Control based on Seamless Connection between
Hard- and Software Implementation, Journal of
CHANGSHA University of Science &
Technology, 2005.1, Vol.2 No.1.
 Brake Torque
Brake Pedal
Valve Signal
Brake System Wheel Rotate Speed

Steering Angle Wheel Speed

Brake Pedal
Vehicle Body
Throttle Pedal
Throttle Pedal Valve Signal
Vehicle Speed
Output Torque Vehicle Lateral Speed
Transmit Shaft Speed
Steering Angle
Brake Pedal

Driving System

Fig. 3 Vehicle Model

497
 2008 International Conference on Intelligent Computation Technology and Automation
Study on the Control of 6-DOF Manipulators System with Force Feedback
Zhuxin Zhang Tiehua Chen
Changchun Institute of Technology, Changchun, Jilin 130012, China
cc-zzx@sohu.com
Abstract
Tele-operation consists of motion control and force
control, of which the key is tele-presence. This paper
presents the components of interactive 6-DOF
tele-operation system, displacement and force servo
control principle. Bilateral servo control is the core of
interaction technology which provides the operator
with force tele-presence and is the important
foundation of the operator’s decision to complete the
tele-operation tasks successfully. The slave
manipulator’s free motion and limited motion
experiments show that this system has realized the
accurate displacement control and force tele-presence.
There is a satisfactory interaction between the master
and slave manipulators.
1. Introduction
With the development of space, ocean and atomic
energy technologies, the robots which are able to work
under the danger, uncertainty and the environment
difficult for human to reach are in urgent demand. So
the interactive tele-operated robots are deservedly
concerned. The realization of the tele-operated robot
system based on the interactive technology will
improve the robot’s capability greatly [1]. The danger
or remote operation tasks such as tele-manufacture,
tele-operation, tele-design, tele-medical treatment, tele-
experiment, space research, ocean development and so
on can be completed by the robot with which people
combined their intelligence and improved technique.
For this purpose, the interactive 6-DOF tele- operate
system is developed. With this system, further
researches on the tele-presence technology of force
feedback and interactive tele-operation technology [2]
can be made.
978-0-7695-3357-5/08 $25.00 © 2008 IEEE
DOI 10.1109/ICICTA.2008.389
2. Main components of the system
The interactive 6-DOF tele-operated system
includes: two isomorphic manipulators with 6-DOF,
electro-hydraulic servo system, and computer control
system.
2.1. Construction design of the manipulator
The master and slave manipulators have the same
constructions shown as Fig.1, which is easier to control
the slave’s motion than those have different
constructions [3], for the slave manipulator follows the
motion of the master one at a certain ratio. The design
is based on the Stewart platform. The handle is bolted
to upper platform which is moveable. The bottom
platform is the base one. The two platforms are
connected with six single link hydraulic cylinders and
universal joints at the two ends of the cylinder. At the
upper platform side, there is an S shape pull and press
force sensor used to measure and sense the force
1
2
5
6 3
4
7
Fig.1. Manipulator based on Stewart platform
1. Moveable Platform 2. Universal Joint
3. Hydraulic Cylinder 4. V Block 5. Force Sensor
6. Displacement Sensor 7. Base Platform
498
feedback, and through which the hydraulic cylinder is
connected to the upper platform. The displacement
sensor is fixed on the hydraulic cylinder to measure the
piston of the cylinder. The electro-hydraulic
servo-valves are arranged under the base platform. The
operator can control the upper platform’s displacement
and posture by operating the master manipulator’s
handle and thus control the slave manipulator’s
motions.
2.2. Electro-hydraulic servo control system
Electro-hydraulic servo driven is applied to this
system for its heavy density of driven power and quick
response, stable and reliable work performance. So it
can realize accurate displacement control. The other
two common driven methods are electric driven and
pneumatic servo driven [4]. Though the electric driven
has the advantages of quick response and low
Fig.2. Hydraulic servo system of the manipulator
2.3. Computer control system
It includes two grades, one is the central control
computer which is to calculate the displacement of the
platform, force feedback, control algorithm and form
the commands. The central control computer gets the
displacement information of the 6-DOF platform,
calculates and then converts it to the displacement
commands of six hydraulic cylinders to decide whether
the platform displacement is beyond the platform’s
motion limit and sent single cylinder’s displacement
control commands to all the single cylinder control
system, and at the same time receives information from
the single cylinder control system. The second control
system is composed of local control computer, servo
valve, hydraulic cylinder, displacement sensor and
499
fluctuating rotational speed, it is suitable to be the actor
in the displacement servo and low speed servo system.
And the features of the compressed air driven are light,
clean, and no pollution. But it has a very large
compress feature to realize the accurate displacement
control.
Three kinds of hydraulic system designs are
normally applied to the 6-DOF parallel robots system.
That is, asymmetrical hydraulic valve controls
asymmetrical cylinder, tee joint valve differentially
controls asymmetrical cylinder and symmetrical valve
controls asymmetrical cylinder. Because of the limited
work room, the construction of the motion system and
the requirement of economy, the last control method is
adopted in this system. The asymmetrical cylinder has
a single link cylinder. Its advantages are small room
occupation, simple structure, low cost of manufacture
and big output power.
force sensor. Single chip computer is applied as the
local control computer which can receive the hydraulic
cylinder displacement command from the central
control computer and control the accurate motion of the
cylinders, then return the displacement and force sensor
information about the cylinders.
3. Principle of the system
The interactive robot is the effective way to
complete dangerous or uncertain environment work
and to realize tele-operation. The so-called interactive
technology includes the interaction between operator
and robot or between robot and environment. The key
is that operator’s perception about the environment.
Only with effective perception can the right decision be
made. For the purpose to improve the operator’s
perception and the kinship of the system to the operator,
tele-presence conception is given. So tele-presence is
the main idea of interaction technology.
Tele-presence includes video, haptic, force and
motion tele-presence. Though video tele-presence
provides the operator with true displacement
information of the robot in the environment and
realizes the perfectly combination of human video and
robot video, and expends the robot’s capability, only
the force tele- presence can really reappear the force
characteristics and state of the remote slave robot in all
the tele- presence technologies. When the tele-operate
robot performs haptic task on the object, such as grab,
screw, insert, the environment kinetics seems especially
important. In all these tasks, 70% of information is
provided by force tele-presence.
The principle of the interactive 6-DOF tele-operate
system is based on bilateral servo control, the motion
Fig.3. Displacement servo control frame figure
3.2. Force servo control
This part is composed of the pull-press force sensor,
displacement sensor, A/D board, computer and force
feedback manipulator (Fig.4). The signals of the
Fig.4. Force tele-presence servo control frame figure
3.3. Bilateral servo control dynamic model
The interactive 6-DOF master-slave tele-operation
robot system is a bilateral transmission system of
displacement and force information. It is composed by
operator, master manipulator, communication, slave
manipulator and object. Its dynamic model is as
500
information and force information that can be
transmitted between the master robot and the slave
robot. And ideally, the operator and the slave robot are
equivalent. The force can be feedback to the master
robot when the slave works on the object. So the
operator can feel the same operation force.
3.1. Displacement servo control
Takes one cylinder’s displacement controlling for
example, see Fig.3. The computer obtains the displace-
ment state of the manipulator with force feedback
through wireless communication, at the same time the
displacement sensor sends the cylinder’s displacement
to the computer after A/D conversion. Control signal is
obtained after PID control algorithm based on these
two signals, and then it is input into the electro-
hydraulic subsystem so the cylinder displacement
control is realized.
cylinder’s force and the displacement signal are input
into the computer after A/D conversion. After
algorithm processing, the force feedback signal is sent
to the force feedback manipulator.
Master manipulator
f o − f m = mm 
xm + bm xm + km xm （1）
Here, xm is displacement of the master manipulator,
fo is the force of the operator acts on the master
manipulator, fm is the force brought by the force
feedback system on the master manipulator. mm, bm, km
are the mass, damping and stiffness coefficients of the mainly was the force tele-presence. When the object
master manipulator correspondingly. was soft, the result that the slave manipulator followed
Slave manipulator the motion and force of the master manipulator was
f s − f e = m s 
x s + b s x s + k s x s （2） shown in Fig.6. While the object was too hard to be
operated, that is the slave manipulator was completely
Here, xs is displacement of the slave manipulator, fe
limited, the results are shown in Fig. 7.
is the object’s reaction force on the slave manipulator,
From all the results, it can be seen that whether the
fs is the force brought by the force feedback system on
slave manipulator moves freely or limited, the slave
the slave manipulator. ms, bs, ks are the mass, damping
manipulator can follow the master manipulator’s
and elastic coefficient of the slave manipulator
motion and force accurately.
correspondingly.
Object
4000
f s = m e 
x s + b e x s + k e x s （3）
Displacement of manipulator

quantized valve
Displacement
Displacement of cylinder
Here, me, be, ke are the mass, damping and stiffness 3000
coefficients of the object. 2000
The operator operates the object through the master
manipulator, communication and slave manipulator. 1000
While the reaction force on the slave manipulator and
0
the environment information are fed back to the 0 2 4 6 8 10 t/s 12
operator through this way. During this process, bilateral
2500 Operation force
displacement and force control are realized. Ideally, the
quantized valve
Feedback force
speed of the slave manipulator is equal to that of the Force 2000
master and the force the operator feels is equal to the
reaction force on the slave manipulator when it works 1500
stably [5]. That is, 1000
fm = fe
（4） 0
f s = k c 1 ( x m − x s ) + k c 2 ( x m − x s ) + f o 0 2 4 6 8 10 t/s 12
Here, kc1, kc2 is the uncertain error gain of speed and Non load
displacement.
Fig.5. Motion and force following when the
slave manipulator moved freely
4. Experiment and the results
4000 Displacement of manipulator
This experimental system mainly tests the control of
quantized valve
Displacement

motion and force. Aiming on the master-slave force Displacement of cylinder

3000
tele-presence system above, a master-slave tele-
2000
operation experiment table of one-DOF has been setup.
One-DOF was used Instead of six-DOF for general use, 1000
because this paper is concerned with the force tele-
0
presence mainly [6~9]. 0 2 4 6 8 10 t/s 12
4.1. Free motion of the slave manipulator 2500 Operation force
quantized valve

2000 Feedback force

The slave manipulator doesn’t contact the object.
Force

Under this circumstance, the slave manipulator just 1500

follows the motion of the master manipulator. Here
mainly is the displacement control. The result is 1000
showed in Fig. 5. 0
0 2 4 6 8 10 t/s 12
4.2. Limited motion of the slave manipulator Soft load
That is when the slave manipulator contacted with
the object, there was not only the displacement servo Fig.6. Motion and force following when the
control but also the bilateral force servo control. Here object was soft

501
 References
quantized valve 4000 Displacement of manipulator
Displacement

Displacement of cylinder
3000 [1] Yokokohji Y, Yoshikawa T. Bilateral control of
master-slave manipulators for ideal kinesthetic coupling
2000
formulation and experiment [J]. IEEE Trans on Rob and Auto,
1000 1994, 10(5): 605~619.

0 [2] Niemeyer G, Slotime J J E. Towards force-reflecting

0 2 4 6 8 10 t/s 12 tele-operation over the Internet. [A]. In: IEEE Int Conf on
2500 Operation force Rob & Auto [C]. Leuven, Belgium, 1998. 1909~1915.
quantized valve

2000 Feedback force

[3] L. Deng, D. Zhao. Research on key technologies of
Force

1500 controller for tele-operation force reflecting tele-presence.

Journal of Engineering Design. 2005, 12(3): 159~162.
1000
[4] D. Sun, Y. Wang. Robot control technology. Beijing:
0 Mechanical Industry Press, 1997.
0 2 4 6 8 10 t/s 12
[5] Funaya K, Takanasi N. Predictive bilateral master-slave
Hard load
manipulation with statistical environment model [A]. In:
Fig.7. Motion and force following when the IEEE Int Conf on Rob & Auto [C]. Atlanta, USA,
object was too hard to be operated 1993.755~760.

[6] L. Deng, D. Zhao, T. Ni and H. Zhen, “Design of a

5. Conclusion
The construction and principle of the interactive
6-DOF tele-operation system was introduced in this
paper, which provided experiment and foundation for
the deep research of force tele-presence technology.
The experiment shows that this system can realize the
accurate displacement control and force perception.
There is a satisfactory interaction between the master
and slave manipulators. Based on the research result of
the isomorphic master-slave manipulator tele-operated
system, the isomerized master-slave tele-operated
system can be made further research.
Manual Controller of 6-DOF Force Feedback Based on
Stewart Platform,” Journal of Agriculture Machanism, vol.36,
no.7, pp.118~121, July 2005.
[7] M. Gong, “Research on construction telerobotic system
with telepresence” D. Changchun, College of Mechanical
Science and Engineering, Jilin University, 2003.
[8] S. Kudomi, H. Yamada and T. Muto, “Development of a
hydraulic parallel link type of force display,” Proc. 5th JHPS
Inter. Symp. on Fluid Power, pp. 471~476, 2002.

502
 2008 International Conference on Intelligent Computation Technology and Automation

Synchronization of Two Chaotic Fly-Ball Systems via Sinusoidal Feedback

Control

Meili Lin*, Mihua Ma, Jianping Cai

Department of Mathematics, Zhangzhou Normal University, Zhangzhou 363000, China
*
Corresponding author. Email address: lilylouis222@yahoo.com.cn

Abstract Consider a fly-ball governed without perturbation

A sinusoidal feedback control is used to synchronize two described by [18]
coupling chaotic fly-ball systems. Some sufficient
synchronization criteria in the form of a few algebraic x1 = x2 ,
inequalities are obtained by the Lyapunov direct method and
Gerschgorin disc theorem. The property that similar matrices
have the same eigenvalues is applied to get more flexible x2 = 0.25 x32 sin x1 cos x1 − sin x1 − 0.75 x2 , (1)
criteria. Numerical simulations are given to support our x3 = 5.13cos x1 − 1.942.
theoretical.
The nonlinear system given by Eq.(1) has a chaotic
1 Introduction attractor, as shown in Fig.1.

During the past decade, synchronization in chaotic

dynamic systems has attracted much attention of scientists
from various research fields for its advantages in practical
applications[1]. Hence, various synchronization techniques,
such as adaptive control [2,3], replacing variables control [4],
back-stepping design [5], linear control [6,7], active control
[8-12] and sinusoidal feedback control [13-15] have been
applied to synchronize chaotic systems successfully.
For the ease of application in real system, sinusoidal
signals as coupling controller [13,14] have turned out to be
one of the most effective methods to achieve the
synchronization of two non-autonomous chaotic systems. We
note that only numerical results of synchronization criteria
were given in Ref.[13,14]. In this paper the Lyapunov direct
method [16] and Gerschgorin disc theorem [17] are used to
derive theoretically some sufficient criteria for synchronizing
two identical fly-ball systems coupled by sinusoidal state
error feedback control. Moreover, more flexible criteria are
obtained by the property that similar matrices have the same
eigenvalues. Numerical simulations show that our theoretical
results are effective.

Fig.1 The strange attractor of the fly-ball with initial condition.

2 Synchronization criteria and numerical
example
A fly-ball governor consists of a pair of iron balls at the
ends of hinges connected to the engine's drive shaft. As the
shaft spins, the balls rotate ever faster, and the centrifugal
force throws weights outward, causing the whole system on
moving. As the shaft slows down, this motion engaging the
steam supply throttle causes it to cut off the steam with
increased speed and to open the valve.
In order to investigate the synchronization problem of the
fly-ball, we take Eq.(1) as drive system. Subjected to
sinusoidal state error feedback controls, the corresponding
slave system is introduced as follows,
y1 = y2 + k1 sin( x1 − y1 ),
y 2 = 0.25 y32 sin y1 cos y1 − sin y1 − 0.75 y2 + k 2 sin( x2 − y2 ), (2)
y 3 = 5.13 cos y1 − 1.942 + k3 sin( x3 − y3 ).
Defining an error variable

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DOI 10.1109/ICICTA.2008.78
 e = (e1 , e 2 , e3 ) = ( x1 − y1 , x 2 − y 2 , x3 − y 3 ) T , (3) ⎛ −k1u1 1 0 ⎞
one can obtain the error dynamical system ⎜ ⎟
=⎜ a −0.7 − k2u2 c ⎟, (8)
e1 = e2 − k1 sin( x1 − y1 ),
⎜ b − k3u3 ⎟⎠
1 ⎝ 0
e2 = −0.7e2 + ( x3 + y3 )sin(2 x1 )e3 − (sin x1 − sin y1 ) and then
8 (4)
1 2 H = S ( A − K (t ) + M (t )) + ( A − K (t ) + M (t )) T S
+ y3 (sin 2 x1 − sin 2 y1 ) − k2 sin( x2 − y2 ),
8 ⎛ − 2k1 s1u1 1+ a b ⎞
⎜ ⎟
e3 = 5.13(cos x1 − cos y1 ) − k3 sin( x3 − y3 ). = ⎜ 1+ a − 1 .4 − 2 k 2 s 2 u 2 c ⎟,
The vector representation of the time-varied error system ⎜ − 2k 3 s 3 u 3 ⎟⎠
⎝ b c
(4) is
where S = diag ( s1 , s 2 , s 3 ) is chosen for simplicity.
e = ( A − K (t ) + M (t ))e (5)
According to the Gerschgorin disc theorem, a sufficient
where
condition for systems (1) and (2) to be asymptotically stable
⎛0 1 0⎞ ⎛ 0 0 0⎞ is that the following inequalities hold,
⎜ ⎟ ⎜ ⎟
A = ⎜ 0 − 0.7 0 ⎟, M (t ) = ⎜ a 0 c ⎟, 2k1 s1u1 > 1 + a + b ,
⎜0 0 ⎟⎠ ⎜ b 0 0⎟
⎝ 0 ⎝ ⎠ 2k 2 s 2 u 2 > −1.4 + 1 + a + c , (9)
1 (sin 2 x1 − sin 2 y1 ) sin x1 − sin y1
a = y 32 − , 2k 3 s 3 u 3 > b + c .
8 x1 − y1 x1 − y1
If the state variables are limited in the area of D0 =
(cos x1 − cos y1 )
b = 5.13 , 3π 2 2
x1 − y1 { xi − y i ≤ }, i = 1,2,3 , we have 1 ≥ ui (t ) ≥ , i = 1,2,3.
4 3π
1 By inequalities (9), the following simple criteria can be got to
c= ( x 3 + y 3 ) sin( 2 x1 ),
8 guarantee the synchronization of the systems (1) and (2).
⎛ k1u1 0 0 ⎞ 3π
⎜ ⎟ k1 > ( 1 + a + b ),
K (t ) = ⎜ 0 k2u2 0 ⎟, 4 2 s1
⎜ 0
⎝ 0 k 3u 3 ⎟⎠ k2 >
3π
(−1.4 + 1 + a + c ), (10)
4 2s 2
sin( x i − y i )
ui = , i = 1,2,3. 3π
xi − y i k3 > ( b + c ).
The aim of synchronization is to select coupling 4 2s3
coefficients k1 , k 2 , k 3 to make lim e(t ) = 0, where From Fig.1, the bounds of the chaotic attractor are
t →∞ −2.5 < x1 < 2.5,−5 < x 2 < 5.5 and 0.2 < x 3 < 12 . If we
e(t ) = ( x1 − y1 ) 2 + ( x 2 − y 2 ) 2 + ( x 3 − y 3 ) 2 . Construct a select s1 = 1, s 2 = 1, s3 = 1 , we can get k1 = 72, k 2 = 65.5,
quadratic Lyapunov function V (e) = e Se , where S > 0. T k 3 = 13.7 to satisfy inequalities (10). These coupling
Throughout this paper, • denotes the Euclidean norm coefficients can lead the drive-slave chaos systems to
synchronization. The simulation result under the case is
and S > 0 means that S is a real symmetric positive illustrated in Fig.2.
definitive matrix.
Taking the time derivative of V along the error system (5),
we have
V (e) = e T Se + e T Se
= e T ( S ( A − K (t ) + M (t )) + ( A − K (t ) + M (t )) T S )e. (6)
V (e) < 0, if the following inequality holds,
H = S ( A − K (t ) + M (t )) + ( A − K (t ) + M (t )) T S < 0. (7)
According to Lyapunov stability theory, inequality (7)
represents a sufficient condition for asymptotic stability of
error system (5) at the origin. Fig.2 Chaos synchronization in the case of k 1 = 72, k 2 = 65.5,
Simply calculating by system (5), we can obtain
k 3 = 13.7 , with initial condition ( x1 , x 2 , x 3 ) = (1,1,1), ( y1 , y 2 ,
A − K (t ) + M (t )
y3 ) = ( −1, −1, −1) .

504
 Obviously, proper choice of positive constants s1 , s 2 , s 3 It is nature that a sharp criterion is expected to provide
can lower the minimal upper bound of k1 , k 2 or k 3 . For more choices of coupling coefficients. By the property that
similar matrices have the same eigenvalues, we apply the
example, in case of s1 = 3, s 2 = 2, s 3 = 1, k1 = 24, k 2 = 33,
Gerschgorin disc theorem to matrix P −1 HP with P = diag
k 3 = 13.6 are then gained to verify the inequalities(10). Fig.3
( p1 , p 2 , p 3 ), p i > 0, i = 1,2,3. More flexible synchronization
shows that the error responses approach to origin.
on criteria can be obtained as follows,
1
2k1 s1u1 > ( p2 1 + a + p3 b ),
p1
(12)
1
2k2 s2 u2 > −1.4 + ( p1 1 + a + p3 c ),
p2
1
2k3 s3u3 >
( p1 b + p2 c ).
p3
Similarly, the state variables are further restricted in the
3π
area of D0 = { x i − y i ≤ }, i = 1,2,3. The following
4
Fig.3 Chaos synchronization in the case of k1 = 24, k 2 = 35, k3 = , synchronization criteria are gained based on inequalities (12).
3π
13.7 , with initial condition ( x1 , x2 , x3 ) = (1,1,1), ( y1 , y 2 , y3 ) k1 > ( p 2 1 + a + p3 b ),
= (−1,−1,−1) . 4 2 s1 p1
3π 1
k2 > (−1.4 + ( p1 1 + a + p 3 c )), (13)
Especially, if k 2 =0, that is, the controllers are added 4 2s2 p2
respectively in the first and third state variables, the 3π
k3 > ( p1 b + p 2 c ).
inequality 1 + a + c < 1.4 should be held. If the coupling 4 2 s 3 p3
coefficients k1 , k 3 are selected such that The minimal upper bound of k1 , k 2 or k 3 can be reduced by
3π selecting appropriate coefficient of p1 , p2 and p 3 . For
k1 > (1.4 − c + b ),
4 2 instance, p1 = 1.5, p 2 = 1, p 3 = 0.5, s1 = 1, s 2 = 1, s 3 = 1
3π and k1 = 25.1, k 2 = 50.2, k 3 = 35.7 are chosen to satisfy the
k3 > ( b + c ). (11)
4 2 criterion (13). From Fig.5, we can see that synchronization
then the systems(1) and (2) achieve synchronization. error converge to zero quickly.
For example, s1 = 1, s 2 = 1, s 3 = 1 and k1 = 6, k 2 = 0,
k 3 = 13.7 are selected to satisfy inequalities (11). From Fig.4,
it can be seen that synchronization error with the initial
conditions ( x1 , x2 , x3 ) = (1,1,1) , ( y1 , y2 , y3 ) = (−1, −1, −1)
converges to zero finally.

Fig.5 Chaos synchronization in the case of k = 25.1, k = 50.2, k = 35.7 ,

1 2 3
with initial condition ( x1 , x2 , x3 ) = (1, 1, 1), ( y1 , y 2 , y3 ) = ( −1, −1, −1)

Remark. The initial conditions should be selected in the

area of D . Otherwise the drive-slave systems may not
Fig.4 Chaos synchronization in the case of k1 = 6, k 2 = 0, k 3 = achieve synchronization. A counter example is given. Fig.6.
13.7, with initial condition ( x1 , x 2 , x 3 ) = (1,1,1), ( y1 , y 2 , y 3 ) exhibits that the synchronization error does not approach to
zero even if elapsed time is long enough, where the coupling
= (−1,−1,−1) .
coefficients are k1 = 72, k 2 = 65.5, k 3 = 13.7 the same in

505
 Fig.2, and the initial conditions ( x1 , x2 , x3 ) = (3, −1, −2),
( y1 , y2 , y3 ) = (−1, −2,5) are outside of the region D .
Fig.6 The failure of synchronization in
k1 = 72, k 2 = 65.5, k3 = 13.7 with initial condition ( x1 , x2 , x3 ) =
(3, −1, −2), ( y1 , y 2 , y3 ) = ( −1, −2, 5) .
3 Conclusions
Chaos synchronization of the drive-slave non-autonomous
fly-ball systems coupled by sinusoidal state error feedback
control is studied in this paper. We have got some sufficient
synchronization criteria in the form of algebraic inequalities
by using the Lyapunov direct method and Gerschgorin disc
theorem. Moreover, the property that similar matrices have
the same eigenvalues is applied to get more flexible criteria.
Numerical simulations are given to verify the effectiveness
and convenience of this method.
Acknowledge
This work is supported by the Foundation for supporting
Universities in Fujian Province under grant No 2007F5099.
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[7] Tao CH, Xiong HX, Hu F. Two novel synchronization criterions
for a unified chaos system, Chaos, Solitons and Fractals, 2006,
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[8] Chen HK. Synchronization of two different chaotic systems: a
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[9] Liu YZ, Jiang CS, Lin CS, Jiang YM. Chaos synchronization
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Physics, 2007, 1009-1963 16(03) 0660-06.
[10] Idowu BA, Vincent UE, Njah AN. Synchronization of chaos in
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Fractals, 2004, 21:101-111.
506
 2008 International Conference on Intelligent Computation Technology and Automation

The Design of the BRT Signal Priority Control at the Intersection

Luo Yong
The college of traffic and Auto. Xihua University. Chengdu. China, zip code: 610039,E-mail:
luoyonggorden@sina.com.cn
Yao Yun
The college of traffic and Auto. Xihua University. Chengdu. China, zip code: 610039
Gao Hongli
The college of traffic and Auto. Xihua University. Chengdu. China, zip code: 610039

national condition. The research was since 1960s, to

Abstract
Bus rapid transit maybe suits for Chinese urban
public transportation system because of its’ low cost
and high benefit. This paper discusses character of
BRT (BRT--Bus Rapid Transit) and control schematic
design at the signalized intersection. It analyses
solution about phase conflict and designs time interval
chart. In addition, the study attempts to establish
optimum design of net control at the signalized road.
1． Introduction
There is a large population in China; recent years
with the industry developed and the urbanization
process speeding up urban population are more than
400millions. How to solve so many people’s traffic and
travel problems is a big question faced by Chinese
government. China is a country that not only has a
large population, but also in developing. Even if the
whole reached a well-off level, the per capita GDP are
only 900 dollars, the economy still not well off and
cannot afford a lot of money to construct a large
number and sizeable traffic projects. So we must act
according to our capabilities and seeking truth from
facts to choose the traffic mode that is fit for Chinese
test a modern traffic which has advantages like large
rail traffic capacity, high speed, conventional flexible
and especially low cost. Curitiba a Brazilian city that
has more than 2 millions population sets an example
for us. It is a model city in urban public traffic
recognized by international. Bus rapid transit system
advocated by it was recognized as “the best and the
most practical urban traffic system in the word” and
“model to carry out urban sustainable development” by
United Nations and World Bank experts. Obviously,
from lots of data both at home and abroad: that as
subway and light rail, the rail rapid transit are not only
cost high, and generally need government to give some
financial subsidies every year because after
accomplished there are even no profit. Except some
rich countries like Unit State, Japan and some
European countries a lot of countries’ finances cannot
afford this especially the developing countries. BRT
(BRT--Bus Rapid Transit) system is a mass traffic (0.6
~ 60,000 passengers / hour, one-way), fast (Operating
speed of 20 to 35 km / h) and economy (the cost nearly
light rail 1/5~1/10 and only subway 1/20) bus transit
system, which is vigorous expensed by the Word Bank
in all over the world. The system has been get a great
success and developing rapidly in the world [1].
Overall, BRT mixed the advantages of both rail

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DOI 10.1109/ICICTA.2008.347
transit system and normal transit system, and connected
with the advance technology fully embodies the
concept of bus priority. It is a new efficient traffic
system which has such characters low cost, short
construction periods, speed, punctuality, and consistent
with sustainable development demands, and worth to
promote in China especially in some big city as Beijing,
[2]
Shanghai and Guangzhou etc . of conflict phase is 5 seconds, 4 seconds Green Red
2. Design of BRT priority control signal
Design of signal control system will support this
priority algorithm, under the condition of ensure the
traffic flows which in other direction get minimal path
circuit send the prior pass request to the signal system
machine. After responded the signal machine will take
arrange according to the scene release condition, the
remainder for drivers to enter the entrance displayed on
the countdown screen in bus lane. For security, 10
seconds which needed by buses to enter the entrance is
mainly in order to ensure the minimum safety pass time
conversions, as well as all-red clearance time one
second. During the construction, the enter time is
general recognized more than 10 seconds this can
grantee the phase of priority opened 1 or 2 seconds
earlier and let the drivers relieved pass.
Countdown

right and prepare to open the green light to across for screen
150 m
bus as soon as possible. At the same time it must be
meet the requirements of the shortest time and interval
to open the green light for conflict traffic flow to
ensure that the traffic flow smooth and security. If the
Normal
bus lane speed of 60km/h in average, the average speed
lane
of bus is 50km/h(14m/sec) when it entered the junction.
When the Cross-signal control we chose a relatively
simple single-point induction control in recently and
chose network coordination optimal control in
long-term. The former can come out the induction Bus only
Sig
control in the intersection signal machine, the
nal
technology and equipments are relativity simple but it
mac
may bring disturbs to traffic flows in other conflicted
hine
direction to a certain extent, when there is a
bidirectional BRT requirement, in some Individual
circumstances the bus which has BRT request will have
10 seconds following the red light time [3,4]. The latter
must make use of signals and exit induction circuit 10seconds distends
Up Down
network to calculate and correspond in the traffic
request reques
control center.
circuit t
2.1 The induction layout of single-point
induction control junction
According to the figure 1, buses trigger the Figure 1.Induction control of the cross intersection
request circuit when they entered the place where 10
2.2 Conflict matrix of phase in BRT
seconds a way from the entrance stop line then the
intersection

508
 Generally BRT at junctions reflect two aspects first request requested through or it will be forbidden
confliction with different phase: space conflict and time the phase will no longer support the second request in
conflict. The signal machine makes choice according this cycle and give it give priority in next phase. If the
with safety, efficiency and the principle of priority. request is in a time of Green Red conversions of p1
Now it is assumed that the phase is straight from east to phase such as green flashing or yellow light then p1
west, t is the time that BRT through the junction, phase will prolong automatically, but if it in other
residuary green time for current phase is Ґ and the BRT phase the phase of priority will be inserted at the
junction conflict matrix as follows. (Table 1) beginning of the next phase. Conflicts never exist
Table 1.table of BRT junction conflict matrix between turn right phase and phase of priority and are
generally in other phases so it is just need to arrange
Secon these typical phases. Pedestrian phase always with the
First
same direction to the straight or turn right directions,
time Ґ 0<Ґ d
reques for example although South-North Pedestrian phase
Space ≥t+10 <t+10 reques conflict with phase of priority but it accord with
t
straight from south to north, so only to discuss the latter.
t
There is only one kind of conflict between two-phase
√ junction and the phase of priority, and the handle way
P1 √ √ √
is similar with the four-phase junction. If there are
（delay）
more than four phases in junction, also analogize
P2 × × √ accord with the form.

P3 × × √ 2.3 Design of junction’s time interval diagram

P4 × × √
Note ： √ =Means allow ×=Means conflict
=Means Case by case ; P1（straight from east to west） ;
P2（turn left from east and west）; P3（straight from south to
north）; P4（turn left from south and north）
The first and second request means two different
prior requisitions requested by the uplink and downlink
buses that arrived at the same junction at the same
time.
It is clear from the table, P2, P3 and P4 phase
have space conflict with the phase of priority, though
there is no space conflict between p1 phase and phase
of priority, but there may exist time conflict, when its
remainder is not enough for the first or the second
request p1 phase will prolong automatically. Conflict
phase absolutely support first request, but the second
request should be treated separately: the second request
will be allowed if it happened during the time when the
(1) Current phase is East-West straight phase (P1
phase, space does not conflict).
(2) Current phase is a phase of conflict such as
turn lift from east and west(P2、P3、P4 phase)
The follow design took P2 phase as an example.
According to fig-3, the priority of phase of
conflict can be separated into five cases: first, jump
back to the original phase as soon as have priority;
second, jump back to the original phase after have
twice priority; third, turn to next phase if remainder is
no more than 10 seconds when requested; the fourth is
if the second priority request requested after the first
request has through, there is only one response and
then the phase of second priority will be inserted after
Natural transition; fifth if it is requested during the
green interval the phase of priority will be inserted
after Natural transition.

509
 is possible to interrupt this phase and turn into the first
phase in advance.
East-W
East- BRT phase
est
West
straigh
straigh Time
Time interval
t p1
t p1 diagram before
diagram
request
request
First request
(A) Time interval diagram after first request
Two BRT phase

Second request
(B) Time interval diagram after second request
Reque
The most impossible time
st
interval diagram after
mome
request
nt

(C) After priority the remainder is leas than 10 seconds

and turn into next phase

Figure 2.Traffic signals at intersection in different

time
According to figure 3, the priority of phase of
conflict can be separated into five cases: first, jump Second request
back to the original phase as soon as have priority; (D) Time point of second request is behind first request
second, jump back to the original phase after have time area，second BRT
twice priority; third, turn to next phase if remainder is
no more than 10 seconds when requested; the fourth is
if the second priority request requested after the first
request has through, there is only one response and
then the phase of second priority will be inserted after Prolonged BRT phase
Natural transition; fifth if it is requested during the (E) Requested in the period of green interval insert BRT
green interval the phase of priority will be inserted phase before next phase be
after Natural transition. Figure 3.Time interval diagram of BRT prior
If there is BRT request in the fourth phase, access request
according with the above logic as the third situation it

510
3. Network coordination and optimal cost is 1/4 of the light rail and its transport speed is
control close to light rail faster than ordinary bus it has
advantages of constructing flexible operating quack
and so on. So it should be considered as an important
Set up two earth inductive coil at advanced
part of the main public traffic of city. The BRT signal
entrance of the rapid lane (general in the exit near to
control scheme in this paper is especially against the
e-card), connect to the signals server in center control.
typical signal control cross. This scheme can resolve
As long as the BRT vehicles entered the lane,
the problem of vehicles in ordinary road can achieve
according to 50km/h speed calculated the time when
the prior control rapid public transit and even point out
the bus arrived at the next junction. According to the
the plan to resolve phase conflict and the design of time
request time of the signal phase, calculate time
interval diagram. And have a discussion about the BRT
difference between two buses when they reached the
network optimization control on the section of the road
mid-point of the priority phase. If time difference is
that is based on single point signal control.
more than one cycle adjust the cycle, else change the
phase time and let the BRT vehicles through the phase
5.References
of priority.
If the request requested at the 60 second point of
[1] Juwu Bao, Analysis and application of Numerical
3rd phase, and there are 1200m from the next junction.
simulation Beijing: Academy Press 1993
The BRT vehicles are at the speed of 50km/h and will
[2] Guangleng Xiong Digital simulation algorithm and
need 90 seconds to get there, coordinate and distribute
software Beijing: China astronautic press 1991
in accordance with the normal operation of signals at
[3] Luo Yong, Report of urban bus station’s optimization and
the A point where the end of the second phase and there
simulation 2004
are 20 seconds time difference with the phase of
[4] Luo Yong etc. Comprehensive assessment study on
priority. Distribute the 22 seconds (two seconds
service level of the urban public transport system .AADT
redundancy) with the ratio of 2:3:3, the 3rd phase
Beijing：China Communications Press2004.5
extent 6 seconds, 4th phase extends 8 seconds and the
1st extent 8seconds. After such adjustment the BRT
vehicles is through the first phase.

Figure 4.Network coordinates control

4. Conclusions

The BRT adapts long-distance and large capacity;

it can meet the requirement of fast and curate. And its
cost only 1/5~20 of the rail traffic and the operating

511
 2008 International Conference on Intelligent Computation Technology and Automation

The Inclinometer Research for Attitude Control

Qianyun Li Guowei Gao Xiuqin Wu Zhenfeng Li

Information Acquisition & Detection Key Laboratory,
Beijing Information Science &Technology UniversityˈBeijing 100101, China
E-mail˖lyun317@163.com

Abstract automatic measurement and calibration. The greatest

In the mobile robot attitude control technology, the
angle is an important property of attitude control, the
study of high precision inclinometer is very essential. A
high precision inclinometer which can automatically
eliminate the zero offset is presented in this paper. The
theory is based on the ancient method that the level bar
can find horizon by rotating 180嘙. It is designed by
step motor and MCU control technology. The
theoretical basis, design structure and experimental
results of the inclinometer are described. The
experimental results show that the method can
significantly improve the accuracy of the instrument.
1. Introduction
The attitude of the objects can be acquired by angle
measurement. As the development of science and
technology, the application of robot has been expanded.
It gradually develops from automobiles, machinery
manufacturing to air navigation, ocean development,
home economics, medical entertainment, and other
non-manufacturing direction. In order to keep the
robots maintain a stable attitude, get accurate tracking
and precise position when moving, attitude control
technology is quite necessary. The high precision
inclinometer install on the robot, and MCU compare
the anticipative angle to the practice angle, then
complete the robot attitude control. Attitude control
system is composed of three parts such as the attitude
measurement sensor, control unit, and implementing
unit. The main research project is the accuracy of the
attitude measurement sensor in attitude control
technology. The whole device involves zero error and
affect its accuracy because of the time and temperature
drift are inevitably exist in the measurement circuit and
signal amplifier, thus eliminating the zero error
affection on the accuracy in order to ensure the
accuracy of measurement is necessary. In this paper,
the inclinometer use MCU as a control core, can
advantage of the inclinometer is automatic calibration.
High precision, easy-to-use, and a good practical value
are also the characteristics of this instrument.
2. Theoretical basis
The automatic calibration is based on the ancient
method that the level bar can find horizon by rotating
180嘙. The theory can be illustrated by the bubble level
instrument. Put the level instrument on the
general-level platform, read the excursion grids
number of the instrument, then rotate the instrument to
180嘙 at the original place, read the grids number again.
If the numbers of the excursion grids and the direction
unchanged, the instrument works normally, else there
is a zero offset, as shown in Figure 1.
Figure 1 Inspect and revise zero offset by
rotating 180º
Set the mid-point normal of the level bar is oo’, oo’
is superposition of the 0嘙 calibration line. Put the level
bar on the general level and adjustable platform, read
out the value of the angle  (normal level bar  is equal
to zero), and adjust the platform to angle  compare to
the horizon, according to the location of the bubble on
the level bar read out the value of the angle is +;
rotate the instrument 180º at the original place, read
out the value of the angle is -. The offset number can
be achieved by the traditional offset correction method
that compute the sum of the two values and then take
average, viz. calculate ((+)+(-))/2, and then adjust
the knob let the bubble comeback to zero. The
developed automatic calibration inclinometer is based

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DOI 10.1109/ICICTA.2008.111
on this theory, using a step motor to complete the offset, so the purpose of eliminating zero offset is
rotation and a MCU to compute the value, then store achieved and automatic calibration is realized.
the zero offset , in the next measurement compensate
of the measuring results, so as to eliminate the impact
of zero drift, improve the measurement accuracy.

3. The overall design of the inclinometer

The design structure diagram of the inclinometer is
shown in Figure 2.

Figure 3 Schematic drawing of zero adjustment

At the time of the automatic calibration, the MCU

Figure 2 The design structure diagram of the
inclinometer
The structure of the inclinometer is divided into
four parts such as signal acquisition, A/D conversion,
compute unit and automatic calibration. This design
use VTI’s product SCA61T acceleration tilt sensor at
signal acquisition part. Because the SCA61T is
sensitivity to incline (viz. the Earth's gravity), and it
measures an offshoot of the Earth's gravity in the
metrical direction, the angle’s sine-wave output value
is,
drives the step motor positive rotate 180嘙. The tilt
sensor sent the two signal collected at the 180 嘙
position and 0 嘙  position respectively to A/D
conversion part, via A/D conversion and digital filter
then sent the data into the MCU for average computing,
store the average value in the EEPROM (this number
would not be to rewrite until next calibration), when
completion of these processes, the MCU drive the step
motor again to reverse rotate 180嘙 and comeback to
the initial position.
The flow chart of the whole system is shown in
Figure 4.

Dout [counts] sin(D ) sens  Dout 0 [counts] (1)

Where Dout[counts] is the digital output of the sensor

via the A/D conversion, sin() is the corresponding
angle output, sens is the sensitivity of the sensor,
Dout<0[counts] is the digital output value at 0嘙. From
(1), if the inclinometer has no zero offset,
Dout[counts]=Dout<0[counts] at 0嘙, else, position A and
position B in Figure 3 will appear two different output
value DoutA[counts] and DoutB[counts]. According to
the theory of level bar find horizon, calculate the
((DoutA[counts]+DoutB[counts])/2)=D[count] and
D[count] is the current zero offset of the inclinometer,
if all the output in the next measurement compensate
with this offset value, then the results will be the same
as the direct measurement value when there is no zero
Figure 4 The flow chart of the whole system

513
 At the time of measurement, the tilt sensor output Table 1
the corresponding analog signal, after A/D conversion,
digital filter then sent the data into MCU, read out the temperature
-40 -20 0 27 60
value of zero offset from the EEPROM, compensate to ˄ć˅
the current measurement value, then transform it into before
0.186 0.078 0.025 0.006 -0.103
angle value. calibration

after
4. Step motor selection calibration
0.016 0.010 0.007 0.005 -0.012

This design install the tilt sensor on the rotating

platform, drive by a mechanical device rotating 180嘙 From the measurement results at different
then complete the automatic calibration process, temperatures, we can see the impact of temperature to
therefore, it is very important in the choice of zero offset is large, at the time of +60ć and -40ć,
mechanical device and precise rotation. We select the error is about 0.19嘙. However, the error can be
MCU drive step motor to realize the design. The main reduced to 0.015嘙 after calibration, just to say the
reason of select step motor is that the step motor can precision can be significantly improved. The zero
quick start-up and shut down, move accurately, receive offset comparison before and after calibration is shown
digital signal directly, simultaneity, the step motor are in Figure 5.
high precision, small inertia and no step distance
accumulative error when no less step, especially suit to
apply in the positioning system with digital control. after calibration

Practical angle/DŽ
The system designed with the 42BYG two-phase step before calibration

motor and MEGA16 MCU. The voltage, current, and
step distance angle of the step motor are 12V, 0.4A and 
1.8嘙. Take the MCU MEGA16 control L297+L298 
link structure as the drive circuits of step motor, with 
the PC ports of MEGA16 connect to several major     
ports of L297 control the move mode of the step motor. T ć
L297 is a step motor controller IC, it applies to control
the bipolar two-phase step motor or the unipolar Figure 5 Zero offset comparison before and after
four-phase step motor. L298 is double H-bridge driver, calibration
can be used to drive the step motor which voltage is
5.2. Vibration experiments
46V, each of the phase current is below 2.5A.
Put the inclinometer on the vibration test platform
5. Experimental results and discussions and then finished the vibration experiments. The
vibration frequency was respectively set to 5Hz, 20Hz,
The inclinometer can eliminate the impact of the and 100Hz, the vibration time was set to 2 minutes, the
zero offset which can be verified by temperature vibration direction was Z-axis. The results before and
experiments, the stability of inclinometer can be after vibration measurements are shown in Table 2.
verified by vibration experiments and continuous work
experiments. Table 2
angle
5.1. Temperature experiments -14 -6 0 6 14
˄º˅
Temperature experiments were finished respectively no
with the automatic calibration inclinometer. Recorded vabr- -13.997 -5.997 0.003 6.002 14.003
the 0嘙 measuring results before and after calibration ation
when the temperatures are -40ć, -20ć, 0ć, 27ć, 5HZ -13.996 -5.995 0.005 6.003 14.004
and 60ć. The experimental data are recorded in Table
1. 20HZ -13.995 -5.993 0.006 6.005 14.008

100HZ -13.997 -5.996 0.007 6.009 14.008

514
 From the measurement data, we can see the impact method is feasible. The accuracy of the inclinometer
of the vibration to the inclinometer is relatively small. can be significantly improved. The accuracy reaches to
The data indicate the anti-vibration characteristic of the 0.02 嘙 in the range of ±15 嘙 and the temperature
inclinometer is good and it is satisfied with the design between -40ć to +60ć, simultaneity the inclinometer
requirements. has good anti-vibration characteristic and stability. The
5.3. Continuous work experiments high precision inclinometer install on the robot, the
accuracy of the robot attitude control can be
Powered the inclinometer 12 hours, and recorded guaranteed
the angle value every four hours. The data are recorded
in Table 3. Acknowledgements
Table 3 The authors would like to thank the financial
angle support by National Natural Science Foundation of
-14 -6 0 6 14
˄º˅ China (No. 60672022).
first -13.996 -5.996 0.002 6.003 14.005
References
second -13.995 -5.996 0.003 6.004 14.005
[1] Lizhi Wang, Xi Zhang, Principle and Adjustment of the
Bubble Level, Journal of Yunnan Normal University, 1996,
third -13.995 -5.996 0.003 6.004 14.005 43-44.
[2] K. Yamada and T. Kuriyama, Sensors and Actuators A,
The experimental data indicate that the 43, pp. 120-127, (1994)
inclinometer has good stability. [3] Lanxiang Liu, Qiusheng Zhang, The applications and
development of examples about ATmega128 microcontroller,
6. Conclusion Beijing Machinery Industry Publisher, 2006.
[4] Baoting Liu, Shukang Cheng, Step motor and the drive
The core of the paper is MCU ATMEGA16. The control system, Harbin Industry University Publisher, 1997.
MCU controlled the step motor rotating 180 嘙
[5] Xue Pan, Guowei Gao, Chao Wang, Yu Zhao, Jun Zhang,
accurately, and completed the process of automatic Electronic gradienter design and realization of dispelling zero
calibration. The temperature experiments indicate the excursion automatically, Transducer and MicroSystem
elimination of the zero drift automatic calibration technology,2008,79-81.

515
 2008 International Conference on Intelligent Computation Technology and Automation

The Output Feedback Variable Structure Control for Discrete-time Systems

with Uncertainties and Time Delay

Minxiu Yan
School of Information Science and Engineering, Northeastern University, Shenyang, China
Information University, Shenyang Institute of Chemical Technology, Shenyang, China
cocoymx@sohu.com
Yuanwei Jing
School of Information Science and Engineering, Northeastern University, Shenyang, China
Youguo He
Faculty of Information Engineering, Shenyang University, Shenyang, China

Abstract mode is not only governed by the switching surface but

In this paper, we propose an output feedback
variable structure control for discrete-time systems
with uncertainties and time-delay. The output feedback
control doesn’t need full observability. An
asymptotically stable sliding surface is designed by
means of linear matrix inequality (LMI). The sliding
surface can compensate for the effect of mismatched
parameter uncertainties in system state. A robust
sliding mode controller is designed to ensure the
existence of a sliding mode and to overcome the effect
of the time delay and the uncertainties of the system.
For a class slowly varying system, the proposed
controller regards the influence of parameter
uncertainties as an equivalent disturbance and
generates an on-line estimation to cancel the
uncertainties by the mechanism of time delay. The
controller is designed by using discrete approach law.
The simulation results are offered to illustrate the
effectiveness of the proposed approach.
1. Introduction
The variable structure control (VSC) with sliding
mode is considered to be an effective technique for the
control of the systems with matched uncertainties since
the variable structure with sliding mode has the
intrinsic nature of robustness [1-4]. That is, the system
with variable structure control is insensitive to the
matched internal parameter variations and external
disturbances when the system reaches the sliding
mode. However, if the matching condition is not
satisfied or the system suffers from mismatched
uncertainties, then the system behavior in the sliding
also determined by the unmatched uncertainties.
Besides, there have been two obstacles in the
process of control design when variable structure has
been used in practical systems. The first one is states
are unavailable. In many practical systems, the state
variables are not accessible for direct measurement or
the number of measuring devices is limited. Thus, the
design of asymptotic observers and dynamic
compensators are very important and has been
established [5-7]. However, the output feedback
variable structure control (OFVSC) is worth
investigating [8].
In [9], a direct output feedback is proposed by
choosing a matrix such that the system satisfies the
reaching condition. Paper [10] proposed a static output
feedback method. However, two major limitations of
the paper [10] are difficult to achieve.
Another obstacle of VSC is how to design the
control in discrete-time systems. In the last few
decades, the variable structure control theory of
discrete systems has been established and further study
has been carried on. Many important results have been
achieved. In 1980, Dote [11] proposed the concept of
“quasi sliding mode” for discrete-time systems, but he
didn’t give strict math’s model. In [12], characters and
conditions of the VSC in discrete-time systems were
described and the theory of motion was revealed. At
the same time, the method of discrete-time
approximate law was given. However, there are few
literatures about output feedback variable structure
control for discrete-time systems. In [13], the output
feedback variable structure control was discussed and
the sliding mode was designed. But in the work the
nominal systems were studied while uncertainties and

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DOI 10.1109/ICICTA.2008.218
time-delays were not considered. In practical systems, satisfies det(b2 ) ≠ 0 , so there exists a linear non-
uncertainties and time-delays often exist. This
singular transformation
motivated us to study the output feedback variable
structure control for a class of uncertain time-delay ⎡I − B1 B2 −1 ⎤
z = Mx = ⎢ n − m ⎥x, (2)
system. ⎣ 0 B2 −1 ⎦
In this note, the output feedback variable structure it transforms the system dynamics (1) to its regular
control problem of uncertain time-delay systems is
form
considered. Mismatched uncertainties are introduced
into the discrete-time time-delay systems. The sliding z (k + 1) = ( A + ΔA) z (k ) + ( A + ΔAd ) z (k − τ )
surface is chosen as a function depending on the + B( I + ΔB )u (k ), (3)
output. A sufficient condition in terms of linear matrix
y (k ) = Cz (k ),
inequalities is derived to guarantee the asymptotic
stability of the closed-loop system. For a class slowly where
varying system, the proposed controller regards the ⎡ z (k ) ⎤ ⎡A A12 ⎤
z (k ) = ⎢ 1 ⎥ , A = M AM −1 = ⎢ 11 ⎥,
influence of parameter uncertainties as an equivalent ⎣ 2 ⎦
z ( k ) ⎣ 21
A A22 ⎦
disturbance and generates an on-line estimation to
⎡A Ad 12 ⎤ ⎡0⎤
cancel the uncertainties by the mechanism of time Ad = M Ad M −1 = ⎢ d 11 ⎥ ,B = M B = ⎢ ⎥,
delay. The controller is designed by using discrete ⎣ Ad 21 Ad 22 ⎦ ⎣ Im ⎦
approach law. The simulation results are offered to ⎡ ΔA ΔA12 ⎤
illustrate the effectiveness of the proposed approach. ΔA = M Δ AM −1 = ⎢ 11 ⎥,
The remainders of this paper are organized as ⎣ ΔA21 ΔA22 ⎦
follows. Section 2 gives a discrete-time system model ⎡ ΔA ΔAd 12 ⎤
with uncertainties and time-delay. In section 3, we ΔAd = M Δ Ad M −1 = ⎢ d 11 ⎥ , C = CM .
−1

⎣ ΔAd 21 ΔAd 22 ⎦
present the design of the sliding mode control
That is
algorithm. Matlab simulation results are presented in
z1 ( k + 1) = ( A11 + ΔA11 ) z1 ( k ) + ( A12 + ΔA12 ) z2 ( k )
section 4. Finally, we conclude our work in section 5.
+ ( Ad 11 + ΔAd 11 ) z1 (k − τ ) (4)
2. Problem formulation and preliminaries + ( Ad 12 + ΔAd 12 ) z2 ( k − τ ),
z2 (k + 1) = ( A21 + ΔA21 ) z1 (k ) + ( A22 + ΔA22 ) z2 (k )
Consider the following unmatched time-delay
+ ( Ad 21 + ΔAd 21 ) z1 (k − τ )
systems: (5)
x(k +1) = ( A +ΔA)x(k) + ( Ad +ΔAd )x(k −τ ) + ( Ad 22 + ΔAd 22 ) z2 (k − τ )

+ (B +ΔB)u(k) , (1) + I ( I + ΔB )u (k ).

m

y(k) = Cx(k) ,
where x(k ) ∈ R n is the state vector, u (k ) ∈ R m is the
control input, y (k ) ∈ R p is the output. The term A ,
B and C are some constant matrices of appropriate
dimensions, Δ A , ΔAd and Δ B are the parameter
uncertainties. τ > 0 is a constant.
We assume the following to be valid:
Assumption 1: The pair ( A, B ) is controllable; the
pair ( A, C ) is observable, B and C have full rank.
Assumption 2: p ≥ m and rank (C B ) = m .
Assumption 3: Δ A is unmatched uncertainty and
Δ B has the structure satisfy the following form
Δ B = B × ΔB .
For analyzing the system (1), we will transform it to
its regular form. We suppose B = [b1 b2 ]T
3. Design of discrete-time variable
structure control algorithm
3.1. Design sliding surface using LMI
Traditional design methods of sliding surface
include pole placement method and LQR method etc.
These methods design sliding surface based on
nominal system, which do not possess ideal robustness
when system includes unmatched uncertainties. Some
literatures have been developed to deal with the
problem of designing stable sliding surface for
continuous-time systems with unmatched uncertainties.
But almost all of previous works discuss continuous-
time systems. In this section we consider the design of
discrete-time sliding mode. For a class of linear
systems with unmatched uncertainties a discrete-time
sliding mode is designed and the sliding mode

517
parameters are solved by means of LMI technique in The main result on the asymptotic stability of the
order to improve system robustness. sliding mode dynamics (10) is summarized in the
The sliding surface is defined as following following theorem.
according to output feedback VSC. Theorem1: If there exists a symmetric and positive
s (k ) = Fy (k ) = FCz (k ) = 0 (6) definite matrix P , Q , some matrixW and some scalar
When Assumption 1 and Assumption 2 are satisfied λ > 0 such that the following LMI (13) is satisfied,
the sliding surface can be changed into the structure as then the sliding mode dynamics (10) is asymptotically
following according to theorems in [8]: stable
s (k ) = FC[ z1 (k ) z2 (k )] = [ FC1 ]z1 ( k ) + [ FC2 ]z2 ( k ) (7) ⎡ H−X * * * ⎤
⎢ 0 −H * * ⎥⎥ (13)
⎢
Suppose rank[ FC2 ] = m, x2 (k ) ∈ R m .In sliding ⎢A X + A W
< 0.
Ad 11 X + Ad 12W X * ⎥
⎢ 11 12
⎥
mode s (k ) = FCz (k ) = 0 . ⎣⎢ E1 X + E2W E3 X + E4W 0 −λ I ⎦⎥
It is easy to find the following equality where H = P −1QP −1 ， X = P −1 ， W = − FC1 X ，
z2 (k ) = [ FC2 ]−1 ( FC1 ) z1 (k ) (8) X = − X + λ DDT ， and ∗ denotes the transposed
Substituting (8) into (4) yields: elements in the symmetric positions.
z1 (k + 1) = ( A11 − A12 ( FC2 ) −1 FC1 + ΔA11 Proof: Consider Lyapunov function candidate
k −1

∑τ z
−ΔA12 ( FC2 ) −1 FC1 ) z1 (k ) + ( Ad 11 − Ad 12 ( FC2 ) −1 FC1 (9)
v(k ) = z1T (k ) Pz1 (k ) + 1
T
(α )Qz1 (α ) . (14)
−1
+ΔAd 11 − ΔAd 12 ( FC2 ) FC1 ) z1 ( k − τ ). α =k −

For simplicity, here we make the assumption of where P and Q are positive definite symmetrical
FC2 = I , then (9) yields: matrices. The difference of v(k ) is
z1 (k + 1) = ( A11 − A12 FC1 + ΔA11
Δv (k ) = v( k + 1) − v (k )
k

∑τz
− ΔA12 FC1 ) z1 (k ) + ( Ad 11 − Ad 12 FC1 (10)
= z1T (k + 1) Pz1 ( k + 1) + 1
T
(α )Qz1 (α )
+ ΔAd 11 − ΔAd 12 FC1 ) z1 (k − τ ). α= k +1−
k −1
In (10), we propose the uncertainties
Δ A11 , ΔA12 , ΔAd 11 and , ΔAd 12 are admissibly norm-
− z1T ( k ) Pz1 ( k ) −
α
∑τ z
=k −
1
T
(α )Qz1 (α )

bounded and structures satisfy the following form:

[ΔA11 ΔA12 ΔAd 11 ΔAd 12 ] = DG ( k )[ E1 E2 E3 E4 ]. (11)
T
(
= z1 (k ) ⎡⎣ A1
T
Ad 1 ⎤⎦ P ⎡⎣ A1 )
Ad 1 ⎤⎦ + S z1 ( k ).
where
where D ， E1 ， E2 ， E3 and E4 are known real
⎡ z (k ) ⎤ ⎡Q − P 0 ⎤
constant matrices of appropriate dimensions, z1 = ⎢ 1 ⎥ ,S=⎢
−Q ⎦⎥
,
and G (k ) is time-varying matrix and ⎣ z1 (k − τ ) ⎦ ⎣ 0
satisfies G (k )T G (k ) ≤ I , where I is the identity matrix. A1 = A11 − A12 FC1 + ΔA11 − ΔA12 FC1 ,
Substituting (11) into (10) yields: Ad 1 = Ad 11 − Ad 12 FC1 + ΔAd 11 − ΔAd 12 FC1 .
z1 (k +1) = ( A11 − A12 FC1 + DG(k)(E1 − E2 FC1 ))z1 (k) So the sliding mode dynamics (10) is
(12)
+ ( Ad11 − Ad12 FC1 + DG(k)(E3 − E4 FC1 ))z1 (k −τ ). asymptotically stable if the following inequality holds
T
Finding the parameter F which can guarantee ⎡⎣ A1 Ad 1 ⎤⎦ P ⎡⎣ A1 Ad 1 ⎤⎦ + S < 0. (15)
system (10) asymptotic stability we can get the sliding
Applying Schur complement to (14), (14) is
mode surface.
equivalent to
For analyzing the asymptotic stability of the sliding
mode dynamics (10), we introduce a lemma as follows ⎡Q − P ∗ ∗ ⎤
⎢ 0 −Q ∗ ⎥⎥ < 0, (16)
Lemma 1[16]: Given constant matrices D , E and a ⎢
symmetric constant matrix Y of appropriate ⎢⎣ A1 Ad 1 − P ⎥⎦
−1

dimensions, the following inequality holds: where ∗ denotes the transposed elements in the
Y + DG (k ) E + E T G T (k ) D T < 0 , symmetric positions.
where G (k ) satisfies G T (k )G (k ) ≤ I , if for some scalar By (11), (16) can be rewritten as:
λ >0 Γ + DG (k ) E + E T G T (k ) DT < 0, (17)
Y + λ DDT + λ −1 E T E < 0 where

holds.

518
 ⎡ Q−P ∗ ∗ ⎤ ⎡ FCAz (k ) + FCAd z (k − τ ) + FCφ (k )⎤ . (23)
u (k ) = −( FCB) −1 ⎢ ⎥
Γ = ⎢⎢ 0 −Q ∗ ⎥⎥ , ⎣− (1 − qT ) s (k ) + εTsgins (k ) ⎦

⎣⎢ A11 − A12 FC1 − P −1 ⎦⎥

Ad 11 − Ad 12 FC1 Because the uncertain items are contained in (23),
so this control law can not be realized in practice.
⎡0⎤ But ϕ (k − 1) can be computed by the following
D = ⎢⎢ 0 ⎥⎥ , E = [ E1 − E2 FC1 E3 − E4 FC1 0] . equation.
⎢⎣ D ⎥⎦ ϕ ( k − 1) = z (k ) − Az (k − 1) − Ad z ( k − 1 − τ ) − Bu ( k − 1) .(24)
According to Lemma 1, the matrix inequality (16) if Assumption 4 The motion character of the uncertain
there exists a constant λ > 0 such that the following items is slower than the sampling frequency. That
inequality holds. means ϕ (k ) can be replaced by ϕ (k − 1) , and then the
⎡ Q−P ∗ ∗⎤ control law is considered:
⎢ 0 − Q ∗ ⎥ + λ −1 E T E < 0. (18) ⎡ FCAz (k ) − FCAz ( k − 1) ⎤
⎢ ⎥ . (25)
u ( k ) = u ( k − 1) − ( FCB) −1 ⎢⎢ + FCAd z ( k − τ ) − FCAd z (k − 1 − τ ) ⎥⎥
⎢⎣ A11 − A12 FC1 Ad 11 − Ad 12 FC1 X ⎥⎦
⎣⎢ + qTs ( k ) + ε Tsgins (k ) ⎦⎥
where X = − P −1 + λ DDT .
By applying Schur complement to (18), (18) is 4. Simulation study
equivalent to
⎡ Q−P ∗ ∗ ∗ ⎤ Consider the following unmatched time-delay
⎢ 0 −Q ∗ ∗ ⎥⎥ discrete-time systems:
⎢ < 0. (19) z(k +1) = ( A +ΔA)z(k) + ( Ad +ΔAd )z(k −τ )
⎢ A11 − A12 FC1 Ad 11 − Ad 12 FC1 X ∗ ⎥
⎢ ⎥ + (B +ΔB)u(k),
⎣ E1 − E2 FC1 E3 − E4 FC1 0 −λ I ⎦
where
Taking the congruence transformation with
⎡1 −0.05 −0.0055 ⎤ ⎡ −0.0055 0 0 ⎤
diag { P −1 , P −1 , I , I } and denoting H = P −1QP −1 ,
A = ⎢⎢0 1 0.221 ⎥⎥ , Ad = ⎢⎢ 0 0 0 ⎥⎥ ,
X = P −1 , W = − FC1 X yield (13). This completes ⎣⎢0 0 1.3846 ⎦⎥ ⎢⎣ 0 0 0 ⎦⎥
the proof. ⎡ 0 0.048sin(0.1π k ) 0.0053sin(0.1π k ) ⎤
ΔA = ⎢⎢ 0 0 0 ⎥,
⎥
3.2. Design of control law
⎢⎣0.01sin(0.1π k ) 0 0 ⎥⎦
In the previous section, when the uncertain system
⎡ 0 0 0 ⎤
(3) in the sliding mode, the sliding mode surface was ⎢ ⎥,
designed to guarantee the asymptotic stability of the ΔAd = ⎢0.002sin(0.1π k ) 0 0 ⎥
reduced order system in terms of LMI. Next, we ⎣⎢ 0 0 0.002 sin(0.1π k ) ⎦⎥
should find output feedback control law to drive state
⎡0⎤ ⎡ 0 ⎤
trajectories of the system to arrive at the switch band in
⎢ ⎥ ⎢ ⎥ ⎡0 1 0 ⎤
limit time and maintain in the switch band. This means B = ⎢ 0 ⎥ , ΔB = ⎢ 0 ⎥ , C = ⎢0 0 1 ⎥ .
that the control law is designed to guarantee system ⎢⎣1 ⎥⎦ ⎢⎣0.04 sin(0.1π k ) ⎥⎦ ⎣ ⎦
satisfy the reaching condition.
By the means of LMI toolbox we can have
System (4) can be rewritten as follows
z (k + 1) = ( A + ΔA) z (k ) + ( Ad + ΔAd ) z ( k − τ ) F = [1.512 1] .

+ ( B + ΔB)u (k ) (20) Taking the initial value z (0) = [0.1 1 1]T , τ = 1 ,

= Az (k ) + Ad z (k − τ ) + Bu (k ) + ϕ (k ).
where
ϕ (k ) = ΔAz (k ) + ΔAd z (k − τ ) + ΔBu (k )
(21)
= z (k + 1) − Az (k ) − Ad z ( k − τ ) − Bu ( k ).
Choose the discrete-time approximate law:
s (k + 1) − s (k ) = −εTsigns (k ) − qTs (k ) . (22)
Substituting (6) and (20) into (22), we can get the
control law:
q = 10 , ε = 0.5 , T = 0.1 , q = 10 , ε = 0.5 , the
simulation results of z1 (k ) , z2 (k ) , z3 (k ) and u (k ) are
given in Figures 1-2.
From Figures.1 and 2, we can see that responses of
the system state and control input converge to the
origin quickly and will be in the stead state.

519

Figure.1. Responses of system state variables (z1,z2,z3)
Figure.2. Response of system control input u
5. Conclusion
The problem of output feedback variable control of
discrete-time linear systems with unmatched
uncertainties and time-delay is considered in this
paper. When the unmatched uncertainties systems are
not full observability, the sliding surface is designed by
system output. The sufficient condition for the
existence of stable sliding surface is derived in terms
of LMIS. Then the design of sliding mode control is
presented, which drives system state trajectories to
arrive at the switch band in limit time and thereafter
maintain in the switch band. The proposed control has
better results than state feedback for practical systems.
6. References
[1] V.I. Utikin, Sliding Mode in Optimization and Control,
Springer-Verlag, New York, 1992.
520
[2] W.B. Gao, Theory and Design Method of Variable
Structure Control, Science Press, Beijing, 1996.
[3] C.B. Feng, Analysis and Design of Nonlinear Systems,
Southeast University Press, Nanjing, 1990.
[4] R.A. De Carlo, S.H. Zak and G.P. Mathews, “Variable
Structure Control of Nonlinear-multivariable Systems: a
tutorial”, Proc. IEEE, 1988, pp. 212-232.
[5] A. Bondaref., N. Kostyleva., and V.I. Utkin. “Sliding
Modes in Systems with Asymptotic Observer”, Automation
Remote Control, 1985, pp. 679-684.
[6] B. Diong., and J. Medanic., “Dynamic Output Feedback
Variable Structure Control for System Stabilization”,
International Journal of Control, 1992, pp. 607-630.
[7] F. Esfandiari., and K.H. Khalil., “Output Feedback
Stabilization of Fully Linearizable Systems”, International
Journal of Control, 1992, pp. 1007-1037.
[8] S. Oh. and H. K., “Output Feedback Stabilization Using
Variable Structure Control”, International Journal of
Control, 1995, pp. 831-848.
[9] B.S. Heck., and A.A. Ferri., “Application of output
feedback to variable structure systems”, Journal of Guidance
Control Dynamics, 1989, pp. 932-935.
[10] S.H. Zak., and S. Hui., “On variable structure output
feedback controllers for uncertain dynamic systems”, IEEE
Transactions on Automation Control, 1993, pp. 1509-1512.
[11] Y. Dote, R.G. Hoft, Mieroprocessor Based Sliding
Mode Controller for DC Motor Drivers, IAS Annual
Meeting, Cincinnati. OH, 1980.
[12] W.B. Gao, “Variable Structure Control of Discrete-time
Systems”, Acta Automatica Sinica, 1995, pp. 154-161.
[13] J. Wang, Y. Qiao, and X.L Wang, “Variable Structure
Output Feedback of Discrete Systems ”, Control Theory and
Application, 2001, pp.181-184.
[14] W.J. Wang, G.H. Wu, and D.C. Yang, “Variable
Structure Control Design for Uncertain Discrete-time
Systems ”, IEEE AC, 1994, pp. 99-102.
[15] L.H. Xie, “Output Feedback H ∞ Control of System
with Parameter Uncertainty”, International Journal of
Control, 1996, pp. 741-750.
[16] Lee. H. J., Park. B. J., and Chen G R, “Robust Fuzzy
Control of Nonlinear Systems with Parametric
Uncertainties”, IEEE Transactions on Fuzzy Systems, 2001,
pp. 369-379.
 2008 International Conference on Intelligent Computation Technology and Automation

The Research of Three Phase Voltage PWM Rectifier Based on Variable-

Structure Control

Hua Li, Liu He, Bo Wang

School of Information Science and Engineering,
Northeastern University, Shenyang, 110004, China
lihua@mail.neu.edu.cn

Abstract PWM rectifier is non-liner and time-varying system,

Considering the poor dynamic performance and the
uncertainties of the parameters of three-phase PWM
rectifiers, this paper study the mathematical model of
3-phase PWM rectifiers and proposed the sliding-mode
variable structure control. It can make system quick,
steady and have a robust control performance against
the uncertainties of the parameters. Consequently the
current wave of electricity net side is ensured being
sine, the power factor is approaching unity. Simulative
and experimental results indicate that the variable
structure control improves the dynamic performance of
PWM rectifiers and strengthens the system robustness.
1. Introduction
With the development of power electronics,
microelectronics and computer, the power conversion
apparatus based on the PWM (Pulse Width
Modulation) technique is gaining more and more
application, but many routine rectifying currents adopt
diode or dynatron rectifying currents, they inject
plentiful harmonic and reactive power to electricity net
and make the electricity net pollution. Disposing this
pollution is the current wave of electricity net side is
ensured being sine and the power factor is approaching
unity.
PWM rectifier is a rectifier of electrical source
which apply pulse width modulation technology. They
can make the input current and voltage in-phase,
consequently make the power factor is approaching
unity. The control of PWM rectifier is the control of
the current of the AC side, the implement project is
direct current control and indirect current control. The
application and development of the PWM control
technology provide the new method of improvement of
performance of rectifier[1-4].
employing traditional PID control can not get ideal
control effect and have poor dynamic performance. So
some advanced control strategies on PWM rectifier
have been put forward. Such as state feedback[1],
vector control[2], PID control[3], variable structure
control[4].
Variable structure control (VSC) is a synthesize
control method that is put forward in 1950s. VSC
offers the robustness and the property of insensitivity
to matched system parameter uncertainties and external
disturbances[5,6].
In the survey of these previous works, two
significant problems can be considered for realizing the
high performance. One is the decoupled currents in dq
synchronous reference frame are separately controlled
within the inner-loop of current control, and the other
is VSC has been applied to PWM control strategy
[1,4,7,8]
. However, it is not easy to measure or estimate
the exact parameters, and the VSC technique
inherently has robustness against the uncertainties,
therefore, the main scope of this paper is how to obtain
the robust control performance against the uncer-
tainties of the parameters of the PWM.
In this paper, considering the uncertainties of the
parameters of three phase voltage PWM rectifier,
proposed variable-structure control method. The
proposed scheme is illustrated by simulation at last.
Simulative and experimental results indicate that
control performance of three-phase PWM rectifiers is
well when there are some uncertainties.
2. Modeling of PWM rectifier
The three phase voltage-fed PWM inverter and load
can be described as shown in Fig.1. It includes the
three phase symmetrical emf, IGBT three-phase
bridges, R, L and C.

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DOI 10.1109/ICICTA.2008.109
 ⎧⎪ Dd = ed + ω Liq
⎨ (3)
⎪⎩ Dq = eq + ω Lid
So (2) can be rewritten as following.
⎧ did R 1
⎪⎪ dt = − L id + L ( Dd − vdc S d )
⎨ (4)
⎪ diq = − R i + 1 ( D − v S )
⎪⎩ dt L
q
L
q dc q

Figure 1. Simplified representation of PWM Let

rectifier ⎧⎪eid = id − id*
⎨ (5)
⎪⎩eiq = iq − iq
*
Assuming is the uni-polarity logic switch function
of three-leg of the PWM rectifier, and they can be where id∗ , iq∗ is the reference current of active current
represented as follows [7]. and reactive current.
⎧1 (turn on the above bridge, Comparing to voltage-loop, the responsibility of the
⎪ turn off the below bridge) current-loop is more quickly, So
⎪
sk = ⎨ （k =1,2,3）
deid did deiq diq
⎪0 (turn off the above bridge, = , = (6)
⎪⎩ turn on the below bridge) dt dt dt dt
So, (4) can be represented as following.
The model of the circuit is represented as following.
⎧ deid R 1
⎧ dia Sb + Sc − 2 S a ⎪ dt =− eid + (Qd − vdc S d )
⎪ L dt = ea − Ria + 3
vdc
⎪
L L
⎪ ⎪ R 1 1
⎪ L dib = e − Ri + Sa + Sc − 2 Sb v = − eid − vdc S d + Qd
⎪⎪ L L L (7)
⎪⎪ dt b b
3
dc ⎨
⎨ (1) ⎪ deiq R 1
= − eiq + (Qq − vdc Sq )
⎪ L dic = e − Ri + Sb + Sb − 2 Sc v ⎪ dt L L
⎪ dt c c
3
dc ⎪
⎪ R 1 1
⎪ du = − eiq − vdc S q + Qq
⎪⎩
⎪C c = Sa ia + Sb ib + Sc ic − iL L L L
⎪⎩ dt
where
where, R and L are the each phase equivalent
⎪⎧Qd = Dd − Rid = ed + ω Liq − Rid
* *
resistance and inductance, respectively, and ea , eb , ec ⎨ (8)
⎪⎩Qq = Dq − Riq = eq − ω Lid − Riq
* *
is the emf of each phase. Using the coordinate
transform,
where Qd , Qq can be regarded as perturbations.
⎡ 2π 2π ⎤
cos θ cos(θ − ) cos(θ + ) ⎥ So (7) can be rewritten as following.
2⎢ 3 3
T3s 2 r = ⎢ ⎥
3⎢ 2π 2π ⎥ x = Ax + Bu + f ′ (9)
− sin θ − sin(θ − ) − sin(θ + )
⎣⎢ 3 3 ⎦⎥
where
Equ.(1) can be rewritten as following.
⎡ deid ⎤ ⎡ R ⎤
⎧ did ⎢ dt ⎥ ⎢− L 0 ⎥
⎪⎪ L dt − ω Liq + Rid = ed − vdc Sd ⎡vdc Sd ⎤
x = ⎢ ⎥, u= ⎢ ⎥ , A = ⎢ ⎥,
⎨ (2) ⎢ deiq ⎥ ⎣ vdc Sq ⎦ ⎢ 0 R⎥
⎪ L diq + ω Li + Ri = e − v S ⎢⎣ dt ⎥⎦ −
⎢⎣ L ⎥⎦
⎪⎩ dt d q q dc q

⎡ 1 ⎤ ⎡ 1 ⎤
⎢− L ⎢− L
Here the output equation 0 ⎥ 0 ⎥ Q
⎡ d⎤
dv 3
C dc = (id S d + iq Sq ) − iL B=⎢ ⎥, f′=⎢ ⎥⎢ ⎥
dt 2 ⎢ 0 − ⎥
1 ⎢ 0 − ⎥⎣ q⎦
1 Q
⎢⎣ L ⎥⎦ ⎢⎣ L ⎥⎦
Let

522
 Considering the uncertainties of the rectifier sT
parameters, it is assumed in (2) that the parameters are V (t ) = (G ( A + ΔA) x + G ( B + ΔB)u + Gf )
s
bounded as follows.
According to the assumptions and (13), then
Rmin < R = R0 + ΔR < Rmax
sT
Lmin < L = L0 + ΔL < Lmax = (GAx + G ΔAx + GB (u L + u N )
s
where ‘Δ’ denote the uncertainties. +G ΔB (u L + u N ) + Gf )
So (8) can be rewritten as
sT
x = ( A + ΔA) x + ( B + ΔB )u + f (10) = [G ΔAx + Gf − GEAx
s
Assumption 1: The uncertainties and disturbance 1+ E
satisfy − (σ + δ x ) sign( s )]
1 −η
ΔB = BE
sT
Assumption 2: ξ , η , β are positive constant and = [(G ΔA − GEA) x
s
satisfy
1+ E
ΔA ≤ ξ , E ≤ η < 1, f ≤ β − (σ + δ x ) sign( s ) + Gf ]
1 −η
sT
3. The design of VSC controller ≤ [( G ξ + η G A ) x
s
Let the sliding surface of system (9) as following. −(σ + δ x ) sign( s ) + G β ]
s = Gx (11) ≤ V + V
1 2
The selection of G should assure the sliding on where
surface of the system global asymptotic stability. And
sT
the selection of G may base the convergence speed of V1 = [( G ξ + η G A ) x − δ x sign( s)]
the sliding. s
When the system come to the sliding mode, there is
sT
s = s = 0 = [( G ξ + η G A − δ ) x sign( s)] < 0
s
So, the equal control is following. sT
−1
V2 = [ G β − σ sign( s )] < 0
u = −[G ( B + ΔB )] G[( A + ΔA) x + f ]
eq
(12) s
And the sliding equation is following. Therefore, there is V < 0 . That is to say, the sliding
x = [ I − B (GB) −1 G ] Ax mode exists, and the system (10) is asymptotically
stable.
Let the decentralized controllers are given by
u = uL + uN (13)
4. Simulations and experiments
−1
u = −(GB ) GAx
L

The system parameters are given as following. The

1
uN = − (GB ) −1[σ + δ x ]sign( s ) input voltage is given as 220V and frequency 50Hz,
1 −η the output of DC voltage is 600V, RL=25Ω, C=4700µF,
where L=0.002H, R=0.01Ω, The maximum bounds of the
σ ≥ G β , δ ≥ G (ξ + η A) (14) uncertainties parameters are assumed as
−0.001Ω ≤ ΔR ≤ 0.001Ω , −0.2mH ≤ ΔL ≤ 0.2mH .
Theorem Consider the system (10). The sliding
Fig.2-Fig.9 respectively shows simulated waveform.
surface is given by (11). When the controllers are
Fig.2 shows the input voltage and current waveform
designed by (13), the closed-loop is global
based on the VSC. Fig.3 shows the input voltage and
asymptotically stable.
current waveform based on the PID. It is observed in
Proof . Let the Lyapunov function is following
these two figures that the current wave of electricity
V= s net side is ensured being sine, the power factor is
then approaching unity, but the Fig.2 has shorter response

523
time. Fig.4 shows the output DC voltage based on VSC,
Fig.5 shows the output DC voltage based on PID. It is
observed in these two figures that the response time of
the VSC is shorter than the PID. Fig.6-Fig.9
respectively shows simulation waveform that the load
varieties from 25Ω to 12.5Ω at 0.3s. Fig.6 shows the
input voltage and current waveform based on the VSC.
Fig.7 shows the input voltage and current waveform
based on the PID. It is observed in these two figures
that the current wave of electricity net side is ensured
being sine, the power factor is approaching unity, but
the Fig.7 has shorter response time. Fig.8 shows the
output DC voltage based on VSC, Fig.9 shows the
output DC voltage based on PID. It is observed in
these two figures that the response time of the VCS is
shorter than the PID and the overshoot of the VCS is Figure 4. The simulation result of the output
smaller than the PID. These results show if the load DC voltages based on VSC
variation, the output based on the VSC has little
fluctuate and quickly come back stabilization.

Figure 5. The simulation result of the output

DC voltages based on the PID control
Figure 2. The simulation result of a-phase
current/voltage based on VSC

Figure 6. The simulation result of a-phase

current/voltage based on VSC (50% variation
Figure 3. The simulation result of a-phase of resistance at 0.3s)
current/voltage based on PID control

524

Figure 7. The simulation result of a-phase
current/voltage based on PID control (50%
variation of resistance at 0.3s)
Figure 8. The simulation result of the output
DC voltages based on the VSC (50% variation
of resistance at 0.3s)
Figure 9. The simulated result of the output DC
voltages based on the PID control (50%
variation of resistance at 0.3s)
525
This paper studied PWM rectifier systems which
contains the uncertainties parameters. Based on
variable-structure control approach, design the sliding
surfaces and controllers. The key difficulty is to solve
the problem induced by uncertainties parameters in
PWM rectifier mathematical model. The simulation
result shows the proposed approach is effective.
If the emf of each phase has fluctuant, the proposed
method of this paper can also have well performance.
The power factor may also be designed adjustable.
6. References
[1] Wang Xinggui, Ren TInghui, and Huang Zhongliang,
“Sliding Mode Control of Three-phase Voltage-source PWM
Rectifier”, Power Electronics, 2007, Vol.41, No.1, pp.31-33.
[2] S.R.Bowes, S.Grewal, “Novel harmonic elimination
PWM control strategies for three-phase PWM inverters using
space vector techniques”, Electric Power Applications, IEE
proceeding, Sept. 1999, Volume 146, pp. 495-451.
[3] Yang Yijin ,Yin Huajie, “Design of Voltage source PWM
Rectifier Controller”, Modern Electronic Technology, 2007,
No.3, pp.170-171.
[4] Chen Yao, Jin Xin-min and Tong Yi-bin, “Simulation of
Three-phase Voltage Source PWM Rectifier Based on
Sliding-mode Control”, Journal of System Simulation, Apr.,
2007,Vol. 19, No. 8, pp.1849-1852.
[5] Gao Weibing, The theory and design approach of the of
variable structure control , Science Press, Bei Jing, 1996.
[6] Li Hua, Liu Xiaozhi, Jing Yuanwei,and Zhang Siying,
“Decentralized Variable Structure Control for Uncertain
Interconnected Systems”, Journal of Northeastern
University, 2003, Vol.24, No. 7, pp.613-615.
[7] Zhao Kuiyin , Tang Yongqi , Shen Xuejun, “Three Phase
Voltage PWM Rectifier Based on Current Variable-Structure
Control”, Journal of Hunan Institute of Engineering, Sept.
2005, Vo1.15. No.3, pp.1-3.
[8] Jiann-Fuh Chen, Yeong-Chau Kuo, Tsong-Juu Liang,
“Voltage and Current Hybrid Controlled PWM Inverters
Using Variable Structure Control”, IEEE 1999 International
Conference on Power Electronics and Drive Systems, Hong
Kong., July 1999, pp.1010-1014.
 Session 4

Modeling and Simulation

ICICTA 2008
 2008 International Conference on Intelligent Computation Technology and Automation

A 1-D Theoretical Receiving Model for CMUT

Wenchao Zhou 1, 2, Ting Yu1, and Fengqi Yu1

1 Department of Integrated Electronics
Shenzhen Institute of Advanced Technology, CAS, Shenzhen, 518067, China
2 Institute of Precision Engineering
Xi’an Jiao Tong University Xi’an, 710049, China
wc.zhou@siat.ac.cn & {ting.yu, fq.yu}@siat.ac.cn

Abstract solutions for fabrication have been proposed and some

It is always difficult to optimize parameters of
capacitive micromachined ultrasonic transducers
(CMUT) because of high computational cost of Finite
Element Method (FEM) analysis and prototype
manufacturing cost. Thus a theoretical model is
required in designing a CMUT. This paper presents
such a 1-D theoretical model for CMUT reception,
which makes it easier to optimize the parameters of the
CMUT with respect to output voltage and bandwidth. It
also helps in understanding the influence of each
parameter. A typical example is given for model
verification. The results obtained from the proposed
1-D lumped model are compared to those from 3-D
FEM simulation. Our 1-D theoretical model can be
used to study the behavior of a CMUT reception at
much lower computational cost without losing
accuracy.
I. Introduction
Capacitive micromachined ultrasonic transducer
(CMUT)，as an alternative of piezoelectric ultrasonic
transducer [1] is a promising approach for different
applications. Many research papers on CMUT have
been published during last decade. Different kinds of
of them have been implemented [2-3]. To optimize the
performance of CMUT, the influence of different
design parameters, such as electrode shape, size, and
location, have been investigated [4-5]. Different
operation regimes are discussed in [6]. Membrane
configuration is also investigated to improve the
performance of CMUT [7]. Additionally, theoretical
analysis is performed in [8-9].
So far, FEM is a very common tool for CMUT
simulation. However, it can’t give a comprehensive
understanding of the behavior of CMUT.
Computational cost of FEM analysis is another issue
for not extensively exploring the characteristics of
CMUT. Moreover, very few papers have been
published on the behavior of CMUT in receiving mode.
This paper proposes a theoretical model in receiving
mode, in which the transfer function between input
sound pressure and output voltage is deduced.
The rest of the paper is arranged as follows. In
Section II, a method of obtaining the equivalent 1-D
parameters of a designed CMUT with a circular
membrane in receiving mode is proposed and a
theoretical model is deduced based on the 1-D
parameters. In Section III, an example is used to verify
the proposed theoretical model. Section IV gives the
conclusion.

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DOI 10.1109/ICICTA.2008.459
II. Derivation of 1-D model
A. 1-D equivalence of a 3-D CMUT
CMUT membranes are typically hexagonal, which
can be approximated by circular membranes. In order
to make transition from a 3-D CMUT with circular
membrane to a 1-D model operating like a rigid piston
with the same electrical and acoustical behavior in the
receiving mode, as illustrated in Fig.1, two assumptions
are made: 1) the piston has the same pitch area Apitch
and same effective gap height hgap as the circular
membrane [10]; 2) they have the same displaced fluid
volume which is as a function of the DC bias voltage
and sound pressure Vfl=f(U, P).
Fig.1. Transition from a membrane cell (a) to an equivalent
piston in a rigid baffle (b) in receiving mode [8]. The
calculated parameters, according to [8], are denoted with *.
The assumption of the same displaced fluid
volume under a certain bias voltage for any sound
pressure leads to:
Aps wmean (U dc , P)
= , (1)
Apitch w ps (U dc , P)
where wmean(Udc,P) and wps(Udc,P) are the average
membrane displacement and piston displacement under
a certain DC bias voltage for any sound pressure. Aps
and Apitch are the piston area and cell area, respectively.
For a circular membrane cell, we can normalize the
membrane displacement w(r) by normal displacement
wmax at center of the membrane cell, thus obtain the
static membrane shape function (wmean/wmax) when a
sound pressure is applied under a certain DC bias
voltage [10].
530
For the sake of derivation, shape function has
been assumed independent of sound pressure at a
certain DC bias voltage. However, our FEM
simulations show that shape function is not exactly
constant over the sound pressure at a certain DC bias
voltage, as shown in Fig.2. According to (1), this will
influence the piston area Aps. A good approximation of
the membrane displacement curve is required to
minimize errors.
Fig.2. The ratio of mean membrane displacement wmean to the
displacement at center of the membrane wmax as a function of
sound pressure, where Pcrit is the critical sound pressure
which makes the membrane contact substrate.
For a rigid piston model as illustrated in Fig.3, the
equilibrium equation can be written as:
ε AelVdc2
+ PAps − k ps wps = 0 , (2)
2(hgap − wps ) 2
where Vdc is the DC bias voltage, hgap is the effective
gap height, wps is the displacement of the top plate, P is
the sound pressure, kps is the spring constant, ε is the
permittivity, Ael is the equivalent electrical active area
as illustrated in Fig.1 (b), and Aps is the piston area.
P
m R Vout
Cp
k g b
V
Fig.3. Schematic of 1-D model for CMUT in receiving mode,
where g is the gap between piston and substrate, b is damping
constant, Cp is parasitical capacitance.
 When bias voltage Vdc and sound pressure P are k ps
m ps = , (7)
given, wps can be obtained by solving (2): (2π f 0 )2
2hgap k ps + PAps 24 / 3 ( PAps − hgap k ps )2 Den where f0 is the resonant frequency of membrane cell
wps = − − (3)
3k ps 3k ps Den 21/ 36k ps without any bias voltage and fluid interactions.
where Because the fluid interaction also influences the
Den = (−16( PAps − hgap k ps )3 + 33 / 2 (432(ε AelVdc2 k ps2 ) 2 + dynamic behavior, the fluid impedance has to be taken
. into account, which can be written as:
128ε AelVdc2 k ps
2
( PAps − hgap k ps )3 )1/ 2 − 108ε AelVdc2 k ps2 )1/ 3
Z r = jX r + Rr , (8)
According to [10], the connection between piston
stiffness kps and piston area Aps can be acquired: where Xr and Rr can be described by an additional mass
2 term and an additional damping to the system
k ps Aps
= 2
, (4) according to [10] and Xr can be approximated by:
kmem Apitch
8 rps 1.4
where kmem is the membrane stiffness which can be Xr = ρ fl Aps rps (1 − ) , (9)
3π rpitch
calculated, using FEM simulation, from the average
membrane displacement as a reaction to static pressure where ρfl is the density of the fluid, rps is the radius of
load over Apitch. the piston, and rpitch is the radius of the membrane.
In line with [3], the link between the equivalent
electrical active area Ael and the piston stiffness kps can
be obtained:
8 k ps
Ael = ⋅ ⋅ hgap
3
, (5)
27 εU crit
2

where Ucrit is the critical voltage of a plate capacitor [4].

Combine (3), (4)， and (5), Aps can be solved using
numerical method as shown in Fig.4. When the sound
pressure is less than 0.3Pcrit, the error of Aps is within
5%.
With all these parameters, the parasitic capacitance
can be calculated [10]:
Ael ,m Ael
C p =Cm −Ca =ε −ε
hgap − wmean (U dc ) hgap − w ps (U dc )
where wmean(Udc) and wps(Udc) are the mean membrane
displacement and piston displacement under a certain
DC bias voltage without sound pressure respectively,
Ca is the electrical active capacitance, Ael,m is the
membrane area, and Cm is the membrane cell
capacitance.
Next we need to calculate the equivalent piston
mass mps to get the same dynamic behavior, which is
given by:
Fig.4. (a) the deviation of Aps when different sound pressure
(normalized by Pcrit which is the critical sound pressure
pushing the membrane contact the substrate) is applied; (b)
, (6)
zoom in the first half of (a).
A system damping constant can be obtained from
the damping coefficient δ of the frequency response in
the receiving mode by a modal FEM analysis of the
membrane cell:
bsys
δ= , (10)
2msys
where msys=mps+Xr is the equivalent system mass, bsys is
the system damping constant.

531
B. 1-D Theoretical Model in Receiving Mode ⎛ δ x• ⎞ ⎛ ∂f1 ∂f1 ∂f1 ⎞ ⎛ ∂f1 ⎞
⎜ 1⎟ ⎜ ⎟ ⎛ δ x1 ⎞ ⎜ ⎟ ⎛ δ x1 ⎞
⎜ • ⎟ ⎜ ∂x1 ∂x2 ∂x3 ⎟ ⎜ ⎟ ⎜ ∂p ⎟ ⎜ ⎟
(15)
⎜δ x ⎟ ⎜ ∂f2 ∂f2 ∂f2 ⎟ ⎜δ x2 ⎟ ∂f
⎜ 2⎟ ⎜δ x2 ⎟
From Fig.3, we have: ⎜ 2 ⎟ = ⎜ ∂x ∂x2 ∂x3 ⎟ ⎜ ⎟ + δ p ⎜ ∂p ⎟ = As ⎜ ⎟ + Bsδ p
⎜ • ⎟ ⎜ ∂f1 ⎜δ x3 ⎟ ⎜δ x3 ⎟
• ∂f3 ∂f3 ⎟ ⎜ ⎟
⎜ ∂f3 ⎟
⎜ ⎟
dCV dV dC dg 1 ⎜δ x3 ⎟ ⎜ 3 ⎟ ⎝ ⎠ ⎜ ⎟ ⎝ ⎠
I =Q= =C +V = (Vdc − V ) , (11) ⎜ ⎟ ⎜ ∂x1 ∂x2 ∂x3 ⎟⎠X ,V ⎝ ∂p ⎠X ,V
dt dt dg dt R ⎝ ⎠ ⎝ 0 0 0 0

•• • where
Fe + Fr + Fs + m g + b g + k ps ( g − g 0 ) = 0 , (12)
⎛ wmean −g0 X1Ael (g0 −wmean) ⎞ ⎛ ⎞
⎜ 0 ⎟ ⎜ ⎟
where the electrostatic force applied on top electrode of
⎜ Rε A pitch A X2
pitch 2 ⎟ ⎜ 0 ⎟
the piston is Fe=εAelV2/(2g2); the pressure from the As =⎜ 0 0 1 ⎟; Bs =⎜ 0 ⎟δ p.
⎜ εAel X1 εAel X12 −kps X23 −bsys ⎟ ⎜ Aps ⎟
medium is Fs=P·Aps; the second radiation reaction ⎜ ⎟ ⎜−m ⎟
⎝ −msys X2
2 3
msys X2 msys ⎠ ⎝ sys ⎠
force of the medium is Fr=–Zru (u is the velocity of
the sound source); the total capacitance is C=Ca+Cp; Q The Laplace transform of (15) can be computed:
is the charge on the electrode; g is the gap between the
δ X ( s) = ( sI − As ) −1 Bsδ P( s) , (16)
electrode and substrate; g0 is the initial gap; V is the
Y ( s ) = Cs δ X ( s ) , (17)
voltage across the capacitor; Vdc is the DC bias voltage;
R is the series resistance in the circuit; kps is the where X(0)=X0=[X1, X2, 0]; Cs=(1 0 0).
equivalent spring constant; m is the equivalent piston Since δp is a small sound pressure applied on top
mass; b is the equivalent damping constant; Ael is the electrode of the piston which is operating in small
electric active area. signal mode [11], we can obtain the transfer function of
As mentioned before, since Xr and Rr can be the system:
equivalent to an additional mass and an additional Y (s) ε RX 22 ( g0 − wmean ) X1 Ael Aps s
H (s) = = Cs (sI − As )−1 Bs = (18)
damping to the system, Equation (12) can be rewritten δ P(s) Denom

as: where
ii i
Fe + Fs + msys g + bsys g + k ps ( g − g 0 ) = 0 , (13) Denom = −ε RX 24 msys Apitch s 3 − ε RX 24 bsys Apitch s 2 +

i
( wmean − g 0 ) X 24 msys s 2 + ε 2 RX 2 X 12 Ael Apitch s +
If we set x1=V; x2=g; x3= g , and y=Vout=Vdc-V=Vdc-x1,
( wmean − g 0 ) X 24 bsys s − ε RX 24 k ps Apitch s − k ps X 24 ( g 0 − wmean )
we can obtain the following set of state equations:
− ε 2 RX 12 Ael2 ( g 0 − wmean ) s + ε Ael X 2 X 12 ( g 0 − wmean )
⎧ • ( g 0 − wmean )(Vdc − x1 ) x1 x3 Ael ( g 0 − wmean )
⎪ x1 = ε Apitch R
+
Apitch x22 .
⎪•
⎪x = x III. Simulation and Verification
⎨ 2 3 (14)
⎪• 1 ε Ael x12
⎪ x3 = − m ( 2 x 2 + k ps ( x2 − g0 ) + pAps + bsys x3 ) In this section, a typical CMUT membrane cell is
⎪ sys 2
⎩ y = Vdc − x1 calculated using the proposed 1-D theoretical model for
where p is the input sound pressure from the medium. reception. It is also simulated by harmonic FEM
It is obvious that (14) is nonlinear and thus not easy to analysis, where the membrane radius rpitch=50 µm,
handle. We can linearize these equations by letting the electrode radius rel=50 µm, metallization layer
device work around an equilibrium operating point. thickness hel=200 nm, membrane thickness hmem=800
We can calculate the operating point by setting nm, effective gap height hgap=1 µm.
equation (14) to 0 and obtain the operating point The commercial available software ANSYS is
X0=[X1, X2, 0] when Vdc=V0. used to perform the FEM analysis. Trans126 element is

532
a capacitor element. A series of trans126 elements
generated by EMTGEN macro provided by ANSYS
are used to simulate the effective gap between
membrane and substrate. Solid45 element is for the
membrane, Circu124 element for the series resistance,
fluid30 element for the fluid environment around the
CMUT, and fluid130 element for the absorbing
boundary to avoid the reflection and refraction of the
sound like an infinite boundary
By some static, modal, and harmonic analyses, the
static collapse voltage Ucrit is obtained to be 85.6 V. An
average displacement of the membrane at bias voltage
of 30 V is 1.0934e-2 µm, and the mean membrane
displacement under different sound pressure at bias
voltage of 30V is shown in Fig.5.
Fig.5. The mean membrane displacement under different
sound pressure at bias voltage of 30V.
The first-order resonant frequency without bias
voltage and fluid interaction f0 can be obtained as
1.4135x106 Hz. The damping coefficient δ at bias
voltage of 30V is -6095.8 1/s. With these results,
according to Section II.A, the 1-D parameters can all
be calculated, as listed in Table I.
With all of these data, we can compute the
frequency response of output voltage with respect to
input sound pressure using FEM and our 1-D
theoretical model in receiving mode. Since CMUT
usually operates at base mode, only the frequency
range around the first-order resonant frequency is
considered to reduce computational complexity. First
we mesh the FEM model coarsely with an element size
of 3.125 µm. It runs on Dawning mainframe computer
for about 81 minutes, which has 16 Intel Pentium CPU
cores and 16G bytes memory. The simulation is for 500
time steps. The simulation result is compared with that
obtained by our proposed 1-D theoretical model, where
the calculation is finished less than 1 second, as shown
in Fig.6 (a).

TABLE I 1-D lumped parameters of the system, where the

calculated parameters are denoted by *

Parameter Symbol value

(a) (b)
Sound speed c0 3.4 x108µm/s
Fig.6. Comparison of the frequency response of output
Density of medium ρ0 1.1691x10-18 kg/µm2
voltage with respect to input sound pressure obtained by the
Permittivity ε 8.854 x10-6 pF/µm proposed 1-D theoretical model and FEM when (a) element
Initial gap g0 1µm size is set to 3.125 µm, (b) element size is set to 2.0833 µm.
6
Series Resistance R 1 x10 Ω

DC bias voltage V0 30V When we further refine the mesh and reduce the
Radius of Piston *rps 37.2344µm element size to 2.0833 µm, the result obtained from
FEM, after running for about 9 hours on the same
Spring constant *kps 8.8097 x102µN/µm
machine, is shown in Fig.6 (b), where the result
Mass *mps 1.1169 x10-11kg
obtained from our proposed 1-D theoretical model is
Damping constant *bps 1.3646 x10-7µNs/µm
also plotted in Fig.6 (b). This time the two results
Electric active area *Ael 4023.4µm2
match each other very well. Comparing Fig.6 (a) and
Fig.6 (b), we can see that FEM gives a large simulation

533
error when element size is 3.125µm. The proposed 1-D 128-137, 2003.
theoretical model has much less computational cost [3] I. Ladabaum, X. Jin, H.T. Soh, A. Atalar, B.T.
than FEM simulation. In addition, it provides better Khuri-Yakub, “Surface micromachined capacitive
understanding of the effect of each parameter. ultrasonic transducers,” IEEE Trans. on UFFC, vol. 45,
No. 3, pp. 678-690, May, 1998.
IV. Conclusion [4] J. McLean and F. Degertekin, "CMUTs with dual
electrodes structure for improved transmit and receive
A 1-D theoretical model of CMUT in receiving performance,” Proceedsing of IEEE Ultrasonics
mode is proposed to study CMUT’s behavior with fluid Symposium, 2004.
load. The proposed model is suitable for fast parameter [5] B. Bayram, G. Yaralioglu, G. Ergun, and B.T.
optimization. A 3-D membrane cell is first mapped to a Khuri-Yakub, “Influence of the Electrode Size and
1-D piston using FEM analysis based on some Location on the Performance of a CMUT,” Proc., IEEE
reasonable assumptions. The error of these assumptions Ultrason. Symp., pp. 949-952, 2001.
is also investigated. Considering the influence of the [6] B. Bayram, E Hggstrom, G.G. Yaralioglu, and B.T.
acoustic impedance of fluid, we derive the motion Khuri-Yakub, “A New Regime for Operating Capacitive
equations of the piston driven by the sound pressure at Micromachined Ultrasonic Transducers,” IEEE Trans.
a certain bias voltage and find the relationship between Ultrason. Ferroelect., Freq. Contr. 50(9), pp. 1184-1 190,
piston motion and output voltage. The transfer function Sept., 2003.
between the output voltage and input sound pressure is [7] Y. Huang, E.O. Hæggström, X. Zhuang, A.S. Ergun, and
obtained based on control theory. To verify the B. T. Khuri-Yakub, “Optimized membrane
proposed 1-D theoretical model, a typical 3-D CMUT configuration improves CMUT performance,” Proc.
membrane cell is mapped to its equivalent 1-D lumped IEEE Ultrasonics Symposium, pp. 505-508, 2004.
model. Then FEM simulation of the 3-D CMUT [8] A. Lohfink, P.C. Eccardt, W. Benecke, and H. Meixner,
membrane cell and calculation of the 1-D equivalent “Derivation of a 1D CMUT model from FEM results
model using our proposed theoretical model are for linear and nonlinear equivalent circuit simulation,”
performed respectively. The results achieved by these in Proc. IEEE Ultrason. Symp., pp. 465-468, 2003.
two methods agree very well when element size in [9] A.S. Ergun, G.G. Yaralioglu, and B.T. Khuri-Yakub,
FEM is small enough. Our proposed model has much “Capacitive Micromachined Ultrasonic Transducers:
less computational cost and can provide comprehensive Theory and Technology,” Journal of Aerospace
understanding of the effect of each parameter, which is Engineering, Volume 16, Issue 2, pp. 76-84, April,
very useful in CMUT design. 2003.
[10] Annette Lohfink, and Peter-Christian Eccardt, “Linear
References and Nonlinear Equivalent Circuit Modeling of
CMUTs,” in IEEE Transactions on Ultrason.,
[1] M.I. Haller and B.T. Khuri-Yakub, “A surface Ferroelectrics, and Frequency Control, vol. 52, NO. 12
micromachined electrostatic ultrasonic air transducer,” pp. 2163-2172 December, 2005.
in Proc. IEEE Ultrason. Symp., pp.1241-1244, 1994. [11] Yongli Huang, “Capacitive Micromachined Ultrasonic
[2] Y. Huang, A.S. Ergun, E.O. Haggstrom, M.H. Badi, B.T. Transducers (CMUTs) Built with Wafer-bonding
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Journal of microelectromechanical systems 12(2), pp.

534
 2008 International Conference on Intelligent Computation Technology and Automation
A Bi-criteria Optimization Model and Algorithm for Scheduling in a
Real-world Flow Shop with Setup Times
Kaibing Yanga,b , Xiaobing Liua
a
CIMS Center, Dalian University of Technology, Dalian, 116024 China
b
Information School, Dalian Polytechnic University, Dalian,, 116034 China
kaibingy@126.com
Abstract
The bi-criteria scheduling problem optimization
model in a real-life flow shop with setup times was
built, while the similarity of jobs were considered. The
case study differs from the conventional scheduling
problems. A modified genetic local search algorithm to
minimize makespan and maximum tardiness was
proposed. Two new neighborhood structures based on
the problem-concerned knowledge were defined, and
were used in the local search procedure to improve
efficiency of optimization. The performance of this
algorithm was compared with two multi-objective
genetic local search algorithms proposed in the
literature, and the simulation experiment shows that
the scheduling model and proposed algorithm are
relatively effective.
1. Introduction
This paper presents a study that has been
encountered in a flow shop which produces gears. The
operations for the produce are carried on different
machines and they include the parting-off operation,
milling, heat treatment and grinding. There are
multiple job-types of gears to be processed in a week.
The number of job types vary between 5 and 10, and
the number of jobs between 25 and 100.The process
time of jobs vary from 20 to 120 min, and the setup
times of jobs are separated from process times, varying
from 10 to 100 min. Permutation ordering of job is
followed for an easier production scheduling. As the
setup times of jobs are sequence-dependent and jobs
are associated with different due dates, the problem of
scheduling becomes complex. As of now, there is no
systematic procedure for scheduling, mostly on the
basis of relative tightness of due dates, and many jobs
are found to be delivered after their due dates,
associated with large tardiness.
978-0-7695-3357-5/08 $25.00 © 2008 IEEE 535
DOI 10.1109/ICICTA.2008.271
The separate setup time problem, in comparison to
the conventional flow shop problem, has received less
attention in the literature. Some of the work in this area
include Rios and Bard [1, 2], Ruiz et al.[3,4],
Parthasarathy and Rajendran [5], Allahrerdi [6,7], and
Rajendran [8]. The problem in this paper differs from
the above-mentioned scheduling problems. First, the
literature reveals that the research on scheduling
problems is only a single criterion and this paper
addresses a bi-criteria scheduling problem. Second, the
algorithm was proposed by them without considering
similarity of jobs and this paper considers that the job
does not need a setup when following another job from
the same type.
In this paper, we consider a bi-criteria scheduling
problem with separate setup times on 4 machines flow
shop. The objective of scheduling is minimization of
the makespan and maximum tardiness. A bi-criteria
scheduling optimization model is described. A
modified genetic local search algorithm is designed to
solve the model and the solution is a set of efficient
information to make further decisions. Some
simulation experiments are shown at the end of paper.
2. Problem formulation
To formulate the bi-criteria scheduling problem
with setup times, consider a set N = { J1 , … , Jn } of
n given jobs to be processed on 4 machines in the
same technological order creating the flow shop
structure. We assume that each job belongs to one of
F types. At each machine, there is changeover time
from one type to another. The due date of job J i
( i = 1,2, " , n ), the processing time of job J i on
machine m ( m = 1,",4 ) and type setup time are
known. It is desired to find a schedule that minimizes
the makespan and maximum tardiness. The major
assumptions of bi-criteria scheduling problem with
setup times considered in this study are: ⑴The job first
is processed on each machine does not need a setup; ⑵
The two jobs adjacent jobs from the same type are
processed consecutively; ⑶Each machine can process
only one job at a time, and the jobs are processed only
one machine at a time; ⑷The jobs are available at time
zero, and on the machines without preemption; ⑸Each
machine is available at time zero.
In order to describe this problem, first a definition is
given as follow:
Definition: A sequencing of all jobs from same type
are processed consecutively is called run.
According to the definition, a feasible scheduling
consists of a serial runs, and jobs in each run are from
same type. The two adjacent runs belong in a different
type, a setup time is required.
Assume that a scheduling consists of F runs, and
are represented as 1 ， 2 ， … ， F sequentially. Let
those jobs be numbered sequentially such that the first
N 1 jobs belong to the first run1, the next N 2 jobs
belong to run2, and so on until finally N F jobs belong
to run F .Thus, n = N1 + N 2 + " + N F .
Let STf , j m and Pf , j m denote the starting time and the
processing time of j th job within the run f at machine
m respectively. The S f , g m take place when the run g
is processed immediately after run f on machine m ,
where S f , f m = 0 . Let L f ,1 m be the starting time of first
job within the run f at machine m later than at
machine m − 1 . Let d f , j denote the due date of j th job
within the run f .The staring times of various jobs at
different machines are then calculated recursively as
described below.
ST1,11 = 0 (1)
ST1, j1 = ST1, j−11 +P1, j−11 j = 2, " , N1
STf ,11 = STf −1, N f −11 + Pf −1, N f −11 + S f −1, f 1 f = 2, " , F
ST f , j1 = ST f , j −11+ Pf , j −11 f = 2, " , F ; j = 2,", N f
L f ,1m = max{E f ,1m, E f ,2m,", E f , j m,", E f , N f m}
j j −1
where E f ,1m = Pf ,1m−1 E f , jm = ∑ Pf ,i m −1 − ∑ P f ,i m
i =1
m = 2,",4 ; f = 1,2, " , F j = 2,", N f
ST1,1m = ST1,1m −1 + L1,1m m = 2,",4
ST1, j m = ST1, j −1m + P1, j −1m
m = 2,",4 ; j = 2, " , N 1
STf −1,Nf −1m+Pf −1,Nf −1m +Sf −1, f m, STf ,1m−1 +Lf ,1m}
STf ,1m = max{
f = 2, " , F ; m = 2,",4 (8)
STf , j m = ST f , j −1m + Pf , j −1m
f = 2, " , F ; j = 2,", N f ; m = 2,",4 (9)
Constraints (5) ensure that all jobs in a run are
processed consecutively and once the processing of a
run starts, it cannot be interrupted until all jobs of that
run are processed.
The makespan, Cmax , and maximum tardiness,
Lmax , are defined as:
Cmax = STF , N F 4 + PF , N F 4 (10)
Lmax = max{ST f , j 4 + P f , j 4 − d f , j ,0}
f,j
f = 1,2, " , F ; j = 1,2,", N f (11)
With these definitions and computations, the
problem considered in this paper is to find a processing
sequence of jobs so as to minimize Cmax and Lmax .
3. Modified genetic local search algorithm
The above-mentioned model is a multi-objective
optimization problem. Usually, for a multi-objective
problem, there is not a single optimum but rather the
so-called set of Pareto optimal solutions (i.e., no-
dominated solutions). In this paper, a modified genetic
local search (MGLS) algorithm is designed to solve the
above-mentioned model. Genetic local search
algorithm had been developed for scheduling problem
and had proved to be effective [9], [10]. Because the
discussed problem is from industrial practice, there are
some essential and apparent characteristic information
more or less. So, a local search that includes specific
problem domain knowledge is designed. The MGLS
algorithm is illustrated below.
(2) 3.1. Solution representation
(3)
Solution x = ( x1 , x 2 , " , x n ) , represents the order in
(4) which the jobs are processed. For example, supposing
there are five jobs to be scheduled, x = (3,2,4,5,1)
represents the operation sequence of jobs where job3
gets processed first on all the machines, followed by
job2 and so on.
i =1
(5)
(6)
3.2. Genetic operators
We use the two-point crossover[9]. We use the
(7) SHIFT mutation, were a randomly picked position in
the sequence is relocated at another randomly picked
position and the jobs between these two positions
move along.
536

3.3. Selection operation
For the objective minimization problem, usually,
the smaller the objective function value an individual
has, the higher fitness value it has. A fitness value of
each solution x in the current population ψ is
calculated by (12) and is randomly specified at each
generation
f (x ) = − w Cmax - ( 1 − w ) Lmax ( 0 < w < 1 ) (12)
where w is randomly specified at each generation.
The selection probability P(x ) of a solution x in a
population ψ is specified as
f ( x ) − f min ( ψ ) (13)
P ( x) =
∑ ( f ( x ) − f min (ψ ))
x∈ψ
where f min (ψ ) = min{ f ( x) x ∈ ψ} (14)
According to this selection probability, applying the
roulette wheel selection, a pair of parent for crossover
is selected from the current population.
3.4. Elitist strategy
An elitist external set is also created to maintain
elitist solutions in the whole evolution process. This set
is updated at each generation according to the elitist
scheme. This is, Pareto-optimal individuals are first
copied from the population to the archive set which is
updated at each generation by introducing new Pareto-
solutions and removing dominated ones.
During the evolutionary process, small number R of
elitist external set solutions are also randomly selected
and reintroduced into the population in order to
undergo recombination operators and produce quality
children.
3.5. Local search
The specification of neighborhood structure is
important in the local search algorithm. To make the
search process efficient, this paper uses two
neighborhood definitions: run-swap and in-run-swap.
The neighbors are obtained by systematically swapping
all pairs of runs in the sequence in the case of run-
swap; or by systematically swapping all pairs of jobs
within same run in the sequence in the case of in-run-
swap. Let N1 (⋅) and N 2 (⋅) represent the run-swap and
the in-run-swap respectively. First, the run-swap
neighborhood definition is used in the local search
(LS1). Then the in-run-swap neighborhood definition
is use in local search (LS2). The initial solution of LS2
is regarded as output of LS1. The basic steps of the
local search are as follows.
537
Step1. (LS1) Initialization. Specify an initial
solution x 0 ， kmax is a small number of neighborhood
solutions are examined. Let current solution x := x 0
Step2. Let k := 1
Step3. Randomly generated a neighborhood
solution x ′ of the current solution x (i.e., x ′ ∈ N1 ( x) )
Step4. If x ′ is a better than the current solution x ,
replace the current solution x with x ′ (i.e., x := x ′ ),
let ; otherwise
Step5. If k > kmax , go to step 6; otherwise go to
step3
Step6. (LS2) Initialization. Let current solution
y := x
Step7. Let k := 1
Step8.Randomly generated a neighborhood solution
'
y of the current solution y (i.e., y′ ∈ N 2 ( y ) )
Step9. If y ′ is a better than the current solution y ,
replace the current solution y with y ′ (i.e., y := y ′ ),
let k := 1 ; otherwise k := k + 1
Step10. If k > kmax , output y ; otherwise go to
step8.
3.6. Steps of MGLS
The steps of the MGLS Algorithm can be described
as follows:
Step1. Parameters setting: population size N pop ,
crossover probability Pc , mutation probability Pm ,
elitist number N elite , local search number of
neighborhood solutions kmax
Step2. Initialization: The initial population consists
of N pop randomly generated job sequences. Calculate
the objective for each solution in the current
population. Initialize external set ND1 = ∅ .
Step3. Update external set NDt : Non-dominated
individuals in the Pt recopied to the NDt and remove
dominated ones from NDt .
Step4. Evaluation: Calculate the value of the fitness
by Section 3.3 each individual in the population Pt .
Step5. Select and Crossover and Mutation: Apply a
crossover operation to each of the selected N pop -
pairs of parents with the crossover probability Pc
N elite
. A new solution is generated from each pair. Then
apply a mutation operation to each new solution with
the mutation probability Pm .Next generation
population Pt +1 is created.
 Step6. Elitist Strategy: Select N elite elitist from the Fig.1, we can see the MGLS algorithm can generate
set NDt (at random and without repetition) and add to more and more extensive Pareto-solutions. These
results demonstrate the MGLS can not only generate
the set Pt +1 .
better solutions than other scheduling methods, but
Step7. Local search: Apply the local search on each also can find more efficient solutions to provide
individual in the population Pt +1 according to Section schedulers further decision making.
3.5, get population Pt +1* .
Step8. Termination criterion: If termination Table1 Simulation results of each algorithm
problem MGLS IM-MOGLS J-MOGLS
criterion is met, output external set. Otherwise replace 5×5 9/9 5/7 1/9
population Pt by Pt +1* , return step3. 6×6 9/9 0/7 0/2
7×7 10/10 0/8 0/4
8×8 8/8 0/7 0/3
4. Simulation experiment 9×9 4/4 0/4 0/6
10×10 11/11 0/3 0/6
According to the actual situation, six different size B/A: let A denote the number of obtained solutions,
let B denote the number of no-dominated solution
problems were created to evaluate the MGLS
algorithm. These data sets are referred to as n f × F , Table2 Average CPU time of each algorithm /s
where nf and F denote the number of jobs per type problem MGLS IM-MOGLS J-MOGLS
5×5 37 40 53
and number of types respectively .The processing 6×6 49 60- 68
times of the jobs in these data sets were integers from a 7×7 65 79 90
uniform distribution over the range of [20, 120]. The 8×8 106 142 146
type setup times were integers from a uniform 9×9 135 171 190
distribution over the range of [10, 100]. The due dates 10×10 184 233 270
are integers which were assigned as following.
di = ( p j + s j ) × (1 + random × 3) 3000
maximum tardiness

where random is a random number uniformly 2500

distributed in [0, 1], p j is the total processing time on 2000

all the 4 machines for each job, is the average setup

sj 1500
1000 MGLS
time for all possible following jobs and sum it for all
500 IM-MOGLS
machines. J-MOGLS
Two methods are use for comparison: IM-MOGLS 0
3400 3500 3600 3700 3800 3900 4000
[9], and J-MOGLS [10]. IM-MOGLS is the popular
makespan
scheduling algorithm used in multi-objective flow
shop. J-MOGLS is the genetic local search algorithm Fig.1 Pareto-solutions obtained by each algorithm
for multi-objective combinatorial optimization
problems. All algorithms were code in Visual Basic 5. Conclusion
6.0, and all computations were performed on a 1.0GHz
Pentium based system with 256 MB of RAM. We In this paper, we consider the bi-criteria scheduling
applied each algorithm to each problem 10 times. All problem in a real-world flow shop with setup times.
algorithms parameters are set as follows: population The case study differs from the conventional
size N pop =30; crossover probability Pc =0.9; mutation scheduling problems. We proposed scheduling
probability Pm =0.3; elitist number N elite =3; local optimization model of the problem, and designed a
search kmax =2; stopping condition: evaluation of modified genetic local search algorithm to minimize
makespan and maximum tardiness. We used two type
100000 solutions. of neighborhood structure based on the problem-
The number of efficient solutions (Pareto-solutions) concerned knowledge in local search procedure to
for three algorithms is shown in Table1. From Table1, improve efficiency of optimization. simulation
we can see the high performance of the MGLS experiment shows that the proposed algorithm are
algorithm because many solutions are not dominated relatively effective .The proposed model and algorithm
by any other solutions. The average CPU time of each can as well be applied to the problem of scheduling to
algorithm is shown in Table2. From Table2, we see minimize the total tardiness of jobs by modifying the
that the MGLS algorithm is fastest. Pareto-solutions objective function.
obtained by each method on problems 6×6 is shown in

538
References [6]A. Allahverdi, “Two-stage production scheduling with
separated setup times and stochastic breakdowns”, Journal of
the Operational Research Society, vol.46, pp.896-904, 1995.
[1]R. Z. Rios-Mercado, and J. F. Bard, “Computation
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[2]R. Z. Rios-Mercado, and J. F. Bard, “Heuristics for the
[8]C. Rajendran, and H. Ziegler, “Scheduling to minimize
flow line problem with setup costs”, European Journal of
the sum of weighted flowtime and weighted tardiness of jobs
Operational Research, vol.110, pp.76-98,1998.
in a flowshop with sequence-dependent setup times”,
[3]R. Ruiz, C. Marcoto, and J. Alcaraz, “Solving the
European Journal of Operational Research, vol.149, pp.513-
flowshop scheduling problem with sequence dependent setup
522, 2003.
times using advanced metaheuristics”, European Journal of
[9]H.Ishibuchi, and T. Murata, “Multi-objective genetic local
Operational Research, vol.165, pp.34-54, 2005.
search algorithm and its application to flowshop scheduling”,
[4]R. Ruiz, and T. Stutzle, “An iterated greedy heuristic for
IEEE Transaction on Systems Man and
the sequence dependent setup times flowshop problem with
Cybernetics,vol.28(3), pp.392-403, 1998.
makespan and weighted tardiness objectives”, European
[10]A. Jaszkiewicz, “Genetic local search for multi-objective
Journal of Operational Research, vol.187, pp.1143-1159,
combinatorial optimization”, European Journal of
2008.
Operational Research, vol.137, pp.50-71, 2002.
[5]S. Parthasarathy, and C. Rajendran, “experimental
evaluation of heuristics for scheduling in a real-life flowshop
with sequence-dependent setup times of jobs”, International
Journal of Production Economics, vol.49, pp.255-263, 1997.

539
 2008 International Conference on Intelligent Computation Technology and Automation

A Modeling and Connectivity Analysis Method for Electricity distribution

Network Based on Relation Database in GIS

Tiefeng Zhang, Jinsha Yuan, Xueming Yang, Yinghui Kong

School of Electric and Electronic Engineering, North China Electric Power University, Baoding,
071003, P.R. China
E-mail: Tiefeng Zhang ( ncepuztf@126.com), Jinsha Yuan (yuanjinsha@126.com ), Xueming
Yang (yxmhhx@163.com), Yinghui Kong (kongyh@sina.com).

Abstract If there are quite a few switches in the network, the

Modeling and connectivity analysis of network
topology are essential in many advanced applications
of electric network. In this paper, a modeling and
connectivity analysis method for electricity distribution
network based on relation database in graphic
information system (GIS) is proposed. In the method,
an attribute called ‘put-cut state’ is added to branch,
switch is only attached to one branch ( line) instead of
being taken as a branch, whose state will influence the
put–cut state of the branch, all topology information
stored in several tables in relation database when the
graph of electricity distribution network is being
drawn. By such modeling, the connectivity analysis
scale of network is reduced and the storage of network
topology has the advantage of using some database
developing tools to make efficient program.
Furthermore, a search method for connectivity
analysis is presented and demonstrated by an example.
scale of network will be large for connectivity analysis,
which affects the speed of connectivity analysis [6],
especially in real time system [7].
The existing connectivity analysis methods for
electric network are adjacency matrix method and
search method [8]-[9]. The former uses adjacency
matrix to describe the connection relation of two
nodes, which is straight and easy to be understood. But
the cost of data storage space and the time in
corresponding programming will be too large to be
endured when the number of nodes is increasing, so
this method is suitable for small network. In contrast,
the latter may be the first choice for connectivity
analysis of big network, especially for electricity
distribution network [10]-[12].
This paper proposes a modeling and connectivity
analysis method for electricity distribution network
based on relation database in GIS.

1. Introduction 2. The storage of network topology

In advanced applications of electric network,
Modeling and connectivity analysis of network
topology are essential in many advanced applications
of electric network such as power flow calculation,
load forecasting, network reconfiguration, outage
analysis, power system fault and recover, etc [1]-[2].
Nowadays, the facility management and applied
calculation for electric network are almost based on
graphic information system (GIS). So, in using GIS
platform, the storage mode and the connectivity
analysis of the electric network topology become a hot
research topic [3]-[5], because there is a close relation
between them.
For the modeling of electric network, switch is
taken as a branch almost in all of traditional methods.
When the graph of electric network is drawn in GIS
platform, the topology information can automatically
be stored in node table, branch table and switch table
in relation database.
The switch only is an additional component of a
branch (line) instead of being taken as a branch, which
controls the state of its attaching branch and an
attribute called ‘put-cut state’ is added to the branch.
One switch is only attached to one branch (line).
One branch can be with two switches at most. The
difference of new modeling in this paper from the
traditional modeling is that switch is an attached
control component for branch (line) instead of being
taken as a branch. For an example with one branch and
two switches, the comparison of them is shown in

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DOI 10.1109/ICICTA.2008.269
figure 1. Table 3. Switch table

Static Static Static Dynamic …

switch branch node state
number number number (on or off)
1 1 1 …

Figure 1. The comparison of traditional 3. A search method

modeling and new modeling in this paper
Based on the storage of network topology in section
In figure 1, one branch and two switches have two 2, a search method is presented in this section.
nodes in using new modeling method instead of The search flow chart is as figure 3.
having four nodes in using traditional modeling
Initialization of node table and
method. branch table
In new modeling presented in this paper, the
Electric island number++
relation of switch and branch is described in figure 2.
Are there nodes NoConnectivity
without electric analysis
island number? finished
Figure 2. The relation of switch and its Yes
attaching branch
Take one node without electric
island number randomly and give
Thus, when a visualized operation on a switch in it a dynamic number and an
electric island number
GIS is carried, the switch’s state (on or off) can be
easily transferred to its attaching branch and work on
Search associated branches of the
the put–cut state of the branch by simple logic current node one by one, if the
calculation. Because all operations of switches are other node of the searched branch
is without electric island number,
carried in GIS platform, at the beginning of a a dynamic number and an electric
connectivity analysis, those branches in ‘cut’ state will island number will be given to it
and a dynamic number will be
be filtered. Thus, the analysis scale of network will be given to the searched branch.
reduced.
Node table, branch table and switch table, these
three table’s data structure in relation database is
mainly described as table 1, table 2, and table 3 The associated
Yes branches of all nodes
respectively. with dynamic number
and electric island
number are searched?
Table 1. Node table
Static Node name Dynam Electric …
node ic node island No
number number number Take the next node with dynamic number
1 Chengguan … and electric island number as current node

Table 2. Branch table

Figure 3. The search flow chart
Static Static Static Put-cut Dynamic start
Branch start end state node
number node node The steps of the search method are as follows.
1 2 1 a. Initialization of node table and branch table
The main work are to set null in dynamic number
Dynamic Dynamic Electric … and electric island number of analyzed nodes, to filter
end node number island
number the branches with cut state, to set null in dynamic start
… node, dynamic end node, dynamic number and electric
island number of analyzed branches.
b. One node without electric island number is taken

541
randomly and given a dynamic number and an electric
island number, then its associated branch is searched
one by one, if the other node of the searched branch is
without electric island number, a dynamic number and
an electric island number will be given to it and a
dynamic number will be given to the searched branch.
c. The next node with dynamic number and electric
island number is taken and its associated branch is
searched one by one. Till associated branches of all
nodes with dynamic number and electric island number
are searched, this electric island is finished.
d. The nodes and branches with electric island
number are filtered, if there are nodes without electric
island number left, go to step b till all nodes have their
electric island number.
Since switch is not taken as branch, these branches
with cut state are filtered during the search process.
The reduced number of nodes and branches
respectively are about one and a half times as many as
the number of switches. Furthermore, if we hope these
electric islands with supply nodes are searched, only
these supply nodes are taken as the prior searched
nodes till every supply node has its own electric island
number, the scale of effective network analysis will be
reduced more.
4. An example
A sub-transmission network topology is shown as
figure 4. These numerals without brackets are static
node number and these numerals with brackets are
static branch. Through a series of switch operations,
these branches include (1), (2), (3), (5), (8), (21), (22)
are in cut state, the other branches are in put state.
Figure 4.A sub-transmission network topology
542
By connectivity analysis using the search method
proposed in this paper, this network is divided into
three electric islands and the time cost is little. Here,
one of the three electric islands is shown as figure 5.
Figure 5. One of the three electric islands
In figure 5, (a) shows the nodes and branches with
their static numbers before connectivity analysis, (b)
shows the nodes and branches with their dynamic
numbers after connectivity analysis.
5. Discussions
The storage of network topology based on relation
database has the advantage of using some developing
tools to make efficient program [13]. In this paper,
Mapinfo is used as the GIS platform, which is as an
OLE automation server connected to PowerBuilder
development tool. All run-time operations of switches
are carried in this platform, PowerBuilder is taken to
finish the connectivity analysis in the example, its
functions like filter function and sort function are very
convenient for the data reorganization to get a high
search speed.
It is noted that those branches with two switches
may be argued. If one switch is in ‘off’ state and the
other is in ‘on’ state, then the branch will be in ‘cut’
state, so that this branch will not be considered in
connectivity analysis, but which is not always true (in
fact, in order to prevent some facilities not to be stolen,
some power lines are always charged). Therefore, if we
need, such branches can be separately added to one of
electric islands according to the information of switch
table. Fortunately, such branches must locate at the
edge of electric island, like the leaves of a tree, can be
tackled easily and will not affect the finished work.
Tie switch should be attached to a virtual branch.
6. Conclusions
A modeling and connectivity analysis method for
electricity distribution network based on relation
database in GIS is proposed in this paper, whose
features are as follows.
a. Instead of taking switch as a branch, we add it to
a branch and add put-cut attribute to describe branch’s
status, the attribute value depends on the attached
switches. Before a connectivity analysis is carried, the
attached switches can define the branches’ status, so
the analysis scale of network is reduced.
b. If the purpose is to get electric islands with supply
nodes, using the proposed search method will be very
suitable. In general, electricity distribution networks
always operate in radial configuration though they are
usually designed as meshed networks in order to
increase the reliability of supply, so those got electric
islands are radial networks, dynamic node number will
be of advantage to carry power flow calculation by
back/forward sweep method.
c. The storage of network topology based on
relation database has the advantage of using some
developing tools to make efficient program.
7. Acknowledgement
The authors wish to thank the Doctoral Foundation
of North China Electric Power University for the
financial support (No.200712002).
8. References
[1] F.V. Gomes, S. Jr. Carneiro, J.L.R Pereira, M.P. Vinagre,
P.A.N. Garcia, E.J. Oliveira, and L.R. Araujo, “A new
distribution system reconfiguration approach using optimal
power flow technique and sensitivity analysis for loss
reduction”, IEEE Power Engineering Society General
Meeting, 2005, vol. 1, pp.897-901.
transmission line based on graph theory”, Journal of China
Gorges University (Natural Sciences), 2006, vol.28, no.4,
pp.321-323.
[7] Y.S. Ong, H.B. Gooi, and C.K. Chan, “Algorithms for
automatic generation of one-1ine diagrams”, IEEE
Proceedings Gener, Transm, and Distrib, 2000, vol.147,
no.5, pp.292-298.
[8] X.Z. Wang, and X.L. Li, “Topology identification of
power network based on incidence matrix”, Power System
Technology, 2001, vol.25, no.2, pp.10-16.
[9] K.C. Lu, and H.M. Lu, Graph Theory and Its Application,
Tsinghua University Press, Beijing, 1995.
[10] R.C. Luo, and ·W.G Li, “Research on the algorithm of
electric connectivity analyzing for distribution network based
on graph theory”, Transactions of China Electrotechnical
Society, 2005, vol.20, no.10, pp.98-101.
[11] T. Sawa, T. Furukawa, M. Nomoto, T. Nagasawa, T.
Sasaki, K. Deno, and T. Maekawa, “Automatic scheduling
method using Tabu search for maintenance outage tasks of
transmission and substation system with network constraints”,
IEEE Power Engineering Society Winter Meeting, 1999,
vol.2, pp.895-900.
[12] X.M. Li, Y.H. Huang, and X.G Yin, “The improving
GA coding and decoding techniques for distribution network
reconfigurations”, 39th International Universities Power
Engineering Conference, 2004, vol. 1, pp.79-84.
[13] P. Wang, X. Wu, Z.Y. LU, and K.Y. Lin, “Connectivity
judgement for electrical power network based on relation
database”, Journal of Tianjin University, 2002, vol.35, no.4,
pp. 501-505.

[2] M. Horvat, J. Vorsic, A. Orgulan, and G. Skerbinek,

“Reduction of active losses with reconfiguration of electricity
distribution networks”, IEEE Transmission and Distribution
Conference, 1999, vol.1, pp.154-159.

[3] Y. Zheng, B.X. Zhou, and Q. He, “Topology analyzing

method and application for distribution network based on
GIS”, Relay, 2004, vol.32, no.14, pp. 25-28.

[4] J. Liu, Y. Wu, and G.Q. Liu, “Conversion from GIS

based feeder maps to e1ectric diagrams”, Automation of
Electric Power Systems, 2005, vol.29, no.14, pp.73-77.

[5] S. Hu, X.J. Xu, and X.L. Feng, “GIS-based dynamic

relationship of topology to generate electrical diagrams of
distribution network”, Relay, 2007, vol.35, no.9, pp.52-55.

[6] G.H. Li, H.B. Chen, and S.M. Meng, “Method to

compose dynamic topological relations of relations of power

543
 2008 International Conference on Intelligent Computation Technology and Automation
A New Approach to Simulation of Combustion in Gasoline Engines
Yuelin Li Zhiqiang Liu
Institute of Automobile and Mechano Engineering, Changsha University of Science and
technology, Changsha City
Email: li.yuelin@163.com
Abstract
Combustion modeling is a very important method in
designing internal combustion engine. In this paper, a
two-zone model and also a multi-zone one with
Advance Angle and Coefficient of the Residual
Exhaust Gas respectively, in a BJ492Q gasoline
engine. All the results of these calculations have been
compared with experimental measurements. The
results show that the proposed models are very valid
and effective.
1. Introduction
In this paper, a new two-zone and a new
multi-zone model are proposed for combustion in a
gasoline engine. These models can be used for
analyzing combustion chambers with different
structures, predicting their performances and
optimizing their configurations. Assuming that a flame
front propagates in spherical waves [1], the flame front
divides a combustion chamber into unburned and
burned zones. Each of the two zones is assumed to be
in thermodynamic equilibrium. The rate of burning
fuel is taken to be the product of the speed of a
turbulent flame, the area of the flame front and the
density of the unburned mixture. Consequently, when
calculating the rate of combustion, the effects of
turbulence are included, with the geometry of the
combustion chamber. The empirical ratio of the
turbulent to the laminar burning velocity can be
978-0-7695-3357-5/08 $25.00 © 2008 IEEE
DOI 10.1109/ICICTA.2008.394
diagnostic and predictive functions are proposed for
combustion in a gasoline engine. These models have
been used to predict the performances and their
changing with variable parameters such as Ignition
regressed. These results in combustion being
simulated are better than those by a single-zone model.
2. Fundamental Equations for Combustion
Models
Figure 1[2] depicts a flame front moving in a
spherical shape, and radius of curvature r . The
combustion chamber in Fig.1 is divided into an
unburned zone and a burned zone, whose volumes are
Vu and Vb , respectively, average temperatures Tu
and Tb , respectively, and the common pressure is p .
The upper boundary of the combustion chamber is the
irregularly shaped cylinder head and its lower
boundary is the piston head. There is no heat transfer
between the two zones.
Based on above-mentioned assumptions, in terms
of First Law of thermodynamics, the conservation
equations of energy can be deduced, respectively, for
the burned and unburned zones, as follows:
⋅
muU u = H u m u + Q u − pVu （1）
544
 combustion models.
cylinder head
3. Combustion Models
spark -plug
Qu

r 3.1. Multi-zone Model

Qb
b urn ed zo ne
One of the specialties of combustion in a gasoline
p Tb Vb m b
engine is that the flame front propagates from layer to
p iston h ead
layer. Therefore, the mixture in the combustion
u n b urn ed zo ne chamber is inhomogeneous at different location and
p Tu Vu m u different time. To describe the characteristics of the
combustion more realistically, the burned zone can be
Fig.1 Schematic diagram of the two-zone divided into some small zones, in which the mass of
combustion model the mixture in each small zone is constant and the
⋅ mutual effects between them are considered by use of
mbU b = H u m b + Q b − pVb （2） the change of their volumes [3]. Assuming these small
In this paper, the superscript dots means zones are adiabatic each other and there is no mixing,
differentiating with respect to the crank angle ϕ . then, each small zone is a single-zone system and in a
Assuming the internal energy of mixture in state of chemical equilibrium. The common pressure
of the whole zone is still p . This method is shown in
unburned zone is only a function of temperature Tu ,
Figure 2.
but it is influenced by decomposition in burned zone,
then, following equations can be obtained: 1 mz

∂U u 
U u = Tu = cvu Tu （3） 2 mz
∂Tu
3 mz
∂U b  ∂U b ∂U b
U b = Tb + p = cvbTb + p (4) nA
∂Tb ∂p ∂p mz
In unburned and burned zones, the state equations
of perfect gas are, respectively: Fig. 2 Schematic diagram of the multi-zone model
divided by the equipartition of mass
pVu = mu Ru Tu （5）
Supposing that the total mass of the mixture in a
combustion chamber is m and it is divided into n
pVb = mb RbTb （6）
parts, then, the mass in each small zone is
The relationship of the rate of burning fuel, the
m z = m / n . Again, supposing that m x is the mass
velocity of the turbulent flame and the area of the
flame front can be expressed as: of burned mixture in a preparing zone (in this zone,

m b = ρ u A f υ T （7） mixture is burning) and n A is the serial number of

Equations 1～7 are the fundamental equations for the preparing zones. In combustion, a new preparing

545
 Vx = Vu ( p / p + m x / mu − Tu / Tu ) + V − ∑Vi (13)
zone is formed, if

mx ≥ mz (8)
Equations 10～13 constitute the diagnostic model
This process continues until of the multi-zone model.

nA = n (9) 3.2.2. Predictive Model. The rate of pressure change

is
Initially, the temperature in a new preparing zone
is equal to that in the zone previous to it. The excess p = D x / E x （14）

mixture ( m x − m z ) in the previous zone should be where

calculated in the new preparing zone. The small ⎧ ⎡(U x − U u ) ⎤

⎪⎛ c ⎞  ⎢ ⎥
burned zones are in the state of transferring heat to D x = −⎨⎜⎜1 + vx ⎟⎟ pV + ⎢ ⎛ RT ⎞ ⎥
⎪⎝ Rx ⎠ − cvx ⎜⎜ Tx − u u ⎟⎟m x
walls, powering piston and being compressed by the ⎢ ⎝ Rx ⎠ ⎥⎦
⎩ ⎣
small zones formed subsequently.
⎛c c R ⎞ ⎫
3.2.1. Diagnostic Model. The rate of temperature
+ ⎜ vu − vx u − 1⎟Q u ⎪
⎜c c R ⎟ ⎪
change in burned small zone i ⎝ pu pu x ⎠ ⎬
Vi p + Q i c R ⎪
Ti = , i = 1,2,3," n （10） − Q x − vx
∑ i
Q i − p ∑ Vi ⎪
m z (Ri + cvi ) Rx Ri + cvi ⎭
The rate of temperature change in the unburned cvx cvx RuVu cvuVu ∂U x
zone is Ex = V − + + mx
Rx R x c pu c pu ∂p
V p + Q u
Tu = u （11） +
c vx
∑R
RiVi
i + c vi
mu c pu Rx
The rate of change in the mass of burned mixture The rate of temperature change in the unburned
in a preparing zone is zone is

m x = Ax / B x （12） ( )
Tu = Vu p + Q u / (mu c pu ) （15）

Where The rate of temperature change in burned small

⎛ ∂U x ⎞ zone i
⎜ mx ⎟
⎛
Ax = (mu Ru Tu − pV )⎜⎜1 +
c vx ⎞ ⎜
⎟⎟ − p ⎜
∂ p ⎟ ( )
Ti = Vi p + Q i / (m z (Ri + cvi )) （16）
⎟
⎝ Rx ⎠ c
⎜⎜ + Vu + vx V ⎟⎟ The rate of temperature change in a preparing
⎝ Rx ⎠
zone is
c
+ Q x + p ∑ Vi + vx ∑ m z Ri Ti
p ⎡ p ⎛ R x Tx Ru Tu ⎞
Rx Tx = ⎢V + V − ⎜⎜ − ⎟⎟m x
m x Rx ⎣ p ⎝ p p ⎠
cvx
B x = (U x − U u ) + (RuTu − RxTx ) (17)
V R p R Q m ⎤
Rx − u u − u u − z ∑ Ri Ti ⎥
pc pu pc pu p ⎦
The rate of volume change in a preparing zone is

546
 Equations 14～17 constitute the predictive model temperature of chamber walls.
of the multi-zone model. Combined with sub-models
such as the model of the characteristics of the mixture 5.Prediction of Performances Changing
and the geometry model, they can be solved by a with Variable Parameters Based on the
fourth order Runge-Kutta method and the predictive Multi-zone Model
calculation can be carried out.
5.1. Effects of the Change of Ignition
4. Validation Advance Angle on Performance
Parameters
In order to verify the validity and effectiveness of
the combustion models and calculation programs The experimental gasoline engine was a
proposed in this research, the indicator diagram and production BJ492Q with operating conditions 2500
the characteristic parameters at full throttle in a r/min, 29.4 kW. In calculations, a single parameter is
BJ492Q gasoline engine were measured, and the changed at a time. The effects of the changes on
corresponding data were calculated. Figure 3 gives the combustion can be predicted, and some important
comparison of these experimental measurements with factors relative to the saving of energy and pollution
the calculation results. control in gasoline engines can be found.
Figure 4 gives the calculation results of the
4
pressure, temperature, velocity of turbulent flame and
3
the concentration of NOx with the change of
2
ignition advance angle. Obviously, with the reduction
test curve
p/Mpa

1
of ignition advance angle, the curves of indicator
calculation curve diagram moves rightwards, the increase of the pressure
slows down, the maximums of the temperature and
60 90 120 150 180 210 240 270 300
velocity of the turbulent flame go down and the
Fig.3 Comparison of the experimental
amount of NO x lessens.
measurements and the calculation results of the
indictor diagram at 2500 RPM, 24.9kW, with the
coefficient of the residual exhaust gas Fr=0.94 in a 5.2. Effects of the Change of the
BJ492Q gasoline engine Coefficient of the Residual Exhaust Gas on
Performance Parameters
It is known from Figure 3 and that the relative
error of the pressure in cylinder is less than 5%, and
Figure 5 shows the calculation results with the
that of indicated work is less than 4% during
change of the coefficient of the residual exhaust gas
combustion. Obviously, the computations have been
improved due to that the effects of turbulence on Fr , which is the ratio of the mass of the residual
combustion were considered. The case of error comes
exhaust gas to the fresh mixture. When the range of
from the assumptions made in the models. Another
reason is the lack of precise experimental Fr is 0.03～0.09, the change of the indicator diagram
measurements of the coefficient of heat transfer, the
and indicated work is slight, and the change of the
coefficient of residual exhaust and the transient

547
temperature and the velocity of the turbulent flame is (EGR) and reduction of ignition advance angle can be
also slight in both burned and unburned zones. used to reduce the explosion pressure and the
maximum of the temperature in combustion.
However, the change of the concentration of NO x is
Meanwhile, these measures can reduce NOx
great. The concentration of NOx reaches its
emitted with only little influence on indicated work
and thermal efficiency.
minimum at Fr =0.09. So, Exhaust Gas Recirculation

4 ignition advance angle 26¡ã 3000 ignition advance

angle 26¡ã
3 2500

Tu Tb / K
22¡ã
p/MPa

22¡ã 16¡ã
2 16¡ã
2000
1000
1 1500 26¡ã22¡ã
500 16¡ã
90 120 150 180 210 240 270 90 120 150 180 210 240 270
crank angle/¡ã crank angle/¡ã

20
UT/ms - 1

10 -3
ignition advance angle 26¡ã 6.4 ignition advance angle 26¡ã
15
4.8
NOx

10 22¡ã 22¡ã
3.2
16¡ã 16¡ã
5
1.6

160 170 180 190 200 160 180 200 220 240 260
crank angle/¡ã crank angle/¡ã
Fig.4 Effects of the change of ignition advance angle on the performance parameters
at 2500 RPM, 29.4kW in a BJ492Q gasoline engine
4 3000 Fr:0.03
Fr:0.03
3 2500 0.06
0.06
Tu Tb /K

0.09
p/MPa

2 0.09 2000
1000
1 1500 0.09
500 Fr:0.03 0.06
90 120 150 180 210 240 270 90 120 150 180 210 240 270
crank angle/¡ã crank angle/¡ã
NOx 10 -3

8.0
Fr:0.03
6.0
0.06
4.0
2.0 0.09

160 180 200 220 240 260 280

crank angle/¡ã

Fig.5 Effects of the change of the coefficient of the residual exhaust gas on the performance parameters at

548
 2500 RPM, 29.4Kw in a BJ492Q gasoline engine
6. Summaries

(1)A multi-zone model has been investigated for
combustion in a gasoline engine. The calculation
results agree well with experimental measurements,
showing that the simulation is reasonable.
(2)The modeling identifies some parameters
which greatly affect an engine’s performance. For
sensitive to the coefficient of residual exhaust.
（3）In the multi-zone model, the burned zone is
divided into some small zones with different
temperatures, so that the combustion in the cylinder
can be described more realistically.

example, the amount of NOx emitted is very

Acknowledge

The authors are grateful for the supports given by (06JJ20045) and the foundation of the bureau education
the natural science foundation of Hunan Province of Hunan Province (07A004).

References

[1] Liu Xun-jun, Combustion Modeling in [3] Li Yue-lin, “A Multi-area Model and Its
Reciprocating Engines, China Machine Press, Beijing, Applications to Combustion in Gasoline Engines”, A
China, 1987. Dissertation Submitted to the Academic Degree’s
[2] Jiang De-ming, Combustion and Emission in Evaluation Committee of Chang’an University for the
Internal Combustion Engines. Xi’an Jiaotong Degree of Doctor of Philosophy in Engineering, Xi’an,
University Press, Xi’an, China, 2001. China,2001, pp.15-20.

549
 2008 International Conference on Intelligent Computation Technology and Automation
A New Epidemic Disease Predicting Method
LI-Zhen peng, LI-Xiao yi, Shi-Yan hua
School of Mathematic and System Science ShenYang Normal University, Shen’Yang,110034
lnlzhp@126.com
Abstract
Considering the epidemic data in a long duration
as non-stationary time series, we present a novel
comprehensive model free infection prediction scheme
with combining both wavelet multi-resolution analysis
and wavelet neural network. The performance of the
new approach is illustrated by an application to
predicting the US CDC (03-04) %ILI data, simulation
result shows our method is valid and has high
prediction accuracy.
1. Introduction
Developing a technique for epidemic control and
prediction is an important and complex process that
includes the severity of the outbreak unpredictability
of the time of emergence of the epidemic disease and
the effectiveness of epidemic interventions. The reason
is that epidemic diseases surveillance is critical for
detecting and responding to natural outbreaks as well
as for addressing serious public health concerns
The aspect of surveillance that looks for signals and
symptoms characterizing an abnormality in a given
population takes the name of syndromes surveillance.
Syndromes surveillance applies to surveillance by
using public health-related data in ER(Emergence
Room) or CDC(Center for Disease Control). That
precedes diagnosis and signals a sufficient probability
in a case of an outbreak to warrant further public
health response.
However, building an effective and accurate model
for epidemic diseases prediction is still the challenging
problem. In fact, in a long duration the epidemic data
is non-stationary time series; see figure 1 the US
disease control center (CDC) influenza like illness (ILI)
percentage [1] distribution. It is obviously that the
irregularity, unpredictability and randomness of the
epidemic disease data characteristic can be seen
through this figure. Epidemic data present their own
challenges, thereby demanding more sophisticated
978-0-7695-3357-5/08 $25.00 © 2008 IEEE
DOI 10.1109/ICICTA.2008.77
analysis tools. For example, the study of influenza
related data is complicated by the fact that the course
of flu differs from year to year and that the three types
of influenza (A, B, C) antigenic Properties of their H
and N molecules can mutate to create explain why the
flu vaccine must be reformulated each year and also
give us another reason why the flu vaccination
program can’t eradicate influenza. This is the main
reason that any epidemic history data set is far from
providing a consistent estimation of predicting model
parameters. Even in the case the same subtype of
influenza hits a given geographic area over
consecutive years, it does neither guarantee having the
same distribution parameters as the previous years due
to the fact that the susceptible and the exposed
populations are dynamics. For this epidemic diseases
characteristic any attempts try to build and model to
estimate or predict epidemic disease is just like
shooting a moving target.
In this paper, we attempt to build a new scheme for
epidemic disease prediction and surveillance by
applying signal processing method and neural network
learning cooperatively.
Figure 1. % ILI in the US between years 02~04.
2. Epidemic prediction based on wavelet
analysis and neural network
We transplant the ideas and methods of signal
processing, looking the long duration epidemic data as
550
non-stationary signal. Through wavelet multi-
resolution analysis, the signal can be decomposed into
high frequency parts and low frequency parts, the low
frequency parts is the non-stationary signal trend terms,
and the high frequency parts corresponding to original
signal random terms. Through this decomposition, we
can easily describe analyze or predict epidemic
outbreak comparing with those conditions with more
random noise corrupted. In fact, many researchers
have applied those signal-processing ideas and
methods to non-stationary finance time series and the
other related fields[See2,3]. About wavelet theories
please refer to [4].
Most of epidemic models are base on parameters.
But, it is difficult to build a precise parameter
prediction model for the reason that epidemic data
non-stationary character as introduction we have
discussed above. Figure 3. CDC %ILI data 3 scales wavelet
However, neural network can approximate to any decomposition week 40 year 03 ~ week 39 year 04.
non-linear function; in addition to its characteristic
of parameters free, it needn’t a precise mathematic 3. CDC data simulation experiment results
model for prediction. All those mentioned above can
contribute to non-parameters epidemic data Figure 2 shows the flow chart for wavelet analysis
predicting procedure. and BPWN epidemic predicting procedure.
Back Propagation Neural Network (BP) is the In our simulation experiment, we apply the US
widely used neural network, especially in epidemic CDC % ILI data from week 40 year 2003 to week 39
researching fields. John [5] etc prove the assumption year 2004. See figure 3 for those data’s 3 scales
that the disease of HIV developing procedure wavelet decomposition. We extract A3 and input
depending on HLA-I and HLA-II gene interaction BPWN for learning and predicting. Figure 4 show its
with TAP. In this paper, we adopt the BP wavelet prediction result, we can see that BPWN performs
neural network (BPWN)[6] for learning and outstandingly well for tracking the true %ILI data. In
Table 1 we present the simulation result for %ILI
prediction to the low frequency epidemic data after
data’s predicting value, true value and absolute error
wavelet analysis. This kind of BP wavelet neural
value. Figure 5 shows the prediction error distribution.
network has good function approximating and
Table 1. Week 40 year 03~week 39 year 04 %ILI
extensible ability; because it combines the wavelet prediction result.
multi-resolution characteristic and BP neural Prediction True Absolute
network strong point. Week
value value error
40 0.8808 0.8830 0.0022

41 1.0233 1.0250 0.0017

History Extract BPWN 42 1.2706 1.2800 0.0094
epidemic Low
signal frequency Prediction 43 1.3310 1.3230 0.0080

f (t ) f Af  Df Af 44 1.7578 1.7640 0.0062

45 2.4037 2.4260 0.0223

46 2.6971 2.7100 0.0129

Wavelet decomposition BPWN learning
47 3.6935 3.7140 0.0205

48 4.5183 4.5440 0.0257

5.4050 0.0484
Figure 2. Flow chart for prediction. 49 5.3566

50 7.3791 7.4190 0.0399

51 7.4450 7.5070 0.0620

551
52 7.5997 7.6440 0.0443

01 5.1054 5.1480 0.0426

02 2.8790 2.8960 0.0170

03 2.0954 2.1030 0.0076

04 1.8759 1.8830 0.0071

05 1.7592 1.7710 0.0118

06 1.4417 1.4580 0.0163

07 1.3698 1.3800 0.0102

08 1.2886 1.3030 0.0144

09 1.0690 1.0880 0.0190

10 0.9799 0.9930 0.0131

Figure 4. %ILI BPWN prediction
11 1.0271 1.0300 0.0029
output and true data.
12 1.0547 1.0580 0.0033

13 0.8443 0.8530 0.0087

14 0.7443 0.7490 0.0047

15 0.6608 0.6620 0.0012

16 0.6768 0.6800 0.0032

17 0.6325 0.6350 0.0025

18 0.5841 0.5730 0.0111

19 0.5725 0.5930 0.0205

20 0.5875 0.5890 0.0015

21 0.6755 0.6780 0.0025

22 0.6375 0.6370 0.0005

23 0.8002 0.8100 0.0098

Figure 5. BPWN prediction error.
24 0.8359 0.8350 0.0009

25 0.6111 0.6140 0.0029

4. Conclusion
26 0.5168 0.5140 0.0028

27 0.3568 0.3520 0.0048 In this paper, firstly we extract the low frequency
part after the “non-stationary signal” wavelet
28 0.5472 0.5410 0.0062
decomposition, and then input it to the BPWN, by
29 0.5766 0.5810 0.0044 doing this, sufficiently apply the wavelet multi-
30 0.5006 0.4940 0.0066 resolution analysis and neural network model free
characteristics.
31 0.6086 0.6110 0.0024
We apply our scheme to the US CDC %ILI dataset
32 0.5185 0.5330 0.0145
and result shows that it has effective predicting ability.
33 0.5173 0.5220 0.0047 Application of the technique described in this paper is
34 0.5652 0.5730 0.0078 possible for non-stationary time series prediction and
detecting specific to many settings, and hold promise
35 0.6422 0.6600 0.0178
for the better understanding of the role that signal
36 0.6066 0.6140 0.0074 processing plays in the spread of infectious disease
37 0.6488 0.6580 0.0092 forecasting.
In fact, excepting for long trend term separated after
38 0.7277 0.7270 0.0007
the wavelet-decomposed procedure, others levels
39 0.6919 0.6940 0.0021
include periodic and random term. In practical
applications, also we can utilize the decomposed
periodic term for epidemic outbreak possible

552
periodicity forecasting, if those random noise term can
be ignored. All those will be our next research focuses.
Acknowledge
The corresponding author thanks professor LI-De
Sheng (applied math department, school of mathematic
and system science Shen Yang Normal University) for
his warmhearted support and enlightening suggestion,
also thanks professor LI-Xiao Yi, lecturer Deng Shu,
LIU-Rui Yin and SUN-Xiao Wei for their useful
discussions.
This work is supported by grants from Higher
Learning Institutes Foundation of Liaoning province
(NO.20060842) and Shen Yang Normal University
Foundation.
We thank the ICICTA’08 reviewers for helpful
comments on the presentation.
References
[1] http:// www.cdc.gov/flu/weekly/regions2003-2004/
datafinal/senregallregion03-04.htm
553
http://www.cdc.gov/flu/weekly/weeklyarchives2002-
2003/data/senallregt02-03.htm
[2] A. Aussen, J. Campell, and F. Murtagh, “Wavelet based
feature extraction and decomposition strategies for
financial forecasting”. Journal of Computational
Intelligence in Finance, 1997,pp.1-17.
[3] W.S. Wang, H.K. Xiong and J. Ding “Study on wavelet
network model and its application to the prediction of
daily discharge.”, Advances in Water Science,(in
Chinese),2004,pp.282-286.
[4] J.T. Cui, Introduction to Wavelet Analysis (in Chinese),
Xi'an Jiaotong University Press, Xi'an, 1995.
[5] J P. Ioannidis, PG. Mc queen etc, “Use of neural
networks to model complex immunogenetic associations
of disease: human leukocyte antigen impact on the
progression of human immunodeficiency virus infection”,
Am J Epidermal, 1998, pp.464- 471.
[6] Zhe Chen, Tianjin, Feng, Chen Gang, “A kind of BP
algorithm-learning wavelet neural network”, Journal of
ocean university of Qingdao,Qingdao,2001,pp.122-128.
 2008 International Conference on Intelligent Computation Technology and Automation
A New Parallel Segmentation Model Based on Dictionary and Mutual
Information
Liu Bo, Tang Liang Gui, Tang Can
Computer Science And Information Engineering College,ChongQing Techology and Business
University
Liubo7971@163.com
Abstract
It is difficult to compute the word frequency for
mutual information segmentation. Statistic of word
frequency of parallel mutual information is integrated
with dictionary segmentation to improve efficiency in
this paper. The parallel model and dispatching policy
are presented, the paper also gives the speed up ratio
of parallel model at the same time, periods pattern
string and non periods pattern string are optimized in
parallel model. Experiment show that the algorithm is
available. The parallel model also can use for other
segmentation algorithms that base on statistic of word
frequency.
1. Introduction
Chinese segmentation is a very important area in the
Chinese Information processing. The research methods
about Chinese segmentation are generally divided into
three methods[3] : The first one is based on dictionary
which has the higher efficiency. But it is unable to deal
with unknown words. The second one is based on
statistics which is can deal with the unknown words.
But it has no efficiency. The third one is hybrid which
is combining the advantages of the two methods before
and was widely used.
Currently, the distinction of unknown words is the
focus of Chinese segmentation research. The words
which are called unknown words are the terms which
do not appear in dictionaries. Such as names of people,
names of places, abbreviation and the new technical
terms. The dictionary cannot record all of the terms
such as “神六” (“神州六号”). But these words
are often having a higher recall ratio. Therefore the
study of unknown words is very important. There are
many methods on the study of unknown words , but
four main methods. The first one is based on the
statistical methods. The second one is based on the
combination of statistical and dictionary [2]. The third
one is based on “mutual information” which contain
the auto segmentation algorithm which is common
affected by t-tests and no-word list[1]. The fourth one
978-0-7695-3357-5/08 $25.00 © 2008 IEEE
DOI 10.1109/ICICTA.2008.369
is based on the statistics of χ2 and so on. The mutual
information method is widely used, because it is
simple and effective. The essence of mutual
information method is the statistics on the frequency of
words which is called word frequency. Because the
number of the phrase and the information of the text in
statistics is very much and it is inefficient. So people
made many improvements on this method , For
example, some people use hash to improve the
efficiency of statistics in literature [4] and other people
in literature [5]use multilevel machine code to
implement the parallel segmentation. but it did not give
the parallel model and strategy. Also we have the
parallel segmentation on PC which is implement by
multithreading but it isn't the real parallel segmentation
in literature [6] , In literature [7] many people have
already discussed the Chinese string matching whose
distribution strategy is too complex and not easy to be
implemented and efficiency is not high. authors in
literature[8]have parallel string matching algorithm
which discussed the periods pattern string and non
periods pattern string. But the author don’t discussed
Chinese segmentation and also without the
corresponding distribution strategy. This article
introduces a new Chinese statistics parallel model
which is based on mutual information. We introduce a
method that compute word frequency and use the
mutual information to determine whether it is unknown
words. If the word is unknown words, it will be added
to a dictionary.
2. mutual information segmentation
Mutual Information is a fundamental concept in
information theory. Usually used to describe the
statistical correlation between the two systems or the
volume of information in one system which contained
in another system.
When people use their language in communicative
activities,they found that the use of language
components show a certain regularity.Chinese
Characters is words or not, we can use the mutual
information to study. The essence of mutual
554
information segmentation is to reveal the regularity of
language by statistic methods.
The dictionary in segmentation is word list. We
match the candidate words in the text and the word in
word list when we identify the words. If successfully,
the candidate words must be the target word and will
be divided, or else not. The characteristics of based
Dictionary segmentation method is having high
accuracy rate. It often combined with HASH[2] and the
efficiency is much higher but it can’t identify the
unknown words. In this paper we first need to split the
string of words in the dictionary to find out for Hash. If
it was found that the word had been recorded words
and then turned the search for the next string.
Otherwise, we take parallel segmentation base on the
mutual information. This will greatly improve the
efficiency of the segmentation.
2.1 Principles of mutual information
segmentation
Definition 1: xy is a string of Chinese characters.
The mutual information of the characters of x,y has
been defined:
p ( x, y )
mi( x, y ) = log
2 p ( x) p ( y )
p (x, y) is the same probability of xy which are
Chinese words. p (x) is the probability of x which is a
Chinese word and p (y) is the probability of y which is
a Chinese word. Mutual information has been used to
calculate the bond ability between of two words
quantification ally. The More mutual information, the
higher the tightness between the two words. The Less
the mutual information, the lower tightness between
the two words. When the mutual information exceeds a
certain threshold value F, the string is a word.
Otherwise, it is not a word. The algorithm has been
described as follows:
Algorithm 1: The algorithm of mutual information
segmentation based on dictionary.
Input: Text string T[1，n] and dictionary D
Output: All the unknown words in T
procedure unknowWords(T)
begin
deleteWord(T) /* Delete the words which are
can’t be composed into a word*/
For j:=1 to m-1 do
begin
patStr:= ；/*Obtain the pattern strings. Ck is
a Chinese words in T. */
if(!findInDict(D，patStr) /*If did not find
the pattern strings in dictionary*/
begin
555
tmpF=KMP_Match(T，patStr)；
if( result F) /* If the frequency of pattern
strings greater than or equal to the specified threshold
value F then the patStr is a word */
addToDict(D，patStr)/* Add the patStr
into dictionary of D */
end
end
end
From this we can know that the nature of mutual
information segmentation is the statistics of word
frequency which is called Chinese string matching.
When the statistics is facing enormous amount of
information in application it is inefficiencies.
3. Parallel principles of mutual
information segmentation word
Given the principles of the Statistic parallel
segmentation that based on literature [8] as follows:
(1)Deleting the characters which are can’t be
composed into words in the sentence and it don’t
contain the punctuations.
(2) Sending the sentence to the slave machine by
some certain distribution strategies.
(3) Using the algorithm 1 that is definited in 2.1 is
to get the pattern strings from the beginning of the
sentence.
(4) We should estimate the pattern string is in the
dictionary or not before it is sent to the slave machine.
The composition of the dictionary and the method of
estimation are in literature[9]. If it is in the dictionary
the pattern string is a word and it don’t need to be sent
to the slave machine then we can jump to step (2). If it
isn’t in the dictionary we should send the pattern string
to the slave machine.
(5) When the slave machine received the pattern
string then it will estimate the pattern string whether is
periodic or not. If yes, we can call the periodic
matching algorithm.Or else,we can call the nonperiodic
matching algorithm.
(6) The word frequency of pattern string of each
slave machine will be send back to the master machine.
(7) The master machine will add the frequency of
all the pattern string which had been send back by each
slave machine. We can calculate the mutual
information value of the word according to the mutual
information formula. If The value greater than the
specified threshold value F, adding it into the
dictionary then jump to step (3).
The processing is showed in figure 1.
 Begin
Filtering character are can’t be composed into words
Decompose word set and send to slave machine
Is pattern string in
dictionary? yes
NO
Send pattern string to slave machine
Slave send word frequency of pattern
string to master machine
Compute word frequency and
mutual information.then add word
to dictionary
Do get all pattern string ?
no
yes
End
Figure 1 Process of Parallel Principles of Mutual
Information Segmentation Word
3.1 Parallel model environment
The architecture of the parallel model in this paper
is Master/Slave. The parallel software is PVM for the
Linux operating system. PVM is a general messaging
system. We can make the computer in network become
a parallel virtual machine. The message mechanism of
PVM is important partial in PVM. PVM support
various parallel computing models which are including
Tree model and Crowd model and Master-Slave model
and Function-Based model. Because PVM support lots
of computing model so its flexibility and function has
been strengthened. In particular, when a certain model
of the sub-tasks may be expressed by other parallel
programming model we can select a very flexible
manner to program. The common models are SPMD
(Same Processor Multiple Data) and the Mater/Slave
in the computing models of PVM. Master/Slave is
widely used. Master machine can divide and distribute
the task and collect the results. Meanwhile,Slave
machine will execute sub-task. We adopted
Master/Slave model in this paper.
3.1.1 The distribution strategy of data
556
Distribution strategy is important for the Parallel
model. The distribution strategy will have a direct
impact on the efficiency of the whole parallel
algorithm. We can describe the distribution strategy of
data from three aspects for the statistic parallel
segmentation.
(1) Distribution of Data
The important part of statistics parallel segmentation
algorithm is how to distribute the terms in the sentence
to every slave machine. If we split it evenly the
original semantics might be destroyed and we may not
get a correct unknown phrase. We improve the
dividing of word set which are distributed on the slave
machine. We can assume that there are p computers
can be used for the parallel computing. So there are
k=n/p characters has been assigned to each computer.
If on the position of k is not punctuation, we can search
for the next until there is a punctuation mark.
If the punctuation had been found after k characters
the number of the characters had been send to the first
slave machine is k+m. The characters which has been
send to the second nod machine can start to search
from the position of k+m+1 and the number of the
characters would be searched is also k . it will estimate
whether there is a punctuation. If no punctuation had
been found it would continue to search until there is
punctuation. If not, it will continue to search for
punctuation. Then this sentence information will be
send to the second slave machine. It will be distributed
until all slave machines have word set.
(2) Asynchronous Data Exchange
Because the computing capability and the
hardwareenvironment are very different of the
computers which are used for the parallel calculation.
Therefore, the time they need to match the same
character strings is different. We will exchange the
data asynchronism between the Master and the slave. If
the slave machine finished the matching task which the
Master had been assigned to，it will send back the
result to the Master. The Master received the result and
saved it then it would assign the next task for it. When
all the pattern string matching had been send back to
the master, the Master would compute the word
frequency. Finally, it will estimate the pattern string
whether is an unknown word or not.
For example: after slave machine finished two
words of matching, word frequency will be send
master machine, then master machine send three words
pattern string to the client machine that finished two
words of matching. When all slave machines finished
two words of matching, master machine record word
frequencies that come from all slave machines and
send three words pattern string to other slave
machines.
 (3) Periods Chinese Pattern String and Overlap
Chinese Pattern String
Definition 2[8]: Period Chinese String. if string P is
prefix of Uk（K≥2）which is substring of P， string
Uk is called period of string P， period of the most
short length called minimal period . for Chinese string:
“ 五 五 摊 销 法 与 摊 销 法 的 区 别 ...... ” ,result of
cleaning the string is “五五摊销法摊销法区别......”
, “摊销法摊销法” called Period Chinese String, “
摊 销 法 ” is minimal period. Period Chinese String
often happen in Chinese.
Definition 3 : Overlapped Chinese string. If the
Chinese string have a U1k U2k…Unk (K≥2)form to
be called overlapped Chinese string. For example: “
花花绿绿”, A lot of words are overlapped Chinese
string in Chinese.
Period Chinese pattern string and overlapped
Chinese pattern string will be compressed and
distributed to each slave machine during segmentation
word processing. For Chinese pattern string “摊销法
摊销法区别”，it only sendchinese string “摊销法
” and repeat count 1, it send chinese string “区别”
At last. slave machine receive these messages and
4. Experimental evaluations
uncompress the Chinese pattern string to begin
The experiment base on parallel model in this
matching. Overlapped Chinese pattern string is similar
paper. Experimental conditions are three computers
to Period Chinese pattern string during processing.
that have 667M CPU and 512M memory and two
computers that have 1.2G CPU and 256M memory. All
3.2 Parallel model architecture machines use Red Hat Linux 8.0 and PVM, word sets
are Chinese characters and 1.2M. Steps in the
The parallel model introduces architecture of Master- experiment:
Slave. Master machine use strategy that is proposed in (1) A computer that have 512M memory is used to
3.1.1 section to send data to slave machine. At the master machine.
same time, master machine will collect the result that is (2) Increasing the numbers of slave machines.
return by slave machine. When slave machine receive (3)Observing Segmentation efficiency and
the data that is send by master machine, it will use Accuracy when we use different numbers of slave
mutual information segmentation algorithm to compute machines.
data. After slave machine finish the count. Its can send (4) Comparing with serial conditions and
the result to master machine. Master machine use computing the accelerator ratio of parallel model. The
Asynchronous data exchange strategy that is experiment result is shown in table 1
introduced in 3.1.1 section and multithreaded Number 1 2 3 4 6
programming method to exchange of data. The parallel machine
model is showed in figure 2: Accuracy 82.2% 81.1 81.3 81.2 82.4
% % % %
Spending time 213 202 193 184 176
(second)
Table 1 experiment result

Base on table 1,We conclusion the speedup ratio of

parallel segmentation algorithm,the formula of speedup
ratio as follow:
Relative speedup

557
 serial running time Journal of Computer Research and Development.sep 1999,
ratio = Vol 36, No 9
N compters' running time [4] HAN Ke-song, WANG Yong-cheng, CHEN Gui-lin.
Research on Fast High-frequency Strings extracting and
Compter’s number Statistics Algorithm with no thesaurus. Journal of Chinese
Information Processing .Vol 15.No 2
2 3 4 6 [5] WU Sheng-Yuan. Study of a Parallel Word Segmentation
Serial algorithm 1 Method. Journal of Computer Research and
speedup ration Development.July 1997.Vol 34 No 7
Parallel 1.057 1.107 1.160 1.232 [6] Yang Chunhua, Wan Jiancheng,Jiang He.A System
algorithm Architecture Model of Parallel Word Segmentation.
relative Computer Engineering and Applications.2004 33
speedup ration [7] Wang Suqin, Zou Xukai. An Optimal Parallel Algorithm
to Char/Chinese Character String Matching.ournal of
Table 2 speedup ratio Chinese Information Processing.Vol 9.No 1
[8]Chen Guo Liang. Parallel Algorithm Design and
5. Conclusion implement.Higher Education Press.2002.8
[9] CHEN Gui-Lin, WANG Yong-Cheng, HAN Ke-
Parallel algorithm is applied to mutual information Song,WANG Gang. An Improved Fast Algorithm For
in this paper, at the same time; directory segmentation Chinese Word Segmentation.Apr 2000.vol 37, No 4
is also combined with parallel algorithm to improve the [10] Liubo.Application and Research of Parallel Genetic
Algorithm In K-Medians. Chong Qing University Press. July
efficiency. Parallel software is PVM that can organize
2004
together different performance computer in LAN to
reduce computing cost, PVM has also higher
extensible. We present dispatching policy of data for
parallel model in this paper. It is proved that the
parallel model have high speedup ratio by experiment.
Parallel algorithm and model in this paper can be
applied to other segmentation algorithm which base on
statistic of word frequency. Parallel model of
segmentation word in heterogeneous environment will
be research in following step.

6. Acknowledgement
This work was supported by :
(1)Supported in part by Chong qing Science &
Technology Commission ,CSTC,2005AC2090
(2)Supported in part by Chong qing Education
Commission ,KJ060704
(3) "11th Five-Year Plan" national scientific and
technological support for major projects planned ,
2006BAJ05A06
(4)Supported in part by Chong qing Science &
Technology Commission CSTC, 2008 AC0043

References
[1] SUN Mao-Song ,Xiao Ming ,TSOU B K . Chinese Word
Segmentation without Using Dictionary Based on
Unsupervised Learning Strategy. CHINESE OURNAL OF
COMPUTERS. June 2004 Vol.27 No.6
[2] ZHAI Feng-wen , HE Feng-ling, ZUO Wan-li.Chinese
Word Segmentation Based on Dictionary and
Statistics.MINI-MICRO SYSTEMS. Sep 2006.Vol 27.NO 9
[3] FU GUO HONG,WANG XIAO-LONG.. Models and
Algorithm for Assigning Word Breaks to Chinese Text.

558
 2008 International Conference on Intelligent Computation Technology and Automation

A Square Root Extended Set Membership Algorithm

with Applications to Nonlinear System Estimation

Qing He, Jing Zhang

School of Electrical and Information Engineering
Changsha University of Science and Technology, Changsha 410076, China
heqinghnun@yahoo.com.cn

Abstract uncertain information and noise is proposed by Qing

In this paper, a square root extended set
membership (SRESM) state estimation algorithm is
proposed to further improve the numerical accuracy
and stability of the nonlinear system estimation. In
comparison with the existing extended set membership
(ESM), the proposed square root ESM using the
efficient and stable updating recursions provides much
more accurate estimation results. It has improved
numerical stability and real time applicability.
Simulation results in estimation of mobile robot
localization are given to show the effectiveness and
robustness of the proposed algorithm.
1. Introduction
State estimation of stochastic dynamical systems has
been commonly treated as deterministic or solved via a
stochastic approach with the state perturbations and
measurement noise assumed to be white and Gaussian
noise and no other uncertainty in the model. Kalman
filtering is the most widely applied technique.
However, when the statistical properties of the noises
are unknown or not satisfied, an alternative approach
consists in considering that only bounds on the
possible magnitude of the disturbances are available.
This corresponds to set membership estimation, first
considered by Schweppe[1] using ellipsoidal bounding
techniques at the end of 1960s. The aim is to compute
ellipsoids guaranteed to contain the state vector to be
estimated given bounds on the process disturbance and
measurement noise. Since these pioneer works, a vast
literature is dedicated to this subject in the context of
state estimation of linear and nonlinear systems. At
present, the theory of set membership estimation is a
well developed and mature area of control theory [2-8].
Recently, an Extended Set Membership (ESM) state
estimator for nonlinear systems with bounded
He[8] to guarantee nonlinear estimation. The ESM
linearizes the nonlinear state equations about the
current state estimation. Unlike the EKF[9-12], the
ESM does not neglect the linearization errors, rather
the linearization errors are bounded using interval
mathematics.
There can be numerical problems in implementing
the ESM recursions on a finite word-length digital
processor. Although it is theoretically impossible for
the covariance matrices to have negative eigenvalues,
such a situation can arise due to inaccuracies in
numerical calculations. Such a condition can lead to
instability or divergence of the ESM. Moreover, the
large computation load makes it difficult for real-time
applications.
To avoid the numerical problems of the ESM
equations, a square root ESM is proposed to ensure
that computational errors cannot leads to the envelope
matrices that fail to be nonnegative definite or
symmetric. Furthmore, it offers a reasonable
compromise of numerical stability and increased
computational effort.
This paper is organized as fellows: Section 2, the
ESM state estimation algorithm is presented. The
square root ESM is proposed in Section 3. Section 4
contains numerical simulation. In Section 5, some
conclusions are drawn.
2. Extended set membership state
estimation algorithm
Let us consider a nonlinear discrete-time system
described by
xk +1 = f ( xk ) + wk (1)
yk = h ( xk ) + vk (2)
where k ∈ N 0 is the time instant, xk ∈ R n is the state

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DOI 10.1109/ICICTA.2008.323
vector, yk ∈ R m is the vector of observations. 1+ pk ˆ
Pk +1|k = (1 + p k−1 ) Ak Pk AkT + Qk (16)
n n
f ( xk ) : R , → R and h( xk ) : R , → R n m
are assumed to be σ k2+1|k
C 2 -functions. wk ∈ R n is the system noise vector and σ k2 = σ k2|k −1 + λ k [1 − δ kT (λ k C k Pk |k −1C kT + Rˆ ) −1 δ k ] (17)
v k ∈ R m is the measurement noise vector. We assume K k = λ k Pk C kT = Pk |k −1C kT Tk−1 (18)
wk and v k to be bounded by the ellipsoid as follows Tk = C k Pk |k −1C kT + Rˆ λ k (19)
Wk = {wk ∈ R n
: wTk Q −1wk ≤ 1} (3) xˆ k = xˆ k |k −1 + K k δ k (20)
Vk = {vk ∈ R m
: vkT R −1vk ≤ 1} (4) Pk = ( I − K k C k ) Pk |k −1 (21)
n×n m×m
where both Q ∈ R and R ∈ R are positive δ k = y k − h( xˆ k |k −1 ) (22)
definite matrices. The initial state vector x 0 is where p k > 0 , the optimal value of p k is the one
described by that minimizes either that volume of the ellipsoid (i.e.,
E 0 = {x 0 : ( x − xˆ 0 ) T P0−1 ( x − x 0 ) ≤ σ 02 } (5) the determinant of σ k2 Pk |k −1 ) or the squared sum of its
where P0 ∈ R n×n is a given positive definite matrix,
axes lengths (i.e., the trace of σ k2 Pk |k −1 ). The value of
x̂ 0 is a given initial vector, and scalar σ 0 > 0 .
λ k is solved by min σ k2 .
Linearizing functions f and h around state x̂ k
and xˆ k |k −1
3. Square Root Extended Set Membership
x k +1 = f ( xˆ k ) + Ak ( x k − xˆ k ) + R f ( x k , xˆ k ) + wk (6)
State Estimation Algorithm
y k = h( xˆ k |k −1 ) + C k ( xk − xˆ k|k −1 ) + Rh（xk , xˆ k |k −1 ) + v k (7)
where matrix Ak and C k are the gradient of The computation of the covariance matrix Pk in the
functions respectively. Defining ζ k = x k − xˆ k , ESM plays an important role. Due to truncation and
round-off error in a computer, the algorithm may lead
ζˆ k = x k − xˆ k |k −1 , the higher order terms are bounded by to the loss of symmetry and positive definiteness of
the following ellipsoid sets Pk , or possibly divergence.
R f ( xk , xˆk ) ∈ Wk = {ζ k ∈ R n : ζ kT Qk−1ζ k ≤ 1} (8) Square root matrix factorization method has been
developed to improve the computation of Pk . This
Rh ( x k , xˆ k |k −1 ) ∈ V k = {ζˆ k ∈ R n : ζˆ kT Rk−1ζˆk ≤ 1} (9)
method guarantees the positive-definiteness and
n×n m×m
where Q k ∈ R , Rk ∈ R are positive definite symmetry of Pk , and thus high estimation accuracy
matrices. and robustness can be attained. Generally speaking,
The linearization error and noise are combined into this requires taking a matrix square-root of the state
one bound, i.e., covariance matrix Pk ∈ R n×n , given by Pk = U k U kT ,
wˆ k = R f ( x k , xˆ k ) + wk (10)
or U k and Dk such that Pk = U k Dk U kT , where Dk is a
vˆ k = R h ( x k , xˆ k |k −1 ) + v k (11)
diagonal matrix. In this way, as long as U k is not
where ŵk and v̂ k are new noise terms which are
singular and the elements of Dk are positive, the
bounded by the outer bounding ellipsoids Ŵk and positiveness of Pk is guaranteed.
V̂k as follows To derive the square-root form of the ESM, we first
Wˆ k = {wˆ k ∈ R n : wˆ kT Qˆ k−1 wˆ k ≤ 1} ⊃ W k ⊕ W k (12) write the ESM recursions in the matrix form below
⎡( Rˆ / λk )1 / 2 Ck Pk1| k/ −21 ⎤ ⎡( Rˆ / λk )1 / 2 0 ⎤
Vˆk = {vˆ k ∈ R n : vˆ kT Rˆ k−1vˆ k ≤ 1} ⊃ V k ⊕ Vk ⎢ =
1/ 2 ⎥⎢ T /2⎥
(13)
T /2 T

where Qˆ k ∈ R n×n , Rˆ k ∈ R m×m are positive definite ⎣⎢ 0 Pk |k −1 ⎦⎥ ⎣⎢ Pk |k −1Ck Pk |k −1 ⎦⎥

matrices. ⎡ Tk1 / 2 0 ⎤ ⎡TkT / 2 Tk−1 / 2CkT Pk | k −1 ⎤ (23)

⎢ T −T / 2 ⎥⎢ ⎥
Then, the implementation of the extended set ⎣⎢ Pk | k −1Ck Tk Pk1 / 2 ⎦⎥ ⎣ 0 PkT / 2 ⎦
membership state estimation algorithm [8] is the Equation (23) can easily be verified by completing
following recursion. the multiplications of the left and right matrices. In fact
xˆk +1|k = f ( xˆk ) (14)
⎡( Rˆ / λ k )1 / 2 C k Pk1|k/ −21 ⎤ ⎡( Rˆ / λ k )1 / 2 0 ⎤
σ k2+1|k = σ k2 (15) ⎢ 1/ 2 ⎥⎢ T / 2 T T /2 ⎥
=
⎢⎣ 0 Pk |k −1 ⎥⎦ ⎢⎣ Pk |k −1C k Pk |k −1 ⎥⎦

560
 ⎡ Rˆ / λ k + C k Pk |k −1C kT C k Pk |k −1 ⎤ whereas the left one is ω L . ΔT is sampling period.
⎢ ⎥ (24)
Pk |k −1C kT The observation model is
⎣⎢ Pk |k −1 ⎦⎥
Yk +1 = X k +1 + vk +1 (32)
⎡ Tk1 / 2 0 ⎤ ⎡TkT / 2 Tk−1 / 2 C kT Pk |k −1 ⎤ =
⎢ ⎥⎢ The constant in the model of (30) are chosen as
T −T / 2 ⎥
⎢⎣ Pk |k −1C k Tk Pk1 / 2 ⎥⎦ ⎣ 0 PkT / 2 ⎦ b = 0.80m , r = 0.40m , ΔT = 0.1s .The basic comparison
considers that the value for the standard deviation of
⎡ Tk C k Pk |k −1 ⎤
⎢P C T (25) both the angle process and measurement noises are
⎣ k |k −1 k Pk |k −1C Tk C k Pk |k −1 + Pk ⎥⎦
−1
T
k both 5% of nominal value and uniformly distributed.
Comparing the right sides of (24), (25) will confirm Simulation results are shown on Figure 1 and Figure 2.
the validity of (23). On both figures it can be observed that the square root
Assuming that there exists an orthogonal matrix ESM(SRESM) is more accurate than the ESM.
U k such that
⎡( Rˆ / λ k )1 / 2 C k Pk1|k/ −21 ⎤ ⎡X 0 ⎤ (26)
⎢ 1/ 2 ⎥U i = ⎢ ⎥
⎣⎢ 0 P ⎥
k |k −1 ⎦ ⎣ Y Z ⎦
where { X , Y , Z } are matrices of appropriate
dimensions. Then we proceed by squaring both sides

Distance Y(M)
of (26)
⎡( Rˆ / λ k )1 / 2 C k Pk1|k/ −21 ⎤ ⎡( Rˆ / λ k )1 / 2 0 ⎤
⎢ 1/ 2 ⎥⎢ T / 2 T T /2 ⎥
=
⎣⎢ 0 Pk |k −1 ⎦⎥ ⎣⎢ Pk |k −1C k Pk |k −1 ⎦⎥
⎡ X 0 ⎤ T ⎡ X T Y T ⎤ ⎡ X 0 ⎤ ⎡ X T Y T ⎤ (27)
⎢ Y Z ⎥U k U k ⎢ T ⎥
=⎢ ⎥⎢ T ⎥
⎣ ⎦ ⎣ 0 Z ⎦ ⎣Y Z ⎦⎣ 0 Z ⎦
Comparing terms on both sides of the equality with
those in (23), it is easy to identify that
X = Tk1 / 2 , Y = Pk |k −1C kT Tk−T / 2 , Z = Pk1 / 2 (28)
and we obtain Figure 1. Robot localization using the ESM and the SRESM
−1 (5% of nominal value and uniformly distributed)
K k = YX (29)
Therefore, the main computation of this square root
ESM is in (27) and we can choose the QR
decomposition, Cholesky factor updating and efficient
least squares to achieve U k .

4. Simulation
In order to show efficiency of the proposed
approach, we consider state estimation for a mobile
robot. Denote by X = [ x y ϕ ]T the robot state. The
discrete-time model is described by the following
equations:
⎡ xk +1 ⎤ ⎡ x k ⎤ ⎡ Vk ΔT cos(ϕ k ) ⎤ Figure 2. Estimation error for both methods
⎢ ⎥
X k +1 = ⎢⎢ y k +1 ⎥⎥ = ⎢⎢ y k ⎥⎥ + ⎢ Vk ΔT sin(ϕ k ) ⎥ + wk
(30)
The numerical stability problem that the dynamic
⎢⎣ϕ k +1 ⎥⎦ ⎢⎣ϕ k ⎥⎦ ⎢⎣rΔT (ω R ,k − ω L,k ) / 2b⎥⎦ equations have on both methods is also checked. For
Where the linear speed of the robot at time k can be this test, the standard deviation for the process and
obtained as equation (30) shows: measurement noises was modified by a 20% up and
Vk = r (ω R , k + ω L, k ) / 2 (31) down. It can be seen in Figure 3 that when noises are
incremented, the estimation error increases in both
The body is considered a circular disc of radius b,
methods, but the estimation error of the square root
with two independent wheels of radius r each. The
ESM remains bounded and stable, and the estimation
angular velocity of the right wheel is defined as ω R ,
error of the ESM is no longer bounded and diverges.

561

Distance Y(M)
Figure 3. Robot localization using the ESM and the
SRESM (20% of nominal value and uniformly distributed)
5. Conclusions
Through this work a square root extended set
membership state estimation algorithm is proposed. It
has been demonstrated that the proposed SRESM
algorithm greatly improves the numerical stability,
accuracy and reduces computational complexity. The
proposed algorithm can also improve the real-time
applicability without losing estimation accuracy of the
existing ESM algorithm. Finally, the proposed
approach was successfully applied to mobile robot
localization to achieve better and more reliable
performance.
6. References
[1] F.C. Schweppe, “Recursive state estimation: unknown
but bounded errors and system inputs”, IEEE Trans.
Automatic Control,vol.42, no.5,1997, pp.648-658.
562
[2] Milanese M, Vicino A. “Estimation theory for
nonlinear models and set membership uncertainty”,
Automatica, vol.27, no.2, 1991, pp. 403-408.
[3] Scholte, E., Campbell, M., “On-line nonlinear
guaranteed estimation with application to a high performance
aircraft”, American Control Conference, Anchorage AK,
2002, pp. 184-190.
[4] Maksarov D G, Norton J P. “State bounding with
ellipsoidal set description of the uncertainty”, International
Journal of Control, vol.65, no.5, 1996, pp. 847-866.
[5] Gollamudi S, Nagaraj S, Kapoor S. “Set-membership
state estimation with optimal bounding ellipsoids”, In: Proc.
of Conf. on International Symposium on Inform, theory and
its application. Victoria, 1996.
[6] Spathopoulos M P, Grobov I D. “A state-set estimation
algorithm for linear systems in the presence of bounded
disturbances”, International Journal of Control, vol.63, no. 4,
1996, pp. 799-812.
[7] Aubry Y B, Boutayeb M, Darouach M. “A stable
recursive filter for state estimation of linear models in the
presence of bounded disturbances”, In 16th IFAC World
Congress., Prague, République Czech, 2005.
[8] Qing He. “Set Membership State Estimation for
Nonlinear Systems in the Presence of Bounded
Disturbances”, China Control Conference, Zhangjiajie, 2007,
pp.196-201.
[9] Song Y, Grizzle J W. “The extended kalman filter as a
local asymptotic observer for discrete-time nonlinear
systems”, Journal of Mathematical Systems, Estimation and
Control, vol.5, no.1, 1995, pp.59-78.
[10] Reif K, Gunther S, Yaz E. “Stochastic stability of the
discrete-time extended kalman filter”, IEEE Transactions on
Automatic Control, vol.44, no.4, 1999, pp. 714-728.
[11] Boutayeb M, Rafaralahy H, Darouach M.
“Convergence analysis of the extended kalman filter used as
an observer for nonlinear deterministic discrete-time
systems”, IEEE Transactions on Automatic Control, vol.42,
no.4, 1997,pp. 581-586.
[12] A. H. Sayed and T. Kailath,“A State-Space Approach to
Adaptive RLS Filtering”, IEEE Signal Proccessing Magazine,
July 1994. pp.18-60
 2008 International Conference on Intelligent Computation Technology and Automation
An Improved Green Ratio Model Based On Attemperment Priority In Oversaturated Traffic
Tao Zeming Jiang Xiancai Pei Yulong
School of Transportation Science and Engineering
Harbin Institute of Technology
Harbin 150090, P. R. China
Email: taozeming@163.com
Abstract—The green ratio model of Webster ignores the
difference of traffic flow in different traffic state. The paper
introduces an idea of traffic priority. It deals out more green
time for the phase which has the highest traffic demand in
oversaturated traffic, so as to prevent and clear off the
crowded traffic flow as soon as possible. Each phase gets the
priority by turns, so the improved green ratio model can
realize the goal of preventing traffic congestion and clearing
off traffic blockage quickly. It is more effective than the
Webster’s one in dealing with oversaturated traffic flow by
simulating experiment based on VISSIM. And when vehicle
arrival rate of each phase varies much, the improvement is
obviously more.
1. INTRODUCTION
In oversaturated traffic, at signal intersection, congestion or
blockage often occurs. That traffic demands that, at each
approach preponderates over the capacity of signal intersection
is the main reason in this period. Then, the key problem of
solving signal intersection congestion rests with improving the
capacity of signal intersection.
There are two ways of improving signal intersection’s
capacity. The first way is the increase of approach lanes, that is,
widening the approach in existence. The second way is the
usage of advanced control technology. The first way is
effective when there is sufficient space at signal intersection,
but in fact, most congested intersections have not (sufficient)
space to widen due to the geography site limitation, such as
being located in city centre. Even though the first way is
feasible, but it only solves temporary demand and it is not a
long-term whip. The advanced traffic control technology is
another economical and effective way to solve signal
intersection congestion. Although the mature and extensive
applied regional control system (such as SCATS, SCOOT,
TRANSYT), linear control system(such as MAXBAND,PASSER
II) and single-dot adaptive control system(such as MOVA,
OPAC) are applied one after the other, but only in unsaturated
traffic, they are proved to be effective by practice and they can
increase the capacity of signal intersection. Moreover, these
systems’ performance descends in oversaturated traffic[1]. So,
it is quite necessary to seek the signal control ways and means
of oversaturated traffic again.
In unsaturated traffic, the optimising object of control
parameters at signal intersection is the minimum index of
978-0-7695-3357-5/08 $25.00 © 2008 IEEE 563
DOI 10.1109/ICICTA.2008.66
delay, stop ratio and queue length etc., then it requires proper
signal cycle and green ratio that make the capacity of signal
intersection a little higher than the traffic demand[2]. In
oversaturated traffic, the optimising object of control parameter
at signal intersection should prevent traffic congestion and
clear off traffic blockage quickly, so, the cycle is longer
befittingly in reasonable extension, but the green ratio model of
Webster that clears off crowded traffic flow synchronously at
each approach of signal intersection is not suitable, proved by
practice.
2. TRAFFIC FLOW RUNNING CHARACTERISTIC IN
OVERSATURATED TRAFFIC
2.1 Headway in oversaturated traffic
Figure.1 and Figure.2 describes a lane headway distribution
of five sequential cycle at same signal intersection in
unsaturated and oversaturated traffic when green time begins.
We can see from the figure that the traffic flow often begins to
reach steady state from No.4 or No.5 vehicle in unsaturated
traffic. But in oversaturated traffic, the traffic flow is not steady
and it is easily fallen under temporary halt when it runs. There
have many factors when we analyze the reason, but that the
stop space between vehicles is much shorter in oversaturated
traffic than the one in undersaturated traffic is the main factor.
The former vehicle influences badly the back vehicle when
start-ups and brakes. So there has the difference in headway,
and the headway in oversaturated traffic is bigger than the one
in unsaturated traffic.
6
average headway(s)
5
4
3
2
1
0
1 2 3 4 5 6 7 8 9 10 11 12 13
Figure 1. Distributing map of headway in unsaturated traffic
 6 In this model, to unsaturated traffic, the traffic demand of
5 all phases is considered to be sufficient. And green time is

average headway(s)
4 assigned properly to each phase, which can reduce delay and
3 queue length etc. at signal intersection efficiently. This has
2 been proved by _ptimiza application in the last several decades.
1
But in oversaturated traffic, because transverse and lengthways
0
interference between cars is aggravating, the capacity of signal
1 2 3 4 5 6 7 8 9 10 11 12 13 intersection falls down apparently. The green time assigned to
each phase by Webster’s green ratio arithmetic often comes to
Figure 2. Distributing map of headway in oversaturated traffic end when the traffic flow is just in optimal state, accordingly
2.2 Saturation flow rate the capacity increase of signal intersection is restricted and the
traffic state becomes worse. Just because of this shortcoming,
We take the signal intersection of Guogeli Street and many scholars who are attracted by this problem all over the
Huayuan Street as examples to analyze the saturation flow rate world began to study the signal control parameter _ptimizati in
in oversaturated traffic. Much headway data (only straight- oversaturated traffic. And they put forward multiplicative
going lane) was observed at this intersection in unsaturated and signal control parameter _ptimization models from all
oversaturated traffic, and fifty troop data was selected. The aspects[1,3-13], such as cycle _ptimization model, green ratio
average headway of steady flow were 2.12s and 2.34s in _ptimization model and phase _ptimization model. The paper
unsaturated and oversaturated traffic, then the saturation flow studies the green ratio model from another aspect, and supposes
rate of the straight-going lane were 1698pcu/h and 1538pcu/h cycle and phase to be already in optimal state.
accordingly. We can see from the result that the capacity of
signal intersection falls down apparently in oversaturated
3. IMPROVED GREEN RATIO MODEL
traffic.
Table I lists the metrical saturation flow rate of a straight-
going lane at six signal intersections in different traffic states, 3.1 Optimizing principle
there have same conclusion with our analysis. According to the idea of attemperment priority, in
TABLE I. SATURATION FLOW RATE IN DIFFERENT TRAFFIC STATE AT SIX oversaturated traffic, a change switch is settled and a value of
SIGNAL INTERSECTIONS(PCU/H)
q o is offered. Here we will explain the green ratio principle
The name of signal Saturation flow rate in Saturation flow rate in with vehicle queue length as an example. When the queue
intersection unsaturated traffic oversaturated traffic
length of q r of phase r has q r ≥ qo , then a g max green
Guogeli street and
1698 1538 time is assigned to phase r in order to clear off the queue
Huayuan street
East big straight street length quickly. Accordingly, it can prevent traffic congestion.
1653 1492
and Guogeli street When there are several phases’ queue length q i , q j , " which
West big straight street
and Tongda street
1732 1546 all have qi ≥ q o , q j ≥ qo ," at the same time, we select the
West big straight street
1721 1589 maximum and assign green time g max to the phase, that is, the
and railroad street
phase which most easily comes into being crowded is offered
Hongqi street and
Huanghe road
1736 1596 passage priority firstly to clear off the queue length and release
Hongqi street and the traffic congestion. After offering green time g max to the
1748 1598
Xianfeng road
phase r , the remanent green time ( c − g max − nL , n refers
to phase number, L refers to phase change time) will be
WEBSTER’S GREEN RATIO MODEL
assigned proportionally to other phases according to critical
After specifying the cycle, the green time is assigned lane traffic flow rate. If all phases’ queue length qi has
proportionally to each phase according to critical lane flow qi < qo , then the green time of each phase is assigned by
rate. Equation (1) introduces the assigning method:
Webster’s green ratio model.

(c − L ) × (v / s ) i 3.2 Value of q o
gi = (1)
∑ (v / s ) i The value of q o should be neither too bigger nor too
smaller, it’s related with the biggest arrival rate of vehicle in all
Where g i is green time of the ith phase (s); (v / s )i is rate phases. If the value is too bigger, a situation would occur that
of the ith phase’s critical lane flow rate; c is cycle(s); L is there is not phase r whose queue length q r ≥ qo . So the
loss time in one cycle(s). original intention of preventing traffic congestion can’t be

564
attained. Otherwise, if the value is too smaller, then the
difference of vehicle arrival rate to each phase will be ignored,
so each phase will obtain priority by turns. It won’t help to
settle traffic congestion.
Here, we define a rule: to one or two phases in which the
traffic congestion is easy to happen, when traffic congestion
has happened or being happening, they will obtain passage
priority frequently and by turns. To other phases, because the
green time assigned reduces, the queue of vehicle will come
forth accumulative effect. The phase will obtain passage
priority when the queue of vehicle is long enough.
Figure 3. Flow chart of green time optimisation
3.3 Value of q r
Here we introduce the method of determining the value of
qr through vehicle queue length as an example. Let q r (k )
refer to the remanent vehicle number in queue of phase r
when the k th cycle ends. Then the value of q r can be
obtained by (2), and when the k + 1 th cycle is over, the
remanent vehicle number q r ( k + 1) in queue of phase r can
be obtained by (3).
q r = q r (k ) + q r × c
qr (k + 1) = qr (k ) + qr × c − sr × g r
Where qr is average vehicle arrival rate of phase r (pcu/s);
c is cycle(s); s r is average leaving rate of phase r (pcu/s);
g r is effective green time of phase r .
Here we need necessary auxiliary facilities to define the
value of q r . Two detectors are set per lane. One is located in
the stop line and close to the line; another is placed at a
distance of 50-100 meters behind the stop line (see Figure.4).
The first detector (close to the stop line) is used to count the
leaving vehicles, etc. The second one detects the parameters
such as vehicle number, speed and vehicle interval, etc., and
provides data of determining the signal intersection traffic state
and forecasting traffic parameter.
Figure 4. Sketch map of detector placed
3.4 Value of g max
The value of g max is related to cycle, traffic state and
phase number. It is suitable to occupy about 40-60 percent of a
cycle. The value should be made certain according to traffic
state and phase number at signal intersection. If the difference
of vehicle arrival rate is large between each phase, then g max
should be bigger; if the difference of vehicle arrival rate is little
between each phase, then g max should be smaller accordingly.
In control parameters of signal intersection, if phase number is
fewer, then the ratio of g max in a cycle should be bigger;
otherwise, the ratio should be smaller.
g max should meet g max > g r ( g r refers to the green
time aligned by Webster model) and g si ≥ g pi ( g si refers to
the green time in which the straight-going flow can pass, g pi
refers to the green time that foot passenger needs the shortest
(2) time to pass street safely in the same direction with g si ).
g max is not a constant. It is related to traffic state of signal
(3)
intersection. Proved by many simulated experiment, The value
of g max can be defined by the following formula (4):
g max = (1 + e − ( n +1 / x )
)gr (4)
565
 Where g max is green time aligned to the priority phase(s); 78 50 13 42′57″

g r is green time aligned to the priority phase by Webster 60 40 11 33′56″

4 120 9 0.223 0.157 0.041
model(s); n is phase number; x is saturation degree of phase 66 36 9 29′41″
r. 54 40 25′31″
5 100 6 0.216 0.153
60 34 20′16″
3.5 Green ratio optimizing arithmetic
50 44 12 27′08″
(1) First, we should identify the traffic state at signal 6 115 9 0.203 0.167 0.043
55 41 10 24′29″
intersection (unsaturated or oversaturated). If the traffic state is
unsaturated, then go to (4); otherwise, go to (2).
(2) Checking queue length of all phases. If there exists The result indicates that, in oversaturated traffic, the
improved green ratio model is apparently superior in improving
phase i that has qi ≥ qo , then go to (3); otherwise, go to (4). the traffic efficiency at signal intersection than Webster’s green
(3) Selecting a maximal value of qi from the phases which ratio model. And when vehicle arrival rate of each phase varies
much, this improvement is obviously more.
meet the condition q i ≥ q o , aligning green time g max to the
phase i by the definition way of g max . The remanent green
time c − g max − nL is aligned proportionally to the other
phases according to critical lane traffic flow rate, go to (5).
(4) Aligning the green time to each phase according to
critical lane traffic flow rate, go to (5).
(5) Sending the optimizing parameters to executive unit, the
green ratio optimization is over.

4. CASE STUDY

The followed work is to verify the improved green ratio

model. We selected six busy signal intersections from the
centre region of Harbin to investigate. The investigating datum
contained cycle, green time of each phase, vehicle arrival rate Figure 1. Simulation experiment
in a cycle and crowded dissipating time etc. The investigating
datum was associated with the improved green ratio model at 5. CONCLUSION
first, then simulated by the microcosmic simulation software
VISSIM. The result is arranged in Table II. In this table, only The paper aims at the limitation of Webster’s green ratio
the first cycle datum was arranged. For each signal intersection, model in dealing with oversaturated traffic flow, brings
the upper line datum is the investigating datum, the below line forward improved green ratio model based on priority. The
datum is the optimizing result. c refers to cycle; L refers to difference between models has two aspects. First, the
loss time in a cycle; g i refers to green time aligned to the optimizing object is to prevent and clear off traffic congestion
quickly as soon as possible, not to reduce delay to minimum. It
phase i; qi refers to average vehicle arrival rate of the phase i; borrows the experience from pointsman superintending
crowded traffic flow. Second, Webster green ratio model treats
T refers to the lasting time of whole oversaturated traffic.
each phase traffic need as equal. But improved green ratio
Figure.5 is the interface of simulation experiment.
model puts emphasis on the phase in which the traffic need is
the biggest, so as to improving the capacity of signal
TABLE II. COMPARISON OF TWO GREEN RATIO OPTIMIZING
intersection. Proved by emulation, in oversaturated traffic, the
MODEL
improved model approaches the actual traffic more, and it has
better manoeuvrability.
No. c (s) L (s) g1 (s) q1 (pc g 2 (s) q2 (pc g3 (s) q3 (pc T
u/s) u/s) u/s)
ACKNOWLEDGMENT
64 35 12 38′51″
1 120 9 0.221 0.155 0.051
70 31 10 32′14″ This research was sponsored by the tenth Key Technologies
46 38 27′43″ R&D Program(Grant No. 2005BA414B18). We would like to
2 90 6 0.218 0.161 thank the anonymous referee for their helpful comments and
51 33 22′45″
suggestions on an earlier version of the paper.
3 150 9 70 0.238 56 0.193 15 0.051 46′18″

566
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timing for an oversaturated intersection”. Transportation
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[3] Li Gang, Sun Yihe, Hua Zeqing. “Study of City
Intelligent Signal Control Arithmetic Suitable to the
Situation of China”. ITS Communication, 2001, Vol.2,
P42-49.
[4] Mchalopoulos, P.G, Stephanopolos, G.May. “Optimal
Control of Oversaturated Intersections Theoretical and
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[5] Corinne Ledoux. “A Neural Network Traffic Flow Model
for Heavy Traffic Conditions”. Applications of Advanced
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[6] Hong K.Lo. “A Cell-Based Traffic Control Formulation:
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[7] Francois Dion, Bruce Hellinga. “A Rule-Based Real-
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[8] Ceylan, Halim; Bell, Michael G.H. “Traffic signal timing
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Methodological Volume: 30, Issue: 6, 1996, P421-439.
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“Comparison of delay estimates at under-saturated and
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 2008 International Conference on Intelligent Computation Technology and Automation
An Improved Mass-spring Model to Simulate Draping Cloth
Yu Haiyan
College of Mechanical Engineering, Donghua University, 1882
Yan/an Xilu Road, Shanghai 200051,
hhhhelen@gmail.com
Abstract
This paper describes a fast technique for cloth
simulation based on a mass spring model. The
difference is one animation process is divided to two
segments which are numerical integrated together and
a virtual force is added to get the rebounded animation
segment. A local refinement is used to avoid the
overlap of the two segments. Experiments show that
this method can simulate the draping cloth efficiently
and effectively.
1. Introduction
physics-based cloth animation is a challenge in
computer graphics fields. Many different Physics
methods have been proposed. Recently ,mass-spring
model is recognized as a simple but effecvive model.
But for real time simulation, mass-spring model has to
meet several requirements that greatly limit the
development or even the existence of such systems [1].
Among these, speed is obviously the most important
aspect of any real time system. Most highly accurate
physically based cloth simulation systems are just too
slow to be used in an interactive or real time
applications. They are computationally heavy and
difficult to optimise to a level that would permit them
to be significantly accelerated.Some researchers have
developed improved mass-spring models[2-5] to
further improve its efficiency.
Although specific details vary ˈ there is a deep
commonality amongst all the approaches:
physically-based cloth simulation is formulated as a
time-varying partial differential equation which, after
discretization, is numerically solved as an ordinary
differential equation
1
x m F
In this equation the vector x and diagonal matrix M
represent the geometric state and mass distribution of
the cloth, and F describes all the forces (internal and
external forces) acting on the cloth.
978-0-7695-3357-5/08 $25.00 © 2008 IEEE
DOI 10.1109/ICICTA.2008.12
Geng Zhaofeng
College of Information Sience and Technology, Donghua University,
1882 Yan/an Xilu Road, Shanghai 200051,)
In general, computational costs are mainly due to
numerical integration of the ODE (Ordinary
Differential Equation) systems that model the cloth,
and to collision detection needs. From the point of view
of numerical integration, existing approaches might use
either explicit or implicit methods. Classic explicit
integration methods such as Euler, Midpoint, or
Runge-Kutta are relatively easy to implement, but need
very small integration steps to guarantee system
stability. Implicit methods (e.g. the implicit versions of
the three classic methods mentioned above) are able to
use larger steps without loss of stability, but are more
complex to implement because they need to solve large
linear systems at every integration step.
Many methods have been proposed to decrease the
computational costs. Desbrun et al.[6] use a simplified
version of Baraff’s implicit integration method and
effectively achieves interactive rates on a high-end
graphics computer. Other approaches take advantage of
available graphics hardware to accelerate certain
operations. Oshita [7] represents cloth as a sparse
triangle mesh. Particle positions are calculated with this
sparse mesh, and interpolation is performed togenerate
a dense mesh. A technique called PNtriangles is used
[8]. Animating only a few particles is much faster and
PN-triangles can be created automatically by certain
graphics hardware.
In this paper, we describe a cloth simulation system
based on a mass-spring model that uses explicit Euler
method to resolve the ODE systems. In this paper, one
animation process is divided to two segments which are
numerical integrated together and a virtual force is
added to get the rebounded animation segment. A local
refinement is used to avoid the overlap of the two
segments. Experiments show that this method can
simulate the draping cloth efficiently and effectively.
2. Mass-spring model of cloth simulation
Recently, mass spring model is recognized as a
simple but powerful approach that well balanced the
simulation speed and effect. The main advantage of
using such a system is that it can effectively simulate
568
the movement of cloth and it is relatively easy to
implement.
The Mass-spring model of cloth is a mesh of l×n
mass points, each of them being linked to its neighbors
by massless springs of natural length greater than zero.
There are three different types of springs: structural,
shear, and flexion, which implement resistance to
stretching, shearing and bending ,as shown in fig 1.
Let pij(t), vij(t), aij(t), where i=1…l and j=1… n, be
Gravity: fgr(pij) =mg, where g is the gravity
acceleration;
Viscous damping: fvd(pij) =-CvdVij ,where Cvd is a
damping coefficient.
All the above formulations make it possible to
compute the force fij(t) applied on point Pij at any time
t.
Since a mass-spring system used for cloth
simulation is a dynamic model, the type of system
integration used is very important. There are basically
two kinds of integration methods: explicit and implicit.
Explicit integration schemes, like the Euler or
Runge-Kutta methods, are fast and easy to implement,
but a small time step is needed in order to maintain
system stability and congruence. On the other hand, an
implicit integration method allows the use of much
larger time steps but requires a lot more computations
to resolve the system in every step. Consequently, we
chose the explicit Euler Scheme as speed is very
important in our case.
The fundamental equations of Newtonian dynamics
can be integrated over time by a simple Euler method.
­ 1
Figure1. Mass-spring model internal forces °aij (t  t) m f ij t 
°°
®vij t  t  vij(t)  taij t  t 
correspondingly the positions, velocities, and
(2)
accelerations of the mass points at time t. The system is
°
° pij t  t  pij(t)  tvij t  t 
governed by the basic Newton’s law:
¯°
f ij ma ij Where t is the chosen time step. The Euler
equations (2) are known to be very fast and give good
Where m is the mass of each point and fij is the sum
result. But the time step t must be small enough since
of all forces applied at point pij. The force fij can be
if the internal forces are supposed to be constant over a
divided into two categories:
long period, the system will not be stable. This limits
f f int  f ext (1) the improvement of simulation speed. Take a dynamic
Where fint is the internal forces and fext is the draping process of a hanging cloth made up of 4 sides
external forces. as an example; the iteration of a 9x9 grid cloth is 4000
The internal forces are due to the tensions of the times when the time step is 0.01 seconds. Fig 2 is the
springs. The overall internal forces applied at the point simulating result. Table 1 is the parameters of the
pij are a result of the stiffness of all springs linking this mass-spring model.
point to its neighbors:
3. Improved mass spring model
ª º
« p kl pij »
¦ k ijkl p kl pij  l ijkl
0 In our model, we divide the draping process to two
f int (pij )
kj
« p kl pij »» segments: one is draping from the initial position as
«¬ ¼ and the other is a reverse draping from the final
Where kijkl is the stiffness of the spring linking pij position rebounded to the initial position.
and pkl and l0ijkl is the natural length of the same spring. This is based on the assumption that the draping
The external forces can differ in nature depending shape is known or can be got.
on what type of simulation we wish to model. The most
frequent ones will be:

569

Figure2. The draping shape of the cloth
There are mainly two fields in cloth simulation: one
is focused on the inner structure of the cloth. Its
simulation is aimed at studying the cloth structure and
can be used to forecast the draping shape of a new
material. The other is focused on the “likeness” and is
used in cartoon, virtual reality and etc. For the latter
field, the speed of the simulation is important. For a
known cloth draping at a given condition, the final
shape is known to us and need not to be forecasted
The theory of this work is to get the coordinates of
the vertexes for the mass spring model by two
segments.
For the reversed process, the final positions are
taken as the initial conditions. The final shape can be
got from geometric method the velocity can be
recognized as zero. The problem is how to get the
reversed acceleration. In this paper, a virtual force is
added which can make the draped cloth rebounded to
its initial shape.
For the reversed process, the force f is calculated by
the equation of
f f int  f ext  f vir
In this equation, the calculation of fint and fext is the
same as the equation (1). fvir is the virtual force we add
to get the rebound acceleration. For most cases, we can
set
f vir f ext (3)
Another problem is how to join the two segments
seamlessly .In this work , a threshold value Wol is
added to prevent the two segments from
overlapping .When the distance of the vertexes of two
segments is less than the threshold Wol, a local
refinement is started to optimize and smooth the
overlapped steps.
4. Simulation example and Results
We take a dynamic draping process of a hanging
cloth made up of 4 sides as an example. Our approach
can be divided into two steps:
(1) geometry model to get both the initial and the
final shapes;
570
(2) A mass-spring model to get two animations
segments.
4.1. Geometry model
Firstly, a square encompassing the quadrilateral is
divided into a finite number of grids. This can be used
as pre-shape of the dynamic draping procedure.
In this example, an improved Weil’s catenary curve
theory [9] [10] is used to get the resulting shape. The
shape at the boundaries can be simulated as a
catenary .It is based on two assumptions:
(1) Cloth is light and the vertices are not much
influenced by the weight of the cloth at other
vertices.
(2) Using assumption 1, assume the only effective
force acting on the cloth is weight of the cloth
around and between the vertices.
The equation of the catenary is:
y acosh (x  b)
We can assume each point to be held up by its
neighbouring points which can be seen from the weave
of cloth. Therefore we can deduce that
Zi,j = { Zi,j-1 + Zi,j+1 + Zi-1,j + Zi+1,j } / 4,
Where Zij is the height of the point at (i,j).
We keep iterating until a stable configuration is
reached. This can be defined as
abs ( Zi,jk - Zi,jk+1 ) <= minvalue,
Where minvalue can be defined according to
required precision.
Finally, we have the location of all points,
Fig 3 shows the final shape of this draping cloth by
this geometry method. Although the assumptions are
purely empirical and are not proved, the simulating
result is quite plausible.
4.2 Mass-spring model and two segments
animations
The virtual force is defined by equation (3).Now we
have got all the initial conditions for the both up-down
and the down-up animation segments. Now the Euler
equation (2) can be divided to two segments which are
iterated together .In a particular time t^, the distance of
correspondent points is very close, i.e.
When dij< Wol, where dij is the distance between
two corresponding point p*ij and pij and Wol is the
threshold value. Let
pij (p* ij - pij )/2 .
Figure 2is the final draping grids from one process
method. To make the map clear, we only show the
structural spring. Figure 3 is the final draping shape got
by our two–segment method. Table 1 shows the
parameters and the iteration times of our method and
the traditional mass-spring model. With the same
parameters, the iteration times of our two animation
segments method is 2700 while traditional one segment
is 4000.
In this example, the computational costs are
largely reduced. By compare figure 3 and figure 4, we
can see that the draping shape by our method is more
realistic than the traditional mass spring model as the
‘super elastic ’of the ‘springs’ is more evident in the
latter model.
model the pre-shape and the final shape of the cloth
geometrically. A mass spring model is than build to get
the dynamic procedure. We iterate the ODE from both
the ‘up-down’ and the ‘down-up’ directions and a
virtual force is added to get the ‘rebounded’ velocity. A
local refinement is used to avoid the overlap of the two
directions iterations. Experiments demonstrate that our
method is efficient and effective.
For most draping cloth, we can get its geometry
shape and the positions of each point at the grid. In the
past, we did not make full use of this information. With
the two-direction iterations proposed in this paper, we
can increase the simulation speed largely and the
simulation result can be adjusted to be more realistic.
With the development of 3D geometry models and 3D
solid scan and analyse, in the future, we can get the
final shape more easily and more realistic, which will
push the application of this algorithm.

6. Reference
Fig 3 the draping shape of the cloth
by our method [1] I Rudomin, J Castillo, Real-time clothing: geometry
and physics [M].WSCG, 2002.
[2] Volino P, Magnenat-Thalmann N, An evolving system
Table 1 Cloth model parameters for simulating clothes on virtual actors [J]. IEEE Computer
Graphics and Application. 1996, 16(5): 42-51.
size of cloth model 9x9 [3] Volino P, Magnenat-Thalmann N. Developing
types of the Spring coefficient Spring simulation technique for an interactive clothing system[C].
Springs damping VSMM 97 proceedings, 1997.
Structural spring 4 0.6 [4] Meyer M, Debunne G, Desbrun M, et al.,Interactive
Shear spring 4 0.6 animation of cloth-like objects in virtual reality[J]. Journal of
Visualization and Computer Animation. 2001, 12.
Flexion spring 2.4 0.8
[5] Liu Hui, Chen Chun, Shi Bai-Le, Simulation of 3D
Gravity -0.2 Air 0.04 Garment Based on Improved Spring-Mass Model [J]. Journal
damping of Software, 2003, 14(3):619-627ˊ
One Time 0.01 Iteration 4000 [6] Deshbrun M., Meyer, M., Schroder P., Barr A.H.,
animation step seconds times Implicit Fairing of Irregular.Meshes using Diffusion and
segment Curvature Flow, SIGGRAPH 99 Conference
Two Time 0.01 Iteration 2700 Proceedings,1999:317-324,
animation step seconds times [7] Oshita, M., Makinouchi, A. Real-Time Cloth
segment Simulation with Sparse Particles, SIGGRAPH 2001 Sketches
and Applications, 2001:250-258.
[8] Vlachos, A., et al., Curved PN triangles, 2001 ACM
Symposium on Interactive3D Graphics, 2001.
[9] Weil, Jerry, Synthesis of Cloth Objects. Computer
5. Conclusions and future work Graphics (ACM).1986, 20(4):49-54ˊ
[10] P S Karthikeyan, P S Ranganathan. Tutorial on Cloth
The 3D dynamic simulation of cloth is a complex Modeling,
system, covering many kinds of technologies, and it is http://www.geocities.com/SiliconValley/Heights/5445/cloth.h
of great importance in many fields, such as fabric tml.
designing, movie making, animation studios, virtual
reality, etc.
In this paper, we propose a 3D dynamic cloth
simulation algorithm based on a mass-spring model. A
reversed animation segment is added which takes the
final positions as its initial condition. It is an efficient
method for the real-time simulation of cloth. We first

571
 2008 International Conference on Intelligent Computation Technology and Automation
Application of Data Fusion Theory in Coal Gas Fire Prediction System
Xian-Min Ma
School of Electrical and Control Engineering，Xi’an University of Science & Technology，
Xi’an，710054, China
maxm@xust.edu.cn
Abstract
In the coal mining production, the fire catastrophe
is very dangerous to mining worker life and the whole
coal well when the gas explosion is happening. So it is
very important to predict fire happening and emit the
alarm. In this paper, a novel coal gas fire prediction
system is proposed based on multi-sensor data fusion
theory. The four different kinds of sensor parameters of
the temperature, CO strength, smog thickness and gas
concentration are used to predict the fire happening
probability. Fuzzy logic characteristic fusion algorithm
and the BP neural network fusion algorithm are
introduced to reason the fire happening probability.
The system is designed with the ARM7 to calculate the
fire probability and send out the warning for real time
control. The theory analysis and simulation results
show that the system has some merits such as celerity
capability, reliable and flexible. It gives a new way to
raise the correction report rate of the fire detection
and extend the application of the existing gas
monitoring and control system.
1. Introduction
In the coal industry, the gas explosion events are
often caused by the fire happening, such as coal self
combustion in underground mining well [1]. The fiery
process is a complex phenomenon with the varying of
the temperature, CO, smoke, and gas concentration.
Monitoring and capturing of the fire happening
information need various kind sensors. But there is no
fire happening detection mechanism in the existing gas
monitoring and control system, so the wrong report of
the fire alarm is always appeared. In order to raise the
reliability of coal gas monitoring and control system,
the multi-sensor data fusion theory is used correctly to
predict the fire happening probability in this paper.
According to data fusion theory, the fire alert circuit is
added into the existing gas monitoring and control
system, the intelligent algorithms of fuzzy logic theory
978-0-7695-3357-5/08 $25.00 © 2008 IEEE
DOI 10.1109/ICICTA.2008.52
combined with neural network is proposed to predict
the fire occurring probability. For real time monitoring
fire happening, the system uses the ARM7
microcomputer. The theory analysis and simulation
results show that the proposed scheme can effectively
monitor the fire happening and raise the whole system
reliability.
2. Fire Alert Data Fusion Structure
According to data fusion theory, the information
fusion structure can be divided into three layers: signal
layer, extract or character layer and decision layer [2].
The signal layer preprocesses the data from the
different sensors. The character layer extracts the
different signal characteristics. The decision layer
gives the final output result according to some
appropriate fusion algorithm. The proposed fire alert
module based on the data fusion theory is shown in
Figure 1.
Signal Layer
Extract
Sensor 1 Preprocess1 Layer
Decision
FFA Layer
Sensor 2 Preprocess2 P1 FFA
P
Sensor 3 Preprocess3 NNFA
P2
Sensor 4 Preprocess4
Figure 1. Fire alert module
In signal layer, the sensor 1 denotes the
temperature, the sensor 2 shows CO strength, the
sensor 3 renders smog thickness, and the sensor 4
represents gas concentration respectively. In character
layer, the fuzzy fusion algorithm (FFA) and neural
network fusion algorithm (NNFA) are used to extract
fire characteristics probability P1 and P2, respectively.
In decision layer, by combining the characteristic
probability information P1 and P2 from the character
572
layer, the fuzzy fusion algorithm (FFA) decides the fire
happening P. If the last fire happening probability P is
greater than the alarm threshold Ts, the gas monitoring
and control system send out the warning information.

3. Intelligent Algorithm
In coal mining well, the fire event is abrupt
Figure 3. Gas concentration error change Ec
happening, because the temperature rising and the
increasing of CO strength and smog thickness and gas
concentration are very fast in burning commencement
stage. Therefore it is very difficult to educe the
accurate mathematical model for the coal fire
happening. So the intelligent algorithm of fuzzy logic
theory combined with neural network is proposed to
extract the fire probability.

3.1. Fuzzy logic characteristic fusion algorithm Figure 4. Membership of the output variable

In order to realize the reasonable prediction, a two- The “if… then…”production rule is used to define
dimensional fuzzy controller is used as the regulator. the fuzzy rules. If “temperature is PV” and “smog is
Regarding the membership function, there are five PB” and “CO is PM” and “gas concentration is PS”,
levels, namely, the very big probability (PV), the big then “the fire probability is PB”. According to the
probability (PB), the medium probability (PM), the biggest membership rule, the fuzzy control decision
small probability (PS), the zero probability (ZO). For rules used in the system are shown in Figure 5.
example, the input variables of the fuzzy controller for
the gas concentration are error E and the error change
Ec, and the output variable is the probability ratio. The
set of linguistic term is{PV, PB, PM, PS, ZE}, the
variable universe of discourse is defined as
{8,7,6,5,4,3,2,1,0} corresponding to real values of
{0.8, 0.7, 0.6, 0.5, 0.4, 0.3, 0.2, 0.1,0}. The variable
universe of the error change Ec is defined as {-5,-4,-3,-
2,-1,0,1,2,3,4,5}, its fuzzy linguistic set is{NB, NS, 0,
PS, PB}. The membership function of the output
linguistic variable is the same as error E, namely, PV, Figure 5. Control decision
PB, PM, PS, ZE. The gas concentration membership
functions of the variables are shown in Figure 2, Figure The simulation results of the fuzzy inference of the
3, and Figure 4 respectively. temperature, CO, smoke and gas to predict the probability
P1 are carried out with MATLAB. The one of the
results is shown in Figure 6.

Figure 2. Gas concentration error E

Figure 6. Temperature, gas and fire probability

573
3.2. BP neural network fusion algorithm where, v(x) is step function, Pi(x) is the fire probability
fused from both the fuzzy logic system and the neural
In character layer, the three layers BP network is network system. In this paper, the fire continuance
adopted in order to raise the speed of detection. The time is divided into two grades as short duration (PS)
input signals are the temperature, smoke thickness and and long duration (PB). If the output of the fuzzy
CO strength and gas concentration, respectively. The fusion algorithm is PS, the gas monitoring and control
hidden layer has eight cells, and the output layer gives system sends out the warning information, so the
the fire happing probability P2. extinguishing machine is quick on the trigger at once.
Supposing that the weights of the neural network is If output result of the fuzzy fusion algorithm is PB, the
matrix w, the input vector is X, the expectation output mining workers retreat immediately and the power
is T , the threshold matrix of hidden layer isθ, f is the supply is shut down.
sigmoid function, hidden layer output is as follows [3]: The some the output fire probability P2 are shown in
y i = f (∑ wij x j − θ i )
Table 1, S denotes the smog thickness, Te expresses
(1)
the temperature, EX presents desired computations, and
j
RV is real values.
The output computation in the output layer is:
ol = f (∑ Tli y i −θ l ) (2) Table 1. The fire probability P2
i Input Output
The output error between desired and real values is: P2
1
Gas S CO Te
EX RV
∑ (3)
2
E＝ (t − o ) l l
2 l 0.26 0.24 0.13 0.3 0.30 0.312
According to Chinese fire standard， the all values 0.33 0.32 0.24 0.4 0.40 0.404
are first normalized and entered into the input level of 0.42 0.45 0.32 0.2 0.50 0.491
nerve network. Then the output fire probability is 0.57 0.57 0.46 0.4 0.60 0.602
iterated from the training weight values and the input 0.64 0.24 0.51 0.5 0.70 0.711
values, until the error is smaller than the desired 0.70 0.43 0.60 0.3 0.80 0.783
values. In this algorithm, the CO signal range is [0,1]
corresponds to 0-100ppm, the smoke signal range is 4. System Design
[0,1] corresponds to 0-20%/M, temperature signal
range is [0, 1] corresponds to 0-10˚C/min, gas The whole system is designed to verify the theory
concentration is [0, 1]. The error curve is shown in analysis. The experiment prototype is mainly made up
Figure 7. of the data acquisition and conditioning circuits, filter,
amplification, A/D converter, ARM7 CPU processing
core, and the memory, etc. For real time prediction and
control, the ARM7 development platform is used as
the main hardware structure, shown in figure 8.

Figure 7. The error curve

In decision layer, the last output of the fire

happening probability is decided by the fuzzy fusion
algorithm with the characteristic probability P1 and P2
from the character layer. When fire probability exceeds
the alarm threshold Ts, the fire continuance time G
becomes the very important factor and is defined as
follows [4]:
G (n) = [G (n − 1) + 1] × v[ Pi ( x) − Ts ] (4)
G (n) = [G (n − 1) − 1] × v[Ts − Pi ( x)] (5)
Figure 8. The ARM7 development platform
ARM 7 is the leading provider of 32-bit embedded
RISC microprocessors. ARM offers a wide range of
processor cores based on a common architecture and
delivering high performance together with low power
consumption and system cost [5]. The microcontroller

574
has a high performance 32-bit RISC architecture with a
high density 16-bit instruction set and very low power
consumption. In addition, a large number of internally
banked registers result in very fast operation, making
the device ideal real-time control applications.
The design software partly is included: the program
of the ARM microcontroller port, the program of the
host computer PC and the driver of the ARM
microcontroller interface board. ARM microcontroller
port is divided into 4 sub-modules: the system
initialization, data acquisition, data fusion information
processing, the communication program between ARM
microcontroller and the PC. The main program
flowchart of the whole system is as shown in Figure 9.
begin
initialization
any data?
N monitoring and control system.
Y
data acquisition
data preprocess controller
fusion algorithm
N
P >Ts ?
Y Perspectives on spontaneous combustion mechanism
Figure 9. Main program flowchart
The main program of the ARM microcontroller
interface board is stored in FLASH. After power is
supplied, ARM microcontroller starts to run program
in FLASH, and it will initialize the system. At first the
main program polls the periphery interface whether
there are any data to be collected. If yes, data
acquisition and preprocess operations are carried on in
signal layer. And then the processed signal information
is sent into the fuzzy fusion algorithm and neural
network fusion algorithm to extract fire characteristics
probability respectively. In the decision layer, the last
fire happening probability P is compared with the
575
alarm threshold Ts. The gas monitoring and control
system sends out the warning information and
implements corresponding action to extinguish fire, if
there is fire happening. Otherwise, the program returns
back to collect data again.
5. Conclusion
Based on multi-sensor data fusion theory, a novel
coal gas fire prediction and control system is proposed
in the paper. The temperature, CO, smoke, and gas
concentration sensors are adopted to collect the
original data information. For veracious prediction, the
fuzzy fusion algorithm and neural network fusion
algorithm are described for the fire happening
probability inference. In order to get real time control
effectiveness, The ARM7 microcontroller is used to
control fire alarm. The theory analysis and simulation
results show that the system has some merits such as
real-time capability, reliable and flexible. It gives a
new way to decrease the mistake report rate of the fire
detection and improve reliability of the existing gas
Acknowledgment
The project is supported by the Natural Science
Foundation of Shaanxi Province Education Department
(07JK319). I am grateful to De-feng Zheng for her help.
References
[1] Deng Jun, Xu Jingcai, Chen Xiaokun,
and prediction theory of coal. Journal of Liaoning
Technical University, 2003, No.4, pp455-459.
[2] Teng Zhaosheng, Luo Longfu, Tong Tiaosheng.
Intelligent Detection System and Data Fusion. China
Machine Press. Beijing, 2000.8.
[3] Wen Xin, Zhou Lu. MATLAB Neural Network
Application. Science Publishing Press. Beijing, 2005.5.
[4] Wu Longbiao, Yuan Hongyong. Fire detector and
control project. Press of University of Science and
Technology of China. Beijing, 1999.11.
[5] ARM Limited, ARM TTDMI (Rev4) Technical
Reference Manual ARM DDI 0192A, 2000
 2008 International Conference on Intelligent Computation Technology and Automation

Application of Grey-markov Model in Order Forecasting of Distribution

Center

Liu Tiexin 1, Jiang Weijian2

1
School of Transportation, Wuhan University of Technology, Wuhan 430063, China;
E-mail: sfezn369@163.com
2
Department of Computer, Jiangxi Blue Sky University, Nanchang 330029, China;
E-mail: jiangweijian77@163.com

Abstract increase satisfied rate of customers, make the

The quickly changing market advances higher
requirement for distribution center. It is pivotal for
improving the flexibility and competence of distribution
center to operate the distribution center according to
the order, which represents the customers’ demand.
Therefore, the precise order forecasting is very
important for distribution center. Because the
influencing factors of order forecasting are
indeterminate, it leads to a big discrepancy between the
order forecasting and the reality. This paper has
established and applied grey-markov model, which
unifies the GM (1, 1) model and the Markov process
model, to forecast the order in distribution center. The
forecasting result of actual order data demonstrates the
forecasting result of grey-markov model is fair
accurate and well applicable.
1. Introduction
The customers’ demand has the characteristics of
rapid change and individuation. So it is pivotal for the
survival and competition ability of the distribution
center to attract customers as many as possible, which
depends on whether the distribution center could cope
with the change of the market in time and satisfy the
customers’ demand to the maximum. Therefore, the
order, which represents the customers’ demand, is the
headstream and destination of the operation of
distribution center. The accurate forecast of the order
volume of distribution center can provide data support
to the determination of the order point and order
quantity, which is able to reduce inventory cost,
organization of the procurement, production and
distribution more effectively. As a result, the total
benefit and competition ability of distribution center
can be improved greatly.
As the influencing factors of the order generating
are indeterminate, the information system of order
volume is a typical of grey system, so the grey
forecasting model can be used to forecast the order
volume of distribution center. However, for the
stochastic and fluctuating order volume data, the
forecasting accuracy of grey model decreases. On the
basis of the analysis of the GM (1, 1) model and the
Markov process model, this paper unifies above two
models to establish the grey-markov model, then
applies the model to forecast the order volume in
distribution center.
2. GM (1, 1) model
The modeling method of GM(1, 1) model is as
follows: supposed there is a series of original data，that
(0) (0) (0) (0) (0)
is X = { X (1), X (2), X (3), ..., X ( n )} . Through
accumulation, it generates a series of new data, that
is X (1) = { X (1) (1), X (1) (2), X (1) (3), ...., X (1) ( n )} , in which
(1) k (0)
X (k ) = ∑ X (i ), k = 1, 2, ..., n . Then the corresponding
i =1
Differential equation of GM (1, 1) model is
(1)
dX (1)
+ aX =μ
dt
Assumed aˆ = [a， μ ] is the estimating parameter
T

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DOI 10.1109/ICICTA.2008.321
 4.1. Establishing assessment indicator
vector, making use of the method of least squares, it
T −1 T We use the discrepancy between the series of
can find the solution aˆ = ( B B ) B Yn , in which
original data and the series of fitting data as assessment
⎡ −[ X (1) (1) + X (1) (2)] / 2⎡ X (0) (2)⎤1⎤ indicator. The problem that the forecasting error is
⎢ −[ X (1) (2) + X (1) (3)] / 2⎢ (0) ⎥ ⎥
Yn = ⎢
X (3) ⎥ 1 large, caused by the undulating original data in the GM
B=⎢ ，⎥
⎢ # ⎢# ⎥#⎥ (1, 1) model, can be well solved through making use of
⎢ (0) ⎥
⎣⎢−[ X ( n − 1) + X ( n)] / 2 1⎦⎥ the fluctuation range between the original data and the
(1) (1)
⎣ X ( n )⎦ fitting data and the probability of fluctuation
Solving the Differential equation, it can get the developing trend. Therefore, firstly we calculate the
forecasting model series of residuals between the original data and the
μ μ
Xˆ (k + 1) = [ Xˆ (1) − ]e− ak +
(1) (0) fitting data, that is
a a (0) (0) (0) (0) (0)
ε = {ε (1), ε (2), ε (3), ...., ε ( n)} , in which
Restoring the solution, it can obtain the (0) (0) (0)
forecasting formula of the series of original data, which
ε (k ) = X ( k ) − Xˆ ( k ), k = 1, 2, 3, ..., n . Then calculate
1 n (0)
is the mean value of residuals, that is ε =
∑ ε (k ) ,
(0) a (0) μ − ak n k =1
Xˆ ( k + 1) = (1 − e )[ Xˆ (1) − ]e , k = 1, 2, " Fina
a and the mean square deviation of residuals, that
lly, adopt the posteriori method to verify the accuracy 1 n
of forecasting model. is S (ε (0) ) = (0)
∑ (ε ( k ) − ε )
2
. Finally, calculate
n − 1 k =1
the standardized deviation of residuals, that is
3. Markov process model
η (k ) = [ε (0) (k ) − ε ]/ S (ε (0) ) , which is used to divide
states as the assessment indicator.
Supposed the Markov Chain is { Xn, n ∈ T } , for Supposed the standardized deviation of residuals
any integers m, n ∈ T ( n ≥ 1) and any states i , j ∈ I , is subjected to the normal distribution and it can divide
states according to the equal probability principle, then
(n)
we label Pij = P ( X m+ n = j X m = i ) as the nth step the number of η ( k ) constitutes the state transition
matrix of Markov process.
transition probability of Markov Chain, and label
(n) (n)
P = [ Pij ] as the nth step transition matrix. The 4.2. Dividing states
Markov process forecasting model can be expressed as
According to the equal probability principle and
follows:
the size of η , it can be divided into five states: (1) α + ,
(n)
X ( n) = X (0) P
when η ≥ 1.645 and the probability of which is 5%;
In the above formula, X ( n ) is the vector of
state probability at the nth moment, X (0) is the vector (2) α , when 0.385 ≤ η < 1.645 and the probability of
(n)
of state probability at the initial moment and P is which is 30%; (3) β , when −0.385 ≤ η < +0.385 and
(n)
the nth state transition matrix. If X (0) and P are
known, we can use the above formula to forecast the the probability of which is 30%; (4) γ , when
states of any moment in the future. −1.645 ≤ η < −0.385 and the probability of which is
+
4. Grey-markov forecasting model 30%; (5) γ , when η < −1.645 and the probability of
which is 5%.
Supposed X (0) = { X (0) (1), X (0) (2), X (0) (3),..., X (0) ( n)}
is the series of original data,
Xˆ (0) = { Xˆ (0) (1), Xˆ (0) (2), Xˆ (0) (3),..., Xˆ (0) (n)} is the 4.3. Fixing state transition matrix
series of fitting data, which is obtained through the GM
(1, 1) model and the forecasting accuracy of which is Assumed M ij ( m ) is the number of original data
qualified through check.

577
samples, which through m steps shift from state i to 5. Application of Grey-markov forecasting
state j , Mi is the number of original data samples, model
which in the state of i , we label
As is shown in Table 1, there is the historical
M ij ( m)
pij ( m ) =
+ +
, i, j = α , α , β , γ , γ , as the mth state order volume from the week of 1st to the 13rd in a
Mi distribution center. Now according to the order volume
from the week of 1st to the 11th, we apply the
transition probability and P ( m) as the mth state
Grey-markov model to forecast the order volume of the
transition matrix, that is 12nd and 13rd week. Then we compare the forecasting
⎡ p11 ( m) p12 ( m ) " p1n ( m) ⎤ results of GM (1, 1) model and Grey-markov model
⎢ p ( m ) p ( m ) " p ( m )⎥ with the actual value.
P ( m) = ⎢ 21 22 2n ⎥
⎢ # # # # ⎥
⎢⎣ pn1 ( m) pn 2 ( m) " pnn ( m )⎥⎦ Table 1 Historical order volume
Week 1 2 3 4 5 6 7
P ( m) reflects the transition law between any two
Order volume 1346 1399 1467 1567 1595 1588 1622
states, which is the foundation of the Grey-markov Week 8 9 10 11 12 13
forecasting model and can be used to forecast the Order volume 1611 1615 1685 1789 1790 1829

development trend of system. 5.1. Establishing GM (1, 1) model

Take the order volume from the week of 1st to 11th

4.4. Forecasting state vector as samples to establish the GM (1, 1) model, which is
(0) 0.020302 k
Xˆ ( k + 1) = 1422.96 ⋅ e , k = 1, 2, " .
In actual application, it only requires the first Through it, we can obtain the forecasting order volume
transition matrix. According to the theory of Markov of the 12nd and 13rd week, which is 1779 and 1816
respectively.
process, we can obtain the forecasting state vector,
n 5.2. Calculating assessment indicator
which is P ( n) = P (0) P (1) . In the above formula,
The result of assessment indicator can be seen in
P ( n) is the vector of state probability at the nth
Table 2.
moment, P (0) is the vector of state probability at the
Table 2 Assessment indicator of order volume
initial moment and P (1) is the first state transition Standardized
Original Fitting
Week Residuals deviation of
matrix. Value Value
residuals
1 1346 1346 0 -0.0007
4.5. Forecasting result 2 1399 1452 -53.15 -1.3274
(0) 3 1467 1482 -14.93 -0.3734
Assumed Xˆ ( n) is the forecasting result at the
4 1567 1512 54.68 1.3642
nth moment through GM (1, 1) model. On the basis
(0) 5 1595 1543 51.66 1.2889
of Xˆ ( n) , we can calculate the forecasting section of
6 1588 1575 13.01 0.3240
state i , and the forecasting value of state i is the 7 1622 1607 14.70 0.3664
midpoint of the section, labeled as Yˆ ( n) , i 8 1611 1640 -29.26 -0.7311
+ + 9 1615 1674 -58.90 -1.4710
i = α , α , β , γ , γ . Supposed P(n) is the vector of state
probability at the nth moment, the final forecasting 10 1685 1708 -23.23 -0.5806
γ+ 11 1789 1743 45.73 1.1409
result is Y (n) = Yˆ (n) ⋅ P (n) = T
∑ Yˆ (n) ⋅ p (n)
i i
i =α +

578
5.3. Fixing state transition matrix laws behind the disorderly surface of system. The
Markov process model reflects the laws of system state
According to the calculation of assessment and its transition. The grey-markov model has the
indicator and the division of states, we can get the advantages of the above two models, which achieves
states shift of order volume, which is shown in Table 3. better effect in the practical application. Because the
forecasting accuracy of the grey-markov model is
Table 3 States shift of order volume related with the division of the markov state transition,
α β γ which has no unified standard. This paper assumes the
residual is subjected to the normal distribution and uses
α 1 1 0 the standardized deviation of residuals as the state
β 1 1 2 division standard. Therefore, there is further
γ 1 1 2 improvement to the grey-markov model.

5.4. Forecasting state vector References

According to Table 3, we can obtain the states [1] Deng Julong, “The Primary Methods of Grey System
Theory” , Huazhong University of Science and Technology
transition matrix, which is
Press, 2005.
⎡1/ 2 1/ 2 0 ⎤
⎢1/ 4 1/ 4 1/ 2⎥ [2] Xue Chunming, and Zeng Yingkun, “On grey prediction
⎢ ⎥ model for road traffic freight volume”, Journal of Kunming
⎣⎢1/ 4 1/ 4 1/ 2⎦⎥ University of Science and Technology, 2006,31(4), 98-103.

Therefore, the state vectors of the 12nd and 13rd [3] Zeng Xiaoming, Gao Rongtang, Luo Qizhi, and Zhang

[1/ 2,1/ 2, 0] [3 / 8, 3 / 8,1/ 4]

Yuhong,“Traffic volume prediction based on Markov
week are and process”, Technology of Highway and Transport, 2003,4,
90-92.
respectively.
[4] Zhang Haidong, and Bi Xiaohui ,“The application of gray
5.5. Forecasting result residual GM (1, 1) on transport volume forecast”, Journal of
Southwest University of Science and Technology, 2002,17(3),
9-11.
The forecasting results of the 12nd and 13rd week
through Grey-markov model can be seen in Table 4. [5]Zhao Jianyou, “System Engineering of Road
Transportation” ,China Communication Press, 2004.
Table 4 Forecasting results of
12nd and 13rd week order volume
Week 12 13
State α β γ α β γ
Probability 1/2 1/2 0 3/8 3/8 1/4
GM(1,1)
1779 1816
results
1794 1764 1713 1831 1800 1750
Forecasting
— — — — — —
section 1845 1794 1764 1881 1831 1800
Midpoint 1820 1779 1738 1856 1816 1775
Final
1799 1821
result

As can be seen in Table 4, the forecasting

accuracy of Grey-markov model is better than GM (1,
1) model.

6. Conclusion

The GM (1, 1) model reflects the development

579
 2008 International Conference on Intelligent Computation Technology and Automation
Bi-level Programming Model and Solution Algorithm for Decision-Making on
Passenger Route Allocation of Coach Stations
Jie YANG a, Jing GUO b, Xiucheng GUO a
a
Transportation College, Southeast University, Nanjing, 210096
b
School of Biological Science & Medical Engineering, Southeast University, Nanjing, 210096
E-mail:honest-orange@163.com
Abstract
To minimize the general social cost of road
passenger transport, it is necessary for the government
to optimize the passenger route plans and balance the
benefits between transportation companies and
passengers, especially for the cities when there are
several coach stations. To provide a method that
makes the decision-making more reasonable, a
passenger route allocation model based on bi-level
programming and a solution based on genetic
algorithm are proposed. The upper programming
embodies the governmental decision-making behavior
of passenger routes, while the lower programming
embodies the individual choice behavior of coach
stations. The application of the model and its
algorithm are illustrated with a practical example. The
result shows that the model and the algorithm are
feasible and effective.
1. Introduction
The passenger route is an important part of the road
passenger transport industry. As there are usually
several coach stations in every metropolis, it is
important to improve the efficiency of passenger
transportation system by coordinating passenger routes
based on the layout of coach stations. Here we define
the passenger route allocation problem as to optimize
the allocation of passenger route resources among
several coach stations of which the purposes are
providing passengers with convenient service,
facilitating transportation companies on organization
and management, and reducing the general social cost
[1].
Multiple-passenger-allocation model is an
operational model, in which, passenger routes
originated from different stations can get to the same
destination. Passenger can choose an appropriate
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DOI 10.1109/ICICTA.2008.191
station according to individual preference [2].
Obviously, this is more convenient for passengers. On
the other hand, however, it is more difficult to make a
suitable scheme for the route allocation. Thus, both
transport supply system and individual choice should
be considered
Three factors, which are the core of the model
introduced in this paper, are to be considered when the
government endeavors to make a scheme of passenger
route allocation and are shown as follows: (a) To
reduce the travel expense of vehicles when leaving the
city and alleviate negative influence on urban traffic,
all passenger routes should be allocated in the station
which is geographically and directionally reasonable
and easy to access the road network; (b) To optimize
the passenger route resources and reduce the cost of
operation and coordination, the number of passenger
routes to the same destination generated from different
stations should be minimized as far as possible; (c) To
make it convenient for passengers to access, the
allocation scheme should enable the passengers to get
to the destination by the nearest station as far as
possible. The differences between the weights, which
are assigned for the factors in the decision making
process, express the preference of different decision
makers.
When it comes to the passenger searching for an
appropriate station, there are three stages: First, is to
find the station which offering the passenger route to
the destination and the cost of arriving at the station is
the least. Then, choose the station according to the
same principle (a) as for the governmental decision
among the same cost choices. Finally, if there are still
several stations to choose from, then assumed in this
paper, the passengers will choose the stations with
equal probability.
Over the past years, studies of roadway passenger
route allocation problem were mainly focused on the
perspective of transport companies, the goal of which
is to minimize the transportation cost or the overall
cost of infrastructure and operation. In most foreign
developed countries, the intercity transport system has
been formed based on private cars, and there are few
studies on passenger route allocation for roadway
transport. Vladimir Marianov et al.(1999) proposed a
0-1 linear programming model based on the
relationship between location of hubs and cost of time
and money [3]. However, the model cannot solve the
problem when the number of hubs is more than two.
Studies in China are mainly focusing on adjusting the
routes structure [4], optimizing the dispatching methods
[5][6], and operational models [7], etc. Although the
research has taken both supply and user’s optimum
into account [1][2][8], the operability of the model and
the algorithm are not good enough.
In this respect, a passenger route allocation model
based on bi-level programming will be developed in
this paper for the purpose of analyzing how the route
allocation affect the individual choice and how the
choice of passenger affect making allocation scheme.
Both the system and user optimum are considered, and
a solution of the model based on genetic algorithm will
be proposed.
2. Model
2.1. Bi-level programming model
In this paper, the problem can be considered as a
Leader-Follower problem, while government is the
leader and passenger is the follower. By the means of
policy and management, government can change the
route scheme of each station. Although it will affect
the passenger’s choice, it cannot dominate it. Besides,
it is also affected by the passengers’ travel habits and
other factors. The relationship of government and
passenger can be described by the bi-level
programming model.
Compared with single level programming, bi-level
programming shows an absolute advantage, which
includes three aspects: (a) Two conflicting targets can
be analyzed at the same time during the decision
making process; (b) It is a decision process with multi-
value criteria, which is more realistic; (c) The
interaction between the policy-making department and
the public can be interpreted clearly [9]. As mentioned
in the Introduction section, among the three
influencing factors with which the governmental
department makes a scheme of passenger route
allocation, the last factor is contradicted with the
others. To a great extent, it is determined by the
individual choice. In other words, some decision
variables are controlled respectively by the government
and passenger. Passenger’s choice is based on the
allocation scheme made by the government.
Meanwhile passenger indeed has some self-
581
determination rights. So it is appropriate to describe
the interrelationship by applying the bi-level
programming model.
2.2. Symbol description
During the process of decision, the following
variables are given in the model.
♦ n : The number of stations. i = 1, 2, … , n .
♦ m : The number of districts generating passengers.
j = 1, 2,…, m .
♦ D : The number of directions. In general case, it
consists of four directions: east, west, south and north.
d = 1, 2,…, 4 .
♦ Cid : The unit passenger volume cost for the
station i to leave the city for the direction d . It is
affected by the distance to the intercity or regional road
network and extent to which the urban traffic
congestion is. The more transport volume a station
fulfills, the more vehicles are needed to be distributed,
and the total expense will increase.
♦ f ji : The cost for a passenger from district j to
the station i . f ji = θ f ji0 , and f ji0 is the cost value
converted by the average access time to the station i
(2). θ is the adjustment coefficient for passenger travel
habit, service level of the station and other factors that
cannot be quantitatively calculated.
♦ a jd : The passenger demand volume of district j
to leave the city in the direction d by coach.
♦ C0 : The general cost that a station offers a new
passenger route to one direction.
♦ α , β , χ : The relative decision weights of the
three influencing factors, assigned by the decision
makers.
The following variables can be calculated.
♦ tid : If the station i offers a passenger route to the
direction d , then tid = 1 ; otherwise, tid = 0 . The two-
dimensional matrix Tn× D represents the passenger route
allocation scheme.
♦ δ jdi : If passenger from district j choose station
i to go to direction d , then δ jdi = 1 ; otherwise,
δ jdi = 0 . The three-dimensional matrix δ m× D× n
represents the selection sets of all the passengers.
♦ Xid : The total passenger volume that the station
i distributed in direction d .
♦ set A jd : In an allocation scheme, the set includes
the stations from which the passenger of district j can
go to direction d .
♦ set B jd : In an allocation scheme, the set includes
the stations that the value of f ji is the least when the
passenger from district j choose station i ( i ∈ A jd ) to
go to direction d .
♦ set C jd : In an allocation scheme, the set includes
the stations that the value of Cid is the least when the
passenger from district j choose station i ( i ∈ B jd ) to
go to direction d .
♦ h Bjd : The number of elements in the set B jd .
♦ hCjd : The number of elements in the set C jd .

2.3. Model representation of the Leader-

Follower process

Based on the analysis of the three influencing

factors mentioned above, the model of the
governmental decision-making can be expressed as
follows:
♦ The total expense for all the passenger routes in
different stations to leave the city:

∑ ∑C
n 4

id X id ;
i =1 d =1
Figure 1. Interactive relationship of leader &
♦ The total general expense for all the stations to follower
offer new passenger routes:

∑ ∑C t
n 4

0 id ; 2.4. Passenger route allocation model based on

i =1 d =1 bi-level programming
♦ The total expense for all the passengers to arrive
at the stations: The two-dimensional matrix Tn× D and the three-
dimensional matrix δ m× D× n represent the decision
∑ ∑ (a
m 4 n
jd / h )(∑ δ jdi f ji ) .
C
jd
j =1 d =1 i =1 scheme of government and the selection set of
In an allocation scheme, when a passenger chooses passenger respectively. Therefore, in the bi-level
a station from the district j to direction d , the choice programming model, government is considered as the
behavior can be expressed as follows: upper level decision maker (UDM) and passenger as
♦ Choosing a station that can meet the demand:
the lower level decision maker (LDM). The UDM
establishes the scheme for the passenger route
if tid = 1, then i ∈ A jd ;
allocation and the LDM chooses an appropriate station.
♦ Choosing a station that the value of f ji is the The upper level decision may affect the strategy set of
least among the set A jd : the lower level, thus might partly influence the
set f = min f ji (i ∈ A jd ) , if f ji = f , then i ∈ B jd ; formation of the decision for the lower level. While,
the decision process of the upper level can be affected
♦ Choosing a station that the value of Cid is the
as well by the LDM. Therefore, a correlated entirety is
least among the set B jd : consisted by the UDM and the LDM. The model is
set C = min Cid (i ∈ B jd ) , if Cid = C , then i ∈ C jd . given as following:
Figure 2-1 depicts the passenger choice process for
∑∑ C ∑∑ C t
n 4 n 4

a station, namely the determination process for the U : min F = α id X id + β 0 id +

i =1 d =1 i =1 d =1
value of δ jdi . Meanwhile, it reflects the interactive ; (1)
χ ∑∑ ( a jd / h Cjd )( ∑ δ jdi f ji )
m 4
n
relationship of government decision and individual i =1
j =1 d =1
choice.
subject to
n

∑t
i =1
id ≥ 1. (2)

L: min f ji ; (3)
subject to

582
 n requirement of Eq. (2), solve the lower programming
∑δ
i =1
jdi ≥1; (4)
X id = ∑ δ jdi ( a jd / h Cjd ) .
m
(5)
j =1
To minimize the general social cost of roadway
passenger transport, Tn× D and δ m× D ×n are considered as
the variables of the upper level objective function from
the UDM perspective. The lower level from the LDM
perspective is for the purpose of minimizing the cost
for passenger arriving at the station under the restricted
condition of Tn× D , from which the three-dimensional
matrix δ m× D× n can be solved simultaneously.
Eq. (2) shows that for each direction d , at least one
station offers route service. Eq. (4) represents that each
passenger is able to choose at least one station to meet
his travel demand.
3. Algorithm
Because of the non-convexity and non-continuity of
the bi-level programming, the genetic algorithm (GA),
which derives from the biological evolution process
and boasts for its optimal searching algorithm with
simplicity, generality, parallelism and strong
robustness, is adopted to solve the problem.
When solving the bi-level programming model with
the genetic algorithm, each solution or choice can be
seen as an individual of a whole population. The upper
level objective function is used as the fitness function,
by which the population individuals are imposed of the
genetic operation to realize a reorganization of the
structure of the population. Go through generation by
generation, the optimum solution of the bi-level
programming problem can be founded
Since the passenger route allocation scheme Tn× D is
contains n × D 0-1 variables, a Binary coding method
is adopted in the algorithm. The individual is expressed
as a group of binary codes in which each of the
elements is corresponding to the value of tid in the
two-dimensional matrix Tn× D . The initial individuals
are generated randomly. Each of the individuals is
corresponding to a passenger allocation scheme Tn× D .
Step 1: Initialization. Generate N individuals
randomly as the initial population P(0) . Set the
evolutional generation counter t = 1 , and define the
maxim generation numbers as T
Step 2: Set fitness function. Transform the upper
level objective function to the fitness function of the
genetic algorithm.
Step 3: Find the fitness degree of each individual.
Decode the binary codes and get the corresponding
allocation scheme. If the scheme meets the constraint
583
model and get the passenger selection set δ m× D× n . The
value of Xid can also be obtained which stands for the
total passenger volume that station i distributed to the
direction d . Then solve the upper level objective
function F to obtain the fitness degree of each
individual. If the scheme does not meet the constraint
requirement, set the value of F to M , and M is a
maximal positive number. Then find the fitness degree
of each individual.
Step 4: Genetic operation. By the means of copying,
crossing and mutation evolution, choose the excellent
individuals to make up of new population.
Step 5: Set t = t + 1 , then return to step 3.
Step 6: When t > T , stop calculation and output the
optimum solution.
4. Application example
To illustrate the effectiveness of the model and the
algorithm, a numerical example is provided.
There is a city with three stations and nine traffic
districts. Set α = 1 ， β = 1 ， C = 1 , and other0
parameter values are shown in Table 4-1 and Table 4-2.
Two kinds of scenario are given. In Scenario 2,
government is apt to the benefit of passengers among
the three influencing factors. Set χ 1 = 1 , χ 2 = 5 ,
generation numbers T = 70 and the number of the
initial individuals as 20. Program and calculate by the
“Genetic Algorithm and Direct Search Toolbox” of
Matlab7.0, the optimum allocation schemes of the two
scenarios are:
⎡0 1 1 0 ⎤ ⎡1 1 1 0 ⎤
1 2
Tn×D = ⎢0 1 1 1 ⎥ , Tn×D = ⎢0 1 1 1 ⎥ .
⎢⎣1 0 0 0 ⎥⎦ ⎢⎣1 1 1 1 ⎥⎦
t = 0 means that Station 3 does not have to offer
1
34
the route to Direction 4 in Scenario 1; t 342 = 1 means
that Station 3 should offer the route to Direction 1 in
Scenario 2. The results show that when the government
is apt to the passenger’s interest, more routes should be
allocated among different stations, and higher the
general cost will be. In addition, transport companies
operating different stations can optimize the
distribution methods according to the value of Xid .
⎡ 0 2400 2550 0 ⎤
X1n×D = ⎢ 0 850 1200 4650 ⎥ ;
⎢⎣ 3950 0 0 0 ⎥⎦
⎡1300 950 1150 0 ⎤
X 2n×D = ⎢ 0 400 350 1100 ⎥ .
⎣⎢ 2650 1900 2250 3550 ⎦⎥
Table 1. Value of a jd and f ji
j ( a j1 , a j 2 , a j 3 , a j 4 ) ( f j1 , f j 2 , f j 3 )
1 (300，250，500，600) (7，6，3) Method of Highway Passenger Terminals”, Journal of
Highway and Transportation Research and Development,
2 (450，200，350，700) (10，8，2)
Beijing, China, 2007, 24(11), pp. 140-142.
3 (350，600，400，350) (2，9，5)
4 (250，150，300，650) (3，8，6) [2] Chen, S.Y., “Research on the Planning of Urban Highway
5 (400，250，600，200) (3，4，2) Passenger Terminals Based on Traffic Integration”, M.S.
thesis, Southeast University, Nanjing, China, 2008.
6 (700，200，450，500) (5，6，7)
7 (550，400，350，600) (9，2，5) [3] Vladimir Marianov, Daniel Serra, and Charles ReVelle,
8 (300，700，350，450) (4，6，3) “Location of Hubs in a Competitive Environment”,
9 (650，500，450，600) (5，6，2) European Journal of Operational Research, 1999, 114(2), pp.
363-371.
Table 2. Value of Cid [4] Yang, Z.C., “Adjust and Optimize the Structure of the
i ( Ci 1 , Ci 2 , Ci 3 , Ci 4 ) Transportation to Promote the Development of the
Transportation Economy”, Hunan Communication Science
1 (10，7，6，20) and Technology, Hunan, China, 2000, pp. 62-63.
2 (20，6，8，4)
3 (5，12，15，100) [5] Jin, W.Z., J. Zhang, and Q. Li, “Optimal Dispatching
Methods on Coach Operations”, Journal of Highway and
Transportation Research and Development, Beijing, China,
1999, 16(4) pp. 82-84.

[6] Jin, W.Z., and J. Zhang, “Optimization for Coach Station

Service Capacity Distribution”, Journal of South China
University of Technology: Natural Science Edition, Nanjing,
China, 2000, 28(6), pp. 123 - 128.

Figure 2. Calculation process of Scenario 1 [7] Yao, Z.G., W. Zhou, Y.Q. Wang, and Z.K. Liu,
“Comparison of Operation Models of Intercity Bus Hub”,
Journal of Chang An University: Natural Science Edition,
Xi’an, China, 2006, 26(1), pp. 71-74.

[8] Luo, X., “Research on Highway Passenger Routes

Allocation”, M.S. thesis, Southwest Jiaotong University,
Chengdu, China, 2006.
Figure 3. Calculation process of Scenario 2
[9] Li, T., Su, W.L., and Li, L., Theory and Application of
Algorithm on the single and bilevel integer programming,
5. Conclusion Science Press, Beijing, China, 2007.
This study offers a roadway passenger route
allocation model based on bi-level programming. It is
suitable for metropolis with fix-located passenger
stations. The dual objective functions consist of the
route allocation by the government as the upper
programming and the station selection by individual as
the lower programming. An application example is
given and proves that the model and the algorithm are
feasible and effective. In further study, importance can
be attached on determining the value of α , β and χ ,
restriction to the total passenger volume of each station,
and discrete choice behavior of passengers for the
lower programming.

References
[1] Jin, L., J. Fan, S.Y. Chen, and H.N. Huang, “Preliminary
Research on Route Organization and Route Allocation

584
 2008 International Conference on Intelligent Computation Technology and Automation

Creation of the Finite Element Model of Complicated Structure Cylindrical

Involute Internal Spur Gear

Qiang LI
Dept. of Mechanical Engineering, Beijing University of Science & Technology
Dept. of Mechanical Engineering, Inner Mongolia University of Science & Technology
nkdlq@126.com
Haishan WENG
Dept. of Mechanical Engineering, Beijing University of Science & Technology
Lijun LIU
Dept. of Mechanical Engineering, Inner Mongolia University of Science & Technology

Abstract teeth was given. The method is also considered as a

The method how to create a 3-D finite element
model of internal spur gear under the ANSYS platform
was introduced, and then the 3-D finite element model
of complicated structure involute internal spur gear
was created based on the introduced method. During
creation of the model, the universal command stream
of involute profile was programmed with the help of
APDL (ANSYS Parametric Design Language), so the
efficiency of building the model of involute spur gear
was improved greatly. The establishment of regular
mesh finite element model lays a foundation for further
exact analysis of the gear.
1. Introduction
Of the gear mechanism, the spur gear transmission
is very simple and used widest, and the involute spur
gear is used very widely in mechanical engineering
because of its much strongpoint [1]. With the
development of the machinery manufacture industry,
the accurate modeling and FEA (Finite Element
Analysis) of gears are required. It is easy to build a
finite element model of simple structure cylindrical
spur gear by ANSYS, but it is difficulty of complicated
one, such as a cylindrical involute internal spur gear
with different diameter grooves in teeth. Therefore it is
an important direction for us how to find a kind of
highly efficient and easy modeling method to solve the
problems. In this paper, the method to build 3-D finite
element model of a complicated structure cylindrical
internal spur gear with difficulty diameter grooves in
reference one for creating a similar structure gear later.
2. Universal Method to Create Finite
Element Model by ANSYS
Universal methods to build finite element models
by ANSYS are shown below:
(1) Using direct generation. Firstly creating nodes,
then creating elements and finite element models by
created nodes.
(2) Creating solid models. Creating complete solid
models (within ANSYS or imported form CAD
system), and then creating finite element models by
meshing created solid models.
The method (1) is used to build simple models, such
as linkages [2]. The method (2) is a common one
within ANSYS. Two methods are difficulty for
creating the finite element models with complicated
structure cylindrical internal spur gears meshed by
brick element [3].
3. The Method to Build Finite Element
Model of Complicated Structure
Cylindrical Involute Internal Spur Gear by
ANSYS
The finite element model was created by the method
shown below:
According to the known parameters, the 2-D solid
model with half tooth was created, and then the 2-D
finite element model was created by meshing the
created 2-D solid model, and the 3-D finite element
model and the 3-D solid model were simultaneously

978-0-7695-3357-5/08 $25.00 © 2008 IEEE 585

DOI 10.1109/ICICTA.2008.94
created by a series of operations, such as copying,
moving and dragging the 2-D solid model.
Based on the introduced method above, the 3-D
finite element model of the cylindrical involute internal
spur gear of a certain reducer was built easily and
conveniently. The drawing and the parameters are
shown Figure.1 and Table 1.
The number of tooth selected to build was seven.
Figure 1. The drawing of internal spur gear
Table 1. The parameter of internal spur gear
4. The Realization of Parametric Modeling
of the Gear by Using APDL
According to the involute formulation given by
reference [4] under Cartesian coordinate system,
APDL program was programmed, and then the
keypoints on tooth profile were created, and finally the
involute tooth profile was formed by fitting the
keypoints. The main APDL program content was
shown below:
4.1. Evaluation of Gear Basic Parameters by
Using Multiparameter Input Dialog Box
The input dialog box was shown Figure2.
4.2. The Main Command Stream of Forming
Involute Tooth Profile
The main command stream of forming involute
tooth profile was shown below:
…………………….
*DO, ak, 13, 22
f1=cos(180/Pi*tan(ak))+tan(ak)*sin(180/Pi*tan(ak))
f2=sin(180/Pi*(Pi/(2*z)-2*x*tan(a)/z-inva))
586
f3=sin(180/Pi*tan(ak))-tan(ak)*cos(180/Pi*tan(ak))
f4=cos(180/Pi*(Pi/(2*z)-2*x*tan(a)/z-inva))
X (i) =0.5*z*m*cos (a)*(f1*f2+f3*f4)
Y (i) =0.5*z*m*cos (a)*(f1*f4-f3*f2)
i=i+1
*ENDDO
/PREP7
*DO, i, 1, 12
K, i, X (i), Y (i)
*ENDDO
KSEL, S,,, 1,12
BSPLIN, ALL
…………………….
Figure 2. The parameter input dialog box of
internal spur gear
4.3. The Creation of 2-D Solid Model of Half
Tooth
Twelve keypoints were created by above command-
stream, and then an involute tooth profile was formed
by fitting the keypoints. The model of half tooth was
created by combining other data, such as, the diameters
of addendum circle and dedendum circle, etc. (See
Figure3). Of course, the more the number of the
keypoints is, the more accurate the involute tooth
profile is.
Figure 3. The 2-D solid model of half tooth
4.4. The Creation of 3-D Finite Element Model
of the Gear

The meshing is an important step for the creation of

finite element model, the workload of the meshing is
large - the workload accounts for at least 50 per cent of
total workloads of FEA, and the mesh shape and the
number have directly effects on both the precision of
results and the scale of solution [5].
In this paper, the dragging meshing method was
adopted to mesh the gear. The X-Y plane is the cross-
section of the gear end, and the Z-axis is the axial Figure 6. The partial enlargement picture of 2-
direction of the gear. The gear was divide into the joins D finite element model of seven teeth
of the components without grooves and with grooves,
and the components were projected to X-Y plane (See
Figure 4), and then were meshed by using mapped
meshing method, and the meshing sizes of joints must
be equal when the projections were meshed (See
Figure 5). The seven teeth model was created by
copying the meshed half tooth one in X-Y plane (See
Figure 6), and then the Z-directional copying and
dragging operations were adopted in order to generate
the 3-D finite element model(See Figure 7), and the
solid model was generated simultaneously, too (See
Figure 8).
Figure 7. The 3-D finite element model of
internal spur gear

Figure 4. The projections of models in X-Y

plane half tooth Figure 8. The 3-D solid model of internal spur
gear
The main command stream was shown below：
…………………….
ET, 1, PLANE42
ET, 2, SOLID5
…………………….
TYPE, 1
LESIZE, 1,,, 6,,,,,1
LESIZE, 17,,, 5,,,,,1
LESIZE, 19,,, 2,,,,,1
LESIZE, 11,,, 5,,,,,1
Figure 5. The finite element model of LESIZE, 4,,, 3,,,,,1
LESIZE, 12,,, 3,,,,,1
projections
LESIZE, 8,,, 3,,,,,1

587
LESIZE, 9,,, 2,,,,,1 References
LESIZE, 6,,, 9,,,,,1
LCCAT, 11, 4 [1] Heng SUN, Mechanical Principle, Higher Education
LCCAT, 12, 8 Press, Beijing, 2001.
LCCAT, 1, 15 [2] S. MOAVENI. Finite Element Analysis -Theory and
MSHAPE, 0,2D Application with ANSYS, Prentice-Hall, Inc., New Jersey,
MSHKEY, 1 1999.
AMESH, 1, 7, 1 [3] ANSYS, Inc., ANSYS Tutorials for Release 5.5, ANSYS,
Inc., 1998
CSYS, 4 [4] Youlin WANG, Qing YU, and Ying JIANG, “The
WPROT, ang1 Practical Involute Equation under Cartesian Coordinates
ARSYM, Y, 1, 7, 1,, 0,0 System”, Journal of Mechanical Transmission, 26(3), 2002,
WPROT, ang1 pp.41-43.
ARSYM, Y, 1, 14, 1,, 0,0 [5] Jingzhong XING, “Methods of Creating Model and Grid
WPROT, ang Partition of ANSYS”, China Water Transport (Academic
ARSYM, Y, 1, 28, 1,, 0,0 Version), 6(09), 2006, pp. 116-118.
WPROT, 2*ang
ARSYM, Y, 15, 56, 1,, 0,0
…………………….
ASEL, R, LOC, Z, 74/1000
CM, AREA2, AREA
TYPE, 2
ESIZE, zesize, 0
CMSEL, S, AREA2
VDRAG, AREA2,,,,,, 1043
…………………….
ALLSEL, ALL
ESEL, S, TYPE,, 1
ACLEAR, ALL
NUMMRG, ALL,,,, LOW
NUMCMP, ALL
……………………

5. Conclusion
(1) The programmed APDL command stream can
be, easily and conveniently, applied to created similar
involute spur gears (standard gear or profile shifted
gear) by only modifying some parameters in program.
(2) For the above 3-D finite element model of
complicated structure cylindrical involute internal spur
gear, its strongpoint is completely regular mesh and
convenient modification in mesh size. The completely
regular meshing is benefit to improve the precision of
results, and convenient modification in mesh size can
adjusts the contradiction between computation time
and precision of results.

Acknowledge
The authors gratefully acknowledge the sponsorship
of this work by the Natural Science Foundation of
Inner Mongolia Autonomous Region, PR China
(200607010707).

588
 2008 International Conference on Intelligent Computation Technology and Automation
Design of Intelligent Business Process System and Process Remodeling
YAN LI, SHAO-LING DENG
School of Economics and Management
Shanghai Maritime University, P.R.China, 200135
yanli@sem.shmtu.edu.cn
Abstract
Traditional business process management systems
only focus on process definition and running. This
paper designs an intelligent business process system to
realize process diagnosis, analysis, optimization, and
prediction. Process mining engine is the key component
of the intelligent system. This paper designs a process
mining algorithm based on Markov matrix to realize
business process remodeling. Realization of intelligent
business process system can effectively improve the
process management ability of managers.
1. Introduction
Traditional business process management systems
(BPMS) only focus on process definition and running,
such as workflow management system, office
automation system [1]. Most of them nearly ignore the
importance of process diagnosis, analysis,
optimization, and prediction.
With continuous running of BPMS, a mount of
process logs are saved in system [2]. These logs involve
much process execution information. This information
provide amount of data base to analyze and optimize
business processes. At the same time, the analysis
results can help process managers to make process
decision. However, at the present time few people
concentrate on it.
Therefore this paper will design an intelligence
business process system (IBPS) in order to extend the
functions of traditional BPMS. In the IBPS, process
mining engine is the key component. And mining
algorithm is the core of engine. To explain the working
process, the paper will design a process mining
algorithm based on Markov matrix to realize business
process remodeling.
This paper is structured as follows. In Section 2, we
discuss the related works. In Sections3, we design a
benchmark model of IBPS. Because process mining
engine is the key component of IBPS, in section 4 a
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DOI 10.1109/ICICTA.2008.131
process mining algorithm based on Markov matrix is
designed. And at last the conclusions of this paper are
given.
2. Related works
In fact the idea of deducing the process model from
logs is not new. In 1995, Pro. Jonathan. E.Cook firstly
put forward the idea in software engineering area [4]. In
1998, Rakesh Agrawal firstly applied the idea in
business process modeling area [6]. However, until
recent years this modeling technology is paid more
attention and gradually becomes a new modeling
research direction.
Jonathan. E.Cook and Alexander L. Wolf firstly put
forward the idea of deducing models in the context of
software engineering processes.
In [4] they describe three methods for process
discovery (neural networks, a purely algorithmic
approach, Markovian approach). For mining more
behavior, they extend their work to concurrent
processes in [5]. They propose specific metrics
(entropy, event type counts, periodicity, and causality)
and use these metrics to discover models out of event
streams.
R. Agrawal firstly introduced the idea of applying
process mining in the case of workflow in [6]. His
process mining algorithm can find a workflow graph
generating events appearing in a given workflow log
and find the definitions of edge conditions.
Schimm has developed a mining tool (Process
Miner) suitable for discovering hierarchically
structured workflow processes [6].
Joachim Herbst and Dimitris Karagiann are also
address the issue of process mining in the context of
workflow management using an inductive approach
and apply machine learning into it [7, 8]. The work
presented in [7] is limited to sequential models. The
approach described in also allows for concurrency [8].
W.M.P van der Aalst do much further research work
about process mining. They develop several different
process mining algorithms in [9-13], including formal
algorithms and heuristic algorithm. The resulting
workflow models are presented in WF-net.
3. Design of intelligence business process
system
The function of IBPS can be divided into two parts.
One part is similar to the functions of traditional
BPMS, which includes process design, system
configuration and process enactment; the other part is
particular and mainly composed of the extended
functions which include process analysis, diagnose,
prediction, monitoring, control, and optimization.
To effectively realize the functions of IBPS,
business process intelligence tool should include three
main components at least, that is process data
warehouse (PDW), process mining engine (PME) and
management cockpit.
PDW is similar to traditional data warehouse, in
which the process execution information, viz. process
logs are saved. The basic functions of PDW include the
verification of log consistency, computation of
business level metrics, and insertion of process data.
The data saved in PDW provides the base for the
process mining.
PME is a key component to realize intelligence. The
main function of PME includes that automatically
deducing a structured process model from a set of
actual process logs and comparing the process model
with predefined model to realize “intelligent” kinds of
analysis. Obviously, in PME deducing models is the
precondition to realize intelligent analysis. Therefore
automatically deducing models is the core of PME.
The output of PME includes two parts. One of it is
the deduced process models; the other is the results of
compare, analysis and predictions based on the
deduced model and predefined model. Analysis results
can help process designers understand the behavior of
new or modified processes.
The management cockpit is a graphical interface,
which is designed to provide reports to business
managers and users. The cockpit can display statistic
data of PDW in any intuitionist way. From user
perspective, the cockpit can inform users of alert
situations to avoid undesired situation.
IBPS’ benchmark model is shown in Figure 1

Optimization and Prediction

Monitoring & Control

Process Process Process Process

Process data analyzer
Process Design
Design manager
Engine 1 warehouse

Process PDW loader Management

Management
PDW loader
Process Engine 2 Process logs Cockpit
Cockpit
Process The Analysis
Definitions … data mined &
Cleaning predicitons
warehouse models
Process &
Aggregating IT User
Engine n

PME
PME
PM Intelligent
Intelligent
PM Algorithms
Algorithms analysis
analysis

Figure 1. Benchmark model of IBPS

4. Design of Process remodeling method (Case_id), the task name (Task), the performer name
based on Markov matrix (Performer), the execution time (Time) and so on. The
basic structure of log can be described as TableI.

Although in different systems the structure forms of TABLE1. The basic structure of process log
the log are different, the recorded basic information is Case_id Task Performer Time
nearly same, which includes the name of process case

590
4.1 Setting-up of Markov matrix ∃xi ∈ X and ∀x j ∈ X if pij = 0 then X E = xi
With the continuous execution of process, the Rule3：To identify the sequence relation between tasks
system will record large numbers of process logs. ∀xi , x j ∈ X if pij ≠ 0 then xi >x j
According to the logs a Markov transition matrix of the
process can be set up. The concrete process is Rule4：To identify the casual relation between tasks
following. ∀xi , x j ∈ X if pij = 1 and xi ≠ x j then
(1) To count the repetitious execution times of the
process and denote it as n, viz. Case_1, Case_2,…, xi → x j
Case_n; Rule5：To identify the parallel relation between tasks
(2)To analyze every process case and set up the task
Rule5.1：To identify And-Split
set X of the process, viz. X = { x0 , x1 ,..., xk } ; ∀xi , xηk ∈ X
(3) To calculate the transition probability among
1
tasks with pij ＝ mij / n （ mij ≤ n ， i, j ∈ I ） , if piη1 = piη2 = ... = piη = ≠ 0 and xi ≠ xηk
k k
mij denotes the times from task xi to task x j within then { xη // xη2 // ...// xηk ； xi > xηk ； xi is the
1
one-step in all process cases.
task with And-Split }
(4) To set up the Markov transition matrix of the
Rule5.2：To identify And-Join
process based on all pij ( i, j ∈ I ), denoted as P.
x0 x1 ... xk ∀xi , xηk ∈ X
x0 ⎡ p00
⎢p
p01 ... p0k ⎤ if pη1i = pη i = ... = pη i = 1/ k ≠ 0 and xi ≠ xηk
P = x1 ⎢ 10 p11 ... p1k ⎥⎥ 2 k

... ⎢ ... ... ... ... ⎥ then { xη // xη // ...// xηk ; xηk > xi ; xi is the task
⎢ ⎥ 1 2
xk ⎢⎣ pk 0 pk1 ... pkk ⎥⎦ with And-Join }
Based on Chapman-Kolmogorov equations, pij and Rule6：To identify the exclusive relation between tasks
Rule6.1：To identify OR-Spli
ij ∑ ik kj
P have the following properties. (1) p ( k ) = p p ( k −1) .
k ∈I ∃xi , xηk ∈ X , piηk > 0
(2) P ( k ) = P i P k −1 = P k if ∑ piη k
=1
4.2 Design of Process mining algorithm based k

An actual process is composed of basic process

then { xη # xη # ... # xη ； xi
1 2 k
> xηk ； xi is the
structures which include sequence structure, And- task with OR-Split }
split/join, Or-split/join and iteration structure. These Rule6.2：To identify OR-Join
basic structures are composed of five basic logical ∃xi , xη ∈ X , pη i > 0
relations, viz. sequence relation, casual relation, k k

exclusive relation, parallel relation and iteration if ∑k pη i = 1

k
relation (self-iteration and k- step iteration). These
relations are individually marked as ’>’ , ’ then { xη # xη # ... # xη ； xη
1 2 k k
> xi ； xi is the task
→’ , ’#’ , ’//’ , ’◇’. Before modeling process, all
with OR-Join }
possible logical relations among tasks must be
confirmed. Based on these relations, the process model Rule7：To identify the self-iteration relation
can be deduced.
4.2.1 Mining rules of process logical relations ∃xi ∈ X , xη ∈ X − { xi }
k
Let P is Markov transition matrix of the process, X
if pii = p （ p ≠ 1 ） then {◇ xi ； xi > xη }
is the task set, X = { x0 , x1 ,..., xn } , I = {0,1, ..., n} . k

The following is the mining rules of process logical Rule8：To identify the k- step iteration among tasks
relations (from rule1 to rule 8) are designed as follows. Rule8.1：To identify the iterative tasks
Rule1：To identify the start task X S of the process
∀xi , xη ∈ X ， xi ≠ X S ，
∃x j ∈ X and ∀xi ∈ X if pij = 0 then X S = x j k

xi ≠ X E and x j ≠ X E ， X re = ∅
Rule2：To identify the end task X E of the process

591
 if pij = 0 ， p ji > 0 and ∃k ( k ≤ n − 1) and WE : a multi-task set in which the relation among
p (k )
ij > 0（ p (k )
ij ∈P k
） tasks is exclusive. WE = {( xη , xη ，...) xη # xη # ... }
1 2 1 2
then {there are a k+1 step iteration
Mining algorithm _Process (P，X):
between xi and x j ，and x j > xi ；
X re = X re + {xi , x j } W = ∅ ， WP = ∅ ， WE = ∅
Step1:
Refunction ( )
} For ( i ≤ n + 1 , i = 0 , i + )
Refunction ( ) ∀xi ∈ I
Do
{ for ( η ≤ n + 1 , η = 0 ,η + ) If Rule1 then X S = xi

{ if pi(ηk −1) > 0 and pη j > 0 If Rule2 then X E = xi

then { X re = X re + {xη } ; xη > x j } Step2:
} for ( i ≤ n + 1 , i = 0 , i + )
k=k-1 for ( j ≤ n + 1 , j = 0 , j + )
j =η } { If Rule3 then W = W + {( xi , x j xi > x j )}
While ( k ≥2)
If Rule4 then W = W + {( xi , x j xi → x j )} }
The relation of tasks in X re is iterative ， which is
Step3:
denoted as x j ◇ xi ◇ xη ◇ ... ◇ xη . for ( i ≤ n + 1 , i = 0 , i + )
1 k −3
X rS { if ∃xη , xη ,..., xηk ∈ X and Rule5.1
Rule8.2 ： To identify the start task of the k-step 1 2
iteration then {
WP = WP + {( xη1 , xη2，...，xη ) xη1 // xη2 // ...// xη }
if ∃xηk ∈ X re , xi ∈ X − X re and piη > 0 k k
k
W = W + {( xi , xη ) xi > xη } }
then { X rS = xηk ； xi > X rS } k k
if ∃xη , xη ,..., xη ∈ X and Rule5.2
1 2 k
Rule8.3：To identify the end task X rE of the k- step
then{
iteration
WP = WP + {( xη1 , xη2，...，xη ) xη1 // xη2 // ...// xη }
if ∃xηk ∈ X re , xi ∈ X − X re and pη i > 0 k k
k
W = W + {( xη , xi ) xη > xi } }
then { X rE = xηk ； X rE > xi } k k

if ∃xη , xη ,..., xη ∈ X and Rule6.1

4.2.2 Mining algorithms based on mining rules 1 2 k

In this section a process mining algorithm (Process then{

(P，X)) based on the foregone transition matrix P, task WE = WE +{( xη , xη ，...，xη ) xη # xη # ...
set X and mining rules of logical relations will be 1 2 1 2 k

designed. The algorithm can automatically deduce all # xη }

k
possible logical relations among tasks and set up the
W = W + {( xi , xη ) xi > xη } }
relation sets W, WP and WE . k k

Input: P: Markov transition matrix of the process if ∃xη , xη ,..., xη ∈ X and Rule6.2
1 2 k
then{
X: a task set of the process, X = { x0 , x1 ,..., xn }
Output: W: a dual-task set in which the relation WE = WE +{( xη , xη ，...，xη ) xη # xη #
1 2 k 1 2
between the dual tasks is casual, sequent or iterates. ... # x }
ηk
W = {(xi , x j ) xi → x j or xi > x j or xi ◇ x j }
W = W + {( xηk , xi ) xηk > xi } }
WP : a multi-task set in which the relation among
if Rule7
tasks is parallel. WP = {( xη , xη ，...) xη // xη // ...}
1 2 1 2

592

then { W = W + {( xi , xi )
xi } +{( xi , xηk ) xi > xηk } } }
Step4:
for ( i ≤ n + 1 , i = 0 , i + )
for ( j ≤ n + 1 , j = 0 , j + )
if Rule8.1
then
W = W + {( xi , X rS ) xi > X rS } +
{( X rE , x j ) X rE > x j } + {( xη , xη ) xη ◇ xη }
k −1 k k −1 k
5. Conclusions
IBPS extend the traditional BPMS. The extended
functions include process analysis, monitoring and
control, prediction and optimization. This paper
focuses on design its benchmark model. PME is the
key component of IBPS. This paper designs a process
remodeling method based on Markov matrix. The
actual process model can be automatically deduced
from process logs. Next step we will research how to
analyze the difference between actual model and
predefined model to improve process managers’
decision capability.
6. Acknowledgement
This work is supported by management science and
engineering key disciplines in Shanghai Maritime
University (NO：XR0101), and shanghai’s excellent
young teachers scientific research fund.
7. References
[1] M. Weske, W. M. P. van der Aalst, H.M.W. Verbeek,
Advances in business process management, Data &
Knowledge Engineering, Vol 50, pp. 1-8, 2007.
[2] Daniela Grigori, Fabio Casati, Malu Castellanos,
Business process intelligence, Computers In Industry,
Vol 56, pp. 321-343, 2004.
[3] W. M. P. van der Aalst, B. F. van Dongen, J. Herbst,
L. Maruster, G. Schimm, and A.J.M.M. Weijters,
Workflow mining: a survey of issues and approaches,
Data and Knowledge Engineering, Vol 47, No. 2, pp.
◇
237-267, 2005.
[4] R. Agrawal, D. Gunopulos, and F. Leymann, Mining
process models from workflow logs, In Sixth
International Conference on Extending Database
Technology, pp. 469–483, 1998.
[5] J. E. Cook , A. L. Wolf, Event-based detection of
concurrency, Proceedings of the Sixth International
Symposium on the Foundations of Software
Engineering.
[6] G. Schimm, Process miner - a tool for mining process
schemes from event based data”, Proceedings of the 8th
European Conference on Artificial Intelligence
(JELIA), Vol 2424 of Lecture Notes in Computer
Science, pp. 525–528, Springer-Verlag, Berlin, 2002.
[7] J. Herbst , D. Karagiannis, Integrating machine
learning and workflow management to support
acquisition and adaptation of workflow models,
Proceedings of the Ninth International Workshop on
Database and Expert Systems Applications, pp. 745–
752, IEEE, 1998.
[8] J. E. Cook , A. L. Wolf, Discovering models of
software processes from event-based data, ACM
Transactions on Software Engineering and
Methodology, Vol 7, No. 3, pp. 215–249, 1998.
[9] W. M. P. van der Aalst, A.J.M.M. Weijters, and
L. Maruster, Workflow mining: discovering process
models from event logs, IEEE Transactions on
Knowledge and Data Engineering, 2004.
[10] L. Maruster, A.J.M.M. Weijters, W. M. P. van der
Aalst, and A. van den Bosch, Process mining:
discovering direct successors in process logs
Proceedings of the 5th International Conference on
Discovery Science (Discovery Science 2002), Vol 2534
of Lecture Notes in Artificial Intelligence, pp. 364–373,
Springer- Verlag, Berlin, 2005.
[11] A. J. M. M. Weijters , W.M.P. van der Aalst, Process
mining: discovering workflow models from event-
based data, Proceedings of the 13th Belgium-
Netherlands Conference on Artificial Intelligence
(BNAIC 2001), pp. 283–290, 2001.
[12] L. Wen, J. Wang, W. M. P. van der Aalst, Z. Wang,
and J. Sun, A novel approach for process mining based
on event types, BETA Working Paper Series, WP 118,
Eindhoven University of Technology, Eindhoven, 2007.
[13] A. K. A. de Medeiros, W. M. P. van der Aalst, and
A.J.M.M. Weijters, Workflow mining: current status
and future directions, Computer Science, Vol 2888, pp.
389-406, 2005.
593
 2008 International Conference on Intelligent Computation Technology and Automation
Holonic Reconfiguration Model Based on Time Petri-net And Its Solution
Method
Sheng Shangxiong
School of Mechanical and Electronical Engineering, Lanzhou University of Technology,
Lanzhou,Gansu,730050,P.R.China
Sshang600@sina.com
Abstract
The manufacturing system change from hierarchy to
parallel structure, from concentration to distribution
based on notion of Holonic Manufacturing System. In
this paper, the problem of how to demarcate the unit of
the manufacturing system, management style of the
unit, control structure and the corresponding control
method are settled. The model on order settlement in
system reconfiguration model based on time Petri-net
is put forward, order intelligent operation series is
guided by a hybrid particle swarm
optimization(HPSO) algorithm with Differential
Evolution(DE) algorithm. PSO provides initial solution
for DE during the hybrid search process. Such hybrid
algorithm can be converted to tradition DE by setting
swarm size to one particle. Simulation results show
that the proposed model and algorithm are effective to
order evaluation and implementation .
1. Introduction
Advanced Manufacturing Technology (AMT)[1] is
the one of the core foundation technology for thriving
and prosperous of a country, it is also the important
measure to create society wealth directly and the
mostly technology support to the economy
development for a country. In the era of global
incorporate economy, enterprise collaborative become
the most important content for enterprise survivorship
and development strategy, so, how to realize enterprise
alliance by network tools and platform to strength
cooperation and collaboration is the development
direction to manufacturing technology in the next
generation[2].
Aimed to the application and realization technology
of advanced manufacturing technology and
informationize, the research on enterprise alliance and
its business reconfiguration to Holonic Manufacturing
978-0-7695-3357-5/08 $25.00 © 2008 IEEE
DOI 10.1109/ICICTA.2008.401
system is processed, by constructing the information
platform to Holonic Manufacturing system, the
enterprise alliance with dynamic reconfiguration and
Holon feature is established, this system can realize the
informationize within enterprise and among enterprise,
then support the cooperation between enterprise.
This paper provides a dynamic re-configuration and
order optimization model and optimization algorithm
of holonic manufacturing systems (HMS). The paper is
organized as follows. Section 2 provides a summary of
the state of arts of Holonic Manufacturing Systems
(HMS). In section 3, timed petri-net(TPN) based order
holon is applied to cooperative activity among orders
in a community. Section 4 formulating the operation
of a order holon using petri-nets and order form
selection model based on HPSO algorithm . Simulation
result is given in section 5. Finally, Section 6
concludes the paper.
2. Holonic Manufacturing Systems (HMS)
Holonic Manufacturing Systems is one of the
Intelligent Manufacturing Systems (IMS) program's six
major projects resulting from a feasibility study
conducted in the beginning of the 1990’s. The
objective of the work of the HMS consortium is to
"attain in manufacturing the benefits that holonic
organisation provides to living organisms and
societies, e.g., stability in the face of disturbances,
adaptability and flexibility in the face of change, and
efficient use of available resources." [3]
The main task of HMS is to strength autonomy and
collaboration of basic units, the basic component is
Holon, the main research direction covers from
enterprise to workshop, technique support are
information technology and standardization.
The topology construction is showed as fig.1, it has
self-similar topology construction. The topology
relationship and function model of Holon are
594
determined by fixed rules, its concreted action is
determined by flexible strategy. Every holon have
tendency to integrate itself to Holon system and keep
itself as independent and individuality, the former is
cooperation character, the latter is self-discipline
character, these are two basic attribute for holon or
holon system. Self-discipline character is the dynamic
expression of Holon which means holon itself having
ability to finish task that system given , dynamic
respond to environment change , self-repair and self
study, etc. Collaboration attribute is the dynamic
expression of holon autonomy which means autonomy
attribute of Holon is relative, Holon take into effect
within its constriction scope, accept command from top
level system, fulfill the task with other holon by
negotiation. So holon is autonomy unit having some
independence, when met some unexpected accident, it
can deal with itself while not need to ask for
instructions for top level, which means it is a stable
form not affected by disturbance.
The basic communication mechanism for different
Holons is illustrated in Fig.1.
Figure 1. Communication mechanism for different
Holons
In order to fulfill the functioning of an HMS, it is
necessary to form an efficient, flexible and responsive
network of agents, which are intra-holonic entities that
inherit the same characteristics as the holons. One of
the most important problem to realize function of HMS
is how to tackle order form effectively, in other words,
order Holon is the key component for HMS[4][5].
3. Timed Petri-net(TPN)[6] Based order
holon
Definition.
1. K : P → {1,2,", n} is the capacity funcition of
CN.
2. Mp : P → {0,1, " , n − 1} is the flow mark of CN,
if ∀p ∈ P : M p ( P) ≤ K ( p )
595
M v : V → Type is the value mark of CN, if
∀v ∈ V : M v (v) ∈ tp (v)
M = M p + M v is the ID of CN.
3. W : F → {1,2,"} is the weigh function of CN.
4.status: T → {0,1} is the status function of CN.
guard: T → Boolean expression is the guard
function of CN, if ∀t ∈ T : Var ( guard (t )) ⊆ r (t ) , and
for x ∈Var ( guard (t )) − V , x can present itself on
guard(t) by the form of x=a, where a is a constant.
Var(guard(t)) is the variable aggregation of guard(t),
where the variable that does not belong to V is the
assistant variable, x=a is to give x initial value.
body: T → evaluate sentence is the body function,
if ∀t ∈ T , body(t) only evaluate to the variable of w(t )
and the assistant variable of t. the evaluate sentence
only use assistant variable and variable of t.
M T = status + guard + body is the transition
identifier of CN.
In an Order Holon, there are n (where n > 1) orders
to be produced using m (where m > 1) processing
units. For each order, the sequence by which the
processing units will be visited is pre-specified and is
referred to as the order (or job) routing or processing
recipes. Normally, the processing time τ ij for an order
(or job) i (i = 1,2,", n) in unit j ( j = 1,2,", m) is
given.
4. Order form selection model based on
HPSO algorithm
4.1 Modeling of the Order form selection
According to TPN order form processing model
presented in former section, assume one task Holon
can process n order form, each order form can be
finished in unit time, for order form i, there having
consignation date constriction Di > 0 , if and only if
the order form can be finished before date constriction,
then there are profit that Fun>0. one solution to the
question is a subset J of n order form, all the order
form in J can be finished before consignation date
constriction. So the profit of feasible solution is the
sum of J, that is ∑ Fun j . The feasible solution
i∈ j
having maximum profit is the optimization solution.
The optimization function can be simplified to
equation 1. where, Pw, tw, qw, rw are the weight value
of cost, time, quality and reliability, Plinkt，Tlinkt are
the order connection and order connection weight in Initialize: generate the DE population
the evaluation process randomly
⎡ m n m n ⎤ Evaluate the individual
⎢ pw (
⎢
∑∑ x P
i =1 j =1
ij ij
'
+ Plinkt ) + t w ( ∑∑ x T
i =1 j =1
ij ij
'
+ Tlinkt ) +⎥
⎥ Get the best solution X best
f ( x) = max⎢ ⎥ ""(1)
m n m n
⎢ ⎥ While (the end qualification is not met )
⎢q w ( ∑∑ x Q ij ij
'
∑∑ x R
) + rw ( ij ij
'
) ⎥
Exert mutation operation to each
⎣⎢ i =1 j =1 i =1 j =1 ⎦⎥
⎧1, if ith sub order is selected by jth candidate； individual to acquire corresponding mutation
x ij = ⎨
⎩0, if ith sub order is not selected by jth candidate individual
Vi (t + 1) = X best (t ) + F ( X r1 (t ) − X r 2 (t ))
4.2 The hybrid algorithm based on PSO[7][8] Exert mutation operation, then crossover
and DE operation to get the experiment individual

PSO algorithm is problem-independent, which vi , j (t + 1), if (rand ( j ) ≤ CR ) or j = randn(i )

ui, j (t + 1) = { j = 1,2,", d
means little specific knowledge relevant to a given xi , j (t ) otherwise.

problem is required. What we have to know is just the Evaluate the object value of experiment
fitness evaluation for each solution. This advantage individual
makes PSO more robust than many other search Exert selection operation between
algorithms. However, as a stochastic search algorithm, individual and individual to generate new individual
PSO is prone to lack global search ability at the end of U i (t + 1), if F (U i (t + 1)) < F ( X i (t ))
Xi (t + 1) = {
a run. PSO may fail to find the required optima in case Xi (t ), otherwise
when the problem to be solved is too complicated and Update X best
complex. DE employs certain probability to avoid End While
becoming trapped in a local optimal and the search Output X best and objective value
process can be controlled by the altering status of best
END
particle, we can control the search process and avoid
Where, r1, r 2 ∈ {1,2," N } are different each
individuals being trapped in local optimum more
efficiently. Thus, a hybrid algorithm of PSO and DE, other;
named HPSO, is presented as follows. F ∈ [0,2] is zoom scale factor which is used to control
Begin the ratio of father generation differential vector
STEP 1 Initialization X r1 (t ) − X r 2 (t )
Initialize swarm population, each particle’s X best (t ) is the basic vector after exerting disturbance.
position and velocity;
Evaluate each particle’s fitness; The generation will share the information of best
Initialize gbest position with the lowest fitness solution;
particle in swarm; rand ( j ) is the random variable of jth separate
Initialize pbest position with a copy of particle random in [0,1]
itself; rand (i ) is the random number in aggregation
Initialize ϖ max , ϖ min , c1 , c2 ,maximum {1,2,", d }
generation, and generation=0. CR ∈ [0,1] is crossover parameter to control scatter
dimension of population.
STEP 2 Operation
For PSO STEP 3 Output optimization results.
do { END
generate next swarm by Eq.(2) to Eq.(8);
find new gbest and pbest; As a new evolutionary technique, differential evolution
update gbest of swarm and pbest of the (DE)[9][10] was mainly proposed for continuous
particle; optimization .DE is a population-based globally
generation++; evolutionary algorithm, which uses a simple operator
} to create new candidate solutions and one-to-one
while (generation<maximum generation) competition scheme to select new candidate greedily.
For DE DE have the merits of memorizing the best solution
For gbest particle S of swarm and sharing the group information in the candidate. De
{ BEGIN adopt the differential operation to generate new

596
candidates. The compete mechanism DE used is the
one to one greedy selection[11]. The real number code
is used in the algorithm, so the complicated gene
operation in GA algorithm is avoided.
In the first place, DE generate the initialization
population random in the feasible solution in the
problem space. The current population are exerted
mutation and crossover operation to generate a new
population. Secondly two population are selected with
one to one mechanism by greedy theory to gain the
ultimate new generation. The best solution in DE is
obtained by the distance of individuals in population
and direction information. So each individual in
population change the search action by altering the
direction of differential item and step. In each
generation, mutation and crossover operation exerted
to individuals to generate a new population. Finally the
next generation is generated by selection in the old
generation.
5. simulation result
Assume there are 30 order form at time t in DHVE
system.
Table 1. comparisons of different algorithm
Best rate(100%) HPSO GA Enumeration
Best 855 843 829
Mean 838 834 798
Maximum 820 825 766
CPU time 21.23” 49.00” 1529.0”
When the problem size become larger and larger,
EA algorithm can reach optimum with high speed. To
test performance of HPSO, the compute result with
different size got by HPSO, GA, enumerations are
provided in table 1.
6. conclusion
Holonic Manufacturing System (HMS) is a new
concept for enterprise reconfiguration, order form
selection and evaluation are very important problem in
task allocation and carry out. The problem of how to
model the unit of the manufacturing system,
management style of the unit, control structure and the
corresponding control method are presented in this
paper. The model on order settlement in system
597
reconfiguration model based on time Petri-net is put
forward, order intelligent operation series is guided by
Differential Evolution (DE) . Simulation results show
that the proposed model and algorithm are effective to
order evaluation and implementation .
References
[1] Fowler, John W.,Rose, Oliver, “Grand challenges in
modeling and simulation of complex manufacturing systems”,
Simulation, 80(9), 2004,pp.469-476.
[2] Babiceanu, R.F., Chen, F.F., Sturges, R.H. , “Framework
for the control of automated material-handling systems using
the holonic manufacturing approach”, International Journal
of Production Research, 42(17) ,2004,pp.3551-3564.
[3]Giret, Adriana, Botti, Vicente., “Holons and agents”.
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system: A multi-agent-based scheduling prototype”,
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Organizing hierarchical particle swarm optimizer with time-
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[8]Shi, X.H., Liang, Y.C., Lee, H.P.,An improved GA and
PSO culled hybrid algorithm for antenna array pattern
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large-scale passive harmonic filters using hybrid differential
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 2008 International Conference on Intelligent Computation Technology and Automation
Location Model and Algorithm of Public Parking Facilities
Zhengwu WANG, Zhenxia TAN, and Hui XU
College of Traffic & Transportation Engineering, Changsha University of Science &
Technology, Changsha
E-mail: cathytanzx@163.com
Abstract
Public parking facility location is a multi-index and
multi-restriction problem. Based on the urban parking
comprehensive planning and parkers’ behavior
decisions, it aims to meet the requirement of the
parking service under the constraint of limited
resources. It’s not all of the parkers that will choose
the nearest parking facilities, but all the demand points
in facility that is influenced need to be served. By
analyzing the objective functions and constraints of the
classical models, a public parking location model is
formulated with the objective to minimize the total
cost. Max-Min Ant algorithm within limited pheromone
space is then proposed to fully search the solution
space. Finally, a numerical example is carried out to
illustrate the proposed model and algorithm.
1. Introduction
The public parking facility which has the
characteristic of “standard public goods” is an
important part of the urban basic transportation
facilities. Since the insufficient understanding about
the importance of parking facilities and lack of
supporting the correlative policy, the construction of
the public parking facilities is slow and the proportion
in the total parking space is small. According to the
parking plans of many cities, the parking space outside
the road is 10%-20%. The localization of urban
parking facilities is an important part of public parking
facilities, which not only has the consanguineous
relation to the dynamic transport planning, but also has
its own characteristic. It is a multi-target and multi-
restriction comprehensive systematic problem which is
based on the aim of the plans of urban parking plan
and parker behavior, aimed at the services of public
parking facilities, restricted with limited region
resource, guided by the decision-making department.
978-0-7695-3357-5/08 $25.00 © 2008 IEEE 598
DOI 10.1109/ICICTA.2008.368
2. The localization model of parking
facilities
A lot of researchers has studied the localization
model of parking facilities and proposed some
optimizing models and arithmetic, such as Chen Jun
etc[1] proposed constrained and non-constrained models
according to the different situations of the cities or
regions respectively, then designed the arithmetic of
combining the linear planning and heredity arithmetic;
Guo Tao etc[2] proposed multi-objective planning
localization model which is based on the localization
principles of public parking area and main influencing
factors; Ling Lei etc[3] used the iterative method to
optimize the multi-points area allocation of parking
area planning, and designed an arithmetic which
combined the forward-back adjusting and iterative
method. Non-constrained model is too concentrate on
the mathematic optimization, so it’s only fit for the
new built city; constrained model mainly assumes each
parking car served by single facility, this may simplify
the calculation but is not fit for the reality. Actuality
model only takes static traffic management or part of
dynamic traffic management conditions into account,
some of the models are just single constrained or non-
constrained. Therefore, the paper proposes multi-
facilities corresponding to the multi-demands
constrained parking facility location model. This
model takes both static localization problems and
dynamic factors into account. The objective P of model
is the minimum of the total weighted trip distance
between the facilities and demand point, this objective
is mostly the objective of parking facility location, the
aim of facility service is to minimize the deploying
cost of facilities, and this is also an objective of
parking location. The entire parking facilities location
model are the integration of several models, and the
constrained conditions should be more complex.
2.1. Variable analysis of public parking
facilities location
According to the classifying of location, public
parking facility location belongs to the Location-
Allocation[4] problem, which is to determine the best
location of most suitable number of facilities when the
distribution of the demand has been known, the
d i =1, if not, d i =0. According to the service scope of
parking facilities to determine which demand points
can be served by the parking facility i , use Boolean
variable θij ∈ {0,1} , when parking facility i provides
service j , θij = 1 , if not, 0.
Facility total cost of planning area:
n

number of facilities is unknown, and the allocation C = ∑ δ i ⋅ Ci (1)

i =1
relations between the facilities and demand are
uncertain.
The location of urban parking facilities relates to 2.2. Location model of public parking facilities
many factors including the integer optimization of total
walking distance, regional parking space supply, Based on the above analysis and the actual situation
regional investing fare, environment influence and so of parking facilities, a parking location model is
on. Meanwhile, parking demand allocation quantity of formulated as below.
each facility should be calculated in the planning min T = z + C (2)
process to make sure the construction scale; since the ⎧ m n

public parking facility is the supplement of parking ⎪ z = ∑∑ θij wij sij D ( X i , Pj )

⎪ j =1 i =1
facilities with construction, and also is the outcome of where ⎨ n
(3)
⎪C = δ C
public activities, the location should considers the
situation and distribution of existing constructions. ⎪⎩ ∑i =1
i i

There are a lot of variables which should be ⎧

determined or scaled in location model, including the ⎪C min ≤ si ≤ C max
impedance from the facility point to the demand point, ⎪
⎪ sij ≤ d j ; i = 1, 2," , n
the capacity of parking facilities, planning facility ⎪ s ≤ s ; j = 1, 2," , m
quantity in the area, etc. ⎪ ij i

⎪m
⎪ ∑ sij = si ; i = 1, 2," , n
2.1.1. Quantity of planning parking facilities ⎪ j =1
⎪ n
Choosing-position planning should determine the ⎪ ∑ sij = d j ; j = 1, 2," , m
capacity of facility reasonable according to the studied ⎪ i =1
⎪ s > 0, if θ = 1
city scale. The number of facilities can be determined ⎪ ⎧⎪ ij ij
; i = 1, 2," , n, j = 1, 2," , m
by calculating the predicting total parking demands ⎪ ⎨⎪ sij = 0, if θ ij = 0
⎪⎪ ⎩
( Q ) of parking area[5]. Assuming that the minimum
s.t . ⎨ N min ≤ n ≤ N max (4)
capacity of facility is cmin , and the maximum capacity ⎪
⎪ d pq = ( x p − xq ) + ( y p − yq ) ≥ 50;
2 2
is cmax , the number of facility is N, then
⎪
⎪ p , q = 1," , n
Q Q
N = [N min ,N max ] = [ , ] ⎪
⎪ D ( X i , Pj ) = ( xi − a j ) + ( yi − b j )
2 2
cmax cmin
Where, N is integer. And according to the principle of ⎪ q
⎪ × (1 + 2.62( a ) 5 )
dispersing deployment, the space between each facility ⎪ Ca
should not be shorter than 50m. ⎪
⎪ ⎧Ci > 0, if δ i = 1
; i = 1, 2," , n
⎪ ⎨⎩Ci = 0, if δ i = 0
2.1.2. Parking facility fare ⎪
⎪ ⎧⎪ wij = 1, if θ ij = 1
⎪⎨ ; i = 1, 2," , n , j = 1, 2, " , m
⎩⎪ ⎩⎪ wij = 0, if θ ij = 0
Parking facility fare ( Ci ) mainly consists of fixed
fare and operational fare, which can be varied on the Where, m—parking demand point amount; n—parking
different position. The objective of this research aims facility point amount; sij —amount of parking facility i
at minimizing the parking facilities’ quantity and it will
increases the scale of parking facilities and reduces the with serving for j; X i = (xi , yi ) —location coordinate
number of parking facilities by the satisfactions of of parking facility i; Pj = (a j ,b j ) —location coordinate
parking demand. If there is a facility on point i , then

599
of parking demand point j; D(X i ,Pj ) —generalized
fare from parking facility i to parking demand point j;
si —capability of facility i; d j —parking demand point
j; θij —service relation between demand and facility;
wij —The demand cost(or distance, impedance and so
on) per unit from facility i to facility j is the same to
transportation cost per unit, and it can be considered as
the same unit freight in the parking facility, unit fare is
1.
This model is mainly to solve the total cost of
system under the restrictive condition(4). Its aim is to
minimize the charge to meet the parking demand.
There are some limits in the model in order to reduce
inaccuracies in actual use and really exert the
effectiveness of the model.
3. Model algorithm to solve
The constraint conditions of parking facility
location optimization model are relatively complex,
because of the uncertain number of facilities, and the
unknown services objects and services quantity
provided by each facility, so the solution to the model
has caused great difficulties. In recent years, the study
of NP gradual evolves to the two directions: One is to
explore the calculation time with polynomial, and get
on with that heaven of the algorithm; the other method
is to explore the heuristic search method[6]. Facility
location research in the site of the NP problems can be
solved by the branch-and-bound method. The article
bases on the characteristics of the parking behavior
choice and the facility location, uses improved ant
algorithm[7,8] to study, including the Max-Min ant
algorithm, mixed ant algorithm and so on.
3.1. Ant algorithm and solution of parking
facility location
When drivers choose public parking facilities, it is
similar to the ants finding food, but the difference is
that the parking persons have enough information to
know the general location and distribution of parking
facilities, and understand the basic conditions of
parking facilities, they have some priori knowledge.
According to the construction of location model, the
planning stage is generally certain by multi-facility,
and needs to select a certain number of parking
facilities within a mass of prepared points to meet the
parking demand in regions. The uncertain number of
specific facilities and the complexity of choosing the
combination will cause many points combinatorial
explosion, the use of a simple optimization algorithm
is difficult to get the optimal solution set, and its
600
computation is very complex, the results are also
mathematically optimization, but can not reflect the
real situation. This paper introduces ant algorithm, and
analyses the location problem through simulating ants’
multi-stage action choosing. Site selection process is to
remove alternative points of the parking facilities
whose attraction power is poor, and take the restricted
capacity of facilities into account.
Assuming that each parking demand point is an ant
cave, each alternative parking facility point is "food
source", parking location planning equal to the
resource allocation problem of ant multi-group and
food multi-source. It is not all parking persons that will
choose the recent parking facilities; they are likely to
gain the facilities’ service on the demand points of the
facilities affecting areas.
3.2. Max-Min ant algorithm
According to choice characteristics of parking
behavior, the paper uses the ant algorithm restricted by
pheromone, that is, setting pheromone virtual
]
value ⎡⎣τ max ,τ min to make sure the pheromone on each
path in the virtual value, because of setting the
minimum level of pheromone, the probability of
certain points being selected is on the small side and
will never be zero, it meets the actuality of parking
location behavior. This can increase the "ants’" search
level, simulate the reality well, and get stable results.
Generally pheromone initialization is a big value
which is more than the maximum and able to ensure
that at the beginning there is a higher exploration
probability and can traverse the search space.
3.3. Solving process of parking location model
According to location model structures, the
objective function mainly consists of two parts Z and
C, Z is the system's total impedance whose unit is
distance length, and mainly to get through walking
distance after stopping and parking facilities
accessibility; C is the cost of parking facilities, which
is measured with money, and mainly consists of land-
use fees, construction costs, operating costs etc.. The
solving result is the minimum of the objective function
made up of the above two parts, but parking facility
fare is affected by multiple factors, and also by the type
of facilities, business model, the location of facilities
and so on, it can not be accurately calculated in the
planning stage. Therefore, the model is divided into
two stages to solve, the first stage is z as the main
objection, with the public parking demands satisfied
fully, calculate the commitment service quantity of
each facility, ensure all the restrictive conditions met.
C is the major for the second phase which is based on of Baling Road and the East Maoling to do the research
the results of the first phase, considering the factor of of parking location planning.
unpredictable costs, the study starts at the principle of In order to express intuitively the parking quantities
least-cost and least number of facilities, the premise is of the parking demand points and the facility points,
that z is change in the permitted range. the rectangular coordinate system has been established.
Each road’s V/C in the planning characteristic year is
3.4. Algorithm explanation showed in Table1, the parking demand points’
coordinates and the demand magnitudes are in Table2,
(1) Initialization. Prognoses the parking demand, and the alternative spots’ coordinates of parking
determines coordinates and No. of demand, and facilities are in Table3.
then calculates regional road v/c ratio.
(2) Identify alternative facilities and cull options Table1 The roads’ V/C
point initially. Determine coordinates and Road No. ① ② ③ ④ ⑤ Auxiliary Road
facilities numbers to meet that space between
V/C 0.73 0.69 0.58 0.42 0.54 0.01
arbitrary two facilities is more than 50m.
(3) Establish the set of demand point to the facilities Note: Traffic flow magnitude in auxiliary road is very
300m from the demand points. small, the road’s V/C may use 0 to replace, and here it
(4) Parking demand distribution and output the Initial takes 0.01.
result.
(5) Sensitivity analysis. Analysis for the initial result, Table2 The parking demand points’ coordinates and the
if the result is up to the mustard, then output the demand magnitudes
final result. Otherwise, calculate the initial result
over again with Ant algorithm. The Ant algorithm No. coordinates demand No. coordinates demand
process is shown in figure1. 1 (263,0) 50 9 -680,380 40
(6) Output the final result. 2 (624,0) 100 10 -1,380,260 80
3 (1382,50) 80 11 -1,380,360 100
A smart point demand -
4 -289,165 60 12 (0,420) 100
Intelligent Ant
5 -931,160 80 13 -230,420 50
State transfer 6 -781,188 50 14 -315,420 100
7 -624,200 100 15 -405,530 50
Pheromone N Inspect facilities 8 -75,300 160
update capacity constraints
Y
Table3 Parking facility alternative spots’ coordinates
Calculate objective
function value No. coordinates No. coordinates No. coordinates
1 (300,0) 5 (1380,160) 9 (400,450)
Test error
2 (620,0) 6 (624,200) 10 (660,420)
Y
N 3 (310,160) 7 (100,420) 11 (930,420)
Initial results
4 (1000,150) 8 (315,400) 12 (1160,420)
Figure1 Flow chart of Ant Algorithm
Using the established model and ant algorithm,
the facilities distributions and the demands which need
4. Case study to undertake in the center of YueYang city are obtained
through the VC++ programming computation as shown
This paper takes part of data of the centre of in figure2.
Yueyang city as an example. The centre of Yueyang
city is an integration of working, transport, business
and so on, the parking attraction intensity is great,
especially the demand of public parking. But the
lagging building of the public parking facilities is
relatively serious. This article chooses the nearby areas

601

Figure2 Results of parking facility distribution and
allocation demand quantity
Note: ①~⑤—Road number; △—Parking demand
point; *—Parking facility point; the real line is road;
the broken line is auxiliary spur track; the numbers in
the figure are undertaking demand magnitudes for the
parking facilities
5. Conclusions
This paper concerns the location of public facilities.
A restricted parking facility location model is first
formulated with the objective to minimize the total
system cost. With the analysis of the complexity of
algorithm for the public parking facility location
model, a meta-heuristic optimization algorithm
modeling the transition process from the ant group to
the food source to analyze drivers’ parking choice
behaviors is then proposed to obtain the optimal
facility location.
Finally, an example is given to illustrate the
application of the proposed methodology.
602
6. References
[1] Chen Jun, Wang Wei, Hu Keding. Study on Location
Planning Model for Urban Public Parking Area, Systems
Engineering Theory & Practice [J], 2000, (11): 117-124.
[2] Guo Tao, Yang Tao. Study on the Location Model for
Urban Public Parking Area Based on GA[J], Journal of
Transportation Engineering and Information, 2006,4(1) .
[3] Ling Lei, Li Wei, Wang Wei, Hu Gang. Multi-Area
Distributing and Iterating Optimal Iteration Location
Algorithm for Parking Area [J], Civil Engineering Journal,
2003, 36(7): 18-21.
[4] Wu Suli, Leng Jie, Wang Ya, Yan Kefei. Model Based on
Locating Plan of Urban Public Parking Lot [J],
Transportation Science & Technology, 2005, 208(1).
[5] Lu Huapu. Theory and Method in Transportation
Planning [M]. Bei Jing:Qing Hua University Press,1998.
[6] Cai Zixin. Artificial Intelligence and Application [M],
Qing Hua University Press, 2004.
[7] Zhan Shichang, Xu Jie, Wu Jun. The Optimal Selection
on the Parameters of the Ant Colony Algorithm [J], Bulletin
of Science and Technology, 2003, 19(5): 381-386.
[8] Marco Dorigo, Vittorio Maniezzo, Alberto Colorini. Ant
System Optimization by a Colony of Cooperating Agents.
IEEE Transactions on System. Man and Cybernetics-Part B
Cybernetics, 1996, 26(1):29-41.
Acknowledgements
This work is sponsored by National Natural
Science Foundation of China (No.50348027), the
Ministry of Communications of China Application
Foundation (No.2006319815080, 200431982515), and
Hunan Province Natural Science Foundation
(No.06JJ50104)
 2008 International Conference on Intelligent Computation Technology and Automation
Manufacturing Quantity Model for An Unreliable Production Systems
WEI Dai-jun1 , MOU Qiong2
1.Department of Mathemetics,Hubei Institute for Nationalities
2.Institute of Applied Mathematics, Chong Qing University of Posts and Telecommunication
eswdj@163.com
Abstract
This paper discusses a problem of economic manufactur-
ing quantity and sell pricing for an unreliable production
systems . A profit model is formulated in which production
uptime, production rate and sell pricing are treated as de-
cision variables. Then, for given production rate and sell
pricing, we show that the objective function is unimodal.
Moreover, the upper bound and lower bound of production
uptime are obtained, and the low bound is rather approxi-
mation to the optimal production uptime. Finally, numeri-
cal examples are given to illustrate the validity of the model,
and the sensitivity of the optimal results with the parameters
is also examined.
1 Introduction
For recent several years, the economic quantity problems
of unreliable producing system were proposed by many
scholars[1-5].NR strategy and A/R strategy were proposed
to the equipment lifetime is negative exponential distribu-
tion and the repair time is zero.chuang proposed the produc-
ing upper bound and lower bound in [4-5]. The equipment
fault rate and manufacturing cost expressed the produc-
tivity function ,the minimum cost model of decision vari-
able(producing quantity and productivity)in[6].It adopted
the post repair and ignored the variation of the equipment
lifetime. In [7-10] ,authors generalized the model from per-
mission shortage, material corrosive and equipment compo-
nents substitute etc, respectively.
In this paper, the maintenance divided preventive servic-
ing of normal situation and post repair of fault situation.
When the system has fault ,for avoiding goods shortage ,we
added capitalized cost and shortened the repair time ,so as
that the equipment is perfect working situation when then
inventory is empty. For the unreliable producing system
which equipment lifetime is negative exponential distribu-
tion and fault rate increases with incremental of productiv-
ity. we discuss the problem between the producing quantity
978-0-7695-3357-5/08 $25.00 © 2008 IEEE
DOI 10.1109/ICICTA.2008.290
and product price and establish a profit model of decision
variable. For a given productivity and product retail price
,the unimodal of the object function is proved ,the upper
bound and lower bound of planning producing time is given
and the approximate best solution of planning producing
time is the lower bound. Finally ,the example proved that
the model is effective and the sensitivity is analysed.
2 Mathematic model
2.1 Sign Description and Model Suppose
Sign Description
A0 : manufacturing prepared fee
ch : storage expenses of unit time and unit product
c1 : Post repair cost of unit time
c2 : Preventive servicing cost of unit time c1 > c2
s: retail price(decision variable) of unit product
p: productivity (decision variable)
T1 : Program production time(decision variable)
T2 : time without producing in one production cycle
L1 : Post repair time
L2 : Preventive servicing time
C(L1 ): Added capitalized cost of reducing Post repair
time
Model Suppose
(1)Considering the situation that one equipment produce
one production
(2)The equipment lifetime is exponential distribution,
where its distribution FX (t, p) = 1 − e−λ(p)t .Because the
working strength augments with increment of the productiv-
ity, We suppose that fault rate λ(p) is the increasing function
of productivity p
(3)Maintenance time is a constant. If the equipment has a
fault, we adopt post repair, otherwise, we adopt Preventive
servicing .If post repair time is bigger than time without
production ,we add the capitalized cost to reduce the post
repair time . Then the real post repair time equal to the time
without production. So it assure the equipment is the perfect
working situation when inventory is empty.
603
 Z T1
(4)The working situation of repaired equipment is the
+ c1 L1 dFx (t, P )
same of the initial working situation.
(5)Adopting NR produced strategy[3] Zu∞
(6)Demand rate d(s) is the retail price s decrement func- + c2 L2 dFx (t, p)
T1
tion, Let d(s) = KS −γ ,where K, γ > 0 Z u
(7)capitalized cost C(P )of unit production is the func- = [c1 T2 + C(L1 )]dFx (t, p)
tion of productivity P , Let C(P ) = r0 +r1 /p+r2 p,wherer0 0
is the unit crude material cost ,r1 /p the Spent labour power + c1 L1 e−λ(p)u − (c1 L1 − c2 L2 )
of unit production, it is reduced with the productivity in- + (c1 L1 − C2 L2 )(1 − e−λ(p)T1 )
cremental; r2 p required equipment of unit production, it is
increased with the productivity incremental. Let
Z u
2.2 Model Established B = [c1 T2 + C(L1 )]dFx (t, p)
0

The producing lifetime is the interval of continuous two + c1 L1 e−λ(p)u − (c1 L1 − c2 L2 )

beginning producing. In the producing lifetime, The equip-
ment has one time fault at most. Suppose t = 0,the equip- then
ment begin to produce with velocity p,in the [0, T1 ], If the
equipment is not fault, then t = T1 stop to produce and pre- ECR(T1 , p, s) = B + (c1 L1 − c2 L2 )(1 − e−λ(p)T1 )
maintenance. If the inventory is empty , we restart to pro-
is the expectation total profit of one lifetime.
duce. Otherwise,in the some time x before T1 ,the equip-
ment has a fault ,the produce program must be stop, we p
ET P (T1 , p, s) = (S − C(p)) (1 − e−λ(p)T1 )
immediately adopt post repair. By the suppose (3),there is λ(p)
x = u,when the time T2 without producing is equal to the − A0 − B
post repair time L1 ,If x > u,the equipment was repaired − (c1 L1 − c2 L2 )(1 − e−λ(p)T1 )
before the inventory decreased empty. when the time x < u
p(p − d(s)) 1
without producing is bigger than the post repair time , we − ch [(1 − e−λ(p)T1 )
reduce the repaired time to the time without producing by d(s) λ2 (p)
adding the capitalized cost . Denoted the real producing − λ(p)T1 e−λ(p)T1 ]
time is ν, ν = minT1 , x,By the above analysis and the in-
ventory situation figure ,we haveT2 = (p − d(s))ν/d(s), Expectation periodicity
that is the time without producing T2 is the function of real Z T1
producing time ν,written T2 (ν),Let T2 (u) = L1 ,we have pt
ET (T1 , p, s) = dFx (t, p)
u = d(s)L1 /(p − d(s)),The following analysis the sys- d(s)
Z0 ∞
tem’s expectation income and various fee composition pT1
Expectation production quantity + dFx (t, p)
T1 d(s)
Z T1 Z ∞ p
= (1 − e−λ(p)T1
Q = ptdFx (t, p) + pT1 dFx (t, p) d(s)λ(p)
0 T1
p So ,The unit time expectation profit
= (1 − e−λ(p)T1 )
λ(p)
EAP (T1 , p, s) = s − C(p))d(s)
Production expectation storage charges d(s)λ(p)(A0 + B)
Z ∞ −
p(1 − e−λ(p)T1 )
ECI(T1 , p, s) = ch I(x|x = t)dFx (t, p) d(s)λ(p)
0 − (c1 L1 − c2 L2 )
p(p − d(s)) 1 p
= ch [(1 − e−λ(p)T1 )
d(s) λ2 (p) p − d(s) λ(p)T1 e−λ(p)T1
− ch [1 − ]
− λ(p)T1 e−λ(p)T1 ] λ(p) 1 − e−λ(p)T1

Then, the nonlinear program model is established as fol-

Expectation repair fee
lows
Z u
ECR(T1 , p, s) = [c1 T2 + C(L1 )]dFx (t, p) M axEAP (T1 , p, s)
0

604
 Table 1. classic input and out samples
µ T1∗ p∗ s∗ L(T1∗ , p∗ , s∗ ) µB(T1∗ , p∗ , s∗ )
1 0.5193 1646.78 42.79 4922.23 20.6536
10−1 0.5168 1648.90 42.80 4903.65 2.0649
10−2 0.5166 1649.11 42.80 4901.80 0.2065
10−3 0.5165 1649.13 42.80 4901.61 0.0206
10−4 0.5165 1649.13 42.80 4901.58 0.002
10−5 0.5165 1649.13 42.80 4901.58 0.0002

s.t. suppose
d(s) < p ≤ p
M = d(s)λ(p)(A0 + B)/ch (p − d(s))
p − d(s)
T1 ≥ L2 p
d(s) 4M 2 /9 + 8M p/λ(p)
2M/3 +
T1 =
The best optimization producing time T1 ,productivity 2p
pproduct retail price s is the optimization objective, and the p
M + M 2 + 8M p/λ(p)
unit time expectation profit EAP (T1 , p, s) is the best. The T1 =
second constraint condition is that the time without produc- 2p
ing is not less than the time Preventive servicing without Property 2 The best planning producing time T1 satisfy
equipment fault. T1∗ ≤ T 1 ,where p is the productivity and s is product retail
price.
2.3 Model Property Proof: By the Property of reference [5]

x2 x2
Property 1 The unit time expectation profit EAP > e−x − 1 + x >
(T1 , p, s) is T1 unimodal function,where p is the productiv- 2 + 2x/3 2+x
ity and s is product retail price. so
Proof:
F (T 1 ) = e−λ(p)T 1 + λ(p)T 1 − 1
∂EAP e−λ(p)T1
= {d(s)λ2 (p)(A0 + B) (A0 + B)λ2 (p)d(s)
∂T1 p(1 − e−λ(p)T1 )2 −
ch p(p − d(s))
− ch p(p − d(s))[e−λ(p)T1 + λ(p)T1 − 1]}
(λ(p)T 1 )2 (A0 + B)λ2 (p)d(s)
ch p(p − d(s))e−λ(p)T1 −λ(p)T1 < −
= − [e 2 + 2λ(p)T 1 /3 ch p(p − d(s))
p(1 − e−λ(p)T1 )2
(A0 + B)λ2 (p)d(s) Let
+ λ(p)T1 − 1 − ]
ch p(p − d(s)) (λ(p)T 1 )2 (A0 + B)λ2 (p)d(s)
− =0
2 + 2λ(p)T1 /3 ch p(p − d(s))
Let
(A0 + B)λ2 (p)d(s) So F (T 1 ) < 0 = F (T1∗ ),since F (T1 )is a strictly in-
F (T1 ) = e−λ(p)T1 + λ(p)T1 − 1 − creasing function of [0, ∞),so T 1 ≤ T1∗
ch p(p − d(s))
since
then
F (T 1 ) = e−λ(p)T 1 + λ(p)T 1 − 1
(A0 + B)λ2 (p)d(s) (A0 + B)λ2 (p)d(s)
F (0) = − < 0, F (∞) > 0, −
ch p(p − d(s)) ch p(p − d(S))
F 0 (T1 ) = λ(p)[1 − e−λ(p)T1 ] > 0 (λ(p)T 1 )2 (A0 + B)λ2 (p)d(s)
> −
2 + λ(p)T 1 ch p(p − d(s))
Then, it exists a unique T1∗ ,such that F (T1∗ ) = 0.that is
to say, such that ∂EAP
∂T1 > 0,when T1 < T1∗ ; ∂EAP ∂T1 < 0 Let above equation is 0,then
∗
WhenT1 > T1 , So EAP (T1 , p, s) is T1 unimodal function. F (T 1 ) > 0 = F (T1∗ ), soT1∗ ≤ T 1 .

605
2.4 Model solution
Because model (2) is a constraint nonlinear program
problem, it is difficult to get detailed expression. we use
penalty function to resolve the best solution of the model.
Firstly, The model(2) expressed the following form.
M inf (T1 , p, s) = −EAP (T1 , p, s)
s.t.
c1 (T1 , p, s) = p − Ks−γ > 0
c2 (T1 , p, s) = p − p ≥ 0
c3 (T1 , p, s) = (p − Ks−γ )T1 − L2 Ks−γ ≥ 0
table 3 ,with the increase of αandβ, decrease of unit time
profit and reduction of unit time, But the productivity and
the retail price is increased. it is shown that the unit profit
decreased with the decrease of equipment lifetime ,and
when α = 0, that is the equipment is the perfect working
situation ,the unit time profit is the best; whenβ = 0, that
is the equipment fault rate is without productivity, the unit
time profit is bigger than β > 0. The table 4 is that unit time
profit ,planning producing time and retail price decreased
(1) with increase of γ,and the profit changed obviously. When
γ > 1, the price is influenced obviously by demand

So ,We established penalty function Table 2. classic input and out samples
α T1∗ p∗ s∗ EAP ∗
L(T1 , p, s, µ) = f (T1 , p, s) + µB(T1 , p, s) 0.0 0.5361 1493.30 41.95 4946.43
1.0 0.5165 1649.13 42.80 4901.58
Where
1.1 0.5150 1663.48 42.89 4897.06
3
X 1.2 0.5136 1677.94 42.98 4892.54
B(T1 , p, s) = − log ci (T1 , p, s) 1.4 0.5103 1707.34 43.16 4883.51
i=1 1.5 0.5086 1722.25 43.25 4879.00

µ is penalty factor,µ > 0, we use inner point[10] penalty

function to resolve the model. The detailed algorithm step
is as follows:
Step 0 Parameter input, give µ0 > 0, ξ ∈ (0, 1) Table 3. classic input and out samples
and permissible ε > 0,let k = 1 β T1∗ p∗ s∗ EAP ∗
Step 1 Resolve penalty function L(T1 , p, s, µ) best reso- 0.00 0.5171 1640.18 42.74 4904.81
lution (T1,k , pk , sk , µk ); 0.01 0.5165 1649.13 42.80 4901.58
Step 2 If |µk B(T1,k , pk , sk )| ≤ ε The algorithm 0.02 0.5159 1658.78 42.87 4898.10
stop.(T1,k , pk , sk )is the model(2) best solution, otherwise, 0.04 0.5145 1680.45 43.02 4890.30
let µk + 1 = ξµk , k = k + 1, turn step 1 0.06 0.5127 1705.73 43.20 4881.21
Because the unit expectation profit EAP (T1 , p, s)is nei- 0.08 0.5105 1735.35 43.41 4870.61
ther convex function, nor concave function, it can not assure 0.10 0.5077 1770.10 43.67 4858.26
that the best solution is global solution, it maybe a locally
best solution.

3 Numeric Example Table 4. classic input and out samples

γ T1∗ p∗ s∗ EAP ∗
Let an unreliability product system, its data as follows: 1.5 0.5165 1649.13 42.80 4901.58
λ(p) = αpβ , α = 1, β = 0.01, K = 5000, γ = 1.6 0.4562 1653.59 38.38 3329.30
1.5, C(L1 ) = c3 (L1 − T2 ), A0 = 750 RMB ev- 1.7 0.3993 1657.96 35.31 2272.51
ery time,c1 = 500RMB every week,ch = 0.5RMB 1.8 0.3472 1662.07 33.12 1553.64
every week,r0 = 10RMB,r1 = 2500RMB,r2 = 1.9 0.3005 1665.88 31.51 1060.58
0.001RMB,p = 2500every time,c2 = 100RMB every 2.0 0.2588 1669.39 30.35 720.56
week,L1 = 0.2week,L2 = 0.1week,c3 = 50RMB ev-
ery week .by the inner point penalty function algorithm,
its best solution is (T1∗ , p∗ , s∗ ) = (0.5165, 1649.13, 42.80) For a productive system, give productivity p and retail
unit time best point isEAP ∗ = 4901.58,Its results is shown price s,By the property 2,we can compute the upper bound
table1 and lower bound of the planning producing time. For dif-
In the above situation ,we use parameter α, β, γto anal- ferent p and s,its results is as table 5,where T1∗ is the best
yse the sensitivity of best planning producing time T1∗ , planning producing time by matlab, ∆ = (T1∗ − T 1 )/T1∗
producing quantity p∗ ,retail price s∗ and unit time profit is relative error between T 1 and approximate T1∗ .From the
EAP ∗ , its results is shown table 2.From the table 2 and results of table 5, all relative error is less than 1

606
 [4] Chung K J. Bounds for production lot sizing with
Table 5. classic input and out samples machine breakdown. Computers and Industrial Engineer-
p s T1∗ T1 T1 ∆(%)
ing, 1997, 32: 139-144.
1650 43 0.5140 0.5121 0.5340 0.37
[5] Chung K J. Approximations to production lot sizing
1650 43 0.5104 0.5085 0.5302 0.37
1650 45 0.4931 0.4914 0.5117 0.35 with machine breakdowns. Computers & Operations Re-
1650 50 0.4488 0.4475 0.4644 0.29 search, 2003, 30: 1499-1507.
[6] Giri B C, Yun W Y, Dohi T. Optimal design of unreli-
able production-inventory systems with variable production
rate. European Journal of Operation Research, 2005, 162:
4 Acknowledge 372-386.
[7] Giri B C, Yun W Y. Optimal lot sizing for an unre-
This research was partially supported by the Eeduction liable production system under partial backlogging and at
Ministry Foundation of Hubei Province P.R. China under most two failures in a production cycle. International Jour-
the grant no. Q200729003 and Foundation of Hubei Insti- nal of Production Economics, 2005, 95: 229-243.
tute for Nationalities under the grant no 200618. [8] Lin G C, Gong D C. On a production-inventory
system of deteriorating items subject to random machine
breakdowns with a fixed repair time. Mathematical and
5 reference
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[9] Giri B C, Dohi T. optimal lot sizing for an unreliable
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607
 2008 International Conference on Intelligent Computation Technology and Automation
Mathematical Modeling for the Health Care System
Jian Yang, Zhong Zhang, Hong Feng
Harbin Engineering University
dreamzhangzhong@163.com
Abstract
A multiple regression model is proposed in order to
evaluate a health care system. Metrics that may
influent health care system performance are selected,
weightings of which are calculated according to data
from WHO (World Health Organization). A detection
of multiple regression model performance is executed
by comparing health care systems of USA and France,
the result of which suggests that this model is effective
in determining health care system performance. The
relationship between metrics are studied, and then a
predictive multiple regression model is proposed,
which is proved to have a better performance than the
former one in detecting current health care system
performance, and moreover has an additional function
of predicting future development of systems.
1. Problem Analysis and Assumptions
This problem is Problem C of MCM/ICM 2008.
Health care system is crucial to people’s daily lives. In
this problem, we are asked to establish a model to
validate and predict the performance of health care
system, and by comparing system of America with a
country believed to have a good health care system and
another country having bad one, we have to give an
analysis on the influence of each metric and then make
suggestion on how to improve the health care system.
According to the problems and requirements, we
make assumptions:
● ranking and data from WHO is rational and
convincing
● data from different countries is transversely
comparative
●consider only the main factors that may impact
the health care system
This paper has awarded Meritorious in MCM/ICM 2008
2. Multiple Linear Regression Model
In order to get right weights and relationships among
metrics in determining the quality of health care
978-0-7695-3357-5/08 $25.00 © 2008 IEEE
DOI 10.1109/ICICTA.2008.350
system, we must correlate the performance with the
data of each metric. To this end, we perform a multiple
regression with system quality as the dependent
variable and some or all of the metrics, such as HALE,
coverage and etc., as independent variable.
We perform the regression on four variables: HALE,
total expenditure on health as percentage of gross
domestic product, private expenditure on health as
percentage of total expenditure on health and system
coverage ratio.
So as to take shape of the performance of health care
system, we mark the countries basing on the ranking of
world’s health systems [1]. So using the multiple
regression equation, together with concrete data of
health care system of a certain country, we could get a
relatively precise mark of the performance.
The equation we obtain is:
quality of system
= 65.2335 + 30.8046 ∗ x1 + 0.1677 ∗ x 2 + 1.3456 ∗ x3 − 0.1868 ∗ x 4
Where x1 is the unitary value of HALE; x2 is the
unitary value of number of physicians per 10 000 and
number of nurses and midwives per 10 000; x3 is the
unitary value of total expenditure on Health as
percentage of GDP; x4 is the unitary value of private
expenditure as percentage of total expenditure on
health.
Thus, by measuring these four metrics, we could
conclude the performance of a country’s health care
system; by comparing the outcome of equation, the
quality points of system, we could decide which health
care system is better as well.
As a first check of the equation, we analyze the
outcome of Matlab 6.5:
beta =
65.2335
30.8046
0.1677
1.3456
- 0.1868
rmse =
3.0442
608
 where beta is regression coefficient, rmse is residual
standard deviation. From the beta, we could make a
conclusion that HALE is the most acute metric in the
equation, which chiefly determines the result of quality
of health care systems; beta of number of physicians
per 10 000 and number of nurses per 10 000, together
with that of total expenditure on Health as percentage
of GDP, are positive, which means the better the
coverage ratio and GDP devotion, the better the quality
of system is. On the contrary, the beta of private
expenditure as percentage of total expenditure on
health is negative, which means the government should
increase amount of personal compensation on medicine
and health care. All of the results discussed above fit
the conclusion of World Health Organization Assesses
the World’s Health Systems [2] surprisingly well. The
rmse of our model is 3.0442, very close to zero, so that
the significance of regression equation is good [3].
As a second test of the equation, we use the equation
to simulate the ranking of countries’ health care system
(Table 1).
34 countries
3. Comparison of Performance of Health
Care Systems
3.1 United States of America vs. France
It is universally known the health care system in
France is of outstanding quality, which is regarded as
1st all over the world. So that the synthesis health care
status is best in the world. In order to make a
comparison between the health care systems of USA
and France, we use our multiple regression model,
together with the latest data from WHO [4], to figure
out the point of each system, and then analyze the
specific differences between the two systems and
finally find out the reasons why American system is
worse or better, and solutions to improve the system.
Using the newest data from 2007 of each metric in
the regression equation, we could get the points of
system qualities in both countries (Table 2).
Country Points
France 97.3646

Country actual model Country actual model Country actual model Country actual model
United States of America 96.4384

France 1 2 Malaysia 10 13 Bahamas 19 11 Table 2 .Total points of France and US by the

Spain 2 3 Venezuela 11 8 Saint K&N 20 15 China 28 12
Portugal 3 6 Senegal 12 29 Cook Islands 21 17 Uganda 29 32 multiple regression equation
United Kingdom 4 4 Kazakhstan 13 23 India 22 27 Tajikistan 30 25
Sweden 5 1 Belize 14 21 Uzbekistan 23 20 Madagascar 31 30 Although their points are so close to each other,
Morocco 6 18 Saint V&G 15 16 Micronesia 24 22 Cameroon 32 33
Denmark 7 5 Ukraine 16 19 Guyana 25 26 Niger 33 34 France is still a little better. To be specific, we could
Cuba
Qatar
8
9
7
9
Mauritius
Macedonia
17
18
14
10
Sao T&P
Gabon
26
27
24
28
South Africa 34 31 make a deeper analysis about the structures of point
constitutions (Table 3).
Physicians and nurses Total expenditure Private expenditure as
HALE density per 1000 on Health as % of % of total expenditure
Table 1. Actual ranking of samples vs. simulated people (PN) GDP (TE) on health (PE)

ranking predicted by the model

From table 1 we could see that besides a few
countries which have significant errors, the simulated
France 72 10.61 10.5 21.6
rankings of most countries are more or less the same
with actual ones. Since we are only interested in the
overall success or failure of the quality points, we U.S.A 69 11.93 15.4 55.3
could accept some inaccuracy in this model. Moreover,
since the accuracy of data is not certain to be all
convincing, the existence of a few exceptional Table 3 Specific value of each constitution of
outcomes is within the range of error. Therefore, even
multiple regression equation
assuming that some rankings are not accurate, we are From table 3, we could get the conclusion that
encouraged that at least this model can give us a France and USA both have their own strengths and
qualitative idea of the comparison between different drawbacks, nonetheless, France still achieve an upper
health systems. grade on quality of health care system. To contrast,
From the analysis above, we could view our HALE in France is a little more than that of USA,
multiple linear regression models as a precise and which is very sensitive to the total result of
viable one. performance. On the issues of coverage ratio, USA
seems a little better than France, or in other words,
more or less the same. The government of the United
States spent much more money on health care system

609
than France government, with 5 percent higher of
GDP, showing that the United States government
offers more medical source to public than that of
France. The only big difference of metric between the
two countries is percentage of private expenditure of
total expenditure on health, of which the United States
is 55.3%, while France is only 21.6%, showing that the
residents in United States paid more than half of their
medical fee, while in France, people have only to pay
1/5.
Therefore, we could conclude that: despite that the
United States has spent much more money on the
health care system, the HALE is still less than that of
France, which shows that the health care system in
France is better. Therefore, we recommend that the
United States should check whether there are problems
with the efficiency of health care system – higher
expenditure, but lower life expectance. Associating
with number of physicians and nurses in United States,
maybe because that there are too many nurses, which
are four times those of France; or it is possible that
physicians in America get too much payment; or
perhaps that the distribution of physicians and nurses
are not equal in the United States – too much in urban
areas, but insufficient in uptowns and villages. Another
problem is that private expenditure in the United States
seized too much percentage, which means that the poor
may not be able to afford the medical fee and in turn,
get equal health care as the rich. This will definitely
make the total health status in America worse, and
enlarge the gap between the rich and the poor in health
care, which is not the original purpose of government
in the Unites States. Since WHO’s goal is to let every
one in the world have good health care, United States
government should focus on decreasing the money
paid by private through some bans and bills, which
could be adopted from the successful example of
France.
3.2 United States of America vs. China
People’s Republic of China, the largest socialism
country in the world, has the largest population in the
world, many of which are the poor and not capable of
taking medical care. However, along with
communication and cooperation with other countries
and refinements within the country, it is becoming
more and more powerful in economic, military and
politics in recent years. What is more, China has
committed great effort in health care affairs so as to
increase the residents’ health status and as a result, the
quality of health care system in China has been
improved a lot. By this comparison we could better
know strengths and drawbacks of the system in United
States and have a deeper knowledge about how the
610
metric influence the performance of the health care
system.
Using data from World Health Statistics 2007 [4]
that are needed by the multiple regression model, we
could repeat the procedure of comparing US and
France. The quality points of both systems of US and
China are listed below (Table 4).
Country Points
China 92.7148
United States of America 96.4384
Table 4．Total points of China and US by the
multiple regression equation
From the points above, we could get a definite and
clear conclusion that the United States of America has
a better health care system. Again we have to analyze
why this situation happens. We make a table of
specific value of each metric of China and the United
States (Table 5).
Physicians and nurses Total expenditure on Private expenditure as
HALE density per 1000 people Health as % of GDP % of total expenditure
(PN) (TE) on health (PE)
China 64 2.11 4.7 62
U.S.A 69 11.93 15.4 55.3
Table 5．Specific value of each constitutions of
multiple regression equation
From table 5, we could easily see that the value of
HALE of China is 64, less than that of the United
States by 5 years. Consider that HALE is the most
sensitive metric in determining the performance of
health care system, with the coefficient of 30.8046, any
tiny change of HALE will lead to a big difference in
the total quality points. Density of physicians and
nurses in China is also far lower than that of US, only
less than 1/5 of US, showing that a large number of
people in China could not get adequate health care
while being sick. The percentage of total expenditure
on health of GDP in China is still much less than that
of America. If we assume 15.4% of GDP of US is just
enough to meet health care cost, it means that Chinese
people could only get 1/3 medical resource that of
United States, or in other words, 2/3 people in China
will have no medical resource caused by lacking of
medical funds. However, private expenditure of total
expenditure on health as percentage in China is even
more than that of United States. Since average income
per capita of China is much lower than that of United
States, undoubtedly people in China will suffer a
bigger pressure on health care, and many poor farmers
will not be able to afford expensive medicine fee and
as a result, could not get good health care.
According to the comparison above, we could
conclude that although China has made great progress
in building the health care system, the situation China
government faces is still spiny. So as to improve health
care system, firstly, China has to increase financing on
health care system of GDP. Because without enough
money, there will not be enough resource to meet
health care need of 1.3 billion people. If funds of
health care system is sufficient, problem of physicians
and nurses will be solved as well. Private expenditure
of total expenditure on health as percentage of China is
also far too high, since the situation in America is not
good by comparison with France, situation of China is
even worse. Adding that there are 0.9 billion farmers
who live a miserable life even without fundamental
health care, much work will be done to solve this
problem. For example, China government should
improve their insurance system in order that the poor
can get health care for free. Therefore, the HALE of
China will be higher, and in future maybe China could
get a better quality points in our model.
In contract, all data of the United States is better
than that of China, showing that health care system in
US is undoubtedly better in this comparison with
China. This is due to sufficient medical resource and
longer HALE. However, we should not ignore the high
percentage of private expenditure of the United States
as well.
4. Predictive Model on Health Care System
Change
4.1 Construction of Predictive Multiple
Regression Model
Consider the four metrics of multiple regression
model. HALE stands for the average life expectancy of
the whole nation, which could not be changed directly
by government. However, the other three metrics could
be affected by the change of new healthy policy and
control, for example, total expenditure on health as %
of gross domestic product could be changed if the
government increase the funds of health care system
and enlarge the percentage of health care system
spending of GDP; private expenditure on health as %
of total expenditure on health could be ameliorated if
health insurance system is developed and more people
can enjoy social security; system coverage ratio could
be increased by increasing the number of physicians
and nurses and ameliorating the distribution of urban
and village medical source.
Since HALE is the dominant factor of determining
the health care system quality, the other three metrics
611
must have some restrictive relationships with HALE,
in other words, changing the value of the other three
metrics will have an impact on the value of HALE, and
in turn influent the system quality in future.
In order to perform this relationship, we use multiple
regression model again, with HALE as the dependent
variable and the other three metrics as independent
variables. The data are also from World Health
Statistics 2005 [5]. Specific procedures are the same as
the model above.
Therefore, we obtain the predictive regression
equation:
HALE = 0.7981 + 0.1687 ∗ x1 + 0.0020 ∗ x 2 − 0.0361 ∗ x3
where x1 is the unitary value of number of
physicians per 10 000 and number of nurses per 10
000; x2 is the unitary value of general government
expenditure on health (% of total government
expenditure); x3 is the unitary value of total
expenditure on health (% of gross domestic product).
Thus, by measuring the value and analyzing the
coefficients of each metric, we could get the value of
HALE, which is regarded as the dominant indicator of
future health care system quality.
4.2 Test of the Predictive Model
The same as test of the system quality model, as a
first check of the equation, we analysis the outcome of
Matlab 6.5:
beta =
0.7981
0.1687
0.0020
-0.0361
rmse =
0.0971
where beta is the coefficients of metrics, analyzing
the beta could allow us to have a general idea about the
rightness of our model. Firstly, for the coefficient of
private expenditure on health as % of total expenditure
on health, which is a negative number, shows that the
more private pays for health care fee, the worse the
system is. This accords with our conclusion in system
quality model very well. Beta of total expenditure on
health as % of gross domestic product and system
coverage ratio is positive, which also fits our former
conclusion well. The rmse of this model, 0.0971, so
close to zero, shows that the significance of regression
equation is outstanding.
 As a second test of the equation, we use the equation ●When we are choosing the metrics, responsiveness
to simulate the ranking of countries’ HALE [1] (Table level and distribution are only found in data of the year
6) 2000 and it is measured by a number of surveys and
statistics which is hard to get, so we exclude
34 countries
responsiveness as a viable metric. But the equation we
obtain from the refined model shows obviously that the
Country actual model Country actual model Country actual model Country actual model
sensitivity of responsiveness is only a little lower than
France 3 5 Malaysia 12 12 Bahamas 13 19 China 10 28 that of Performance on health level (HALE). So,
Spain
Portugal
2
6
6
10
Venezuela 9
Senegal 30
26
32
Saint K&N 16
Cook Islands 15
14
15
Uganda
Tajikistan
32
26
33
23
ignoring responsiveness will surely bring some error to
United Kingdom 4
Sweden 1 3
1 Kazakhstan 23
Belize 19
9
25
India 27
Uzbekistan 20
34
8
Madagascar 29
Cameroon 33
27
31
our model.
Morocco 19 25 Saint V&G 17 21 Micronesia 22 13 Niger 34 29
Denmark 5 4 Ukraine 20 8 Guyana 24 17 South Africa 31 22
Cuba 7 2 Mauritius 14 20 Sao T&P 25 18 6. References
Qatar 8 11 Macedonia 12 12 Gabon 28 16

[1] The World Health Organization’s Ranking of the World’s

Table 6． Actual ranking of samples vs. simulated Health Systems;
http://www.photius.com/rankings/healthranks.html,
ranking predicted by predictive model Jun. 2000.
From table 6 we could see that besides a few
countries which have significant errors, the simulated [2] World Health Organization. Assesses the World’s Health
rankings of most countries are more or less the same as Systems. Press Release WHO/44, June 2000.
actual ones. Since we are only interested in the overall
success or failure of HALE, we could accept some [3] Zhao Jing, Dan Qi. Mathematical Modeling and
inaccuracy in this model. Moreover, since the accuracy Mathematical Experiments. Higher Education Press,
of data is not certain to be all convincing, the existence Beijing, 2003.
of a few exceptional outcomes is within the range of
[4] World Health Statistics 2007.
error. Therefore, even assuming that some rankings are http://www.who.int/whosis/whostat2007/en/index.ht
not accurate, we can conclude that at least this model ml, World Health Organization.
can make a relatively accurate simulation of metrics’
influence on HALE. [5] World Health Statistics 2005.
With the successful conclusion of the two tests, we http://www.who.int/whosis/whostat2005/en/index.ht
could trust in the rightness of our predicted model. ml; World Health Organization.

5. Strengths and Weaknesses

5.1 Strengths
● The Multiple regression model we used is linear,
so it is easy to carry out.
● The metrics we choose, including HALE, number
of physicians and nurses per 1 000 people, total
expenditure on health as percentage of gross domestic
product and private expenditure on health as
percentage of total expenditure on health, obviously
make the difficulty in statistics decline, compared with
responsiveness and coverage ratio.
● The result of the model is precise in practice
using, is able to be used in comparing performances of
health care system in other countries which have
obvious differences in the system quality.
5.2 Weaknesses
●Ranking of the World Health Systems is
established by WHO in 2000, while the coefficient of
equation is determined by World Health Statistics
2005. Thus to some degree the accuracy of model is
affected by this data flaw.

612
 2008 International Conference on Intelligent Computation Technology and Automation

Modeling and Simulation of 1025t/h CFBB combustion chamber

Liu Chang-liang, Ma Yuan-liang and Chen Lin

North China Electric Power University
changliang_liu@163.com

Abstract establish real time simulating model [4] [5]. In this

This paper takes CFBB as simulating object, which
has characters of DG1025/17.4-II1 two legs furnace
and with external heat exchanger. Combined with
thermal process and combustion chamber working
characteristics of practical unit, a general dynamic
model arithmetic library of CFBB combustion chamber
was set up based on a kind of graphic modeling real
time simulating support system. In the arithmetic
library, the dynamic and static characteristics of
combustion chamber was taken into consideration,
including the flowing, burning, heat exchanging
process and mechanism in combustion chamber. Using
the library, a 1025 t/h CFBB combustion chamber
simulating model was developed. It is shown by
simulation results that the model can correctly reflect
the dynamic characteristic of CFBB combustion
chamber.
1. Introduction
In recent years, how to realize sustainable
development and air pollution control has become a
very important research topic [1]. The primary energy
in china is mainly coal [2]. In order to overcome
problems of environment contamination in energy
production, CFBB (Circulating Fluidized Bed Boiler)
has been applied to power plant in China more and
more. 1025t/h CFBB is the largest which is running in
china. Because of shortage of running experience and
skilled operator, it is difficult to keep the CFBB unit
running safely, stably and economically. In this paper,
we will focus our attention on establishing training
software of a CFBB power unit [3]. The simulating
object has following characteristics: DG1025/17.4-II1
CFBB, sub-critical, primary middle reheating, nature
circulation with a drum, two legs furnace with balance
ventilation.
Because combustion chamber is one of the most
complex parts of CFBB system, more attention will be
paid to macro characteristics of burning process when
paper, on the basis of studying on inner mechanism of
burning, flowing and heat exchanging, necessary
simplification of working process is made. Based on
the standard formula and experience formula of
thermal process [6], mathematic model is built which
can reflects static and dynamic characteristic of CFBB
combustion chamber. Then the model is transferred
into library function in professional simulating support
software with c++ language and 1025 t/h CFBB
combustion chamber simulation model is developed
with modularization modeling method in the software
environment.
2. Dynamic Model of CFBB
The thermal processes in CFBB combustion
chamber are very complex. Mechanism analysis
modeling method is used when establishing the model
of burning, flowing and heat exchanging in the
combustion chamber. Generally, the dynamic model of
CFBB should include followings: hydrokinetics model
of CFB, combustion model of coal and oil particles,
desulfurizing reaction model, oxidation reduction
model of NOx, mass balance model, energy balance
model, heat transfer model.
Taking the energy conservation model as an
example, explain the modeling process of CFBB. The
combustion chamber can be divided into three zones
along the chamber height: dense phase zone, floating
zone and dilute phase zone. Assume that the
parameters in every zone is same, the energy balance
equations of each zone are as follows:
(1) Energy balance equation in dense phase zone
The Energy balance relationship of inputs and
outputs in dense phase zone is shown in Figure 1.
The energy entered into dense phase zone
includes： the sensible heat and combustion heat of
coal Q icoal-1 , the sensible heat and combustion heat of
oil Q i oil-1 , the sensible heat of limestone Qi caco3 , the
sensible heat of primary air Q i pa , the heat brought by

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DOI 10.1109/ICICTA.2008.325
materials from cone valve of material returning devices
Q i seal , the heat brought by materials from external bed
Q i ext , the heat brought by materials from floating zone
back to dense phase zone Q i 2-1.

Fig.2 The energy balance in floating zone

The energy balance equation in floating zone:

Fig.1 The energy balance in dense phase zone d ( M 2 C p - 2 t b -2 )

The energy carried away from dense phase zone to
floating zone includes: the heat carried by materials
and gas from dense phase zone to floating zone Q o 1-2 ,
the heat absorbed by water wall of dense phase zone
Q o ww-1, the heat carried away by slag Q o ash .
The energy balance equation in dense phase zone:
d ( M 1C p -1t b-1 )
= Q i coal -1 + Q i oil −1 + Q i caco3 + Q i pa
dt
+ Q i 2−1 + Q i seal + Q i ext − Q o 1− 2 − Q o ww−1 − Q o ash
M 1 ,Cp-1 are the material mass and specific heat in
dense phase zone, t b-1 is the bed temperature of
materials in dense phase zone.
= Q i coal - 2 + Q i oil - 2 + Q i sa + Q i 3− 2
dt
+ Q i 1− 2 − Q o 2−1 − Q o 2−3 − Q o ww− 2
M 2 ,Cp-2 is the material mass and specific heat in
floating zone, t b-1 is the bed temperature of materials
in floating zone.
(3) Energy balance equation in dilute phase zone
The Energy balance relationship of inputs and
outputs in dilute phase zone is shown in Figure 3.
The energy entered into dilute phase zone includes:
the heat released by residual coal coke Qi coal-3, the heat
brought by gas and materials from floating zone Q i 2-3.

(2) Energy balance equation in floating zone

The Energy balance relationship of inputs and
outputs in floating zone is shown in Figure 2.
Because of shortage of oxygen in dense phase zone
, a part of coal and oil particles can not burn
completely, they will continue to burn in floating zone
with the increase of secondary air, the oil particles will
burn completely in this zone, a few of coal particles
will remain to burn in next zone. Fig.3 The energy balance in dilute phase zone
The energy entered into floating zone includes the
heat released by residual coal particles Qi coal-2 , the heat The energy carried away from dilute phase zone
released by residual oil Q i oil-2 , the sensible heat includes: the heat carried away by gas and materials
brought by secondary air Q i sa , the heat brought by from dilute phase zone to cyclone separator Q o 3-c , the
materials and gas from dense phase zone Q i 1-2 , the heat heat carried away by materials from dilute phase zone
brought by materials back from dilute phase zone Q i 3-2 . to floating zone Q o 3-2, the heat absorbed by water
The energy carried away from floating zone wall of dilute phase zone Qoww-3.
includes: the heat carried away by materials and gas The energy balance equation in dilute phase
from floating zone to dilute zone Q o 2-3 , the heat carried zone:
away by materials back to dense phase zone Q o 2-1 , the
heat absorbed by water wall of floating zone Q o ww-2 .

614
d ( M 3 C p - 3 t b -3 )
= Q i coal -3 + Q i 2-3 − Q o 3-c − Q o 3− 2 − Q o ww−3
dt
M 3 ,Cp-3 is the material mass and specific heat in
dilute phase zone, t b-3 is the bed temperature of
materials in dilute phase zone.
The above model is only energy balance part of
CFBB model. To establish whole model of CFBB,
many models of other parts should be setup.
(3) Put the algorithm program to STAR-90 library;
this step can be done with C++ build.
(4) Integrate the new algorithm library into model
driven program of STAR-90.
(5) Define graphic element of the algorithm. After
finishing step (1)-(4), the STAR-90 support system
will assign a default graphic element to new algorithm.
Figure 4. shows the definition process of graphic
element of combustion chamber.

3. Development of Simulation Algorithms

Library in STAR-90
STAR-90/Windows 2000 simulation support system
is an open system developed by Sinosimu Company. It
mainly used in modeling and simulating in power plant,
chemical plant and other processes. By defining new
simulation algorithm library and graphic library in
STAR-90, users can achieve simulation research of
different processes according to requirements. In
STAR-90 simulation support system, an algorithm of
Fig.4 Definition of graphic element of combustion chamber
the system is a kind of general simulation model of
equipments or processes which have same Fourthly, build a test model in STAR-90 software
characteristics. It includes inputs, outputs, coefficients, environment to verify the new simulation algorithm.
algorithm sub-program and metafile. With same method, other simulation algorithms of
New algorithm can be established according to CFBB can be established and put into STAR-90 library.
following processes: The whole algorithms library of CFBB is setup. Every
Firstly, ascertain the boundary conditions of the algorithm in the library cab be called as an icon by
model according to process characteristics; establish same method as Simulink.
mathematical model of actual equipment or process
unit according to the aim of study and analysis, above 4. Simulation Research
model of CFBB is an example.
After the entire simulation algorithm library of
Secondly, select suitable numerical calculation
CFBB has been established, the CFBB unit model can
method according to characteristics of system and
be setup by connecting all the equipments and
requirements of simulation. The stability, calculation
processes in STAR-90 one by one. The coefficients of
accuracy and speed should be satisfied when using this
the model should be adjusted to ensure that the static
method to build simulation model. Generally,
and dynamic characteristics correspond with actual
connotative Euler numerical integration method is
unit. The simulation model of CFBB combustion
preferred.
chamber in STAR-90 simulation support system is
Thirdly, put the algorithm program into STAR-90
shown in Figure 5.
algorithm library. This step is the core of algorithm
To verify the performance of the simulation model,
establishment in STAR-90; it can be done by following
static and dynamic test should be done and compared
processes:
with design data or operating data. The result is shown
(1) Define algorithm structure, includes number of
in Table 1.
inputs, outputs and coefficients and the type of inputs
It is shown in table 1 that the static simulation data
and outputs.
at 100% load is close to the design data of the CFBB
(2) Program with C language according to STAR-
unit.
90 stipulation. The standard form is:
Because the model mainly used to train the operator
void alg123(in, out, coef, dt)
of power plant, the dynamic characteristic of the model
float *in,*out,*coef, dt; //declaration of arguments
is more important than static data. So it is essential to
……//algorithm body
test the dynamic response of the model to all kinds of
return;

615
inputs. The simulation results are shown in Figure 6-
Figure 9.
Fig.5 Simulation Model of CFBB combustion chamber
Tab.1.Comparison of simulation data and design data
First, at 300MW steady operating load, both coal
feeder speed and air flow increase 10% and keep other
input parameters at the same values, that means the
coal flow change from 160t/h to 176t/h, the air flow
change from 900 km3/h to 990 km3/h, shown in Figure
6.and Figure 7.
Fig.6 Coal feed 10% step Fig.7 Air flow 10% step
The bed temperature responds in dense-phase zone
and dilute-phase zone are shown in Figure 8 – Figure
9.
In Figure 8., the bed temperature of dense phase
zone falls down at first, it rises to a new balance
gradually after reaches a low-point, the temperature of
616
dilute-phase zone at the top of furnace is
opposite. Generally, the temperature at furnace outlet
increases with the coal flow. This kind of dynamic
characteristics can be explained as follow: at the
beginning, with the increasing of coal flow and total air
flow, the temperature in dense phase zone will
decrease, after the new coal is heated to the kindling
point, it begins to burn and release heat, the
temperature of furnace increases again and reaches a
new balance.
Fig.8 Temp. of dense zone Fig.9 Temp. of dilute zone
In Figure 9., With the increasing of air flow, the
coal particles and gas carried away from the bottom of
furnace to dilute-phase zone will increase, the furnace
temperature will reach the highest point gradually, and
then with the increasing of temperature difference
between bed and waterwall, the heat absorbed by
furnace will increase, the temperature will reach a
steady value gradually and new energy balance will be
achieved.
Second, at 300MW steady operating load, keep
other input parameters at the same values, decrease
primary air flow 10%, that is, decrease primary air
(PA) flow from 404km3/h to353.6km3/h, increase
secondary air (SA) flow from 282km3/h to 322.4km3/h
to ensure oxygen, shown in Figure 10 and Figure 11.
Fig.10 PA flow 10% step Fig.11 SA flow 15% step
The bed temperature responds in dense-phase zone
and dilute-phase zone are shown in Figure 12 - Figure
13.
When PA flow decrease, the heat carried away by
gas and particles will decrease, the bed temperature
of dense phase zone will increase at beginning. The
decrease of PA flow will deteriorate fluidizing and
burning, the temperature will decrease gradually and
reach to a new balance, it is shown as Figure 12. The
temperature of dilute phase zone will change on the
contrary.
Fig.12 Temp. of dense zone Fig.13 Temp. of dilute zone
5. Conclusion
According to structure and characteristics of
1025t/h CFBB, a set of simulation algorithms library is
setup on a professional modeling and simulation
support system STAR-90. The whole combustion
chamber model is established in STAR-90 software
environment using above algorithms library and
simulation research is done to verify the performance
of the simulation model.
It is shown by Simulation results that the
performance of CFBB model established in this paper
is close to actual reference power unit. The errors of
key parameter is smaller than 1%；the errors of main
parameter is smaller than 2%；the errors of common
parameter is smaller than 3%. That means the
combustion chamber simulating model can reflect the
thermal and dynamic characteristics of actual CFBB. It
617
can be used to train operator of CFBB power plants or
study dynamic process of CFBB.
6. Acknowledgements
This paper is supported by The High-Tech Research
and Development Program of China (The 863
Program):2007AA041106.
7. References
[1] W. Nowak, “Clean Coal Fluidized Bed Technology in
Poland”, Journal, Applied Energy, 2003, pp. 405–413.
[2] Scott L., Darling and Sean Li. Foster Wheeler,
“experience with clean coal technology in China”,
WWW.FWC.COM WEB Publication
[3] K. Sivakumar, M.L. Temi, and K.A. Pradeep,
“Mathematical Modeling of Fluidized Bed Combustion 3:
Simultaneous Combustion of Char and Combustive Gases”,
Journal, Fuel, 1999, pp.403-417.
[4] G. Steve, “Integration of the Benson Vertical Out
technology and the compact CFB boiler”, PowerGen
International, Orlando, Florida, November 2000.
[5] J. Stephen, Goidich, H. Timo, and K. Kari, “CFB Boiler
Design and Operation Using the Intrex Heat Exchanger”, 6th
International Conference on Circulating Fluidized Beds,
Würzburg, Germany, August 22-27, 1999.
[6] C. Yang, Z.W. He, and M.D. Xin, “Dynamic Modeling
for Simulation of 410t/h CFB Boiler”, Proceedings of 17th
ICFBC, Jacksonville, Florida, May 18-21, 2003.
 2008 International Conference on Intelligent Computation Technology and Automation
Modeling and Simulation of Aircraft Movement Based on Matlab/S-Function
Chunpeng Kang，Zhong Su and Qing Li
Institute of Intelligence Control, Beijing Information Science & Technology University,
Beijing 100101, China
yongren2006@126.com
Abstract
In research of aircraft movement, the general
method for modeling and simulation is
Matlab/simuink, not Matlab/S-function. But in complex
kinematics system, Matlab/S-function is of great use.
This paper mainly introduces how to use S-Function to
model and simulate kinematics equation, and analyzes
the meaning and function of various modules. The
figureures of three angular velocities and location of
aircraft in earth-fixed coordination are obtained
through simulating. The results indicate that this
method is accurate and effective, and make the model
contact interface more succinct.
1. Introduction
Modeling and simulation technology has been
widely used in the research of aircraft, such as
programme appraisal, design, analysis, operation and
so on. Simulation model is taken the physical
conception, the change rule, the test result and the
experience summary as basis, and then is established a
theoretical model which we need with mathematical
expression and experimental data. Thereby, simulation
model is original from system theoretical model.
Establishing simulation model should accord to the
following process(Ref.[1]). First, divide the overall
system into a series of relatively independent objects
and transform them into respective mathematical
model. Then build simulation model libraries. Finally
use the simulation module libraries to constitute the
control system simulation model of flight vehicle.
In practical application, it usually uses
MATLAB/Simulink to carry on the modeling and
simulation to the flight vehicle system(Ref.[2]). This
paper will focus on analysis of how to use the Simulink
/S-Function to do it.
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DOI 10.1109/ICICTA.2008.243
2. Modeling and Simulation of Aircraft
movement
2.1 preparation Modeling preparation
To simplify the equations of motion derived, make
the following basic assumption(Ref.[3]):
﹙1﹚Take aircraft as a rigid object, which is to say
that any two points in the aircraft are independent.
﹙2﹚Ignore the ground curvature, regard the Earth
as a plane.
﹙3﹚Ignore fuel consumption.
﹙4﹚Mass is evenly distributed in X B OZ B -plane,
so inertia moment of I xy I yz is close to 0.
Under the above assumptions, there are six degrees
of freedom in aircraft movement (rotation and
transformation in three dimensional spaces). Vehicle
dynamic characteristics can be described through
position, velocity and angular velocity.
⎛
T
⎞
Position vector PE = ⎜ xE ,yE ,zE ⎟ is a description
⎝ ⎠
form in fix-earth coordinate.
Velocity vector V = ( u,v,w ) ,
T
Where u is vertical velocity, v is horizontal velocity,
w is normal velocity.
(
Angular velocity vector ω = p,q,r T , )
where p ， q and r is roll angular velocity, pitch
angular velocity and yaw angular velocity respectively.
2.2 Quaternion expressions of kinematics
equations
The aircraft can also be used Euler model. But when
the pitch angular becomes 90 degree, some differential
equations will have a singular, while quaternion can
avoid it(Ref.[4]). Therefore, it adapts to all flight
vehicle. describe the formula and equation of a system(Ref.[6]).
Using quaternion description can obtain the number This approach is very suitable for describing complex
of the first order differential equation of aircraft mathematical dynamic systems, and can be used to
movement system : carry out precise simulation control in process
…… simulation.

( )
X +F Using Simulink to model aircraft is shown in
u = rv − qw + + 2 q1q3 − q0 q2 q Figure-1.The module of Kinematics equations has
m
three inputs and one output, where one of the inputs is
v = pw − ru +
X
m
(
+ 2 q2 q3 + q0 q1 q ) a feedback input(Ref.[7]). motion.c programmed by S-
Function is the main module to deal with the
w = qu − pv +
Z
m (
+ q02 − q12 − q22 + q32 q ) movement.

( ) (
p = c1r + c2 ⋅ p q + c3 L + c4 N + H E ⋅q )
( ) (
q = c5 ⋅ p⋅r − c6 p 2 − r 2 + c7 M + FT ⋅ zT − H E ⋅r )
( ) (
r = c8 p − c2 ⋅r q + c4 ⋅ I + c9 N + H E ⋅q )
⎡ 2 2 2 2
⎡ x ⎤ ⎢ qo +q1 -q2 -q3 ( ) 2( q1q3 +q0 q2 ) ⎤⎥ ⎡ u ⎤
2 q1q2 -q0 q3
⎢ ⎥ ⎢E ⎥ Figure 1: Kinematics equations module
(
⎢ y E ⎥=± ⎢ 2 q1q2 +q0 q3
⎢ ⎥ ⎢
) 2( q2 q3 -q0 q1 ) ⎥ ⎢⎢ v ⎥⎥
qo2 -q12 +q22 -q32
⎥ ⎢ w⎥ The programme contains two macro definitions:
⎣⎢
(
⎢⎣ zE ⎥⎦ ⎢ 2 q q -q q
1 3 0 2 ) 2( q2 q3 +q0 q1 ) qo2 -q12 -q22 +q32 ⎥⎦⎥ ⎣ ⎦ #define S_FUNCTION_NAME motion
#define S_FUNCTION_LEVEL 2
Where
#include "simstruc.h"
⎡ ϕ θ ψ ϕ θ ψ⎤ /* ISA atmospheric model, there is no detailed*/
⎢ cos 2 cos 2 cos 2 + sin 2 sin 2 sin 2 ⎥
⎡ q0 ⎤ ⎢ ⎥ #include "aerodata/ISAatmos.c"
⎢ ⎥ ⎢ sin ϕ cos θ cosψ − cos ϕ sin θ sinψ ⎥ /*engine model, there is no detailed */
⎢ 1⎥ ⎢ 2
q 2 2 2 2 2⎥
⎢ ⎥ =± ⎢ ⎥ #include "aerodata/engine_model.c"
ϕ θ ψ
⎢ 2 ⎥ ⎢ cos sin cos + sin cos sin ⎥
q ϕ θ ψ #define mass 9295.44
⎢ ⎥ ⎢ 2 2 2 2 2 2⎥
⎣⎢ q3 ⎦⎥ ⎢ ϕ ⎥ The first definition defines S-function name and the
θ ψ ϕ
⎢ cos cos sin − sin sin cos ⎥ θ ψ second one instructs this S-function is the Level-2
⎣⎢ 2 2 2 2 2 2 ⎦⎥ format. The first document contains "simstruc.h",
where the SimStruct data structure and MATLAB
X is axial force component（N） application program interface (API) function are
Y is lateral force component（N） defined.
SimStruct is used to maintain data structure of
Z is normal force component（N）.
Simulink S-function information. There is macro
2
H E is engine angular momentum ( kg.m /s). definitions employed to set for MEX and acquire
F is thrust motivation (N) SimStruct value in "simstruc.h".
Define the variables in form of array:
2.3 Use the S-Function Modeling …..
In the actual modeling process, complex models are #define p_body x [2]
encounted frequently, which is very complicated or ……
impossible to create directly by Simulink. But S- #define x_earth x [6]
function, the acronym for system-Function, is able to ……
resolve this problem satisfactorily. S-Function can be The static void mdlInitializeSizes (SimStruct *S)
described by MATLAB, C language or C++ language. function is used to inquire input and output ports, port
All can be directly transferred through Simulink. S- capacity and objects (such as number of state)
function enhances and expands the capacity of /* Mathematical formula contains 11 state variables*/
Simulink, and Real Time Workshop can be used for ……
real-time simulation(Ref.[5]). SsSetNumContStates(S, 11);
S-function has fixed compilation form and default ssSetOutputPortWidth(S, 0, 11);
pattern in Matlab. It uses a non-graphic way to SsSetNumInputPorts(S, 3);
describe a system. Its interior uses text-input method to ssSetNumOutputPorts(S, 1);

619
SsSetNumRWork(S, 23);
……
Initialize state vector in static void mdlStart
(SimStruct * S) function.
/* Initialize the state vector */
for (i = 0; i < ssGetNumContStates(S); i++)
{X[i] = mxGetPr (ssGetSFcnParam(S, 0)) [i] ;}
……
In static void mdlDerivatives(SimStruct *S) function
the first thing is to define the state variables as double.
Then edit all system formula and equation in this
function.
Finally, debug programme, and use it to simulate
the movement of aircraft(Ref.[8]). Assumption aircraft
altitude is 16,000 meters; flight speed is 500 m/s. The
ω = ( p,q,r ) is shown in
T
Angular velocity vector
Figure 2，and the location of Aircraft in earth-fixed
coordination is shown in Figure 3.
Figure 2 p、q、r Angular velocity
Figure 3 Location of Aircraft in earth-fixed
coordination
Some attention: S-function may ignore ports, when
there is multi-variable input or multi-variable output.
620
So it must get a mux module or a demux to make some
single input to synthesize a composite input or to make
a composite output to decompose into some single
ones.
3. Conclusion
S-Function, providing a powerful tool for Simulink
module libraries, uses a specific syntax to make
functions and Simulink solution interact with each
other. In face of complex models, S-function is widely
applied, and can be effective in reducing errors in the
modeling. Meanwhile it can make model interface
more concise.
Acknowledgements
This work is partially supported by Fund of
Beforehand Research of National Defence, Grant
#9140A09020507DZ0301in China.
References
[1] Tank,M.,and speyer,J,T., “Target Tracking Problems
Subject to Kinematic Constraints”,IEEE,Transactions on
Automatic Contol, Vol.35,No.3.pp324-326
[2] Redelinghuys, “A Flight Simulation Algorithm for a
Parafoil Suspending an Air vehicle”,AIAA,Journal of
Guidance ,Control and Dynamics,Vol.30, No.3. 2006.
pp 719-803
[3] Lars Sonneveldt. “Nonlinear F-16 Model Description.
Control and Simulation”. Division,Delft University of
Technology.2006
[4] Quon, Leighton .“Modeling and simulation needs for
next generation air transportation system research”. AIAA
Modeling and Simulation Technologies Conference, 2006,
pp 1-8
[5] Huang Yong’an. MATLAB7.0/Simulink6.0 Modeling and
Simulation Application Development and senior
engineering.Tsinghua University Press,2005
[6] Xia Fei, Huang, Jin-Quan; Zhou, Wen-Xiang. “Modeling
of and simulation research on turbofan engine based on
MATLAB/SIMULINK”. Hangkong Dongli
Xuebao/Journal of Aerospace Power, v 22, n 12,
December, 2007, pp 2134-2138
[7] Christhilf, David M, Bacon, Barton J. “Simulink-based
Simulation Architecture for Evaluating Controls for
Aerospace Vehicles (SAREC-ASV) ”. AIAA Modeling
and Simulation Technologies Conference, 2006, pp 1032-
1045
[8] Yuwen Li and Meyer Nahon, “Modeling and Simulation
of Airship Dynamics”, AIAA, Journal of Guidance,
Control and Dynamics, Vol.30, No.6. 2007,pp1691-1700
 2008 International Conference on Intelligent Computation Technology and Automation

Modeling and Simulation of the Automated Pharmacy System

Xuefeng Zhao, Chao Yun, Xiangquan Liu, Wei Wang

School of Mechanical Engineering and Automation
Beihang University,
Beijing, 100083, P.R.China
zxf801112@163.com

Abstract Automated pharmacy system is still on primary

The automated pharmacy system actualizes the
automation of medicines-filling, medicines-storage and
medicines-dispensing, it also solves the existing
problems caused by dispersedly stored and manually
operated such as inefficiency prescription-processing
and high error ratios in hospitals. Medicines are
dispensed by the lifter system, which is a nonlinear,
time-varying and complex system. A fuzzy self-adaptive
PID control method, which synthesizes the merits of
fuzzy control and PID control, is presented to study the
dynamic characteristics of the lifter system. The
scheduling policy is crucial to elevating retrieve and
storage efficiency. A strategy based on the genetic
algorithm is proposed and its performance is analyzed.
Experiment results and computer simulations have
proved the feasibility and effectiveness of the
controller and the strategy. So the good performance
and high efficiency of the automated pharmacy system
are achieved.
1. Introduction
Some matured automated pharmacy systems,
including manipulator, robopharma and separating
machines, have already appeared in overseas markets
to dispense, supply and manage medicines
automatically. The manipulator delivers the packages
and realizes the automatic input and output of
medicines. But manipulator can just dispose one
package once and separate filling and dispensing
process that finally causes the system to work
inefficiently. The robopharma, a sloping cabinet, is
composed of canals storing medicines. Although
dispensing components issue the packages in output
port automatically, manual filling of medicines in input
port causes huge workload and high cost. The
automatic separating machines are used to seal and
label plastic bottles for the bulked medicines [1-2].
stage in our country. The intelligent pharmacy is
developed by the Shenzhen 999 Company directing to
solve the capsule and imbibe pieces. The numeric
control rolling storage and retrieval system of
Shenyang Airplane Corporation possesses high
adaptability to different packages, but it is inefficient
and semi-automatic.
Since the hospitals of China mostly depend on box-
packaged medicines, they have the particularity of the
huge variety and amount of medicines. The pharmacy
mentioned above can not meet all the demands.
Therefore, the automated pharmacy system, which is
suitable to the domestic hospital, is developed to fulfill
the demands of dispensing and filling automatically.
The significant criteria for evaluating the performance
of an automated pharmacy system are system
throughput, accuracy and speed in dispensing and
filling, and retrieve and storage efficiency.
The lifter system, dispensing system, must ensure
speed under the condition of accuracy. Since it starts
and stops frequently and violently in accord with the
electronic prescription, so it possesses the
characteristics of complex, non-linear and time-
varying. In order to avoid the typical starting jerk and
the overshooting of the position and velocity trajectory,
the fuzzy self-adaptive PID control method is adopted
in the lifter system. The simulation results verify the
feasibility of the controller.
The storage and retrieval efficiency depends
largely on the dynamic scheduling, which is a multi-
objective and multi-constraint optimization problem.
After analyzing the constraints and objectives, an
optimization model is put forward and the genetic
algorithm is proposed to solve the problem.
Experimental results show the algorithm is capable of
allocating storage-position efficiently.
2. System functions and implements

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DOI 10.1109/ICICTA.2008.374
 The automated pharmacy system can manage and 3. Dynamic model and control of lifter
store certain medicines to assure the supplying of system
medicines, dispensing medicines accurately and
rapidly based on the hospital electronic prescription
and put the packages at accurate position automatically 3.1. Dynamic Model
or semi-automatically. It includes filling system,
The lifter system is driven by two servo
dedicated storage system, dispensing system, control
transmission devices, and it is mainly consisted of two
and management system and interface system with HIS
vertical guide-rails, sliders installed on two vertical
(Hospital Information System). The entire system is
guide-rails, lifter fixed to sliders and its attachments as
shown in the Fig.1.
electromagnet, counterweights and pulleys. The motors
drive synchronously lifter moving in the vertical
direction. Meanwhile, the counterweights move in
keep with the lifter through the ropes and pulley block.
Since the acceleration and jerk should always be in the
range of acceptable limits and the vibration levels are
kept in a minimum, the dynamic characteristics of
lifter should be studied in-depth to accomplish good
performance [3]. As the lifter moves, more speedy
vibration may also be stemmed from distortion of the
Figure 1. Automated pharmacy system guide-rail, In this case, the guide-rail is assumed as a
The storage cabinet, composed of matrix arranged spring. The stiffness of the guide-rail varies against the
sloping canals, achieves the dedicated storage. The lifter vertical position which in turn may cause
manipulator fills the packages in the input port. After parametric vibration. In order to reduce the vibration of
filling phase, the packages slide down in the direction the lifter system, a new method incorporating the
of output port due to the force of gravity. All packages parameter variation is required. The simplified
are stopped by flaps of the output port. Meanwhile, the dynamic model of the lifter system is shown in Fig.2.
next package will slide to the stop plate after the first The system’s kinetic energy, potential energy and
package delivered by lifter and packages-output dissipation energy are shown as (1), (2), (3)
devices. respectively.
The filling devices mainly include vertical guide-
rail, horizontal guide-rail and manipulator installed on
the vertical guide-rail. When some packages need to be
filled according to the storage, they are sent to the
manipulator by conveyor belt. After that, the slider
installed on the horizontal-guide moves in the
horizontal direction and drives the vertical guide-rail to
move. Meanwhile, the manipulator moves along the
vertical guide-rail. The parallel actions realize the
column and row orientations. After the position storing
the packages is attained, the manipulator automatically Figure 2. Simplified schematic of the lifter system
sends out the packages to the specific canal. 1 1 1 1 1
The dispensing components are consisted of the T = mx 2 + m1 x12 + m2 x2 2 + J 4θ 4 2 + J 5θ5 2
lifter installed on two vertical guide-rails and the 2 2 2 2 2
electromagnets mounted on the lifter. After the 1 1 1 1
+ J 6θ 6 2 + J 7θ 7 2 + J1θ12 + J 2θ12 (1)
packages in certain position need to be picked out, the 2 2 2 2
lifter moves instantly to the location. Then the
electromagnet corresponding column will drive the
flaps to act to send out the packages out of the canals
to the lifter. At the same time, the sensors fixed on the
lifter monitor the amounts of the packages to match
with the real amounts. Finally, the lifter delivers the
packages to the sort window for patients.

622
 1 1 1 1 3.2. Self-adaptive fuzzy PID control system
V = km1(θ1 −θ10)2 + km2(θ2 −θ20)2 + ke3(x −θ6r)2 + ke4(x −θ7r)2
2 2 2 2
The conventional PID controller is described in (8).
1 1 1 1
+ k3(θ4 −θ6)2 + k4(θ5 −θ7)2 + ke1(θ4r −x1)2 + ke2(θ5r −x2)2 de(t )
2 2 2 2 u (t ) = K P e(t ) + K I ∫ e(t )dt + K D (8)
dt
1 1
+ ke5(x − x1′)2 + ke6(x − x2′)2 (2) Where, KP, KI, KD are the proportional, integral and
2 2 derivative gains respectively, u(t)is the output of
1 1 1 1 controller; e(t)is the error signal.
D= cm1(θ1 −θ10)2 + cm(θ2 −θ20)2 + ce3(x −θ6r)2 + ce4(x −θ7r)2 The fuzzy controller has four main components: (1)
2 2 2 2
The rule-base holds the knowledge, in the form of a set
1 1 1 1
+ c3(θ4 −θ6)2 + c4(θ5 −θ7 )2 + ce1(x−θ4r)2 + ce2(x−θ5r)2 of rules, of how to control the system best. (2) The
2 2 2 2 inference mechanism evaluates which control rules are
1 1 relevant at the current time and then decides what the
+ ce5(x −x1′)2 + ce6(x − x2′)2 (3) input to the plant should be. (3) The fuzzification
2 2 interface simply modifies the inputs so that they can be
Where, the meaning of the main parameters is defined interpreted and compared to rules in the rule-base. And
concretely. m denotes mass of object; J denotes inertia; (4) the defuzzification interface converts the
k and c denote the spring and damping coefficient; x conclusion reached by the inference mechanism into
denotes displacement; θ denotes angle; the differential the inputs to the plant.
coefficient of x denotes the velocity; the differential Fuzzy PID control, combining the advantages of
coefficient of θ denotes the angular velocity; r denotes PID control and fuzzy logic, demonstrates the
the radius of pulley. The lower tags represent the parts significant performance improvement over the standard
according to the Fig.3. Take the parameter km1 for PID control. The adaptive fuzzy PID control structure
example, k denotes the spring as mentioned above, m1 is shown in Fig.3.
is equivalent to the rope m1 between the motor 1 and
the guide-rail 1, so the parameter km1 denotes the spring
KP KI KD
coefficient between the motor 1 and the guide-rail 1. r+ e y
θ10, θ20 are turning angle of the motor shaft ec
− de / dt
respectively; x1’, x2’ are the displacement of slider in
theory, when the motor turns over the angle θ1, θ2 Figure 3. Structure schematic of the lifter system
respectively. This paper takes the error and the change in error as
Based on the above equations and the second class fuzzy controller’s inputs (e represents error and ec
Lagrange (4), the system dynamics are modeled by the represents the rate of change in error), while the output
nonlinear differential (5). variables are the PID gains as KP, KI, KD. The universe
d ⎛ ∂T ⎞ ∂T ∂V ∂D of discourse of e and ec will be divided into [-3, -2…
⎜ ⎟− + + =Q (4)
dt ⎝ ∂xi ⎠ ∂xi ∂xi ∂xi 2, 3]. Using the fuzzy sets of the input variables and
output variables as defined above, the fuzzy interface
[ M ] { X } + [C ] { X } + [ K ] { X } = {Q} (5) system adopts the Mamdani implication to infer and
Where, [M]denotes mass matrix, and it includes mass the Centroid method is used as Defuzzification. The
of lifter, counterweights and inertia of motors and tables based on the relative human experience involve
pulley block. X denotes state matrix, the extended 49 rules for regulating the three parameters [4].
vector is X=[x x1 x2 θ1 θ2 θ4 θ5 θ6 θ7] T. [K], [C]
denotes spring matrix and damping matrix, which is 3.3. Simulation based on the fuzzy self-adaptive
time-varying and consistent. Q denotes generalized controller
inspire force, which is relative to the torque of motors.
The lifter’s velocity is used as the output variable in To demonstrate the effectiveness of the designed
order to estate the dynamic traits of the lifter in-depth controller, the simulations are done in the Matlab
and suppress the vibration of the lifter. The state-space statements. The control objective is to force the lifter
and output equation are obtained. velocity to follow a given reference trajectory.
According to the above dynamic model and real
X = AX + BU (6) condition applied in Zhang Jiagang Hospital, the actual
Y = CX (7) velocity is about 1.0 m/s. The initial parameters of PID
control are KP=1000, KI=0, KD=60. The simulation
curves are shown in Fig.4, Fig.5, Fig.6.

623
 Fig.4 shows the output and error of lifter system
with routine PID controller and fuzzy adaptive PID
controller respectively. The fuzzy adaptive PID method
has faster response rate and better tracking
performance and it basically realizes the no error
control of system, while the routine PID control has the
defects of lower response rate, longer delay time and
regulating time and larger overshoot.
According to the Fig.5 and Fig.6, when there is
disturbance because of the external world, the fuzzy
adaptive PID controller can suppress the disturbance
quickly and the lifter fluctuation is smaller and
restoring time is relatively short. So the fuzzy adaptive
PID controller has robustness against the parameters
vibrations.
Figure 4. Response results for routine PID controller
and fuzzy adaptive PID controller
Figure 5. Response curves under random disturbance
Figure 6. Response curves under the disturbance of 4s
4. Storage-location optimization
624
4.1. Problem Description
The scheduling optimization must take the
following factors into account such as the particularity
of medicines storage, the irregularity of packages size,
the diversity of canals and the parallel operations in
dispensing and filling.
To ensure the smooth input and output of packages,
it is significant to confine the distance between the
packages and the canals in a certain extent, or it will
cause a series of problems, such as less sliding force,
overlaps and jam of packages and other problems
affecting the normal operation of implementation. It is
of importance to enhance the efficiency of inputting
and outputting drugs, cutting costs, and improving
space utilization to optimize the canal specifications,
the layout of canals and the layout of drugs as well.
The problem is described as the following:
p q
M inE = ∑∑I
i = 1 R =1
i iR (9)
n
MinS = ∑ W j (10)
j =1
m
MinT = ∑ H i (11)
i =1
l ki
MinM = ∑∑ Fij Sij (12)
i =1 j =1
s.t. w + wmin ≤ W < w + wmax (13)
h + hmin ≤ H < h + hmax (14)
Where, Ii reflects the frequency of dispensing, which is
smaller while the frequency is greater; R denotes the
area number; p denotes the varieties of packages; q
denotes the area sum; n and m denote the amount of
width specification and height specification
respectively; Fij denotes the using frequency of the
drugs in position (i, j); Sij denotes the distance between
drug-outputting mouth and canal (i, j); l is the layers’
amount; ki denotes the amount of columns in layer k; w
and h is the width and height of packages respectively;
W and H are the width and height of canals; wmin , hmin ,
wmax and hmax denote the min-distance and max-distance
between the canal and drug width and height.
The objective (9) ensures the optimization of canals
distribution. Equation (10) and (11) ensure the
minimum specifications of width and height of canals
respectively. Equation (12) ensures that packages in
higher retrieve and storage frequency are located in
nearer canals relative to the output mouth. Equation
(13) and (14) represent the restrictive conditions in
space [5].
4.2. Simulation based on the genetic algorithm
The GA based decision methods on scheduling rules
start from an initial population, i.e. a chromosome set.
The size of this set is fixed and every chromosome
represents a group of combining rules which can be
used to describe concrete scheduling projects. After
populations of each generation produce, the weights of
rules are calculated relative to individual performance
index. These rules are represented respectively by
every gene of every chromosome in this generation.
And these values will be used as the basic data in
fitness values calculation. Populations of every
generation produce going through three genetic
manipulation processes: i.e. selection, crossover and
mutation. The chromosomes with the best fitness value
are exported as the combination of the best rules after
the whole process implements pre-established times.
The genetic algorithm is adopted in the system to
allocate the storage-position effectively. The system
develops the fitness of chromosomes based on the
objectives and constrains. The system rationally
designs gene codes, fitness function, initial population
and genetic manipulation in order to achieve optimal
allocation results. The real code technology is adopted,
which includes much information as the storage
location, the width and the height of the canals and the
layout of the canals. For example, gene code
12110354704559 denotes packing 1 and 2 are stored in
this layer, and package 1 occupies three canals in width
of 35 mm and height of 45 mm , and package 2
occupies one canal in width of 47 mm and height of
59 mm . The canals layout of this layer is in the width
order of 35 mm , 45 mm , 35 mm , 45 mm .
The experiments are carried out according to the
real packages information. It is found that population
size 70 and generation number 500 make a relatively
stabilized objective value. Meanwhile, crossing
probability is 0.8, and mutation rate is 0.1. The fitness
curve of 10 kinds of packing and 70 canals is shown in
Fig.7. The GA gains optimizing results in convergence
and improves the dispensing frequency.
625
Figure 7. Fitness variety curve
5. Conclusion
In the paper, the automated pharmacy system is
developed to actualize the automation of filling,
storage and dispensing medicines. It has been applied
in the hospital of Zhang Jiagang, actualizing the speed
of 10 second/prescription in prescription-dispensing. In
order to attain better performance of the system, a
fuzzy adaptive PID control method is proposed based
on the dynamic characteristic of lifter system, and the
genetic algorithm is applied to solve the scheduling
optimization problem, The simulation results indicate
that the controller has reduced the vibration of the
lifter, elevated the precision of positioning and the
speed of dispensing prescription. The algorithm has
effectively elevates the storage and retrieve efficiency.
So the good performance of the automated pharmacy
system is obtained.
6. References
[1] C. Bridget, “Hospital pharmacy staff attitudes towards
automated dispensing before and after implementation”,
Hospital Pharmacy, vol. 11, 2001, pp. 248.
[2] J. Chritopher, Thomsen, “A real life look at automated
pharmacy workflow systems”, National Association of Chain
Drug Stores, vol. 1, 2005, pp. 29.
[3] Y. T. Ai, Z. Wang, L. X. Li, “Study on the active
vibration control of high-speed traction-elevator”, Journal of
vibration and shock, vol. 26, 2007, pp. 56-59.
[4] J.H. Zhang, “Study and compare for PID control system
and fuzzy self-adaptive PID control system”, Journal of Wu
Han University of technology, vol. 27, 2005, pp. 286-290.
[5] L. Wang, D. Z. Zheng, “A modified genetic algorithm
for job shop scheduling”, The International Journal of
advanced Manufacturing Technology, vol. 20, 2002, pp. 72-
78.
 2008 International Conference on Intelligent Computation Technology and Automation
Modeling Capacity of Road Network Based on Level of Service of Network
Li Binglin1, Li Feng2, Wang Renying1
1 School of transportation engineering，Changsha University of Science and Technology,
Changsha 410076，China
abing929@126.com
2 School of transportation engineering, Tongji University, Shanghai 201804, China
mapleaf2008@163.com
Abstract
Urban road traffic is the foundation of the existence
and development of urban society, therefore the
calculation of the capacity of road network is an
urgent problem. Based on the bi-level programming
model of the road network capacity, the concept of the
1evel of network service is introduced. Considering the
impact of network service level on the whole network,
this paper has constructed a network capacity
calculation model based on level of service of
network, and solved it using a kind of hybrid
optimization algorithm combined genetic algorithm
and simulate annealing(GASA). Ultimately, a simple
network has been provided to prove the model as well
as the algorithm.
1 Introduction
The capacity of road network is the maximum
traffic flow which network can handle in unit time, and
also an overall appraise for urban road traffic supple
level from the macroscopic perspective (Huang
zhongxiang, 2000). Being a fundamental research, the
mathematical model and algorithm in study of the
capacity of road network possess important application
value in programming and management of
communication system of city. Scientific and rational
mathematical model and algorithm of road network
capacity can figure out the charging capacity in
network accurately and in time, and then provide
decision support to transportation planning.
Furthermore, the accurate calculation of network
capacity can be provided as a reference to traffic
capacity of network as well by assisting engineer to
found weakness and bottleneck in city network system.
As early as in the early 1950’s of the 20th, some
American scholars have begun to discuss some
978-0-7695-3357-5/08 $25.00 © 2008 IEEE
DOI 10.1109/ICICTA.2008.444
problems of network capacity, which according to the
law of from simplicity to complicacy. traffic
distribution and traffic assignment model are
combined, and take both travelers’ route choice and
destination into account; at the same time, they
considered traffic capacity of each road to be constraint
condition for road network capacity, and proposed bi-
level programming model method, which not only
consider about the road traffic capacity but also
traveler equilibrium (Yang Hai etc, 2000).
Network ultimate and practical capacity model
(Panatda KASIKITWIWAT etc) hold that the network
capacity is constrained under the link capacity. As a
matter of fact, different limit degree of link capacity
corresponds to different travel behavior. The combined
traffic distribution assignment model under close
restraint road flow is unpractical to the phenomena of
general traffic congest in cities, for calculation of trip
volumes doesn’t consider the queuing phenomena on
any link. If we do not give any confine to the route
flow, the issue will turn to a queuing equilibrium
problem. It means queuing will occur on all the links,
which is also unpractical. This paper reflects the
network traffic running status using network service
level, and does some researches on network capacity
under the given threshold of network service level.
2 Notation
N －the set of nodes in the network
A －the set of links in the network
x a －the flow on link a
t a ( x a ) －the travel time on link a
λ —trip distribution impedance parameter
d ij —the total demand between O-D pair ij
M j －the attraction intensity of destination j
626
oi — the total trip production at origin i
d j —the total trip attraction at destination j
f ijr —the flow on route r between O-D pair ij
δ ijar — a is on route r from
has a value of 1 if link
origin i ∈ I to destination j ∈ J ; 0 otherwise
Rij —the set of routes between origin i ∈ I and
j∈J
I —the set of all origin nodes
J —the set of all destination nodes
δ —the saturation degree of network
l a —the length of link a
C a —the capacity on link a
μ —the threshold of network service level
oimax —the maximum trip production at origin i
d max
j —the maximum trip attraction at destination j
3 Combined traffic distribution assignment
model
The combined traffic distribution-assignment model
take both traveler’s route and destination choice, and
do the O-D distribution and traffic assignment at the
same time. Its advantage is that it can abbreviate steps
for traffic demand forecast, decrease prediction errors,
and improve the precision of forecast. In order to seize
the dynamic alterability of travel zone, attraction
intensity of destination node has been added into the
combined model. It reflects the attraction degree of the
destination node. This model is sufficient to
requirement of road network capacity calculation, and
in the environment of mutual competitive, it excavate
developing potential of each zone completely.
Travelers can select travel destination and travel route
at the same time according to the travel cost minimum
principle. The combined traffic distribution-assignment
model has been concluded as mathematical
programming as follows (Sheffi Y.1985):
1
min z ( x, d ) = ∑ ∫ t a (ω )dω + ∑ (d
xa
xa = ∑∑∑ fijrδijar , ∀a ∈ A, (4)
i∈I i∈J r∈Rij
f ijr ≥ 0, ∀i ∈ I , j ∈ J , r ∈ Rij (5)
d ij ≥ 0, ∀i ∈ I , j ∈ J , (6)
(1) is an objective function of the combined traffic
distribution-assignment model for destination demand
function. (2) and (3) represent traffic flow conservation
constraint. (4) shows the relation between route flow
and link flow; (5) and (6) are the non-negativity
conditions for path flows and O-D flows respectively.
In (1), the trip distribution impedance parameter λ
reflects network user’s sensitivity degree to travel time
between O-D pair.
4 Network capacity model
Network service level is the average quality
measurement which traffic participators feel in urban
road network. It is not running status of some
particular link or intersection, but an index appraising
network running conditions and performance from the
macroscopic perspective. This paper adopts network
average saturation as evaluating indicator of network
service level, and defines it as follows:
δ = ∑ xa la ∑c l a a (7)
a∈A a∈A
The capacity of road network based on network
service level is that under the given network service
level, the maximum traffic demand the road network
can deal with in unit time for satisfying user
equilibrium condition. The lower model is combined
traffic distribution-assignment model, and the objective
of upper model is the maximum traffic production that
network can handle, which is under the constraint of
network service level, the maximum trip production
and the maximum trip attraction. The road network
capacity model based on network service level is
expressed as follows:
Upper:
max ∑ oi (8)
i∈I
s.t. :
δ = ∑ x a (o )l a ∑C l
ln d ij − d ij ) − ∑ M j d ij

a
0 λ ij
ij
ij
a a ≤μ (9)
a∈ A a∈ A
(1)
oi = ∑ d ij (o ) ≤ o max
, ∀i ∈ I ,
s.t. ∑d
j∈J
ij = oi , ∀i ∈ I (2)
j∈J
i (10)

d j = ∑ d ij (o ) ≤ d max , ∀j ∈ J ,
∑f
r∈Rij
r
ij = d ij , ∀i ∈ I , j ∈ J , (3)
i∈I
j (11)

oi ≥ 0, ∀i ∈ I , (12)
Lower:

627
 min z ( x, d ) = ∑ ∫ t a (ω )dω
xa
0
a probability
1
+
λ
∑ (d
ij
ij ln d ij − d ij ) − ∑ M j d ij (13)
ij
s.t. :
∑d
ij = oi , ∀i ∈ I
j∈J
∑f
r ∈Rij
r
ij = d ij , ∀i ∈ I , j ∈ J ,
xa = ∑∑∑ fijrδijar , ∀a ∈ A,
i∈I i∈J r∈Rij
fijr ≥ 0, ∀i ∈ I , j ∈ J , r ∈ Rij
d ij ≥ 0, ∀i ∈ I , j ∈ J ,
In upper, (8) is road network capacity under the
given network service level; (9) is constraint of road
network service level; (10) is the maximum trip
production constraint on origin, and (11) is the
maximum trip attraction constraint on destination; (12)
is nonnegative constraints of trip production. Lower is
the combined traffic distribution-assignment model.
5 Algorithm
The solution methods of bi-level programming
model in traffic are always very complicated. On one
hand, the bi-level programming problem is a NP-hard
problem whether it’s simple or not, and have no
polynomial solution algorithm; on the other hand, a
substantial cause is that the lower problem in bi-level
planning model are always convex planning, which
means there exists local optimal solution, and it is hard
to find global optimal solution(Yang Hai,1995). A kind
of hybrid optimization algorithm combined genetic
algorithm and simulate annealing has been used in this
paper to solve road network capacity problem, GASA
combined genetic algorithm and simulated annealing
algorithm, learn from other’s strong points to offset its
weakness. It has higher efficiency and credibility in
solving bi-level programming problems. The basic idea
for solving bi-level programming model by GASA is:
encoding the decision variable in upper problem, then
reproduction, crossover, mutation and simulated
annealing, by solve fitness of each chain in lower
problem, we can finally get optimum solution. The
concrete solution algorithm steps are as follows(Liu
Wei-ming etc.2003):
5.1 GASA for solving bi-level program
Step1: Initialization:
1.1 Define the crossover probability pc , mutation
pm , individual amount P in each
generation and the maximum evolution generation
number N in genetic algorithm.
1.2 Define internal recycle times of simulated
annealing algorithm M , initial value of disturbance
(14)
step size κ , constant η and initial temperature
T = T0 .
(15)
value T0 , set
1.3 According to objective function in upper-level
problem, the rational fitness function form has been
(16) ascertained. Encoding the decision variable in upper-
level problem oi , produce initial population
(17)
randomly o(1) = (...., oi (1),....) , i=1,2,…,P, set the
(18) evolution generation number n = 1 .
Step2: Producing middle population X (n ) by
applying simulated annealing algorithm under
temperature level T , then calculating the fitness of
each individual xi (n ) .
2.1 Set circulation turning count m = 1 ， and
individual suffix i = 1 .
2.2 Utilizing disturbing function to produce new
individual xi (n ) ，and put it into lower -level problem
for calculating, and then we can get lower optimum
solution and put it into upper model, at last calculating
the fitness of the new individual.
2.3 Accept the new individual xi (n ) by
Metropolis probability formulae.
2.4 If i = P , turn to 2.5; otherwise, set i = i + 1
，turn to 2.2.
2.5 If m ≤ M , set m = m + 1 ， the new
individual subscript is i = 1 ，turn to 2.2;otherwise,
we can get middle population X (n ) , turn to Step3.
Step3: Random select constructive crossover
probability value for interlace operation（ p c ）.
Step4: Random select constructive mutation
probability value for mutation operation（ p m ）, then
get new population O (n + 1) , and calculate fitness of
each individual.
Step5: If n = N ，the sample make use of the
highest grade of fit to be a near-optimization solution
for this problem; otherwise, n = n +1 ,
κ = κ η 0.11M turn to step2.
In order to solve the road network service level
limit in the upper-level problem, the fitness function
628
should incorporate the constraint violations by means
of penalty method. Grade of fit function with penalty qijk +1 exp[−λ (cijk − M j )]
factor ρ has been formulated as follows: − ≤ ε (∀r , s ) ,
F ( x ) = f ( x ) − ρ [max(0, δ − μ )]
Oi ∑ exp[−λ (c
m
n
ij − M m )]

if convergence is not achieved, set k = k + 1 , and turn

5.2 Algorithm for solving the lower level to Step1.Otherwise，terminate: the solution is
problem of the network capacity model
{ x } , {q } .
k +1
a
k +1
ij
The solution algorithm is based on the partial
linearization method, which is a descent algorithm for 6 Numerical example
continuous optimization problems (Patriksson, 1994).
The procedure of solving the combined traffic In this section, we use an example network as
distribution-assignment model is as follows: showed in figure 1, and it is consisted by 4 O-D pairs,
Step0: Initialization. Set k = 1 , searching for initial that is O-D pair1-5, 1-6, 2-5, 2-6, six nodes and seven
feasible flow and initial O-D flow {x }{
, q }. k
a
k
ij
links. The link travel time function used is the standard
Bureau of Public Road (BPR) function:
Step1: Calculating the link cost t = t (x ), ∀a .
k k
a a a t a (v a ) = t a0 [1 + 0.15(v a c a ) 4 ] (19)
Step2: Searching for direction
2.1 Based on {t }，calculate the shortest travel-
k
a
Where t a0 , va , ca is free flow travel time, link
traffic flow and link capacity of link a respectively.
time path from each origin i to all destinations. cijk is The free flow travel time, link capacity and link length
the shortest travel time from origin i to destination j . of each link are showed in table 1.
2.2 Determine the auxiliary O-D flow by applying
a logit distribution model, that is,
−θcijk
oi e
d ijk = , ∀i ∈ I , j ∈ J .
∑e θ − cim
k

m
Figure 1 Test Network
2.3 Assign d ijk to the route with the shortest
Table 1 link free flow travel time, link capacity, link length
j
travel time path from origin i to destination , and
then yield a link-flow pattern {y a }.
link free flow
k capacity/(pcu·h-1) length/km
No. travel time/min
Step3: Determine the step size. Find a k that 1 2 80 1
minimizes the function.
(
xak + ak y ak − vak ) 2 3 60 2
min ∑ ∫ t a ( x )dx
0 ≤ a k ≤1
a∈ A
0 3 8 100 4

∑∑ [q ( )]
1 4 4 130 2
+ k
+ a k d ijk − q ijk
θ
ij
i∈I j∈J 5 7 90 3
[
× ln (q ) + a k (d − q ) − 1 − λM j
k
ij
k
ij
k
ij ] 6 2 60 2
Step4: Update the link flows and O-D, set:
x ak +1 = x ak + a k ( y ak − x ak ), ∀a ∈ A,
7 1 60 1
; Set the maximum trip production o max
of i is 500,
(
qijk +1 = qijk + a k d ijk − qijk , ∀i ∈ I , j ∈ J , ) and the maximum trip attraction d max
i

of j is 500,
j
Step5: Test the convergence,
impedance parameter λ is 1, M 5 = M 6 = 0 , calculate
the capacity of road network under different threshold
of network service level, and show it in table 2.

629
 Table 2 the capacity of road network model and algorithm are demonstrated by a simple
example. The computational process has proclaimed
project network
μ O-D pairs O-D flow
capacity
that the modeling algorithm can obtain road network
capacity estimated value under different network
1-5 42.92 service level by minor cost.

1-6 17.10 Acknowledgment

0.4 116.23
2-5 19.48
This research is sponsored by the National Natural
2-6 36.73 Science Foundation of China under grant number
1-5 65.87 50578019.
1-6 24.81
0.6 172.94 References
2-5 29.49
[1]Huang zhongxiang. “Research on the theory and method
2-6 52.77 of disequilibrium urban traffic planning”. Hunan Science &
Technology Press, 2000.
1-5 91.86
1-6 35.19 [2]Yang Hai, Michael G.H.Bell, Qiang Meng. “Modeling the
0.9 248.29 capacity and level of urban transportation networks”..
2-5 43.28 Transportation Research 34B, 2000.
2-6 77.96 [3]P. Kasikitwiwat, A. Chen, “Analysis of Transportation
1-5 101.23 network capacity related to different system capacity
concepts”. Journal of the Eastem Asia Society for
1-6 39.65 Transportation Studies, Vol.6, pp.1439-1454, 2005.
1.0 271.63
2-5 46.17 [4]Sheffi Y. “Urban transportation networks: equilibrium
2-6 84.58 analysis with mathematical programming methods.” Prentice
Hall,INC, Englewood Cliffs, New Jersey,1985.

7. Conclusion [5]Yang Hai. “Heuristic algorithm for the bilevel origin-

The research on urban road network capacity has
been a focus in research of urban traffic problems for a
long time. In this paper, based on road network
capacity bi-level planning model, and consider about
the impact of the level of network service on road
network capacity, a road network capacity model based
on network service level have been established. The
destination matrix estimation problem”. Transportation
Research 29 B, 231-242, 1995.
[6]Liu Weiming, Jiang Shan. “GASA hybrid optimization
strate-gy for bilevel programming models”. China Civil
Engineering Journal, 2003, 36(7): 27-32.
[7]Patriksson, M. “The traffic assignment problem: models
and methods”. VSP, Utrecht, the Netherlands, 1994.

630
 2008 International Conference on Intelligent Computation Technology and Automation
Modeling of A Type of Networked Cascade Control System
Congzhi Huang, Yan Bai, Xinli Li
Department of Automation , North China Electric Power University, Beijing, P.R.China
hcz190@ncepu.edu.cn
Abstract
The concept of networked cascade control system, a
cascade control system wherein the control loops are
closed through a real-time network, is introduced, and
the locations of the network in a type of networked
cascade control system based on fieldbus are pointed
out. Using the augmented state vector method, the
closed-loop model of the overall system with single-
packet transmission and multiple-packet transmission
is derived and presented, taking into account data
packet dropout. Future research directions on
networked cascade control systems are also discussed.
1. Introduction
Feedback control systems wherein the control loops
are closed through a real-time network are called
networked control systems[1] (NCSs). An NCS has
many outstanding advantages over traditional point-to-
point control system, such as significantly reduced
system wiring, more cheap price, increased system
agility, easiness of configuration and monitoring, and
so on. Due to these benefits brought by NCS, it has
found wide applications in industrial process control,
vehicles, aircraft, and spacecraft, etc.
Because of the widespread application of NCS and
its own prominent advantages, numerous research
papers have studied it from different prospectives.
Halevi and Ray [2] analyzed integrated communication
and control system (ICCS) by means of discrete-time
approach. They considered a continuous-time plant and
a discrete-time controller, both of which were linear
time-invariant models. Using the augmented state
vector, the whole system with time-varying delays of
sensor and control signals was represented as a finite-
dimensional, time-varying, discrete-time model. In
Halevi et al. [3], some ICCS design considerations
were dealt with and the simulation results for certain
operational conditions of ICCS were presented. Wei
Zhang, etc [1] considered a continuous-time linear
time-invariant plant and a continuous-time state
978-0-7695-3357-5/08 $25.00 © 2008 IEEE
DOI 10.1109/ICICTA.2008.415
feedback controller, he also proposed some
fundamental issues of NCS, such as network-induced
delay, single-packet and multiple-packet transmission,
data packet dropout, and so on. In addition, the
corresponding models were given, and the stability of
the systems under different cases was analysed
individually. For the network-induced time delay in an
NCS，various control methodologies to deal with the
network delay were reviewed in [4].The stability of
NCS with respect to different issues was also analyzed
in many research papers, see [5]~ [12].
However, nearly all these papers focused on
single-loop control systems or multi-input-multi-output
control systems, few papers ([13]~[15]) have studied
multi-loop control systems, especially cascade control
system. In fact, multi-loop control systems, especially
cascade control systems have been widely used in
practical industrial process control due to their
excellent control performances. Cascade control
system wherein the control loops are closed through a
real-time network is called a networked cascade
control system[16] (NCCS for short). The NCCS,
making full use of the advantages of both cascade
control system and NCS, not only can quickly
overcome the influence of secondary disturbance and
improve control performance substantially, but also
can share more field information at lower price. With
these predominant advantages, NCCS has found wide
applications in industrial process control, such as the
control of the main steam temperature in a modern
power plant, and so on.
However, just as analyzed in [1], due to the
network intersected into the control loops of an NCCS,
some issues such as the network-induced delays,
single-packet transmission and multiple-packet
transmission, and data packet dropout may arise in an
NCCS. All of them have to be considered in the
analysis and modeling of an NCCS, making it more
complicated and difficult. Due to the extensive
application and spectacular success of NCCS in
practical industrial process control, it’s necessary and
emergent to further study NCCS.
631
 This paper is organized into four sections including
the introduction. Section 2 presents the configuration
of a typical NCCS based on fieldbus and the location
of the network is pointed out. In section 3, using the
augmented state vector method, the NCCS based on
fieldbus with single-packet transmission and multiple-
packet transmission is analyzed and modeled, in which
data packet dropout is also taken into account.
Conclusions and future research directions are stated in
section 4..
2. System Description
In an NCCS based on fieldbus, the control functions
are implemented by the configuration of function
blocks distributed in the field devices. In a typical
NCCS as shown in Fig. 1, three devices connected to a
common bus are the primary transmitter, the secondary
transmitter, and the actuator. The function blocks AI1,
AI2, and AO are usually placed in the primary
transmitter, the secondary transmitter, and the actuator,
respectively. As for PID1 and PID2, which are used to
implement control functions, can be placed in any one
of the three field devices. It’s easy to follow that there
are nine possible configurations, and only one type of
them commonly used in industrial practice, as shown
in Fig. 1 is considered in this study.
Figure 1. A typical configuration for an NCCS
For the computation delays of the PID function
blocks are comparatively so small that they can be
ignored. As a result, in the k th sampling period, the
delay τ is denoted by the delay introduced by the
a
k
network packets transmitted from PID1 to PID2, and
the delay τ k is denoted by the delay introduced by the
b
network packets transmitted from AI2 to PID2.
τ ka
PID1 PID2
+ +
− − τ kb
Figure 2. Block diagram of NCCS based on fieldbus
In Fig. 2, the network is found between PID1 and
PID2, and between AI2 and PID2. In a typical NCCS
based on a common fieldhus, the network-induced
delay τ k , and τ k can be viewed as equal, i.e.,
a b
τk = τk = τk
a b
.Therefore, Fig.2
transformed into Fig.3 because of the linearity of PID2.
As a result, the network can be viewed to be only
intersected between PID2 and AO.
τk
e1 (t ) u1 (t ) e2 (t ) u2 (t ) u 2 (t )
Plant2
y p 2 (t ) y p1 (t )
PID1 PID2 Plant1
+
−
+
−
Figure 3. Equivalent block diagram of Fig. 2
For the convenience of analysis, we make the
following rational assumptions: (a). Sensors are time-
driven，controllers and the actuator are event-driven.
(b). The network-induced delay τ k is less than a
sampling period, denoted by h . In practice, this is
always true. If there is a delay longer than a sampling
period, the data packet is often deemed to lost, for the
controllers always use the latest information available.
(c). The devices connected to the bus are synchronized.
This often can be implemented by hard or soft time
synchronization technology in practice.
The aim of this paper is to model a type of NCCS
based on fieldbus as shown in Fig.3 under four
different cases, taking into account single-packet
transmission and multiple-packet transmission,
meanwhile data packet dropout is also considered.
3. Modeling of an NCCS
For the simplicity of the algorithm, the robustness
againt model error and easiness to manipulate, the PID
control has found wide applications in practical
industrial process control and therefore the PID
algorithm is used in the NCCS shown in Fig.3.
Meanwhile, because of its advantage of convenient
A/M switching and reduced effect to the system with
controller failures, the type of ideal incremental digital
PID is adopted in the controllers.
3.1. Modeling of an NCCS with single-packet
transmission and without data packet dropout
With requiring the set point to be zero, we have
e1 (k) = − yp1 (k) (1)
The transfer function of PID1 is described by
Gc1 ( s ) = K p1 (1 + 1/ Ti1 s + Td 1 s )
Plant2 Plant1
(2)
= K p1 + K i1 / s + K d 1 s
Using the incremental PID form, we obtain the
discrete-time dynamics of the primary controller PID1,
u1 ( k ) = u1 ( k − 1) + ( K p1 + K i 1h + K d 1 / h)e1 ( k )
(3)
− ( K p1 + 2 K d 1 / h)e1 ( k − 1) + K d 1 / he1 ( k − 2)
is equivalently Let a1=K p1 +K i 1h + K d 1 /h ,
b1 = −( K p1 + 2 K d 1 / h) , c1 = K d 1 / h (4)
632
(3) can be rewritten as Integrating (13) over one sampling period, we obtain
u1 ( k ) = u1 ( k − 1) − a1C p1 x p1 ( k ) the discrete-time form of Plant1
(5) ⎧ xp1 (k + 1) = Φ p1 xp1 (k) + Γ p1 yp2 (k)
− b1 y p1 ( k − 1) − c1 y p1 ( k − 2) ⎨ (14)
The input of PID2 is the error ⎩ yp1 (k) = Cp1 xp1 (k)
e2 ( k ) = u1 ( k ) − y p 2 ( k )
∫
h
(6) Where Φ p1 = exp(A p1h) , Γ p1 = exp(A p1s)dsBp1 .
0
The transfer function of PID2 is presented by
Defining the augmented state vector as
Gc 2 ( s ) = K p 2 (1 + 1 / Ti 2 s + Td 2 s )
(7) Ζ(k) = [ xp1T (k), xp2 T (k), u1T (k − 1), u1T (k − 2),
= K p 2 + Ki 2 / s + Kd 2 s
u2 T (k − 1), yp1T (k − 1), yp1T (k − 2), yp2 T (k − 1), ,
Similarly, we obtain
u2 ( k ) = u2 ( k − 1) + ( K p 2 + K i 2 h + K d 2 / h)e2 ( k ) yp2 T (k − 2)]T
(8)
− ( K p 2 + 2 K d 2 / h)e2 ( k − 1) + K d 2 / he2 ( k − 2) and we obtain the augmented closed-loop system
Ζ(k + 1) = Ψ k Ζ(k) (15)
Here a 2 = K p 2 + K i 2 h + K d 2 / h ,
⎡ Φp1 Γp1Cp2 0 0 0 0 0 0 0 ⎤
b 2 = −( K p 2 + 2 K d 2 / h) , c 2 = K d 2 / h . (9) ⎢−Γ a2a1C
0
Φp2 Γp2 (a2+b2) Γp2c2 Γp2 −Γp2a2b1 −Γp2a2c1 −Γp2b2 −Γp2c2⎥
0 0 1 0 0 0 0

By substituting (9) into (8), it’s easy to follow that ⎢ p2 p1

⎥
⎢ −a1C 0 1 0 0 b1 -c1 0 0 ⎥
u2 ( k ) = u2 ( k − 1) + a 2u1 ( k − 1) − a 2a1C p1 x p1 ( k )
p1

⎢ 0 ⎥
⎢ 0 1 0 0 0 0 0 0
⎥
− a 2b1 y p1 ( k − 1) − a 2c1 y p1 ( k − 2) − a 2C p 2 x p 2 ( k ) Ψk =⎢ −a2a1C 0 a2+b2 c2 1 −a2b1 −a2c1 −b2 −c2 ⎥
⎢ ⎥
p1

+ b 2u1 ( k − 1) − b 2 y p 2 ( k − 1) + c 2u1 ( k − 2) − c 2 y p 2 ( k − 2) ⎢ C p1
0 0 0 0 0 0 0 0
⎥
(10) ⎢ 0 0 0 0 0 1 0 0 0 ⎥
⎢ ⎥
The input to Plant2 is u2 (t) , which is the delayed ⎢ 0 Cp2 0 0 0 0 0 0 0 ⎥

version of the control signal u2 (t) . Since the delay τ k ⎢⎣ 0 0 0 0 0 0 0 1 0 ⎥⎦

is less than a sampling period, i.e., 0 < τ k < h , during
3.2. Modeling of an NCCS with multiple-
the kth sampling period, at most two control signals,
packet transmission and without data packet
including u2 (k) , and u2 (k − 1) , arrive at the AO dropout
placed in the actuator ,which is connected with Plant2
directly.
u12 (k )
The continuous-time dynamics of Plant2 is given by u22 (k ) u2 ( k )
⎧ xp2 (t) = A p2 xp2 (t) + Bp2u2 (t) #
⎨ (11) u2m (k )
⎩ yp2 (t) = C p2 xp2 (t) Figure 4. NCCS with multiple-packet transmission
Considering the network-induced delay τ k , and The Fig.4 illustrates an NCCS setup with multiple-
integrating (11) over a sampling period, we obtain the packet transmission and without data packet dropout.
Let u 2 (k) = [u 2 (k), u 2 (k), " , u 2 (k)] and
discrete-time dynamics of Plant2 1 2 m T

⎧⎪ xp2 (k + 1) = Φ p2 xp2 (k) + Γ u2 (k) + Γ u2 (k − 1)

0 1

⎨
p2 p2
(12) u 2 (k) = [u 12 (k), u 22 (k), " , u 2m (k)]T . The network
⎪⎩ yp2 (k) = C p2 xp2 (k) can be modeled as a switch closing at a certain rate.
h-τ k
When the switch is at S m , u 2 (k) = u 2 (k-1) ,
1 1
Φ p2 = exp(A p2 h) , Γ 0p2 = ∫ exp(A p2 s)dsBp2 ,
0
u 22 (k) = u 22 (k-1) , " ， u 2m (k) = u 2m (k) .
Γ =∫
h
1
p2
exp(A p2 s)dsBp2 .
h-τ k

Similarly, the continuous-time dynamics of Plant1 are

⎧ xp1 (t) = A p1 xp1 (t) + Bp1 yp2 (t)
⎨ (13)
⎩ yp1 (t) = C p1 xp1 (t)

633
 ⎡ Φp1 Γp1Cp2 0
⎢-Γ0 a2a1C Φ −Γ0 a2C Γ0 (a2+b2)
0 0 0 0 0 0 0⎤
⎧ x p2 (k + 1) = Φ p2 x p2 (k) + Γ p2 u 2 (k − 1)
Γ0p2c2 (Γ0p2 +Γ1p2) 0 -Γ0p2a2c1 -Γ0p2a2c1 -Γ0p2b2 -Γ0p2c2⎥ ⎨ (16)
⎢ p2 p1 p2 p2 p2 p2
⎥
⎢ −a1Cp1 0 1 0 0 0 −b1 −c1 0 0⎥ ⎩ y p2 (k) = Cp2 x p2 (k)
⎢ ⎥
∫
⎢ 0 0 1 0 0 0 0 0 0⎥ 0 h

⎢ -a2a1Cp1 Where Φ p2 =exp(A p2 h) , Γ p2 = exp(A p2s)dsgBp2 .

-a2Cp1 a2+b2 c2 1 0 −a2b1 −a2c1 −b2 −c2 ⎥ 0
k ⎢ ⎥
Ψ=
⎢ 1 M M 2
M3 M4 M5 M6 M7 M8 M9 M10 ⎥ Defining Z ( k ) as 3.2, we obtain (15), where the state
⎢ C 0 0 0 0 0 0 0 0 0⎥
⎢ p1 ⎥ transition matrix Ψ k is computed by
⎢ 0 0 0 0 0 0 1 0 0 0⎥
⎢ 0 ⎡ Φp1 Γp1Cp2 0⎤
0 0⎥
0 0 0 0 0 0 0
Cp2 0 0 0 0 0 0 ⎢ 0
⎢ ⎥
⎢ Φ 0 0 0 Γp2 0 0 0 ⎥⎥
0
⎣⎢ 0 1 0 ⎦⎥ p2
0 0 0 0 0 0 0
⎢ −a1Cp1 0 1 0 0 0 −b1 −c1 0⎥ 0
When the switch at S1 , we can obtain (15), where ⎢ ⎥
⎢ 0 0 1 0 0 0 0 0 0 0⎥
Ζ(k ) = [ x T T T
( k ), x p 2 ( k ), u ( k -1), u ( k - 2), T ⎢-a2a1Cp1 0 a2 + b2 c2 1 0 −a2b1 −a2c1 −b2 −c2⎥
p1 1 1 Ψk =⎢ ⎥
⎢ 0 0 0 0 0 1 0 0 0 0⎥
u2T (k -1), u2T ( k -1), y p1T ( k -1), y p1T (k - 2), , ⎢ C 0 0 0 0 0 0 0 0 0⎥
⎢ p1 ⎥
⎢ 0 0 0 0 0 0 1 0 0 0⎥
y p 2T ( k -1), y p 2T ( k - 2)]T ⎢ 0 Cp2 0 0 0 0 0 0 0 0⎥
⎢ ⎥
Where the first row block of the block ⎣⎢ 0 0 0 0 0 0 0 0 1 0 ⎥⎦
matrix [ M M 1 2
M3 M4 M5 M6 M7 M8 M9 M 10 ] is 3.4. Modeling of an NCCS with multiple-
[ −a 2a1C p1 − a 2C p 2 ( a 2 + b 2) c 2 1 0 - a 2b1 - a 2c1 - b 2 - c 2]
1 1
packet transmission and with data packet
, the right below side of M 6 is a unit matrix, in which
dropout
1 1
all the other elements are zero. C p1 , and C p 2 are the Consider an NCCS with multiple-packet
transmission and data packet dropout as depicted in
first row of C p1 , and C p2 , respectively. Fig. 4, the network can be viewed as a switch closing
at a certain rate. When the switch is at S1 , the packet
3.3. Modeling of an NCCS with single-packet 1
containing u2 ( k ) is transmitted over the network but
transmission and with data packet dropout
it’s lost, while all the other components keep the
S1 previous values, and therefore we have
u2 ( k ) = u2 ( k − 1) . In this case, we obtain (15) where
u2 ( k ) S2 u2 ( k )
⎡ Φ p1
Γ p1 C p2 0 0 0 0 0 0 0 0 ⎤
⎢ 0 Φ p2 0 0 0 Γ p2 0 0 0 0 ⎥
Figure 5. NCCS with single-packet transmission ⎢ ⎥
and data packet dropout ⎢ − a1C p1
0 1 0 0 0 − b1 − c1 0 0 ⎥

Consider the case of an NCCS with single-packet ⎢ 0 ⎥

⎢ ⎥
0 1 0 0 0 0 0 0 0
transmission and data packet dropout as in Fig. 5, and
⎢ − a2a1C 0 a2 + b2 c2 1 0 − a2b1 − a2c1 − b2 − c2 ⎥
assume that the network is only intersected between Ψk = ⎢
p1

⎥
PID2 and Plant2. The network can be modeled as a ⎢ 0 0 0 0 0 1 0 0 0 0
⎥
switch that closes at a certain rate. When the switch is ⎢ C 0 0 0 0 0 0 0 0 0 ⎥
⎢ ⎥
p1

at S1 , the network packet containing u2 ( k ) is delayed

⎢ 0 0 0 0 0 0 1 0 0 0
⎥
⎧u2 (k − 1) kh ≤ t < kh + τ k ⎢ 0 C p2 0 0 0 0 0 0 0 0 ⎥
by τ k , u2 (t) = ⎨ . ⎢ ⎥
kh + τ k ≤ t < ( k + 1) h ⎣ 0 0 ⎦
⎩u 2 ( k ) 0 0 0 0 0 0 0 1

However, when the switch is at S 2 , the output of the From the augmented closed-loop systems derived
switch is held at the previous value and the packet is under the above four different cases, it’s easy to follow
lost, u2 (t ) = u2 (k − 1) kh ≤ t < ( k + 1) h . that the kind of NCCS based on fieldbus as shown in
The discrete-time representation of Plant2 is Fig.3 may be time-variant since Ψ will depend on the k

characteristic of the network-induced delay. However,

if the delay is constant, the system will be discrete-time

634
linear time-invariant, and therefore the bound of the
delay can be determined based on the stability criterion
that all the eigenvalues of Ψ k are all in the unit circle.
4 Conclusions
The discrete-time model for an NCCS is derived,
which provides a foundation for further analyses and
design of NCCS. However, there are still many open
important issues. It‘s of great interest to find the
maximum allowable delay so as to make NCCS critical
stable, Also of great importance to the system
designers is how to design controllers to deal with the
delays induced by the intersected networks.
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 2008 International Conference on Intelligent Computation Technology and Automation
Modeling of Driver Controlling at Car-following
Based on Preview Follower Theory
Dan YU and Yi-hu WU
School of Traffic Transportation Engineering, Changsha University of Science and Technology,
Changsha, China; 410076;
E-mail: yu_dan1130@163.com;
Abstract
The driver controlling model of car-following
based on Preview Follower Theory is advanced by
analyzing the relation of direction controlling and
velocity controlling on the following car and
regarding the whole car-following course as
preview-follow to the velocity of the leading car for n
times. The model could describe the car-following
behaviors more truly due to the safety decision index
is the time headway, not the headway distance. And
how to establish the comprehensive evaluation object
function is analyzed mainly. The model could imitate
the controlling course of car-following in different
operation conditions, show the differences among
different drivers, so it could adapt for the change of
traffic environment by setting the felicitous
parameters for each driver. It is with portability.
1. Introduction
The presence of car-following behavior is very
common in daily life. The research of it could help us
catch on the characters of traffic flow and the reasons
for rear-end accidents. A lot of models are established
by researchers from the 1940’s. These models don’t
consider the different characters of different drivers,
who are active and decisive in the road system, and
the assumptions of the models are too easy to reflect
the fact, although they have come true some expected
objects [1]. Preview following theory is advanced
by Guo Kong-hui in 1982 [2], which have been
applied to driver direction control. And the theory
describes a system which could preview the future
behaviors according to the controlling information
inputted. Based on it, Optimal Curvature Model is
advanced by Guo Kong-hui, which is composed in
series by a preview receptor and a following receptor.
Suppose the drivers determine the running trace
according to the kinematic characteristic of vehicles
and correct the car-following behavior according to
the kinetic characteristic of it. So we could think the
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DOI 10.1109/ICICTA.2008.118
impact from drivers and vehicles are all taken into
consideration in this model. The driver controlling
mode of car-following based on Preview Follower
Theory is advanced by analyzing the relation of
direction controlling and velocity controlling on the
following car and regarding the whole car-following
course as preview-follow to the velocity of the leading
car for n times. The model could imitate the
car-following controlling course in different operation
conditions, show the differences among different
drivers and adapt for the change of traffic
environment by setting the felicitous parameters for
each driver, so it is with portability.
2. Foudation of model’s establishing
The drivers judge whether the running vehicle is
safety or not is according to whether there is enough
headway distance or not, commonly. The actual value
of headway distance is determined by the controlling
to acceleroqraph and brake pedal from drivers. When
the driver put an action to the acceleroqraph or the
brake pedal, the vehicle could get a relative
acceleration/deceleration, and then the velocity would
be changed subsequently. At the moment, the driver
has adjusted the velocity of the vehicle. So the change
of following velocity is not only the results of the
controlling to acceleroqraph or the brake pedal from
drivers, but also the reasons for the change of
headway distance. It is a bridge for drivers’ behavior
and the final running states of vehicles. That is to say,
the preview on the vehicles’ trace is equal to the
regulation of the vehicles’ velocity in fact. So the
Optimal Curvature Model advanced by Guo Konghui
could be applied to driver car-following model. Some
researches have been studied by Gao Zhenghai and
Guan Xin [3]. They have discussed how to control the
velocity at a certain spot. The author thinks the whole
car-following course could be regarded as discrete
preview behaviors for n times, if we divide the
continuous car-following course into n segments, and
set the velocity of the leading vehicle as the goal in
each segment. That means the whole car-following There are three parts in the driver controlling
course could be completed by discrete preview model of car-following which is based on Preview
behaviors for n times. So the Preview Follower Follower Theory. They are the forecasting of the
Theory could be applied to car-following control. feasible acceleration/deceleration, the
decision-making of ideal acceleration/deceleration
3. Establishment of Driver Controlling and the controlling and correcting course of vehicles.
Model of Car-following The process of the model is shown in Fig 1.

Fig1 The process of car-following controlling model

(1) The forecasting of the feasible and checking a lot of statistical datum. So the author
acceleration/deceleration would select the security time headway as
Supposed the state of the following car at t determinant index. The actual researching course
moment is as followings: the position is x(t ) , the would be shown in section 3.1. And the expression of
speed is x (t ) and the acceleration or deceleration headway time at the time of t +T p could be written as:
is x(t ) . So the state of the following car at t + T p
moment could be expressed as following: Ts (t +T p) = Dr (t +T p) / v(t +T p ) (3)

⎧ x(t + T p ) = x(t ) + Δx(t + T p ) Then the corresponding values of

⎪ (1) acceleration/deceleration should be inputted to the
⎨ 
x (t + T p ) = x (t ) + x(t + T p )T p
⎪ x (t + T ) = x (t ) + x(t )T + 0.5 x(t + T )T 2 corresponding sets, respectively, according to the
⎩ p p p p
result of expression Δx(t + T p ) = x(t + T p ) − x(t ) is
positive or negative, if the headway distance outputted
Where, x(t + T p ) is the acceleration/deceleration at
is in meet with the security time headway. All the
t + T p moment, which could be got by adding the acceleration and deceleration
increment value Δx(t +Tp) to the value x(t ) , whose
(2) The decision-making of ideal
range could be expressed acceleration/deceleration
as x(t ) − Δx(t + T p ) ≤ x(t + T p ) ≤ x(t ) + Δx(t + T p ) . How to pick up the ideal acceleration/deceleration
If the speed of the leading vehicle, the distance x* from the feasible values is the core of the paper,
headway at t moment could be known, and the state of which is also determined by the policy selected by the
leading vehicle at t + T p is similar to the next time, drivers. A compositive evaluation function is
then the state of vehicles at t + T p moment is: established to carry on the decision-making of ideal
acceleration/deceleration by the author, which would
be introduced in detail in section 3.2.
⎧⎪Dr (t + Tp ) = Dr (t ) + ( x (t ) − x r (t ))Tp − ( x (t )Tp + 0.5 x(t + Tp )Tp 2 ) (2)
⎨
⎪⎩ x r (t + Tp ) = x (t + Tp ) − ( x (t ) − xr (t )) (3) The controlling and correcting course of
vehicles
In which, Dr (t ) is the distance of the two vehicle s at Considering the drivers’ lagging, the dynamic
characteristic of vehicles’ speed and the acquaintance
t + T p moment and x r (t ) is the relative speed of them. degree of drivers to vehicle’s running characteristic;
Headway distance is chosen as determinant index the correcting phase C x (s ) in Optimal Curative
to judge the safety of drivers and vehicles by Guo
Model could be applied in the model advanced by the
Konghui, so he only need to calculate the values of
author [2]:
headway distance at each spot when he applies the
model to direction controlling. But the author thinks
1
that choose the security time headway as determinant Cx (s ) = [1 + (td + th + tb + Tdx − Tnx ) • s] (4)
index is better than headway distance by analyzing Gαx

637
In which, td is the lagging time of neural response, tb
is the brake lagging time which is caused by the leg’s
diversion from the accelerator pedal to the brake
paddle and Th is the muscle responsive lagging time,
Tnx, Tdx are all the time constants, and Gax is the gain
of acceleration/deceleration.
3.1The choose of the security index
The security time headway is chosen as
determinant index to judge the safety of drivers and
vehicles in this paper although headway distance is
used into direction control by Guo Konghui. This is
because headway distance would increase with the
increase of speed according to the research results of
driving behavior, but the time headway is fixed for the
eligible drivers in the driving course. So the fixed
value of headway distance could not reflect the
character of car-following behavior accurately, we
should choose the fixed security time headway as
determinant index. The relation of headway distance
and vehicle’s velocity obtained from a project named
“The Research on Driving Suitability and Detection
Method on The Professional Driver ” is shown is
Fig2. The shown samples could delegate to the whole.
Two conclusions could be got easily from the figure.
Firstly, the headway distance increases with the
increase of velocity. Secondly, the ratio of headway
distance and velocity, being called time headway, is
almost fixed for each kind of drivers. That is to say,
the value of time headway for each driver is stable. So
set the security time headway as index to judge the
safety is more reasonable than headway distance.
Fig2 The samples of headway distance & velocity
If the following is come into existence, the leading
and following vehicles would not be rear-ends:
x 2f x l2
D r > x f (t d + t h + t b ) + − +L
2 x f 2 xl
Supposed the leading and following velocity have
the same velocity before decelerating, and then we
could get the following:
Ts > (td + th + tb ) +
v
−
v L
+
(6)
2xf 2xl v
Obviously, the headway time Ts relations to the
whole lagging time t d + t h + t b , the velocity of the
leading and following vehicles before and after
decelerating and the length of vehicle L. Set the
velocity before decelerating is 15m/s, xl = x f and
L=6m. Then the Ts could be met in with the
following:
Ts > (0.305 + 0.467 + 0.259) +
6
= 1.431s (7)
15
Considering the actual value of headway time is
bigger than the theoretic ones for the self-safety, the
author sets the range of security headway time is [1.5s
， Ts (diver) + 1s ] based on the above researching
results. If the value of Ts is less than 1.5 seconds, the
car-following behavior is unsafe, the corresponding
acceleration/deceleration should be abnegated. If the
value of Ts is more than Ts (diver) +1 seconds, the
current driving course don’t belong to car-following
behavior, the corresponding acceleration/deceleration
should be abnegated, too. And if the value of Ts is
between 1.5 seconds and Ts (diver) +1 seconds, the
corresponding values of acceleration/deceleration
should be inputted to the corresponding sets,
respectively, according to the result of expression
Δx(t + T p ) = x(t + T p ) − x(t ) is positive or negative. And if
the feasible acceleration/deceleration sets at t +T p
moment is empty, then we could choose the sum of
the actual acceleration/deceleration at the t moment
and the max increment as the chosen value at the
t +T p moment. And Ts (diver) is the average of
headway time for each sample, which is different to
different drivers.
3.2The foundation of compositive evaluation
function
A compositive evaluation function J is established
to make optimal behavior decision. We could use it to
(5)
pick up the ideal acceleration/deceleration from all the
feasible acceleration/deceleration. The author thinks
all the drivers would try their best to copy the running
behavior of the leading vehicle for their self-safety. At
the same time, all the drivers could not change the
values of acceleration/deceleration very frequently
due to the physio-limitation. So the discrepancy of
638
velocity D1, the driving safety D2, the driving The above formula could reflect the discrepancy
portability D3 and the driving amenity D4 are selected between the feasible acceleration/deceleration and
as compositive indexes. drivers’ ideal value. The smaller the value of J is, the
The discrepancy of velocity D1 is the d-value of better the result is. So the ideal value could be got by
velocity at the t +Tp moment and the t moment in the the following:
feasible set, which could reflect the degree of
car-following conscious: x* (t + T p ) = min J ( x(t + T p )) (13)

D1 = ( x f (t ) + 1.5 x f (t + T p )) − x l (t ); (8) 4. Simulation

The driving safety D2 is the d-value of the actual
headway distance and the security distance in the
feasible set, which could reflect the degree of driving
safety conscious:
D2 =(1.5xf (t) +0.5xf (t +Tp)⋅1.52 −1.5xl (t))−Ts(driver
)⋅ (xf (t) +1.5xf (t +Tp)) (9)
=(1.5−Ts)xf (t) +(1.125+1.5Ts)xf (t +Tp) −1.5xl (t))
The driving portability D3 is the increment of the
following velocity during the T p moment, which
could reflect the limitation of variational frequency on
the follower:
D3 = x f (t + T p ) − x f (t );
The driving amenity D4 is the
acceleration/deceleration of the following vehicle,
which could reflect the limitation of variational range:
D4 = x f (t + T p );
In which, D2 and D1 are used to estimate the final
The simulating data comes from ten drivers in the
reference [10], which include the velocity and
acceleration/deceleration of the leading vehicle, the
velocity and acceleration/deceleration of the
following vehicle, the headway distance and the
headway time apperceived by drivers. Among all the
data, the frontal-700 is used to fix on the parameters
and the rest data is used to carry on off-line testing.
To begin with, we should analyze the regularities of
distribution on headway distance vs. velocity, which
is shown in Fig 3. Form the figure we could see that
ten-driver is divided into two classifies, in which,
NO.3 is the representation of the part A and the NO. 9
is the representation of the part B. The drivers belong
(10) to part A have the stronger car-following conscious
than part B because the trace of their distribution
curve spreads longitudinal; while the drivers belong to
part B is more care about their safety because the
trace of their distribution curve spreads transverse [7].
The author would introduce the simulation in the
representation of NO.3 and NO.9. And the samples
(11) are shown in Tab1.
20
20
18
drvers A
18
divers B

running states of the following vehicle, D4 and D3 are 16 16

14 14

used to estimate the impact degree of the

velocity(m/s)

velocity(m/s)

12 12

physio-limitation. 10 10

Set Ci (i=1, 2, 3, 4) 、 ω i (i = 1,2,3,4) is the

8 8

6 6

4 4 distribution

threshold and weight for the index Di (i = 1,2,3,4) . So

distribution
trend
2 trend
2

0 0
the compositive function J could be expressed as: 0 5 10 15
(a)
20 25 30
headway distance(m)
0 5 10 15
(b)
20 25 30
headway distance(m)
35

Fig3 Distribution of headway distance & velocity

D D D D (12)
J = ω1 ( 1 ) 2 + ω 2 ( 2 ) 2 + ω 3 ( 3 ) 2 + ω 4 ( 4 ) 2
C1 C2 C3 C4

Tab1 Samples
Velocity Acceleration Headway Headway
index Velocity of Acceleration Velocity of Acceleration
of leading of distance of distance of remark
NO. 2 NO.3(m/s) of NO.3(m/s2) NO.9(m/s) of NO.9(m/s2)
(m/s) leading(m/s ) NO.3(m) NO.9(m)
0 0 0 0 0 0 0 0 0
1 0.50 0.50 0 0 7.19 0 0 7.19 NO.3：
Ts(driver)=1.736s
2 1.00 0.50 0.61 0.61 8.14 0.50 0.50 8.56
3 1.76 1.03 1.32 0.71 9.45 0.50 0.63 10.36
4 2.86 1.11 2.15 0.83 11.11 0.50 0.76 12.48
NO.9：
5 3.94 1.11 3.11 0.96 12.98 0.50 0.84 13.97
Ts(driver)=2.046s
… … … … … … … … …

639
4.1Fixing on the parameters
Considering the diversity of drivers’
characteristics, it is not possible and suitable to
establish the unique behavior model. So the author
sets up the different parameters for different drivers.
Only to do like this could get the satisfied results. The
weights and thresholds for each parameter need to set
up are ωi(i=1,2,3,4) and Ci(i=1,2,3,4). In which, the
weight is got by PCA method. And the threshold C3
is C3 = max ( xf (t + T p ) − xf (t )) , which could be got by
the arithmetic on samples; C4 is the absolute value on
sixty-five percent of the max
acceleration/deceleration, which is constant. While
how to get the value of C1 and C2 could be introduced
as follows. C1 could be got by the below formula:
C1 = max(D1 ) = max ( x f (t ) + 1.5xf (t + Tp )) − xl (t )
≤ max x f (t ) − xl (t ) + max 1.5xf (t + Tp )
output for each work condition are shown in Fig 5.
We could get the following conclusions easily by
analyzing the results:
(1) The car-following behavior could be simulated
satisfied in different work conditions. That is to say,
the model could advice the follower to complete the
acceleration course when the leader is being
acceleration, which is shown in Fig 4(a); the model
could advice the follower to complete the deceleration
course when the leader is being deceleration, which is
shown in Fig 4(b); the model could advice the
follower to approach to the leading vehicles in the
max velocity and maintain the value of
acceleration/deceleration almost as zero when the
states of the leader is almost constant, which is shown
in Fig 4(b) after NO.33 and Fig 4(b) after NO.35.
19
20
(13)
18
18 the leading vehicle
NO.9

velocity(m/s)
17

velocity(m/s)
16 the leading
In order to get the value of C2, we should do a NO.3 16
vehicle
NO.9
fitting at 3-power for the samples, first: 14

15 NO.3
12
D = p 3 x 3 + p 2 x 2 + p 1 x + p 0
(14) 10 20 30 40
14
5 10 15 20 25 30 35 40
NO. NO.
(a) (b)

In which, pi (i=0, 1, 2, 3) is the coefficient of the
curve.
Then C2 could be written as:
C2 = maxD2 = max p3 x 3 + p2 x 2 + p1 x + p0 − Ts (driver)x
In order to get the value of C2, we should do the
followings: Firstly, complete a one-derivation to
formula (15) and set the result of derivation as zero to
get the value of x . Secondly, calculate the results of
p3 x 3 + p2 x 2 + p1x + p0 − Ts (driver) x when the value of x
is fixed on. At last, choose the one having the max
absolute value as the final value of C2. The parameters
for NO.3 and NO.9 are shown in Tab2.
Tab2 Parameters in simulation
NO. parameter C1 C2 C3 C4 ω1 ω2
No.3 2.36 6.12 0.44 1.2 0.33 0.27 0.2
No.9 4.73 2.56 0.21 1.2 0.23 0.35 0.21 0.21
4.2 Simulation testing
Off-line testing is carried on by inputting the rest
five-hundred data. Set the max-velocity is 20 meters
per second. The results in two work conditions for
NO.3 and NO.9 are shown in Fig 4. And the
comparative results between the actual value and the
Fig 5 Simulating results of NO.3 and NO.9
(2) The diversity of drivers could be in present
felicitous in the model. We could see easily the
velocity curve of NO.3 is more approach to the actual
(15) curve than NO.9’s, so it is the changeable range of
velocity on them. While the velocity curve of NO.9 is
smoother than NO.3. These conclusions are consistent
with the fact that the 3rd driver has a higher degree of
car-following conscious and the 9th driver is more care
about self-safety.

(3) The changeable trend of output in the model is
consistent with the actual, so the driver car-following
model advanced by the author is feasible. The
conclusion could be tested in Fig 5.
Of course, the other tests by the rest samples have
the same results.
ω3 ω4
0.2 5. Conclusions
Driver controlling model of car-following based
on Preview Follower Theory is advanced by regarding
the whole car-following course as preview-follow on
velocity of leading car for n times. The off-line testing
shows that the changeable trend of output is consistent
with the actual, so it is feasible to apply the Preview
Follower Theory to research the driver car-following
behavior. And the model could imitate the

640
car-following controlling course in different operation Amsterdam: North Holland, 1993, P. 91–100.
conditions; show the differences among different
drivers. It is with portability. [7] C. Miyajima, Y. Nishiwaki, K.Takeda. Driver
Acknowledgement: this project is sponsored by Modeling Based on Driving Behavior and Its
Provincial Natural Science Foundation of Hunan Evaluation in Driver Identification. In: Processing of
(NO.08jj3120) and by the Ministry of Communication the 2007 IEEE. February, Japan, 2007, 427-437.
P.R. China. (NO. 200431982515)
(a2)
[8] Luo Jiyu, Xin Yin. Statistical analysis method and
(a1)
20
NO.3
19
forecast on economy [M]. Beijin: Publishment of
18 NO.9
Qinghua University, 1985, P. 107-124.
17
18 velocity(m/s)
velocity(m/s)

16

16 15

14

14 13
output of simulation output of simulation
actual values 12
acual values
12 11
0 10 20 30 NO. 40 0 10 20 30 40
(b1) NO.
(b2)
19 19
output of simulation output of simulation
18 actual values actual values
18
velocity(m/s)

velocity(m/s)

17 17

16
16

15
15
NO.3 NO.9
14
0 10 20 30 40 14
NO. 0 10 20 30 40
NO.

Fig5 Comparative results between the actual and the output

6. References
[1] Pan Lin. Establishment of the Car-following
Based on Driver’ Cognition Behavior [D]. Jiling
University. 2005, 7-19

[2] Guo Konghui. Controlling Dynastical Research on

Vehicles [M]. Changchun: Publishment of Jilin
Science, 1991.

[3] Gao Zhenhai, Guan Xin. Driver Follower Control

Model with Vehicle Target Velocity Based on
Preview Follower Theory [J]. Journal of Jinlin
University of Technology (Natural Science Edition),
2002, 32(1): 1-5.

[4] Guan Xin, GAO Zhen-hai, Guo Kong-hui. An

optimal preview acceleration model for velocity
control in driver-vehicle-environment system [Z].
AVEC 2000 International Symposium on Advanced
Vehicle Control, USA, 2000.

[5] Liu Yuntong, Shi Jianjun, Xiong Hui. Simulation

Technology of Traffic System [M]. Beijin:
Publishment of People’s Traffic, 2002, P. 116-117.

[6] H. Ohta, ‘‘Individual differences in driving

distance headway” in Vision in Vehicles: IV.

641
 2008 International Conference on Intelligent Computation Technology and Automation

Modeling of Urban Traffic Environmental Carrying Capacity

LI Xiao-yan
SHI Zhong-ke
（1. Ph.D candidate, School of Mechanics, Civil Engineering and Architecture, Northwestern
Polytechnical University, Xi’an 710072, China
2. Professor, School of Automation, Northwestern Polytechnical University, Xi’an 710072,
China ）
lixiaoyan309@163.com

Abstract transportation scale and trip model structure.

To control the urban transportation development
scale and optimize the structure of traffic modes, the
traffic environmental carrying capacity (TECC) was
taken as constraint condition in this paper. Through
analysis of theories on the transportation planning and
the environment capacity, the integrated definition of
TECC was composed by four components which were
Traffic Environmental Resource Carrying Capacity
(TERCC), Traffic Environmental Pollution Carrying
Capacity (TEPCC), Traffic Environmental Mentality
Carrying Capacity (TEMCC) and Traffic
Environmental Economy Carrying Capacity
(TEECC).The models of TERCC and TEPCC were put
forward and the proper value range of some relative
parameters was assessed. If the results of TECC
calculation exceed the limitation, we can adjust the
proportion of all traffic modes, or introduced into new
traffic mode, or make some measures to improve TECC
value. By the application to compute TECC of Xi’an
city, these models got verification. Furthermore, the
theories and the models of TECC also can provide
solid support for the proper transportation planning
and management of network, and offer effective
reference for the appropriate feasibility research of
highway project.
1. Introduction
The urban transportation scale and the transport
structure are very important contents in the
transportation planning and are susceptible to many
factors. To meet the requirement of eco- transportation
system development, some constrain factors related
transportation environment should be taken to optimize
Therefore, Shen Jin-shen etc. (1997) initially put
forward the concepts about TTECC. Liu Zhi-shuo
(2004) put forward a method to calculate the urban
traffic capacity based on TECC. Dock Rederick C（
2004）adopted multidimensional framework to design
the major urban thoroughfare. However, the mentioned
researches haven’t put forward integrated multi-
components of TECC and easily-calculating method.
Consequently this paper suggested that TECC be
composed four components, including TERCC,
TEPCC, TEMCC and TEECC. For the limitation of
present calculating method and the difficulty in data
survey and analysis, some components of TECC can’t
be attained easily. Therefore, this paper mainly focused
on the mathematical modeling of Land Resource
Capacity (LRC) and Energy Resource Capacity (ERC)
of TERCC, and Air Pollution Capacity (APC) of
TEPCC. The paper also provided qualitative analysis
to TEMCC and TEECC.
2. Calculation models of TERCC
TERCC is composed by LRC, ERC and Mine
Resource Capacity (MRC). Energy resource is
consumed not only in the producing and maintaining
process of vehicles, but also in the building, managing
and servicing of infrastructures. In the recent stage, the
research emphases were focused on the consumption of
fuel energy resource. In the coming decades, it is not
necessary to calculate MRC for mine resource is not
the main limitation to the development of urban
transportation system.
2.1 TERCC models based on the LRC
limitation

978-0-7695-3357-5/08 $25.00 © 2008 IEEE 642

DOI 10.1109/ICICTA.2008.392
 According to the GB50220-95, the average road area
per capita in the planning year should be in range from
6.0 to 13.5 as the criterion to determine land area
limitation of LRC.
2.1.1 LRC calculating model limited by walkway
system area (LRCW)
AT ⋅ α W
LRCW = × RW 1 × RW 2
sW
AT—the road area in the planning year (m2),
αW—the proper percentage of walkway area to total
available road area in planning year,
sW— the average occupation area per pedestrian (m2),
RW1—correction coefficient of walkway available area
in the planning year,
RW2— correction coefficient of walkway location.
AT is defined as,
AT = P × s P (2)
P —predictive value of urban population
in the planning year,
Sp—average useable road area per capita in the
planning year (m2).
Sp should be spanned in the range of (6.0, 13.5)
according to Code for Transport Planning on Urban
Road (GB 50220-95).
We can adopt regression function between Sp value
and the indexes of urban society economy
development, which is formed by the historic data, to
determine the proper Sp.
We can modify the present αW according to the
future society and economy development requirement
or can fix on it by the urban land-use planning.
sW is related with walkway width, walk speed, the
capacity per walkway lane, lateral clearance and the
location of walkway. Consequently, it can be corrected
by the survey results of the factors forementioned.
Being affected by vehicles parking, bus stations and
intermittent hazardous obstruction, the effective area of
walkway decreases dramatically. Therefore, RW1 is
determined based on the transportation investigation to
the area occupied by such behavior in the city.
The walkways in the busy plots has more frequent
utilization and more pedestrians, thus they will be
more crowded and have less area per capita. RW2 can be
modified by the area according to their different
function.
2.1.2 LRC calculating model limited by bicycle way
area (LRCB)
AT ⋅ α B
LRC B = × RB1 × R B 2 × R B 3 × R B 4 × R B 5 (3)
sB ⋅
αB—the proper percentage of bikeway area to total
available road area in planning year (％),
sB —the average occupation area per bicycle (m2),
RB1—correction coefficient of bikeway available area
in the planning year,
RB2—correction coefficient of bikeway wayside
interference,
RB3—correction coefficient of bikeway location,
(1) RB4—correction coefficient of bicycles running in
intersections,
RB5—correction coefficient of bicycles running in
grade separations,
The calculation method of RB1, RB3 is the same as the
method mentioned above in LRCW.
For the mixed traffic in China, the service efficiency
of road decrease a lot, thus it should be modified by the
transportation survey data analysis. The weighted
average to the different degree of bicycle wayside
interfered by express way, major arterial, major arterial
and collector road is adopted to determine the value of
RB2.
We can make use of the different control situation in
the intersection to determine the value of RB4 .
Grade separations increase effective road area
although don’t increase the lane area. Thereby its
LRCB is also bigger than that without grade separations
and the function of RB5 is modified by the land area.
2.1.3 LRC calculating model limited by motorized
vehicle way area (LRCV)
A ⋅α
LRCV = t V × RV 1 × RV 2 × RV 3 × RV 4 × RV 5 (4)
sV
αV—the proper percentage of motorized vehicle way
area to total available road area in planning year(％),
sV—the average occupation area per vehicle (m2),
RV1, RV2, RV3, RV4, RB5—respectively represent
correction coefficient of effective area for vehicle way,
vehicle wayside interference, vehicle way location,
vehicles running in intersection and vehicles running in
grade separations,
RV1, RV3 and RB5 calculation methods are same as the
RB1, RB3 and RB5. RV2 is weighted average of vehicle
wayside interference factors, which are showed in the
Table 1, multiplied by the area or length of different
function roads. RV4 is also weighted average of
intersections interference factors multiplied the area or
length of different function roads (Table 2).
Table 1. Adjustment interference factors for
vehicle wayside in different function roads
express major minor collector Road
way arterial arterial road network
1 0.85- 0.80- 0.70- 0.70-
643
 0.95 0.90
Table 2. Adjustment factors for urban
intersections
express major minor
way arterial arterial
0.45-
0.75 0.55-0.6 0.35-0.40
0.50
2.2 TERCC models based on the ERC
limitation
Pedestrian trip mode and bicycle trip mode consume
lower oil. But energy consumption of these modes is
not equaled to zero, as producing and maintaining
process of the bicycle need to expend energy, and the
building, managing and servicing of infrastructures
also need to consume energy. From long term, TERCC
should be computed by ecological footprint method.
But in this paper, the emphasis was focused on the
mathematic modeling based on the oil consumption.
ETO ET ⋅ μ
ERC = = (5)
∑∑ e
i j
ij ⋅ Li j ⋅ xi j ∑∑ e
i j
ETO—the maximum amount of urban transportation oil
consumption in planning year (MJ),
eij—practical oil consumption per kilometer of vehicle
type j of trip mode i in planning year (MJ/km),
Lij—average mileage per kilometer of vehicle type j of
trip mode i in one planning year (km),
xij—the percentage of vehicle type j amount in trip
mode I in one planning year (%),
μ—the percentage of oil consumption of urban
transportation in urban oil energy (％).
We can get the value of ET according the planning of
the society and economy development, and the city
function feature. Along with the development from the
common city to the eco-city, the amount of oil energy
consumption in urban transportation system will
decrease, thus the value of will reduce gradually.
Otherwise, the amount of automobile will increase
remarkably. As a result, it is the only way to decrease
the value of μ by reducing oil energy consumption
coefficient per vehicle.
At present, we can forecast the value of ETO by the
investigation and analysis of the oil energy
consumption in urban transportation system. If the trip
modes structure doesn’t have dramatic change and the
oil consumption per vehicle doesn’t increase
remarkably, the present μ can replace the future μ. It is
feasible to do so in the strategic planning.
2.3 Integrated model of TERCC
TERCCm = MIN ( LRCm ,ERCm )
0.75 0.90
3. Calculation models of TEPCC
The transportation-related pollutions in urban can be
divided into air pollution, noise pollution, vibration,
collector Road erosion, insolation interference and electromagnetic
road network interference and so on. Currently, TEPCC can be
calculated by the following model:
0.40-0.50
TEPCC = MIN (APC,NPC,VPC) (7)
APC—transportation carrying capacity constrained by
air pollution,
NPC—transportation carrying capacity constrained by
noise pollution,
VPC—transportation carrying capacity constrained by
vibration.
3.1 APC research approach
The CO, NOx and HC were selected as vehicle
emission forecast factors to find out transportation-
related share-rates in urban area, for there are other
pollution sources to contribute air pollution.
Accordingly, air pollution emission as an emission
ij ⋅ Li j ⋅ xi j control limitation can be established by the field survey
and data analysis by environment protection
department, public security department and
petrochemical department.
The model of pollution emission amount control
is shown as following:
EQP × S P
TQ p = ×ηP (8)
CP
TQP—amount of pollutant P exhausted by motored
vehicle in the planning year (t/year),
EQP—total amount of pollutant P exhausted by
motored vehicle in the basic year (t),
SP —standard value of pollutant P exhausted by
motored vehicle according to integrated emission
standard of air pollutants (GB 16297-1996) in planning
year (mg／m3),
CP—monitoring value of pollutant P in urban area in
the basic year (mg／m3),
ηP—share rate of pollutant P exhausted by motored
vehicle in the planning year(％).
This model is based on two hypotheses: the
amount of pollutant P is in the direct ratio to pollutant
density value of environmental background; the
share rates of stationary sources and mobile sources are
all reduced with the same speed to the control
objectives of urban environment.
3.2 Calculating model of APC limited by air
pollution
TQ p = ∑∑ (APC P × Lij × Ef ijp × xi j ) (9)
(6) i j
644
 6. Conclusion
APCＰ—air pollution capacity constrained by pollutant
P in the planning year, TECC is not only can be used as control factors in
EfijP—average emission weight of pollutant P let by strategic transportation planning and trip mode
vehicle type j in the planning year, structure optimization, but also used as evaluation
TQ p index in other researches. Thus it is important to
APC P =
∑∑ ( xi × βij × Lij × Efijp )
modeling TECC in transportation field.
i j
(10) References:
EQP × S P ×η P
= [1] Sheng Jin-sheng, Lei Li,, Xu Yi-fei, “ Research on
C p × ∑∑ ( xi × βij × Lij × Efijp ) dynamic mechanism of sustainable urban transportation”
i j SYSTEM ENGINEERING,1997,15 (5):8-12
[2] Sheng Jin-sheng, Lei Li, , Xu Yi-fei, “ Discussion about
APC = MIN (δ CO APCCO , δ NOX APC NOx , δ HC APC HC ) traffic environmental capacity and traffic environmental
carrying capacity”, ECONOMIC GEOGRAPHY,
We can individually calculate the value of APC 1997,17(1):97－99
based on the weighted average APCＰ (CO, NOx or HC, [3] Liu Zhi-shuo, Sheng Jin-shen,Zhang Zhi-wen,, Wei
and so on) emission by motor vehicles in urban area. Hong-ye,” Method of calculating the urban traffic capacity
based on traffic environment carrying capacity and its
applications”, CHINA JOURNAL OF HIGHWAY AND
4. Integrated model of TECC TRANSPORT［J］ 2004,17（1）:70-73
[4] Dock, Frederick, Bochner, Brian S, Greenberg, Ellen C
TECCm = MIN ( TERCCm , TEPCCm ) (11) “Multidimensional framework for context-based design of
From the above formulas, the TECC value can be major urban thoroughfares”,[J]. Transportation Research
Record 2004:81-87
improved greatly by optimizing the traffic modes
[5] Chen Chun-mei, “Review of road network
structure and increasing the vehicle carrying capacity or capacity” ,JOURNAL OF HIGHWAY AND
load rating. But the transportation service of level will
TRANSPORTATION RESEARCH AND DEVELOPMENT［J
go down in the vehicle with high carrying capacity or ］，2002,19（3）:97-101
load rating which causes the TEECC declining. [6] Li Chao-yang, Wang Zheng, “Supply-demand models for
Therefore, the proper trip structure can effectively time and space resources of urban road and their application”,
increase the capacity of transportation system to urban JOURNAL OF BASIC SCIENCE AND ENGINEERING［J］
environment. 1998，6（3）：141-147
[7] Xiang Qiao-jun, “Importance of Reducing Fuel
5. Example Consumption of Urban Transportation”, JOURNAL OF
HIGHWAY AND TRANSPORTATION RESEARCH AND
The emission factor NOx is selected as air pollution DEVELOPMENT,［J］ 2000,17(4):80-82
emission factor to calculate TEPCCV based on the data
of Xi’an city in 2005. The calculated results are shown
in Table 3:
Table 3． TECC calculation results of Xi’an
Carrying Capacity value
LRCW（persons） 4,003,168
LRCB（vehicles） 784,608
LRCv 125,071
TECCV（ TRRCCV
ERCV 132,227 125,071
pcu）
TEPCCV 129,447
According the practical condition of the resource
usage and pollution in Xi’an, the true value of LRCv is
a little bigger than the one in Table 3. The practical
average occupation area per vehicle is less than sV, as
the drivers often keep less safety space headway.

645
 2008 International Conference on Intelligent Computation Technology and Automation
Nonlinear Mixed Modeling Approach – An Application to Tree Growth Data
Lichun Jiang, Yaoxiang Li
Northeast Forestry University, China 150040
jlichun@nefu.edu.cn
Abstract
Nonlinear mixed-effects modeling approach was
used to model the individual tree height–age
relationship in Mongolian pine (Pinus sylvestris
L.var.mongolica Litv.). A set of 345 pairs of height–
age measurements was used to fit the model. These
were taken at 30 temporary plots from natural stands.
Ten nonlinear growth equations were evaluated to
find a local model, which only includes the ages of the
tree as explanatory variables. After selecting the local
model, a nonlinear mixed model technique was
applied to fit the local model. The model building
process involved the estimation of fixed and random
parameters and autoregressive correlation structures.
The second-order moving average model MA (2) was
incorporated into the mixed-effects model. The MA (2)
correlation structure can explain the dependency
among repeated measurements within the tree. By
calibrating the model it is possible to predict random
parameters of the mixed model from height
measurements previously taken from a subsample of
trees. The different alternatives tested reveal that only
two or three trees are necessary to calibrate the model.
1 Introduction
Mongolian pine is common and commercially
important species in northeast china. Accurate height-
age models are required for predicting the growth and
yield of trees and stands. Growth data is repeated
measurements data in which multiple individuals have
multiple measurements over time or space. Thus the
method of analysis for this type of data needs to
recognize and estimate two distinct types of variability:
between-individual variability and within-individual
variability. Nonlinear mixed effects models provide a
tool for analyzing repeated measurements data.
nonlinear mixed models give an unbiased and efficient
estimation of the fixed parameters of the model.
Furthermore, nonlinear mixed models improve
predictive ability if we are able to predict the value of
978-0-7695-3357-5/08 $25.00 © 2008 IEEE
DOI 10.1109/ICICTA.2008.302
the random parameters for an unsampled location. The
objectives of this study were to develop height growth
models for Mongolian pine from natural stands based
on a nonlinear mixed-effects modeling approach.
2 Materials and methods
2.1 Data
Stem analysis data from Mongolian pine natural
stands were collected from Daxinganling region in
Heilongjiang Province, northeast China. This species
is common and commercially important in northeast
China. One site tree was selected from temporary plots
ranging in size from 0.04 to 0.06 ha. The criteria for
selecting the trees required them to be the largest
diameter, in the dominant or codominant crown class,
unsuppressed, and free of biotic and abiotic damage.
Stem analysis data from 30 trees were collected by
felling the site trees and sectioning them. The rings at
each section were counted, resulting in a set of height-
ring count data for each sample tree.
2.2 Nonlinear mixed Logistic model
After trying some models to fit the data set, such as
Gompertz, Richards, Hossfeld, Logistic and Weibull-
type models , we choose the Logistic model for
nonlinear mixed-effects model analysis due to its
precision and biologically interpretable coefficients,
An expression for nonlinear mixed-effects Logistic
model is:
θ1i
H ij =
) ) + ε ij
((
1 + exp θ 2i − a ij θ 3i
(1)
Where:
H ij = a height measurement at time j for the ith tree
(m),
aij = age (years) for the ith tree on time j,
ε ij = random error,
646
 ⎡θ 1i ⎤ ⎡ β1 ⎤ ⎡ b1i ⎤ The scatter-plot matrix of the estimated random
θ i = ⎢⎢θ 2i ⎥⎥ = ⎢⎢ β 2 ⎥⎥ + ⎢⎢b2i ⎥⎥ = β + bi
effects was produced (Figure 2). A moderately high
correlation among random effects was noticed.
⎣⎢θ 3i ⎦⎥ ⎢⎣ β 3 ⎦⎥ ⎣⎢b3i ⎦⎥ 14 12 14

Here, β is a vector of fixed effects and bi represents

the vector of random effects. ε ij and bi are
12

scal
10
independent. θ1i is horizontal asymptote. θ 2i is the
inflection point of the curve. θ 3i is the scale paraemter.
8
8 10

35 30 35
In the basic assumptions, the nonlinear mixed-
effects model requires the asymptotic normal 30

distribution for both the random effects and within- xmid

25
individual error term. Details on nonlinear mixed-
effects model can be found in Fang and Bailey (2001), 20 25
20

Calama and Montero (2004) and Trincado and 20 16 18 20

Burkhart (2006). The library nlme in S-Plus was used 18

to fit the model. 16 16

Asym
14

3 Results and discussion 12

12 14 16

For the construction of a mixed model it is Figure 2. Pairs plot for the estimated random
necessary to determine parameter effects. An intuitive effects from the mixed model.
approach is to obtain separate fits for each individual
(tree) and assess the variability of estimated To avoid over-parameterization problems and ill-
parameters by considering the individual confidence conditioning problems of variance-covariance matrix,
intervals. The parameters with high variability and less different combinations of fixed and random
overlap in confidence intervals across trees should be parameters was explored (Table 1). In all cases, those
considered as mixed effects (Pinheiro and Bates models containing mixed effects (fixed and random
1998). parameters) performed better than models with only
Asym xmid scal
30
29
| | |
| | |
| | |
||| | | |
| | | fixed effects (P<0.0001). The model with the three
28
27 | | |
| | | | | |
| | | | | |
| | |
parameters as mixed-effects has lowest AIC, BIC
| | | | | | | | |
26
25 | | | | | | | | | values, indicating that the mixed model with the three
24 | | | | | | | | |
23
22
| | |
| | |
| | |
| | |
| | |
| | |
random parameters provided more accurate height
21
20 | | |
| | | | | |
| | |
| | |
| | | prediction.
19 | | | | | | | | |
18 | | |
| | |
| | |
| | |
|
| | |
| | Our sample data is repeated-measurements data so
17
16 | | | | | | | | |
it is likely that there are some serial correlations
Tree

15 | | | | | | | | |
| | | | | | | | |
14
13 | | | | | | | | | among the measurements on each individual.
12 | | | || | | | |
11
10 | | |
| | |
| | |
|||
| | |
| | | Correlation structures are used to model dependence
9
8 | |
| | |
| |
| | |
| | |
| | |
| | among observations. In the context of mixed effects
| | | | | | | | |
7
6 | | |
| | |
| | |
| | |
| | |
| | |
models, Correlation structures can be incorporated
5
4
3
| | |
| | | |||
| | | | | |
| | |
into mixed-effects models (Chi and Reinsel 1989,
2
1
| |
|
|
| | |
|
|
| |
|
| |
|
|
| | Lindstrom and Bates 1990, Pinheiro and Bates 2000).
5 10 15 20 10 20 30 40 50 5 10 15 20 In this study, the AR(1), MA(2), and ARMA(1,1)
Figure 1. Ninety-five percent confidence interval on correlation structures were tested for inclusion in the
the model parameters for each tree. mixed-effects model. The AR(1) and ARMA(1,1)
models failed to converge. The mixed model with
Figure 1 gives the approximate 95% confidence MA(2) correlation structure resulted in smaller AIC
interval for the three parameters for each tree. It values. LRT (P<0.0001) further indicated a
indicates that there is more variability from tree to tree statistically significant difference for the mixed model
in the confidence intervals so all parameters should be with and without autocorrelation structure MA(2). The
considered as mixed effects. MA(2) correlation structure could explain the
dependency among repeated measurements within the
individual. The final model is mixed-effects model

647
with autocorrelation structure MA(2). Parameters mixed-effects model provided better predictions than
estimates for the final model are presented in Table2. the model using only the fixed parameters.
Asym xmid scal

4 Conclusions
1
The three-parameter Logistic growth model was
Quantiles of standard normal

fittted using nonlinear mixed-effects modeling

0
approach based on stem analysis data for natural
Mongolian pine in Northeast China. Simple Logistic
model with three random parameters provided better
-1
model fitting and more accurate prediction based on
information statistics and Loglikelihood ratio tests.
-2 The MA(2) correlation structure incorporated into the
-4 -2 0 2 4 -5 0 5 10 -2 0 2 4
mixed-effects model significantly improved the model
Random effects
performance.

Figure 3. Normal plot for estimated random effects References

for the fitted model.
[1] Calama R., Montero G. Interregional nonlinear height-
In the basic assumptions, the random effects are diameter model with random coefficients for stone pine in
normally distributed and independent for different Spain. Can J For Res 2004, 34:150-163
groups (trees) and the within-group errors are
independent and identically normally distributed and [2] Chi, E.M., Reinsel, G.C. Models for longitudinal data
independent of the random effects. The distribution of with random effects and AR(1) errors. J Am Stat Assoc 1989,
random effects can be examined in Figure 3. The 84:452-459
result does not indicate serious violation of the
assumption of normality for random effects. [3] Fang Z., Bailey R.L. Nonlinear mixed effects modeling
An important characteristic, compared to traditional for slash pine dominant height growth following intensive
regression, is that mixed-effects models allow for both silvicultural treatments. For Sci 2001, 47:287-300
mean response (fixed effects) and calibrated (random [4] Lindstrom, M.J., Bates, D.M. Nonlinear mixed effects
effects) prediction. If we do not have height models for repeated measures data. Biometrics 1990,
measurements, we cannot predict the values for the 46:673-687
random effects. The only choice is to use the expected
values for random effects (E (bk ) = 0) . We can obtain [5] Pinheiro, J.C., Bates, D.M. Model building for nonlinear
mean height prediction curve using the fixed mixed effects models. Tech rep, 1998, Dep of Stat, Univ of
Wisconsin
parameters estimates. A calibrated response requires
prior measured height information. If both height and [6] Pinheiro, J.C., Bates, D.M. Mixed-effects models in S
age have been measured for a subsample of k trees, and S-PLUS. Springer, New York, 2000, 528 pp
the vector of random effects bk can be estimated
using this additional information. Calculation is [7] Trincado G., Burkhart H.E. A generalized approach for
carried out using an approximate Bayes estimator of modeling and localizing stem profiles curves. For Sci 2006,
52:670-682
bk (Vonesh and Chinchilli 1997). To show the
predictive ability of final mixed model, we conducted [8] Vonesh, E.F., and Chinchilli, V.M. 1997. Linear and
a prediction using parameters estimates from fixed nonlinear models for the analysis of repeated measurements.
effects and mixed-effects model with MA(2) Marcel Dekker, New York, 1997
autocorrelation structure (Figure 4). It indicated that

648
 Table 1. Likelihood ratio tests (LRT) for nonlinear mixed-effects models.
Random No. of Log-
Model parameters parameters AIC BIC likelihood LRT P-value
1 b1 , b2 , b3 10 858.22 896.62 -419.11
2 b1 , b2 7 888.01 914.89 -437.00 35.793 <0.0001
3 b1 , b3 7 1004.14 1031.03 -495.07 151.929 <0.0001
4 b2 , b3 7 1073.73 1100.61 -529.86 221.514 <0.0001
5 None 4 1570.70 1586.07 -781.35 724.489 <0.0001

Table 2. Parameter estimates for fixed effects, random effects and correlation.
Correlation
Random Random effect
Parameter Estimate S.E. parameter standard deviation b2 b3
β1 15.4608 0.5322 b1 2.7405 -0.196 -0.065
β2 23.6473 0.7874 b2 3.6826 - 0.991
β3 9.7662 0.3630 b3 1.0833 - -
θ1 * 0.9038
θ2 * 0.4975
σ2 0.5070
* Correlation parameter for MA (2)

Fixed Mixed
fixed Tree
10 20 30 40 50 60 70 10 20 30 40 50 60 70

26 27 28 29 30
ºº ººº
º
ºº
20
ºº
ººº
º ºº ºº ººº
ºº
15
º ºº ºº º º º
º
ººº ºº º º
º
ºº
10
ºº º
ººº º
º
º
º
º
º
º 5
º º 0
21 22 23 24 25
20
º ºº º ºº
15
ºº ºº ººº
ºº ºº
ºº ºº ººº
10
º º
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º ºº
º º º º
5
ºº
º
ºººº
º ººº
0
ºº ºº ººº
16 17 18 19 20
20

º
ººº ººº
15
ºº ººººº ºº
ººº ºººº ºº ººº ººº
ºº ººº ºº ºº 10
Height(m)

º ºº º
º º º ºº ºº 5
º ºº ºº º ºº 0
11 12 13 14 15
20 º º ºº º º ºº
ºº
º ºº º ºº ºº ºººº
ºº ººº
15
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10
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5 º
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0
6 7 8 9 10
20
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ºº 15

ººº
º ººº ºº º
º
ºº 10

ºº º ºº ºº º ºº
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5

ºº
º º ºº ºº 0
1 2 3 4 5
20
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º º ºº
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15
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ºº
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10 20 30 40 50 60 70 10 20 30 40 50 60 70 10 20 30 40 50 60 70

Age(years)

Figure 4. Comparison of fixed-effects prediction and mixed-effects predictions.

649
 2008 International Conference on Intelligent Computation Technology and Automation
Observer Design and Analysis for Switched Systems with Mismatching
Switching Signal
Weiming Xiang Mingxia Che Chenyong Xiao
Southwest University of Science and Technology
Mianyang, Sichuan, PR China
E-mail: xwm1004@tom.com
Abstract
Observer design and analysis for time-dependent
switched systems when observer switching signal both
matches and mismatches the original switched system
switching signal is investigated in this paper. Firstly,
an asymptotic observer design methodology is
proposed based on average dwell time approach when
observer matches the original systems precisely. When
the observer signal mismatches the original system
signal, an observer design approach is proposed. It is
shown that the estimation error state is bounded and
the bound is related to the mismatching period of the
observer. Finally, the simulation example is given to
show the effectiveness of the approach proposed in this
paper.
1. Introduction
Switched systems have attracted much research
attention in control theory field during recent years. A
switched system is composed of several dynamical
subsystems and a switching law that specifies the
active subsystem at each instant of time. Switched
systems arise in many engineering applications, for
example, in motor engine control [1], constrained
robotics [2], and networked control systems [3], etc.
There are many results about switched systems;
especially in stabilization, e.g. in [4], many results are
based on state feedback. However, in many
engineering systems, only partial information about the
plant to be controlled is commonly available. In such
case, state estimate procedures are essential.
The issue of state estimate has been investigated
intensively in continuous and discrete domain. After
Luenberger proposed a method to design an observer
for linear time invariant system in 1960s (see [5]),
some results on Luenberger-like observer design were
developed. As stability problem of switched systems,
Lyapunov function techniques are effective tools
dealing with observer design for switched systems, in
[6] and [7] a common quadratic Lyapunov function
which guarantees the error state stable with any
arbitrary switching signals was used to design observer
for switched continuous-time and discrete-time linear
978-0-7695-3357-5/08 $25.00 © 2008 IEEE
DOI 10.1109/ICICTA.2008.287
Zhengrong Xiang
Nanjing University of Science and
Technology
Nanjing, Jiangsu, PR China
systems, in [8] observer design for a class of switched
nonlinear systems was investigated, however, the
condition of existing a common quadratic Lyapunov
function is very strict. Pettersson proposed an approach
using multiple Lyapunov functions to design an
observer for switched linear systems [9], estimated
state jumps on the switching surface to guarantee the
convergence of estimation error state. [10] deals with
the nonlinear observer synthesis for autonomous
switching systems with jumps. Full and reduced order
observers for a class of linear switched control systems
are studied in [11].
In applications the observer switching signal can’t
match the original system’s precisely, e.g. the observer
need some time to identify the correct mode according
to the corresponding original system mode. First we
present an observer design methodology for switched
systems when observer matches the original systems
precisely, then an observer design methodology is
present and analyzed for switched systems when
observer mismatches the original systems. We show
that the estimation error state is eventually bounded by
the proposed approach and the bound is related to the
length of mismatching interval which is given in the
following results.
The rest of this paper is organized as follows. In
section 2, we introduce problem formulation and some
preliminaries, then the observer design for switched
system when observer matches the original systems
precisely is proposed in section 3. In section 4, the
observer design and analysis for switches systems with
mismatching signal is investigated. In section 5,
numerical examples illustrate the effectiveness of the
proposed approach. Conclusions are given in section 6.
2. Problem formulation and preliminaries
The switched systems we consider have the form
x = Aσ x + Bσ u
(1)
y = Cx
where σ : [0, ∞ ) → I = {1, 2,..., N } is the switching
signal and {t 0 , t1 , t 2 ,..., t k ,...} denotes the switching
650
sequence, where t0 is the initial time, and t k denote the And Condition 1 implies that
α x < Vi ( x ) < β x
2 2
(7)
kth switching instant. x ∈ R is the state, u ∈ R is the
n m

so form (6) and (7) we can obtain that

input and y ∈ R is the measurement of the system.
p

γ
The matrices Ai ∈ R
n×n
, Bi ∈ R
n×m
and C ∈ R
n× p
. Vi ( x ) < − Vi ( x ) (8)
β
Consider the system given by (1); we construct a
group of observers for each subsystem as follows: Let V (t ) = Vi ( x ) ， i ∈ I and from (8) we have
xˆ = Ai xˆ + Bi u + Li ( y − Cxˆ )
γ γ
(2) − ( t −tk )
+
− ( t − t0 )
β
V (t k ) < ( β α ) e β
k
V (t ) = e V (t 0 ) (9)
where the estimated state is denoted by x̂ , and
− +
Li ∈ R
n× p
is the observer gain matrix. where V (t k ) := lim V (t ) and V (t k ) := lim V (t ) .
− +
t →tk t → tk

Therefore the error in the state estimate, x = x − xˆ , From the Definition 1 we have
has the following dynamics: t − t0

(β α ) ≤ (β α ) (β α ) τ
k N0

x = ( Aσˆ − Lσˆ C ) x + ( Aσ − Aσˆ ) x + ( Bσ − Bσˆ )u (3) a (10)

so from (9) and (10) we can see
where σˆ (t ) denotes the switching signal of observer. γ ln ( β α )
−( − )( t − t 0 )
When the observer switching signal matches the β τa
V (t ) < ( β α ) e
N0
V (t 0 )
original switching signal, i.e. σˆ (t ) = σ (t ) , we get
And from (7) we have
x = ( A − L C ) x (4) − λ (t −t
x (t ) < Ce x (t 0 )
σˆ σˆ 0
)

Definition 1 (see [12]) τ a is called average dwell

1 γ ln( β α )
N 0 +1

time, if there are two numbers N 0 ≥ 0 and τ a > 0 such where C = (β α ) ( − ). and λ =
2 β τa
that From Condition 3 we can get λ > 0 , therefore the
T −t error dynamics is exponentially stabilized by
N σ (t , T ) ≤ N 0 + , ∀T > t ≥ 0 (5)
τa −1
Li = Pi X i ■
where N σ (t , T ) is the number of switches in (t , T ) . Remark 1 Due to the nonlinearity β ln( β α ) the
In this paper, the observer design and analysis for observer design procedure is more than solve an LMI
switched system with τ a will be investigated. problem, which is given as follows
Step 1 Initialize the parameter γ = 1 ;
Step 2 Solve LMI problem
3. Observer design for switched systems
with precisely matching switching signal ⎡α I − Pi 0 0⎤
⎢ 0 Pi − β I 0⎥<0
Theorem 1 Given the switched system (1) with ⎢ ⎥
average dwell time τ a . If there exist matrices Pi , X i ⎣⎢ 0 0 Qi ⎦⎥
where Qi = Ai Pi + Pi Ai − C X i − X i C + γ I .
T T T
and constants α > 0 , β > 0 , γ > 0 satisfying
1 α I < Pi < β I , ∀i ∈ I Step 3 Verify parameters α , β , γ whether satisfy
Condition 3. If Condition 3 is not satisfied, reset
2 Ai Pi + Pi Ai − C X i − X i C + γ I < 0
T T T
γ ' = 2γ and go back to step 2 where let γ = γ ' in
3 β ln( β α ) − γτ a < 0 LMI. If Condition 3 is satisfied, terminate procedure
−1

then there exist observer gain matrix Li = Pi X i

−1 and obtain the observer gain matrix Li = Pi X i .
exponentially stabilize the error dynamics (4).
Proof Considering candidate Lyapunov function 4. Observer design and analysis for
Vi ( x ) = x Px
T
 for the ith error dynamics of (4), switched systems with mismatching
i
switching signal
substituting X i = PL
i i
and from Condition 2 we get
Vi ( x ) = x [ Ai Pi + Pi Ai − C X i − X i C ] x < −γ x
T T T T 2
(6)

651
 In this section, observer design for switched systems Due to k = N σ (t 0 , t ) and k − n = N σ (t n , t ) and let
will be taken into consideration when the observer
switching signal mismatches the original system’s. 1 γ ln( β α )
λ= ( − ) we have
An assumption is necessary for the following results. 2 β τa
Assumption 1 Assume the original system state x
∫
t
−2 λ ( t − t0 ) −2 λ ( t −τ )
V (t ) < ( β α ) e V (t 0 ) + μ ( β α ) dτ
N0 N0
and the input u satisfy x < ξ and u < ρ . t0
e
Regardless of the observer mode location, which It yields that
means observer totally mismatches the switched
μ (β α )
N0

system, following results can be derived. −2 λ ( t − t 0 )

V (t ) < ( β α ) e
N0
V (t 0 ) +
Theorem 2 Given the switched system (1) with 2λ
average dwell time τ a . If there exist matrices Pi , X i For Condition 3 we have λ > 0 then we can get
− λ (t −t
and constants α > 0 , β > 0 , γ > 0 , ε > 0 , η > 0 x (t ) < Ce x (t 0 ) + b
)
0
(13)
satisfying following conditions
μ (β α )
N0

1 α I < Pi < β I , ∀i ∈ I where C = (β α )

N 0 +1
and b =
.■
2αλ
⎡ Qi Pi Aj − Pi Ai PB
i j i i ⎤
− PB However, if the observer mismatches the switched
⎢
2 Ξ i = Aj Pi − Ai Pi
T T
−ε I 0
⎥<0 system part of the time Δ k , k = 1, 2,... , which is
⎢ ⎥
⎢⎣ B Tj Pi − BiT Pi 0 −η I ⎥⎦ necessary for observer to identify the correct mode of
the original switched system, the bound of the
3 β ln( β α ) − γτ a < 0 estimation error state can be reduced significantly.
where Qi = Ai Pi + Pi Ai − C X i − X i C + γ I , then the
T T T Assumption 2 Assume the time unit Δ k satisfy
error state x is eventually bounded by the observer Δ k ≤ Δ ≤ Tmin = inf {t k +1 − t k } .
k = 0 ,1...
−1
gain matrix Li = Pi X i . By Assumptions 1 and 2, following result is derived.
Proof During the interval [t k , t k +1 ) , we assume that Theorem 3 Given the switched system (1) with
average dwell time τ a . If there exist matrices Pi , X i
the ith observer and the jth subsystem are active.
and constants α > 0 , β > 0 , γ > 0 , ε > 0 , η > 0
Choose candidate Lyapunov function Vi ( x ) = x Px 
T
i
satisfying following conditions
for the ith error dynamics of (3). Substituting
1 α I < Pi < β I , ∀i ∈ I
X i = PL
i i
and from Condition 2 we can get
Vi ( x ) = [ x
T
x
T
u ]Ξ i [ x
T T
x
T
u ]
T T ⎡ Qi Pi Aj − Pi Ai PB
i j i i ⎤
− PB
⎢
2 Ξ i = Aj Pi − Ai Pi
T T
−ε I 0
⎥<0
−γ x
2
+ ε x +η u ⎢ ⎥
⎢⎣ B Tj Pi − BiT Pi 0 −η I ⎥⎦
< −γ x + ε x + η u
2 2 2

3 β ln( β α ) − γτ a < 0
and from Condition 1 we have
where Qi = Ai Pi + Pi Ai − C X i − X i C + γ I , then the
T T T
γ
Vi ( x ) < − Vi ( x ) + ε x + η u
2 2
(11)
β error state x is eventually bounded according to
Let V (t ) = Vi ( x ) ， i ∈ I we get μ ( β α ) (e
2 λΔ
N0
− 1)
lim x (t ) < 2 λ Tmin
−
γ
( t − tk ) −
γ
( t −τ )
t →∞ 2λ ( e − 1)
V (t k ) + μ ∫ e
t
V (t ) < e β β
dτ , t ∈ [t k , t k +1 ) (12) −1
tk
by the observer gain matrix Li = Pi X i .
where μ = εξ + ηρ . By iterating the (12), we get
2 2
Proof Similar to proof line as above we easily get
−
γ
( t − t0 ) ⎧ − γ V (t ) + ε x 2 + η u 2
tk < t < tk + Δ k
V (t ) < ( β α ) [ e ⎪⎪ β
k β
V (t 0 )
γ γ V (t ) < ⎨
k − ( t −τ ) − ( t −τ )
⎪ γ
∑ (β ∫ ∫
−n tn t
+μ α) e β
dτ ] + μ e β
dτ − V (t ) t k + Δ k < t < t k +1
n =1
t n −1 tk
⎪⎩ β

652
 Then due to Assumption 1 we get 1. When the switching signals matches, we consider
⎧ −
γ
( t − tk ) −
γ
( t −τ )
the switched system (1) with two subsystems:
∫
t

⎪e
β
V (t k ) + μ e β
dτ tk < t < tk + Δ k ⎡ −1 10 ⎤ ⎡1⎤
V (t ) < ⎨
tk
A1 = ⎢ ⎥ , B1 = ⎢ ⎥ , C = [ 2 1]
⎪ −
γ
( t − t k −Δ k ) ⎣ −2 −1⎦ ⎣1⎦
⎩
β
e V (t k + Δ k ) t k + Δ k < t < t k +1 ⎡ −1.5 8⎤ ⎡0 ⎤
A2 = ⎢ ⎥ , B2 = ⎢ ⎥ , C = [ 2 1]
⎣ −7 −2 ⎦ ⎣1 ⎦
where μ = εξ + ηρ . Let TΔ (t0 , t ) denote the mode
2 2

The switching sequence is t k = 2k , k ∈ 0,1, 2... , We

wrongly estimated interval between (t0 , t ) , then by the get parameters α = 5 , β = 10 , λ = 32 , matrices
same procedure in Theorem 2 we can easily get
P1 =
⎡6.401 1.099⎤ , P = ⎡ 7.5 −0.973⎤
∫
−2 λ ( t − t0 ) −2 λ ( t −τ )
V (t ) < ( β α ) e V (t0 ) + μ ( β α ) dτ
N0 N0

⎣⎢1.099 7.5 ⎥⎦ ⎢⎣−0.973 7.6946 ⎦⎥

e 2
TΔ ( t 0 , t )

(14) and observer gain matrices L1 = [0.2212 2.7831]

T

and for Δ k ≤ Δ and t k +1 ≥ t k + Tmin we can get

and L2 = [ −0.4299 3.1307 ] to satisfy Theorem 1.
T
k

∫ TΔ ( t 0 , t )
e
−2 λ ( t −τ )
dτ ∑ (e 2 λ ( tn + Δ − t )
−e
2 λ ( tn − t )
)
e
2 λΔ
−1 Chose x (0) = [ 3 −5 ]
T
and x (0) = [10 7]
T
and
< n =1
= 2 λTmin input u = 10 . The simulation result is shown in figure
∫ −1
t k

∑ (e
−2 λ ( t −τ )
e dτ 2 λ ( t n + Tmin − t )
−e
2 λ ( tn − t )
)
e
t0 1.
n =1
10
which implies error state x1
2 λΔ 2 λΔ
e −1 e −1 error state x2

∫ ∫
t
−2 λ ( t −τ ) −2 λ ( t −τ )
e dτ < 2 λ Tmin
e dτ < 2 λ Tmin
5
TΔ ( t0 , t )
e −1 t0
2λ (e − 1)
(15) 0

From (14) and (15) we obtain

x

-5
μ ( β α ) (e 2 λΔ − 1)
N0
−2 λ ( t − t 0 )
V (t ) < ( β α ) e
N0
V (t 0 ) + 2 λ Tmin
2λ ( e − 1) -10

then we can get

− λ (t −t -15
x (t ) < Ce x (t 0 ) + b
)
0
(16) 0 1 2 3 4 5 6
t

N 0 +1 μ ( β α ) (e
N0 2 λΔ
− 1) Figure 1. Estimated error state x
where C = (β α ) , b= 2 λTmin
.■ It is shown the error state converges to the origin.
2λ ( e − 1) 2. When the switching signal mismatches the
Remark 2 From Theorem 3 we can see that x (t ) original system’s switching signal precisely, we
consider the switched system (1) in the above example
is related to the length of interval Δ . If Δ → 0 we
with Δ = 0.5 . We get α = 0.0542 , β = 0.6182 ,
2 λΔ
μ ( β α ) (e
N0
− 1) λ = 4 , matrices
have lim b = lim = 0 , then we
Δ →0 Δ→ 0 2λ ( e
2 λ Tmin
− 1) ⎡ 0.4655 −0.1073⎤ ⎡ 0.5764 −0.1478 ⎤
P1 = ⎢ ⎥ P = ⎢ −0.1478 0.096 ⎥
⎣ −0.1073 0.101 ⎦ ⎣ ⎦
2
have lim x (t ) = 0 , which means that error dynamics
t →∞

and observer gain matrices L1 = [8.6884 24.9777 ]

T
is stable when the observer matches original system
precisely. If Δ → Tmin we have and L2 = [10.5516 30.0771] to satisfy Theorem 3.
T

2 λΔ
μ ( β α ) (e μ (β α )
N0 N0
− 1) The simulation result is shown in figure 2.
lim
2 λT
=
2λ ( e
Δ →0 − 1) min
2αλ
which is the results in Theorem 2.

5. Numerical examples

653
 4
This work was supported by Sichuan ministry of
error state x1 education scientific research project (No. 07Zd1123).
2 error state x2

0 References
-2
[1] A. Balluchi, M.D. Benedetto, C Pinello, C. Rossi and A.
-4
x

Sangiovanni-Vincentelli, “Cut-off in engine control: a

-6 hybrid system approach”, Proceedings of the 36th IEEE
Conference on Decision and Control, 1997, pp. 4720-
-8
4725
-10 [2] B.E. Bishop and M.W. Spong, “Control of redundant
manipulators using logic-based switching”, Proceedings
-12
0 1 2 3 4 5 6 7 8 of the 36th IEEE Conference on Decision and Control, 2,
t 1998, pp. 16-18
Figure 2. Estimated error state x [3] W. Zhang, M.S. Branicky and S.M. Phillips, “Stability of
It is shown that the error state is eventually bounded. networked control systems”, IEEE Control Systems
To illustrate how the parameter Δ affect the bound Magazine, 21(1), 2001, pp. 84-99
of the error state. We choose Δ = 0.1 and Δ = 2 . The [4] Z. Xiang and W. Xiang, “Design of controller for a class
of switched nonlinear systems based on backstepping
simulation result is shown in figure 3.
method”, Control and Decision, 22(12), 2007, pp. 1373-
14 1376
||x|| with•△=0.1
=0.1
||x|| with•△=2
=0.1
[5] D. Luenberger, “Observers for multivariable systems”,
12
IEEE Transaction on Automatic Control, 11(2), 1966, pp.
10
190-197
[6] A. Alessandri and P. Coletta, “Switching observers for
8 continuous time and discrete-time linear systems”,
x
||x||

Proceedings of the American Control Conference, 2001,

6
4
2 systems”, Proceedings of the 41st IEEE Conference on
0
0 1 2 3 4 5 6 7
t Verschure, “Two approaches to state estimation for a
Figure 3. Estimated error state x
We can see that the eventual bound of error
estimation state with Δ = 2 is obviously larger than
the eventual bound of error estimation state with
Δ = 0.1 , which is according to the result of Theorem
3.
6. Conclusions
In this paper observer design and analysis for
switched systems with matching and mismatching
switching signal is investigated. When the observer
switching signal matches the original system switching
signal, the exponentially asymptotic observer is
developed. With mismatching switching signal, the
error state is bounded by the proposed observer in this
paper, and the bound is related to the length of the
mismatching period. At last, numerical examples has
shown the results proposed in this paper.
pp. 2516–2521
[7] L.A. Juloski, H.M.P.W. Heemels and S. Weiland,
“Observer design for a class of piecewise affine
Decision and Control, 2002, pp. 2606–2611
8 [8] J L.A. Juloski, H.M.P.W. Heemels, Y. Boers Y and F.
class of piecewise affine systems”, Proceedings of the
42nd IEEE Conference on Decision and Control, 2003,
pp. 143–148
[9] S. Pettersson, “Observer design for switched systems
using multiple quadratic Lyapunov functions”,
Proceedings of the 2005 IEEE International Symposium
on Intelligent Control, 2005, pp. 262-267
[10] J. P. Barbot, H. Saadaoui, M. Djemai and N.
Manamanni, “Nonlinear observer for autonomous
switching systems with jumps”, Nonlinear Analysis:
Hybrid System, 2007, pp. 537-547
[11] W. Chen and S. Mehrdad, “Observer Design for Linear
Switched Control Systems”, Proceedings of ACC, 2004,
pp. 5796-5801
[12] R. Decarlo, M.S. Branicky and B. Lennartson,
“Perspective and results on the stability and
stabilizability of hybrid systems”, Proceedings of IEEE,
88(7), 2000, pp. 1069-1082

Acknowledge

654
 2008 International Conference on Intelligent Computation Technology and Automation

Observer design for discrete-time positive systems with delays

Qinzhen Huang
Institute of Electrical and Information Engineering,
Southwest University for Nationalities of China
qinzhenhuang@gmail.com

Abstract seen an approximation of the real states and can be

This paper addresses positive observer design
problem for discrete-time positive systems with multi-
delays. Both the positive observer and the positive sys-
tems share the nonnegativity of their states. The ob-
server is of Luenberguer-type, which is an extension of
the classical linear observer. A set of equivalent neces-
sary and sufficient conditions is proposed for the exis-
tence of the Luenberguer-type positive observer. All
the results are formulated as linear programming (LP)
and linear matrix inequality (LMI) problems and
therefore can be easily verified or implemented. The
obtained theoretical results are demonstrated by a
numerical example.
1. Introduction
Many physical systems involve variables that have
nonnegative sign, say, population of animals, absolute
temperature, and so on. Such systems are referred to as
positive systems [1-3], which means that their states
and outputs are nonnegative whenever the initial con-
ditions and inputs are nonnegative. Much attention has
been paid to this field during the past decades [4-12].
This paper will explore positive observer designing for
discrete-time dynamic positive systems, which means
that both the observer and the systems share the non-
negativity of their states.
Stability analysis and design of controllers for posi-
tive systems with constraints have been extensively
studied, see for example [13-18]. In the above men-
tioned literature, the stabilization of positive systems
was realized by a feedback controller. And it is well
known that, in many cases of real engineering, the
states of the system to be stabilized can not be obtained
in a simple way, or not be obtained at all. In this situa-
tion, an alternate approach overcoming this shortage is
to designing a observer by which the states of the ob-
served system is available in the sense that it can be
employed for further use. Therefore, there have been
several papers focused on the observation problem on
the positive systems [18, 9, 19]. Ref. [19] was the first
study of this subject, where only a subclass of positive
systems called compartmental systems is considered.
In Ref. [9], the observation problem of discrete-time
positive system without delays was discussed. More
recently, [18] considered this problem for continuous-
time positive systems with delays. As far as the author
knows, the observation problem of discrete-time posi-
tive systems with delays remains an open problem.
Thus in this paper, the aim is to discuss the observer
design for discrete-time positive systems with delays.
It will be shown that the necessary and sufficient con-
dition of the existence of positive systems under con-
sideration can be formulated as linear programming
(LP) and linear matrix inequality (LMI) problems. The
remainder of this paper is organized as follows. In Sec-
tion 2, notation and necessary preliminaries are pre-
sented. Subsection 3 treats positive observer design for
delayed discrete-time systems, resulting in a set of
necessary and sufficient conditions guaranteeing the
existence of positive observer. A numerical example is
given in Section 4, and Section 5 concludes this paper.
2. Problem statements and preliminaries

978-0-7695-3357-5/08 $25.00 © 2008 IEEE 655

DOI 10.1109/ICICTA.2008.478
 The following notation of matrices will be used
throughout this paper:
and represent the th row vector of matrices 3. Main results
and , respectively. The dimensions of matrices and
Consider the delayed system
vectors will not be explicitly mentioned if clear from
context.
Consider the system (3.1)
(2.1)
The following definitions and lemmas are needed.
Definition 1. [20] System (2.1) is positive if non- where
negativity of its initial condition implies that of its tra- and are as in (2.2). The trajectory of (3.1), , is
jectory. assumed to be unknown. and .
Definition 2. [9] A real matrix is called a Schur According to Lemma 4, system (3.1) is positive.
matrix if and only if system is stable. Based on the classical approach of linear observers
Lemma 1. [20] System (2.1) is positive if and only [23], an extended Luenberguer-type observer for
if . System (3.1) is given
Lemma 2. [13, 9] Assume that system (2.1) is posi-
tive. It is stable if and only if there exists 
such that
(3.2)
Lemma 3. [20] Suppose that system (2.1) is posi-
tive. It is stable if and only if there exist a positive
definite matrix such that
Consider the delayed system where the matrix is the gain matrix to be
determined later to fulfill the nonnegativity of ob-
(2.2) server's state and its asymptotical convergence to
real state as time goes on. Observer with such
where is the property is referred to as positive observer.
vector-valued initial function, Note that system (3.2) is equivalent to
are time delays taking values in .
Definition 3. System (2.2) is said to be positive if (3.3)
and only if for any initial condition , the cor-
responding trajectory holds for all . Theorem 1. For system (3.1), the following state-
ments are equivalent.
Lemma 4. [21] System (2.2) is positive if and only
I. There exists a positive observer of form (3.2) for
if
system (3.1).
Lemma 5. [21] Suppose that system (2.2) is posi-
II.
tive. Then it is stable if and only if there exists a vector
is a Schur matrix.
such that
III. (LP problem) There exists a vector
and a matrix
Remark 1. Since system (2.2) is positive, by such that (3.4) and (3.5) hold.
Lemma 4, , which means that
. Combining Lemmas 2 and 5, one can (3.4)
see that is Schur matrix if (2.2) is positive
and stable, and so is . (3.5)
Lemma 6. [22] If , Moreover,
and depending affinely on , then the following IV. (LMI problem) There exists a matrix
inequality are equivalent. and a matrix
such that (3.6) and (3.7) hold.

656
 In other words, the fact that is a
(3.6) Schur matrix is equivalent to (3.5).
Furthermore,

(3.7)

Moreover, Similarly,
Proof. This proof will be finished by showing I II,
II III and II IV.
I II. We first show that I II, and then I II.
Consider the augmented system corresponding to
(3.1) and (3.3),
That is, and
(3.8) are equivalent to
This part is finished.
Finally show that II IV. Suppose
where is a zero matrix with appropriate dimension. is a Schur matrix.
By Lemma 4, (3.8) is positive if and only if As already stated, is a positive
Schur matrix, which is further equivalent to that there
Define the error vector between and exist a matrix such
as , and the the following error dy- that (by Lemma 3)
namics is obtained
(3.10)
(3.9)
By Lemma 6, (3.10) is equivalent to
Since the error will asymptotically converge to
zero, (3.9) is stable. Obviously, (3.9) is positive. Ac-
cording to Remark 1, is a Schur (3.11)
matrix. Thus I II holds.
To show II I, it suffices to note that the above- Let , and it follows from (3.11) that
mentioned process is reversible, and therefore if condi-
tions in II hold, then (3.2) is a positive observer for
system (3.1). So, Statements I and II are equivalent.
II III. Suppose that
and is a Schur matrix,
and that with
and .
Because .
Therefore, is a positive Schur matrix
and so is . By Lemma 2, this is Therefore, (3.7) holds.
equivalent the existence of a vector such On the other hand,
that .
Since one has
Moreover,
Likewise, it is easy to show

That is to say, II IV holds.

The proof is completed.

657
4. Numerical example LMI method. By means of LMI toolbox and IV in
Theorem 1, gain matrix is calculated
Consider the following system

(4.1) The simulation results are shown in Figs. 4, 5, and 6.

7
{1 (w)
6
where , and {2 (w)

x(w)
3

0
0 50 100 150
w
Since (4.1) must be positive.
Figure 4: States of system (4.1)
Two methods are used to design the Luenberguer-type
8
observers: LP method and LMI method. 7
{ˆ1 (w)
{ˆ2 (w)
LP method. Using Linear Programming toolbox 6
and III in Theorem 1, one obtains 5

x̂(w)
4

The simulation results are shown in Figs. 1, 2, and 3. 2

7 1
{1 (w)
6 0
{2 (w) 0 50 w 100 150

5
Figure 5: States of the observer for system (4.1)
4
1.2
x(w)

h1 (w)
3
1
h2 (w)
2
0.8

1
0.6
e(w)

0
0 50 100 150 0.4
w
0.2
Figure 1: States of system (4.1)
0
8
{ˆ1 (w)
7 -0.2
{ˆ2 (w) 0 50 w 100 150
6

5
Figure 6: States of the error dynamic system
4
x̂(w)

3 5. Conclusions
2

1 The Luenberguer-type positive observer problem is

0
0 50 w 100 150
considered for the positive systems with multi-delays.
The necessary and sufficient conditions are established
Figure 2: States of the observer for system (4.1)
for the existence of such type observer. A numerical
1.2
h1 (w) example was provided to illustrate the effectiveness
1
h2 (w) and correctness of the obtained theoretical results.
0.8

0.6
6. References
e(w)

0.4

0.2 [1] A. Berman, M. Neumann, and R. J. Stern, Nonnegative

0 matrices in dynamic systems. New York: Wiley, 1989.
-0.2
0 50 w 100 150
[2] T. Kaczorek, 1-D and 2-D Systems. Berlin: Springer-
Figure 3: States of the error dynamic system Verlag, 2002.

658
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[4] L. Benvenuti, A. D. Santis, and L. Farina, Positive Sys-
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[5] D. Hinrichsen, N. K. Son, and P. H. A. Ngoc, “Stability
radii of higher order positive difference systems,” System &
Control Letters, vol. 49, pp. 377-388, 2003.
[6] T. Kaczorek, “Some recent developments in positive 2D
systems,” in POSTA, 2003, pp. 345-352.
[7] J. E. Kurek, “Stability of positive 2-D system described
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[8] P. D. Leenheer and D. Aeyels, “Stabilization of positive
linear systems,” Systems &Control Letters, vol. 44, no. 4, pp.
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[9] M. A. Rami and F. Tadeo, “Positive observation problem
for linear discrete positive systems,” in Proceedings of the
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 2008 International Conference on Intelligent Computation Technology and Automation

Optimization of Regional Coverage Reconnaissance Satellite Constellation by

Improved NSGA-II Algorithm
Cheng Si-wei ，Zhang Hui， Shen Lin-cheng，Chen Jing
College of Electromechanical Engineering and Automation
National University of Defense Technology
Changsha, Hunan , China
cswlss@hotmail.com

Abstract Regional satellite constellation design, In

The paper presents a new method to design regional
coverage satellite constellation, the non-dominated
sorting genetic algorithm II(NSGA-II) based on Pareto
optimal is improved and applied it to the optimization
of regional coverage satellite constellation. The best
solution ， depending on the importance of different
objects, is selected by a kind of multi attributes
decision making method. Simulation on
reconnaissance satellite constellation are presented.
The results of the simulation realized by STK and
Visual C++ show that the algorithm can get a group of
Pareto solutions. The algorithm presented in this paper
can avoid selecting weights of multiple objects. On the
other hand, compared with the simple genetic
algorithm, our algorithm is more active. Thus this
method provides a new idea for solving the question of
optimization of satellite constellation with multiple
objectives .
1. Introduction
With the development of micro-satellite technology,
the research on optimization of Satellite constellation
becomes a focus in space field. Among the existing
design method of satellite constellation, Walker
method and Street of Coverage method can get good
result regarding constellation optimization of globe
coverage or latitude zonal coverage. But there haven’t
had universal method to solve the regional coverage
constellation optimization because of variety and
flexibility of the problem. In literatures[1-3], Genetic
Algorithms(GA) was used to solve regional coverage
constellation optimization. But the optimization
problem is considered simple-objective in these
literatures .William J.Mason[4] in Illinois university
applies a pareto optimal-based genetic algorithm to the
design of non-circular orbit constellations.
Literatures[5-7] applies multi-objective GA to
Literatures[5][6] they deal with telecommunication
satellites which do not consider imaging effects.
Literature[7] only considers satellites with
geostationary orbit, so the problem is comparatively
simple and the number of decision variable in
optimization problem is fewer.
The optimization of reconnaissance satellite
constellation is a complex multi-objective optimization
problem. Reconnaissance satellite constellation is to
find and recognize the target. In the paper, the target
means a point on the earth which can be express by
latitude and longitude, we call them spot target. When
designing and optimizing reconnaissance satellite
constellation, we must consider some other special
requests, such as detecting and recognition probability
of important target. So the optimization of
reconnaissance satellite constellation involves more
optimization objectives than normal constellation
optimization. Additionally these objectives are
complex and have no mathematical expression. The
decision–making can not give proper quantity power of
each objective in advance.
This paper addresses the optimization of regional
coverage reconnaissance satellite constellations based
on foregoing research[1-7], proposes a method which
uses improved NSGA-II to optimize regional coverage
reconnaissance satellite constellations .The improved
NSGA-II is combined with Satellite Tool Kit and used
to produce several constellations that yield optimal
regional coverage. The results of the simulation
realized by STK and Visual C++ show that the
algorithm can get a group of Pareto solutions. The
algorithm presented in this paper can avoid to select
weights of multiple objects. On the other hand,
compared with the simple genetic algorithm, our
algorithm is more active. Thus this method provides a
new idea for solving the question of optimization of
satellite constellation with multiple objectives .

978-0-7695-3357-5/08 $25.00 © 2008 IEEE 660

DOI 10.1109/ICICTA.2008.322
2. Improved NSGA-II Algorithm
The presence of multiple objectives in a problem, in
principle, gives rise to a set of optimal solutions
P(largely known as Pareto-optimal solutions), instead
of a single optimal solution. A solution in P is said to
be Pareto optimal for (MOP) if all other solutions in P
have a higher value for at least one of the objective
functions , or else have the same value for all objective
functions. The concept of pareto optimal based on set
theory is a multi-objective vector assessment mode.
Evolutionary algorithm based on populations
generation can search space to get a number of
solutions, and to make use of the similarity of different
solutions to improve their efficiency in solving
problems .With evolution algorithm and Pareto optimal
combined, multi-objective evolution algorithm based
on Pareto Optimal concept can be produced.
The Non-dominated Sorting Genetic Algorithm
(NSGA)[8] firstly proposed in 1995 by Srinivas and
Deb was one of Multi-Objective Genetic Algorithms
based on Pareto optimal concept. Using selection
operator differently is the main differences between
NSGA and Simple genetic algorithm, but crossover
operator and mutation operator have no change. The
main idea of NSGA:(1)Population is sorted by the non-
dominated sorting algorithm, and the next generation is
obtained by operating selection operator;(2）Using the
sharing function approach to maintain the diversity of
population.
Compared with the NSGA, NSGA-II has the
following advantages:(1)Proposing a fast non-
dominated sorting approach, and the computational
complexity has reduced from O(mN 3 ) to
O(mN 2 ) (where m is the number of objectives and N
is the population size).(2)Crowding distance and
crowded comparison operator are proposed.(3)The
introduction of elitist strategy expands the sample
space.
In practical application, there still exist some
problems in NSGA-II. The author made the following
changes to further reduce the computational
complexity. In traditional NSGA-II, we should
calculate crowding distances and sorting by crowded
comparison of solutions in every level after a fast non-
dominated sorting,. But it only does effect when
selecting proper individuals in Fi to maintain
population size. As shown in Figure1.
661
Figure1Selecting N individuals from the combined
population
So we needn’t calculate crowding distances and sort
in descending order using ≥n in level 1 up to i-1,only
deal with level i. The flowchart of improved NSGA-II
is given in Figure.2(N is the population size).
Step1:Initialization.: Initially, a random parent population P0 is
created. The population is sorted based on the non-domination. Each
solution is assigned a fitness equal to its non-domination level (1 is
the best level).Binary tournament selection, recombination, and
mutation operators are used to create a child population Q0 of size
N.
Step2:t=0 ;
Step3: While t<N
Rt= Pt∪Qt combine parent and children population
F=fast-nondominated-sort (Rt) F={F1,F2,…,}, all non-
dominated of Rt
Pt+1=[];
i=1;
Until |Pt+1|<N till the parent population is filled
If | Pt+1+Fi|>N if Fi is the latest level being added to Pt+1
Crowding-distance-assignment(F i) Calculate crowing distance in Fi,
Sort(Fi, ≥n), sort Fi in descending order using ≥
n
Pt+1= Pt+1 ∪ Fi include i-th non-dominated front in the
parent pop
i=i+1;
Pt+1= Pt+1 [1：N] choose the first N elements of Pt+1
Qt+1=make-new-pop(Pt+1) use selection,crossover and mutation
to create a new population
t=t+1
Figure2 flowchart of improved NSGA-II
3. NSGA-II Realization in constellation
optimization
Optimization of Reconnaissance regional coverage
satellite constellation is a typical multi-objective
optimization problem(MOP). The optimal solutions to
MOP are non-dominated solutions known as Pareto
optimal solutions. NSGA has been increasingly
investigated to solve MOP[9][10]. This section
presents a NSGA based approach to find the
approximate Pareto set of Optimization of
Reconnaissance regional coverage satellite
constellation .
3.1.Chromosome Representation of
Constellation
Each satellite in the space of six locations can be
used to define classical orbital parameters: orbit semi-
major axis a, eccentricity e, inclination i, longitude
ascending nodeΩ,perigee angleω,and mean anomaly
M. Considering the impact of perturbation and launch
issues, each satellite in a constellation has the same
orbit semi-major axis, eccentricity and inclination
generally, so that there are 3N+3 parameters regarding
a constellation which owns N satellites.
Established the possible maximum number of
N
max , Constellation
satellites in constellation is
chromosome structure is shown in Figure 3.
Figure3 Data structure of chromosome representation
3.2. Objective Function
The needs come from practical application
determine the demanded performance of satellite
constellation. The most important is a constellation’s
capacity of coverage over the targets. The coverage
performance of the constellation can be evaluated by:
(a) the percentage of coverage; (b) the maximum
coverage interval; (c) the average coverage interval; (d)
time average interval; (e) average responding time and
so on [11-13]. In terms of different applications, one
can select one or more of these evaluation indexes to
measure the coverage performance of the constellation.
In addition to the consideration of the need for
coverage performance, there are many other needs that
should be considered for Reconnaissance satellite.
Reconnaissance satellite constellation required high
maximum revisit gap to some spot target surveillance
and high-resolution imaging.
Based on above analysis, the objective functions
must be at least three objectives: Maximum time
interval(O1) to visit spot target must be less than some
given time interval L_T so that constellation can
revisit this spot target within L_T, imaging
resolution(O2) as high as possible, the number of
satellites(O3) in the constellation as little as possible.
The imaging resolution(O2) is determined by
satellite orbit height when the parameters of space-
borne sensors are known in advance .so optimization
of objective O2 can be transformed into satellite orbit
height restrictions prior to the beginning of
optimization process . Therefore optimization process
only need to consider the spot target of the maximum
revisit gap(O1). The spot target of maximum revisit
662
flag i
The parameters is used to illustrate
whether the i-th satellite is in the constellation
flag i =0 means false; that flag
i = 1 means true), so
(
the length of this constellation of chromosomes can be
kept constant, while the number of satellites in the
N max
N= ∑ flag
i =1
i
constellation is : .
Simple genetic algorithm often uses binary encode,
In this paper we use real number encode instead of
binary encode in order to enhance the accuracy of
chromosome description and the precision of the
algorithm.
gap within the specified time means the maximum
access time interval the constellation can achieve to the
spot target, that is, how often the constellation can
finish one target reconnaissance.
O1 can be achieved by using the Access module of
STK to analysis visibility .On the assumption that the
satellite use the optical detector , the solving method of
O1 is as follows: firstly ,use STK visibility of analysis
tools to get each satellite’s visibility time windows to
the spot target (T1) at that time, then combine all the
visibility time windows of all satellites in the
constellation, sort visibility time windows, calculate
maximum access time interval in simulation time
through sorted visibility time windows. Specific
process is described as follows：
There are K satellites in the constellation, visibility
time windows between satellite i(i = 1,2… K) and the
target point j are expressed as follows:
Wij = {[ bnij , enij ]/ nij =1，..TN ij },
where TN ij is the number of visibility time windows
between satellite i and target point j.
So the visibility time windows between constellation
and the target point j can be expressed as:
Wl = {[ bl , el ]/ l =1,…TN},
where TN is the number of visibility time window
between constellation and target point j, which satisfies
K
∑
TN<= TN ij .Here involved merger of the visibility
i =1
time window, the merger strategies of the visibility
time window are as follows:
Traversing satellites each time window, Sort time 2006,and ended at 12:00 on July 1, 2006. Assuming
window of all K satellites according to the time that there are ten important ground targets which
sequence and then get a time window sequence of distribute in the region, the reconnaissance satellite
entire K satellites. constellation meets the requirements of every 12 hours
If the start time of the following time window is less to carry out a reconnaissance imaging for every given
than the end time of the previous time window, the target (established some factors such as clouds and
time window merger operations is done. weather are not considered here). Table 1 shows the
After the merger, the start time of the time window is location of key observation.
the start time of previous time window, the end time is
Table1 location of key observation
the end time of following time window.
target longitud（degree） latitude（degree）
target1 80 10
target 2 120 40
STK\Connect
target 3 130 10
target 4 130 50
target 5 98 48
target 6 98 5
target 7 95 25
STK\Connect
target 8 110 20
target 9 83 35
target10 78 50
Sun-synchronous orbit satellites with an orbital altitude
Yes
800 kilometers are considered here. Assuming that
space-borne sensors are rectangular sensor, with
STK\Connect

No
vertical field of view angle 45 degrees and level field
of view angle 1 degree. elevation angle is±30 degrees.
Population size is 20 and the generation span is 100.
NSGA-II algorithm is achieved by Visual C++. The
computation of the O1 parameters is achieved by STK
which is a powerful analytical tool of satellite.
We use optimization algorithm to find a set of Pareto
solutions, then adopt lexicographic order method to
Yes
choose among these solutions.
No

Yes
Table2 Optimization design schemes
O1 scheme1 scheme 2 scheme 3 scheme 4
No
target1(min) 343 541 567 537
target 2(min) 346 529 486 717
target 3(min) 609 585 651 710
Figure 4. simulation flowchart target 4(min) 320 521 481 504
Thus, maximum revisit gap of the target point j can be target 5(min) 342 629 425 629
calculated as follows: target 6(min) 713 654 753 654
TN −1
Tj = max ( bl − el−1 )
target 7(min) 703 702 643 518

l =1 target 8(min) 611 586 546 715

The simulation flowchart is shown in Figure4. target 9(min) 637 526 478 509
target 10(min) 628 521 628 504

4. Simulation Test There are 20 solutions in 100 generation, By

comparing the maximum revisit gap of the ten spot
Select constellation coverage as follows: targets, the algorithm get 4 Pareto optimal solution
which represent optimization schemes of
λ min = 80 D
, λ max = 1 30 D
reconnaissance constellation, as shown in Table 2.
ϕ min = 0 D
, ϕ max = 50 D
Assume that decision-makers require that target 1 and
target 2 need to be careful observed which means the
where λ is geographic longitude and φ is geographic maximum revisit gap of these two target are as small as
latitude. Simulation started at 12:00 on June 1,
possible ， and other targets only need to meet the

663
requirement that a reconnaissance imaging is carried
out every 12 hours. According to the guideline, user
chooses scheme 1 using lexicographic order method.
Table3 gives corresponding constellation
configuration.
Table 3 Optimization results
ω Satellite
a(km) e i(deg) Ω(deg) M(deg)
(deg) number
274.4734 205.1919
293.7607 249.0380
195.5663 192.1405
7178.137 0 98.5957 0 6
286.1518 77.0404
219.8671 282.2492
209.2453 266.6257
Simulation results show NSGA-II can solve multi-
objective optimization problem and get a number of
Pareto solutions, these solutions have their own
advantages in different optimization objects, decision-
makers select solutions based on different requires.
Compared with simple genetic algorithm, The main
advantages of the method are followings:(1)Avoid
selecting weights of objects. When using simple
genetic algorithm, multi-objective problem are
transformed into single-objective problem and
selection of the weights are subjective.(2)Algorithm
has good flexibility. NSGA-II only needs to use
lexicographic order method to sort previous Pareto
solutions, avoid calculating the solution again.
5. Conclusion
In recent years, genetic algorithm are widely used in
the design of regional coverage satellite constellation.
This paper deal with regional coverage satellite
Constellation optimization as MOP, applies improved
NSGA-II algorithm and multi-attribute decision-
making method to regional coverage satellite
constellation on the basis of foregoing researches. To
illustrate the method in the paper, simulation are
presented. Simulation results prove the method is
practical and effective. Compared with traditional
simple genetic algorithm, the method have some
advantages such as good flexibility and avoiding
selecting weights of objects, so the algorithm is more
practical for optimization of regional coverage satellite
constellation optimization. In addition, the method
presented in the paper can be applied to the general
satellite constellation optimization problem.
6. References
[1] E.Frayssinhes, “Investigating new satellite constellation
geometries with genetic algorithms”, AAS/AIAA
664
Astrodynamics specialist conference, San Diego, California,
1996, 582-588.
[2] E. R. George, “Optimization of satellite constellations for
discontinuous global coverage via genetic algorithms”,
AAS/AIAA Astrodynamics specialist conference, Sun
Valley, 1997, 333-346.
[3] M. Asvial, R. Tafazolli, B. G. Evans, “Non-GEO Satellite
Constellation Design with Satellite Diversity Using Genetic
Algorithm”. 20th AIAA International Communication
Satellite Systems Conference and Exhibit , Montreal,
Quebec, Canada,2002
[4] William J. Mason, Coverstone-Carroll V., and Hartmann
J. ‘‘Optimal Earth Orbiting Satellite Constellation via a
Pareto Genetic Algorithm’’, AIAA/AAS Astrodynamics
Specialist Conference and Exhibit, Boston, Massachusetts,
1998, pp.169-177.
[5] Yan Zhi-wei, Tian Jing et al. “Optimization of regional
coverage satellite constellation by Improved NSGA-II
algorithm”. Chinese Journal of space Science，24(1) ,2004,
pp. 43-50.
[6] Zeng Yu-jiang, Hu Xiulin,Wang Xianhui, Ying Wang.
“Regional telecommunication satellite constellation design
tradeoffs”. Second International Conference on Space
Information Technology, Proceedings of the SPIE, 6795,
2007, 679559.
[7] Li Su-dan , Zhu Jiang, and Li Guang-xia. “Optimization
of LEO regional communication satellite constellation with
GA algorithm”. Chinese Journal on Communications ，
8(2),2005, pp. 254-259.
[8]Deb K., Agrawal S., Pratap A., Meyarivan T., “A Fast
Elitist Non-dominated Sorting Genetic Algorithm for Multi-
Objective Optimization: NSGA-II”, Proceedings of the
Parallel Problem Solving from Nature VI (PPSNVI) ,2000,
849-858.
[9]Carlos,A, Coello Coello, “A Comprehensive Survey of
Evolutionary-Based Multiobjective Optimization
Techniques”. Knowledge and Information Systems.
3(1),1999, pp. 269-308.
[10]Van Veldhuizen,D.A., Lamont G.B, ‘‘Multiobjective
Evolutionary Algorithms:Analyzing the State-of-the-Art’’.
Evolutionary Computation, Vol.8, No.2 (2000) pp. 125-147
[11]M. Asvial, R. Tafazolli, and B. G. Evans, “Modified
GSC for hybrid satellite constellation”, IEE Electronics
Letters, 26th September, 2002.,vol. 38, no. 20, pp.1216–1217.
[12]M. Asvial, R. Tafazolli, and B. G. Evans, “Genetic
hybrid satellite constellation design”, 21st International
Communications Satellite Systems Conference and Exhibit,
2003.
[13]M. Asvial, R. Tafazolli, and B. G. Evans, “Satellite
constellation design and radio resource management using
genetic algorithm”, Communications, IEE Proceedings ,
June,2004, pp. 204-209.
 2008 International Conference on Intelligent Computation Technology and Automation
Qualitative Simulation for the Global Performance of Conceptual Design
Hailin Feng, Guanghui Li
School of Information Science and Technology, ZheJiang Forestry University
hlfeng@mail.ustc.edu.cn
Abstract
The qualitative simulation was used in the global
performance and consistency analysis of conceptual
design with incomplete knowledge. The qualitative
information matrices and the qualitative algebraic
relations were given to be basic parts of qualitative
reasoning. The Space configuration of mechanism is
also expatiated. The steady-state response of the
mechanism inside a truck was built by supposing that
it was running at a uniform speed. The relationship
between the steady response parameter and the
barycentric position ones were given. The result shows
that the qualitative simulation analysis is effective in
the conceptual design stage and the steady response is
important in the design process.
1. Introduction
Qualitative simulation is an effective strategy in
researching systems with incomplete knowledge[1].
Qualitative diagram reasoning and qualitative spatial
reasoning, as the most similar to cognizing ways of
human being, are one of the focuses in this field in
recent years and have widely application foreground
[2,3]. In later stage of mechanism design process, once
a component is specified, all the other components in
the mechanism, whether direct relationship or indirect
relationship they have with this specified one, have to
be compatible with its direction, position and
orientation constrains[4]. Unfortunately, quantitative
information necessary to evaluate spatial solutions of a
mechanism is usually unavailable in the conceptual
phase of design. Therefore the spatial configuration
problem cannot be quantitatively solved until the later
stages of design, and a little change of the mechanism
would lead to a large cost in the stages behind[5,6].
At the stage of conceptual design of mechanisms,
there are several steps we have to follow in traditional
ways. Firstly appropriate types of mechanisms are
chosen for a specific task through conceptual synthesis,
978-0-7695-3357-5/08 $25.00 © 2008 IEEE 665
DOI 10.1109/ICICTA.2008.461
and then a further evaluation process is carried out to
select the most promising mechanism for the
downstream design process. Hence, to deal with the
spatial configuration earlier in the mechanism design
process, which can reason about or predict the spatial
solutions of a mechanism based only on qualitative
information, is an effective spatial reasoning
method[7,8].
In this paper, to deal with the incomplete
knowledge in the conceptual design, the qualitative
descriptions of basal components of mechanism
configuration are presented to represent the direction
and poison in spatial reasoning. After the static
reasoning and dynamic analysis of the conceptual
design of the mechanism configuration first, the global
explanation and consistency analysis are considered in
the next stage. The qualitative information matrices
and the qualitative algebraic relations of the sign are
given to be basal parts of qualitative reasoning. The
Space configuration of mechanism is also expatiated.
The carrying truck is looked as a two-degree of
freedom kinetic system. The steady-state response of
the truck is built when it is running at a uniform speed
and suddenly suffering an input from the fore wheel.
The relationship between the steady response
parameter and the barycentric position parameters are
given, and the results show that the barycentre of the
bodywork is important to steady response in the design
process.
2. Qualitative representation
Assume that a complicated mechanism is composed
of several primitive mechanisms, we called these
components. These mechanisms are actually
constructed from a combination of basic building
blocks such as crank-rocker, cam-oscillating follower,
slider-crank and piston etc. Following the input and
output functions of these components, we define
qualitative information vector to present,
correspondingly, following the output position of the
components, we define position vector.
 The qualitative information vector (QIV) was
introduced to represent the components in 3-D space,
which is composed of two sub-vectors[7]. One is to
describe the dynamic function of the component - S
(source) and the other is to describe the output
function of the component - O (output). S and O are
represented as [x, y, z] (x, y, z ∈{+,0,-,r}). The
Position Vector (PV) is defined to represent the
position of the components in space.
In the reasoning process, more complicated
components are generated one by one with the basic
components in the mechanism chain until the
complicated component equal to the mechanism. And
the Mechanical Configuration Matrix is composed
with the QIVs of components as well as the Output
Position Vector is composed with their PVs
⎛0 0 r ⎞
⎜ ⎟
⎝0 0 r ⎠
⎛0 0 m⎞
⎜ ⎟
⎝0 r 0⎠
Figure 1. Primitive mechanical parts
3. Qualitative algebraic relations
The qualitative constraints represent the relation
with corresponding values[9]. The qualitative addition
is defined as the ADD operator for qualitative sign
algebra.
Table 1. Qualitative addition relations
Add ＋ 0 － r
≠ information vector and position vector of every
＋ ＋ ＋ *
0 ＋ 0 — r
－ * — — ≠ one direction and there could bring out four branches
r ≠ r ≠ r that indicate there are four possible output manners.
The rules are defined based on qualitative sign
operations, “r” means it rotates around a certain axis
while “+” means the positive direction of an axis, “-”
means negative direction of an axis, “0” means there
has no movement in this direction. “*” means that we
can not specify the result, it might be one of the {+, -,
0}. “≠” presents that there is no meaning for this
666
reasoning. With these rules, we can extend to 2D or
3D space easily.
4. Space configuration of mechanism
In the spatial reasoning stage in the conceptual
design of mechanism configuration, the key problem is
to judge whether the designed mechanisms are fit for
the designed requirements imposed by spatial
constraints and movement manner in the conceptual
design stage. The basal components in the mechanisms
are described by space configuration information with
qualitative knowledge, which is constituted by two
parts: the first one is mechanical configuration matrix
reasoned from qualitative information vector of
functional part; and the other one is spatial output
position vector. By judging whether space qualitative
configuration information offered by the two parts is
fit for the designed requirements, the total space
information of the mechanism can be confirmed
roughly in the conceptual design stage.
The reasoning process can be expressed clearly by
using reasoning tree pattern. The qualitative
configuration matrix and output position vector are
derived at the leaf end of reasoning tree after through
the path from root to leaf of reasoning tree. The
qualitative configuration description can be defined as
source and output. Source denotes initial movement
manner of functional component of machine that is the
motility that supports the original power for the whole
machine. Output means output movement manner for
the whole machine, and output position vector stands
for output for the whole machine, which is the space
information of output relative to input.
When there are output movements in one direction
for certain functional part which has been linked with
another functional part, so there could be positive or
negative changes in another direction and produce two
branches. The mechanical configuration matrix and
output vector can be finally concluded by qualitative
functional component. In the following design process
there could be positive or negative changes again in
Accordingly it is possible that there are branches in the
vector reasoning process.
5. Global explanation and consistency
analysis
After the static reasoning and dynamic analysis of
the conceptual design of the mechanism configuration
in our former work, the global explanation and ⎧ 1
consistency analysis will be considered in next stage. ⎪⎪(k1 + k2 )β + V ( ak1－bk2 ) r－k1δ = M (v '+ rV ) (6)
The carrying truck can be looked as a two-degree of ⎨
freedom kinetic system. Here we will build the steady- ⎪ (ak －bk )β + 1 ( a 2 k + b 2 k ) r－ak δ = I r '
state response of the truck when it is running at a ⎪⎩ 1 2
V
1 2 1 z

uniform speed and suddenly suffering an input from Because the truck that we are studying is supposed
the fore wheel, which implies the steering wheel turns to take a uniform speed, so the weaving angular
with a rush. As showed in the figure 4. velocity r is constant, and we have v ' = 0 and r ' = 0 .
Then the equations (6) turn to:
⎧ v 1
⎪⎪ (k1 + k2 ) V + V (ak1－bk2 )r－k1δ = MVr
⎨ (7)
⎪(ak －bk ) v + 1 (a 2 k + b 2 k )r－ak δ = 0
⎪⎩ 1 2
V V
1 2 1

The v in the (7) can be canceled to calculate the

angular velocity r. Commonly, in a steady state the
weaving angular velocity aroused by the turn angle of
the fore wheels can be called as steady gaining of the
weaving angular velocity, and denoted as the symbol
r
( )s .
δ
Then we get:
r k1k2 LV
( )s =
δ M (ak1－bk2 )V 2 + k1k2 (a + b) 2
Figure 2. The two-degree of freedom turning model V /L
In figure 2, the fore wheels of the truck turn right at = (8)
M a b
an angle δ ; the speed of the fore and back axis are V1 1 + 2 ( － )V 2
and V2; the deflection angles in the side are a1 and a2; L k2 k1
the deflection angle in the center is β ; the speed of the We define:
truck is V; the speed towards the side along the y-axis M a b
is v. Then we have: K= ( − )
L2 k2 k1
v
β= (1) Then the equation of (8) is turned to:
V r V /L
Followed our definition of the coordinate system, ( )s = (9)
the deflection angle of the fore wheel a1 is: δ 1 + KV 2
α1 = − ( δ − ξ ) = ξ − δ
Here K is called as stability factor, and it is usually
(2)
taken as the parameter to denote the stability turning
Here ξ is the included angle between the speed character of the truck.
vector of fore axis and the x-axis. As shown in the equation (9), the stability factor K
v +αr αr has a close relation with a and b when the lateral
ξ= =β+ (3) deviation rigidity k1 and k2 of the fore and trailing
V V wheels are fixed. However, in lots of situations we
So we have: can’t find the relationship between the needed
αr parameters from the kinetic equations. Here we take
α1 = β + −δ (4) the global consistency explanation by using QSIM
V
algorism.
Similarly, we can get:
The traditional QSIM algorism estimates the
br
α2 = β − (5) qualitative behaviors of the system at different
V intervals. Here if we take the continuously
Then we build the two-degree of freedom kinetic differentiable function of time t as the subject
differential equation of the model:

667
investigated, it is an analysis of the truck dynamics and ⎧ LENa = < LMAX , std >
not an analysis of design. ⎪ (11)
P3: d = d 2 ⎨ LENb = < 0, std >
So we take a different perspective to handle the ⎪ K = < (0, +∞), std >
problem, which means that the time functions of ⎩
velocity and acceleration are looked as invariables, and We can describe the qualitatively state transition
the design parameters as continuously differentiable graph of the designing parameters:
functions. In this processing mode the influencing
relationship between the needed design parameters can
be gained when the truck is moving. According to the
equations above, the differential expression of K is
turned to Qualitative Differential Equations (QDE).
Then we get the QDE of the truck’s steady state
response as follows:
⎧ 1
⎪ MULT (a, k , f1 )
⎪ 2

⎪ 1
(10)
⎪ MULT (b, k , f 2 )
⎪
⎨
1

⎪ MINUS ( f3 , f 2 )
⎪ ADD( f , f , f )
⎪ 1 3 4

⎪ MULT ( f , M , K )
⎪⎩ 4
L2
We define the length of a and b as LENa and LENb,
and the both lengths are looked as continuously
differentiable function of certain abstract design
variable d. Here d has no actual meaning by itself
because the change of the parameter depends on our
design. We use d just to imply the change of parameter
a and b. It is supposed that the length of a increases Figure 3. Qualitative state graph
from zero. The length of the whole bodywork of the From the Figure 3, we can gain the information
truck is defined as LMAX. As the length of the truck’s being represented in following cases:
bodywork is composed of the sum of length a and b, When K = 0, the turning of the truck is neutral;
so the LENb decreases from whole length of LMAX. When K > 0, the turning of the truck is deficient;
According to the I-transition and p-transition in the When K < 0, the turning of the truck is sufficient.
QSIM, the qualitative states of changing parameters in It is generally thought that in the case of K<0, i.e.
designing process are gained. It is shown as follows: the sufficient turning of the truck, the performance of
⎧ LENa = < 0, inc > the truck is very well. And from the figure 3 above we
⎪ can see the relationship between the steady response
P1: d = d 0 ⎨ LENb = < LMAX , dec >
⎪ K = < (-∞, 0), inc > parameter K and the barycentric position parameters a
⎩ and b, which means the barycentre of the bodywork is
⎧ LENa = < (0, LMAX ), inc > important to steady response in the design process.
⎪
I1: d ∈ (d 0 − d1) ⎨ LENb = < (0, LMAX ), dec >
⎪ K = < (-∞, 0), inc > 6. Conclusion
⎩
⎧ LENa = < (0, LMAX ), inc > In this paper, the global explanation and
⎪
P 2 : d = d1 ⎨ LENb = < (0, LMAX ), dec > consistency analysis are considered as the next stage
⎪ K = < 0, inc > using qualitative simulation algorithm after the
⎩
qualitative reasoning of the conceptual design in the
⎧ LENa = < (0, LMAX ), inc > mechanism configuration. The qualitative information
⎪
I 2: d ∈ (d1− d 2) ⎨LENb = < (0, LMAX ), dec > matrices and the qualitative algebraic relations of the
⎪ K = < (0, +∞), inc > sign are given to be the basic parts of qualitative
⎩
reasoning. The carrying truck is looked as a two-
degree of freedom kinetic system. The steady-state

668
response of the truck is built when it is running at a
uniform speed. The relationship between the steady
response parameter and the barycentric position
parameters are given, and the results show that the
barycentre of the bodywork is important to steady
response in the design process and the qualitative
simulation can be an alternative method to reason with
incomplete knowledge.
Acknowledge
This work was supported by Scientific Research
Foundation of Zhejiang Forestry University,
2351000848; Zhejiang Science and Technology
Project, 2007C21045.
7. References
[1] K.D. Forbus, P. Nielsen, and B. Faltings, “Qualitative
spatial reasoning: the clock project”, Artificial Intelligence,
1991, vol. 51, no. 1-3, pp. 417-471.
[2] B. Kuipers, Qualitative Reasoning, MIT Press,
Cambridge, MA, 1994.
[3] B. Fangzhou, L. Zhang, Introduction of qualitative
simulation. Publishing company of University of Sci. and
Tech. of China. 1998.
669
[4] L. Jiming, “Method of spatial reasoning based on
qualitative trigonometry”, Artificial Intelligence, 1998, vol.
98, no. 1-2, pp. 137-168.
[5] J. Lunze, “Qualitative Modeling of Linear Dynamical
Systems with Quantized State Measurements”, Automatica,
1994, Vol. 30, no. 3, pp. 417-431.
[6] A. Chakrabarti, T.P. Bligh, “An approach to functional
synthesis of solutions in mechanical conceptual design, Part
III: spatial configuration”, Research in Engineering Design,
1996, Vol. 8, no. 2, pp.116-124.
[7] H. Younghyun, L. Kunwoo, “Using sign algebra for
qualitative spatial reasoning about the configuration of
mechanisms”, Computer-Aided Design, 2002, vol. 34, no. 11,
pp. 835-848.
[8] S. Chenxi, X. Yi, and Z. Yi, “Qualitative Spatial
Reasoning and Simulation of Mechanism’s Configuration”
Journal of System Simulation, 2005, vol. 17, no. 8, pp. 2008-
2011.
[9] M. Reinhard, R. Marco, “Qualitative spatial reasoning
about relative point position”, Journal of Visual Languages
& Computing, 2008, Vol. 19, no. 1, pp. 75-98.
 2008 International Conference on Intelligent Computation Technology and Automation
Research of Interconnection Based on OPC for Simulation System & DCS in
Power Plants
Luo YuXiong , Zhao Huimin, Shen Zhongli, Zhou Yucai
College of Energy and power Engineering, Changsha University of Science &
Technology, Changsha 410076, P.R. China
E-mail: zyucai@163.com
Abstract
Simulation systems of thermal power plants now
have low using ratio just as operation simulation of
generating unit. In this paper OPC technique is used to
connect simulation system and Distributed Control
System (DCS) in order to get data shared by different
industry systems. In this way the connected system can
be utilized for training of engineers, verification test of
control strategy, and DCS commissioning &
maintenance to avoid destroying equipment for setting
improper parameter and reduce the cost of
commissioning.
1. Introduction
The generating unit above 300MW should be
equipped with simulation system according to
electricity department requirements. But the actual
utilization ratio of simulation systems is low just as
operation simulation of generating unit because of the
management level, technology updates and equipment
maintenance limitations. In addition, with the impact
of the market economy, it is becoming more and more
difficult to arrange field operation practice and training
of professional school students. Actually independent
simulation system can’t fulfill the training absolutely
with the gap to real DCS in thermal power plant. At the
same time, compared with traditional control
generating unit, DCS control simulate system should
not only support the operation training, but also
training of thermal control operator. This demand for
power plants will undoubtedly be met by organic
connection of development technology between
traditional training simulation system and Distributed
Control System (DCS).Therefore the development of
the data interface software between actual DCS and
simulation system will help DCS to send control
commands and read the simulator output for some
978-0-7695-3357-5/08 $25.00 © 2008 IEEE 670
DOI 10.1109/ICICTA.2008.453
special situation, for example, the unit is inactive,
verification test of control strategy, DCS
commissioning and maintenance. So that the original
simulation system is (some extent improved) in the
authenticity and flexibility. This method can be
extended to the universities and power plants, and has
good functional value and application prospect.
In his paper the interface software is developed
between HOLLIAS MASC DCS and the Tsinghua
Tongfang 600 MW simulation system by using
OPC(OLE for Process Control) technology. The
method is that utilizing the development toolkit
provided by Tsinghua Tongfang 600MW simulation
system to read the simulation variables which are used
to establish the OPC data source server by using
lightopc. Finally DCS OPC Client configuration is
achieved to exchange data with simulation system.
2. OPC Overview
OPC is abbreviate of a series of specification which
is the industry standard of software interconnection of
industrial control system. Until now, the newest
specification has met cross-platform applications and
various manufacturers or product developers are free to
build Client and Server by standardized OPC to meet
with any other OPC standard software for data access.
In this paper, the OPC DA system is used. OPC DA
has the Microsoft’s OLE/COM mechanism as internal
communication mechanism of applications to achieve
transparent communication for both user ends of the
communication. Otherwise OPC DA can fulfill
synchronal or asynchronous data transfer between the
Client and Server and designate data source from
equipment or the buffer.
The realization of OPC DA Client and Server
programs usually include the following three objects:
OPC Server Object: OPC Server Object manages
OPC Server to obtain access to initial class of other
objects and service and manage OPC Group class
objects;
OPC Group Object: OPC Group Object manages
OPC Item Objects;
OPC Item Object: an object is for an external I/O
variable or an intermedium variables of such as DCS
Including variable name, value, timestamp, quality,
etc.
3. Introduction of Tongfang Electronic
DCOSE Power Plant Simulation System
DCOSE (Distributed Component Oriented
Simulation Environment) System is a collection of
software modules for large strong coupling and fine-
grained computing occasions. One of the typical
applications is for power plant simulation system.
Comparing with traditional simulation support
systems, DCSE updated with the Microsof.Net
framework design and large-scale use of DCOM &
Office Plug-ins technologies will link DCS or other
real-time control systems in power plant more easily
and can analyze and research power plant control
system with simulation data provided by simulation
system. DCOSE System includes 4 parts which are
DCOSE SDBSRV (Smart Database Service), DCOSE
RTEngine (Real time Engine Service), Computer-aided
Modeling System, Establishment and Operation of the
Operator Terminal.
4. HOLLiAS MACS V DCS Introduction
HOLLiAS MACS DCS from the HOLLiAS
Company can well support OPC criterion so that it can
just be configured accordingly for interconnecting
systems.
MACS V System can provide user an all-purpose
system configuration and control platform and
application system have to be built by software
configuration at a engineers station, namely Modular
functional units provided by the all-purpose system are
combined as a certain logic to form an application
system which can meet specific requirements. System
configuration will generate a database, control
operation procedure, historical database, process
supervision chart and a variety of production
management report forms. Hardware configuration of
application system can be accomplished with system
configuration software. The task of the system
equipment configuration is hardware configuration of
the network equipment from system network and
supervision network; I/O device configuration is based
on units by field control station to achieve I/O cell
configuration of every station. All the procedures can
671
turn the simulation system into a series of virtual
devices with OPC interface.
5. Realization of Interface Software
The core of the design is OPC Data Source Server
development. Simulation systems have not available a
common interface to connect DCS for data input or
output, but the simulation system variables can be read
and wrote by using second development toolkit
attached. Moreover HOLLiAS MACS DCS supports
OPC Criterion well so that building corresponding
OPC Data Source Server will set up the mapping
between the simulator internal variables and OPC
Server labels and then both of the systems will be able
to exchange data after DCS configuration.
5.1. Development Scheme of OPC Server
Following the criterion, OPC Sever can be
developed directly by utilizing COM, as to realize the
interface defined by OPC Foundation. But this
development means a certain degree of difficulty and
need plenty programming experience for C/C++ and
COM. In addition the development can choose the
third-party development kits, but third-party
development level will directly affect the stability of
the system. This development approach relies on the
development kit, in regard to the lack of flexibility, but
it is comparatively simple and can develop available
OPC Server in short time. This design finally selects
the second scheme, development toolkit, Light-OPC
library offered by a studio in Russia.
5.2. Development Object
According to the requirement, the Server is out of
OPC process and runs as executable file.
In Fig.1. the Client Drive is part to be made up,
which will complete the mapping between simulator
internal variables and OPC label variables, and provide
corresponding drive for simulator variables’ writing in.
Fig. 1. OPC Server framework
5.3. Software Realization
The entire development is completed by
VisualStudio.Net2005, choosing C++ as development
language and MFC（Microsoft Foundation Class）as The Server needs a configuration file to work
static compiler. The development toolkits is Following: properly, which is a simple plain text file, the record
(1) SDK provided by OPC foundation; format as shown in Table 1. The left of form is
(2) DCOSE SDK provided by Tsinghua Tongfang simulation variable name for measuring points and the
Simulation System right is description of variable name. This
(3) The open-source Light-OPC Development configuration file is save as
Library “C:\WINDOWS\OPCServer.cfg”for reading of the
interface software.
5.3.1. Compiling Codes. The following is the hard-
core of source codes of Server. Table 1. Server configuration file
int WriteTags(const loCaller *ca, MW-SLD.C_APV Unit Load
unsigned count, loTagPair taglist[], VARIANT 30MKA10CE027.C_APV Frequency
values[], MS-TE22.C_APV Main Steam Temperature
HRESULT error[], HRESULT *master_err, LCID); MSP-SLD.C_APV Main Steam Pressure
{HRESULT hr = S_OK; ……… ……
int i = taglist->tpTi - 1;
EnterCriticalSection(&g_Lock); At last, it is to run the interface grogram that is the
hr = ariantChangeType(&g_pTagList[i].tvValue, self-defined OPC Server which should be registered at
values, 0, V_VT(&g_pTagList[i].tvValue)); first time of running with selecting “register” from
#if _CONNECTED “Server Management” (Fig.3.). Selecting “Start server”
g_RTConn.SetValue(g_pTagInfo[i].szName, from the drop-down menu of “Run” and inputting host
var2str(values[0])); computer name and SimuShop in the pop-up box (Fig .
#endif 4), the sever is connect to real time database and read
loCacheUpdate(g_pService, g_nTagCount,
g_pTagList, 0);
LeaveCriticalSection(&g_Lock);
return hr;
}
5.3.2. Class Diagrams for Compiling Codes. The
project can be divided into a few classes, and the
following class diagrams can be got by UML reversing
codes with using Visio: TAGb (Fig. 2.),
CMyServerDlg, IMyClassFactory and Utility. The
other class diagrams aren’t listed for the reason of
paper length.

Fig.3. Interface software reading variables

from DCOSE

Fig.2. TAG label frame

5.4. Software Test
At first, starting up inst.exe in Coach Station of
simulation system DCOSE to build the host computer
as loaded appropriate tasks for every subsystem to
establish the communication among subsystems, the
whole system can be loaded a condition, and this
testing has the selection of a full load stable working Fig.4. Inputting host name and SimuShop
condition of the 600MW unit. the configuration file to get the variables and build
Then after running OSTray.exe in simulation OPC Labels (Fig.3.). At the same time HOLLiAS OPC
system operation as connected to the host computer, Client read the variables of OPC Labels, the variables
the value of all measuring points start to be constantly of DCOSE successfully through interface software
updated which can been seen on any supervisory (Fig.5).
control screen in the operator station.

672
Fig.5. HOLLiAS OPC Client reading variables
of OPC labels

6. Conclusions
In this design the 600MW simulation system of
Tsinghua Tongfang is able to communicate with OPC
Client of HOLLiAS MACS V DCS with the interface
software which is transparent. A further thing that must
be done is to configure MACS appropriately to realize
reading and writing various variables from DCOSE
database of simulation support system. The final test
has proved the feasibility of the scheme which has
good referenced value for the similar interconnection
of systems in the future.
Of course, now the procedure in security, stability,
function needs to be improved further.

7. References
[1] OPC Foundation. OPC data Access Custom Interface
Standard (Version 2.05A) . 2002
[2] Yang QingBai, Zhao ChunYuanm, Zhang YuYan. OPC
technology and its application direction. Journal of
Shenyang Electric Power Institute, 2003, 5 (4): 20-22.
[3] Youping Wu, Xudong Ma. The OPC Technology and
Application in Integration of Intelligent Building
System. Modern Electronic Technique, 2006, 29 (3):
90-91.
[4] OPC Foundation. OLE for Process Control Data Access
Standard Version 1.0A. 1997.
[5] Xing Jianchun, Wang Ping..Summarize on OLE for
Process Control. Industrial Control Computer,
2000,13(1):29-32

673
 2008 International Conference on Intelligent Computation Technology and Automation

Research of Mathematical Model of the Ball Mill with Double

Inlets and Outlets

YUAN Gang PAN Wei-jia LI Su-zhen HAN Qin

（College of Energy and Power Engineering Changsha University
of Science and Technology,Changsha 410076,China）
264292774@qq.com

Abstract: From the operation mechanism of the ball quality control of the ball mill in operation
mill with double inlets and outlets, this paper gives a automatically partly or entirely is to be improved.
research work to the simulation of the ball mill with Figure 1 is the control model of the ball mill with
double inlets and outlets, and proposes a double inlets and outlets .In this paper, six controlled
corresponding mathematical model of the six with the corresponding six control variables are
controlled with six control variables of the ball mill presented, and the six controlled are the outlet
with double inlets and outlets, and simulates with temperature of the driver end and the non-driver end
Matlab using the operation data of a power plant. The
of the ball mill (Tq , T f ) ; load of the driver end and the
result of the simulation shows that the proposed
dynamic equation is similar to the actual dynamic
non-driver end of the ball mill ( Bq , Bf ) ; coal level of
characteristic of the ball mill with double inlets and
outlets, which provides a complete and good the driver end and the non-driver end of the ball
mathematical model for designing, parameter
mill ( H q , H f ) ; and the six control variables are the
adjustment, analysis of the system of the ball mill with
double inlets and outlets in power plant. flow of the hot air of the driver end and the non-driver

end of the ball mill (Grq , Grf ) ; flow of the cold air of the
1. Introduction
driver end and the non-driver end of the ball
The ball mill with double inlets and outlets is a
mill (Giq , Gi f ) ; flow of coal supplied by the driver end
complicated object with multi-variable coupling,
nonlinear and time-delay, and the mathematical mode
and the non-driver end of the ball mill (Gmq , Gmf ) 【1】。
is difficult to be set up due to its complicated dynamic
characteristic, and no way can be found to understand
the dynamic characteristic of the ball mill through 2. Foundation of the mathematical model
generally experiments. At the present time, the ball
mill with double inlets and outlets is difficult to be 2.1 Mathematical model of the outlet
operated automatically in many power plants, and the temperature

978-0-7695-3357-5/08 $25.00 © 2008 IEEE 674

DOI 10.1109/ICICTA.2008.199

Figure 1 Model of the ball mill
Each outlet temperature of the ball mill with
double inlets and outlets is affected by the six control
variables of the ball mill, in the practical operation, the
outlet temperature, coal level, load of the two ends of
the ball mill with double inlets and outlets in static
state is equal and is different in dynamic state. In order
to establish the model conveniently, assume the outlet
temperatures, coal levels, loads of the two ends of the
ball mill are equal in static state and dynamic state,
and the heat loss of the ball mill is overlooked in the
process of grinding.
According to the energy balance equation, the
outlet temperatures of the two ends of the ball mill
meet the request of the following equation:
dT
(CgqWgq +CmWm ) = Cr Grq dTrq + ClGlq dTlq
dt
+CmGmqdTmq + CrGrf dTrf + CG
l Lf dTlf + CmGmf dTmf
+Cmf Gm dTm + Ctf Gtf dTtf + ClGmmf dTmmf (1)
In the equation, dT means the ratio of the
dt
temperature change; Cgq , Cm , Cr , CI , Cmf , Ct means the
specific heat of the ball, the specific heat of the raw
coal, the specific heat of the cold air, the specific heat
of the coal powder, the specific heat of the air exported
of the ball mill respectively; Wgq , Wm , Gtf means the
load of the ball, the load of coal inside the ball mill,
the total flow of the air
exported; dTrq , dTlq , dT , dT , dT
mq rf Lf
dTmf , dTm , dTtf means the temperature changed of the
hot air of the driver end, the temperature changed of
the cold air of the driver end, the temperature changed
of the raw coal of the driver end, the temperature
changed of the hot air of the non-driver end, the
temperature changed of the cold air of the non-driver
end, the temperature changed of the raw coal of the
non-driver end, the outlet temperature changed of the
coal in the ball mill, the outlet temperature changed of
the air in the ball mill .
2.2 Mathematical model of the coal level
According to the mass balance equation, the coal
level of the ball mill with double inlets and outlets
meets the request of the following equation:
dH BIN − Bm
= (2)
dt ρmS
In the equation, dH means the coal level
change; BIN means the flow of the coal imported of the
ball mill; Bm means the load of the ball mill; S means
the area of the top surface of coal of the ball mill;
ρ m is the density of the coal.
The flow of the coal imported of the ball mill:
BIN = Gmq + Gmf (3)
The load of the ball mill:
Bm = Gtf / µ (4)
In the equation, Gtf =Gvo dP / 3700 K P ,
Gvo is the total flow designed of the segregator
3
(m /h ); µ is the ratio of the air and the coal; dP is the
differential pressure between the inlet and the
outlet; K P is the ratio of the pressure between the local
atmosphere and the sea level.
, The corresponding area of the top surface of coal
of the ball mill at the coal level of the present:
S = 2LTT R2 − (R − H)2 = 2LTT 2RH − H 2 (5)
675
 In the equation, LTT is the length of the
canister; R is the radius of the canister of the ball
mill; H is the coal level measured of the ball mill of
the present.
From the equation(2),(3),(4),(5),the dynamic
equation of the coal level of the ball mill can be
power plant as an example. Some related parameters
of the ball mill in the rated operating conditions are
presented in the table 1.
According to the data in the table 1 and the equation
（1）,（6）,（9）,the mathematical model of the ball
mill with double inlets and outlets is obtained:

（340 −T）Vrq +0.0001772

（30- T）VLq
obtained： dT
=0.0001729
dt
dH Gmq +Gmf −(Grq +Glq +Grf +GLf +Gmmf )/ µ
= (6) +0.0003283（15- T）Nq + 0.0001729 （340 −T）Vrf
dt 2LTT ρm 2RH − H2
（30- T）VLf +0.0003283
+0.0001772 （15- T）N f
According to the mass balance equation, the ball +0.00003401(30 − T ) (10)

=（0.285Nq -0.134Vrq -0.137VLq +0.285Nf -0.134Vrf

mill with double inlets and outlets meets the request of dH
the following equation: dt
-0.137VLf -0.027）/ 3.85H − H 2 (11)
d(dp) Kfp (Grq +Glq +Grf +GLf +Gmmf −Gtf )
（4.523Vrq +4.603Vlq +4.523Vrf
= (7)
dBm
= 0.10565
dt Vmmj dt

In the equation, K fp is the coefficient, which is the +4.603VLf +0.917-1.5Bm） (12)

impact of the air change over pressure in the ball mill, In the equation, Vrq , VLq , N q , Vrf , VLf , N f means the

and assume K fp = 3 （ 1+0. 8µ）V ck 2 ; linear coefficient of the hot air baffle plate of the driver
end , the linear coefficient of the cold air baffle plate of
Vck is the flow rate of the air exported of the ball
the driver end, the coefficient of the rotation rate of the
mill; Vmmj is the air volume inside the ball mill. driver end of the coal feeder, the linear coefficient of
the hot air baffle plate of the non-driver end , the linear
dp=3700（Bmµ/ GVO）KP 2
(8) coefficient of the cold air baffle plate of the non-driver
end, coefficient of the rotation rate of the non-driver
From the equation (7),(8),the load equation of the
end of the coal feeder.
ball mill can be obtained:

dBm （13 +0. 8µ）µ 2Gvo 2 Bm 3.2 Simulation block diagram of the
= (Grq + Glq mathematical model
dt 7400 K PVmmj
Simulate with Matlab, and give simulation to the
+Grf +GLf +Gmmf − Gtf ) (9) equation（10）,（11）,（12）respectively, the block
diagrams is obtained as the figure 2.

3.3 Simulation curves

3. Simulation study
3.3.1Simulation of the outlet temperature
3.1 Foundation of the simulation model When the ball mill with double inlets and outlets is
in the rated operating conditions, the other control
Take a domestic 300 MW unit fitted with the ball
variables are constant and the opening of the hot air
mill with double inlets and outlets of the BBD3854 in
baffle plate of the driver end of the ball mill drops by

676
20 %, the curve of the outlet temperature of the ball of the coal supplied by the driver end of the ball mill
mill is obtained as the figure 3(a), and the changed drops by 20 %, the curve of the outlet temperature of
parameters are in table 2; And when the opening of the ball mill is obtained as the figure 3(c), and the
the cold air baffle plate of the driver end of the ball mill changed parameters are in table 2. When the other
drops by 20 %, the curve of the outlet temperature of control variables of the non-driver end change, the
the ball mill is obtained as the figure 3(b),and the changes of the outlet temperature are similar to the
changed parameters are in table 2; And when the flow driver end.
Table 1 Some related parameters of the mill with double inlets and outlets
Parameter Number Parameter Number

Outlet temperature of the ball mill 100℃ Flow of the coal saved 16t

Ratio of the wind and coal 1.5 Load of the ball 64 t

3
Gross of primary air 315065m Rate of the primary air 18.22m/s

Coal level of the ball mill 1270mm Specific heat of the ball 0.502 k j/(kg﹒k)

Flow of the coal of each coal feeder 23t/h Specific heat of the hot wind 1.0316 k j/(kg﹒k )

Temperature of the hot air 340℃ Specific heat of the cold wind 1.0125 k j/(kg﹒k )

Temperature of the raw coal 15℃ Specific heat of the wind circulated 1.0168 k j/(kg﹒k )

Temperature of the cold air 30℃ Specific heat of the coal 1.4014 k j/(kg﹒k )

The efficient cubage of the ball mill 61.2 m3 Specific heat of the coal powder 1.5408 k j/(kg﹒k )
3
Density of the raw coal 1200 kg/m Capacity of the air sealed 3300m3/h

Density of the ball 4900kg/m3 Density of the air (100℃) 0.978 kg/m3

(a) (b)

677
 (c) (a)
Figure 3 Curves of the outlet temperature
Table 2 Analysis of the curves of the outlet
temperature
Input variable Vrq (Vrf) Vlq (Vlf) Nq (Nf)

Steady time of the

output temperature（s） 33 33 33

Variety of the output

temperature（℃） 6.2 1.8 4.2

3.3.2 Simulation of the coal level (b)

When the ball mill with double inlets and
outlets is in the rated operating conditions, the
other control variables are constant and the
opening of the hot air baffle plate of the driver end of
the ball mill drops by 20 % , the curve of the coal
level of the ball mill is obtained as the figure 4(a), and
the changed parameters are in table 3; And when the
opening of the cold air baffle plate of the driver end of
the ball mill drops by 20 %,the curve of the coal level
is obtained as the figure 4(b), and the changed
parameters are in table 3; And when the total of the
coal supplied by the driver end of the ball mill drops
by 20 %, the curve of the coal level of the ball mill is
obtained as the figure 4(c), and the changed
parameters are in table 3.When the other control
variables of the non-driver end change, the changes of
the coal level are similar to the driver end.
Table 3 Analysis of the curves of the coal level
Input variable Vrq (Vrf) Vlq (Vlf) Nq (Nf)
Rate changes of the coal
level（m/h） 0.187 0.093 0.91
(c)
Figure 4 Curves of the coal level
3.3.3 Simulation of the load
When the ball mill with double inlets and outlets
is in the rated operating conditions, the other control
variables are constant and the opening of the hot air
baffle plate of the driver end of the mill drops by 20
%, the curve of the load of the ball mill is obtained as
the figure 5(a) ,and the changed parameters are in
table 4; And when the opening of the cold air baffle
plate of the driver end of the ball mill drops by 20 %,
the curve of the load of the ball mill is obtained as the
figure 5(b), and the changed parameters are in table
4.When the other control variables of the non-driver
end change, the changes of the ball mill load are

678
 similar to the driver end[4-5]. The results of the simulation show that the
mathematical model is accurate and in accord with the
operating data of the ball mill with double inlets and
outlets basically. The model describes the dynamic
characteristic of the ball mill with double inlets and
outlets in the rated operating conditions According to
the model, we can give simulation research to varieties
of the ball mills with double inlets and outlets.

References
(a)
[1]PAN Wei-jia．Control System in Series of the Twin Ratio
of the Ball mill ． Equipment of Generating
Electricity,2003(6)：14-17(in Chinese)．
[2]TAO Wen-hua, Chai Tian-you, YUE Heng．Research of
Simulation and Mathematic Model of Dynamic Parameters
of the mill．Transaction of the Simulated System．2004,16
（4）：778-800(in Chinese)．
[3] LI Ying, ZHU Bo-li, ZHANG Wei． The Foundation of
（b） Simulation and Modeling of Dynamic System．Press of the
Figure 5 Curves of the load Xi-an University of Science and Technology, 2004(in
Table 4 Analysis of the curves of the load Chinese)．
Input variable Vrq (Vrf) Vlq (Vlf) [4] ZHANG Ping．The Foundation of MATLAB and Concise
Steady time（s） 15 15 Tutorial of Application．Press of the Beijing University of
Variety of the load（kg/s） 0.6 0.62 Spaceflight,2001(in Chinese)．
[5] Jim Montague.Ethernet Hits Real-Time…Really. Control
4. Conclusions Engineering China,2004,2：217-219．

679
 2008 International Conference on Intelligent Computation Technology and Automation
Research on auto compensation of high temperature verification furnace
based on model reference adaptive control
Li Ping WangHui Wen Hui
College of Electricity and Information Engineering
Changsha Science and Engineering University
0702LIPING@163.com
Abstract
Because of the considerable change of surrounding
temperature caused by the relatively long time in
heating ,it is rather difficult to stabilize the furnace
temperature ,when verifying thermocouples in auto-
verification furnace at high temperature ,in that case
changes of the parameters of the furnace temperature
mode occur, which results in worsened effects on the
controller.In order to adapt the time changing of the
furnace brought by the change of surrounding
temperature , the PID controller parameter is adjusted
on line by using of model reference self adaptive
control method.It’s proved fine adaptively by
experiments result ,thereby it afford a new method for
temperature control of thermocouple automatic
verification furnace
1. Introduction
As the simple structure ,the good accuracy and wide
range of temperature measurement ,Thermocouple is
applied to the fields of electric power ,chemical
industry and smelting .the great error happens easily
in the long period and high temperature application of
Thermocouple because Thermocouple is contact
Measuring element Thermocouple must be tested
regularly by verification system. Recently in most
verification system, the single chip computer is applied.
The result of verification is produced by the
comparison of output of standard test data and data to
be detected while the furnace temperature is the same
with the set temperature. When the high temperature
point is tested by verification furnace, The furnace
temperature is unstable because the heating model
This research was supported by education department
of Hunan Province (07C072)
978-0-7695-3357-5/08 $25.00 © 2008 IEEE 680
DOI 10.1109/ICICTA.2008.63
parameters changes obviously for the long heating, the
common thermocouple verification furnace is
applied to the stable temperature environment. As the
stable temperature is hardly provided in the
verification procedure, the study of strategy and means
of how to remove and reduce the influence to the
verification furnace temperature from the environment
temperature change is meaningful for the technology
prospect.
2. The Analysis of Verification Furnace
Model
Being a typical open loop system, the energy
exchange happens between the verification furnace and
environment by furnace unavoidably in the period of
heating .The heat flux of heating and heat loss per unit
time decides the temperature increase or temperature
decrease of system. The dynamic balance exists
between the heat flux of heating and heat loss. The
speed of temperature increase is decided by the heat
flux of heating and heat loss and heat capacity. As the
heat capacity of the furnace is stable, and the heat flux
of heat loss can not be controlled, only the heating
power control affects the verification furnace
temperature control. The following formula is
produced by the energy balance theory[1][2]:
dT
A = Qi − Qs (1)
dt
And
Q S = αF∆T = αF (T − Te ) (2)
QS : Heat Dissipating Capacity; Qi : Heat production ;
A : Heat capacity ; T : Temperature in Furnace;
Te : environment temperature;
α : The average Convection Heat Transfer Coefficient;
F : Heat release area of furnace.
 The following formula is produced by (1) and (2): is followed by the output of the controlled object
A dT 1 Q accordingly. If the controlled object parameter change,
+ T = (Qi + αF∆T ) = (3)
the error of output of controlled object and reference
K dt K K
model becomes greater. The adaptive system readjusts
K = αF (4)
the controller parameter to make the output of
Q is heat transfer in unit time; transfer function of (4) controlled object near the reference model again, and
is the following: then the controller parameter can be adjusted on line to
1 adapt the object parameter time-varying.
1 The system structure is as the following figure 1.
H (s) = K = (5) The
A As + K
+1 r(t) 1
K
Regarding to the delay exists in the verification 900 s + 55s + 1
2
+
furnace, the transfer function of verification furnace is
revealed by (6) too: _
−τS
e
H (s) = (6)
+
PID 1
As + K _ controller 2569.63s 2 + (164.72 + 15.6k )s + k
Obviously K is a reference related to environment
temperature. As it is impossible for the environment
temperature to change suddenly, the system is regarded
as the time-slowly-varying system. While the reference
is distinguished, the verification furnace is put in space Simplex method optimization
without severe convection and manmade simulated
environment temperature changes. The transfer Fig. 1 Control system structure
function references of verification furnace (220v AC,
nominal power 10kw) comprehensive adaptive law is produced by parameter
are( A = 164.72,τ = 15.60 s, K ∈ (0,2.62) with the optimization method. A second order system with
Step Dynamic Curve. The First-order Taylor’s good comprehensive quality index is chosen in the
Equation is used in the Time Delay link to produce: reference model.
1 1
e −τS = (7) wm ( d ) =
900 s 2 + 55s + 1
1 + τs (9)
Then The evaluation function decided by adaptive law is
t
1
H (s) =
Aτs + ( A + Kτ ) s + K
2 min J = ∫ e 2 (t ) dt
0 (10)
=
1 (8)
2569.63s 2 + (164.72 + 15.6 K ) s + K e(t)is the error of the output of reference model and
object.

3. The Furnace Temperature Model 3.2. PID parameter optimization by Simplex

Reference Adaptive Control method :

As the evaluation function cannot be revealed as the

3.1. The model control system
analytical form of PID parameter, the simplex
method( the optimization method with the model of
Obviously the verification furnace model parameter
calculating objective function ) is used in the PID
has the certain Time-varying, and the reference
parameter optimization in this paper, and the following
changes greatly in the high temperature control, so the
multivariable optimization based on the gradient:
regular PID controller has the obvious worse effect.
steepest descent method ,conjugate gradient method
The model reference adaptive control can amend the
and so on cannot be used, because the simplex method
controller parameter (parameter reference adaptive) by
has qualities of the little computer workload, simplicity
practical object and the error [3][4] information output
and practicality and the optimization online. The
from . reference model according to the law of
simplex method forms the polygon (the number of
reference adaptive. Then the output of reference model

681
edges is one more than the number of parameter) by
using the optimization parameter space directly and
calculates the objective function value of n+ 1 vertex.
Then the method of changing one vertex is used in the
parameter optimization by the following 4 processes:
reflex, extension, contract and edge lengthen reduction.
When the difference of objective function values of all
vertexes is produced, the search is stopped in the
certain permitted range and the optimized PID
parameter value is reached.
This paper has the programming and system
Simulation in the MATLAB6.5. The figure 2 is the
changing situation (K=1.2) of the output of reference
model and practical model,
Fig. 2 Output of controlled object (1) and model (2)
per unit input
and r(t) is input as unit-step signal. The original
parameter is the following: the number of variable N=3,
calculation precisionε＝0.001, the shape of the original
simplex L ＝ 0.02, Simulation time is 800 seconds,
Contraction Coefficient β = 0.5 , extension
γ = 2.0,
Coefficient The coordinate ( K P 、 Ti 、 Td )
of initial point X0 is assumed as (5.0 、15.0、0.5 ),the
iteration maxim times N=200, the optimized PID
parameter （ K P 、 Ti 、 Td ） is （ 2.85 130.83
1.90 ） .The simulation result shows that after the
output of practical model has changed for a certain
period of time, the output of controlled object is near
the output of reference model. The time adjust is
related to the original value of the controller parameter
obviously. Pre-evaluation of Parameter K and the
reasonable set of original value of controller before
optimization affect the adjust time reduction, which is
not analyzed fully in this paper.
682
3.3. The hardware structure and software
procedure of furnace temperature controller:
With the 8098 Single chip computers of 16 figures
as Master Chip, the temperature controller
communicates with host computer by RS232 bus, and
sets the temperature control points, and sends the
practical temperature measuring data to host computer.
The figure 3 shows the system hardware. As the wide
range of thermocouple output, the programmable gain
amplifier AD526 is adopted here, and Sample-and-
Hold Amplifiers AD585 is put in the front of 526. the
set time is 3us, the width of aperture is 0.5 ns ,
amplifier gain of +1, -1, +2 is reached by feedback
connection. The programmable gain of Front-End
Amplifier and A / D Conversion is applied to the most
thermocouple ,A / D Conversion Chip adopts the
converter of 16 figures produced by AD company, and
the 16 figures error free output of 0.003% nonlinear
can be reached. The gain and renewal rate of data
output can be set by programming. The heating
machine power is controlled by the pressure regulating
method of Bi-directional Triode Thyristor or controlled
by the method of absolute trigger. As to Bi-directional
Triode Thyristor, one trigger impulse is output in every
half Cycle, so after alternate current uses the way of
full-wave rectification , and becomes Zero-Crossing
Pulse by Triode, then antipodal signaling is added to
INT0 of single chip , which is the synchronizing datum
signal. The temperature display adopts OCMJ4X8
LCD with character library.
Signal modulation
part Storge
AD585 AD526 AD7705
RS232
TO PC
CPU
8098
Heating power Zero-crossing
Signal generator
8297
adjust part
Power adjust Optical isolation 4X4Keyboard
circuit of BTT MOC3021
LCD(OCMJ4X8)
Fig .3 Temperature controller hardware system
As there are many parts in the soft part of
temperature controller, in order to debug procedure
easily and increase the reliability, the design of
software is modularized, including keyboard
Processing Module, communication Module,
temperature signal collection and process Module,
simplex optimization Module, display Module and so
on. After Electrify restoration, 8098 self-checks firstly,
then every subprograms Module is called. The main
program is charge of keyboard management, system
initialization and the calling of Module of every 4. Conclusion
function. The figure 4 shows the software process.
The creation of this paper: the model reference
Start adaptive control is adopted, and the simplex method is
adopted in the parameter optimization to make the
practical output of verification furnace near the output
Simplex PID parameter of reference model. Then the control affection
Initialization
optimization becomes worse because verification furnace model
parameter produce time change with the environment
temperature change. The above situation can be
Error calculation of reference
Temperature set
module and practical temperature
inhibited.

Collection and processing
of temperature signal
Rapid heating
Collection and processing
of temperature
Power adjust module
5. References
[1] Tong li quang , Some Problems and Analysis in
Temperature control of the Thermocouple calibrating Stove .
Metrology and Measurement Technique,2002,NO3:19,28
[2] zhang zheng rong, Heat Transfer ,Beijing ,advanced
education press,1993

[3]Han zeng jin , adaptive control , Beijing , qing hua

Whether the furnace N university press ,1995
temperature is stable at PID control module
the set values or not?
[4]Liu shao jun, modern design method and Computer-
aided Design , Beijing , metallurgical industry
Y press ,1986

Stop [5]Tu Naiwei , Parameter Self-tuning Fuzzy PID

Controller's Application In Temperature Control
system,2004,No6:20-21

683
 2008 International Conference on Intelligent Computation Technology and Automation

Research on Consistent Measurement of Uncertainty Based on Entropy

Zunhua Tian, Long Zhao and Yan Jia
College of Computer Science and Technology
National University of Defense Technology
Changsha,Hunan Province, China
tzhsoar@163.com

Abstract 2. Various Types of Uncertainty and

Uncertainty is an essential characteristic of
Intelligence. It has various types and usually each type
can be measured in a different way. Thus, it is not
helpful for thinking and processing as a whole. In this
paper, based on entropy, we discuss the measurement
of four common types of uncertainty: randomness,
fuzziness, contradiction and dynamic . We present the
concept of uncertain entropy and analyze the qualities
of the concept basically. Having the uncertain entropy,
it is possible that different types of uncertainty can be
represented, processed and applied uniformly.
1. Introduction
Uncertainty or indeterminism has various types,
such as random, fuzzy, inconsistent and dynamic
uncertainty etc. Li. ever tried to unify the
representation of randomness and fuzziness under his
cloud model [1], which make it possible to process the
two types of uncertainty consistently. Peng made use
of entropy to measure the uncertainty of decision [2].
Inspired by these, is it possible that more types of
uncertainty were represented under some model or
concept? The answer is YES! The entropy is what to
be found. The term entropy is coined by German
physicist Rudolf Clausius in 1850, which was used to
measure the uniformity degree of the distribution of
heat in space. Later, Shannon introduced entropy into
the information theory to measure the amount of
information [3].
Here, the concept of entropy is used to unify the
measurement of four types of uncertainty. First, the
four types of uncertainty were analyzed or modeled.
Next, based on these models, the concept entropy is
used to represent these types of uncertainty uniformly.
In the third part, the concept uncertain entropy (UE) is
defined and its properties are represented. Finally,
some conclusions about the work are given.
Corresponding entropy
2.1. Random uncertainty
x is a discrete random variable, and the domain
If
of x is D′ ( D′ ⊂ R ), and p ( x = xi ) equals to
p( xi ) , the uncertain entropy of x can be calculated
by following equation:
n
H R ( x) = −∑ p ( xi ) log 2 ( p ( xi )) . (1)
i =1
In (1), if x is a continuous random variable, replace
the summation operator with integral operator.
H R ( x ) , the entropy of random variable x , is
called random uncertain entropy (RUE). RUE indicates
the uncertain degree of the value taken by random
variable. More uncertain the random variable is, and
larger RUE is. RUE is quite different from square error
σ2 of random variable, which can be clarified by the
following example.
Let’s consider a situation where x is discrete
random variable. Assumed that the value xi taken in
domain of x and the probability of x = xi were
notated as xi pi together, then the domain of x can
be represented as
{10 / 0.1, 20 / 0.2,100 / 0.4,140 / 0.3} .
Note that the following equation must be met:
N
∑p
i =1
i = 1 . So, RUE is
H R ( x) = −(0.1× log 2 0.1 + 0.2 × log 2 0.2
+0.4 × log 2 0.4 + 0.3 × log 2 0.3)
= 0.332+0.464+ 0.529 + 0.521 = 1.5472 .
While the squared error is [4]
σ 2 = (10 − 67.5)2 × 0.1 + (20 − 67.5)2 × 0.2

978-0-7695-3357-5/08 $25.00 © 2008 IEEE 684

DOI 10.1109/ICICTA.2008.278
 +(100 − 67.5)2 × 0.4 + (140 − 67.5)2 × 0.3
= 330.625 + 451.25 + 422.5 +1576.875
= 2781.25 .
From above example, it is apparent that the
meanings of two concepts are different. RUE, decided
only by the probability, indicates the uncertain degree
of random variable. While the squared error, decided
by both the probability and the value taken by the
random variable, is used to measure the dispersion
degree of the values taken by random variable.
2.2. Fuzzy uncertainty
Fuzzy membership degree indicates in how much
degree the value taken by a variable belongs to some
fuzzy set decided by some fuzzy concept [6][7].
Assumed that x is a fuzzy variable, correspondingly
there are a group of fuzzy sets and each fuzzy set has a
fuzzy membership function. So these fuzzy sets and
the corresponding membership functions can be
notated as { Ai / fi } . Then, the memberships of x
belonging to each fuzzy set are normalized. The result
n Thus, it is hard to judge which set x2 should belong
is f ( x) = f ( x) /
i i ∑ f j ( x) , where n is the number of
j =1
fuzzy sets. Now the fuzzy uncertain entropy (FUE) can
represented as below:
n
H F ( x) = −∑ fi ( x) log 2 ( fi ( x))
i =1
FUE means the fuzzy degree of the value taken by
fuzzy variable. For example, there are three fuzzy sets
derived from the concepts youth, wrinkly and elderly.
Then, the membership functions are defined
correspondingly as:
⎧ 100− | x − 25 |
⎪ f ( x1 ) = 100
⎪ .
⎪ 100− | x − 40 |
⎨ f ( x2 ) =
⎪ 100
⎪ 100− | x − 60 |
⎪ f ( x3 ) =
⎩ 100
Assumed that fuzzy variable x1 = 25 and x2 = 33 , then
for x1 = 25 , there is
3
∑ f ( x ) = 1 + 0.85 + 0.65 = 2.5 .
i 1
i =1
So the normalized membership is f1 ( x1 ) = 0.40 ，
f 2 ( x1 ) = 0.34 ， f3 ( x1 ) = 0.26 , respectively. Through
them, FUE is calculated as:
H F ( x1 ) = −(0.40 × log 2 0.40
+0.34 × log 2 0.34 + 0.26 × log 2 0.26)
=0.5288+0.5292+0.5053
=1.5633 .
For x2 = 33 , the same as for x2 = 25 , FUE is calculated
as
3
∑ f ( x ) = 0.92 + 0.93 + 0.73 = 2.58 .
i =1
i 2
So the normalized memberships are f1 ( x2 ) = 0.3566 ，
f 2 ( x2 ) = 0.3605 and f 3 ( x2 ) = 0.2829 , respectively.
Through them, FUE is calculated as
H F ( x2 ) = −(0.3566 × log 2 0.3566
+0.3605 × log 2 0.3605
+0.2829 × log 2 0.2829) =1.5764 .
Thus, H F ( x1 ) < H F ( x2 ) , that is, the FUE of
x1 is less
than that of x2 . As suggests that, relative to x2 , it is
easier for us to judge to which fuzzy set x1 should
belong. In fact, from the memberships, it can be seen
too. Since, the set defined by the youth is centered
at x1 . While the memberships of x2 for the sets defined
by the youth and the wrinkly are nearly equivalent.
to, which means that the value x2 is fuzzier than x1 .
To sum up, for the fuzzy variable x , the lager the
fuzzy uncertain entropy of x is, the harder which set
(2) the value x is judged to belongs to. It just embodies
that the fuzzy uncertain entropy can be used to measure
the degree of fuzzy uncertainty of the value taken by
fuzzy variable.
2.3. Inconsistent uncertainty
Dempster-Shafer (D-S) evidence theory was first
put forward by A.P.Dempster, which was improved by
G.Shafer further[8]. The D-S evidence theory was
developed to process multiple evidences with
inconsistence. In D-S evidence theory [8-9], first, the
frame of discernment is defined as a space which
consists of all possible results of the identified object,
which is notated as Θ . The set that consists of all the
subset of Θ is notated as 2Θ . For any set A in 2Θ , A
must meet that m( A) ∈ [0,1] , m(φ ) = 0 ， And
∑ A∈2Θ
m( A) = 1 .
For example, when to identify a person, it has been
known that the person is either P1 or P2 . So there are
four possibilities: {P1 , P2 ,{P1 , P2 }, φ} , which means
that x is P1 , x is P2 , x is P1 or P2 , or x is neither
685
respectively. The four situations composed a frame of
discernment.
In D-S theory, there are three functions: basic
probability assignment function m , belief function
bel and plausibility function pl . Belief degree of A
is defined as the sum of basic probabilities of all
∑
subsets of A , bel ( A) = m( B ) .The rule of the
B⊆ A
evidences fusion is [8-9]
∑
Ek ∩ El = A
mi ( Ek ) m j ( El )
( mi ⊕ m j )( A) =
1− ∑ φ m ( E )m ( E )
Ek ∩ El =
i k
When there are more than two evidence sources, the
fusion rule can be used repeatedly to gain the resulting
fused evidence. Now, the problem is that how to
measure the degree of the conflict existing in the fused
evidence. It can be understood that the final purpose of
fusing the evidences from different sources is to make
decision. Thus, if the belief values corresponding to
each fact are different obviously, it is easy to make
decision. In such situation, only need to select the fact
with the largest belief as the final result. But if the
difference among the belief of the facts used to make
decision is subtle, it would be hard to decide which
fact is the final result. To measure the inconsistent
degree of the fused evidence, the inconsistent
uncertainty is defined based on the final fused
evidence. Assumed that the basic probability
assignment of the final fused evidence is mu , then,
inconsistent uncertain entropy (IUE) can be
represented as below:
H c (mu ) = − ∑ mu ( A) ⋅ log 2 mu ( A) . (3)
A∈2 Θ as Ω t2 = ( S1t2 , S 2t2 ,..., S nt2 ) , which is the set of all
H c ( mu ) indicates how much the fused evidence
helps to make the decision, which can be understood as
inconsistent degree of evidences. In the above example
of person identification, if the evidence fused from
multiple sources is mu , mu is defined as mu ( A) = 0.2
， mu ( B ) = 0.6 ， mu ({ A, B}) = 0.2 . So, IUE can be
calculated:
H c (mu ) = −(0.2*log 2 0.2 + 0.6
*log 2 0.6 + 0.2*log 2 0.2) = 1.392
If the fused evidence mu′ is defined as following:
mu′ ( A) = 0.3 ， mu′ ( B ) = 0.4 ， mu′ ({ A, B}) = 0.3 , then
IUE is
H c ( mu′ ) = −(0.3* log 2 0.3 + 0.4
*log 2 0.4 + 0.3*log 2 0.3) = 1.57 .
Therefore, H c (mu ) < H c (mu′ ) , which indicates that
uncertainty of the fused evidence mu is less than that
of mu′ , so, it is easier to make decision under situation
of mu than under mu′ . In fact, from mu , we can find
that the possibility that the person to be identified as P2
was much larger than the others, but for mu′ , it is not so
obvious that the person was P2 .
. 2.4. Dynamic uncertainty
j l
In essence, dynamic uncertainty indicates that the
thing is keeping moving or developing. So what we
recognize about the thing is only the snapshot of it at
some time, and is usually obsolete or dated, as will
cause difference between the recognition and the real
world. the entropy representation of the difference is
called dynamic uncertain entropy (DUE).
First, the formal description of the dynamic
uncertain problem is addressed. Assumed that there is
an object with the state S , which can be defined by a
set of attributes S = (a1 , a2 ,..., an ) , then, the dynamic of
the entity means that the changing degree of the state
S or the attributes ( a1 , a2 ,..., an ) from time t1 to t2 .
It is assumed that the state of entity is
St = (a1t1 , a2t1 ,..., ant1 )
1
at time t1 , while
St2 = ( a1t2 , a2t2 ,..., ant2 ) at time t2 . Thus the dynamic
can be represented as dS = St − St . To define the
2 1
dynamic uncertainty, first define the states space
possible states at time t2 that can be reached from the
state St1 at time t1 . Thus, the probability of each state
in states space to be reached can be specified by a
dynamic probability assignment function p .
p ( S t1 , S it2 ) means the probability with which the state
t
of thing transfer from S 1 at time t1 to Sit2 at time t2 ,
and must meet following equation:
n
∑ p(S t1
, Sit2 ) = 1 .
i =1
Now, based on above discussion about the dynamic
uncertainty and the corresponding model, the entropy
representation of Dynamic uncertainty can be
developed.
686
 The representation of dynamic p ( S t1 , Sit2 ) can be
rewritten as pi for short. Using the concept entropy,
dynamic can be notated as
H D ( p) = −∑ pi ⋅ log 2 pi . (4)
i through the properties of information theory.
The dynamic uncertainty is developed to measure
the unknown degree of the dynamic of thing in the
world. The dynamic of thing can be changed by
specific model m , through which, the state St2 can be
m changed
predicted from the state St1 . So the model
the dynamic probability assignment function p , the
changed function can be notated as pm . Through the
state prediction model m , dynamic uncertain entropy
m no.11, pp. 1583-1594, Nov. 2004.
(DUE) is changed into H d . The function of model
m can be understood to increase the probability of
some states that is more possible in Ω 2 , while to
t
decrease the probability of some other states that is less
possible in Ω 2 . That is, the model
t [3] C. E. SHANNON, “A Mathematical Theory of
m has changed the
probability distribution in space Ω 2 , as made the
t
distribution more focused on some specific states than
before. So the state prediction model should
make H < H d . It indicates that the model
m
d m
lowered the dynamic uncertain degree.
3. Uncertain entropy
Uncertain entropy (UE) is defined as the
measurement of uncertain degree. In terms of the
definition of UE, UE can include random, fuzzy,
inconsistent and dynamic uncertain entropy etc. It is a
relative open definition.
The properties of UE are similar to these of
information entropy, since they have similar
mathematical form. In the following, some properties
of UE are given without being proved [3].
①Continuous: H I ( P,1 − P) is a continuous function
of P(0 ≤ P ≤ 1) ;
② Symmetric: H I ( P1 , P2 ,..., Pn ) has no relation to
the order of P1 , P2 ,..., P ;
4. Conclusion
When various types of uncertainty are represented
by UE consistently, the uncertainty can be studied
Correspondingly, the larger the IE is, the higher the
uncertain degree is. For trying to decrease the
uncertainty, the UE should be lowered. To do so, the
thing being studied can be modeled to lower the
uncertainty and so to decrease the UE.
5. References
[1] Deyi Li, Changyu Liu, Yi Du, Xu Han, “Artificial
Intelligence with Uncertainty”, Journal of Software., vol. 15,
[2] Kanglin Peng, “The Measurement of Decision
Uncertainty By Shannon's Entropy”, Ming Hsin Journal, vol.
31, no.10, pp. 171-181, Oct. 2005.
Communication”, The Bell System Technical Journal, vol.
27, no.10, pp. 623-656, Oct. 1948.
[4] H. DeGroot, J. Schervsh Probability and Statistics, 3rd
ed., Springfield: Oxford University Press, 2005, pp.6-9.
[5] Lotfi A. Zadeh, “Fuzzy logic, neural networks, and soft
computing” ACM, vol. 37, no. 3, pp. 77-84, March 1994.
[6] Christian Freksa, “Fuzzy Logic: An Interface Between
Logic and Human Reasoning” IEEE Expert, vol. 9, no. 4, pp.
20-24, Aug. 1994.
[7] George Klir., “Fuzzy Sets: An Overview of
Fundamentals, Applications, and Personal Views”. Beijing:
Beijing Normal University Press, 2000, pp.10-18
[8] Ladyman, James, Presnell, Stuart, Short, Anthony J. “A
simple view of the Dempster-Shafer theory of evidence and
its implication for the rule of combination”. Repository
PhilSci Archive (United States). http://philsci-
archive.pitt.edu/archive /00003009/01/InfoEntropy.pdf 2006.
[9] Chen et al., “A new fusion approach based on distance of
evidences” J Zhejiang Univ SCI, vol. 6A, no. 5, pp. 476-482,
March 2005.

③ Incremental: if Pn = Q1 + Q2 > 0 , and Q1 , Q2 ≥ 0 ,

then, H I ( P1 , P2 ,..., Q1 , Q2 ) = H I ( P1 , P2 ,..., Pn ) +
Pn ⋅ H I (Q1 , Q2 ) .
In addition to above properties, UE has some other
properties such as additive, non-negative,
deterministic, extensive, extremumic and protrusive etc
[3]
.

687
 2008 International Conference on Intelligent Computation Technology and Automation

Research on Nonlinear Dynamic Characteristics of Semi-active Suspension

System with SMA Spring

Zhi-Wen Zhu*, Zhong-Biao Gou, Jia Xu, Hong-Li Wang

College of Mechanical Engineering, Tianjin University, 92 Weijin Road, Tianjin 300072,
P.R.China
E-mail:gclx309@yahoo.com.cn

Abstract active suspension system to substitute ER and MR

In this paper, the nonlinear dynamic characteristics
of vehicle semi-active suspension system with SMA
spring was studied. SMA spring was applied in semi-
active suspension system to substitute ER and MR fluid
to provide controllable force. Hysteretic cycle and
multinomial model were introduced to set up a new
kind of continuous SMA strain-stress-temperature
model, based on which the nonlinear dynamic model of
vehicle semi-active suspension system with SMA spring
was set up. The first-order nonlinear approximate
solution of suspension system was given, and based on
which the stability and bifurcation characteristic of
suspension system were analyzed. The result of
analysis shows that the nonlinear stiffness parameters
can not cause the bifurcation of suspension system,
and the qualitative change of the dynamic
characteristic of suspension system has relationship
with the nonlinear damping parameters. Finally, the
result of analysis was proved by simulation.
1. Introduction
Semi-active suspension system combines the
advantages of both passive and active suspension
system. It can provide better performance than passive
suspension system, and has higher reliability and lower
price than active suspension system. Most of
researches in the past few years were focused on the
application of Electrorheological(ER) fluid and
Magnetorheological(MR) fluid in semi-active
suspension system[1]. ER and MR fluid have
advantages of quick response and are easy to control.
However, the sediment of dispersed particle will
destroy the stability of ER and MR fluid, which causes
high price of maintenance and limits the application of
ER and MR fluid in industry[2]. In this paper, Shape
Memory Alloy(SMA) spring was applied in semi-
fluid.
SMA has many special characteristics such as shape
memory, variable stiffness and super-elasticity, based
on which the variable stiffness SMA spring used in
semi-active suspension system can be designed to
control vibration of suspension system. There are many
mechanical models of SMA [3-7]. Most of them are
based on thermodynamics theory and micromechanics
theory, and the percentage content of martensite was
taken as main variable of stress-strain-temperature
equation. As results, those mechanical models of SMA
are mostly shown as equations with subsection
function and hard to be analyzed. Usually, research
results to those models can only be obtained by
numerical method. The continuous SMA mechanical
models, such as Nitzsche-Breitbach-Elmar model or
Landau-Devonshire model [8], are all too simple to
describe many special characteristics of SMA. In this
paper, hysteretic cycle and multinomial model were
introduced to set up a new kind of continuous SMA
strain-stress-temperature model, and the nonlinear
characteristic of semi-active suspension system with
SMA spring was analyzed.
2. Dynamic model of semi-active
suspension system with SMA spring
Fig.1 the structure of vehicle suspension system

978-0-7695-3357-5/08 $25.00 © 2008 IEEE 688

DOI 10.1109/ICICTA.2008.169
 The structure of vehicle suspension system was
shown in Fig.1, where ordinary spring was substituted
by variable stiffness SMA spring, and its mechanical
model was shown in Fig.2.

Fig.4 the stiffness-temperature curve of SMA

Ni, et al studied modeling and identification of a
wire-cable vibration isolator via a cyclic loading test
[9,10]
, regarded the nonlinear resilience force shown as
Fig. 5 as a hysteretic cycle, and introduced multinomial
Fig.2 mechanical model of suspension system
The dynamic model of vehicle suspension system model as follows to describe hysteretic phenomena of
shown in Fig.2 can be shown as wire-cable vibration isolator
m1 x1 + c( x1 − x 2 ) + F ( x, T ) = 0 F = α x 3 + β x 3
m2 x2 − c( x1 − x 2 ) − F ( x, T ) + k 2 ( x2 − q) = 0
(1)
where m1 is the mass of vehicle body, m2 is the
mass of tyre, xi is the displacement of mi , i = 1,2 ;
c is the damping, F ( x, T ) is the resilience of SMA
spring, x is displacement of SMA spring,
x = x1 − x2 , T is temperature, k 2 is the stiffness of
tyre, q = A sin Ωt , A is the amplitude of road
Fig.5 the hysteretic phenomena of wire-cable
excitation, Ω is the frequency of road excitation, t is vibration isolator
time. In this paper, the idea above was introduced to
In order to obtain the expression of F ( x, T ) , the interpret the nonlinear hysteretic phenomena of the
strain-stress curve of SMA. Supposing the strain-stress
SMA strain-stress-temperature model must be set up.
The strain-stress curve of SMA was shown in Fig.3. curve of SMA is symmetrical about the point G ( ε 0 ,
The stiffness-temperature curve of SMA was shown in σ 0 ), we obtained
Fig.4.
σ − σ 0 = α (ε − ε 0 ) 3 + βε 3
where σ is stress, ε is strain, α,β are coefficients.
Thus
σ = ρ + φε + χε 2 + αε 3 + βε 3
where ρ is initial stress, ρ = σ 0 − αε 0 ,
3

φ = 3αε 02 , χ = −3αε 0 . The initial stress of SMA

must be avoided for industry application, so ρ = 0 .
Then the strain-stress model can be shown as
Fig.3 the strain-stress curve of SMA σ = φε + χε 2 + αε 3 + βε 3
Considering the structure of SMA spring, we
obtained

689
 ⎧τ = σ α1TN + α 2TN 2 + α 3TN 3 + K 0 = K
⎪
⎨ 2r (3) so F ( x, T ) is defined by the equation as follow
⎪⎩ε = πD 2 N x
F ( x, T ) = ( K 0 + α 1T + α 2T 2 + α 3T 3 ) x
where D is diameter of SMA spring, N is the number
of spring circle, x is displacement of SMA spring, + Ex 2 + Hx 3 + Jx 3 (6)
Both the hysteresis of the strain-stress curve of
x = x1 − x2 . SMA and the nonlinearity of the stiffness-temperature
The resilience of SMA spring can be shown as curve of SMA were considered in the expression of
4π
d
F ( x, T ) . It can describe the different courses in
F ( x) =
D ∫
0
2
τr 2 dr = Kx + Ex 2 + Hx 3 + Jx 3 cyclic loading test well. Moreover, it admits the
existence of error of controlling temperature. Linear
(4)
SMA models, such as Nitzsche-Breitbach-Elmar model
where d is diameter of SMA wire, K = φd
4
, or Landau-Devonshire model, can only be applied in
8D 2 N the region between TM and T A , and SMA
χd 5 αd 6
E= , H= , temperature must be controlled rigorously, otherwise
10πD 4 N 2 12π 2 D 7 N 3 great error will be brought. Obviously, the model
βd 6 above will bring many advantages to vibration control.
J= .
12π 2 D 7 N 3
In the resilience of SMA spring shown as eq.(4), 3. Stability and bifurcation of suspension
only the hysteresis of the strain-stress curve of SMA system
was considered. However, temperature can also affect
the stiffness of SMA. Some researchers think that the In controlled state, control rules will affect the
variation of the stiffness of SMA is linear. In fact, the stability and bifurcation characteristics of suspension
variation of the stiffness of SMA with temperature is system and cause different control effects. Here we
caused by phase conversion from martensite to only study dynamic characteristic of suspension system
austenite. There are initiative temperature TM and with SMA spring in uncontrolled state.
In uncontrolled state, the temperature of SMA is the
terminative temperature T A in SMA phase conversion. normal temperature TN . Therefore
The stiffness of SMA only varies linearly
approximatively between TM and T A , and hardly
F ( x, TN ) = Kx + Ex 2 + Hx 3 + Jx 3 (7)
varies in other temperature regions. Therefore, some where x = x1 − x 2 .
researcheres used subsection function to describe the Let x1 = z1 , x 2 = z 2 , eqs.(1) can be shown as
variation of the stiffness of SMA in different
temperature regions, which is hard to be analyzed. In ⎧ x1 = z1
this paper, arctangent function was introduced to ⎪ z = F − a ( x − x )
describe the varying course of SMA stiffness with ⎪ 1 1 1 1 2
⎨ (8)
temperature.
⎪ x 2 = z 2
According to Fig.4 and supposing that the stiffness-
temperature curve of SMA is symmetrical about the
⎪⎩ z2 = F2 + b1 ( x1 − x2 ) − b2 x2
point P ( TP , K P ), we obtained the approximative Fc Fc + k 2 q Fc + k 2 A sin ωt
where F1 = − , F2 = = ,
relationship between stiffness and temperature as m1 m2 m2
follow
Fc = c ( z1 − z 2 ) + J ( z1 − z 2 ) 3 + E ( x1 − x2 ) 2 + H ( x1 − x 2 ) 3
K (T ) = μ arctan[υ (T − TP )] + K P
K K k
Transforming arctangent function to multinomial , a1 = , b1 = , b2 = 2 .
function in Taylor series, we obtained m1 m2 m2
K (T ) = α1T + α 2T 2 + α 3T 3 + K 0 (5) The first-order nonlinear approximate solution in
averaging method is
At normal temperature TN , the rigidity K (TN )
x1 = A1ϕ11 (θ ) + A2ϕ12 (θ )
should be K , the restriction condition is
z1 = A1ϕ 21 (θ ) + A2ϕ 22 (θ )

690
 x2 = A1ϕ 31 (θ ) + A2ϕ32 (θ ) 2) System is stable when c11 − c13 cosϑ1 < 0 and
z 2 = A1ϕ 41 (θ ) + A2ϕ 42 (θ ) c21 − c23 cos ϑ2 < 0 ;
where ϕ1k = cos(λk t ) , ϕ 2 k = −λk sin(λk t ) , 3) Pitchfork bifurcation will appear when
a1 − λ 2
λ (a − λ ) 2 c11 − c13 cosϑ1 = 0 or c21 − c23 cosϑ2 = 0 ;
ϕ 3k = cos(λk t ) , ϕ1k = − k 1
k
sin(λk t ) ,
k
a) Subcritical Pitchfork bifurcation will
a1 a1
k=1, 2. appear when ci1 − ci 3 cosϑi = 0 and
λk (k = 1,2) is defined by the equation as follow ci 2 > 0 i = 1,2 , which is shown in
λ 4 − λ 2 (a1 + b1 + b2 ) + a1b2 = 0 (9) Fig.6-1;
b) Supcritical Pitchfork bifurcation will
so
appear when ci1 − ci 3 cosϑi = 0 and
1
λ12 = ⎡(a1 + b1 + b2 ) − (a1 + b1 + b2 )2 − 4a1b2 ⎤ ci 2 < 0 i = 1,2 , which is shown in Fig.
2⎣ ⎦
1 6-2.
λ22 = ⎡(a1 + b1 + b2 ) + (a1 + b1 + b2 ) 2 − 4a1b2 ⎤ c11 − c13 cosϑ1 > 0 or
2⎣ ⎦ 4) System is unstable when
Ak (k = 1,2) is defined by the following equations c21 − c23 cosϑ2 > 0 .
⎧ dA1
⎪⎪ dt = c11 A1 + c12 A1 − c13 A1 cosϑ1
3

⎨ (10)
⎪ dA2 = c A + c A3 − c A cosϑ
⎩⎪ dt
21 2 22 2 23 2 2

where
1 1 a1 − λ12 cλ12
c11 = − ( − ) , Fig.6-1 Subcritical Pitchfork Fig.6-2 Supcritical Pitchfork
Δ1 m1 m2b1 2a1 Bifurcation bifurcation

1 1 a1 − λ12 3Jλ18 The simulation result of eqs.(8) is shown in Fig.7-

c12 = − ( − ) ,
Δ1 m1 m2b1 8a13 Fig.9. There are three nonlinear parameters in eqs.(8):
J , E and H . However, E and H cannot cause the
1 1 a1 − λ22 cλ22 bifurcation of suspension system according to the
c21 = − ( − ) ,
Δ 2 m1 m2b1 2a1 discussion above, so J was chosen as bifurcation
parameter of suspension system. Time histories and
1 1 a1 − λ22 3 Jλ82
c22 = − ( − ) , phase diagrams of m2 were chosen to show the
Δ 2 m1 m2 b1 8a13 dynamic characteristic of suspension system varying
(a1 − λ12 )k 2 (a − λ22 )k 2 with J , where m1 = 200kg , m2 = 40kg ,
c13 = , c23 = 1 ,
2Δ1m2b1λ1 2Δ 2 m2 b1λ2 k = 30000 N / m k 2 = 181000 N / m
, ,
(a1 − λ )2 2
c = 150 Ns / m , E = 500 N / m 2 ,
Δi = 1+ i
,
a1b1 H = 1000 N / m 3 , A = 0.005m , Ω = 100 Hz .
ϑi is little quantity, ϑi = θ i − Ωt , i = 1,2 .
Based on eqs.(10), the stability and bifurcation
characteristic of suspension system can be analyzed as
follow
1) E and H can not cause the bifurcation of
suspension system according to the expression of
cij ( i = 1,2 , j = 1,2,3 );
Fig.7 Time histories and Phase diagram of m2 when
J = 250 Ns / m
3 3

691

Fig.8 Time histories and Phase diagram of m2 when
J = 25000 Ns 3 / m 3
Fig.9 Time histories and Phase diagram of m2 when
J = 2500000 Ns / m
3 3
It is obviously that the qualitative change of the
dynamic characteristic of suspension system appears
when J is varying.
4. Conclusion
In this paper, the nonlinear dynamic characteristic
of vehicle semi-active suspension system with SMA
variable stiffness spring was studied. SMA spring was
applied in semi-active suspension system to provide
controllable force. Hysteretic cycle and multinomial
model were introduced to set up continuous SMA
strain-stress-temperature model, based on which the
nonlinear dynamic model of vehicle semi-active
suspension system with SMA spring was set up. The
first-order nonlinear approximate solution of
suspension system was given, and based on which the
stability and bifurcation characteristic of suspension
system were analyzed. The result of analysis shows
that the nonlinear parameters E and H cannot cause
the bifurcation of suspension system, and the
qualitative change of the dynamic characteristic of
suspension system has relationship with the nonlinear
parameters J . Finally, the result of analysis was
proved by simulation. The result of this paper will be
helpful to active control to vehicle semi-active
suspension system.
692
5. Acknowledgements
The authors gratefully acknowledge the support of
the Key Item of the Natural Science Foundation of
China (NSFC-Key) through grant no. 10732020 and
the Chinese Postdoctoral Foundation (CPF) through
grant no. 2004035148.
6. References
[1] M.M. Rashid, M.A. Hussain, N.A. Rahim, “Application
of magneto-rheological damper for car suspension control”,
Journal of Applied Sciences, 2006, 6(4), pp. 933-938
[2] S.T. Lim, M.S. Cho, I.B. Jang, et al, “Magnetorheological
characterization of carbonyl iron based suspension stabilized
by fumed silica”, Journal of Magnetism and Magnetic
Materials, 2004, 282(1), pp. 170-173
[3] K.Tanaka, “A thermomechanical sketch of shape memory
effect: one-dimensional tensile behavior”, Res Mechanics,
1986, 18(2), pp. 251-263
[4] C. Liang, C.A. Rogers, “A one-dimensional thermo-
mechanical constitutive relation of shape memory materials”,
Journal of Intelligent Material System Structure, 1990, 1(2),
pp. 207-234
[5] L.C. Brinson, “One-dimensional constitutive behavior of
shape memory alloys: thermomechanical derivation with
nonconstant material functions and redefined martensite
internal variable”, Journal of Intelligent Material System
Structure, 1993, 4(2), pp. 229-242
[6] J.G. Boyd, D.C. Lagoudas, “A thermodynamical
constitutive model for shape memory materials”,
International Journal of P1asticity, 1996, 12(6), pp. 805-873
[7] E.J. Graesser, F.A. Cozzarelli, “A proposed three-
dimensional constitutive model for Shape memory alloys”,
Journal of Intelligent Material System Structure, 1994, 5(1),
pp. 78-89
[8] Nitzsche, F. Breitbach, Elmar, “Vibration control of
rotary wings using smart structures”, Smart Materials and
Structures, 1994, 3(2), pp. 181-189
[9] Y.Q. Ni, J.M. Ko, C.W. Wong, “Non-parametric
Identification of Nonlinear Hysteretic Systems”, Journal of
Engineering Mechanics, 1999, 125(2), pp. 206-215
[10] Y.Q. Ni, J.M. Ko, C.W. Wong, “Modeling and
Identification of a Wire-Cable Vibration Isolator via a Cyclic
Loading Test-Part 1: Experiment and Model Development”,
Proceeding of Institute of Mechanical Engineers, 1999, 213,
pp. 163-171
 2008 International Conference on Intelligent Computation Technology and Automation
Set Pair Analysis for Mass Rapid Transit Grey Model Selection
Chen Wang, Jun Chen
Southeast University
atalandisi@163.com
Abstract
The mass rapid transit system is essential both to
rational utilization of the economical resource and
optimization of overall arrangement of urban land use.
Choice models diffusely used in China now are largely
based on the certain values which fall short of the
practice. In this passage, grey numbers are used to
estimate the practical situation and the set pair analysis is
introduced to determine the best choice. The example of
Yangzhou city in China is taken to validate the feasibility
of the model. Based on the indices’ values which are
derived from the data collected by investigation and
calculated by Delphi method and indices’ Weights
decided by the AHP, the decision-making matrix is
established to acquire the set pair potential which can
determine the rank of the options to be chosen. By
calculation, among three choices (Sub way, LRT, BRT),
BRT model which has the highest potential is finally
adopted in the city.
1. Introduction
Mass rapid transit system contains Light Rail Transit
(LRT), Rapid Rail Transit (RRT), Bus Rail Transit (BRT),
electric trolley buses, etc. Nowadays in china, with the
economy increasing rapidly, many small cities are
becoming larger with the increasing pressure of
transportation and traffic correspondingly. Under this
situation, mass rapid transit is imperative to be
constructed in these cities in the future. How to choose a
kind of the mass rapid transit based on the different
situation and demands of different cities is now a new
problem which we must face and there should set up some
choice system or model for us to use in China.
1.1 Mass rapid Transit Grey Mode
In traditional choice model of multi-attribute
assessment in transportation in China, the indices mostly
use the certain numbers [1]-[4]. However, in practice,
many attributes in transportation system are uncertain
because of human factors and so on. In mass rapid transit
selection, many attributes which should be considered are
uncertain. Consequently, the values of these attributes
should be grey numbers which are existed between an
internal. It has been used in some other models. [5]- [7]
978-0-7695-3357-5/08 $25.00 © 2008 IEEE
DOI 10.1109/ICICTA.2008.179
The grey number can be defined by
− + − +
a (⊗) ∈ [ a , a ], −∞ ≤ a ≤ a ≤ +∞ .When
− +
−∞ ≤ a = a ≤ +∞ ”, “ a (⊗) ”is a certain number (white
− +
number).When“ −∞ ≤ a < a ≤ +∞ ”, “ a (⊗) ” is a
black number.
In this passage, a grey model for Mass rapid Transit
Selection will be established for the grey numbers which
are imprecise are more authentic than the numbers which
are precise.
1.2 Set pair analysis
The set pair analysis (SPA), proposed by Keqin Zhao
in 1989, is a modified uncertainty theory considering both
certainties and uncertainties as an integrated certain and
uncertain system and depicting the certainty and
uncertainty systematically from three aspects as identity,
discrepancy and contrary. The uncertainty analysis has
been applied to some transportation research for the
transportation science has too many uncertain factors.
Set pair refers to a couple that consists of two
interrelated sets. The basic idea of SPA is to analyze the
features of a set pair and set up a connection degree
formula of these two sets including identity degree,
discrepancy degree and contrary degree under certain
circumstances. Based on the connection degree formula, a
series of SPA-based researches have been conducted.
Putting together set A and B to form Set Pair M with
respect to the Problem O, give the definition of the
connection degree of Set Pair M as Eq.(1):
S F P
μ ( w) = + i+ j (1)
N N N
where S represents the number of identity
characteristics, N denotes the total number of
characteristics of the set pair, i is the connection degree
of the set pair, P is the number of contrary characteristics,
F = N-S-P is the number of the characteristics of these
two sets that are neither identity nor contrary, S/N,F/N,
and P/N represent the identity degree, discrepancy degree
and contrary degree of these two sets respectively, j is the
coefficient of the contrary degree, and is specified as-1.
As the coefficient of the discrepancy degree, i is an
uncertain value between -1 and 1, in terms of various
693
circumstances. The uncertainty of the discrepancy degree (3) is termed as identity degree that means the
of two sets is eliminated when i is specified as -1 or 1, and
approximate degree between M kR (⊗) and M R (⊗)
will increase when i is approaching zero.
Given a = S/N, b = F/N, c = P/N, Eq.(2) can be while (2) the approximate degree between M kR (⊗) and
rewritten as follows:
μ = a + bi + cj (2) M R ( ⊗) .
Due to advantages as a simple mathematic depiction In fact, the approximate degree between M kR (⊗) and
with clear physical meaning, SPA has been applied to
some multi-objective decision-making and multi-attribute M R (⊗) is the contrary degree between M kR (⊗) and
assessment [8]-[10] in transportation and so on.
M R ( ⊗) .
Similarly, for M2,
2. SPA for Mass rapid Transit Grey Mode − +
(1 / mkr ) + (1 / mkr )
Selection akr = − + (5)
(1 / mr ) + (1 / mr )
Assume in this model, there is a multi-attribute − +
mkr + mkr
problem space defined by O= {S, T, M} S = {Sk} (k =1, ckr = (6)
2. . . l)”is the assessed interval set, and Sk denotes the kth − +
mr + mr
interval. “T = {Tr} (r = 1, 2. . . n)”is the indices set, and Tr
The matrix of three aspects as identity, discrepancy
represents the rth index. “ M = ( mkr ⊗)l*n ”represents and contrary can be denoted:
the decision-making matrix about Problem O based on ⎛ ak 1 bk1 ck1 ⎞
SPA, and mkr ( ⊗) is the attribute value of index Tr in the ⎜ ⎟
Tk = ⎜ k 2 ⎟
a bk 2 ck 2
interval Sk. (7)
The indices can be separated to two parts: the indices ⎜# # # ⎟
of benefit and the indices of cost. As to the indices of ⎜a ⎟
⎝ kr bkr ckr ⎠
benefit, the best value of Tr can be defined by
Depending on the matrix of kth interval, matrix of the
− +
M R (⊗) ∈ [ mr , mr ] and the worst can be defined by connecting degree can be expressed:
− +
M R (⊗) ∈ [ mr , mr ] .As to he indices of cost, the best ⎛1 ⎞
μ k = P ⋅ Tk ⋅ ⎜ i ⎟ (8)
− +
value of Tr can be defined by M R (⊗) ∈ [ mr , mr ] and ⎜ ⎟
⎝ j⎠
− + Here P presents the matrix of indices’ weights.
the worst can be defined by M R ( ⊗) ∈ [ mr , mr ]
Taking the weight of each index into account, the
− − average identity degree and contrary degree can be
where mr = max{mkr }( k = 1, 2, " l ) ，
counted through Eqs. (7) and (8).
+ + n
mr = max{mkr }( k = 1, 2, " l ) ， ak = ∑ wr akr (9)
− − r =1
mr = min{mkr }( k = 1, 2, " l ) , n
+ + ck = ∑ wr ckr (10)
mr = min{mkr }( k = 1, 2, " l ) , r =1
Here the indices of benefit are marked as M1 while the Where ak stands for the average identity degree
indices of cost M2.
representing the close extent between Sk and M ⊗ while
For M1, the optimal evaluation set is marked as M ⊗
ck describes the average contrary degree expressing the
while the worst evaluation set is marked as M ⊗ .
− + close extent between Sk and M ⊗ .
mkr + mkr
akr = (3) Then, the potential of the set which reflects the
− +
mr + mr
− + approximate degree between Sk and M ⊗ can be shown
(1 / mkr ) + (1/ mkr ) as:
ckr = − + (4)
(1 / mr ) + (1 / mr )

694
 a
rk = k (11)
ck
Larger the value is, better the situation will be.
3．Case study
Apply the SPA to the transportation planning case.
2 construction cost, ability of passenger transport, running
Take Yangzhou, China for example. The city is 118 km
and the population is 1 million. It will become metropolis
in the next few years. However, with the population and
size of the city becoming larger and larger, the traditional
transportation can not reach the demand of the city. The
mass rapid transit should be taken into account to urban
planning. SPA had been introduced to tackle the issue for
the choice among subway, LRT and BRT.
3.1 Values of indices
According to the specific condition of the urban
transportation planning, the assessing indices are defined
by the various existing assessing indices of urban
transportation planning.
Based on the consultation of the experts, 9 indices
should be calculated totally. These indices set up a indices
system for choice of mass rapid transit. There are total
cost, construction cost, passenger transport ability,
running velocity and trip charge, impact of environment
and resources, safety, coordination with utilization of land
and coordination with increase of population.
The indices which can be quantized are system cost,
velocity and trip charge. As to the indices which can be
quantized, the values can be obtained by the statistics
surveyed while others (impact of environment and
resources, safety, coordination with utilization of land and
coordination with increase of population) can not be
quantized; the improved Delphi method is introduced to
get the values. It supply 5 grades (the value is accordingly
5, 4, 3, 2, 1) to choose and every experts could give a grey
number. Collect all the grey numbers and make a
statistical analysis. Carry on the circulation computation
several times and finally get a credible result.
The matrix of indices’ values can be calculated.
(Table1)
Standardize the values to get the new matrix. (table 2)

Tab.1 Initial matrix of the values of indices

Sub Way LRT BRT
A1:system cost(dollars per kilometer per man) [0.15,0.25] [0.05,0.10] [0.02,0.05]
A2:construction cost(million dollars per kilometer) [75,90] [25,30] [5,10]
A3:passenger transport ability(thousand man per [50,70] [20,36] [15,20]
hour)
A4:running velocity(kilometer per hour) [30,35] [20,25] [15,18]
A5:Trip charge(dollars) [0.75,1.25] [0.25,0.4] [0.08,0.2]
A6:impact of environment and resources [0.1, 0.6] [1,1.25] [0.1,0.25]
A7:safety [3.5,4] [2.5,3] [1.5,2]
A8:Coordination with utilization of land [2,3] [3,4] [4.5,5]
A9:coordination with increase of population [2,3] [3,4] [4,5]

Tab.2 Standardized matrix of the value of indices

Sub Way LRT BRT

A1:system cost [0.6,1] [0.2,0.4] [0.08,0.2]
A2:construction cost [0.833,1] [0.278,0.333] [0.056,0.111]
A3:passenger transport ability [0.714,1] [0.286,0.514] [0.214,0.286]
A4:running velocity [0.857,1] [0.571,0.714] [0.429,0.514]
A5:trip charge [0.6,1] [0.2,0.32] [0.08,0.2]
A6:impact of environment and resources [0.033,0.2] [0.333,0.417] [0.5,1]
A7:safety [0.875,1] [0.625,0.75] [0.375,0.5]
A8:Coordination with utilization of land [0.333,0.5] [0.5,0.667] [0.9,1]
A9:coordination with increase of population [0.4,0.6] [0.6，0.8] [0.8,1]

695
3.2 weights of indices

The indices contain two layers: the criteria layer and
the index layer. Use the Analytic hierarchy process (AHP)
to determine the weight of each index. The nine indices
can be separated into four parts which can be defined as
criteria layer, including cost (A1andA2), function of
service (form A3 to A5 and A7), and coordination
(A8andA9) and environment (A6).
Use C1 to C4 to describe the four parts in turn.
The judgment matrix of criteria layer and index layer
are shown in Table 3, 4and 5.

Tab.3 Judgment matrix of criteria layer and correlative data

C1 C2 C3 C4 W
C1 1 5/6 1.5 2.5 0.309
C2 6/5 1 3/2 3 0.355
C3 2/3 2/3 1 5/3 0.212
C4 2/5 1/3 3/5 1 0.123

Tab.4 Judgment matrix of index layer and correlative data

C1 A1 A2 W1 C2 A3 A4 A5 A7 W2 C3 A8 A9 W4

A1 1 6/5 0.545 A3 1 4/5 2 7/4 0.303 A8 1 3/2 0.6

A2 5/6 1 0.454 A4 5/4 1 5/2 2 0.368 A9 2/3 1 0.4
A5 1/2 2/5 1 5/6 0.149
A7 4/7 1/2 6/5 1 0.178

Tab.5 Final weight value of each index and consistency data

C1(W=0.309) C2(W=0.355) C3(W=0.212) C4(W=0.123) W

A1 0.5455 0.169
A2 0.4545 0.140
A3 0.3032 0.108
A4 0.3688 0.131
A5 0.1493 0.053
A6 0.123
A7 0.1787 0.063
A8 0.6 0.127
A9 0.4 0.085

3.3 Decision-making matrix

Firstly, the indices of benefit and the indices of cost M ⊗ ={[0.6,0.1],[0.833,1], [0.214,0.286], [0.429,0.514],
can be determined. The indices of benefit are A3, A4, A7- [0.6,1], [0.5,1], [0.375,0.5], [0.333,0.5], [0.4,0.6]}
A9 while the cost A1, A2, A5, A6. With the equations [7] and [8] mentioned in the
Based on the standardized matrix of the values of paragraph 2, the matrix of the connecting degree, that is,
indices and the sort of each index, establish optimal the decision-making matrix can be made. (Table 6)
evaluation set M ⊗ and the worst evaluation set M ⊗ From the table 6, with the equations [9], [10] and [11]
depending on the matrix and by the eqs.[3]-[6]: the set pair potential of each choice can be calculated.
(Table 7)
M⊗ Tab.7 matrix of set pair potential
={[0.08,0.2],[0.056,0.111],[0.714,1],[0.857,1],[0.08,0.2],[ Sub way 0.58731+0.7194j r1=0.79669
0.033,0.2],[0.875,1],[0.9,1],[0.8,1]} LRT 0.48081+0.5455j r2=0.88135
BRT 0.999+0.5876j r3=1.73412

696
 From the final results, the decision can be made by the situation. Consequently, BRT will be a best choice for
potential r. For r1<r2<r3, the mode of BRT be the best Yangzhou city.
Tab.6 Decision-making matrix
A1 A1 A3 A4 A5 A6 A7 A8 A9
Subway 0.152+1. 0.082+1. 1.000+0. 1.000+0. 0.152+1. 1.000+0. 1.000+0. 0.438+1. 0.556+1.
000j 000j 294j 501j 000j 155j 459j 000j 000j
LRT 0.429+0. 0.246+0. 0.467+0. 0.685+0. 0.464+0. 0.153+0. 0.733+0. 0.614+0. 0.778+0.
375j 333j 666j 737j 325j 5j 629j 699j 700j
BRT 1.000+0. 1.000+0. 0.292+1. 0.503+1. 1.000+0. 0.085+1. 0.467+1. 1.000+0. 1.000+0.
175j 091j 000j 000j 175j 000j 000j 422j 540j

4. Conclusion
With the rapid progress of urbanizing in China, many
middle and small cities in China are running for
metropolis. With the increasing demand of transportation
and traffic, it’s time for mass rapid transit to be adopted.
Many choice model for mass rapid transit used in China
are established based on the certain values .To get a more
precise and authentic result, a new model for mass rapid
transit selection is set up. There main innovations are
listed below:
(1) All the values in the model which are grey numbers
are in accord with the practice for it is more precise to
evaluate a situation with an uncertain number.
(2) Set pair analysis invented by Mr. Zhao which has
advantage as a simple mathematic depiction with clear
physical meaning is taken to calculate the model. Based
on the best and worst values of the indices, the identity
degree and contrary degree of the set pair and the decision
matrix are set up. Based on the set pair potentials
calculated by the degrees, the best choice is found easily
and accurately.
(3) The example of transportation planning for
Yangzhou city in China is taken to validate the feasibility
of the model.
5. Acknowledgement
This research is supported by National Basic Research
Program of China (Project 2006CB705500) and National
High-tech R&D Program (2008AA11Z201).
[3] C.S. Chang, W. Wang, A.C. Liew, and F.S. Wen,
"Bicriterion optimisation for traction substations in mass
rapid transit systems using genetic algorithm", IEE Proc-
Electr. Power Appl. vol 145, No.1, Jan 1998
[4] C.S. Chang and B.S.Thia, "Online Rescheduling of mass
rapid transit systems: fuzzy expert system approach", IEE
Proc-Electr. Power Appl., vol. 143, No.4, July 1996, pp.
307-316.
[5] Lai, V. S., Wong, B. K. and Ceung, W, “Group decision-
making in a multiple criteria environment: A case using the
AHP in software selection”, European Journal of
Operational Research, 137, 134-144.
[6] C.M.Mi, S.F.Liu, Z.G. Fang, “The Driver’s Shortest Path
Decision-Making Model And ITS Algorithm Study Based
On Grey Number Superiority Relationship”, Proceedings of
the Fifth International Conference on Machine Learning
and Cybernetics, Dalian, 13-16 August 2006.
[7] Z.G.Fang, S.F.Liu, F.Lu, “Study on Improvement of Token
and Arithmetic of Interval Grey Numbers and Its
GM(1.1)Model”, Engineering Science. VOL, 7, NO, 2.
2005:58-61
[8] Keqin Zhao. Set pair analysis and its preliminary
applications. Zhejiang Science and Technology Press,
Hangzhou, 2000.
[9] Y.L.Jiang, Y.T.Zhuang, Z.X.Li, H.P.Cao, “Application of
Set Pair Analysis in Urban Planning Project
Comprehensive Evaluation”, IEE Proceedings of the Fourth
International Conference on Machine Learing and
Cybernetics, 18-21, August 2005.
[10] L.H. Feng, X.C. Zhang, J.L. Gong. “Statistical forecast of
change tendency of water resources based on the set pair
analysis”, Hydrology 2004;24(2)

6. References

[1] C.S.Chen, H. J.Chuang, and H. M. Shiau, “Stochastic

Harmonic Analysis of Mass Rapid Transit Power Systems
With Uncontrolled Rectifiers”, IEEE Proceedings-
Generation Distribution, vol.150, no. 2, pp. 224-232,
March 2003.
[2] C.S. Chang, W.Q. Jiang, S. Elangovan, “Application of
Genetic Algorithms to Determine Worst-case Switching
Overvoltage of MRT System”, IEE Proc. on Electric Power
Applications, Vo1.146, No.1, pp81-87, January 1999.

697
 2008 International Conference on Intelligent Computation Technology and Automation
SIMMOD Based Simulation Optimization of Flight Delay Cost for Multi-
airport System
Wei Gao1, 2
1.College of Civil Aviation, Aeronautical and
Astronautical University of Nanjing,
Nanjing, P.R. China
atmgao@yahoo.com.cn
Abstract
Air traffic delay is a critical and expensive problem
for multi-airport systems. One strategy for reducing
total delay cost is to optimize the flight schedule. The
SIMMOD software developed by FAA can be used to
build simulation model for the multi-airport system.
Based on the restricted SPSA optimization algorithm
and the theory of multi-level programming model, an
area multi-airport system simulation optimization
model and algorithm was proposed. This model and
algorithm take the importance of related route network
nodes and the expected value of optimization results
into account. The simulation optimization results of the
PRD region multi-airport system verified the
effectiveness of the model and algorithm.
1. Introduction
With the development of the regional economy,
multi-airport systems form around the metropolis of the
economic region. A multi-airport system is the set of
significant airports that serve commercial transport in a
metropolitan region, without regard to ownership or
political control of individual airports. For example,
there are five large-scale civil aerodromes, three
military airports and two heliports built in the Pearl
River Delta area of China. The density of aerodrome
distribution in that area ranks first in the whole country.
In this area, the air traffic is congested, the flight delay
rate is high, and the economic and social cost is
continuously increasing [1]. For this reason, it is of
great significance to optimize the fight operation in the
multi-airport system for reducing the cost of flight
delays.
Recently, researchers home and abroad have put
forward a number of theoretical models and algorithms
for flight delay optimization [2, 3]. However, the issue
978-0-7695-3357-5/08 $25.00 © 2008 IEEE
DOI 10.1109/ICICTA.2008.46
Xiaohao Xu2, Lin Diao2 and Hongjun Ding2
2. College of Air Traffic Management,
Civil Aviation University of China,
Tianjin, P.R. China
diaolin@hotmail.com
of flight delay optimization is a restrictive non-linear
programming model. There are lots of decision
variables. It has some difficulties to solve it by using
the traditional methods. Furthermore, it is difficult to
consider the capacity coupling of multi-airport and the
influences of terminal, area and en route traffic
capacity by these theoretical models.
SIMMOD is a microcosmic air traffic simulation
package. It can simulate detail aspects of air traffic
operation. Adopting such package to simulate the
operation of multi-airport system can imply many
restrictive conditions, and can also consider the
randomness of flight operations. SPSA optimization
method is a simple, easy to achieve and high efficiency
stochastic approximation algorithm. In solving the
high-dimensional problems, it also has its unique
advantages. It can efficiently conduct simulation
optimization for the operation of multi-airport system
by combining SIMMOD with SPSA Optimization.
For multi-airport system, Nathan L. Kleinman,
Stacy D. Hill and Victor A. Ilenda etc. used SPSA and
SIMMOD to conduct simulation optimization of the
delay cost for a virtual multi-airport system, and
preliminary discussed the applicability of the method
[4,5]. In addition, David W. Hutchison and Stacy D.
Hill made further improvement to SPSA method. They
studied the simulation optimization of airline delay
with constraints and multiple objectives [6]. At present,
no related research has been carried out in China.
In this paper, the SIMMOD package and SPSA
optimization method were used for the simulation
optimization of the multi-airport system in Pearl River
Delta area. The optimal flight schedule considering
network structure aimed to reduce the cost of flight
delays was obtained. It verified the validity of the
simulation optimization model and algorithm. It also
found out the aspects in the optimizing system that
might be improved and actions should be taken.
698
2. Simulation modeling of multi-airport
system in Pearl River Delta region
Considering the information sources and study
targets, this article only conducted simulation with
SIMMOD package for Guangzhou APP and Zhuhai
Terminal Control Area, as well as the multi-airport
system which composed by Guangzhou, Shenzhen and
Zhuhai airport.
Based on the data and information from Civil
Aviation Airport Utilization Guide, aviation chart and
field investigation, the detailed description of airport
ground surface, airspace as well as the air traffic
situation were input to SIMMOD and the simulation
scenario was then established. The simulation input
data generally include: airport, facility, relevant airport,
runway and taxiway layout (DXF format), airspace
chart, runways, taxiways, gates, details of airspace
structure, flight schedule, fleet mixes, historical wind
direction, the runway operational procedures(including
takeoff/ landing distance and time interval), departure
queue location and capacity, taxiways
operation(including location, overtake rules, speed,
direction, the restriction of use), gate
operation(including location, capacity, blocking state,
way of push out, maximum allowable aircraft type)etc.
Through parameters setting for speed, route,
altitude, time, interval and control strategy etc.,
SIMMOD can simulate the entire movement process of
aircraft. Consequently it can accurately describe the
actual situation of aircraft operation. After simulation
running, SIMMOD can output data such as aircraft
flight time, the capacity and flow of airspace or airport,
location and causes of delay and fuel consumption etc.
3. The multi-level programming model
based on the importance of the route
network nodes
In the route network, the traffic flow, type of air
route and geographical location of each network node
(city airport or frontier in and out point) are different,
therefore it has different importance for the political,
economic, social and other aspects. This causes that
each network node is ranked among different levels
and formed hierarchical network design based on the
importance of nodes. With this multi-level
programming model the optimum solution both for the
whole and the individual in a local area can be
guaranteed.
For multi-level programming model, during the
process of solving, multiple objective functions can be
combined into one objective function by introducing
weights. It is:
699
T
MinL(θ ) = ∑ (M
i =1
i ∗ Li (θ )) (1)
Where:
T -The number of network hierarchy;
M i - The weight value of lower layer to the overall
goal, namely the importance index of each level of
network;
Li (θ ) -The objective function value of each level of
network.
Using the total flight delay cost in the network as
the index to quantificational assess the system,
according to a technical report [7] which compiled by
Geisinget of FAA, it is known that, for the average
flight, taxiway delay cost 2.38 times more than air
traffic controller-induced gate-holding delay, and
airborne delay cost 3.86 times more than gate-holding
delay per hour. To minimize the delay cost of the
whole network, in terms of p flights, the objective
function of each level of network is as follows:
Li (θ ) = mgi (θ ) + 2.38mti (θ ) + 3.86mai (θ ) (2)
Where:
θ - The time of the flight entering the system,
θ ∈Rp；
m gi (θ ) , mti (θ ) and mai (θ ) are the total number of
gate, taxiway, and airborne delay time of all p flights
to the i th level.
Here, the multiple objective functions of the multi-
level network model transforms into one objective
function as:
T
L(θ ) = ∑ ( M i * Li (θ ))
i =1
T
(3)
= ∑ [ M i * (mgi (θ ) + 2.38mti (θ ) + 3.86mai (θ ))]
i =1
As the airport being a special network node, in the
nearby area, it’s importance is higher than that of other
nodes on the route, therefore, it is feasible to use the
airport as hub nodes and as the basis for hierarchical
division of network. When the importance of airport
and surrounding region are used as the basic criterion
of network hierarchy division, the objective function of
the aforementioned multi-level programming model
transforms into one objective function as:
T
L(θ ) = ∑ (M
i =1
i * Li (θ ))
(4)
T
∑[m * w * (m
= i i gi (θ ) + 2.38mti (θ ) + 3.86 mai (θ ))]
i =1
Here T is the number of airports.
Taking into account that the impacts of each flight
upon the flight delay costs of various airports are
different, the importance index M i of each level of different ranks, so mi was assumed to take the values of
network is decomposed into two components 1, 2, 3 respectively. The weights chosen here are just
wi and mi : trying to verify whether this optimization method and
wi -which represents the impact of the flight on the model is applicable to such problems. Many methods
such as questionnaire investigation etc. can be used to
airport delay cost, that is, the non-base flight has less or determine the weights. This is a problem need to be
even no impact on the airport flight delays. It depends studied in the future to further improve the
mainly on the conflict of routes used by this flight and optimization model.
the base flight.
mi -the airport its own weight, which is the 4.2. SPSA optimization
importance index of the airport being a network node. The simultaneous perturbation estimate gˆ k (θ k ) of
the gradient can be obtained based on the simulation
4. Simulation optimization of multi-airport output. This is one advantage of SPSA algorithm which
system in Pearl River Delta only requires measurements (possibly noisy) of an
objective function to form gradient estimates and
4.1. Optimization model
converge to a local optimum. The SPSA algorithm
The flight delay cost of multi-airport system in Pearl attempts to find a local minimum θ ∗ by starting at a
River Delta was optimized using above mentioned fixed θˆ0 and iterating according to the following
multi-level programming model. Guangzhou, Shenzhen
and Zhuhai Airport are considered as three network scheme:
nodes with different importance. In our problem we θˆk +1 = π Θ (θˆk − ak gˆ k (θˆk ) − ak rk pˆ k (θˆk )) (7)
consider as one constraint the goal to effect a 40%
reduction in flight delay cost.
( )
Here pˆ k θˆk is an estimate for the gradient of the
Following the method of Wang and Spall [8], the penalty function.
goal-defining constraints can be placed in the penalty
function using a class of penalty functions defined by:
1
P( x) = max( x,0) β (5)
β
where 1 ≤ β ≤ 2 . Our goal is to reduce 40% of the delay
cost, so the penalty weight rk is set to 0.4. In addition,
since we expect that the penalty function is stable and
converges and also sensitive to perturbation, so the
absolute value function was chosen as the penalty
function, that is, in the formula（5）let β = 1 .
The optimization model was then obtained by
adding a penalty term in (4):
T

∑ (M * L (θ )) + r
1
min L(θ ) + rk P(θ ) = max(ΔL(θ ),0) β
β
i i k
i =1
T

= ∑[m * w * ( m
i =1
i i gi (θ ) + 2.38mti (θ ) + 3.86mai (θ ))
Figure 1. The flow chart of Simulation optimization
1
+ rk max(L(θ ) − L(θ 0 ),0) β

β The iterative processes of SPSA optimization are

3 shown in Figure 1, see [9] for a complete description of
= ∑ [i * wi *(mgi (θ ) + 2.38mti (θ ) + 3.86mai (θ ))] SPSA step-by-step implementation and the choice
i =1
method of parameters.
+0.4 ∗ L(θ ) − L(θ 0 ) (6) The non-negative coefficients a, c, A,α , and γ in the
Based on the consideration of the actual situation of a k = a / ( A + k + 1)
α
SPSA gain sequences and
the system which need to optimize, for the airport
c k = c / (k + 1)
γ
where the flight operates in it, let wi =1, or wi =0. For were chosen as below:
mi which is the airport's importance index, since the a = 0.000052094 , c = 0.1 , A = 2 , α = 0.602 and
three nodes studied here basically belong to three γ = 0.101 .

700

5. Main results
We obtained the optimized flight schedule that
achieved the delay cost reduction goal described above.
The departure and arrival flights distribution in three
airports are shown in Figure 2.
35
30
25
20
15
10
5 Shenzhen airport, the airborne delay weight value of
0 Guangzhou Airport is greater. The arrival and
00:00 03:00 06:00 09:00 12:00 15:00 18:00
- - - - - - - -
01:00 04:00 07:00 10:00 13:00 16:00 19:00
ZGSDARR ZGSDDEP ZGSZARR ZGSZDEP ZGGGARR
Figure 2. The departure and arrival flights
distribution of each airport (optimal solution)
We also analyzed the changes of the whole system
delay at the gate, on the ground, and in the air during
the optimizing process. There is significant reduction
for the gate position waiting time, and the taxiway
waiting time in the mid-prophase. For the delay in the
air, throughout the iterative process of optimization
there is only a slight reduction, which shows that the
flight operation based on the current route network has
reached saturation, it will not produce tangible results
to adjust the flow by controlling the ground waiting
time. If it needs to further increase the capacity and
flow, it is necessary to adjust the geometric layout and
structure of the route network.
In addition, the weight value choice of each route
nodes has an impact on the optimization scheme. For
example, the choice of weight value described as
section 4.1 directly produced the result that the
Shenzhen airport taxiway waiting time having a greater
impact on the objective function value than the Zhuhai
airport delays in the air. This is also one reason why the
proportion of the air delay increased during the final
stage of iteration.
The flight delay of the optimal solution can also be
compared with that of current flight schedule for each
airport.
For Guangzhou airport, the taxiway delay and gate
holding delay reduced greatly, however, the airborne
delay didn’t decrease significantly. This shows that,
with the restrictions of current airspace structure,
operational procedures and rules, it is unable to reduce
the flight delays by adjusting the aircraft operation or
arranging reasonable flight schedule. The air traffic
flow has reached the capacity of the airspace. If we
want to increase the amount of flight while controlling
the delays in acceptable extent, it needs to adjust the
routes structure, or change the operating procedures
and rules. This is the system capacity bottlenecks
reflected by simulation optimization of Guangzhou
airport flight operations.
For Shenzhen Airport, the taxiway delays have a
significant reduction after optimization and some
taxiway delay have been converted into gate holding
delay. For the airborne delay, the peak value decreased,
but its distribution range has extended. This is mainly
caused by the coefficient selection of the objective
function.
When there is congestion in airspace, compared to
21:00
22:00
departure flights in Guangzhou Airport have priority
use of the airspace resources. So the flights in
ZGGGDEP Shenzhen airport should wait in the air or adjust the
speed, this caused that the delay distribution range
extended. The reduction of the peak value of airborne
delay was mainly gained by the optimization.
The airborne delay times of arrival flights in Zhuhai
airport increased because of the weight value choice,
which has been explained above. Although in the
actual operation, these weight values may be not
desirable, but it’s feasible to be applied to verify the
effectiveness of the model in theory. From this point of
view, the model and optimization method proposed in
the paper is effective and sensitive. If we properly
adjust the parameters of the model, it can be concluded
that we can obtain good flight schedule optimization
results based on the route network. As mentioned
above, the determination of appropriate parameters will
be the subject of future research. It may also be
preferable to add the waypoint’s importance weight
value into the model.
6. Conclusions
Multi-airport system simulation optimization can
make full use of the advantages of the air traffic
simulation packages. It has great development potential
in air traffic optimization domain. Based on the
restricted SPSA optimization algorithm and the theory
of multi-level programming model, an area multi-
airport system optimization model and algorithm was
proposed. In our model we took into account of the
importance of the network nodes in the multi-airport
system and the goal restriction.
It confirmed that the delay cost can be reduced in
accordance with the goal expectations by simulation
optimization of the Pearl River Delta multi-airport
system. In addition, according to the statistical analysis
701
of data, it can clearly identify where the crux of the
problems and bottlenecks are in existing system, and
provide initial reference for verifying the feasibility of
various improved measures.

7. Acknowledgements
This work was supported by a grant from the
National High Technology Research and Development
Program of China (863 Program) (No.
2006AA12A105)

References
[1] Zhang Yue, Research on Harmonized Operation of
Regional Multi–Airport System of ZhuJiang River
Delta, Paper for degree of Doctor of Philosophy,
School of Transportation Engineering, Tongji
University, 2007.
[2] Wang Feng, Ma Shoufeng, He Guoguang, “A Study on
Flight Timetable Optimizing Model”, Journal of
Systems Engineering, vol.11, no.1, pp.50-56, 1996.
[3] Hu Minghua, Zhu jingbo, Tian Yong, “Research of
Multi-Restrict Airline Schedule Optimization Model
and Method”, Journal of Nanjing University of
Aeronautics & Astronautics, vol. 35, no.3, pp. 326-332,
2003.
[4] Nathan L. Kleinman, Stacy D.Hill, Victor A. Ilenda,
“SPSA/SIMMOD Optimization of Air Traffic Delay
Cost”, Proceedings of the American Control
Conference, pp. 1121-1125, 1997.
[5] Nathan L. Kleinman, Stacy D.Hill, Victor A. Ilenda,
“Simulation Optimization of Air Traffic Delay Cost”,
Proceedings of the 1998 Winter Simulation Conference,
pp. 1177-1181, 1998.
[6] David W. Hutchison, Stacy D.Hill, “Simulation
Optimization of Airline Delay with Constraints and
Multiple Objectives”, Proceedings of the Fourth
International Symposium on Uncertainty Modeling and
Analysis, pp. 417-422, 2003.
[7] K.Geisinger, Airline delay: 1976-1986, Technical Report
FAA-APO-88-13, Federal Aviation Administration,
Washington, DC, Mar. 1989.
[8] Wang I.-J., and J. C. Spall, “A constrained simultaneous
perturbation stochastic approximation algorithm based
on penalty functions”, Proceedings of the American
Control Conference, pp. 393-399, 1999.
[9] J.C.Spall, “Implementation of the Simultaneous
Perturbation Algorithm for Stochastic Optimization”,
IEEE Transactions on Aerospace and Electronic
System, vol. 34, pp. 817-823, 1998.

702
 2008 International Conference on Intelligent Computation Technology and Automation
Simulating and Modeling of Intake Pipe Fuel Film Dynamic Characteristic
under Gasoline Engine Transient Condition
Yi-hu Wu, Huanchun Gong,Lin-li Ou,Li Zhou and Cui Wang
School of Mechanical and Automotive Engineering, Changsha University of Science and
Technology, Changsha，China; 410076
E-email: w2309@163.com;
Abstract
During the gasoline engine transient process, both
fuel quantity and fuel film parameter change, fuel film
dynamics balance in intake pipe is destroyed, which
makes the fuel quantity from nozzle and fuel quantity
into the cylinder not be equaled. Therefore, fuel film
model need to be established accurately in order to
control the air fuel ratio accurately. The costumed fuel
film model of Aquino is introduced in detail, and the
characteristic of Aquino model used in gasoline engine
transient process is also analyzed. Based on Aquino
fuel film model, a new kind of dynamic fuel film model
is presented, in which the change of intake parameter
is consider . The air fuel ratio variable of two fuel film
model is simulated by using SIMULINK under gasoline
engine transient condition, and the simulated result is
compared with experiment data. The result shows that
the intake pipe fuel film dynamic characteristic is
accurately described by the presented model, and the
accuracy of presented model is higher than Aquino
model.
1. Introduction
Automobile gasoline engine operates mostly under
transient condition, the working parameter of gasoline
engine such as throttle degree; engine rotate speed and
engine load during the actual operating process are
variable. The air-fuel ratio control is especially difficult
to be carried out in throttle transients because of the
complexity of relevant air flow and fuel flow
evaporation dynamics and the time delay of
transmission. For EFI gasoline engine, Injected fuel is
near to intake valve so that a fraction of injected fuel
which collides with intake port and intake valve surface
is deposited on the wall as liquid film. During transient
condition fuel film dynamics is destroyed, which
makes the fuel quantity from nozzle and fuel quantity
into the cylinder not be equaled. To control emission of
gasoline engine, the catalytic converter always is used
which requires that air fuel ratio must remain at a
978-0-7695-3357-5/08 $25.00 © 2008 IEEE
DOI 10.1109/ICICTA.2008.220
narrow area to enhance the efficiency of the catalytic
converter, that is to say, when the fact air fuel ratio is
near to the theoretical air fuel ratio, the catalytic
converter can work more effectively. Therefore, fuel
film model need to be established accurately in order to
control the air fuel ratio accurately. As for the fuel film
model of intake port, many scholars make an intensive
study on it. Aquino[1] puts forward fuel film model,
which is widely used in gasoline engine. Aquino fuel
film model can make the fuel of intake port in balance
under stable condition; however, fuel film dynamic
balance is destroyed by the fuel film liquidity of intake
port increasing under transient condition. The
costumed dynamic fuel film model of Aquino is
introduced in detail, and the characteristic of Aquino
dynamic fuel film model is also analyzed in this paper.
Based on Aquino fuel film model, a new kind of
dynamic fuel film model is presented in this paper. The
air fuel ratio variable of two fuel film model is
simulated by using SIMULINK and the result is
compared with experiment data. The result shows that
the intake pipe fuel film dynamic characteristic is
accurately described by the new model. The new model
accuracy is higher than Aquino model.
2. Fuel Film Dynamic Model
2.1 Costumed Fuel Film Model
The Aquino fuel film model (abbreviation A model)
is described that fuel mass minj injected, of which a
part enters the cylinder directly in the fuel vapor form;
another part deposits on the intake manifold wall to
form fuel film. Fuel film evaporates at 1 / τ f speed
ratio on and on, and evaporative fuel vapor and the
above fuel vapor enter cylinder together. Fuel film
dynamic model of gasoline engine may be described by
the follow mathematical formula.
m ff
m in = (1 − x ) m inj + τ (1)
f
m ff
m ff = xm inj − τ (2)
f
703
 Where minj is the mass flow of injector injecting
fuel, m ff and m ff respectively is the mass flow and
change rate of fuel film evaporating, m in is the mass
flow of the fuel entering into cylinder, τ f is the time
constant of fuel evaporating, x is the fuel distribution
coefficient.
Another popular model for the fuel flow dynamics
is Hendricks [2] model (abbreviation H model) and its
describing equations are
m in = (1 − x ) m inj + m ff (3)
1 constant of fuel evaporating and fuel distribution
m ff = ( − m ff + xm inj ) (4)
τf
Where m ff and m ff respectively is the mass flow
ratio and change rate of fuel film evaporation. The
different between H model and A model is the
description of fuel film. Proportional to the fuel mass in
the liquid film ( m ff ), can be considered as a first order
delay process in A model, however, the fuel mass flow
ratio of tip in and tip out fuel film ( m ff )is regarded as a
first order delay process in H model. The physical
meaning of H model is that the unbalance fuel film is
to be reached a new balance state after τ f time. Due to
the variable of tip in and tip out the fuel film mass flow
H model described in some time, although H model is a
linear mode, the physical essence of H model is
nonlinear. If the x and τ f of fuel film model is treated
as constant, equation (1) to equation (2) will be made
in Laplace transform. Seen from it, the signal diagram
of a model is the same as the H model. [3] Therefore, the
physical meaning of a model is equal to H model. Take
A model as object, the A model is analyzed in detail in
this paper.
2.2 A Model Analysis
The dynamics balance of fuel film formation rate
and evaporation rate is built up by a model in stable
condition. The main reason which A model produces
tremendous error under transient condition is that time
constant of fuel evaporating ( τ f ) and fuel distribution
coefficient ( x ) of A model is hardly accurate identified.
According to [4], fuel distribution coefficient ( x ) is
directly related to throttle position because fuel is
immediately injected on the throttle valve. Fuel
distribution coefficient is regarded as an approximate
constant due to the variable of throttle angle is fast and
the time of this process is short. Besides, the
relationship between time constant of fuel evaporating
( τ f ) and intake port temperature is intimate so that
704
intake port temperature and time constant of fuel
evaporating is invariable when gasoline engine
operates in a period of time. It is nonlinearity function
relationship between time constant of fuel and fuel
distribution coefficient and intake port pressure, intake
port temperature and engine rotate speed. Moreover,
this relationship is very complexity and the physical
model is also hardly established. During transient
condition, throttle position, engine load and condition
parameter works in a large range, which will cause the
variable range of time constant of fuel evaporating and
fuel distribution coefficient to be increased. If time
coefficient is calculated according to the method of
reference [4], the great error of injected fuel in the
cylinder is produced by using A model.
2.3 Fuel Film Model Presented In This Paper
Because of the extraordinary simple of a model, it is
easy use for air fuel ratio control and engine real time
control. However, the dynamic process of fuel film is
hardly described such as a model is simpler. A new
kind of fuel film model based on a model is improved
in order to describe the dynamic characteristic of fuel
film more accurately. The improved model is shown as
follows.
m =m + 1 m (5)
in fv τf ff
m fv = 1 [ − m fv +(1− x ) m inj ] (6)
τv
m =− 1 m + xm (7)
ff
τf ff inj
Where τ v is the time constant of fuel film
 fv respectively is the mass flow
transiting,[5] m fv and m
of fuel film evaporating and mass flow rate of fuel film
evaporating in the intake port. The most different
between new model and a model is that injected fuel,
of which a part enters the cylinder directly in the fuel
vapor form, and evaporative fuel vapor and the above
fuel vapor enter cylinder together need to be entered in
the cylinder after τ v time, τ v can be shown by the
induction air flow equation of intake port [6].
ρlA
τv = c (8)
mac
Where, ρ is gas density of intake manifold; l is the
distance between fuel nozzle and intake valve; mac is
the air flow in the cylinder; Ac is the section area of
intake manifold. The section area of intake manifold
and the distance of nozzle and intake valve is a very
little constant, so τ v is approximately treated as zero in
  fv is equal to
the light of equation (8). Consequently, m
zero and the new model presented in this paper is to
become A model. Besides, τ v should be calculated
according to equation (9) in this paper.
m
τv = ma (9)
ac
Where ma is the air flow of intake pipe; Injected
fuel which a part enters the cylinder directly in the fuel
vapor form; the other part deposits on the intake
manifold wall to form fuel film. In fuel film, of which a
part enters in the cylinder in means of evaporating with
air flow, the other part enters in the cylinder by flowing,
therefore, the intake port is full of fuel evaporation, and
fuel evaporation of intake port is variable. The constant
of τ v is described as the time of fuel evaporating form
to enter in the cylinder, which the variable range is
increasing when the liquidity fuel evaporation of intake
port is strengthened. Therefore, it is reasonable for
equation (9) to calculate τ v constant. ma And mac is
computed by the method of speed and density
according to [7].The constant of τ v is shown as follows.
120V
τ v = nV ηm (10)
d v
Where Vm is intake pipe volume; n is the engine
rotate speed; Vd is the engine displacement; ηv is
charge efficiency.
It is an important parameter for τ f and x to affect
the accuracy of fuel film model. Many scholars make
an intensive study on it. The variable discipline of fuel
film parameter is obtained by lots of gasoline engine
condition experiments according to [8, 9]. Seen from
[8, 9], x is mainly related to engine rotate speed and
intake pipe wall temperature. Fuel and air mix is
promoted by the rotate speed increasing, and contribute
to fuel and air vaporize. Moreover, it is useful for the
vaporization of fuel and the increase of intake air
temperature to the raise of intake pipe wall temperature,
which makes the fuel into fuel film decline.
The constant of τ f is also related to engine speed
and intake pipe wall temperature. The velocity variable
of fuel film surface is attracted by the variable of
Table1 HL495Q engine parameter
Engine Intake pipe Charge
displacement(L) volume efficiency
2.84 710 0.85
Two kind variable of throttle position is used to
simulating and the air fuel ratio variable of two fuel
705
engine rotate speed, τ f is affected by the velocity of
airflow behaving in two parts. On the one hand, when
the velocity of airflow accelerates, which makes fuel
film evaporation is quickly moved and contributes to
the fuel film evaporate. On the other hand, airflow
makes fuel film expand to liquidity direction, increases
the area of fuel film and makes for fuel film evaporate,
τ f is affected by intake pipe wall also behaving in
two section. The heat transfer of fuel film is
strengthened by the raise of intake pipe wall
temperature, which makes the increase of fuel film
temperature. On the second place, the raise of wall
temperature promotes the viscosity of fuel film to
decline, which makes fuel film expand easily and
increase the surface area of fuel film. So the
evaporation of fuel film is strengthened by the two
factors.
The variable of fuel film parameter is related to
engine rotate speed and intake pipe wall temperature.
According to [9], the affected fuel film parameter
factors are simplified. The intake pipe wall temperature
is stable when engine works in a period of time.
Therefore, engine rotate speed is the main factor of fuel
film parameter, which can be calculated by the engine
operating condition point. It is shown as follows.
−4
x = 10 n + 0.42 (11)
−0.65
τ f = 7.27 n (12)
Where n is engine rotate speed (rad/s).
3. Simulation Result Analysis Of Dynamic
Fuel Film
The mean value engine model is established in this
paper, which mainly consists of three subsystems such
as the air-flow dynamics, the fuel-flow dynamics and
the crankshaft dynamics. The costumed fuel film model
is particularly introduced in section two of this paper
and a new fuel film model is also advanced. The
detailed modeling process of air-flow dynamics and the
crankshafts dynamic is shown in [6]. Under the
environment of SIMULINK, a simulation model of
mean value engine model is built up, which takes
HL495Q engine as simulation engine in this paper.
Air pressure Intake pipe Ignition
(bar) temperature advance angle
（K）
1.013 297 12º
film model is compared with experiment data, which is
adapted to decide the accuracy of fuel film model.
3.1 The Simulation Of Throttle Angle
Changing From 10 Percent To 30 Percent
The variable of throttle position is shown on Fig 1.
The simulation result with air fuel ratio variable of two
fuel film models is shown on Fig2.
The variable of throttle degree is displayed on Fig 1
such as the initial degree is 10 percent, and the throttle
degree is turned on 30 percent from 2 second to 8
second, and the throttle degree is closed to 10 percent
until 10 second. The time of simulation is 10 second.
Fig1. The variable of throttle degree(Ⅰ)
(a) The variable of air fuel ratio from 10 percent to 30
percent of throttle degree in 2 second
(b) The variable of air fuel ratio from 30 percent to 10
percent of throttle degree in 8 second
Fig2 Compared the air fuel ratio simulated result of
two fuel film model to experiment data(Ⅰ)
When throttle degree is invariable, the fact air fuel
ratio is near to the theoretical air fuel ratio. When
throttle degree is variable intensively, the fact air fuel
ratio departs greatly from the theoretical air fuel ratio.
The variable of air fuel ratio in mutation point of
throttle degree is mainly shown in Fig2. Seen from Fig
2, the error between air fuel ratio variable of two fuel
film model and experiment data is very small because
706
the time constant of fuel film transiting is in a narrow
range when the variable of throttle degree is in stable
condition. Although the variable of τ v constant is
neglected in a model, which can accurately
approximate the variable of actual air fuel ratio. The
accuracy of fuel film model presented in this paper is a
little superior to a model. During the narrow variable
range of throttle degree, τ v is in a narrow range, which
can not be neglected in stable condition and affected by
the variable of airflow in the intake pipe and airflow
into the cylinder. Therefore, τ v is considered as a very
small constant in the narrow variable of throttle degree.
The fuel quantity of injected fuel into the cylinder is
close to testing data by using the new fuel film model
presented in this paper. It is show that the air fuel ratio
variable of new model presented in this paper is
identical with experiment data in Fig2.
3.2 The Simulation Of Throttle Angle
Changing From 10 Percent To 60 Percent
The variable of throttle position is shown on Fig 3.
The simulation result with air fuel ratio variable of two
fuel film models is shown on Fig4.
The variable of throttle degree is displayed on Fig 3
such as the initial degree is 10 percent, and the throttle
degree is turned on 60 percent from 2 second to 8
second, and the throttle degree is closed to 10 percent
until 10 second. The time of simulation is 10 second.
Fig3. The variable of throttle degree(Ⅱ)
(a) The variable of air fuel ratio from 10 percent to 60
percent of throttle degree in 2 second

(b) The variable of air fuel ratio from 60 percent to 10
percent of throttle degree in 8 second
Fig4. Compared the air fuel ratio simulated result of
two fuel film model to experiment data(Ⅱ)
As shown in Fig4, the error between air fuel ratio
variable of two fuel film models and experiment data is
greatly increment because the time constant of fuel film
transiting is in a large range when the variable of
throttle degree is in transient condition. The range of
the time constant of fuel film transiting is increasing
intensively because the liquidity of fuel in intake pipe
is strengthened, and the delay time of injected fuel into
the cylinder is lengthened. But the variable of
τ v constant is neglected in A model, and if the fuel of
entering in the cylinder is calculated according to A
model, the result is that the last time fuel quantity of
entering in the cylinder, which is adapted to calculate
the fuel quantity of entering in the cylinder will lead to
the great error of air fuel ratio is produced. The
accuracy of new fuel film model presented in this paper
is superior to A model, which is compared to the stable
condition the variable error of air fuel ratio with new
model established in this paper and experiment data is
intensive due to fuel film parameter is hardly identified.
During transient condition, throttle position, engine
load and condition parameter works in a large range,
which will cause the variable range of time constant of
fuel evaporating and fuel distribution coefficient to be
increased. If time constant of fuel evaporating and fuel
distribution coefficient is calculated according to the
method of equation (11) and equation (12), the great
error of injected fuel in the cylinder is produced, which
will result in the variable error of air fuel ratio with
new fuel film model and testing data is larger than
stable condition. Consequently, it is great important
that fuel film parameter is accurately identified, which
can improve the precision of fuel film model.
From Fig2 (b) and Fig4 (b), when throttle degree is
closed in suddenly, the fact air fuel ratio departs from
the theoretical air fuel ratio, and the dense of air fuel
ratio is in a small scope because the method of closed
loop is applied to control the air fuel ratio in gasoline
engine, and the effect of closed loop is strengthened
when throttle degree is in a small range.
707
4. Conclusions
The costumed dynamic fuel film model of Aquino
is introduced in detail, and the characteristic of
Aquino’s dynamic fuel film model is also analyzed in
this paper. Based on Aquino fuel film model, a new
kind of dynamic fuel film model is presented in this
paper. The fuel film dynamic characteristic of intake
pipe is sufficiently described by this new model and the
relation expression of τ v constant affected the injected
fuel of entering in the cylinder is also added in this new
model, which can improve the accuracy of this new
model. The air fuel ratio variable of two fuel film
model is simulated by using SIMULINK based on
mean value engine model and the result is compared
with experiment data. The result shows that the intake
pipe fuel film dynamic characteristic is accurately
described by the new model. The new model accuracy
is higher than Aquino model.
Acknowledgement:
This project is sponsored by the national nature science
foundation of china (50276005)
5. References
[1] Aquino C F. Transient A/F Control Characteristics of 5
Liter central fuel Injection Engine. SAE Paper[C]. USA:
Society of Automotive Engineers Inc, 1981: 682-694.
[2] Hendricks E, Vesterholm T, Jensen M, Nonlinear
Transient Fuel Film Compensation. SAE Paper, 1993:
767-775.
[3] Chevalier A, Hendricks E. A Study on the Validity of
Mean Values Engine Models during Transient Operation
[C] Washington: SAE Paper 2000011261, 2000:457-
464.
[4] Moskwa, J.J., Estimation of Dynamic Fuel Parameters in
Automotive Engines. ASME Journal of Dynamic
Systems, Measurement and Control, December 1994.
[5] Hendricks E. The Analysis of Mean Value SI Engine
Models [C]. SAE Paper, 1992:682~690.
[6] I.Arsie, C Pianese, G Rico, etc. An Adaptive Estimator of
Fuel Film Dynamics in the Intake Port of a Spark
Ignition Engine. Control Engineering Practice,
2003(11): 303~309.
[7] Hendricks E. Mean Value Modeling of Spark Ignition
Engines[C]. SAE Paper, 1996:616-630.
[8] Manzie C, Palaniswami M, Watson H. Gaussian
Networks for Fuel Inject Control[C]. Proc instn Mech
Engrs, 2001,215 partD: 1053-1068.
[9] Zhu Hang, Wang Shaoguang. Calibration for
Characteristic Parameters of Fuel Film in Intake Duct
of EFI Gasoline Engine [J]. Automotive Engineering,
2004, 26（2）:127-130.
 2008 International Conference on Intelligent Computation Technology and Automation

Simulation and Analysis of High-Speed Train Running Quality Affected by

Route Alignment Condition

Long Xu-you, Wei Qing-chao, Shi Jin, Wang Ying-jie

School of Civil Engineering, Beijing Jiaotong University, Beijing 100044, China
longxuyou@yahoo.com.cn

Abstract As the research in train-structure dynamic

interaction develops deeply and computer performance
Owing to the sharply increase of running speed of progresses rapidly, the study on railway alignment
high-speed railway trains, the influence of route parameter based on the theory of train-structure
geometric condition on running quality becomes more dynamic interaction and the means of numerical
sensitive. In order to investigate into the effects of simulation becomes feasible. For the past few years,
high-speed railway route alignment condition on the domestic and foreign scholars have carried out lots of
running quality, a dynamic model was established, researches in this area by means of this method [1]-[6].
which could be used to evaluate the influence of This paper developed a model for the analysis of the
railway route alignment parameters on the running effects of route alignment condition on system
safety and ride comfort exactly. Through the analysis dynamic responses. By means of this model, a
of the effects of a simulated route plan on the system computer simulation was performed. As a result, the
dynamic responses based on this model, the basic basic principles of alignment parameter selection and
principles of alignment parameter selection and an an evaluating and optimizing method for high-speed
evaluating and optimizing method for district route railway route design were presented.
design were presented. This work could provide some
theoretical basis and reference for high-speed railway 2. Dynamic model
route design.
The coupling system is divided into two subsystems.
1. Introduction The vehicle as upper structure in the coupling system
is modeled as a multi-body system. The lower structure
With the rapid development of high-speed railway, in the coupling system is slab track, which is
the dynamic interaction between trains and nether considered as Euler beam resting on discrete-
supporting structures will be much more strengthened continuous elastic foundation. The two subsystems are
owing to the sharply increase of the train running coupled by wheel/rail interaction and contact geometry,
speed, and the aroused dynamic problem becomes as shown in Figure 1.
more serious and complicated accordingly. On one
hand, the destructive effects of train load on the
supporting structures are getting more severe. On the
other hand, the influence of route geometric condition
on running safety and ride comfort tends to be more
sensitive. Conventional study on railway alignment
parameter does not consider the complicated wheel/rail
dynamic interaction. As a result, the effects of route
alignment parameters on running safety and ride
comfort can not be estimated exactly, especially for
high-speed railway. Therefore, how to improve
running safety and ride comfort by means of designing
proper route alignment becomes a prominent topic of
current research in railway engineering.

978-0-7695-3357-5/08 $25.00 © 2008 IEEE 708

DOI 10.1109/ICICTA.2008.303

Figure 1. Dynamic model of vehicle-track system
2.1. Vehicle model
To simplify the analysis with enough accuracy, the
following assumptions are used: (1) The carbody,
bogies, wheel-sets are regarded as rigid components,
neglecting their elastic deformations during vibration.
(2) The connections between these components are
represented by two linear springs and two viscous
dashpots of the same properties in three directions.
The vehicle is modeled as a multi-body system with
23 Degree-Of-Freedoms (DOFs). The carbody and the
two trucks are assigned respectively 5 DOFs, which are
vertical, lateral, pitch, roll and yaw, while each wheel-
set is assigned 2 DOFs, i.e. lateral and yaw,
respectively.
2.2. Track model
Track structure consists of rail, concrete slab and
foundation. The rails are modeled as Euler beam laid
on the discrete-continuous elastic supports in vertical
and Euler beam laid on Winkler foundation in lateral.
The track slabs are modeled as elastic thin plate laid on
the elasticity supports in vertical and rigid body motion
in lateral.
2.3. Wheel/rail relationship
Wheel/rail geometric contact parameters can be
expressed as a function of lateral and yawing motion of
wheel-sets. In simulation, the contact parameters firstly
are stored in a two dimensional table corresponding to
lateral and yawing displacement. Then, in each
iterative process of each time step, the wheel/rail
709
geometric contact parameters can be obtained by
interpolation method with this table.
Wheel/rail vertical force can be calculated by the
equation set-up of wheel-sets vertical and rolling
motion. Since wheel/rail creep force, which is
dependent on the vertical force, is also in the equation
set-up, an iterative procedure is proposed to solve the
wheel/rail interaction force.
2.4. Track random irregularity
In order to employ the numerical integration method,
firstly, the time domain sample of track irregularities
should be obtained. Generally, the track irregularity
can be regarded as stationary ergodic Gaussian random
processes with expectation zero except the area with
turnout, road crossing and rail line with track
deterioration. The stochastic process w(x) is simulated
by trigonometry series as:
(1)
Where Sx(ω) is power spectral density(PSD) of rail
track as the input excitation from American Railway
Standard, ωk (k=1,N) are the lower and upper limit
frequencies in the frequency domain, Δω is the
frequency band and φ is a random variable with
uniformity distribution in 0-2π and independent each
other.
2.5. Equations and solutions
Finally, the dynamic equations of vehicle-track
system are written as:
(2)
(3)
Where the subscripts “v” and “t” represent the
vehicle and track; M, C, K denote the mass, damping
and stiffness matrices, x , x , x denote the vectors of
accelerations, velocities and displacement; Fv and Ft
are external forces, and Fvt and Ftv are coupling forces
of vehicle and track, respectively.
The Newmark-β integration method and a separated
iterative procedure are used in solving the system. The
flow chart in each time step is shown in Figure 2.
 (m)
Length of Ts1 Ts2 Ts3
vertical curve
200 300 300
(m)
Radius of R1 R2 R3 R4
plan curve
2000 2500 10000 5000
(m)
Length of Ly1 Ly2 Ly3 Ly4
plan curve
200 400 1000 300
Plane (m)
Type of
Cubical parabola
transition curve
Length of Lh1 Lh2 Lh3 Lh4
transition curve
350 400 800 300
(m)
Type of
Only lifting outer rail
Transverse superelevation
Figure 2. Separated iterative procedure in each time step section superelevation h1 h2 h3 h4
(mm) 160 150 120 30
3. Dynamic simulation and analysis Track Lower interference track spectrum of
irregularity German high-speed railway

In order to investigate into the influence of route

Figures 4 to 7 show the carbody accelerations of the
alignment condition on vehicle ride properties, a route
four plane curves respectively, Table 2 presents the
scheme is designed for the numerical simulation, in
maximum value of each dynamic performance index.
which the track velocity-curve is introduced. The
velocity varies from 0 km/h at the beginning to 350
km/h as the maximum, and then is reduced to 0 km/h at
the end. Longitudinal section consists of four slopes
and three vertical curves, plane consists of four curves
and transverse section consists of four corresponding
cants. Lower interference track spectrum of German
high-speed railway is used as the excitation input of
track irregularity. Figure 3 shows the route plan and its
match velocity. The detailed parameters are presented
in Table 1.
V2
Running V1
speed Figure 4. Lateral acceleration of carbody on curve one

i1 i2 i4
Longitudinal i3
section
Rs1 Rs2 Rs3

Plane
R1 R2 R3 R4

Transverse
section h1 h2 h3 h4
0 2 4 6 8 10 12 14 16 18
Kilometrage / km
Figure 3. Route scheme with match velocity

Table 1. Parameters of route scheme Figure 5. Lateral acceleration of carbody on curve two
Running V1 V2
(km/h)
speed 200 350
Grade i1 i2 i3 i4
(‰) 20 -10 8 6
Longitudinal Slope length Li1 Li2 Li3 Li4
section (m) 2679 2740 4290 8208
Radius of Rs1 Rs2 Rs3
vertical curve 15000 25000 30000

710
 safety limit values. The lateral and vertical Sperling
index is at the rank of “Excellence”, as show in Table 2.
(2) The district with plane curve overlapping
vertical curve has great impact on the running safety
and ride comfort, such as “curve two” and “curve
three” where the vector sum of the carbody lateral and
vertical acceleration is up to 0.69 and 0.83 m/s2
respectively. On “curve three”, the derailment
coefficient is up to 0.54 and the reduction rate of wheel
load is up to 0.77, which are both very close to safety
limit values.
(3) In this route plan, the track velocity-curve is
Figure 6. Lateral acceleration of carbody on curve three introduced, so route alignment parameters can be
decided in accordance with different design velocity at
different section. In reality, the velocity in the district
nearby railway station is much lower than the
maximum design velocity. Therefore, designing route
alignment based on real running speed can make route
selection more flexible, and make the engineering
project more economical. From Figure 3, it is clear that
on “curve one” the real maximum velocity is lower
than 200 km/h, thus 200 km/h can be used as design
velocity of this district, and the plane curve radius is
2000 m, the vertical curve radius is 15000 m and grade
is 20 ‰. These parameters are all much lower than
those that the district maximum velocity 350 km/k
Figure 7. Lateral acceleration of carbody on curve four
requires. However, each dynamic performance index is
below corresponding safety limit value, as shown in
Table 2. Maximum values of dynamic performance index
Table 2.
(4) “Curve two” is set up under the assumption that
Curve Curve Curve Curve
Route the location of the line is restricted by geographic
one two three four
Carbody lateral condition, thus the running speed is limited. In order to
0.17 0.28 0.30 0.18 reduce the influence on traveling speed and frequently
ACC (m/s2)
Carbody vertical accelerating and decelerating, the curve should be set
0.24 0.63 0.77 0.19
ACC (m/s2) up on the speed-up and slow-down sections and the
Wheel/rail lateral
16.1 19.5 45.1 11.7
sections with low level alignment parameters should be
force (kN) set up closely, such as “curve one” and “curve two”.
Wheel/rail vertical (5) In the section with varying running speed, the
94 100.8 126.3 86.7
force (kN) ride comfort should be paid special attention to, such
Derailment as “curve one” and “curve four”, which are both with
0.22 0.28 0.54 0.16
coefficient
varying running speed but the maximum running
Reduction rate of
wheel load
0.35 0.52 0.77 0.22 speeds are lower than 200 km/h. Figure 4 indicates that
Lateral Sperling the direction of carbody acceleration gets shifted as
0.96 1.04 1.47 0.90 trains pass “curve one”. The reason is that, at the low
index
vertical Sperling speed, the trains are under the action of centripetal
1.21 1.14 1.22 1.07 force; but at high speed, the trains are under the action
index
of centrifugal force, which exerts great impact on
From the computation results, the followings can be passenger ride comfort. Therefore, this phenomenon
concluded: should be avoided. Figure 7 shows on “curve four” this
(1) Each dynamic performance index is below phenomenon is avoided. The effective measure for
corresponding safety limit value. As to the carbody solving this problem is to increase the curve radius. For
acceleration and lateral wheel/rail force, there is instance, the radius of “curve one” is only 2000 m,
comparatively large room between the results and the while the radius of “curve four” is 5000 m. In general,
in order to avoid passenger bearing the acceleration
action of two opposite directions when trains pass one

711
single curve, the maximum and minimum running
speed should be both considered.
4. Conclusions
In this paper, a vehicle-structure dynamic
interaction analysis model was established based on
the route alignment condition and the characteristics of
vehicle and track structure. This model is suitable for
investigating into the effects of route alignment
condition on the running safety and ride comfort, and
compensates for the deficiencies of the traditional
study on route alignment parameters without
considering the dynamic interaction between train and
structure.
Through the analysis of the train running quality of
the simulated route plan by means of this model, the
basic principles of alignment parameter selection and
an evaluating and optimizing method for district route
design were presented. This study provides theoretical
supports for selecting the alignment parameters which
is lower than those that existing route design standard
requires, thus enormously enhances the flexibility of
high-speed railway route selection with the guarantee
of running safety and ride comfort.
712
References
[1] Z. Krzysztof, “Dynamical investigation of railway
vehicles on a curved track”, European Journal of Mechanics,
A/Solids, 1998, 17(6), pp. 1001-1020.
[2] K Miyagaki, M Adachi and Y Sato. “Analytical study on
effects of form in transition curve”. Vehicle System Dynamic,
2004, 41(Suppl.), pp. 657-666.
[3] Wang Kaiyun, Zhai Wanming et al. “Research on the
lateral dynamic interaction between speed-increased train and
curved track”, China Railway Science, 2005, 26(6), pp. 38-43.
(in Chinese)
[4] Lian Songliang, Liu Yishu, “Research of safety and
stability of train running on the track overlapped elevation
Curve on Spiral Curve”, Journal of Shanghai tiedao
university, 1996, 17(3), pp. 11-18. (in Chinese)
[5] Lian Songliang, Chen Songlin and Li Xiangguo, “Test of
vertical curve overlapping plane curve for dedicated
passenger traffic tailway line”, Journal of the China Railway
Society, 2005, 27(2), pp. 75-79. (in Chinese)
[6] Long Xuyou, Wei Qingchao and Zhao jinshun,
“Modeling and simulation of curve negotiation of linear
metro vehicle”, Journal of System Simulation, 2007, 19(13),
pp. 3105-3107. (in Chinese)
[7] K. L. Knothe and S. L. Grassie, “Modeling of railway
track and vehicle/track Interaction at high frequencies”,
Vehicle System Dynamics, 1993, 22(3-4), pp. 209-262.
[8] Zhai Wanming. Vehicle-track coupling dynamics (third
edition), Science Press, Beijing, 2007. (in Chinese)
 2008 International Conference on Intelligent Computation Technology and Automation

Study of Flame Propagation Model in the Combustion Process of an Oxygen-

enriched Combustion Engine

Li Shengqin, Guan Qiang, Zhang Wenhui

Traffic College, Northeast Forest University. Harbin,
Heilongjiang Province, China（150040）. Tel:+86-451-82191004.
E-mail: lishengqin@126.com

Abstract Study of combustion process simulation has gone

through four stages, which are heat release calculation,
In order to study the flame propagation progress zerodimensional combustion model, quasidimensional
in oxygen-enriched combustion engine, a combustion model and multidimensional combustion
quasidimensional model of oxygen-enriched model.
combustion engine has been propossed in the paper, While simulating the combustion process of
engine, the mass burning rate of oil should be
and a simplified model of flame propagation, based on
simulated and forecasted reliably as well as
the laminar flamelet approach, has been developed too.
establishing control equations. Flame propagation
The model is evaluated against detailed measurements
should be considered too because it is one of factors
in a two-dimensional laminar propagation flame on a
which will affect the mass burning rate of oil.
spark-ignition four-stroke motorcycle engine.
Quasidimensional model of oxygen-enriched
Experimental investigation was carried out to varidate
combustion engine is studied in the paper, and the
the model. Results show that the quasidimensional
flame propagation model is established too.
model and flame propagation model can simulate
Mechanism of action for oxygen and the effect of
oxygen-enriched combustion process in engine well.
oxygen concentration on combustion process are
The cylinder pressure variation with 21% and 24%
studied.
oxygen concentration was shown, the torque of
experimental and simulation was contrasted with 21%
and 24% oxygen concentration too, results show that 2. Quasidimensional model
as the oxygen concentration in the intake air is
increased, the maximum value of cylinder pressure is 2.1 Assumption of quasidimensional model
increased, and the time that the maximum value of In conventional spark-ignition engine, the fuel and
pressure is reached is advanced, the torque of engine air are mixed together in the intake system, and
can be enhanced in oxygen-enriched combustion inducted through the intake valve into the cylinder,
engine. where mixing with residual gas, and then compressed.
Under normal operating conditions, combustion is
initiated towards the end of the compression stroke at
1. Introduction the spark plug by an electric discharge. Following
inflammation, a turbulent flame develops and
With increasing concerns about the harmful
propagates through this essentially premixed fuel, air,
impact of automotive emissions on the environment
burned gas mixture until it reaches the combustion
and growing realization that the world’s known
chamber walls, and then extinguishes.
petroleum reserves are limited, there is significant
Because combustion occurs through a flame
interest in developing engines that bring about clear
propagation process, the changes in state and the
reductions in fuel consumption while maintaining or
motion of the unburned and burned gas are much more
improving emissions.
complex. The pressure, temperature, and density of the
Combustion process is the key link of engine work
mixed gas will vary with the change in volume due to
simulation, which affects the dynamical performance,
piston motion, and the cylinder pressure will increase
economical performance and emission performance of
due to the release of the fuel’s chemical energy in
engine. Thus, the latest research is being driven
combustion process. As each composition of fuel-air
towards ways to improve power, improve combustion
mixture burning, its density will decrease by about one
performance and reduce pollution from the engine.
quarter.

978-0-7695-3357-5/08 $25.00 © 2008 IEEE 713

DOI 10.1109/ICICTA.2008.342
 In order to simplify the calculation of combustion, it Where, h is enthalpy, u is internal energy, p is
is assumed that, the overall flame shape approximates a
portion of a sphere centered at or near the spark plug, average pressure in cylinder, Q is the total heat
combustion chamber was divided into burned zone and transfer rate into the system, across the system
unburned zone by flame front, that is, quasidimensional boundary, and equals the sum of the heat-transfer rates
combustion model, or doubledimensional combustion across each part of the boundary, work-transfer rate
model. Consider the schematic of the engine cylinder equals pVb .
while combustion is in work, as shown in Fig. 1. The It is assumed that the system can be characterized
assumptions of combustion process are as follows: by T , p , thus,
(1) The fuel, air and residual gas charge are
∂eb 
essentially uniformly premixed. eb = Tb = cVbTb (3)
(2) The volume occupied by the reaction zone is ∂Tb
usually small compared with the clearance volume ∂eu 
where the fuel-air oxidation process actually occurs. eu = Tu = cVu Tu (4)
∂Tu
The flame is a thin reaction sheet even though it
becomes highly wrinkled and convoluted by the To apply equations (3) and (4) and definition of
turbulent flow as it develops. enthalpy, equations (1) and (2) can be expressed as
pVb
(3) The chamber is divided into burned zone and mb cVbTb = m b , R − Qb − pVb (5)
unburned zone by flame front, the mixture in each zone mb
is in idealized state. pVu
(4) There is no heat transfer in flame front surface mu cVu Tu = m u , R − Qu − pVu
between burned and unburned gas, and heat transfer mu
only occurred on the combustion chamber walls. (6)
(2) Conservation of mass
m = mb + mu (7)
dm dmb dmu
= + (8)
dϕ d ϕ dϕ
(3) Ideal gas law
pVb = mb RbTb ⎫
⎬ (9)
pVu = mu Ru Tu ⎭
(4) Volume equation of cylinder
V = Vb + Vu (10)
Fig. 1 Quasidimensional combustion model Otherwise,
During combustion, turbulent premixed flames dmu , R dm dm
propagates around in cylinder, as shown in fig. 1, = − b, R = − c (11)
dϕ dϕ dϕ
cylinder is divided into burned zone Vb and unburned
dmc
zone Vu at that moment, Tb and Tu is the temperature where, is mass combustion rate of mixture.
dϕ
of each zone, p is the pressure of cylinder. Volume of Using equations (9) and (11), equations (5) and (6) can
combustion chamber includes cylinder head and piston be expressed as,
tip. mb cVbTb = − pVb − Qb + (hb − eb )m b , R
(12)
2.2 Governing equations for model mu cVu Tu = − pVu − Qu + (hu − eu )m u , R
(1) Conservation of energy (13)
Burned mixture zone: where, hu = eu + pVu / mu , hb = eb + pVb / mb .
d (me)b
= hb m b , R − Q b − pVb (1) 3. Flame propagation model of oxygen-
dϕ
Unburned mixture zone: enriched combustion
d (me)u
= hu m u , R − Qu − pVu (2) 3.1 Mass fraction burned
dϕ In the absence of strong swirl, the surface which
defines the leading edge of the flame can be

714
approximated by a portion of the surface of a sphere.
Thus the mean burned gas front can also be
approximated by a sphere. Then, for a given
combustion chamber shape and assumed flame center
location (e.g., the spark plug), the spherical burning
area Ab , the burned gas volume Vb , and the
combustion chamber surface “wetted” by the burned
gases can be calculated by a given flame radius rb and
piston position ( defined by crank angle) from purely
geometric consideration. The practical importance of
such model calculations is that, the mass burning rate
for a given burning speed ST (which depends on local
turbulence and mixture composition ) is proportional to
the spherical burning area Ab . The flame is initiated at
the spark plug, however, it may move away from the
plug during the early stages of its development. We
define the flame front area Af as the spherical surface
of radius rf coinciding with the leading edge of the
flame contained within the combustion chamber. Thus
the mass burning rate can be expressed as:
dmb
= ρu Af ST (14)
dt
The developed turbulent flames in spark-ignition
engines, under normal operating conditions, are highly
wrinkled and probably multiply-connected thin
reaction sheets, it is difficult to calculate ST accurately.
An important intrinsic property of a combustible
fuel, air, burned gas mixture is its laminar burning
velocity. This burning velocity is defined as the
velocity, relative to and normal to the flame front, with
which unburned gas moves into the front and its
transformed to products under laminar flow conditions.
It can be assumed that, there is some relation between
ST and S L :
FSR = ST / S L = f (15)
Where, FSR is the ratio of ST and S L . Based on
coupled analysis of flame front location and cylinder
pressure data, Mathur have derived the following
burning equation:
f = 1 + β u′ / SL (16)
Here, u ′ is the intensity of turbulent flame, equation of
u ′ is u ′ = kD 2 um , D is diameter of cylinder, β is
constant, β = 4.01 .
Combining the equations above, mass burning rate
can be expressed as:
dmb
= ρu A f ( S L + β u ′ ) (17)
dt
Thus, the problem is translated into calculation of
SL .
715
3.2 Action principle of oxygen
Laminar flame speed S L is normalized by chemist
dynamical factors, commonly it is calculated by
equation based on experimental data. Since we study
the effect of oxygen entering into cylinder on
combustion characteristic in the paper, here we use the
derivation of Von Tiggelen:
S L = KC ′ ⎡⎣ X F a X O2 b exp ( − E / RTm ) ⎤⎦
1/ 2
(18)
(
Where, C ′ = 8RTm / π M )
1/ 2
, is the average
molecule velocity of chain reaction carrier, M is
relative molecule mass, Tm is average temperature in
the reaction zone, equation is Tm = Tu + 0.74 (Tb + Tu ) ,
Tb and Tu is the temperature of burned and unburned
zone respectively. X F a and X O2 b are mole fractions of
fuel and oxygen respectively, a and b are steps of
reaction for fuel and oxygen respectively, for
hydrocarbon fuel, a + b = 1 , E 、 M 、 a and b
should be obtained by test, here they are fitted with,
E = 161.6kJ/mol ， M = 68 ， α = −0.22 ， a = −0.71 ,
α
2Tu ⎛ p⎞
K= ⎜ ⎟
3π Tm ⎝ pr ⎠
where, pr is referenced pressure, pr = 98.1kPa .
To apply equation (18), the combustion velocity,
the heat release of fuel and even the work capacity and
efficiency of engine were affected by flame
propagation velocity. However the flame propagation
velocity was affected by mole fraction of oxygen in
fuel-air mixture entering cylinder. So it can be said that
the most important factor that determine the power an
engine can produce is oxygen concentration in air
entering cylinder, here we study the affection on mass
burning rate of oxygen concentration.
It can be concluded that, there is exponential
relationship between laminar flame propagation
velocity S L and oxygen concentration in unburned
mixture, assuming that other parameters remain the
same, thus:
ST = fS L
= fKC ′X F a / 2 X O2 b / 2 exp ⎡⎣1/ 2 ( − E / RTm ) ⎤⎦
So the relationship between mass burning
rate m b and oxygen concentration can be derived.
Programs are developed to calculate the temperature,
pressure and oxygen concentration, as well as other
thermodynamics parameters.
4. Experiment of oxygen-enriched flame more quickly, therefore the time of maximum pressure
propagation was reached earlier.

In order to check up whether the program and

combustion model can reflect the work of engine
practically, an experiment was carried out on Honda
G200 engine with 21% oxygen concentration, and
the indicator diagram was obtained. Pressure curves
in fig. 2 show that the indicator diagrams which are
obtained from program calculation and experiment
respectively. It could be concluded that the
combustion process in chamber can be simulated
well by the oxygen-enriched flame propagation
model. Both model simplification and experiential
equations will create error, deviant combustion
progress can lead into error of measurement too.
Anyway, the influence of error can be neglected on Fig. 3 Contrast of Pressure Variation
contrast analysis of engine combustion progress. Fig. 4 and Fig. 5 show the contrast of simulation
results and experiment results under different oxygen
concentration. It can be said with certainty that,
oxygen-enriched flame propagation model can simulate
the combustion progress of engine well, and that the
model can offer references for engine simulation.

experiment
5
simulation
4.5
torque（N/m）

3.5

Fig. 2 Pressure of experiment and simulation (21% O2) 3

Figure 3 shows the result of the combustion process 2.5
when oxygen concentration is 21% and 24%
respectively, from which it may be found that, as the 2
oxygen concentration in the intake air is increased, the 1000 1200 1500 1800 2000 2200 2500
maximum value of cylinder pressure is increased, and Engine speed（r/min）
the time that the maximum value of pressure is reached Fig. 4 contrast of torque with 21% oxygen
is advanced. When oxygen concentration is 21%, the
maximum cylinder pressure measured was 21.239 bars.
At that moment, the crank angle was 117°. When
oxygen concentration was increased to 24%, the
maximum cylinder pressure measured was 24.493 bars,
and at that instant the crank angle was 63°. The relative
increase in cylinder pressure is not very much, but the
maximum pressure value was reached earlier with the
increase in the ratio of oxygen. This occurred because
the fuel was able to combust more completely due to
the increase in oxygen concentration. The amount of
heat produced was also increased, which led to an
increase in cylinder pressure. Additionally, the fuel was
able to combust faster and flame velocity was reached

716
 principal indicator (or main parameter) which reflect
experiment the level of gasoline combustion velocity and flame
6.5 propagation.
simulation
6 (3) Experiments are performed on a single-
torque（N/m）

5.5 cylinder carbureted gasoline engine Honda G200,

5
4.5
the results show that, the combustion process of
4 engine could be simulated by the model well.
3.5
3 6. References
2.5
2 [1] Mathur H B, et al. A Thermodynamic Simulation Model
1000 1200 1500 1800 2000 2200 2500 for a Methanol Fueled SI Engine. SAE 830333, 1983
engine speed（r/min） [2] Tzabar Nur ． Improvement of Internal Combustion
Engine Performance by Oxygen Enriched Air-Supply.
Fig. 5 contrast of torque with 24% oxygen MD Thesis, Israel Institute of Technology, 2002
[3] J. A. Caton. The Effects of Oxygen Enrichment of
Combustion Air on engine Performance, Available
5. Conclusion Energy and Nitric Oxide Emissions for Spark-Ignition
Engines: Results from a Three-Zone Thermodynamic
Cycle Simulation. Report No. ERL–2004–01,Version
(1) A quasidimensional model based on the
1.0, Engine Research Laboratory, Department of
simplification of engine work progress was proposed, Mechanical Engineering, Texas A&M University, 22
and a mass burning rate model of fuel combustion October 2004
was proposed, applying to the flame propagation [4] Jerald A.Caton. Results from a Cycle Simulation
velocity; Incorporating the Second Law of Thermodynamics:
(2) Considering the combustion flame Results for Spark-Ignition Engines Using Oxygen
propagation velocity, a turbulent propagation model Enriched Air. SAE Paper 2005-01-1130
for oxygen-enriched combustion flame is developed. [5] Chapman M, et al. A Time Dependent Spatial
As one of the influence factors of engine combustion, Model for Radiant Heat Transfer in Engines.
oxygen concentration in the air entering the cylinder SAE Paper 831725, 1983
is proposed to describe the gasoline combustion
velocity and flame propagation characteristics; the
oxygen concentration could be regarded as the

717
 2008 International Conference on Intelligent Computation Technology and Automation
Study On A New System for Inventory Control
ZHU Xiaoyu
( Tianjin Polytechnic University, Tianjin 300160,China)
Email: zhuxiaoyu26@sina.com
Abstract
As we all know, inventory control is important in a
clothing company and Agent Technology has become
very popular in the last few years as a new approach
to developing software systems. This paper study on a
newt system for inventory control using plannin and
distributed agents in apparel indursty. Multi Agent
Systems (MAS), a term used to describe the
incorporation of multiple types of agents into various
systems, is a way of designing and implementing a
system with the advantages of agent entities. We chose
to use agents as a decision support tool for use in a
Retail Inventory Management System. Since the
management of inventory is crucial to the success of
most companies, and since we see a potential major
role for agents in the business process management
MAS seems a likely choice for a decision support
platform. This work stems from our prior work in
simulating a MAS inventory system, then implementing
the system for production use.
1. Introduction
In this paper, we describe our approach in designing
and implementing a Decision Support System for
Inventory Management System with Agents in apparel
indursty. We discuss the advantages and disadvantages
of incorporating Agents into such a system and
whether it is beneficial or not. This work is an
outgrowth of a system we developed to simulate multi
agents in an inventory system.
Our production system can be used in two modes:
completely autonomous mode (where agents perform
all the inventory analysis, planning and ordering) or in
human in the loop mode where the agents perform the
pre-mentioned activities except ordering, which is the
domain of the human manager or department head.
All agents will be given specific duties, which will
be run at the local level. The agent itself will make all
decision making for each agent’s application. All
agents are equal in their tasks.
The current scope of the inventory decision support
system is the store itself, not the actual green-supply
978-0-7695-3357-5/08 $25.00 © 2008 IEEE
DOI 10.1109/ICICTA.2008.143
LI Xiaojiu
chain or any component of the green-supply chain. The
current system uses agents to develop an optimal
inventory plan (this would include lag time,
warehousing and all aspects of the supply chain, which
we make some simple assumptions about).
The architecture for this project is currently based
on an agent hierarchy. There are the actual “physical
agents” who represent real world objects or people and
are static, and there are “logical agents” who are used
to supply the “physical” agents with all information
and materials they need to complete their tasks and are
dynamic. This architecture seems to work very well,
and keeps the decision-making local and allows the
agents to keep their own individual tasks small.
2. Inventory Management
Inventory Management has three major parts:
Demand Forecasting, Inventory Control, and
Replenishment; which we will discuss in detail in the
next sub-sections. Our decision support system
incorporates all three parts using agents.
2.1. Forecasting Inventory Demand
Forecasting calculates how much inventory is
needed and when it will be needed. Its primary goal is
to have the right products in the right positions at the
right time. A forecasting system includes four
elements: (1) an underlying model; (2) data,
exploratory analysis, and calibration; (3) updates to the
model; and (4) measurement of forecasting errors.
2.2. Inventory Control
Inventory control does the basic record keeping that
is the basis of which more complex decisions are made
in the forecasting and replenishment modules. It
involves the creation of inventory records, the practices
dealing with the maintenance of these records, and the
counting or auditing of inventory. It also deals with
inventory administration, methods of valuating
inventory, and evaluating inventory performance.
718
2.3. Replenishment of Inventory
The economic order quantity (EOQ) model is one
technique used to determine the optimal quantity to
order. The optimal ordering quantity, Q, can be found
analytically. It occurs where the total annual holding
cost equals the total annual ordering cost.
3. Agents
Agents and multi-agent systems demonstrate a new
way to analyze data and solve complex problems. With
agent-based systems comes an entirely new vocabulary
that describes how agents operate. The use of the word
“agent” is so broad that some people argue that it can
be made to mean almost anything. However, we focus
on the unique characteristics that agents possess, and
thus, we define agents based on these characteristics.
We will see how agents work and what kinds of
problems they are useful in solving.
4. How Agents Could Help Inventory
Management Systems
“ We see a potential major role for them
(collaborative agents) in business process
management.” An Inventory Management System is
extremely. Another issue is that the information the
system manages needs to be accessed by many sources
that could range from headquarters to the department
level. An application needs to have two characteristics
to be a suitable for a multi-agent system
implementation: distribution and intelligence. An
inventory management system has both these
characteristics. It needs to be distributed over the
company’s network where all managers, departments,
etc. need access to it. And it also needs to be able to
learn from past inventory histories, forecast histories,
and replenishment histories. And it then applies what it
learns by acting upon anything that it sees needs to be
changed: such as changing the forecast technique and
constants, changing the inventory control constants,
changing the replenishment techniques and constants,
and also to make sales on certain items when
necessary. Since the system meets these two major
requirements, it is a good candidate for a multi-agent
system.
5. Decision Support System
5.1. Specification
719
The decision support inventory management system
using MAS is designed to manage the inventory of a
retail store that sells only finished goods such as a
chain of clothing stores. Effective inventory
management includes forecasting, determining
replenishment information, and controlling inventory
levels. Agents will be used to carry out these functions
are:
* Forecasting Agent: Forecasts demand using a
simple moving average (MA)of the last n periods,
depending on which n-month gives the least
errors in the past.
* Inventory Control Agent: Record keeping
agent that updates inventory when an item is sold
or replenished.
* Replenishment Agent: determine the EOQ
(Economic Order Quantity: how much to order
and when) based on the demand forecast.
* Department Agent: there is one for each
department and it controls the Forecast, Inventory
Control, and the Replenishment agents.
* Manager Agent: One Manager Agent for
each store to monitor the Department Agents.
6. Running the Inventory Management
System
The overall system uses Java to construct the GUI,
simulation and the report mechanism. As we
mentioned, we constructed a simulation of this system,
which modeled the actual system at the time. This
motivated us to create the actual production system for
the store. We implemented the system two modes. The
first is an autonomous mode, which means the agents
analyze the data database, inputs and generate the
inventory plan. The second mode in the human in the
loop mode, which means the agents create the
inventory plan, but the management roles are humans
and thus can override/modify any agent plan. In both
modes, the system is capable of maintaining a database
of inventory plans. We do this for future learning and
analysis This is most important for human in the loop
mode, where the system can use the case in the future
when a similar circumstance arises. We noticed
increased efficiency in both inventory control (defined
as minimizing the effect of too little or too much
inventory) and perceived customer appreciation
(defined as availability of goods due to size, color,
style) when compared to traditional inventory control
method. The reason for this is due to the gents learning
ability and dynamic adjusting ability.
7. Conclusion
 Agents can help design an Inventory Management
System that is reliable, more accurate, intelligent,
distributed, scalable, faster, and simpler in design.
Such a system is very much needed in this time and in
the future especially with the growing economy and
the growth of the Internet. The future of such systems
lies in creating a component that can negotiate online
orders for restocking inventory with online suppliers.
Our current decision support system is limited to the
inventory system (excluding supply chain activities)
for a medium sized department store in China. We plan
to add to this system a simulation of the store’s supply
chain (or at least some part of it) to test how the
inventory system will behave in a more dynamic
scenario (i.e. testing various supply chain situations ).
References
[1] Bourlakis, M., Bourlakis, C., 2001. A case study on the
Greek multiple food retail sector. Supply Chain
Management: An International Journal 6 (4), 189–200.
[2] Goyal, S., Giri, B., 2001. Recent trends in modeling of
deteriorating inventory. European Journal of Operational
Research 134 (1), 1–16.
[3] Kahn, B.E., Schmittlein, D.C., 1989. Shopping trip
behavior: An empirical investigation. Marketing Letters 1
(1), 55–69.
[4] Kok, G., Fisher, M., 2003. Demand estimation and
assortment optimization under substitution: Methodology and
application. Working paper.
[5] Mahajan, S., van Ryzin, G., 2001. Stocking retail
assortments under dynamic consumer substitution.
Operations Research 49 (3), 334–351.
[6] McGillivray, A., Silver, E., 1978. Some concepts for
inventory control under substitutable demand. INFOR 16,
47–63.
[7] Mood, A.M., Graybill, F.A., Boes, D.C., 1974.
Introduction to the Theory of Statistics. McGraw-Hill,
Kogakusha, Tokyo.
[8] Nahmias, S., 1982. Perishable inventory theory: A
review. Operations Research 30 (3), 680–708.
[9] Netessine, S., Rudi, N., 2003. Centralized and
competitive inventory models with demand substitution.
Operations Research 51 (2), 329–335.
[10] Parlar,M., 1985.Optimal orderingpoliciesfor a perishable
and substitutable product: A Markov decision model. INFOR
23 (2), 182–195.
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[11] J.F. Robeson, W.C. Copacino and R.E. Howe, The
Logistics Handbook. (NY: The Free Press, 1994).
[12] E.A. Silver, D.F. Pyke, and R. Peterson, Inventory
Management and Production Planning and Scheduling. (NY:
John Wiley & Sons, 1998).
[13] R.B. Chase, N.J. Aquilano, and F.R. Jacobs,
Production and Operations Management. Eighth Edition.
(Boston: Irwin McGraw-Hill, 1998).
[14] N. R. Jennings and M. J. Wooldridge, Agent
Technology. (Berlin: Springer, 1998).
[15] R. Aylett, F. Brazier, N. Jennings, M. Luck, H.
Nwana, and C. Priest, 1998. “Agent Systems and
Applications”.
[16] H. Nwana and D. Ndumu, 1996. “An Introduction to
Agent Technology”.
[17] Collis and J. Ndumu, Zeus Agent Building Toolkit
Manuals, Intelligent Systems Research Group, BT Labs.
[18] R. Signorile and M. Rawashdeh, “Inventory
Management Simulation with Agents”, Proceedings of
HMS2000, Oct. 2000
[19] R. Signorile and K. Lester, “Multi Agent Simualtion”,
Proceedings of SCI200
[20] N. Jennings, K. Sycara, and M Wooldridge. A Roadmap
of Agent Research andDevelopment. Kluwer Academic
Publishers, Boston, MA, 1998.
[21] Signorile, R, and Segritch A., ”Distributed Intelligent
Agents for a Collaborative Webbased Simulation”, In the
Proceedings of WEBSIM2000, San Diego, CA, January,
2000.
[22] Signorile R. and McNulty, M., “Simulating the Use of
Intelligent Agents in an Automated Distributed
Multi-Constrained Scheduling System”, In Proceedings of
the 11th European Simulation Symposium (Germany), SCS.
[23] Signorile, R. “A Framework for Distributed Intelligent
Agents in the Simulation of External Logistics of an
Enterprise”, In the Proceedings of the HMS1999, Genova,
Italy, Oct. 1999.
[24] Rosaria Conte, Jaime S. Sichman,G. Nigel Gilbert,
Proceedings of the Multi-Agent Systems and Agent-Based
Simulation : First International Workshop, Mabs '98, Paris,
France, July 1998.
 2008 International Conference on Intelligent Computation Technology and Automation
Study on Modeling of Mckibben Pneumatic Artificial Muscle
Kejiang Zang, Yuhua Wang, Xiaoqing Fu, Xiaoping Hu
Department of Mechanical EngineeringJiamusi University
Jiamusi,Heilongjiang Province, China
kjzang@163.com
Abstract
Based on the analysis of performance of the
Mckibben pneumatic artificial muscles, investigation
was carried out on the functional mechanism of
pneumatic artificial muscle of the braided type. A
geometric model was derived for Mckibben Pneumatic
artificial muscle, taking the radial constraints at both
ends into consideration. Numerical calculation was
also done with the geometric model. Comparison was
made between the ideal cylinder model and the current
model, and conclusion was drawn that the geometric
model put forward may even more exactly express the
behavior and properties of the Mckibben pneumatic
artificial muscle actuator. It is of significance for such
study with findings in the construction of more exact
pneumatic artificial muscle models.
1. Introduction
Pneumatic artificial muscle is named PAM, There is
not much study in mechanism and modeling of PAM.
There are two methods to build the model of PAM.
One is using energy conservation, the other is using
force balance equation[1][2]. No matter use energy
conservation or force balance equation, the conditions
are all ideal estate where PAM keeps ideal column
estate all the time. However the restrict exists on the
two ends of PAM so the ideal column model isn’t
explaining the work feature of PAM exactly. Some
revise on the model of PAM is taken, but all of them
were educed in condition of hypothesis and not from
the work mechanism of PAM. In this paper, the
Mckibben Pneumatic artificial muscle is studied and
especially research on the working mechanism of
braided type Pneumatic artificial muscle[3].
2. McKibben PAM’s structure
The Mckibben PAM is the most widely used PAM,
it adopts intertexture fabric, and it is mainly composed
978-0-7695-3357-5/08 $25.00 © 2008 IEEE
DOI 10.1109/ICICTA.2008.270
by air-tightness rubber bladder and braided shell. The
thread of braided shell is made-up by highly anti-pull
intension material as fig.1 shows.
There are two end-covers on both of the ends. The
end-cover is assembling parts, it adopt detain frame
connecting with elastic rubber bladder and braided
shell. It could guarantee credibility airproof at
connectors. In addition, end-cover is also the joint part
between PAM with outside load and PAM with engine
frame. The PAM’s inside and outside air-port is also
designed in the end-covers. The thread of braided web
and the axes of braided canister compose a certain
angle, and symmetry twist toward positive and
negative direction. Elastic rubber bladder has the
function of airproof it pass the pressure of PAM to
braided web equably consequently and make the
braided web change its shape and gets displace on axial
meanwhile undertake certain pull force.
3 4 5 6
7 8
1- rubber tube 2- braided web 3-flange
4-airproof circle 5-canal nut 6-septum tube
7-check type spring 8-inside taper
Fig.1 Mckibben PAM
3. Relationship of PAM parameters
According to the working mechanism of PAM,
every component all soften or flexibility but two ends
are rigid parts. Let’s suppose before set up theory
model: (1) The threads only have soft character but no
change of extend; (2) Neglect elasticity of rubber
721
bladder, but possess flexibility character, the function
of it is to airproof and can pass the pneumatic pressure
to thread equality; (3)Neglect the friction between
thread with thread and thread with rubber bladder’s
outside surface.
Based on above hypothesize and working
mechanism, the PAM can be divided into three parts:
the middle part is column, and two ends are gyration
bent surfaces. The part bent surfaces between the
cylinder and gyration bent surfaces are smooth. Here,
suppose the ends are spheroids for guarantee the
smooth connecting between middle part and the ends.
Fig.2 including two sketches, the ideal column
geometry model is on the left, and the geometry model
whit the end-parts restrict on the right. To give the
relationship of PAM geometry parameters. the middle
columnar diameters are the same. b0 is single radix
thread length; b1 is the middle column thread length;
b2 is rotatory bent surface thread length. Because of
rotatory bent surface parts which bear restrict couldn’t
open out, the thread length on the right end parts b2
are showed curve length p AB and q A' B ' ; l is muscle
length of considering end-parts restrict; l′ is ideal
column length, resultingly restrict action, l ′ > l , and set
up l ′ − l = 2Δl ; l1 is middle columnar length; is go with
axes length of end part restrict; d is middle columnar
diameter; α is middle columnar braided angle; n is
thread number; n1 is voluble circle number of middle
columnar; n2 is voluble circle number of end part
restrict.

b2

Δl
A′
l2
B′
b0
α b1 α

b0
b1

l1
l′

l
l1

b2

l2
A
π n2d π n1d π n2d π n2d π n1d π n2d

Δl
π nd π nd

Fig.2 Geometry parameters of PAM.

4. Mathematics model thread is not change to PAM which in same original

length and diameter, whether ideal column model or
The geometry relationship of PAM in original estate considers end part restriction model. From fig.4 we can
is： find:
l0 = b0 cos α 0 (1) n0 = n = n1 + 2n2 (3)

n0π d 0 = b0 sin α 0 (2)

l1 = b1 cos α (4)

where: n1π d = b1 sin α (5)

l0
—PAM original length; n2π d = b2 sin α (6)
α0
—braided angle in original estate; l = l1 + 2l2 (7)
d0
—original diameter or diameter of connecting
piece on the end; b1
d= sin α (8)
n0
— voluble circle number of fiber thread in n1π
original estate. Because of PAM’s symmetry structure, under the
Torsion isn’t take place in the process of PAM condition of original estate not change, the column
deformation, so the voluble circle number of fiber diameter is decided by braided angle, and the ratio of

722
thread length of column with voluble circle number is c — constant, confirm by borderline condition or
constant. So the equation is set up: especial point.
b0 b Supposing the ellipse curve equation with axial
= 1 = λ1 (9) section in the end transition part:
n0π n1π
x2 y2
Column diameter also can be shown: + =1 (12)
d sin α b2 a2
d= 0 (10)
sin α 0 order： a b = k （ 0 < k < ∞ ）
Summarize, when we confirm the original estate, the From above formula we can draw:
diameter of column part is only decided by y = a2 − k 2 x2 (13)
corresponding braided angle, in other word, the
diameter of column part is corresponding with braided
angle one by one, and this geometry relationship y
provided advantaged condition for model constructing
and accounting.

a=R
PAM can be considered as stable voluble question

r0
above some certain figure geometry style, only but the
PAM’s volume is changing when it working. Above
suppose already confirmed the figure of PAM, and x
O l2
now we will resolve the question of volume size and
length changing. It can be proved that the most stable
line on curved is geodesic from theory of differential b
geometry, and the geodesic on the column is spiral
Fig.4 section graph in the end transition part
curve so the thread voluble in middle column of PAM
must be spiral curve. The spheroid of end transition part caused by curve
2
x y2
1
2
+ = 1 rotating around semi axis b. Fig.4 set out
a2 b2
the curve.
3 Bases on anterior supposing, the most radius of
3′ transition part is equal to middle column radius, get
a = d 2 = R ， r0 = d 0 2 , and we can get the
transition area length when we take it into elliptic
equation:
The total goal function of network is:
α1 —no-geodesic braided angle α 2 —geodesic braided angle
1
1—thread silky practicality direction l2 = d 2 − d02 (14)
2—geodesic thread silky direction 3—PAM axes 2k
Fig.3 PAM threads silky direction on end transition part
Total fibre threads length of PAM
b0 = b1 + 2b2 (15)
Fig.3 is PAM end part deformation picture, from Middle column volume
picture we can see, the thread direction on column is V1 = π d 2l1 4
opposite to bent cover on end part, from literature we (16)
know that the thread voluble fashion of bent cover on At end part, from y = r ( x) , the volume of one end
end part is no-geodesic voluble[4][5], so stability part transition area
l2
condition is: V2 = ∫ π r 2 ( x)dx
ri cos α i = c (11) 0 (17)
where: PAM total volume
ri —radius of turn； V = V1 + 2V2 (18)
α i — ri corresponding braided angle； From above formula we can draw:

723
 1
d 2 − d 02 d2 and K was obtained as shown in fig.5. From fig.5 (a)
V =π ∫ 0
2k
(
2
− 2 k 2 x 2 ) dx

⎧ dl cos α 1 21k ⎫ max

4k 2 (k 2 − 1) x 2 + d 2 dx ⎬ (19)
d 2 − d02 •
+π d ⎨ 0 − ∫ •
⎩ 4cos α 0 2 ⎭
0 max

Based on principle of conservation of energy, if

system have no spoilage and energy memory, input
power is equal to output power. Suppose PAM satisfy
this ideal condition, so that
dWin = dWout (21)
On some balance states, PAM inside pressure is p
outside pressure is F ， give PAM a imaginary
displacement, arouse PAM volume changing, conclude
from elements virtual work principle elements: braided angel α /D
− FdL = pdV (22) ( a ) l 0 = 165 mm d 0 = 10 mm

dV dV dε
F = −p = −p (23)
dL dL d ε max
•
max
•
max
•
max
•

max
•

max
•

braided angel α /D
( b ) l 0 = 165 mm d 0 = 20 mm

( a ) R ≤ 11 .98 mm
max
•
•
max
max
•
max
•

max
•

max
•

braided angel α /D
( c ) l 0 = 300 mm d 0 = 10 mm
( b ) R ≥ 11 . 98 mm
Fig.5 V − k simulation curves of end part restriction model
Fig.6 V − α simulation curves of ideal column model and end
part restriction model
5. Simulation analysis
Owing to formula（19）is complex, it is very and (b) we can know the most extremum point V is
difficulty to get the series roots. In this paper, K=1, whether d is any value. That is to say the end
numerical value method was applied. transition cured surface is spherical. In addition, when
When l0 = 165mm , α 0 = 20° , d 0 = 10mm , the relation of V d change from small to great, V increase continually ,
when d is up to 19.98mm, if d increase unceasingly,

724
volume V decrease gradually, so it is impossible for This article presents a new method for making
principle of PAM , but we can conclude that PAM PAM’s theory model .When the end part restrict of
have a extremum diameter. PAM is considered, the maximum volume of PAM is
From fig.6 we can get volume V from big to small smaller than ideal column model, and the output power
with braided angel increase, but for actual PAM, When is smaller than the output power of ideal column
simulation curve volume get the maximal value, model, for this reason, when the end part restrict of
braided angel also get maximal value; however, for PAM is considered, the output force of PAM is
original length same and original diameter differ smaller, all of this is happening because working
muscle deal column and the mathematic model ability is reducing.
considered end part restrict simulation curve will
evidence increasing with angel increase. This verify 7. Acknowledgment
the distance of the deal column volume and the volume
of mathematic model considered end part restriction is The authors gratefully acknowledge the support of
increase gradually. The value of ideal column model Heilongjiang Province Natural Science
maximum braided angel is bigger than the mathematic Foundation(E2005-02), Heilongjiang Province office
model considered end part contrition, the value of ideal of Education science and technology projects
column model maximum volume is bigger than the (11531372) and Zhejiang University, The State Key
mathematic model considered end part restrict. Laboratory of Fluid Power Transmission and
From fig.7 , we can get the load decreese gradually Control(GZKF-2002004).
of three curve with contraction ratio increase, Above
all, to compare the simulation curve which considers 8. References
the end part restrict with the ideal column model, the
former is closed with experimental curve. [1] Chou C P, Hannafonl B, “Static and dynamic
characteristics of McKibben pneumatic artificial muscles”, In
IEEE Conference on Robotics and Automation [C].San
Diego,USA: 1994 264-269.

[2] N.Tsagarakis,DarwinG.Caldwell, “Improved modeling

and assessment of pneumatic muscle actuators”,
Proceedings of 2000 ieee international conference on
force F/N

robotics & automatio San Franciso CA.APRIL, 2000

pp.3641-3646.

[3] Yang Gang, Li Baoren, Liu Jun, “The new way of

pneumatic artificial muscle characteristic analytic”,
Hydraulic Pressure and Pneumatic，2002(10).22-25.

[4] Huang Xuanguo, Analytic geometry of space and

differential geometry, Fudan University Press, Shanghai,
1,1' ,1'' − 0.3Mpa 2,2' ,2'' − 0.4Mpa 3,3' ,3'' − 0.5Mpa 4,4' ,4'' − 0.6Mpa
2003.

l0 = 165mm d0 = 10mm [5]Fu Hongya,Huang Kaibang and Zhu Fangqun ect, “Non-
Fig.7 F − ε simulation and experiment curves geodesic winding stability of the boundary conditions and
stability equation”, Harbin Institute of Technology
Journal,1996.4(2).125-127.
6. Conclusion

725
 2008 International Conference on Intelligent Computation Technology and Automation

Study on Real Options Model of Operating Capital Value of Generator for

Spinning Reserve and Risk Assessment Based on Monte Carlo Methods

Xin MA1, 2
1. School of Management and Economics,
North China University of Water Conservancy and Electric Power,
Zhengzhou, China, 450011.
2. State Key Lab of Systems Ecology,
Research Center for Eco-Environmental Sciences,
Chinese Academy of Sciences,
Beijing, China, 100085.
E-mail: maxin72@163.com

Abstract and fuel price. To solve this multistage stochastic

Electricity market has complex market rules, and its
operation with great uncertainty. In this paper, the real
options model of operating capital value of generator
for spinning reserve is constructed under uncertainty
market conditions including uncertainty electricity
price, reserve price and fuel price. VaR concept is
introduced, and quantitative risk assessment of the
operating capital value of generator based on Monte
Carlo simulation methods is done.
problem, we use Monte Carlo simulation in
conjunction with backward dynamic programming to
determine the optimal decision strategy for plant
operation in the last period and then repeat the process
moving backward, having obtained all optimal
decision strategies for the subsequent time periods. The
effective on the operating capital value of generator
that affected by technology limits of units is studied.
VaR concept is introduced, and a quantitative risk
assessment of the operating capital value of generator
is done in deregulation environment.

1. Introduction 2. Operating capital value of generator

The electricity industry is undergoing deregulation
around the world. Generators must adjust the new risks
of volatile spot prices, which are accompanying the
competitive marketplace.
Hsu Michael put up the spark spread options concept
and constructs the model with the relation of gas price
and electricity price
[1]
. The unit constraints is
incorporated in research of Tseng ,and based on the
financial options approaches the power plant valuation
problem as a multistage stochastic problem with the
prices for electricity and the fuel consumed
[2]
characterized as uncertainties is formulated , but the
reserve market is not be considering and the risk of
power plant valuation is not evaluated.
In this paper the real options model of operating
capital value of generator for spinning reserve is
constructed under uncertainty market conditions
including uncertainty electricity price, reserve price
A real option is the right, but not the obligation, to
undertake some uncertainty decision. The real option
method enables corporate decision-makers to leverage
uncertainty and limit downside risk.
In the electricity market the generator will face the
validity of spot price and reserve price and fuel price,
all these factors are uncertainty in the future, the
revenue of generator will change according to these
factors. Suppose the generator is a price taker in
electricity market, it can decide the unit startup or
shutdown in time period t , and the output power level
of spot and reserve. This equals that the generator
owns an options contract, the generator will have right
to decide to startup or shutdown on the executed price
in time period t , and it also has right to decide to sell at
spot market or reserve market. The value of this
contract is validity as financial options contract, if
market price is higher than executed price, the

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DOI 10.1109/ICICTA.2008.174
generator will chose to execute the options contract, its C ( qtS , qtR , qtDR , ptF ) : cost function for operating the unit
means the unit is startup. at the using power level qtDR in time period

3. Modeling the determinstic formulation t when the fuel price is p tF .

ST ( xt ) : startup cost associated with turning on the unit
We present the deterministic formulation of the in time period t .
generation asset valuation problem over a short term
SD ( xt ) : shutdown cost associated with turning off
period under the uncertainty spot price and spinning
price and fuel price, and the physical constraints are the unit in time period t .
also be considered, here we suppose the fuel of unit is J ( xt ; ptS , ptR , ptF ) : variable indicating the operating
t
R

coal. capital value of generator for the unit at output

level in time period t when the spot price is ptS
3.1. Nomenclature
and reserve price is ptR and fuel price is ptF .
The main mathematical symbol used as follow. ΔP : the loss value of capital allocation during Δt .
Additional symbols will be introduced when necessary. VaR : value in risk at confidence level c .
t: index for time ( t = 0,1," , T ). p K (i ) : mean value of spot price in the i trading time.
φ : unit startup time. Δp K (i ) : the residual of price series.
ψ : unit shutdown time.
τ on : the minimum number of periods the unit must 3.2. Objectives function
remain on after it has been turned on.
τ off : the minimum number of periods the unit must The objectives function of generator as follows:
T
remain off after it has been turned off. J 0R = Max
S R
E ∑ [ f t R ( x t , q tS , q tR , p tS , p tR , p tF ) (1)
q max : maximum rated capacity of the unit. ut , qt , qt
t =0

q min : minimum rated capacity of the unit. − ST ( xt )u t − SD( x t )(1 − u t )]

qtS : decision variable indicating the biding amount Where:
f t R ( xt , q tS , qtR , p tS , ptR , ptF ) = [ p tS (qtS + q tDR ) + p tR qtR
of power in spot market that the unit is
generating in time period t . − C ( qtS , q tR , qtDR , ptF )]sign ( xt )
(2)
qtR : decision variable indicating the biding amount
The generating cost are most often modeled as a
of power in reserve market that the unit is quadratic function with the following form:
generating in time period t .
C(qtS , qtR , qtDR , ptF ) = [α (qtS + qtDR ) 2 + β (qtS + qtDR ) + γ ] ptF (3)
qtDR : decision variable indicating the using amount of 1 xt > 0
sign ( xt ) = { (4)
power in reserve market ， qtDR = λqtR ， λ is 0 otherwise
the ratio of using， 0 ≤ λ ≤ 1 ； If the spinning reserve is not considered, the
qt : decision variable indicating the total amount of simplification of objectives function is as follows:
T
power in spot and reserve market that the unit J 0 = Max
S
E ∑ [ f t ( xt , qtS , ptS , ptF ) − ST ( xt )u t − SD( xt )(1 − u t )]
ut , qt
is generating in time period t . t =0

S (5)
p : electricity price of spot market in time period t .
t Where costs function is:
ptR : pice of reserve market in time period t . C (qtS , ptF ) = [α (qtS ) 2 + β qtS + γ ] ptF (6)
p tF : fuel price in time period t .
ut generation unit-commitment decision variable 3.3. Constraints
made in time period t , u t ∈ {0,1} ; when ut = 1
Formulation (1) satisfy the following constraints.
，the unit will be startup in time period t + 1 , • Minimum up/down time constraints
when u t = 0 , the unit will be shutdown in 1 if 1 ≤ xt < τ on
period t + 1 . ut = { 0 if − τ off < xt < −1
(7)
xt : state variable indicating the length of time that 0or1 otherwise
the unit has been up or down in time period t . • Unit state transition constraints

727
 Min(τ on , xt −1 + 1) if 0 < xt −1 & ut −1 = 1 • if qtS * = q min
−1 ifxt −ψ = τ on & ut −ψ = 0 (8) 1 ptR pS q min
xt = { qtR* = min(q max − q min , max(0, ( + tF − β ) − ))
Max(−τ off , xt −1 − 1) ifxt −1 < 0 & ut −1 = 0 2αλ λpt F
pt λ
1 ifxt −φ = −τ off & ut −φ = 1 (16)
qtS* = min(q max , max(q min ,
• Total unit capacity in time period •
if 1 pS pR
qt = qtS + qtDR (9) ( tF − F t − ( β + 2λαq max ))))
2α (1 − λ ) pt pt (1 − λ )
• Unit capacity constraints
q min sign ( xt ) ≤ qt ≤ q max sign ( xt ) qtR* = q max − qtS (17)
S
(10) • if qtS * = min(q max , max(q min ,
1 p
( − β )))
t

where t = 1,", T 2α p t
F

• Unit spinning reserve capacity constraints qtR* = 0 (18)

0 ≤ q ≤ (q
t
R max
− q ) sign( xt )
S
t
(11) The operating capital value of generator in time
• The real dispatch unit spinning reserve capacity period t is:
constraints • if x t = τ on , t ≤ T − ψ
0 ≤ qtDR ≤ qtR (12)
J tR ( xt ; p tS , ptR , ptF ) = f t R ( xt ; q tS * , q tR* , ptS , ptR , p tF )
• Unit startup costs, here suppose constant.
ST if xt = −τ off + Max E t { J t +1 (τ on ; p tS+1 , p tR+1 , p tF+1 )u t
ST ( xt ) = { (13) ut (19)
0 otherwise + [ J t +ψ ( −1; p tS+ψ , p tR+ψ , p tF+ψ ) − SD ( x t )](1 − u t )
• Unit shutdown costs, here suppose constant.
• if x t = −τ off , t ≤ T − φ
SD if xt = τ on
SD ( xt ) = { (14) J tR ( xt ; ptS , ptR , ptF ) = f t R ( xt ; q tS * , q tR* , ptS , ptR , p tF )
0 otherwise
+ Max Et {[ J t +φ (1; ptS+φ , p tR+φ , ptF+φ ) − ST ( xt )]u t
ut (20)
4. Solving the deterministic model + J t +1 ( xt +1 ; p , p , p )(1 − u t )}
S
t +1
R
t +1
F
t +1

• if (t , xt ) not belongs to previous cases.

We formulate the generation asset valuation problem
which considering the spinning reserve capacity as a J ( xt ; p , ptR , ptF ) = f t R ( xt ; qtS * , qtR* , ptS , ptR , ptF )
t
R
t
S

multi-stage decision problem, and use Monte Carlo
simulation to solve this multistage stochastic
[3]
problem , this method is employed not only in
forward-moving simulation, but also backward-moving
recursion of dynamic programming. The model
divided two parts, the first part is the operating
decision problem, that means the decision variable
xt ∈ Φ = {τ on ,−τ off } is now the commitment decision
which has to be made before the uncertainties ptS , ptR
and p tF . The second part is unit-commitment problem,
the generator is risk neutral so that its objective is to
maximize the expected profit, and the generator will
decide the output level between spot market and
reserve market. Suppose the unit is on operating state
in time period t , the deterministic problem is as
follows:
Max p tS ( q tS + λ q tR ) + p tR q tR − C ( q tS , q tR , q tDR , p tF ) (15)
q S , qtR
q min ≤ qtS ≤ q max
s.t. {
0 ≤ qtR ≤ q max − qtS
Solving formulation (15) and the optimal value is
obtained
+ Et [ J t +1 ( xt +1 ; ptS+1 , ptR+1 , ptF+1 )]
(21)
The boundary conditions are:
J TR ( xT ; pTS , p TR , pTF ) = f TR ( xT ; q TS * , q TR* , pTS , p TR , pTF ) (22)
In our stochastic model, a commitment decision
must be made before the commitment becomes
effective. At each time t, the generator’s decision
dependent on the price vector ( p tS , p tR , p tF ) ,
At each state xt ∈ Φ , the optimal determines can
be expressed as the function g t ( x t ; p tS , p tR , p tF ) :
1 if g t ( xt ; ptS , ptR , ptF ) > 0
ut = { (23)
0 if g t ( xt ; ptS , ptR , p tF ) < 0
In time period t , if ( p tS , p tR , p tF ) on the locus of
g t ( xt ; p tS , p tR , p tF ) = 0 ， its mean the profit of
generator is equality whatever the determines of
generator is turn on or turn off the unit, this locus is
defined as indifference locus, and state belongs to
xt ∈ Φ [2]. Suppose in time period t 0 ， the state
is xt0 ,we know all the indifference locus and xt ∈ Φ

728
， t = t 0 + 1, " , T , initial determines variable is u t0 , (27)
These equal：
the operating capital value of generator ^
R S R F
J t0 ( xt0 ; u t0 , pt0 , pt0 , pt0 ) can be solved during the time • if x t = τ on , t ≤ T − ψ
^ S ^ R ^ F ^ S ^ R ^ F
period [t 0 , T ] : Et [ J tR+1 (τ on ; p t +1 , p t +1 , p t +1 )] = Et [ J tR+ψ (−1; p t +ψ , p t +ψ , p t +ψ )
Step0: at time period t 0 ,price vector ( ptS , ptR , ptF ) ,the ^
− SD ( x t )] (28)
0 0 0

initial condition are xt0 and u t0 ， N is • if

^
x t = −τ off , t ≤ T − φ
simulation times, this data is be given. ^ S ^ R ^ F ^
E t [ J tR+φ (1; p t +φ , p t +φ , p t +φ ) − ST ( x t )]
Step1: set t ← t 0 , i ← 1, J R ( i ) ← 0 ,go to step 2. (29)
^ S ^ R ^ F
Step2: if i > N ,its over, otherwise use another price = E t [ J tR+1 ( x t +1 ; p t +1 , p t +1 , p t +1 )]
vector ( ptS (i ) , ptR (i ) , ptF (i ) ) . Set
Step3: decide the determine variable u t( i ) by equability ^ ^ S ^ R ^ ^ S ^ R

(23). g t ( y ) = J tR ( x t ; ut = 1, p t , p t , y ) − J tR ( x t ; ut = 0, p t , p t , y ) (30)
Step4: set ^ S ^ R

J R ( i ) ← J R ( i ) + f R ( xt( i ) , q tS ( i ) , q tF ( i ) , p tS ( i ) , p tR ( i ) , p tF ( i ) ) p t is selected from spot price distribution, p t is

selected from reserve price distribution, the
− ST ( xt( i ) )ut( i ) − SD ( xt( i ) )(1 − ut( i ) ) ,
mathematical symbol “^” means the value is given or
if t = t 0 ，set determined, then we can get a point on indifference
ρ (i ) = f R ( xt(i ) , qtS (i ) , qtF (i ) , ptS ( i ) , ptR (i ) , ptF (i ) ) locus though solving formulation g t ( y) .
− ST ( xt(i ) )ut(i ) − SD( xt(i ) )(1 − ut(i ) )
5. Value of risk evaluation
Step5: determine state variables xt(+i )1 , xt(i+)ψ or xt(i+)φ based
on u t(i ) and xt(i ) VaR(Value of Risk) is an quantitative risk analysis
method , it is the maximum amount we expect to lose
Step6: reset t ← t + 1 , t ← t + ψ based on u t(i ) ,or over some target period. A formal definition is
reset t ← t + φ if t > T , t ← t 0 , i = i + 1 , J ( i ) ← 0 , described as following:
go to step4 , otherwise go to step2. Pr ob( ΔP < VaR ) = 1 − c (31)
Step7: the expected asset value by choosing Table 1. Mean of spot price of each
u t0 initially is given by hour
N Time(h) 1 2 3 4 5 6
∑J
i =1
R (i )
S
p (i) 6.5 4.8 6.0 5.7 12.0 20.0
J tR0 ( xt0 ; u t0 , ptS0 , ptR0 , p tF0 ) ≈ (24)
N Time(h) 7 8 9 10 11 12
the expected revenue of generator is p S (i) 31.0 33.5 38.0 40.0 34.0 29.0
N

∑ρ (i )

(25)
Time(h) 13 14 15 16 17 18
ρ≈ i =1

N p S (i) 27.0 32.5 36.0 31.0 29.0 34.5

Step 8: In time period t1 , the expected accumulative Time(h) 19 20 21 22 23 24
S
revenue of generator V can be solved during [t1 , T ] , it p (i) 35.0 41.0 37.0 32.5 20.5 10.0
is
The Monte Carlo simulation method is a main
V = J tR − ρ 0
(26) [3]
method to calculate VaR . The advantage of using
We use Monte Carlo Simulations to obtain the simulation to value the operating capital of generator is
^
indifference locus[2], for each state x t ∈ Φ ，If a given that it provides information on the Value at Risk of the
^ S ^ R ^ F power plant's operation. It can measure the value that
price vector ( p t , p t , p t ) is on the indifference locus, generator could lose due to price changes in the
its mean: electricity spot markets. Value of the operating capital
^ S ^ R ^ F of generator “ V ”can be solved by formulation (26).
g t ( xt ; p t , p t , p t ) = 0
{ ^ ^ S ^ R ^ F ^ ^ S ^ R ^ F
J tR ( x t ; u t = 1, p t , p t , p t ) = J TR ( x t ; u t = 0, p t , p t , p t )

729
 The volatility of spot price and reserve price is Output constraints of unit is 250MWh ≤ qt ≤ 750MWh ,
Markov and mean-reversion characteristic[4], residual simulation time N=5000,the other physical constrains
of these price series satisfy AR(1) stochastic model: see Table 4,the result is V = 70705$ ,VaR= 30644$.
p K (i ) = p K (i) + Δp K (i) (32) • Case 2
{ K
Δp (i) = aΔp K (i − 1) + σε (i ) Output constraints of unit is 250MWh ≤ qt ≤ 750MWh ,
where， K ∈ {S , R} , it is a spot price model when set simulation time N=5000,the other physical constrains
upper symbol K ← S , otherwise a reserve price model see Table 4, the result is V = 57715$ ，VaR= 14905$.
when set upper symbol K ← R . p K (i ) is the mean Table 4. Mean of operating value of
value of price series, Δp K (i ) is residual series, generator under difference cases
a and σ are constant , the constraint is a < 1 ，its mean Case No. 1 2 3
the volatility is mean-reversion. ε (i ) ~ WN (0，1) is τ on
(hr) 0 4 6
white noise. We can get these data through historical τ (hr)
off
0 4 6
data statistic. The mean value of spot price and the φ (hr) 0 2 3
mean value of reserve price at each 24 hours of future ψ (hr) 0 2 3
month show as Table 1 and Table 2.
x0 1 4 6
Table 2. Mean of reserve price of each hour ST ($) 0 1000 1100
Time(h) 1 2 3 4 5 6 SD ($) 0 600 650
R expected operating capital
p (i) 3.75 3.9 3.0 3.35 4.0 7.5
value of generator （$）
70705 57715 40054
Time(h) 7 8 9 10 11 12 • Case 3
p R (i) 9.0 10.75 8.5 11.0 11.5 10.5 Output constraints of unit is 250MWh ≤ qt ≤ 750MWh ,
Time(h) 13 14 15 16 17 18 simulation time N=5000,the other physical constrains
R
p (i) 9.5 9.0 12.0 11.5 10.5 12.5 see Table 4, the result is V = 40054$ ，VaR= -1076.8$.
Time(h) 19 20 21 22 23 24
p R (i) 10.5 10.0 7.5 7.0 7.35 4.5

The fuel is coal, and we can buy coal through long

term contract, so it is resizable to set it a constant, and
convert coal price equal cost to produce 1MWh
electrical power, here it is 5$/MWh. To spot price
series, set a is 0.78 and set σ is 4, to reserve price
series, set a is 0.8 and set σ is 2. The unit of price is
$/MWh.Generation costs are modeled as a quadratic
function show in Table 3, set dispatch ratio λ is 10%.
Table 3. Factors of quadratic cost
functions of generator
α β γ λ
0.00113 5.321 600 10%
Three cases under different physical constraints of
unit are studied, show in Table 4.
Initial state x 0 is given at t = 0 , we evaluate the
VaR of the operating capital value of generator next day
(24hours) by Monte Carlo method, the result as
follows:
• Case 1
Figure 1. Distribution of the mean of
operating value of Generator in case 1
From result in Table 4 ,we can get that the expected
operating capital value of generator in future 24 hours
will be higher evaluated without physical constraints,
the expected value of Case1 is $70705, and it is $57715
in Case2, and $40054 in Case3,if we set the expected
value of Case2 as basis, then the expected operating
capital value of generator in Case1 is higher evaluated
about 22.5%, if compare with Case3, then the expected
operating capital value of generator in Case1 is higher
evaluated about 76.5%, this result reflect that the strict
physical constrains of unit will reduce the possibility to
higher evaluation.

730
 From figure2,3,4 and the value of VaR in three cases,
these result show that the expected operating capital
value of generator in future 24 hours will lower than
$30644 at a probability level not exceed 5% in Case1,
and the expected value in future 24 hours will lower
than $14905 at a probability level not exceed 5% in
Case2, its means the value of risk will be obviously
lower evaluated. If we compare with Case 2 and Case 3,
we will find that the strict technical constrains of unit
will reduce the possibility to lower evaluation of risk.
physical constrains of unit will reduce the possibility to
lower evaluation of risk.
7. References
[1] M Hsu. “Spark spread options are hot!”. The Electricity
Journal, 1998,11(2),pp:1-12.
[2] Chung-Li Tseng, Graydon Barz. “Short-term generation
asset valuation: a real options approach”. Operations
Research. 2002, 50(2),pp: 297-310
[3] Dowd, K. Beyond value at risk. New York: Wiley.1998.
[4] B.Roger, Haili Song, Chen-Ching Liu, Robert D.,
“Pricing flexible electricity contracts”. IEEE Trans. on
Power System, 2000, Vol.15 (2),pp: 477-482.

Figure 2. Distribution of the mean of

operating value of Generator in case 2

Figure 3. Distribution of the mean of

operating value of Generator in case 3

6. Conclusion
In this paper we present a new method for valuing
the operating capital of generator for spinning reserve
capacity and evaluating the value of risk using Monte
Carlo simulation. The real options contracts and the
concept of VaR are introduced and emphasizing the
need for incorporating physical constraints into the
problem modeling. Without considering physical
constraints, the expected operating capital value of
generator will be higher evaluated, and the strict

731
 2008 International Conference on Intelligent Computation Technology and Automation

Study on Simulation for Humanoid Robot

Xing-qiao Deng1, 2 Jin-ge Wang1 Wei-bin Zhu 1

1
School of Mechanical Engineering and Automation，Xihua University, Chengdu，
610039,China
2
School of Manufacturing Science and Engineering，Sichuan University, Chengdu ,
610065,China
dxq_zyc@126.com

Abstract motion simulation with, Mechanism includes motion

A formulation based on Danevit-Hartenberg was
educed for the dynamics and kinematics equation, the
virtual model of humanoid robot based on
Pro/ENGINEER was developed. The simulator, which
is the virtual counterpart of the hardware robot
platform for humanoid robotics, can emulate the
dynamics of the robots and test the control
algorithms .The controller can handle a dynamic
balance control, a biped locomotion and trajectory
planning etc. A large number of simulations were done
and the joint campaign curve of Humanoid Robot’s
arm doing a particular action was given. The
experiment proved that the method was effective and
feasible. Thus, the foundation was laid for the next
phase of the control algorithm research.
1. Introduction
Robots are traditionally used in industrial
automation. In recent years, many robotics researchers
have focused on developing human-friendly robots,
that is, humanoid biped robots [1]. Some well-known
human scale robots include the ASIMO, the Honda
humanoid robot [2]; HUBO of Korea Advance institute
of science and technology [3]; HRP of the METI
Project [4].
The research on humanoid robots includes various
areas such as hardware development, path planning,
control of biped locomotion, artificial intelligence, and
human inter action [6].Our primary concern is to
develop the simulator of humanoid robots based on
Pro/ENGINEER. Used in various industrial fields,
Pro/ENGINEER facilitates the development of
mechanical, as well as check on the Mechanical
interference and other function testing. Integrated body
and structure analysis which can simulate motion or
static robots. The result of simulation of
Pro/ENGINNER can also be made to flash through
Animation [8].The most important thing is that can be
effectively combined with the concept of concurrent
engineering.
To realize a humanoid robot shape, we used
Pro/ENGINEER to design all of the Robot’s parts and
develop the modeling of humanoid robot; the dynamics
and kinematics equation was deduced based on
Danevit-Hartenberg [6~8]; we then used the structural
of Pro/ENGINEER simulation to analyze. By using the
structural of Pro/ENGINNER simulation, we can
determine the design parameters that would ensure
mechanical safety under given load condition. We also
conducted dynamics and kinematics simulation on
various movements of the humanoid robot in order to
estimate the effectiveness and the feasibility of control
algorithm.
2. Humanoid robots kinematics equation
Including all the motion of hands and legs the
equation was exceptionally complex to deduce and
inconvenient to solve, the Schematic of humanoid robot
as shown in Fig.1. Therefore, the equations of motion
were deduced based on the symmetric structure
characteristics of Humanoid Robot, the educed process
of motion and dynamics equation was simplified
greatly. In fact, the whole body movement can be
generated through the method of decomposition control
of momentum, thus, the whole humanoid robot
application of the motion equations can be derived a
equations of a campaign components, the other can be
used the equations directly based on the symmetry
structure. The kinematics models of left leg and arm

978-0-7695-3357-5/08 $25.00 © 2008 IEEE 732

DOI 10.1109/ICICTA.2008.304
can be considered as the same of right leg and arm a y = − S123 S45 − a0 S1C45 , az = C45
respectively. Where the Kinematics models for robot’s
leg was omitted because of the pages .The px = a4 ( S123C45 + a0 S1 S45 ) + a3 S123C4
transformation matrix of robot arm was given + a0 a3 S1 S 4 + a2 S123 + a1 S12
According to Danevit-Hartenberg method [6]; Fig.2
shows the coordinate system of robot arm. p y = a4 (C123C45 + a0 C1 S 45 )
z5 + a3C123C4 + a0 a3C1S 4 + a2 S123 + a1 S12
o5 x5
a3 x3
a5
pz = a4 S 45 + a3 S4
o 2 z2 o 3 a4
z1 a2 o4 Where
x2 z3
x4 Ci = cos(θ i ), Si = sin(θ i )
o1 y1 z0 z4
x1
a1 Sij = sin(θi + θ j ), Cij = cos(θi + θ j )
o y0 Cijk = cos(θi + θ j + θ k ), Sijk = sin(θ i + θ j + θ k )
x0 i, j , k ∈ (1, 2,3, 4,5)
The transformation matrices for right leg, left leg, left
Fig 1.Humanoid robot kinematics models for robot’s arm arm can be derived by using the related
Where x0 y0 z0 the base frame is, frame {i} is attached Danevit-Hartenberg parameters into Eq. (1).
Vector relation of humanoid arm joint in reference
rigidly to link i . Table 1 summarizes the detailed
coordinate system,
parameter of Humanoid robot arm. n
Table 1. Danevit-Hartenberg parameters A
re = A rB + B0 + ∑ ai
i θi di ai −1 α i −1 i (2)
Where B the vector of joint coordinate to reference
1 θ1 0 a0 0 0

coordinate system is, ai the distance between the two

2 θ2 0 a1 90
neighboring the origin coordinate is.
3 θ3 0 a2 90 The generalized velocity of Robot’s rotary joint is:
4 θ4 0 a3 0 ⎡ v ⎤ ⎡ z × i pn0 ⎤
x = ⎢ ⎥ = ⎢ i ⎥ qi
5 θ5 0 a4 -90 ⎣ w ⎦ ⎣ zi ⎦ (3)
Where the four parameters are rotary joint angle θ , i
Jacobi matrix is
⎡ z × i pn0 ⎤
Sliding joints variables d i ; joint offset distance a , the i −1 Ji = ⎢ i ⎥
angle between the two neighboring z axes α . i −1
⎣ zi ⎦ (4)
By using the above-mentioned models, the i 0
Where p is the vector of origin coordinate of {i} in
n
transformation matrix 0T5 that express the relation
the coordinate system of {o}. According to the equation
between frame 5 and 0 can be written as
of Lagrange [8~12], we can obtain
⎡ nx ox ax px ⎤ n n n
⎢n oy ay p y ⎥⎥ L = ∑ Dij qj + I i qi + ∑∑ Dijk q j qk + Di
0
T5 = A1 A2 A3 A4 A5 = ⎢ y (1) j =1 i =1 k =1
(5)
⎢ nz oz az pz ⎥ .
⎢ ⎥ The first part is angular acceleration inertia, Second
⎣0 0 0 1⎦ part is drive inertia, third is Keliao force and centripetal
force, the last is gravity force inertia.
Here, n ∂Tp ∂Tp
nx = C123C45 + a0 C1 S 45 , n y = S123C45 + a0 S1 S 45 Dij = ∑
p = max( i , j )
Trace(
δ qmin(i , j )
Jp(
∂qmin( i , j )
))T
(6)
nz = S 45 n ∂ Tp
2
∂Tp
ox = − S123 , o y = C123 , oz = 0 Dijk = ∑
p = max( i , j , k )
Trace(
∂qmin 9 i , j ) ∂qk
Jp(
∂qi
)T )
ax = −C123 S 45 − a1C1C45 (7)

733
 n ∂Tp K The experimental test consists in measuring the
Di = ∑ − m p g r rp campaign trajectory involving whole-body motion and
p =1 ∂qi applying the control algorithm in the simulator.
(8)
Here, Numerous experiments were carried to test the
simulator of kinematic models. In the example, the
⎡ xi2 xi yi xi zi ⎤ arms are controlled in the same manner. The simulator
⎢ ⎥
Trace(ViViT ) = Trace ⎢ y i xi yi2 y i zi ⎥ could successfully reach arms to the expectation
place.Fig.2 show the campaign trajectories. A snapshot
⎢ zi xi zi yi zi2 ⎥⎦
⎣ of the motion is illustrated in Fig.3.
= xi2 + yi2 + zi2 (9)
91.42 229.09
K 41.42
Where rp is the vector of connecting bar mass center -8.58
179.09

129.09

0
1.8
3.6
5.4
7.2
9
in the relevant coordinate system. -58.58

y
x
79.09
-108.58
In this setting, the kinematic modeling involves 29.09
-158.58
the specification of joint axes positions and the -208.58 -20.91
0 1.5 3 4.5 6 7.5 9
placement of local body part coordinate systems, all t/s t/s

these parameters being specified in the global body

coordinate system when the body is at zero a b
configurations. Therefore, the location of
subcomponent can be computed by using the above
81.77
equation. 71.77
61.77
51.77

3. Simulations 41.77

z
31.77
21.77
11.77

The equation of velocity, acceleration and torque 1.77

0 1.1 2.2 3.3 4.4 5.5 6.6 7.7 8.8 9.9
can be calculated in accordance with the joint at t/s
different moments by the Kinetic equations, we then
applied these function to the joint definition of c
simulation, which can be used as the basis of the design
control algorithms. The servo motor defining is very Fig 2. Trajectory of the right arm ending joint: (a)
critical throughout the robot simulation system, which X-direction; (b) Y-direction ;( c) Z- direction.
is the core to drive the humanoid robot. First, the
control algorithm can be applied by the definition the
movement of servo motor. Second, the external
restraints, which include the robot joint quality, the
initial position, the gravity, the friction, are very critical
to definition.
To describe the kinematic body model, we need to
determine the location and direction of joint axes on
the simulator. Table2 shows the link length for
humanoid robot’s arm of Fig.1.

Table 1. Link lengths for Humanoid robot’s arm of Fig.1.

Link Length Link Length

[mm] [mm]
a0 100 a3 21 Fig 3. Snapshot of the motion simulation
a1 48 a4 50
a2 10
The experimental tests presented in this paper are
limited to some components of displacements.
Robot Size (Width * thick * high): 310 * 180 * 90 However, more experimental tests should be carried
mm, Weight: 1.3 kg (with batteries), each joint torque out in order to measure the compliant displacements of
is 7.4 kg / cm.

734
all the subcomponents and compare them with the
numerical results.
4. Conclusion
We have developed the simulator based on
Pro/ENGINEER as an infrastructure for humanoid
robotics research. The feature of simulator includes
seamless dynamics simulation of humanoid robots,
motion planners and controllers as the basic library
including biped locomotion, dynamics balancing at the
standing position. The simulation is to be widely used
under the project as the foundation for exploiting
applications and testing the control algorithms.
5. References
[1] Valenti, Michanel,”A Robot Is Born,” Mechanical
Engineering, June 1996, pp, 50-57.
[2] T.McGeer, Passive dynamic walking, The International
Journal of Robotics Research, 1990, 9(2), pp.62-82.
[3] Craig, John j, Introduction to Robotics: Mechanics and
Control, 2d Edition, Addison Wesley, 1989.
735
[4] Sciavico, Lorenzo, Bsiciliano, Modeling and Control of
Robot Manipulators, McGraw-Hill, New Yerk, 1996.
[5] Bornner, Susan, K, G.Shin,”A Comprehensive Study of
Robot Languages,”IEEE Computer, December 1982,
pp.82-96.
[6] Paul, Richard P, Robot Manipulators, Mathematics,
Programming, and control, The MIT Press, 1981.
[7] Joseph L. Anita M, Bruce A. mobile robots, Inspiration to
mplementation [M].USA: Eagle, 1998.
[8] http://www.ptc.com
[9] Hirukawa Hirohisa, Kanehiro Fumio, Kaneko Kenji.
Humanoid robotics platforms developed in HRP [J].
Robotics and Autonomous Systems (S0921-8890), 2004,
48(4), pp.165-175.
[10] White Robert B, Read R K, Koch M W, Schilling R J. A
Graphics Simulator for a Robotic Arm [J]. IEEE
Transactions on education (S0018-9359), 1989, 32(4),
pp.417-429.
[11] A. Go swami:”Posturel Stability of Biped Robots and
the Foot-rotation Indicator (FIR) Point,” Int. j. of Robotics
Research, 1999, 18(6), pp.523-533,.
[12] K.G.M.Gerritsen, A.J. van den Bogert,B.m.Nigg,Direct
dynamics simulation of the impact phase in heel-toe
running, Journal of biomechanics ,1995,28(6),pp.661-668.
 2008 International Conference on Intelligent Computation Technology and Automation
VISSIM-based Simulation of the Left-turn Waiting Zone at Signalized
Intersection
Hui Chen, Ning Zhang, Zhendong Qian
（ITS Institute of Ministry of Education, Southeast University, Nanjing, 210096, China）
E-mail: chenhui_seu@yahoo.cn
E-mail: ningzhang1972@yahoo.com.cn
Abstract
In order to simulate traffic movements of the left-
turn waiting zone (LWZ) at signalized intersection to
quantitatively evaluate the operational performances
after the implementation of the LWZ, following the
introduction of the concept of the LWZ, its application
environment were recommended, the modeling method
of the LWZ was established, and the simulation
evaluation indexes were introduced. Based on the data
investigation, the simulation model was applied to a
typical signalized intersection with the LWZ by micro-
simulation software VISSIM to evaluate the efficiency
of the traffic operation. It is found that compared with
the layout of lacking LWZ, the left-turn traffic capacity
at signalized intersection increased by 5.9, 4.3 and 6.7
percent in three different periods of traffic levels
respectively after using the LWZ. The result shows that
optimizing the layout of the intersection by using the
LWZ can improve the operation efficiency without
affecting the traffic safety.
1. Introduction
In the urban traffic system, road intersects with each
other forming intersections. Intersection becomes a
complex node due to the interaction and influence by
multi-dimensional random factors, which cause the
capacity of intersections to be less, and the delay at
intersection to be much longer than that of the road
segment. So it is easy to say that intersections have
become an underlying source of the traffic congestion
in urban road networks. Moreover, the left-turn
vehicles are one of the important factors that affect the
safety and efficiency at the intersection, and many
scholars studied the left-turn traffic deeply.
By comparative assessment of large numbers of
intersections before and after improvement with their
geometric design, traffic control, traffic flow and
traffic accidents, and other data, FHWA presented a
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DOI 10.1109/ICICTA.2008.284
well-designed before-after evaluation method to
measure the safety effects of improvements, including
installation of added left-turn lanes, added right-turn
lanes, and extension of the length of existing left- or
right-turn lanes, and concluded that the number of
intersection-related accidents could be reduced after
the left turn lane is set up[1]. NCHRP indicated that
many collisions at unsignalized intersections are
related to left-turn maneuvers [2]. Left-turn lanes can
remove vehicles waiting to turn left from the through-
traffic flow, thus may reduce the potential for
collisions between left-turn and opposing through
vehicles.
Wang Jing-yuan presented quantitative guidelines
for left-turn lane installation at signalized intersections
[3]
, where the interaction between left-turn vehicles and
opposing through vehicles as well as their operation
characteristics were studied, a left-turn lane modal for
signalized intersections was established in view of its
differences from unsignalized intersections, and the
parameters were discussed in the model. The
reasonable layout and the length of approaches of left-
turn waiting zone (LWZ) were researched by Ji Yan-jie
[4]
, where an example was employed to reveal the
benefit before-after the layout of the LWZ. Ding Wei
analyzed the internal mechanism of left-turn flow after
stopping line through taking left-turn waiting zone for
instance [5], where the discussion focused on the
relationship between the appropriate signal time and
the before-after layout of the LWZ.
To sum up, the layout of the left-turn lane, the LWZ
and the signal timing for the LWZ have already made a
good progress. But the study on the simulation of LWZ
at signalized intersection was few. This paper focuses
on the modeling process to realize the LWZ in micro-
simulation software VISSIM, and a typical example
was studied to reveal the efficiency improvement
before-after the layout of LWZ by using simulation
mean. It is significance to quantitatively evaluate the
traffic operational performance.

2. The concept of the left-turn waiting zone
The LWZ is an area which is enclosed by two
parallel white dotted lines with slightly curved and a
stopped line. It is designed in the front of stopping line
of the left-turn lane and inducts the left-turn vehicles
into the LWZ waiting to turn left when the opposing
through signal is green. In other word, the left-turn
vehicles are allowed to move into the LWZ only when
the opposing through vehicles were permitted to enter
into the intersection, and wait at LWZ before the left
signal turns green. All the vehicles who want to turn
left are prohibited from entering into the LWZ when
the opposing through signal turns red. The LWZ is
always applied to intersections with the dedicated left-
turn signal and left-turn lanes, usually sets at the front
of the left-turn lane, reaches the vacant place near the
center of the intersection and will not hinder the
through vehicles at the same time. The LWZ can be
described as Figure 1[6].
Fig.1 Left-turn waiting zone
The purpose of this paper is to use the micro-
simulation tools to evaluate the efficiency after
implementing LWZ. However, the current version of
VISSIM simulation software can not directly simulate
vehicles movement by using the LWZ. It is necessary
to carry out some hypothesizes in order to create a
relation between the LWZ and the simulation software.
Once the LWZ model was established in simulation
software, we were able to use the computer to simulate
the traffic operational characteristics in the
complicated conditions, and the quantitative evaluation
could be made. The key problem is how to establish
the LWZ model in the micro-simulation software.
737
3. The simulation model of the left-turn
waiting zone
3.1 Establishing the model of the left-turn
waiting zone
VISSIM is a microscopic, time step and behavior
based simulation model developed to model urban
traffic [7]. VISSIM can analyze traffic and transit
operations under different conditions, thus making it a
useful tool for the evaluation of various alternatives
based on transportation engineering, so this micro-
simulation software VISSIM was chose in this paper.
Under the normal circumstances, the simulation
software VISSIM itself can not simulate the LWZ
directly. But the function can be realized by proper
coding. The movement of the vehicles turning left
through the LWZ can be divided into two-step in
accordance with the basic concept of the LWZ. The
first step can be described as exchanging the time for
the space. The second step can be described as
exchanging the space for the time. And the two-step
concept becomes the guidelines for establishing the
LWZ model in the software VISSIM. Establishing the
model of the LWZ in VISSIM is the foundation and
key problem for the following evaluation, so how to
modeling the LWZ in VISSIM will be described in
detail in the following.
By field observation, it is found that the left-turn
movement by the LWZ is completed in two phases. As
shown in figure 2, in the first phase, divers arriving at
the intersection have to stop at ① in the left-turn
driveway suppose the straight light is red initially, then
accelerate their vehicles to cross the stop line at ① and
come to a stop at ② in the LWZ when the straight light
is green. In the second phase, the vehicles in the LWZ
wait the left light to turn green, then accelerate their
vehicles leaving form point ② to point ③ , and
complete the left-turn movement. Obviously, the left-
turn vehicles have two periods of waiting times in this
movement. One is at the point ① in the driveway, the
other is at the point in the LWZ. However, the logic
studded in the VISSIM simulation software organizes
the left-turn vehicles form driveway with one-step
movement by signal controlling. Form the simulation
perspective, we can realize the function in VISSIM
through making some assumptions, which can
correctly reflect the two-step process for the left
turning. The assumption used here is that a pair of
signal phases was used to control the corresponding
stopping line at ① and ② respectively, when the
vehicles leave the stopping line at ① and come to the
stopping line at ②. A dummy signal phase at ① is
used in the modeling to approximately go with the
reality about the LWZ, because in reality signal phase
at ① is not exist. This way of modeling the left-turn
movement is named the dummy signal phase method
because it uses an extra signal phase to change the left
turning into two steps. So the LWZ model in VISSIM
software will be able to achieve.
Fig.2 Graphic description of the LWZ simulation
model
3.2 The simulation evaluation indexes
We know that the traffic system itself is very
complicated with random factors and variability. And
it is often difficult to be described accurately by using
empirical model or mathematical model, but the
simulation technology turns the complicated traffic
movement into a visualized image, which is convenient
to be analyzed [8]. The before-after performance of the
LWZ can be compared and evaluated quantitatively
based on simulation statistical data. The VISSIM can
provide the evaluation indexes such as traffic volume,
travel time, queue length and so on. We should choose
the most descriptive indexes according to the
characters about the LWZ at the signalized intersection
and the simulation software. As the capacity of the
intersection is mainly concerned, the left-turn traffic
volume was considered to be the index of evaluation.
4. Case study
The data survey is an important aspect for modeling
and evaluating the measure by micro-simulation
software. Ensuring the accuracy of the survey data can
guarantee the authenticity and reliability of the
simulation results, and the comparative analysis on the
management methods at the target intersection can be
carried out effectively. The main contents of data
survey are listed as follows:
1) Intersection traffic volume survey. The volume
information needed in the simulation software is the
entrance volume at intersection, and the turning ratio
for different directions should be collected at the same
738
time. In order to reflect the fluctuation of the traffic,
we conducted field observation during the peak hour,
the off-peak hour and the low peak hour under the
normal weather conditions.
2) Intersection geometric data survey. The geometry
data reflecting the conditions of the intersection is
needed. The data includes the grades, the road transect,
the design speed, the road width, the function of each
lane, the number of lanes, the area of the intersection
and so on.
3) Intersection signal control data survey. The basic
requirement is that the LWZ must work together with
the left-turn signal and the left-turn lane, so it is
necessary to investigate the signal phase composition
and timing data at the intersection. Signal cycle, signal
phase, signal phase sequence, red, green and yellow
light time were observed to simulate the LWZ.
4) Other related survey. For example, collection of
the electronic map can simplify the modeling work in
the software. In addition, traffic organization survey,
traffic environment survey, and other ancillary
facilities survey also can play an auxiliary role to
establish the simulation model.
A typical urban intersection was investigated based
on the above analysis of the data survey, and the
intersection geometry survey data is shown in Figure 3.
Fig.3 Case signalized intersection
The traffic volume in different entrance at the
intersection and its each distribution ratio are shown in
Table 1. Because the LWZ is mainly used for the
vehicles, in order to simplify the problem here, the
non-motor vehicles and pedestrians were not taken into
account in the study.
The signal timing data at the intersection related
with the before-after layout of the LWZ was set up as
in Figure 4 and Figure 5.
 Fig.4 Traffic signal timing before setting LWZ
Fig.5 Traffic signal timing after setting LWZ

Tab.1 The volume in different entrance at different periods of time

East entrance South entrance West entrance North entrance
peak hour
/（veh٠h-1） /（veh٠h-1） /（veh٠h-1） /（veh٠h-1）
Direction right straight left right straight left right straight left right straight left
Volume 511 945 819 634 1113 1259 855 976 912 676 1301 1330
East entrance South entrance West entrance North entrance
off-peak hour
/（veh٠h-1） /（veh٠h-1） /（veh٠h-1） /（veh٠h-1）
Direction right straight left right straight left right straight left right straight left
Volume 401 743 672 467 934 987 612 766 768 444 901 954
Low peak East entrance South entrance West entrance North entrance
hour /（veh٠h-1） /（veh٠h-1） /（veh٠h-1） /（veh٠h-1）
Direction right straight left right straight left right straight left right straight left
Volume 262 518 441 354 678 598 473 598 521 380 669 551

Tab.2 The simulation result about the left-turn volume

East entrance South entrance West entrance North entrance Total
Peak hour
/（veh٠h-1） /（veh٠h-1） /（veh٠h-1） /（veh٠h-1） /（veh٠h-1）
LWZ 305 568 294 474 1641
No LWZ 272 528 283 462 1545
Efficiency
12.1 7.0 3.7 2.5 5.9
improvement/(%)
East entrance South entrance West entrance North entrance Total
Off-peak hour
/（veh٠h-1） /（veh٠h-1） /（veh٠h-1） /（veh٠h-1） /（veh٠h-1）

LWZ 311 551 276 484 1622

No LWZ 271 508 262 472 1513
Efficiency
12.9 7.8 5.1 2.5 6.7
improvement/(%)
East entrance /（ South entrance West entrance North entrance Total
Low-peak hour
veh٠h-1） /（veh٠h-1） /（veh٠h-1） /（veh٠h-1） /（veh٠h-1）
LWZ 295 482 249 395 1421
No LWZ 264 468 253 375 1360
Efficiency
10.5 2.9 -1.6 5.1 4.3
improvement/(%)

The simulation was carried out with the above data,
and the simulation results are listed in table 2:
The simulation results in the same simulation cycle
listed in table 2 shows that compared with that the
implementation of the LWZ before, the left-turn traffic
volume at signalized intersection increased by 5.9%,
6.7% and 4.3% percent after setting the LWZ in the
peak hour, the off-peak hour and the low-peak hour
respectively. The above case quantitatively describes
the traffic flow changing with time and space, which
can fully prove that the operational efficiency has been
significantly improved.
Further analysis shows that the layout of the LWZ
is not just forward displacement of stop line on the left-
turn lane simply. The purpose of the LWZ is to utilize
the space of the intersection maximally and let the
vehicles enter into the LWZ early when the opposing
through light is green, while the opposing through
vehicles will not be affected. The measure motioned
above reduces delay time for the left-turn vehicles, as

739
well as improves the traffic movement and efficiency
at the intersection. Particularly when optimizing the
signal timing considering the speed of the vehicle, and
the length of the LWZ, most left-turn vehicles need not
to stop at the LWZ and run through the intersection
quickly.
[7] PTV.VISSIM 4.20 User Manual[Z] .German：Planung
Transport Verkeher AG, 2005.
[8] Zhang Ning, Chen Kai, Gao Zhao-hui, et al. “Site
Planning of U-turn Followed by Right-turn Based on Micro-
simulation”, Journal of Traffic and Transportation
Engineering, Xi’an, 2008, 8(1), pp.78-82.

5. Conclusions
The conflict and interference at the signalized
intersection leads to a lot of delay and traffic
congestion which reduces the intersection capacity in
the urban road network. The LWZ is an effective
means of easing the congestion at the intersection. The
research in this paper is mainly on the realization and
evaluation of the widely used LWZ by simulation tool.
And a simulation model was analyzed by a case, which
proves that the simulation model proposed in this paper
can truly reflect the traffic movement after the
implementation of the LWZ. This modeling method
expands the application scope of simulation software.
The simulation result convincingly proves that the
layout of the LWZ has a role to alleviate the growing
congestion problem at signal intersection.

6. References
[1] Federal Highway Administration. Safety Effectiveness of
Intersection Left- and Right- Turn Lanes[R]. U. S. Depart-
ment of Transportation: Washington D.C., 2002.

[2] NCHRP.A Guide for Reducing Collisions at Signalized

Intersections[R]. Transportation Research Board: Washing-
ton D.C., 2004.

[3] Wang Jing-yuan, Zhuang Yan. “Study on left-turn lane

guidelines for signalized intersections”, Journal of Shen Zhen
University Science and Engineering, Shenzhen, 2007, 24(1),
pp.41-46.

[4] Ji Yan-jie, Deng Wei, Wang Wei. “Study on the Layout

of Left-turn Vehicles Waiting Area at Signalized
Intersections”, Journal of Highway and Transportation
Research and Development, Beijing, 2006, 23(3), pp.135-
138.

[5] Ding Wei, Zhai Xi. “Study on the Setting Methods of

Left-turn Waiting Zone at Signalized Intersection”, Journal
of Xi’an University of Architecture and Technique (Natura1
Science Edition), Xi’an, 2007, 39(4), pp.580-583.

[6] Research Institute of Highway Ministry of Communica-

tions.GB 5768-1999 Road Traffic Signs and Markings[S].
SBTS, Beijing, 1999.

740
 2008 International Conference on Intelligent Computation Technology and Automation
Variable Structure Control for Stabilizing Double Inverted Pendulum
Wu Jun-feng, Liu Chun-tao, Deng Yong
Department of Automation, Harbin Univ. Science &. Technology
Harbin 150080, China
wu_jf@hrbust.edu.cn ddy621@163.com
Abstract
This paper makes a study of application of variable
structure control for stabilizing double inverted
pendulum system and designs state-feedback controller
based on poles placement theory. The researching
results of this paper are applied to linear inverted
pendulum experiment equipment produced by Googol
Technology LTD. so as to verify the effectiveness of the
control law. The result of experiments proves that the
controller via this method has a good control effect.
1. Introduction
Inverted pendulum system is a complex
multivariable, non-minimum phase and unstable,
electromechanical system with severe nonlinearity, and
its stabilizing control is the representative problems in
the application of the control theory. Its control process
can reflect many significant problems, such as
stabilization problems, nonlinear problems and robust
problems. Because of its characteristics, the inverted
pendulum system is often used to verify the
effectiveness of the control theory and to find control
laws which can restrain unstable, nonlinear, model
parameter perturbation and unmodel dynamic well.
There is some research about double inverted
pendulum system in the experiment guidance book
written by Googol Technology LTD. This paper uses
those results as the mathematical model, and studies
the control law based on variable structure control
theory. Via some experiments we can know that this
control law is feasible and effective.
2.Description of double inverted pendulum
The double inverted pendulum system is a complex
nonlinear system. In the equipment there is a cart and
two pendulums with series connection. The cart can
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DOI 10.1109/ICICTA.2008.307
move along a finite steel guiding bar horizontally and
freely, and the two pendulums can rotate in the vertical
plane with a rotation in each tip. The cart is actuated
by an AC servo motor by means of a toothed belt. For
the two pendulums, the one closer to the cart is named
as the first pendulum, and the other one is named as
the second pendulum.
the second pendulum θ2
the first pendulum θ1
origin of the guiding bar
cart
r
Fig.1 Schematic diagram of double inverted
pendulum system
Fig.1 is the schematic diagram of double inverted
pendulum system. The sketch map of the double
inverted pendulum can be seen in paper[1] too. We can
get a linear model with these assumptions:
1) The pendulum is a rigid-body and does not
distort during moving;
2) The length of the toothed belt is constant and the
buffeting is neglected;
3) The force of the motor has direct ratio
relationship with the output of the AC servo driver
without delay;
4) The friction is neglected during analyzed;
5) When the value of angle approximates to zero
we make some equations approximately:
cos φ (t ) 1 , sin φ (t ) φ (t )
741
 The physics meanings of these parameters are Conclusion 3: For linear controllable system, the
presented in the paper[1].The states of this system are dynamic characteristics of sliding mode only depends
[r,,θ1 , θ 2 , r , θ1 ,θ 2 ] , and the input of this system is the on C.
force of the AC servo motor. LAGRANGIAN Conclusion 4: For linear controllable system, if
DYNAMICS is applied to compute the model of sliding mode exists and the sliding mode hyperplane is
double inverted pendulum. The mathematical model of reachable, the necessary and the sufficient condition is
double inverted pendulum is: det[CB]≠0.
⎡ r ⎤ ⎡0 Conclusion 5: For characteristic equations of
0 0 1 0 0⎤ ⎡ r ⎤ ⎡ 0 ⎤
⎢θ ⎥ ⎢0 0 0 0 1 0 ⎥ ⎢θ1 ⎥ ⎢ 0 ⎥ sliding mode differential equations, if all of the roots
⎢ ⎥ ⎢
0 0 1 ⎥ ⎢⎢θ2 ⎥⎥ ⎢ 0 ⎥
1
θ
⎢ ⎥=⎢ 0 0 0 have negative real part, then we can guarantee that the
+
0 0 ⎥⎥ ⎢ r ⎥ ⎢⎢ 1 ⎥⎥
2
u
⎢ ⎥ ⎢
r 0 0 0 0 sliding mode subsystem is stable.
⎢θ1 ⎥ ⎢0 77.0642 -21.1927 0 0 0⎥ ⎢θ1 ⎥ ⎢5.7012 ⎥ We design the switch function with pole placement
⎢ ⎥ ⎣⎢0 -38.5321 37.8186 0 0 0⎦⎥ ⎢θ ⎥ ⎢⎣-0.0728⎦⎥ (1)
⎣θ2 ⎦ ⎣ 2⎦ theory. The system can be dealt to (3) via liner
⎡r ⎤ transformation.
⎡ r ⎤ ⎡1 0 0 0 0 0⎤ ⎢θ1 ⎥ ⎡0⎤ For S = C1 x1 + C2 x2 then: x2 = C2−1s − C2−1C1 x1 .
⎢θ ⎥
y = ⎢⎢θ1 ⎥⎥ = ⎢⎢0 1 0 0 0 0⎥⎥ ⎢ r2 ⎥ + ⎢⎢0⎥⎥ u After liner transformation:
⎢⎣θ2 ⎥⎦ ⎢⎣0 0 1 0 0 0⎥⎦ ⎢θ1 ⎥ ⎢⎣0⎥⎦ ⎧ x1 = x1
⎢ ⎥ ⎨ −1 −1
⎣θ2 ⎦ ⎩ x2 = C2 s − C2 C1 x1
The (3) can be dealt to this:
3.Design of the sliding mode variable x1 = A11 x1 + A12 x2 = ( A11 − A12C2−1C1 ) x1 + A12C2 −1s (4)
structure controller In terms of (3), we can get: S = C1 x1 + C2 x2
Then
Sliding mode control design generally involves two S = C1 x1 + C2 x2 (5)
main steps: firstly, the selection of a sliding surface = C1 A11 x1 + C1 A12 x2 + C2 A21 x1 +C2 A22 x2 + C2 B2 u
which induces a stable reduced-order dynamics On the sliding surface, when S=0 and S = 0 , we can
assigned by the designer, and secondly the synthesis of get:
a switching control law to force the closed-loop system
trajectories onto and subsequently remain on the x1 = ( A11 − A12 C2 −1C1 ) x1 (6)
sliding surface. ueq = −(C2 B2 )−1[(C1 A11 + C2 A21 ) −(C1 A12 + C2 A22 )C2−1C1 ]x1 (7)
For conclusion 2 above: if (A0,B0) is controllable,
3. 1 Design of the switch function then (A11,A12) in (3) is controllable too. So the matrix K
must exist which makes (A11-A12K) have desired
Sliding mode must satisfy three conditions: poles: λ1 , λ2 , λ3 ,… , λn − m , then we can discuss the
existence, stability and controllability. Now several equation below:
conclusions are introduced below: λ I n − m ( A11 − A12 K ) = 0
Conclusion 1: For liner system: Its root λi (i =1,2,… ,n − m) should satisfy the
x0 = A0 x0 + B0 u, S = C0 x0 performance requirements, and K can be got via
(2)
x0 ∈ R n , u ∈ R m 　
,S ∈ Rm algebra operation.
Where x0 is state vector and u is control vector Compared with (6) and λ I n − m ( A11 − A12 K ) = 0 ,
and n≥m≥1.The switch function S is composed of m we can get C2 −1C1 = K ,i.e. C1 = C2 K . The roots of
components which are si ( x) = ci T x, i = 1, 2, , m . If characteristic equation of (6) is just the desired roots.
(A,B) is controllable, the simple forms of the system So
via linear nonsingular transformation can be got: C = [C1 C2 ] = [C2 K C2 ] = C2 [ K I m ] (8)
x1 = A11 x1 + A12 x2 Nonsingular matrix C2 is optional. So it can be
x2 = A21 x1 + A22 x2 + B2 u (3) specified as:
S = Cx = C1 x1 + C2 x2 C2 = I m (9)

Where B2 ∈ R m× m is nonsingular.
Conclusion 2: For system (2), if (A0,B0) is 3. 2 Design of the control law
controllable, (A11,A12) is also controllable in (3).
To satisfy the reaching condition of sliding surface,
we use the exponential reaching law:

742
 S = − kS − ε sgn( S )
⎡0 0 0 1 0⎤ ⎡−13.7⎤
Because S=Cx, S = −kS − ε sgn( S ) can be dealt to ⎢0 0 0 0 1⎥ ⎢−78.3⎥
A11 = ⎢0 0 0⎥ , A12 = ⎢ 1 ⎥
this:
0 0
S = Cx = CAx + CBu = −kS − ε sgn( S ) ⎢0 -529.2 519.4 0 0⎥⎥ ⎢ 0 ⎥
Control law is as below: ⎢ ⎢ ⎥
⎣0 -2940 2940 0 0⎦ ⎣ 0 ⎦
u = − ( CB ) (CAx + kS + ε sgn( S ))
−1
(10)
The poles of the subsystem (A11,A12) is specified
So the sliding mode controller can be got by C and according to the experience and experiment process.
(10), where the selection of parameter k is mainly At last we specify the desired poles of the sliding mode
determined by the dynamic characteristics of reaching subsystem as P=[-13; -2+2*i;-2-2*i;-6+6*i; -6-6*i].
sliding surface. The selection of ε is to attenuate Using K=place (A11, A12, P) in the software of
friction, parameter perturbations and so on. All of these MATLAB it can be got:
are to guarantee the robustness of close-loop system. K=[-0.2599 -0.3101 1.1462 -0.1933 0.0236]
For (8) the sliding surface matrix C=[-0.2599
3. 3 The elimination of system chattering -0.3101 1.1462 -0.1933 0.0236 0.1944]. In
(10) we specify k=0.5, ε =0.01. In (11) we specify
For the variable structure control system, it has a δ =0.005.
ideal switch characteristics because of the sgn(S) in After designing switch function parameter C and
(10), which generates the floating mode on the sliding control law (10), the variable structure controller is
surface. Because of delay, friction and other factors, completed.
the engineering system usually can not satisfy the ideal
characteristics, and the system states will chatter near
the sliding surface in fact. So we apply a continuous
function to substitute symbol function sgn (s) in order
to attenuate chattering.

s
θ (s) = (11)
s +δ

Where δ is very small number.

3. 4 The results of the experiments

Fig. 2 Picture of double inverted pendulum
According to linear system theory, it is clear that system
the double inverted pendulum system (1) is We can choose some blocks in the toolbox of
controllable. Simulink to constitute sliding variable structure
controller and implement it on the experiment
Define: B1 =B(1:5), B2 =B(6).
Choose linear transformation matrix as this: equipment produced by Googol Technology LTD.
Because this system is a computer control system with
⎡I -B (B )-1 ⎤ the sample time 0.005(second), the plot of the
T =⎢ 5 1 2 ⎥ experiments is like a ladder, not smooth. After
⎣0 1 ⎦ swing-up by hands and the system come into smooth
running.
After linear transformation, the system becomes as:
Fig.3 is the experiment plot of double inverted
pendulum under the variable structure controller. At
⎡x1 ⎤ ⎡0 0 0 1 0 -13.7⎤⎡x1 ⎤ ⎡ 0 ⎤ the beginning of the experiment, we do the
⎢x2 ⎥ ⎢0 0 0 0 1 -78.3⎥⎢x2 ⎥ ⎢ 0 ⎥ displacement experiment: specifying the desired
⎢x ⎥ ⎢0 0 0 0 0 1 ⎥⎢x3 ⎥ ⎢ 0 ⎥ position of the cart. After displacement experiment, we
⎢ 3⎥ =⎢ ⎢ ⎥+
0 ⎥⎥⎢x4 ⎥ ⎢⎢ 0 ⎥⎥
u do the striking experiment: beat the tip of the
⎢x4 ⎥ ⎢0 -529.2 519.4 0 0 pendulum with certain force by a hard stick to see the
⎢x5 ⎥ ⎢0 -2940 2940 0 0 0 ⎥⎢x5 ⎥ ⎢ 0 ⎥ response of system under shock disturbance.
⎢⎣x6 ⎥⎦ ⎢⎣0 -38.5 37.8 0 0 0 ⎥⎦⎢⎣x6 ⎥⎦ ⎢⎣-0.0728⎥⎦

743
 goes to -0.23m. After 4 seconds the system returns to
the origin point.
We specify other groups of desired poles to get
some controllers with different parameter. Every
controller can control the system successfully. The
difference between them is that: the smaller is the
absolute value of negative real part of dominant poles,
the faster is the close-loop system. But the overshoot
of pendulum angle will increase during the running.

4. Conclusions
The sliding model variable structure control theory
is applied on the double inverted pendulum system
successfully, and we get a good control performance.
From the result of experiment, it is known that the
variable structure control theory is easy to apply and
can be implemented generally. Under variable structure
controller, the close-loop system has a fast response
and low overshoot. According to the above it comes a
conclusion that: the variable structure control theory is
a good solution to the unlinear, unstable system with
the parameter perturbation and unmodeled dynamics.

References

[1] Googol Technology LTD, Inverted pendulum and

automatic control experiment, 2005: 24~106.

[2] K. Q. Zhang, The study of variable structure control

based on sliding mode and its application to inverted
pendulum systems, Institute of Advanced Process
Control, 2003.

[3] W. B. Gao, Variable structure control theory. Beijing:

Press of Science, China, 1990.

[4] D. Y. Xue, Control system and computer assistant design,

Tsinghua University Press, 1996.

[5] S. C. ZHAI, Study on Sliding Mode Control Theory and

Fig. 3 Figure of double inverted pendulum system
Application for Uncertain System. Huazhong University
under the VSC controller
Fig.1 shows that: during the smooth running, the of Science and Technology, 2005.
first pendulum chatters in a small region with the angle
[6] A. S. Lewis, Robust Output Feedback Using Sliding
varying between 0.03rad and -0.03rad, and the second
Mode Control[J]. Journal of Guidance,Control,and
pendulum varies between 0.015rad and -0.015rad. Dynamics,2001,24(5).
During the displacement experiment, we assign the
desired position from -0.2m to 0m, the system can [7] F. Y. Wang, The sliding model variable structure control,
complete the moving in 5 seconds, and the system is Machine press, China, 1995.
stable all the time. When the system is given a shock
disturbance, the overshoot of the system output signals
is as below: the first pendulum is 0.3rad and the
second pendulum is 0.085rad, at the same time the cart

744
 Session 5

Rough Set
and Data Mining

ICICTA 2008
 2008 International Conference on Intelligent Computation Technology and Automation
A Rough Set Model for Software Defect Prediction
YANG Weimin, LI Longshu
Key Lab IC&SP at Anhui University, Ministry of Education, Hefei 230039, China
School of Computer Science and Technology, Anhui University, Hefei 230039, China
E-mail: jsjcx@ahu.edu.cn
Abstract
High assurance software requires extensive and
expensive assessment. Many software organizations
frequently do not allocate enough resources for
software quality. We research the defect detectors
focusing on the data sets of software defect prediction.
A rough set model is presented to deal with the
attributes of data sets of software defect prediction in
this paper. Appling this model to the most famous
public domain data set created by the NASA's Metrics
Data Program shows its splendid performance.
1. Introduction
High assurance software requires extensive and
expensive assessment. Many software organizations
frequently do not allocate enough resources for
software quality. Being able to estimate the number of
defects will substantially improve the decision
processes about releasing a software product.
A variety of software defect prediction techniques
have been proposed, but none has proven to be
consistently accurate, such as Statistical methods,
Machine learning techniques [1] and Mixed techniques
[2]. Most of the wide range of prediction models uses
size and complexity metrics to predict defects. Others
are based on testing data, the 'quality' of the
development process, or take a multivariate approach
[3].
Data sets used in these studies are three folds:
original, open source, and public domain. First, as for
original data sets are usually used in empirical studies
in industries. Especially, [4] used graphical probability
models to combine the diverse forms of evidence
available in software development for Philips Software
Centre (PSC). Next, as for the open source software
data, studies such as [5] collected and used for the
evaluation of their software defect prediction
approaches. Finally, the public domain data set, one of
the most famous public domain data set is the NASA's
978-0-7695-3357-5/08 $25.00 © 2008 IEEE
DOI 10.1109/ICICTA.2008.76
Metrics Data Program (MDP) [6]. For example, studies
such as [7, 8] used the NASA’s MDP. By using such
public domain data sets, a new approach can be easily
comparable with other approaches.
Focusing on the data sets of MDP, we research the
defect detectors. A rough set model is presented to the
attributes of data sets in this paper.
The rest of the paper is organized as follows. In
Section 2 we describe rough set theory and a new
knowledge representation based on the rough set
model. Section 3 explores the data set of MDP and
preprocesses the data set of CM1. Section 4 applies our
main approach to the data set. Finally, Section 5
consists of a summary and an outlook.
2. Rough set model
Rough set theory, introduced by Z.Pawlak since the
early 1980s [9], is a new mathematical tool to deal
with vagueness and uncertainty. It is a mathematics
methodology for processing approximation space. It is
used by classification of an indiscernibility relation.
The area of uncertainty is boundary of rough set. The
boundary region is defined by difference of the upper
approximation and the lower approximation. Rough set
has some main advantage, such as based on sound
mathematical definition, outstanding robustness and
little computation. The information processing of
rough set does not need any preliminary or additional
information about data, such as basic probability
assignment in the Dempster-Shafer theory and the
value of possibility in fuzzy set theory.
The information about a decision is usually vague
because of uncertainty and imprecision coming from
many sources. On the other hand, vagueness may be
caused by granularity of representation of the
information. Granularity may introduce an ambiguity
to explanation or prescription based on vague
information [10].
Knowledge representation in the rough set model is
done via a decision table which is a tabular form of an
747
Object→Attribute Value relationship. An object is a
record in decision table.
There are a set U of objects and an equivalence
relation R on the set U. R is a partition of the set U,
using the attribute set Ω. R={X1, X2, …, Xn}. We call
the pair <U, R> an approximation space. For P⊂R and
P≠φ, then ∩P (the intersection sets of all equivalence
relations in the P) is also an equivalence relation. We
call ∩P indiscernibility relation on the P, write as
Ind(P).
For X⊆U, we say that R-(X)= {Yi∈U | Ind(R):
Yi⊆X} is the lower approximation of X, and R-(X)=
{Yi∈U|Ind(R): Yi∩X≠φ} is the upper approximation
of X.
R-(X)-R-(X) is an uncertain boundary region of X.
In other words, the boundary region does not comprise
the objects that cannot be classified with certainty to be
inside X, or outside X, using the attribute set Ω.
Rough sets pretreatment translates the set of objects
into Ind(R) using the attribute set Ω.
Discernibility matrix is a matrix in which the
element is the set of condition attributes. In the matrix
the condition attributes which can be used to discern
between the classes in the corresponding row and
column are inserted.
Let ξ = <U, Ω, Vq, fq> (q∈Ω) call as information
system, where
(a) a finite set U of objects;
(b) a finite set Ω of attributes;
(c) a set Vq of attribute values;
(d) for each q∈Ω, a mapping function fq: U→Vq.
We also will sometimes write Oq instead of fq(O) to
denote the value of object O with respect to attribute q.
Discernibility matrix M(Ω)=(mi,j), (1≤i,j≤n, n= |U /
Ind(Ω)|), where (mi,j)={q∈Ω | Oiq≠Ojq}.
Discernibility matrix object translates rough set
Ind(Ω) into discernibility matrix M(Ω).
Suppose ξ = <U, Ω, Vq, fq> is an information
system, then η = <U, C, D, Vq, fq> is a decision
knowledge system(for short decision system,
sometimes called as knowledge system). Subset C is
the condition attributes in Ω. Subset D is the decision
attributes in Ω.
We see that an attribute in Ω corresponds to an
equivalence relation on U. A decision table can be
regarded as a group of equivalence relation. So data
mining can be predigested as shrinking attributes.
On decision system η, discernibility matrix M(C,D)
= (mi,j), (1≤i, j≤n, n=|U/Ind(C)|), where (mi,j)= {q∈C |
Oiq≠Ojq, Oid≠Ojd, d∈D}.
Let Os be a set of objects. Let Ds be a set of
attributes belong to Os and Ms be a set of methods
belong to Os. For O in Os and M in Ms, we denote by
O.M the result of the application of method M on
748
object O. For Os, we will be interested in generating all
the objects that can be mapped into the model just
described as follows:
The set Os of objects consists of labeled data tuples
comprising the training rough set for the similar
classifier. The label identifies the group to which the
object belongs. Other tuple attributes specify the
properties of the object. The goal of the similar
classification problem is to discover new rules each of
the groups in the training rough set.
Attributes of an object are of different importance.
The importance is expressed as right value. In order to
discover importance of a set of attributes, firstly we
delete some attribute from the set of attributes, and
then review change of equivalence relation. If
classification is changed, then the attribute is of bigger
importance, or is of less.
Suppose F={X1, X2, …, Xn} is a cluster of sets of
classification on U based on attributes set Ω. The
inherent metric of an approximation space is the
approximation precision δR(F) and the approximation
quality γR (F).
n n
δR (F) = ∑ i =1 | R-(X) | / ∑ i =1 | R-(X) |.
n
γR (F) = ∑ i = 1 | R-(X) | / | U |.
Let η=<U, C, D, Vq, fq> be a decision system.
Ind(C, D)={(x,y) | (x,y)∈U×U, ∀r∈C, r(x)=r(y)} is
called as indiscernibility relation of η.
Let η=<U, C, D, Vq, fq> is a decision system.
Reduction of condition attributes set C is a nonempty
subset C'⊂C such that:
Ind(C', D)=Ind(C, D);
No ∃C''⊂C' makes Ind(C'', D)=Ind(C, D).
Reduction set of C is written as Redη(C). The
intersection of all reduction sets of C is called as core,
written as Coreη(C), Coreη(C)=∩Redη(C).
For decision system η= <U, C, D, Vq, fq>, U is
parted into indiscernibility classes X1, X2, …, Xn by
Ind(C, D). Let D(Xi)={v = fq(x) | x∈Xi, q∈D} be the
set taking value of decision attributes set D. If D(XInd(C-
{r},D))=D(X), then condition attribute r∈C can be cut
out relative to indiscernibility class X. If C'⊆C, ∀r∈C'
and that r cannot be cut out relative to indiscernibility
class X, we call C' the reduction of indiscernibility
class X. The reduction set of all indiscernibility class
Xi (i=1, 2, …, n) is written as Redη(C, Xi). Coreη(C,
Xi) = ∩Redη(C, Xi) is called as core relative to Xi.
In this way, we can get simplest decision table using
relative reduction.
3. Data sets of software defect prediction
3.1 view of data set lOComment: Halstead's count of lines of comments
lOBlank: Halstead's count of blank lines
The data sets used in this study are shown in Table lOCodeAndComment: numeric
1 and are freely available to other researchers via the uniq_Op: unique operators
web interface to NASA’s Metrics Data Program (MDP) uniq_Opnd: unique operands
at http://mdp.ivv.nasa.gov, which is created by NASA, total_Op: total operators
then the NASA Metrics Data Program on December 2 total_Opnd: total operands
2004. On the topic of software defect prediction, there branchCount: of the flow graph
are five data sets: CM1, JM1, KC1, KC2 and PC1. We defects: module has/has not one or more reported
use CM1 to demonstrate our proposal. defects
Table 1 Data sets used in this study The class value (defects) is discrete:
project modules with defects
false: 449 = 90.16%
CM1 498 9.7%
true: 49 = 9.83%
JM1 10883 19%
KC1 2107 15.4%
KC2 520 20% 3.2 Preprocessing of data set
PC1 1107 6.8 CM1 have 498 instances and 22 attributes. It is a
CM1 is a NASA spacecraft instrument written in matrix of 22×498. For each attribute in CM1, we
"C". Data comes from McCabe and Halstead features cluster it into three classes: High, Medium and Low.
extractors of source code. These features were defined There are many methods of computing distance,
in the 70s in an attempt to objectively characterize such as presented by Euclidean, Hamming,
code features that are associated with software quality. Tchebyschev, Minkowski and Canberra [11].
The McCabe and Halstead measures are "module"- Tchebyschev distance is adopted in the processing of
based where a "module" is the smallest unit of data set. So 22 attributes of CM1 can be treated as
functionality. Table 2.
McCabe argued that code with complicated Table 2 The attributes of CM1
pathways are more error-prone. His metrics therefore
attribute Low Medium High
reflect the pathways within a code module. Halstead
argued that code that is hard to read is more likely to loc numeric 471 23 4
be fault prone. Halstead estimates reading complexity v(g) numeric 487 8 3
by counting the number of concepts in a module. ev(g) numeric 375 117 6
The McCabe metrics are a collection of four
software metrics: essential complexity, cyclomatic iv(g) numeric 460 35 3
complexity, design complexity and LOC, Lines of n numeric 214 279 5
Code. The Halstead falls into three groups: the base v numeric 412 81 5
measures, the derived measures, and lines of code
l numeric 485 11 2
measures.
Number of instances in CM1 is 498.And Number of d numeric 489 6 3
attributes is 22, including 5 different lines of code i numeric 485 7 6
measure, 3 McCabe metrics, 4 base Halstead measures, e numeric 52 -21 467
8 derived Halstead measures, a branch-count, and 1
goal field. List as follows: t numeric 483 9 6
loc: McCabe's line count of code lOCode numeric 473 18 7
v(g): McCabe "cyclomatic complexity" lOComment numeric 487 7 4
ev(g): McCabe "essential complexity"
lOBlank numeric 445 48 5
iv(g): McCabe "design complexity"
n: Halstead total operators + operands locCodeAndComment
496 1 1
v: Halstead "volume" numeric
l: Halstead "program length" uniq_Op numeric 489 7 2
d: Halstead "difficulty" uniq_Opnd numeric 466 29 3
i: Halstead "intelligence"
e: Halstead "effort" total_Op numeric 450 43 5
b: Halstead total_Opnd numeric 475 17 6
t: Halstead's time estimator branchCount numeric 488 7 3
lOCode: Halstead's line count

749
4. Experimentation on data set T15 0 0 1 1 1 0 1 0
T16 0 0 1 1 1 0 2 0
We change CM1 into rough set information table.
Afterwards applying data reduction algorithm, rule T17 0 0 2 1 1 0 2 0
discovery algorithm and rule reduction algorithm given T18 0 1 1 1 1 0 2 0
by us, some available rules are discovered.
Part of information table of software defect T19 1 0 0 1 1 0 2 0
prediction coded as η=<U, C, D, Vq, fq> depicted in T20 1 0 1 0 1 0 2 0
Table 3. We have incorporated complete identical
T21 1 0 1 1 1 0 2 0
samples into a record. The n denotes the number of
records. The {a, b, c, d} are all condition attributes. 'a' T22 1 1 1 0 1 0 2 0
as loc numeric, 'b' as v(g) numeric, 'c' as ev(g) T23 1 1 1 1 1 0 2 0
numeric, ..., 'u' as branchCount. The value of 0, 1 and 2
in the cells instead of Low, Medium and High. The 'e' T24 1 1 2 1 2 0 2 0
is decision attribute as defects, and the value of 0, 1 T25 2 2 2 2 2 0 2 0
means False, True.
T26 0 0 0 0 0 0 1 1
Table 3 Information table η
Attributes Decision T27 0 0 0 0 0 2 0 1
case
a b c … u z T28 0 0 0 0 1 0 1 1
R1 0 0 1 … 0 0 T29 0 0 0 0 1 0 2 1
R2 0 0 0 … 0 1 T30 0 0 1 0 1 0 1 1
R3 0 0 0 … 0 0 T31 0 0 1 0 1 0 2 1
… … … … … … … T32 0 0 1 1 1 0 2 1
R498 0 0 1 … 0 1
T33 1 0 0 1 1 0 2 1
Discernibility matrix M(C, D) is calculated by
information table η[12]. Then the reduced T34 1 0 1 1 1 0 2 1
discernibility matrix, RULE information table η' and T35 1 1 0 1 1 0 2 1
reduced RULE table can be can be reasoned.
T36 2 1 2 1 2 0 2 1
Table 4 The result table of CM1
Attributes Decision T37 2 2 2 2 2 0 2 1
case Using data reduction algorithm, we get reduced
a b c d e g j z information table. Now condition attributes are only a,
T1 0 0 0 0 0 0 0 0 b, c, d, e, g and j, which means loc numeric, v(g)
numeric, ev(g) numeric, iv(g) numeric, n numeric, l
T2 0 0 0 0 0 0 1 0 numeric and e numeric.
T3 0 0 0 0 0 1 0 0 Applying rule discovery algorithm, we get RULE
T4 table. Using rule reduction algorithm, get a new RULE
0 0 0 0 1 0 1 0
table as Table 4.
T5 0 0 0 0 1 0 2 0 So, the data set CM1 with 22 attributes and 498
T6 0 0 0 0 1 0 1 0 instances is reduced to a new matrix of 7×37. The
theory of rough set and farther researches assure the
T7 0 0 0 1 1 0 1 0 new matrix preserving the characteristic of CM1.
T8 0 0 0 1 1 0 2 0 Researching software defect prediction on the new
T9 table instead of CM1, the ratio of the record and
0 0 1 0 0 0 1 0
attribute number is 37:498 and 7:22.
T10 0 0 1 0 0 2 0 0
T11 0 0 1 0 1 0 1 0 5. Conclusions
T12 0 0 1 0 1 0 2 0
We proposes a rough set model for software defect
T13 0 0 1 0 1 0 1 0 prediction, and applies to the most famous public
T14 0 0 1 0 1 0 2 0 domain data set created by the NASA's Metrics Data

750
Program(MDP). The result shows its splendid
performance.
Rough set theory draws into approximation space
from equivalence relation. Its upper approximation and
lower approximation concepts give the area of
certainty and the area of uncertainty. Using these
concepts, we can process the data set of software
defect prediction effectively.
We have presented knowledge representation model
propitious to rough set. We have given data reduction
algorithm, rule discovery algorithm and rule reduction
algorithm. Predicting the software defect, using the
model given, some available rules are discovered. This
shows that our model and algorithms are feasible.
Acknowledgements
This work is supported by the National Natural
Science Foundation of China under grant
No.60273043. This paper is supported by the Talent
Team Construction Item of Anhui University under
grant No. 02203104.
References
[1] K. Kaminsky and G. D. Boetticher, "Better Software
Defect Prediction using Equalized Learning with Machine
Learners," Knowledge Sharing and Collaborative
Engineering. 2004.
751
[2] V. U. B. Challagulla, F. B. Bastani, I.-L. Yen, and R. A.
Paul, "Empirical assessment of machine learning based
software defect prediction techniques," The 10th IEEE
WORDS'05, 2005.
[3]F. N and N. M, "A Critique of Software Defect Prediction
Models," IEEE Transaction on Software Engineering, vol.
25, pp. 675-689, 1999.
[4] N. E. Fenton, Krause, Paul., Neil, Martin., "A
Probabilistic Model for Software Defect Prediction", for
submission to IEEE Transactions in Software Engineering,
2001.
[5] G. Denaro and M. Pezze, "An empirical evaluation of
fault-proneness models," The 24th International Conference
on Software Engineering (ICSE'02), 2002.
[6] N. s. M. D. Program, "http://mdp.ivv.nasa.gov/."
[7] J. G. Tim Menzies, Art Frank, "Data Mining Static Code
Attributes to Learn Defect Predictors," IEEE Transactions on
Software Engineering, vol. 33, 2007.
[8] Iker and Gondra, "Applying machine learning to software
fault-proneness prediction," Journal of Systems and Software
vol. 81, pp. 186-195, 2008.
[9] P. Z. e. al, "Rough sets," Communications of the ACM,
vol. 38, pp. 89-95, 1995.
[10] P. Z. e. al, Rough set approach to multi-attribute
decision analysis: Warsaw University of Technology, 1993.
[11] W. Pedrycz, CLUSTERING - From Data to Information
Granules: John Wiley & Sons, Inc, 2005.
[12] L. Li, W. Yang, X. Li, and Y. Xu, "Research on Data
Mining Model Based on Rough Sets," The First International
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(SPCA06), 2006.
 2008 International Conference on Intelligent Computation Technology and Automation
An Attribute Reduction Algorithm Based on Conditional Entropy and
Frequency of Attributes
Cuiru WANG
School of Computer Science and Technology
of North China Electric Power University,
Baoding 071003, China
wcr3366@163.com
Abstract
The attribute reduction and relative attribute
reduction were discussed in this paper. They are the
core of KDD. The information view and the algebra
view of rough set theory were combined and a novel
attribute reduction algorithm was proposed. In the
algorithm, the core attribute set which is the initial
candidate reduction set is obtained from the
discernibility matrix. The frequency of attributes, got
from the filtered discernibility matrix, is used as the
heuristic information of attributes selection. The
algorithm’s terminal condition is realized by the
conditional entropy. Taking the climatic factor
reduction in load forecasting as an example, it has
proved that the algorithm requires less computation,
has high efficiency and can reduce the redundant
attribute in the relative reduction set to a certain
extent.
1. Introduction
Rough set theory is an effective mathematical
technique used to analyze imprecise, uncertain, or
vague information which has developed in recent years
[1]. More and more researchers have began to study
rough set theory and has obtained tremendous success
since it was proposed by Pawlak in the early 1980s.
Not only the mathematical model of rough set theory
has been established theoretically, but also it has been
widely used in many fields such as information system
analysis, artificial intelligence, decision-making
systems, data mining, pattern recognition, fault
diagnosis, etc [2].
The attribute reduction is one core content of rough
set theory. The reduction attribute set should have the
same classification capability as the original attribute
set. In order to obtain the simple decision rules, the
attribute set must be reduced as far as possible. For this
978-0-7695-3357-5/08 $25.00 © 2008 IEEE
DOI 10.1109/ICICTA.2008.95
Fangfang OU
School of Computer Science and Technology
of North China Electric Power University,
Baoding 071003, China
oufang-1982@163.com
kind of question, the heuristic algorithm is generally
used, namely, the heuristic information is used to
reduce the search space so as to reduce the search time
as far as possible and finally the optimal or the
approximate optimal solution is obtained [3].
Based on indiscernibility relationship, rough set
theory is defined on the set through introducing the
upper approximation and the lower approximation.
This is usually called the algebra view of rough set
theory. Moreover, some scholars propose the
information view of rough set theory by researching
the rough set theory the information theory. A novel
attribute reduction algorithm based on conditional
entropy and frequency of attributes is proposed by
combining the information view and the algebra view
of rough set theory. The algorithm uses the frequency
of attributes as the heuristic information which is got
from the filtered discernibility matrix. The example
analysis indicates that this algorithm has less
computation and higher computing speed.
2. Basic concepts of rough set theory
2.1 The algebra view of rough set theory
Definition2.1.1: An information system is defined
as S =< U , A, V , F > , where U is a finite set of objects
called the universe; A is a finite set of attributes;
V = ∪Va ， ∀a ∈ A ， Va is the value region of the
attribute a; f: U × A → V which appoints the attribute
value of every object x in U is an information function.
Definition2.1.2: A decision table is an information
system where A = C ∪ D and C ∩ D = ∅ . C is the set
of condition attributes and D is the set of decision
attributes.
Definition2.1.3: A subset B ⊆ A is called the
indiscernibility relationship (equivalent relationship),
752
denoted by IND ( B ) , which is defined as: 2.2 The information view of rough set theory
Ind ( B ) = {( x, y ) ∈ U × U : F ( x, a ) = F ( y , a ), ∀a ∈ B} .
Miao Duoqian, Duntsch and Gediga, etc. establish
Definition2.1.4: P and Q are equivalent relationship
the relationship of the knowledge and the information
in U, the positive region P of Q is marked
entropy from the point of view of information theory.
as POS p (Q ) , that is to say POS p (Q ) = ∪ P_ (Q ) . They have introduced the concepts of knowledge
Definition2.1.5: P and Q are the family of entropy and conditional entropy [6].
equivalent relationship in U, and Q ⊆ P , if the follows Definition2.2.1: The universe U can be divided
are satisfied: into U | IND ( P ) = { X 1 , X 2 ,... X n } and
(1) Ind ( P ) = Ind (Q ) U | IND (Q ) = {Y1 , Y2 ,...Yn } by attribute subset P and Q
(2) Q is independent, then Q is a reduction of P.
Obviously P may have many reductions, the set which respectively. The algebraic probabilities of P and Q are
all essential relations compose is called the core of P, defined as:
denoted as: Core( P ) . ⎛ X1 X2 Xn ⎞
( X : p ) = ⎜⎜ ⎟
Theorem2.1.1[4]: Core( P ) = ∩ Re d ( P ) , ⎝ p ( X1 ) p ( X 2 ) p ( X n ) ⎟⎠
therein, Re d ( P ) denotes all reductions of P. ⎛ Y1 Y2 Ym ⎞
(Y : p ) = ⎜
According to the theorem, the core is the ⎝ p (Y1 ) p (Y2 ) p (Ym ) ⎟⎠
computation foundation of all reduction. It can be
explained as the characteristic set which is the most Therein, p ( X i ) and p (Y j ) mean the probability of
important part of knowledge. So it can not be reduced partition X i and Y j into which the element falls, their
when reducing the knowledge.
Definition2.1.6: Suppose T = (U , C ∪ D ) is a calculative formulas are p ( X i ) = | X i | U (i=1,2,…,n)
decision table, | U |= n , the corresponding and p (Y j ) = | Y j | U (j=1,2,…,m) respectively.
discernibility matrix of T is M = (cij ) n×n , defined as Definition2.2.2: The entropy H(P) of knowledge
(attribute set) is defined as:
⎧{ak | ak ∈C ∧ ak (xi ) ≠ ak (x j )}, d(xi ) ≠ d(x j ) n
cij = ⎨ H ( P ) = − ∑ p ( X i ) log( P ( X i ))
⎩ 0, d(xi ) = d(x j ) i =1
Therein, i, j=1,2,…n. Definition2.2.3: Suppose T = (U , C ∪ D ) is
Obviously, the discernibility matrix is symmetrical decision table system, and P ⊆ C , Q ⊆ D , the
matrix along the diagonal line, therefore only the condition entropy of knowledge (attribute set)
above triangle or the under triangle needs to be
Q( U | IND (Q ) = {Y1 , Y2 , , Ym } ) relative to
considered. According to the definition, when the
value of two objects' decision attribute are the same, P( U | IND ( P ) = { X1 , X 2 , , X n} ) is defined
the corresponding element's value in the matrix is 0; If as:
are not same, the corresponding element's value is the n m
condition attribute set which can differentiate these H (Q | P ) = − ∑ p ( X i ) ∑ p (Y j | X i ) log( p (Y j | X i ))
two objects. i =1 j =1
Definition2.1.7: Suppose p ( a ) is the frequency Therein, p (Y j | X i ) = | Y j ∩ X i | | X i | , i=1,2,…,n,
function of attribute a in the discernibility matrix, that j=1,2,…,m.
is the number of attribute a appears in matrix M. literature [7] has such deduction: Supposes T=<U,C
Therefore, p ( a ) can be defined as the importance of ∪ D> is a decision table, C is the initial condition
attribute a, namely: p ( a ) = SGF ( a , R , D ) . attribute set, D is the decision attribute set, B is
Definition2.1.8: a and b are two elements of the condition attribute subset after the attribute reduction,
discernibility matrix, if the attributes in b contain the C0 is the core of the decision table. If ai ∈ B − C0 is a
attributes in a, then b is the repeating element of a. random attribute which can not be reduced, then there
Theorem2.1.2[5]: In the discernibility matrix, after is:
setting the repeating elements as null, the attribute
reduction produced by the changed discernibility H ( D | C0 ) > H ( D | C0 ∪ {a1}) > >
matrix is invariable. H ( D | C0 ∪ {a1} ∪ ∪ {ai } ∪ )> > H ( D | B)

753
 This deduction shows that if the attribute reduction
takes the core of the decision table as the beginning,
the conditional entropy's change rule is the monotone
decreasing in the reduction process. When the
candidate attribute reduction set becomes the final
attribute reduction set, its conditional entropy
relativing to decision attribute set is equal to the initial
condition attribute's, that is: H ( D | B ) = H ( D | C ) .
3. The algorithm of attribute reduction
In known research results about rough set theory,
people have discovered that the core of the decision
table can be obtained easily through the discernibility
matrix proposed by Skowron [8]. The decision table's
core is unique, so it can be the beginning of seeking the
smallest attribute reduction. The algorithm in this
paper obtains the core set through the discernibility
matrix from the algebra view: the core attributes are
the attributes whose element combination number is
one. Then the core set is as the initial candidate
reduction set and the frequency of attributes is used as
the heuristic information of attributes selection. The
attribute subset is arranged according to the frequency
from large to small. At first, the attribute which has the
biggest frequency is chosen and joined to the initial
candidate reduction set. If there are attributes of which
the frequencies are equal, then their conditional
entropy from the information theory view are used as
the chosen judgment. If terminal condition of the
algorithm is dissatisfied, then the next attribute is
joined according to sequence, repeating this until the
terminal condition is satisfied. Then a relative
reduction is obtained. According to the front
deduction, the terminal condition of the algorithm can
be realized by conditional entropy from the
information theory view
The algorithm can obtain the core attribute set and
the frequency of attributes. Certain attributes'
frequency are very big and simultaneously these
attributes are relating closely to the core attributes, so
they usually exist along with the core attributes in the
discernibility matrix and the frequency of they
independently exist in the matrix items is very low.
The classification capability of these attributes can be
replaced by the core attributes. Therefore, even if their
frequency is very big, they are redundant in the
reduction. Taking this into consideration, the filtered
discernibility matrix can be obtained. That is, delete all
the elements of which the intersection with the core
attribute set are not null in the discernibility matrix M.
The filtered discernibility matrix reflects the
classification capability of non-core attributes and can
754
reduce the redundant attribute in the reduction set as
far as possible.
The algorithm is described as follows:
Input: Decision table T = (U , C ∪ D ) , C is the
condition attribute set, D is the decision attribute set,
and D={d};
Output: Reduction attribute set B;
Step1: Calculate the conditional entropy of D
relative to C: H ( D | C ) ;
Step2: Create the discernibility matrix M, compute
the core attribute set C0 , and P=C- C0 ;
Step3: Delete the elements of which the intersection
with C0 are not null in M, and the filtered discernibility
matrix M ′ is obtained;
Step4: For all ck ∈ P and ck in M ′ , compute the
frequency function of attribute P (ck ) , and arrange
them according to the frequency from large to small,
sequence c j is obtained, therein, j = 1, 2 m (m is the
number of attributes in M ′ );
Step5: Make B= C0 , if card ( B ) = 0 , then there is
no core, and evaluate an initial value:
H ( D | B) = H ( D | C ) + 1 ; otherwise compute
H ( D | B) ;
Step6: If H ( D | B ) = H ( D | C ) , then the algorithm
is end, and B is a reduction of C relative to D;
Otherwise if H ( D | B ) > H ( D | C ) , turn to Step7;
Step7: Choose cq which has the biggest frequency
from the sequence c j , if there is only one attribute
satisfied, then add cq into the reduction
set: B ∪ cq → B , and delete cq from c j , compute
H(D|B) and turn to Step6; If there are more than one
attribute satisfied, then compute
their H ( D | B ∪ cq ) and add cq which has the smallest
value of conditional entropy into the reduction
set: B ∪ cq → B , and delete cq and all attributes which
have the same frequency with cq from c j , compute
H ( D | B ) and turn to Step6.
4. Test and verify the algorithm
In order to explain the validity of the attribute
reduction algorithm, a group of data of load forecasting
is adopted to test this algorithm. The algorithm is used
to reduce the climatic factors which affect the load to
obtain the core factors. The condition attribute set temperature; The sunlight may be divided into clearly
includes temperature, wind direction, rainfall, air and cloudy, denoted as 0 and 1 respectively; The
pressure, wind speed, sunlight and humidity, denoted decision attribute, namely the meteorological load of d
as t, d, r, p, w, s, h respectively. day, can be divided into high, low, none according to
At first, condition attributes and decision attribute the historical statistics' the biggest meteorological load,
should be quantified. The following method is adopted: the smallest load. Table 1 is the decision table which is
The temperature is divided into ten sections, [- 10, -5) composed of five days' weather information and the
is marked 0, [- 5,0) is marked 1, [35,40] is marked 9; load data. The algorithm samples eight points of daily
The wind speed and the rainfall are similar to the meteorological data.
Table 1． Reduction table of weather factors
Serial number Condition attributes Decision attribute d
t d r p w s h
1 3 1 2 0 4 1 5 1
2 5 2 2 1 2 1 3 2
3 5 2 1 1 3 1 8 0
4 7 2 4 0 0 0 8 1
5 9 2 5 0 3 0 5 1
6 7 1 4 1 2 1 7 2
7 4 1 1 1 4 0 9 1
8 2 2 1 0 1 1 6 0
9 0 1 2 1 2 1 5 2
… … … … … … … … …
40 6 2 5 1 1 0 6 0
The discernibility matrix M obtained from table 1 is the diagonal line. So only its under triangle needs to be
a 40×40 matrix. According to the definition of the considered (such as table 2).
discernibility matrix, it is a symmetrical matrix along
Table 2． The discernibility matrix M
{d,t,p,r} {d,w,t,h,r} {d,t,p} {t} … 0

… … … … … {d,t} 0

{d,t} {d,s} {w,t,p,r} {r} … {w,t} 0 …

{d,p} {t,p,r} {w,p} {p,r} … {r} 0 … 0

{t,p} {p,r} {p,r} {d,r,s} … {d,w} 0 … 0 0

The core attribute set {t, r} is obtained from M. The
reduction set {t, r, w}, namely {temperature, rainfall,
wind speed}, is obtained by using the algorithm in this
paper. If the frequency of attribute is not obtained from
the filtered discernibility matrix but from the
discernibility matrix, then the frequency of attribute d
is the biggest. But according to the definition of the
reduction, d is redundant attribute. So the redundant
attributes can be deleted effectively if the frequency of
attribute is obtained from the filtered discernibility
matrix.
5. Conclusion
This paper analyses the information view and the
algebra view of rough set theory, and obtains an novel
attribute reduction algorithm by combining the two
views. The change rule of the conditional entropy of
condition attribute set relativing to decision attribute
set can be obtained from the information view and is
applied in the attribute reduction. The core attributes
and the frequency of attributes can be obtained quickly
from the discernibility matrix. The algorithm adopts
the frequency of attributes as the heuristic information
of attributes selection. The example analysis indicates
that this algorithm can obtain the smallest attribute
reduction of the decision table and can also reduce the
redundant attributes in the attribute reduction set to
some extent.

755
6. References
[1] Pawlak Z, “Rough Sets-theoretical aspects of reasoning
about data”, Kluwer Academic Pub, 1991, pp. 68-162.
[2] Tay,F., et al., “Fault diagnosis based on rough set
theory”, Eng. Appl.Artif. Intell., 2003, 16(1), pp. 39-43.
[3] Ma Guangzhi Wu Liming, “A Reduction Algorithm of
Attr ibute Based on Rough Set Theory”, Computer
Engineering and Applications, 2006, 18, pp. 171-172,175.
[4] Shi Zhongzhi, Knowledge Discoverity, Beijing, Tsinghua
University publishing house, 2002.
[5] Ren Xiaokang, Wu Shangzhi, Ma Ruyun, “An algorithm
of attribute frequency reduction based on discernibility
matrix”, Journal of Lanzhou University(Natural Sciences),
2007, 43(1), pp. 138-140.
[6] Ivo Duntsch, Gunther Gediga, “Uncertainty mesaures of
rough set prediction”, Artificial Intelligence, 1998, 106, pp.
109-137.
[7] Yu Hong, Ysng Dachun, Wu Zhongfu etc, “Rough Set
based attribute reduction algorithm”, Computer Engineering
and Application, 2001, 17, pp. 22-23,47.
[8] Wang Xiaoyan, “Algorithm for Attribute Reduction
Based on Attribute Significance of Binary Discernible
Matrix”, Journal of Anhui University of Technology, 2007,
24(1), pp. 76-78, 97.

756
 2008 International Conference on Intelligent Computation Technology and Automation
An Efficient Frequent Pattern Mining Algorithm for Data Stream
Liu Hualei Lin Shukuan Qiao Jianzhong Yu Ge Lu Kaifu
College of Information Science and Engineering, Northeastern
University, Shengyang 110004, Liaoning, China
lhlhzau@yahoo.com.cn
Abstract
Mining frequent patterns from transaction
database, time series and data stream is an importa-
nt task now. Last decade, there are mainly two kinds of
algorithms on frequent pattern mining. One is Apriori
based on generating and testing, the other is FP-
growth based on dividing and conquering, which has
been widely used in static data mining. But with the
new requirements of data mining, mining frequent
pattern is not restricted in the static datasets any more.
For data stream, the frequent pattern mining
algorithms must have strong ability of updating and
adjusting to further improve its efficiency. This paper
proposes a novel structure NC-Tree (New Compact
Tree), which can recode and filter original data to
compress dataset. At the same time, a new frequent
pattern mining algorithm is introduced base on it,
which can update and adjust the tree more efficiently.
The experiments show the structure and algorithm
obviously improves mining efficiency and ensures high
accuracy.
1 Introduction
Frequent pattern mining is an important task in data
mining, from which we can acquire various kinds of
useful information, because in the information era,
how to find valuable information quickly and
efficiently is so important. Now frequent pattern
mining has been applied in many others area, such as
association rule mining, invading detection, and
clustering.
In current years, data stream attracts more interest.
This kind of data widely exist in real world, for
example, the log files of web server, stock trading,
sensor network monitoring, weather detection, and all
of this create a lot of data streams. Data stream is
continuous, quick, brevity, losable and sometimes
contains much noisy. So the traditional mining
algorithms based on static dataset can’t satisfy current
requirement.
In recent years, there have been many valuable
research fruits in data stream mining models, systems
and algorithms. In those researches, plenty of memory
978-0-7695-3357-5/08 $25.00 © 2008 IEEE 757
DOI 10.1109/ICICTA.2008.227
space is still needed, and the efficiency is not high
enough, especially new data can’t be updated
efficiently.
For these problems, the paper presents a new
synopsis structure and a new frequent pattern mining
algorithm. Here, we propose constructing hash table to
recode and filter new data as they coming. In the
process of constructing and updating pattern-tree, we
introduce B+ Tree to update from leaf and not to
traversal the whole tree. In mining algorithm, we free
condition pattern tree immediately to ensure enough
idle memory space. The experiments show this paper
does a good job on data updating and memory space
controlling, at the same time it obviously improves
mining efficiency and also ensures mining accuracy.
2 Related work
There are mainly two kinds of algorithms on static
data mining. One is based on the algorithm Apriori[1]
proposed by Aggrawal in 1993, the other is FP-tree[2]
structure and FP-growth[2] algorithm proposed by J. w.
Han in 2000. The first one has simple structure, but
needs to scan dataset many times. The other has
compressing structure, but before constructing FP-tree,
we need to know information of the whole dataset and
arrange all items in decrease order of the support
count.
But for incremental mining, it’s impossible to scan
the datasets more than one time. At the same time, we
can’t know the whole dataset information because the
data are updated continuously. Obviously, the above
two algorithms are not proper for incremental mining.
Lately, there are many excellent theory and
algorithms on data stream frequent pattern mining,
such as FP-streaming[3], Cats tree[4] structure and
FELINE algorithm, CanTree[5] structure and so on.
The idea FP-streaming proposed by C.Giannella
deals datasets with batch. For every new batch, it uses
the algorithm FP-growth and a threshold preMinsup,
which is smaller than the usual minimum support
threshold to get all potential frequent patterns of this
batch. And then these potential frequent patterns are
stored in a tree structure, which is called FP-stream[3].
This tree structure can be updated as new data arrive,
so it can resolve the continuous and losable problem of
data stream. But the result is affected by the threshold
preMinsup.
W.Cheung proposed Cats tree structure and the
mining algorithm FELINE base on it[4]. This structure
basically uses the method constructing FP-tree. All of
the transaction items are arranged by local support
ratio order, but the local support may be changed in
future. Constructing FP-tree with local support can
compress data in certain extent, but the process of
construction and mining in Cats-tree[4] is more
complex than in FP-tree. First, the change of support
order will lead us to swap and merge some nodes in the
path. At the same time, we have to spend more time in
inserting and cutting because of the new data arriving.
Last, for the algorithm FELINE, an item may appear
above another item on one branch, but below it on
another branch. This makes us have to traversal both
upwards and downwards, but in FP-growth, we only
need to traversal in one direction.
Besides this, Koh and Shief proposed the algorithm
AFPIM[6], C.Leung and Q.Khan proposed the
algorithm approCFPS[7], Lee D and Lee W proposed
the CP-tree[8], and Koh.j.L and Shi. S.N proposed
FCP[11]. All of these are good harvest on data stream
mining research.
This paper is organized as follows. Section 1 is
introduction. Section 2 introduces related works.
Section 3 introduces the construction of NC-Tree. In
Section 4, we introduce the mining and updating
algorithms on NC-Tree. Section 5 shows experimental
result and analysis. Finally, conclusions are presented
in Section 6.
3 NC-Tree construction
As the information in data stream is huge and the
memory space is limited, if we can operate plenty of
data in limited memory space, we will improve mining
efficiency very much. On the other hand, there are
some noisy or items with low support existed in data
stream. These items don’t influence the mining result,
so how to cut them down before mining is a significant
task. But when dealing with these data, we need to
insure the useful information will be reserved
3.1 Data recoding and filtering
Because of the hugeness of data, we can’t get all
information together and then begin to work. So some
experts proposed applying slide windows technique in
data stream, such as the structure CET[9] proposed by
C.Yun and W.HaiXun, structure DSCFI-tree[10] and
relevant mining algorithms proposed by L.Xunjun.
758
In this paper, we use slide windows to recode and
filter data. First, we define a slide window (SW) with a
certain capability, which NC-Tree construction is
based on. At the same time, we divide the slide
window into some basic windows (BW)
like BWi (i = 1,2,3...) , and then filter all unfrequent items in
every basic window. In the whole mining process, we
need two parameters, one is deviation permit ε, and the
other is the minimum support threshold S. We define
the items in BWi are unfrequent items, whose support is
lower than ε *| BWi | , the items are potential frequent
items, whose support is higher than ε *| BWi | and lower
than S *| BWi | , and the items are frequent items, whose
support is higher than S *| BWi | .
When every transaction arrives, we count the hash
number for every item in the transaction, such as the
item “abc”, count it’s hash number with the hash
function defined by ourselves. If the hash number we
get is 100, then the item “abc” is put on the 100th
position of the hash table, and the support count of this
position will be added one. In the whole mining
process, we replace “abc” with 100. Like this, the
complex items are replaced with simple number.
After recoding, we cut the unfrequent items in
BWi (i = 1,2,3...) depending on the counts in the hash table
and insert the transactions into NC-Tree. This work is
named filtering. But will this process influence the
mining result? We need to prove the frequent items
won’t be cut down.
Prove 1: For frequent item A, if it’s an unfrequent
item in BWi , f BW ( A) < ε * | BWi | with ( f BW ( A) < ε * | BWi |) . If we
i i
cut the unfrequent item in BWi , the support count of A
in SW is S* | SW | −∑ f BW (i ∈1,2,3,...) with ( f BW ( A) < ε * | BWi |) .
i i
i
So, f '
SW ( A) > S * | SW | −∑ ε * | BWi | > S *| SW | −ε *| SW | = (S − ε )*| SW | .
i
For deviation permit, the process of filtering
unfrequent pattern won’t influence mining result.
3.2 Construct NC-Tree
The construction of NC-Tree is similar to that of
FP-Tree, but FP-Tree is constructed in the support
count order and NC-Tree uses hash number order.
Besides this, we add a new structure in NC-Tree,
which adopts the idea of B+ tree in which all leaf
nodes are linked together in a certain order.
So in the frame of NC-Tree, there is a new
structure named B_List to be added. Every node in
B_List contains two properties. One is time-stamp, the
other is a point pointing to the last node of one path in
NC-Tree, which can note the arriving time of a
transaction. In previous research, the time-stamp is
saved in the node of tree. So if we want to cut a
transaction, we have to traversal the whole tree. But if
using B_List, we only need to traversal from
downward to upward along one path and cut nodes in
the path directly. This structure not only saves
adjusting time, but also saves memory space,
especially for the dataset made up of long transactions,
because it puts all time information of one path into a
node.
From above, the NC-Tree frame contains three
parts, NC_Tree, NC_Table, and NC_B_List. The
structures of NC_Table are similar to Head Table in the
algorithm FP_growth.
The whole structure of NC-Tree frame is shown in
Fig.1.
Head table R
o transactions pointed by the end node of the B_List and
f
c
f Like this, we finished updating process without visiting
c more nodes.
b
c b
a 4.1 The algorithm of mining NC_Tree
p
b a
p Stack_Pop(S,Con_Tree_Root); //pop the stack
3 2 1 B-List
Fig.1 The structure of NC_Tree
3.3 The algorithm of NC-Tree construction
While(Window_Size<slide_window) {
GetBuffer(Tran_Buffer); // put the new data into
basic window
Recode_Buffer(Recode_Buffer,Tran_Buffer);
//recode the basic window
Buffer_Filter(&Recode_Buffer,Hash_Table,
preMinsup); //filter the upfrequent items in basic
window
Tree_Cur=NC_Tree_Insert(Tree_Root,Table_Root,
Recode_Buffer); // insert data into tree
B_Insert(B_List,Tree_Cur);
Windows_Size++; //change current size of window
} of time in the mining process. First, the dataset become
Algorithm 1: NC-Tree construction
Comparing with the construction process of
CanTree, we proposed recoding and filtering data by
constructing hash table. We also construct list B_List
in order to update NC-Tree rapidly. In the whole
process, some time is spent in constructing tree, but
more time is saved during mining, because the
recoding and filtering operate liner data structure,
which is more simply than operate tree structure. So
although we add two processes in the NC-Tree
construction process, the efficiency of mining is
increased. The experiment results in section 5 will
show this point.
759
4 Mine and adjust NC-Tree
In the process of mining NC-Tree, we also need to
build condition pattern tree like FP_growth algorithm.
Unlike FP_growth algorithm, we use stack to finish the
mining, but not recursion.
Why do we use stack instead of recursion? For data
stream mining, the memory space is finite, so we need
to free the condition pattern tree that is no use to
provide enough idle space.
This paper proposes updating the NC_Tree with
B_List directly. Because every node in B_List is
ordered by time-stamp, the transactions arriving early
are on the end of list, we can directly cut the
insert the data in new Basic Window into NC_Tree.
NC_Mining() {
While(!Stack_IsEmpty(S)) { //if stack not empty
If(Is_SinglePath(Con_Tree_Root) // if the tree with
Combination(Con_Tree_Root); // single path
Else {
While(Table_Cur!=NULL) {
Con_Tree_Construct(Con_Tree_New);
Stack_Push(Con_Tree_New);
Table_Cur=Table_Cur->pre;
}
}
Con_Tree_Free(Con_Tree_Root); //free the condition
pattern tree
}
}
Algorithm 2 NC-Tree mining
When constructing frequent pattern tree, we can cut
more useless information with hash table. The
experiment results show this algorithm will save plenty
small because of the filtering. Moreover, the complex
items become integers because of the recoding. So
operating every node becomes easy.
4.2 The algorithm of adjusting NC_Tree
Because data stream is continuous and varying with
time, NC_Tree needs to receive new data and cut old
data in time. Here, we can resolve the data updating
problem by adjusting NC_Tree. In the adusting
process, we first find the nodes in B_List which point
to transactions in the last basic window and delete the
transactions, at the same time, we insert the new data
into NC_Tree.

NC_TreeAdjust() {
While(B_Node->pre!=NULL&&B_Node->time==Time)
Tran_Del(B_Node->Tree_Node); //cut the transaction.
Windows_Size--;
Recode_Buffer(New_Buffer); //recode
Buffer_Filter(New_Buffer);//filter the new basic Window
NC_TreeInsert(New_Buffer); //insert new data
B_Insert(B_List);
Window_Size++;
} deviation permit on different datasets is an interesting
Algorithm 3 NC-Tree Adjusting
From algorithm 3, we can see that, in the adjusting
process of NC_Tree, we don’t need to traversal the
whole tree, but cut and insert directly. So the adjusting
deviation permit will improve mining efficiency very
much.
Fig. 4 shows when the deviation permit is close to
minimum support threshold, mining accuracy starts to
decrease rapidly. So when we try to improve mining
efficiency, we need to select proper deviation permit to
insure accuracy. But whether the selected deviation
permit is proper relates to not only the minimum
support, but also the dataset. So how to select proper
problem deserving to research.
30
25 deviation

Runtime(second)
permit=0
20
process of this structure is simpler.
15 deviation
10 permit=0.01
5 Experimental results 5
deviation
0 permit=0.00
In order to compare efficiency with the CanTree 0.02 0.03 0.05 0.07 0.1 0.2 5
Minimum support threshold
theory, we do some experiments using some real-life
databases from UC Irvine Machine Learning
Depository, which contains the dataset T10I4D100K. Fig. 3 Runtime with different min-sup
This dataset includes 1000 items in all, and every minimum support=5(percent) minimum support=3(percent)
transaction has an average length of 10 items. The
100
CPU is Pentium 4 2.4GHz and Memory is 500 M.
Accuracy(percent)

80
In the experiment, every Basic Window contains 60
10000 transactions and Slide Window is made up of 10 40
20
Basic Windows.
0
For all algorithms mentioned in related work, 1 2 3 4 5 6 7
CanTree is a representative algorithm. Our experiment Deviation permit(percent)

result will compare with the result in Ref. [5]. Fig. 2

shows that our mining process is more excellent than Fig. 4 Accuracy with different deviation permits
CanTree in same condition.
Fig. 5 shows for a slide window, different Basic
runtime(seconds)

90
60
30
0
0.1 0.2 0.3 0.4 0.5
Sizeof database(million
transactions)
Fig. 2 Comparison between NC_Tree and CanTree
Fig. 2 also shows that when data amount is more
than the size of slide window, adding the adjusting
process will improve the mining efficiency very much.
This is because we need to continue enlarging the
window size without adjusting process, but when
adding this process, we only need to deal with data in
the window with fixed size. In a short word, this
process increases adjusting time to save more mining
time. The experiment shows this idea is efficient.
Fig. 3 shows the mining result of T10I4D100K
with different deviation permit. Obviously, proper
NC_Tree with Windows will affect the mining efficiency. If the size
adjust
of Basic Window is too small, many Basic Windows
CanTree will be recoded and filtered, and the data in the Basic
Windows will be inserted into NC-Tree. This will
NC_Tree without decrease the mining efficiency. On the other hand, if
0.6 adjust
the size of Basic Window is too big, even equals to the
Slide Window, the operation of filtering on Basic
Window is useless, which also can not improve mining
efficiency. So for a Slide Window with certain size, we
should select Basic Window with proper size to get the
best mining efficiency.
6 Conclusions
This paper proposes a new idea on data stream
frequent pattern mining. First, we present a method to
recode and filter data, which can compress dataset for
mining and insure the mining accuracy at the same
time. Besides this, we can deal with infinite data on
finite memory space with the slide window.

760
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conquer, especially for the datasets with long
transactions and high density. For this problem,
P.y.Tang proposed the theory of Partial Enumeration
[12][13]
. But this theory is not perfect and can’t be
applied in the real mining problem directly, so how to
mining the datasets like this is an important research
task.
Reference
[1] R.Agrawal, T.Imielinski, and A.Swami, Mining
Association Rules between Sets of Items in Large
Database, Proc. 1993 ACM_SIGMOD Int’1 Conf. On
Management of Data(SIGMOD’93), Washington, DC,
1993, pp.207-216.
[2] J.Han, J.Pei, and Y.Yin. Mining frequent patterns without
candidate generation, Proc.2000 ACM SIGMOD
International Conference on Management of Data,
volume 29(2) of SIGMOD Record, ACM Press, 2000,
pp.1-12.
[3] C.Giannella et al. Mining frequent patterns in data
streams at multiple time granularities. In Data Mining:
Next Generation Challenges and Future Directions,
AAAI/MIT Press, 2004, ch.6
[4] W.Cheung and O.R.Zaiane. Incremental mining of
frequent patterns without candidate generation or
support constraint. In Proc. IDEAS 2003, pp. 111-116.
[5] Leung CK-S, Khan QI, Hoque T(2005) CanTree: a tree
structure for efficient incremental mining of frequent
patterns. In: J.Han, BW.Wah, V.Raghavan. et al(eds)

761
 2008 International Conference on Intelligent Computation Technology and Automation

An Index Selecting Model for Complex System Based on Grey System and
Rough Set Theory and Its Application

Chongming LI1，2 Qiqi JIAO

1. College of Management, Huazhong Normal College of Management, Huazhong Normal
University, Wuhan, China. University, Wuhan, China.
2. Institute of Urban Environment, Chinese E-mail: lichongming@eyou.com
Academy of Sciences, Xiamen, China.

2. Grey Correlation degree and Grey

Abstract Correlation clustering

This paper formulates an index-selecting model xi as many as n ,

If there are factors (or indexes)
for complex system based on gray clustering and each having characteristic data as m in a system,
rough set theory, which can produce several indexes its indexes can be described as
to reflect the situation of the complex system,
accordingly service and finally simplify the complex x0i = {xi (1), xi (2),...,xi (m)} , i = 1,2,..., n （1）
system. At the end of this paper, an empirical In order to eliminate the dimension of different
analysis of the real estate system of Wuhan brings a indexed and make them comparable, normalization is
conclusion that the model involved is scientific and adopted in the original data processing, involving
effective. initialization, means, median, interval, etc. In this
paper, we apply the technique of initialization,
1. Introduction simple and easily understandable, to deal with (1) as
following:
The analysis and evaluation of a complex system xi 0 (1)
xi ( 2 )0 0
xi ( m )
usually relies on some elements (indexes), xi (k ) ={ x 0 (1) , x 0 (1) ,..., x 0 (1) }（2）
i i i
determination of which is both crucial and knotty in
studying the system, for that index in deficiency will i = 1,2,..., n ； k = 1,2,..., m .
impact the result due to it is less-informative and that Calculating the correlation coefficient
index in redundancy can increase the difficulties of ς ij (k )(i ≠ j ) between xi and x j
analysis and calculation for it is over-informative.
According to Synergetic theory, the ordered minminxi(k)−xj(k) +ρmax
maxxi(k)−xj(k)
ς ij (k) =
j k j k
structure of the system is described by a few （3）
parameters with a few variables controlling all the xi(k)−xj (k) +ρmax
maxxi(k)−xj(k)
sub-systems in the development process of a system. j k

Here, a question is put forward, i.e. whether a few
indexes can be found to act as what the mentioned
parameters do in analyzing the evolution of a system.
Actually, it is can be solved by selecting a few
indexes as possible, with redundant indexes being
removed, to show the evolutional situation of the
system. In this paper, based on gray clustering and
rough set theory involved in finding core and
reduction, the author introduces an approach to select
index, which turns out to be effective in the
early-warning practice of the real estate of Wuhan.
min min xi (k ) − x j (k ) is the smallest absolute
j k
subtraction of any two indexes;
max max xi (k ) − x j (k ) is the biggest absolute
j k
subtraction of any two indexes.
It should be added that i, j = 1,2,...,n , k = 1,2,...,m
and ρ is resolution coefficient to raise difference
significance among discernible coefficients. In
general, ρ ∈ (0.1,1) .

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DOI 10.1109/ICICTA.2008.122
 It is found that multiple data and decentralized requested)and if rij > r , xi and x j will be in one
information characterize those correlation group.
coefficients and are not desirable for comparison. Based on the above approach of clustering, a
Therefore it is not unwise for us to average clustering analysis of indexes is conducted in the real
correlation coefficients appearing at different time estate of Wuhan. The completeness of information is
for comparing information. If correlation degree is the initial concern in selecting indexes. Generally,
denoted as γ ij , Indexes should be selected as many as possible to get
m more detailed information about real estate system.
γ ij = 1
m ∑ζ
k =1
ij (k ) （4 Then some indexes are filtered in a certain way and a
few significance-relevant indexes remain for the real
estate system. The indexes which are preliminarily
） γ ij is correlation degree of indexes xi and
selected based on the real estate of Wuhan are listed
xj ;m is the length of the series. in Table 1.
The data in Table 1 is analyzed (when ρ = 0.5 )
After calculating the Correlation degree rij
with a view of degree of grey correlation and its
among xi , a symmetrical matrix relevant to the result is showed in Table 2. Next, the indexes in
relational degree of index is made. Table 2 are clustered and r can be different in
⎡ r11 r12 ... r1 n ⎤ different needs. If r = 0.9 , a indexes clustering
⎢r r22 ... r2 n ⎥⎥ comes to following, {x1 }， {x2 , x13 } ， {x6 , x9 }，
R = ⎢ 21 （ 5 ）
⎢ ... ... ... ... ⎥ {x7 }, {x3 , x4 , x5 , x8 , x10 , x11 , x12 , x14 , x15 , x16 }.
⎢ ⎥ To reflect each aspect of the real estate system, we
⎣ r1 n r2 n ... rnn ⎦
need to ensure that there is at least one selected from
Aadditionally, rij = r ji , i, j = 1,2,..., n . In each type of index, included in the target index
practice, a cutoff value r is adopted ( r > 0.5 is system.

Table 1. Indexes and data of real estate of Wuhan

Indexes Direct indexes of real estate
Devoted Indexes Produce Indexes Trade Indexes General Indexes
1 2 3 5 46 7 8 9
Housing Trade House
Residence Quantity of construction Trade Total GDP of real
Year Investment completed value price
investment Employment area area estate
building area index
1988 33511 60436 6250 703 591.1 42 14321 103.1 1.32
1989 34400 74521 6330 693 557.2 24 96541 113.4 1.48
1990 33452 84525 6793 641 534 27 10315 99.4 2.12
1991 34190 92853 7256 624 507.1 39 16025 98.9 2.85
1992 55821 112277 7576 671 488.5 82 39940 174.3 3.47
1993 246322 245672 12827 924 549.2 93 63601 132.8 5.17
1994 570618 470834 10652 1310 692.6 179 113956 99.9 8.96
1995 916194 630835 11173 1560 844.6 285 158145 109.9 10.24
1996 972609 678365 12743 1597 1006.2 336 691315 208.6 12.7
1997 1065729 693015 9981 1585 1180.3 286 255678 98.3 14.52
1998 1067997 814564 9894 1655 1260.5 676 675331 98.1 24.14
1999 967130 814564 16049 1741.3 1294.5 735 537350 104.4 26.32
2000 1013105 975576 11211 2086.5 1274.3 774 622500 110.8 30.28
2001 1153400 861100 12421 2836.9 1255.78 892 741400 100.1 37.08

763
 Continued Table1.

Indexes Correlative indexes of real estate

10 11 12 13 14 15 16
Construction
Per capita Consume Per capita
Year Total GDP Capital cost Land sale area industry
income price index living space
output value
1988 156.44 1261.08 120.5 141755 123.45 176652 5.77
1989 173.48 1407.12 113.4 117340 114.5 195339 5.9
1990 176.83 1555.8 103 142665 89.42 207581 6.1
1991 207.95 1771.68 107.3 177894 98.8 237301 6.2
1992 255.42 2116.9 111.4 324181 130.8 303877 6.3
1993 357.23 2872.9 119.8 471368 293.05 502134 6.5
1994 485.76 3769.8 126.3 751348 275.72 795827 6.9
1995 606.91 4453.9 118.4 1114959 142.64 1071878 7.2
1996 782.13 4915.86 112.2 1353224 161.6 1113665 7.5
1997 912.33 5573.04 103.1 1220022 282.17 1088014 7.8
1998 1015.89 5912.52 97.4 1297707 190 1165540 8.1
1999 1085.68 6198.24 96.1 1322586 196.54 1352129 8.6
2000 1206.84 6953.94 100.6 1411232 212.6 1553941 8.8
2001 1347.8 7305.05 99.5 1653600 223.1 1098300 9.65
* Source: Statistical Yearbook of Wuhan \ Annual Report of Real Estate Trading of Wuhan
Table 2. The degree of correlation of the indexes
1 2 3 4 5 6 7 8
1 1.0000 0.7028 0.6314 0.6316 0.6263 0.7014 0.7084 0.6278
2 0.7199 1.0000 0.7860 0.7893 0.7785 0.8897 0.7306 0.7754
3 0.6914 0.8237 1.0000 0.9806 0.9856 0.8367 0.6864 0.9787
4 0.6860 0.8220 0.9798 1.0000 0.9824 0.8374 0.6808 0.9653
5 0.6871 0.8175 0.9856 0.9830 1.0000 0.8324 0.6812 0.9776
6 0.7297 0.8960 0.8122 0.8178 0.8074 1.0000 0.7143 0.8029
7 0.7746 0.7671 0.6897 0.6905 0.6851 0.7476 1.0000 0.6848
8 0.6904 0.8168 0.9791 0.9673 0.9781 0.8305 0.6843 1.0000
9 0.7566 0.8934 0.7625 0.7640 0.7548 0.9047 0.7409 0.7534
10 0.6932 0.8630 0.9086 0.9161 0.9012 0.8749 0.6886 0.8931
11 0.6936 0.8492 0.9392 0.9483 0.9324 0.8606 0.6901 0.9230
12 0.6866 0.8109 0.9733 0.9639 0.9784 0.8259 0.6813 0.9904
13 0.7022 0.9118 0.8439 0.8501 0.8377 0.8903 0.7082 0.8308
14 0.6904 0.8206 0.9857 0.9752 0.9837 0.8370 0.6873 0.9770
15 0.7067 0.8804 0.8987 0.9064 0.8921 0.8908 0.7061 0.8847
16 0.6879 0.8161 0.9860 0.9730 0.9869 0.8289 0.6819 0.9870

764
 Continued Table 2.
9 10 11 12 13 14 15 16
1 0.7354 0.6541 0.6453 0.6223 0.6747 0.6295 0.6600 0.6266
2 0.8910 0.8472 0.8250 0.7677 0.9067 0.7817 0.8607 0.7762
3 0.7970 0.9188 0.9434 0.9727 0.8677 0.9856 0.9060 0.9859
4 0.7934 0.9230 0.9501 0.9617 0.8692 0.9741 0.9101 0.9717
5 0.7905 0.9121 0.9369 0.9778 0.8623 0.9836 0.8997 0.9868
6 0.9080 0.8683 0.8472 0.7971 0.8906 0.8124 0.8808 0.8024
7 0.7771 0.7122 0.7049 0.6813 0.7397 0.6901 0.7216 0.6844
8 0.7914 0.9063 0.9295 0.9904 0.8583 0.9773 0.8945 0.9871
9 1.0000 0.8109 0.7951 0.7461 0.8668 0.7589 0.8277 0.7533
10 0.8247 1.0000 0.9634 0.8848 0.9244 0.9030 0.9685 0.8958
11 0.8169 0.9654 1.0000 0.9143 0.9008 0.9333 0.9511 0.9261
12 0.7857 0.8992 0.9217 1.0000 0.8528 0.9776 0.8874 0.9866
13 0.8701 0.9192 0.8889 0.8240 1.0000 0.8405 0.9354 0.8329
14 0.7944 0.9140 0.9381 0.9772 0.8651 1.0000 0.9019 0.9872
15 0.8455 0.9700 0.9507 0.8766 0.9423 0.8941 1.0000 0.8871
16 0.7899 0.9078 0.9315 0.9864 0.8588 0.9872 0.8957 1.0000
(1) If u i ≠ u j , u i and u j will be discernible
3. A model to Simplifying Index System
within X .
Based on Rough Set Theory
(2) If u i in a pair is discernible in X , S will be
In the real estate system S of Wuhan, the index discernible within X and can be noted as ind ( X ) .
system is X = {x1 , x 2 ,..., x n } , each index has data as
(3) If any index xi is removed from X and S is
many as m (Table 1). After changing the form Table 1
according to Table 3, an information matrix of the still discernible, i.e. ind ( X − xi ) = ind ( X ) , xi
whole real estate system can be described as a matrix will be redundant in X .
X ( m × n ). (4) If any index in X is not redundant, X will
be independent (which indicates that any index in the
Table 3. The General Description of a System
system is indispensable).
Indexes
Data Time
x1 x2 … xn (5)For any subset A ⊆ X of X , if
ind ( A) = ind ( X ) with A being independent, A
u1 x11 x 21 … x n1
will be the smallest subset of X , i.e. min( X )(the
u2 x12 x 22 … xn 2 smallest subset of X may be beyond one).
(6)The assimilation X c of all the smallest subsets
… … … … … in X is named the core of X , i.e.
k
X c = ∩ min i ( X ) with k being the amount of
um x1m x2m … x nm
i =1
all the smallest subsets.
u1 ⎛ x11 x21 ... xn1 ⎞
⎜ ⎟ Indexes of X c are necessary for the description of
u2 ⎜ x12 x22 ... xn2 ⎟ a system. Furthermore, X c is used to be got in basis of
X= ⎜
... ... ... ... ... ⎟ （6） discernable matrix, whose establishment, namely D , is
⎜ ⎟
um ⎜⎝ x1m x2m ... xnm ⎟⎠
the key. For the index system X of the system S, its
discernable matrix D is m -order matrix originating
According to table 3, some definitions in rough set from subsets of X .
theory are given,

765
 ⎛ d11 d 12 ... d1m ⎞ Wuhan.
⎜ ⎟
⎜d d 22 ... d 2 m ⎟ 4. Conclusions
D = ⎜ 21 ;
... ... ... ... ⎟
⎜ ⎟
⎜d ... d mm ⎟⎠
The model of Index Selecting can be used in
⎝ m1 d m2 researching the stability of the society and the structure
of economic system, with the development of the
⎛0 xij = xik
d ij = ⎜⎜ ; j, k = 1,2,3,..., m . (7) model, many problems of economic also can be studied
⎝ xi xij ≠ xik and solved in this method.
It is made clear in the above definition that D is an
m-order matrix whose main diagonal is 0. References
According to the above method, with the help of
MATLAB, core finding are implemented in the data [1] Paw Lak Z. Rough sets theory and its applications to
data analysis. Cybernetics and systems, 1998,29:
processing of Table 1, and the result is 661-668.
Xc = {x1, x2 , x3 , x4 , x6 , x7 , x10, x11, x13, x14, x16}. [2] Haken. Synergetics—the Mystery that Nature
Constitutes [M]. Ling Fuhua, trans. Shanghai
If there is a relationship between translation publishing house, 2001.
indexes xi and x j in X c , i.e. xi = kx j （ k ≠ 0 ）or a [3] Deng Julong. The basic method and theory of gray
system. The Press of Huazhong University of Science
correlation coefficient between them, and Technology, 1987.
i.e. r ( xi , x j ) > α ( α is the threshold which is used in [4] Hu Xuefeng. On the establishment and improvement of
the statistical indexes system of Real estate, The
evaluating systems.),we can remove one index or Journal of ShanXi Einance and Economics University,
2002.2,86-89.
replace it with another, which can further simplify X c .
[5] Tang Jianguo,Tan Shuming. Research into finding core
In terms of the mentioned indexes grey clustering algorithm about decision system in rough set theory,
constraints, the core of real estate system of Wuhan Control and Decision， 2003（4 ）： 449-452. （ in
Chinese）
is I = {x1 , x2 , x3 , x4 , x6 , x7 , x10 , x13 , x14 } . [6] Wang Xiaobo. The study of economy cycle and early
The application of these indexes in analyzing the warning, The Press of Metallurgy Industry, 1993.
operation trends of the real estate works to that whether [7] Ye Yanbing, Ding Lieyun. Design and study of real
estate early warning indexes system. Optimization of
these indexes can correctly reflect the operation trends Capital Construction,2001.3, 1-3.
of the real estate system of Wuhan or not. Among
many approaches, we select the diffusion index (Wang
Xiaobo, 1993) to analyze the real estate system. The
result is presented as follows:

Figure 1. Diffusion Index of real estate system of

Wuhan
It is showed in figure 1 that the real estate of Wuhan
was trending upward from 1991, and reached its peak
in 1993, then it began to be in decline and finally down
to its trough in 1996, and then it was fluctuating within
a small amplitude, and gradually tended to stabilization
after 1999 with a slight trend of rising. The result
agrees with the practical operation of the real estate of

766
 2008 International Conference on Intelligent Computation Technology and Automation
Constructing Galios Lattice in Hybrid Datasets Based on Rough Set Theory
Wu Qiang1,2, Liu Zongtian2, Shi Zhenguo2
1
Department of Computer Science and Technology, Shaoxing University, Shaoxing
312000,China.
2
School of Computer Engineering and Science，Shanghai University, Shanghai 200072,China.
cswq@zscas.edu.cn
Abstract
Existing constructing concept lattice methods
cannot process continuous and hybrid attributes in
forml cocnept analysis. This paper extended the
existing definition of discretization based on cut-
splitting and gave the definition of frequency
weightiness function about cut-splitting firstly. Then, a
new approach was proposed to constructing Galois
lattice after discretizing continuous and hybrid
attributes. The introduced approach emphasized on the
weightiness of cut-splitting in the process of
discretization of continuous attributes, so the approach
helped to simplify the classing design and to remain
data information in original data table. In order to
explore the application of the proposed method, we
perform the experiments on datasets from UCI
repository. The resultes verifie that the introduced
approach is valid and feasible.
1. Introduction
In the real world, the datasets usually include both
of the (unordered) nominal (or discrete) attributes and
the numeric (or continuous) attributes.We name this
kind of datasets as hybrid datasets. Most algorithms for
constructing Galois lattice are only suitable for binary
data types. When the undesired data types are
encountered in the dataset, we must transform them
into appropriate types so that the the constructing
algorithm can be proceeded.
Because rough set theory can also only deal with
discrete attributes, a lot of continuous attributes
existing in engineering applications can be processed
only after the attributes are discretized. Thus,
discretization becomes a very important issue in rough
set theory[1][2][3][4]. Although many discretization
methods including hard discretization [1][2][5] and
soft discretization [3][4]have been presented in rough
set theory, the methods are only used to decision table
978-0-7695-3357-5/08 $25.00 © 2008 IEEE
DOI 10.1109/ICICTA.2008.133
to discretize point attribute values (fixed values).
However, in formal cocnept analysis,few research in
continuous and hybrid attributes to construct concept
lattice. In this paper, a new discretization approach is
proposed to process continuous and hybrid attributes
constructing Galois lattice.
2. Processing of data discretization
2.1.Candidate cutting set
The main point of the existing discretization
definition [1] is that condition attribute space is split
using selected cuts. The existing discretization
methods [1][2][3][4][5] always try to find the best
cutting set. Without the decision attributes, it is
difficult to find the best cutting set. So it is necessary
to generalize the existing definition of discretization.
Definition 1 An information system
S=(G,M,V,f),where G is object set,M is attribute set and
V= ∪ Va ， Va is a domain of attributes.f:G×M→V,
a∈M
∀a∈M,x∈G,f(x,a)∈Va If a∈M is a continous attribute
and its value domain is vai∈V a，i=1,…,r+1,then its
cutting set Ca ={ ca1,…,car } , cai=(vai+ vai+1)/2 or
cai=vai. vai is ordered by its value. All such cuts form a
original interval [va1,( va1 +va2)/2],(( va1 +va2)/2, ( va2
+va3)/2),…,(( var +var+1)/2, var+1] and the candidate
cutting set C ={ Cθ |θ∈M }.
That is, as candidate cuts selecting midpoint of
adjacent values if the attributes are continous or
selecting former n-1 values if the attributes are
discretization.
2.2. Optimizing the candidate cutting set
According to rough set theory, discernibility
function is recognizable by the matrix structure. After
using absorptive law to simplify discernibility function
767
as a standard-type, all the attributes included all Definition 4 Let χ,ψ be two elements of
implication determine all reduction set of information discernibility matrix. χ is called a repetition of ψ if the
system. As cut-splitting is distinction limits of identify attibutes of χ contain one in ψ.
the same attributes objects,is the basis for the Proposition 1.It can’t change the reduction of the
resolution targets, so we can also define discernibility attributes that the repetitions are replaced by null sets
matrix of the cutting set on the information system. in the discernibility matrix.
Definition 2 An information system S=(G,M,V,f), Proof: The computing between elements of
a∈M is a continous attribute and its value domain is discernibility matrix is combine. By absorptivity, χ
vai∈V a ， i=1,…,r+1. The S’ cut-splitting cuts no ice if χ is a repetition of ψ. It will not work on
discernibility matrix is a n×n matrix and its elements the result of discernibility function that χ is replaced by
m(x,y)= { cθi∈C |f(x,θ)≠ f(x,θ),x,y∈G},where n is the a null set. Thus, we complete the proof.
totale of objects. The cut-splitting discernibility matrix reflects their
By the definition,one can know that the cut-splitting differences on attribute interval to objects. The value of
discernibility matrix is a symmetry matrix. frequency weightiness function denotes the
Table 1. Data of iris.data database consistency of objects attribute interval. Thus, one can
obtain the completed cut-splitting set as follow. Order
a b c d
the p(cθi) from big to small. Delete repetition elements
x1 5.3 3.7 1.5 0.2 form the matrix until it is null. The cut-splittings
x2 .0 3.3 1.4 0.2 referred to the operation constitute the completed cut-
x3 7.0 3.2 4.7 1.4 splitting set.
x4 6.4 3.2 4.5 1.5 For example, computing the frequency weightiness
x5 6.9 3.1 4.9 1.5 function for example1, we get this result.
x6 5.5 2.3 4.0 1.3 p(a1)=5(1/3+1/8+1/14+1/10+1/12)=2.9825,p(a2)=8(1/1
1+1/9+1/13+2/8+1/14+1/10+1/12)=8.088,p(a3)=10.78
Example 1.The table 1 is a part of iris.data of UCI. 2, p(a4)=8.586, p(a5)=2.192, p(b1)=3.335, p(b2)=6.58,
Table 2 is its cut-splitting discernibility matrix. p(b3)=6.284, p(b4)=3.66, p(c1)=5.004, p(c2)=6.248,
The cut-splitting set of attribute a is p(c3)=7.839, p(c4)=5.743, p(c5)=3.865, p(d1)=6.248,
p(d2)=6.584,p(d3)=11.475. Order it:
{a1,a2,a3,a4,a5}={5.15,5.4,5.95,6.65,6.95}.b:
p(d3)>p(a3)>p(a4)>p(a2)>p(c3)>p(d2)>p(b2)>p(c2)=6.24
{b1,b2,b3,b4}={2.7,3.15,3.25,3.5},c:{ 8,p(b3),p(d1)>p(c4)>p(c1)>p(c5)>p(b4)>p(b1)>p(a1)>p(a
c1,c2,c3,c4,c5}={1.45,2.75,4.25,4.6,4.8} and 5)p(c2)=6.248,p(b3),p(d1)>p(c4)>p(c1)>p(c5)>p(b4)>p(b1
d: { d1,d2,d3}={0.85,1.35,1.45}. )>p(a1)> p(a5). Finally, d3∧a3∧a4∧ a2∧(a1∨b4∨c1) is the
It is very difficulty to compute the cut-splitting value of the discernibility function. p(c1) is the
discernibility function by the matrix simply. Thus it is maximum of extractions. The cut-splittings referred to
necessary to design a faster computing algorithm. the operation are d3,a3,a4,a2,c3,d2,b2,c2,b3,d1,c4 and c1.
According to the paper[6], their weightiness are The completed cut-splitting set is
different to attributes in the discernibility matrix:(1) {a2,a3,a4,b2,b3,c1,c2,c3,c4,d1,d2,d3}. The attribute cut-
The more it appears, the more important it is. (2) The splitting interval:
more shorter item is in the matrix,the more important [5.0,5.4],(5.4,5.95],(5.95,6.65],(6.65,7.0];
attribute of the item is. By this means, cut-splitting set [2.3,3.15],(3.15,3.25],(3.25,3.7];
can be determined timesavingly. [1.4,1.45],(1.45,2.75],(2.75,4.25],(4.25,4.6], (4.6,4.9];
Definition 3 In information system S=(G,M,V,f), the [0.2,0.85],(0.85,1.35],(1.35,1.45],(1.45,1.5].
times that the cut-splitting cθi∈C appears in the matrix Table 2. Data of iris.data database after
is countercθi. Define a frequency weightiness function discretization
about cut-splitting as a b c d
n
1 3 2 1
∑ (k
x1
p(cθi)= × counterciθ ) / l ,where kl is the total
l x2 1 3 1 1
l =2
of cut-splitting cθi∈C appears in the mtrix. x3 4 2 5 3
The item that contains only one cut-splitting must x4 3 2 4 4
be in the completed cut-splitting set. It is not necessary x5 4 1 5 4
for this attribute to compute its frequency weightiness. x6 2 1 3 2
It joins the completed cut-splitting set directly.

768
2.3. Discretization Algorithm
Algorithm
Input: The data table of information system S;
Output: Optimization cut-splitting set;
1. Built a candidate cutting set;
2. Compute cut-splitting discernibility
matrix, m(x,y)= { cθi∈C |f(x,θ)≠
f(x,θ),x,y∈G};
3. Compute
n {(m, w) | m( g ) = m(h) = w, m ∈ M , ∀g , h ∈ A LL }
p(cθi)= ∑ (k
l =2
l × counterciθ ) / l ；
4. Delete repetition of cut-splitting.
Complexity
The first step is computing the discernibility matrix.
Its time complexity is O(k| M|×|G|2 ) , k =|V|. Then,
Computing all p(cθi) consume O(k| M|×|G|2 ). The
kernel step is seeking complete cut-splitting set. The
time complexity is O((k| M|×|G|2 )/2). At the worst, the
cycle-criterion is all over attribute set. The complexity
is O(k| M|×|G|2 ).
Suppose average of attribute numbers be m, the time
complexity is |G|2|M|2m. It’s of advantage to more
attribute value and complex value comparing with
those methods[7].
4. Galios lattice on the discretization
system
After discretization, the system becomes a data set
that all attribute values are signless integrals positive
integer. Extending from standard concept lattice we
can define and construct a Galois lattice on this
discretization data set.
In classical formal concept analysis, there is a map
between A ⊆ G and B ⊆ M:
A′ := {m ∈ M ∀g ∈ A ⋅ g Im} ,
B ′ = {g ∈ G ∀m ∈ B ⋅ g Im} . It only denotes the
set of attributes corresponding to the objects in A and
the set of objects which have all attributes in B. How to
“common to corresponding to” and “have” has no
concrete demands. In discretization system, an object
set has type values of some attribute and some attribute
type corresponding to an object set.
After discretization, an information sysytem can be
denoted by a triple K=(G,M,V). V = ∪ Vmi is a
mi ∈M
+
domain of attributes. Vm ∈ Z 。m(x) is a value of
attribute that object x has, m(x)∈ Vm . It satisfies
769
( x, m,Vm ), ( x, m,Vm′ ) ∈ G × M × V ,if Vm = Vm′ .
K=(G,M,V) is called a discretization formal context.
In a discretization formal context, A ⊆ G , let
AL = {(m, w) | m( g ) = m(h) = w, m ∈ M , ∀g , h ∈ A}
and A = {g ∈ G | m( g ) = w, ∀( m, w) ∈ A } .
LL L
Then
A LLL = ( A LL ) L =
and
ALLLL = ( ALLL ) L = {g ∈ G | m( g ) = w, ∀(m, w) ∈ ALLL }
hold.
It ia obviously that we draw a conclusion base
on ALL is a subset of G .
Definition 5 A formal concept of the discretization
formal context K=(G,M,V) is a pair (ALL,AL) with A⊆G,
ALLL=AL. We call ALL the extent and AL the intent of the
concept (ALL,AL). ℜ denotes the set of all concepts of
the context K=(G,M,V). If (A1,B1),(A2,B2)∈ℜ are
concepts of the context, (A1,B1) is called a subconcept
of (A2,B2),provided that A1⊆A2 (which is equivalent B2
⊆ B1). In this case, (A2,B2) is superconcept of (A1,B1).
One can prove that (ℜ,≤) is a partial order complete
lattice.
Example 2. Galois lattice of discretization of the
iris.data is given in figure 1. Thereinto, a1 denotes
a(x1)=1, (x1x2, a1b3d1) to ({x1,x2},{ a1, b3, d1}),etc.
(x1x2x3x4x5x6, ∅)
(x1x2,a1b3d1) (x3x4,b2) (x4x5,d4) (x3x5, a4c5) (x5x6, b1)
(x1,a1b3c2d1) (x2, a1b3c1d1) (x3, a4b2c5d3) (x4, a3b2c4d4) (x5, a4b1c5d4) (x6, a2b1c3d2)
(∅,a1a2a3a4b1b2b3c1c2c3c4c5d1d2d3d4)
Figure 1.Galois lattice of discretization informtion
system
It should be thoughtfully noted that this extension is
thinning of gIm It is concerned about not only
wheather m has g but what values g has of m.
An association rule is a rule as Y⇒Z, where
Y=mi1∧mi2∧…∧mit，Z=mj1∧ mj2∧…∧mjs，mik∈M and
m jh∈M, Y∩Z=∅.
Definition 5 Support of an association rule is
given by: support(Y⇒Z)=P(Y∪Z). P(Y∪Z) is an
probability that denotes a ratio of the cases possess Y
and Z to all one.
Definition 6 Confidence of an association rule:
confidence(Y⇒Z)=P(Z|Y). P(Z|Y) denotes a ratio of the
cases possess Y and Z to Z.
 Supposing formal concepts C1=(A1,B1) information. Having a strategy for using the stored data
,C2=(A2,B2) in ℜ and C1≤C2, the support of association to extract hidden information would typically be
rule {B2⇒B1\B2} is support(B2⇒B1\B2)=|A2|/|G|. The beneficial for a company or organization.One typical
confidence is confidence(B2⇒B1\B2)=|A1|/|A2|. example is a medical system where a diagnosis is
For a given threshold minsup, one can compute suggested based on previous similar cases. In this
attributes that supports are great than minsup. A Galois section we present important association rules
lattice is constructed by the attributes. Then the discovered by our algorithm. Our algorithm
association rules are discovered from the lattice in implementation was done in the C# language.
order to reduce complexity. Our experiments were based on data set Cleveland
of Heart Disease Databases obtained UCI. The data set
5．Experiments
consisted of 303 patient records having 77 attributes.
Modern computer technology enables the storing
We selected the 11 most important medical attributes
of huge amounts of data at a moderate cost. The
for mining listed in table3.
collected data could contain potentially valuable
Table 3. The attribues and their meanings
No. attribute meanings
3# age age in years
4# sex sex (1 = male; 0 = female)
10# trestbps resting blood pressure (in mm Hg on admission to the hospital)
12# chol serum cholestoral in mg/dl
16# fbs (fasting blood sugar > 120 mg/dl) (1 = true; 0 = false)
resting electrocardiographic results
0: normal
19# restecg 1: having ST-T wave abnormality (T wave inversions and/or ST elevation or
depression of > 0.05 mV)
2: showing probable or definite left ventricular hypertrophy by Estes' criteria
32# thalach maximum heart rate achieved
38# extang exercise induced angina (1 = yes; 0 = no)
40# oldpeak ST depression induced by exercise relative to rest
the slope of the peak exercise ST segment
1: upsloping
41# slope
2: flat
3: downsloping
diagnosis of heart disease (angiographic disease status)
58# num 0: < 50% diameter narrowing
1: > 50% diameter narrowing
On the assumption that minsups of support and who exercises induced angina, the resting blood
confidence are 20%,60%, we have tables as follows. pressure, fasting blood sugar and depression induced
Only association rules with a conclusion ‘num =0’ or by exercise relative to rest are normal. The possibility
‘num =1’ are listed on account of the relation between is 85%.
possible causes and heart disease. One is a heart
disease patient if his num =0. Otherwise, num =1.
In this case some medical fields are mined for
association rules. All these rules have the potential to
improve the expert system. In table 4, we can see there
is more incidence of coronary disease in the patients
whose oldpeak>=1.55. The fourth rule has higher
support, compared to the other rules. It states that one
is older than 55, his ST is abnormality and peak value
of ST is smooth, has a higher chance of having
coronary disease; note that there is the chance that
some of these patients are around 74%.
Table 5 shows the impact of the factors on
coronary disease. For instance, the third rule denotes a
percentage of 19 patients have no coronary disease,

770
 Table 4. Association rules that conclusion is ‘num =0’
ID association rule support confidence
1 If age>54.5and sex=male then num=0 0.3 0.61
2 If age>54.5 and sex=male and oldpeak>1.55 then num=0 0.23 0.73
3 If sex=male and oldpeak>1.55 and slope=2 then num=0 0.22 0.82
4 If age>54.5 and oldpeak>1.55 and slope=2 then num=0 0.22 0.74
5 If chol=0 and oldpeak>1.55 then num=0 0.21 0.63
6 If restecg=1or restecg=2 and oldpeak>1.55 then num=0 0.20 0.66
7 If age>54.5 and extang=no then num=0 0.18 0.8
8 If extang=no and oldpeak>=1.55 then num=0 0.21 0.86

Table 5. Association rules that conclusion is ‘num =1’

ID association rule support confidence
If trestbps≤143mmHg and extang=yes and fbs=1 and thalach=1 then
1 0.24 0.73
num=1
2 If age<54.5 and extang=yes and fbs=1 then num=1 0.25 0.62
If trestbps≤143mmHg and extang=yes and fbs=1 and oldpeak≤1.55
3 0.19 0.85
then num=1
4 If extang=yes and fbs=1 and restecg=0 then num=1 0.25 0.78
5 If extang=yes and restecg=0 and slope=1 then num=1 0.21 0.87

6. Conclusion ． Journal of Nanjing University of Aeronautics ＆

We have considered the Galois lattcie problem and
the approach to continuous and hybrid attributes based
on the rough set theory. The means provided by this
approach have been shown. They allow solving the
problem of processing of real-world data. The
discretization algorithm directed towards the
decreasing of time and memory consumption . It is
based on the discernibility matrix that objects
discerned by a cut. After the discretization, the Gaolis
lattice is constructed on hybrid datasets.
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2005.17(3)；437- 441

771
 2008 International Conference on Intelligent Computation Technology and Automation
Financial Data Mining in Chinese Public Companies: Corporate Performance
and Corporate Governance in Business Groups
Qi Yue1, Hai-lin Lan1, Luan Jiang2
1
School of Business Administration, South China University of Technology, Guangzhou, 510640
2
School of Economy and Management, South China Normal University, Guangzhou, 510006
yueqi823@yahoo.com.cn
Abstract
Data mining becomes a vital information
technology tool in today’s competitive business world.
It helps companies discover previously unknown, valid,
and actionable information from various and large
databases for crucial business decisions. This paper
shows an application of data mining method in
corporate governance. With a structural equation
model analysis, this paper examines an important issue
concerned to the relation between corporate
governance and firm performance. Based on a sample
of 520 public companies, it is found that ownership
structure generally has significant effect on firm
performance, with different indicators having different
influence on performance, while there is no
relationship between structure of board of directors
and firm performance. The founding shows big
differences between subsidiaries and headquarters in
Chinese business groups in the perspective of
corporate governance.
1. Introduction
Since 1990s, with the rapid development of
information technology(IT), including internet,
wireless communications, and data mining techniques,
human society has stepped into a data and internet-
based knowledge management era. Data mining
becomes an vital information technology tool in
today’s competitive business world. It helps companies
discover previously unknown, valid, and actionable
information from various and large databases for
crucial business decisions. Mining useful information
or discovering knowledge from large databases has
been a key research topic for years[1]. Data mining
(DM) discovers the hidden patterns of data from a
large-scale data warehouse by precise mathematical
means. After further analyses and confirmation, these
data patterns may be efficiently and effectively
978-0-7695-3357-5/08 $25.00 © 2008 IEEE 772
DOI 10.1109/ICICTA.2008.343
transformed into intelligent knowledge as to support
various decision makings.
In corporate governance, there are numorous data,
especially financial data, to be delt with for decision-
making. So the methods of data mining can be of great
importance in most companies, especially public
companies. The relationship among ownership
structure, structure of the board of directors and firm
performance is a key problem in corporate governance
issues. This paper is to study the relation using data
mining techniques.
2. Data mining and corporate governance
2.1 Data mining
Data mining can be viewed from three different
angles: process, methodology and mathematical
methods. In the perspective of the process, data mining
consists of four stages: selecting, transforming, mining,
and interpreting. While selecting and interpreting are
mainly business-related problems, transforming and
mining involve mathematical modeling and computer
algorithms[2]. In the perspective of methodology, the
functions of data mining can be classified as
association, classification, clustering, predictions,
sequential patterns, and similar time sequences,etc.
Each function can be applied to different nature of the
problems[3]. In the perspective of mathematical
methods, the functions of DM can be implemented
through statistics, which includes regression,
discremenant analysis, and hypothesis testing, decision
tree, neural networks, rough set, fuzzy logic,
mathematical programming, etc[4].
2.2 Business groups and corporate governance
A large number of empirical studies have been done
on the influencing factors of business groups’
performance. Khanna&Rivkin(2001) did a
transnational analysis on the profits-gaining of
business groups’ subsidiaries in 14 emerging
markets[5]. The foundings showed that there was a
positive ralationship between collectivizing effect and
corporate performance and in most countries, the
collectivizing effect could contribute to corporate
profits more than industrial effect. Keister(1998) found
that, late in 1980s, China’s business groups with some
specific structural characters could significantly
enhance financial performance and productivity of the
subsidiaries, and more centralized business groups
showed higher performances[6]. In another research by
Perotti&Gelfer(2001), it could be seen that compared
to non-collectivized companies, business groups’
subsidiaries got higher values of Tobin’Q in
transitional period of Russia[7].
Some scolars believed that a business group’s
performance is contingent on its group size and extend
of its diversification. Chang&Choi(1998) found that
the subsidiaries of the largest four Chaebols got better
performance than others in Corea, partly because of the
size effect of their groups[8]. Khanna&Palepu(2000)
argued that the benefits of internal coordination system
of a business group could not overceed the relevant
costs until its diversification reached to a certain
extend. In their researches on business groups in Chile
and India, they found a U-curved relation between
corporate performance and diversification. After the
extend of diversification came to a critical point,
diversification could improve corporate performance.
And the founding also showed that subsidiaries of most
business groups got high Tobin’Q value[9-10]. There are
foundings showing that collectivizing to be a business
group could lower market risks in emerging
markets[11].
It is generally concentrated on the relationship
between insider ownership and corporate performance
in the perspective of corporate governance in foreign
researches. Jensen&Meckling(1976) categorized
shareholders into insiders and outsiders and suggested
that corporate value could increase with insider
ownership increasing[12]. Some studies proved that
managerial share had different effect of corporate
performance in different intervals. That meant in an
interval with low shareholding percentage, there was a
positive relationship between managerial ownership
and corporate performance while negative in an
interval with medium shareholding percentage and
positive in an interval with high shareholding
percentage. The critical points of these intervals were
different in different studies, say, 5% and 25% in
research by Morck et al.(1988) [13] but 7% and 38% in
Cho(1998)’s founding[14].
In addition, other scolars argued that there was an
inversed U-curved relation between managerial
773
ownership and corporate performance.
McConnell&Servaes(1990) found that corporate
performance could first increase and then decline with
managerial ownership increasing, with a critical point
of 50% in the sample of 1976 and 37.6% in the sample
of 1986[15]. Han&Suk(1998) got a similar result basing
a data of 301 companies from 1988 to 1992 and
suggested that there was an effect of convergence of
interest which could do good to increase shareholders’
benefits caused by managerial ownership’s increasing
when the percentage of managerial ownership stayed in
a low level; and there was an effect of entrenchment
which might harm shareholders’ benefits caused by
managerial ownership’s increasing when the
percentage of managerial ownership reached to a high
level[16]. Such suggestion was proved by other two
studies, respectively on Ukraine and Spain[17-18].
Domestic scholars started studing on the
relationship between managerial ownership and
corporate performance later than foreign counterparts.
Early domestic researches focused on the relation
between ownership structure and corporate
performance, viewing managerial shareholding as a
sub-variable of ownership structure in the researches.
There was a lack of empirical researches concentraing
on the ralationship between ownership motivation on
top managers and corporate performance. However,
with the backgroud of share trading reform, more and
more attention has been paid to the issue about
managerial share motivation.
Some studies found that the percentage of
managerial share had nothing to do with corporate
financial performance, such as return on assets and
return on equity[19-20]. Basing an empirical analysis of a
sample of 1088 companies from 1997 to 2000,
Yu(2003) proved that there was a significant linear
positive relation between shareholding of directors of
board and corporate performance[21].
According to previous studies, there is an
ambiguous relation between corporate governance and
firm performance. So this paper is to do a
comprehensive study on this relationship with data
mining methods.
3. Methodology
3.1 Samples
In this paper, it has been chosen as the research
object that business groups owning members,
including headquarters and subsidiaries, listed in
China’s stock markets . The analysis is based on a
cross-sectional data of public companies in Shanghai
and Shenzhen stock markets in 2005 . LISREL 8.7 and
SPSS 13.0 are used in this paper. The total sample is indicators of BOD structure are relative with indicators
consisted of 520 business groups’ members, including of firm performance.
134 headquaters and 386 subsidiaries. All financial Tab. 1 Descriptive statistics of the subsidiaries
data is from annual reports of these companies. Variables Mean Std. Deviation Minimum Maximum
EPS 0.240 0.230 0.010 1.290
3.2 Variables Firm ROE 6.745 6.555 0.000 38.350
PerformanceCROA 12.954 8.532 - 14.805 54.942
Four indicators are taken to represent firm Q 1.079 0.224 0.370 3.790
performance: earnings per share(EPS), return on TSR 0.398 0.111 0.027 0.878
equity(ROE), critical business return on asset(CROA),
CR1 0.462 0.161 0.000 0.838
and Tobin’Q. We suggest five indicators to reflect the Ownership
CR5 0.594 0.133 0.000 0.957
informantion of ownership structure in this paper, Structure
Z 48.039 98.419 1.000 596.555
namely, percentage of tradable shares(TSR), share
MSR 2.769 31.914 0.000 570.974
percentage of the first shareholder(CR1), share
percentage of the top five shareholders(CR5), rate of CHA 0.331 0.222 0.000 1.000

the first shareholder’ sharing on the second BOD IND 0.344 0.042 0.180 0.500
shareholder’s(Z), and percentage of managerial Structure INT 0.105 0.113 0.000 0.440
ownership(MSR). Structure of BOD can be reflected OWN 0.167 0.219 0.000 0.860
by four indicators, which is respectively rate of chain DEBT 1,673,150,0472,804,159,379 8,099,392 24,234,071,360
Size
directors(CHA), independent directors(IND), internal ASSET 3,213,592,6874,087,336,83641,315,132 33,358,929,103
directors(INT), and directors who own corporate
ownership(OWN). Also two controlling variables, total Tab. 2 Descriptive statistics of the headquarters
asset and total debt, are put in the research.

4. Results
The descriptive statistics of the variables in the
subsidiaries and headquarters are respectively shown in
Tab. 1 and Tab. 2. It can be seen that values of the
standard deviation of variables are quite large, which
means there are significant differences on firm
performance, ownship structure and BOD structure
between subsidiaries and headquarters. Tab. 3 and Tab.
4 report the correlation matrixs of these variables in
these two group companies
In this paper, a SEM tool, LISREL 8.7, is taken to
do regression analysis of the modles of the relation
between ownership structure and firm performance and
between BOD structure and firm performance.
Fig.1 and Fig 3 show the regression results of the
relation between ownership structure and corporate Tab. 3 Correlation matrix of variables in the
perfromance. It is can be seen that in subsidiaries, subsidiaries
according to the t-values, EPS is positively related to
CR1 and ASSET and negatively related to Z and
DEBT. ROE is negatively related to Z and positively
related to ASSET. CROA is positively related to Z and
negatively related to DEBT. There is no relation
between Q and ownership structure indicators.
However, in headquarters, there is only MSR which
has positive effect on ROE, while there are no
relationships among other indicators of firm
performance and ownership structure. With the t-
values of Fig. 2 and Fig. 4, it is not found that four

774
Significant at * p<0.1, **p<0.05, ***p<0.01.
Tab. 4 Correlation matrix of variables in the
headquarters
* ** ***
Significant at p<0.1, p<0.05, p<0.01.
Fig. 1 Regression results of the model of ownership
structure and firm performance in subsidiaries
Fig. 2 Regression results of the model of BOD
structure and firm performance in subsidiaries
775
Fig. 3 Regression results of the model of ownership
structure and firm performance in headquarters
Fig. 4 Regression results of the model of BOD
structure and firm performance in headquarters
5. Conclusions
In this paper, a data mining method based on SEM
is used to analyze corporate governance issues in
Chinese business groups. With the foundings of this
paper, it can be suggested that ownership structure play
a significant role in corporate governance, since five
indicators we have chosen representing ownership
structure show different effect on firm performance.
Specifically speaking, the first shareholder’s ownership
and managerial ownership are positively relative to
firm performance while Z indicator has negative effect
on firm performance. It is found that BOD structure [13] Morck R, Shleifer A, Vishny R. (1988). Management
have no significant relationship with firm performance. Ownership and Market Valuation:an Empirical Analysis.
And it shows that there are significant differentces in Journal of Financial Economics, 20:293-315.
subsidiaries and headquarters in business groups in [14] Cho M H. (1998). Ownership Structure,Investment and
the Corporate Value: An Empirical Analysis. Journal of
China. All these foundings can be used to help
Financial Economics, 47:103-121.
shareholders and managers in decision-makings. [15] McConnell J, Servaes H. (1990). Additional Evidence
on Equity Ownership and Corporate Value. Journal of
6. Acknowledgment Financial Economics, 27:595-612.
[16] Han K C, Suk D Y. (1998) The Effects of Ownership
This research was supported by foundations of Structure on Firm Performance: Additional Evidence.
Ministry Education of China under Grant 04JZD0018, Review of Financial Economics, 7:143-155.
[17] Akimova I, Schwodiauer G. (2004). Ownership
New Century Excellent Talents of Ministry Education
Structure, Corporate Governance and Enterprise Performance:
of China under Grant NECT-04-0815(2005no.35) and Empirical Results for Ukraine. International Advances in
National Natural Science Foundation of China under Economic Research, 10(1):28-42.
70772028. [18] Miguel A, Pindado J, Torre C. (2004). Ownership
Structure and Firm Value: New Evidence form Spain.
7. References Strategic Management Journal, 25:1199-1207.
[19] Yuan Guoliang, Zheng Jianghuai, Hu Zhiqian. (1999). A
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[4] Jang J. S. R., Sun C. T., Mizutani E. (1997). Neuro- Listed Companies in China. Social Science in China, (3):29-
Fuzzy and Soft Computing. Prentice Hall, Upper Saddle 41(in Chinese).
River, New Jersey.
[5] Khanna T, Rivkin J W. (2001). Estimating the
Performance Effects of Business Groups in Emerging
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[8] Chang S J, Choi U. (1998). Strategy, Structure and
Performance of Korean Business Groups: A Transactions
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776
 2008 International Conference on Intelligent Computation Technology and Automation
Grey measurement based on Rough set Granule calculations
Jian Liu, Zhili Huang, Shunxiang Wu, Ruiyi Chen,
Department of Automation, Center for Systems and Control
Xiamen University
Xiamen 361005, China
E-mail: Liu66507com@126.com
Abstract
This paper put the Rough set methodology based on
the information table disposal to expand the dual
(binary) relations described by the neighborhood
system. To make full use of logic operations including
AND operation by-bit, XOR operation by-bit and NOR
operation by-bit, gains the certain and uncertain
information among the various decision-making
factors. The use of knowledge related with Grey system
theory, establishes their mathematical model for
decision making and data mining, according to the
principle of the priority of certain information in
decision-making and the ambiguity degree from small
to big. At last, a new method for data mining is
proposed by the use of combining grey system theory
and Rough set.
1. Introduction
In the early 1960s, L.A.Zadeh proposed fuzzy sets
(Fuzzy Sets). Theoretical computer scientists and
logician try to resolve the vague concept of G.Frege
through this theory, but unfortunately, fuzzy set is not
computed, and there is not mathematical formula to
describe this vague concept, therefore, it is impossible
to calculate the specific numbers of ambiguity element
on its border.
After 20 years in the early 1980s, Z. Pawlak
presents the Rough set in allusion to the borderline
region thought of G. Frege, and puts those individuals,
which could not be confirmed, to vest in the borderline
region, which (and that borderline region) is defined as
the sets of the difference between up-Approximate and
under-Approximate sets. As up-Approximate sets and
under-Approximate sets can be described by the
assured mathematical formula that equivalence
relationship given, the number of ambiguity elements
can be calculated, namely the extent of ambiguity
between true and false can be calculated, is so as to
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DOI 10.1109/ICICTA.2008.22
achieve the borderline thought of G.Frege, which we
call it the uncertain information sets. Rough sets is a
new mathematical tool to handle a vague and imprecise
information problem, rather than fuzzy sets (Fuzzy
Sets) for the application of modern computer, this
theory is undoubtedly one of the most challenging
fields.
1982, Julong Deng, the Chinese scholar, Professor,
created a grey system theory. Grey system theory take
"small sample", "poor information" uncertainty system
of "some part information known, some part
information unknown " for research objects, to develop
and extract valuable information mainly through the
formation of "Some part" information known, and
implement the correct description and effective
monitoring and controlling for the action of system's
operation or the law of evolution. Grey system theory
major study the problem of uncertainty which
probability, statistics and fuzzy math are difficult to
solve. Gray number is a form of representation to gray
system action. Gray degree of gray number reflects the
degree of uncertainty for people’s recognition on the
grey system. So a gray degree of gray number, and
theoretical background or domain that gray number
brings should have an inseparable relationship.
Gray number is the number which is not or can not
find temporarily a white number as its "representative",
such as value of the general prior forecast, and so on.
Gray number has a few several categories below: the
gray number of only below-boundary, the gray number
of only up-boundary, the interval gray number, the
consecutive gray number and the discrete gay number,
black number and white number.
2. The Information Granule and binary
logical operation of Rough Set
The so-called Information Granule is the reflection
of finite ability of human in processing and storing
information. Owing to the finite human capacity, a
great deal of complex information was divided to some
simple blocks according to their characteristic, and the
block marked off like this can be seem as a Granule.
The procedure of processing information is called
Information Granule. For example, Information
Granule of parking lot problem is that dividing the
parking lot to many blocks according to the
performances ,models and sizes of cars, whereas the
each block is used to park a sort of car. The blocks at
this are Granule. This is an informal example of
Information Granule of parking lot problem. Granule
involves partition from integer to segment. More
clearly, it integrates with uncertainty, comparability
and functionality. It is evident that Granule performs
the important role in many subjects. For example,
interval analysis, quantitative analysis, blocking, rough
sets theory, d-s theory, sample learning , qualitative
process theory, decision tree, semantic network,
constraint programming, image segmentation, group
analysis and so on.
In mathematics, each individual combined with
certain block clusters makes up of one neighborhood
system. If all clusters in a neighborhood system are
nonempty, the neighborhood system is an overlay. If
all blocks constitute a partition, the neighborhood
system is reduced to Rough set system. And if the
discussion is restricted to real number, the
neighborhood system is reduced to interval
computation. Neighborhood is a common concept
which has been introduced to data mining, intelligent
system, soft computing and logic and so on. We
commit ourselves to its structure theory, and also
appeal to its represent method. So this paper extended
information table process of the Rough sets
methodology to the binary relation described by the
neighborhood system.
The Logical algebra subject was firstly founded by
English mathematician George Boolean, so people also
call it Boolean algebra. Unlike ordinary algebra, the
Logical algebra has different concepts. It only has two
states: 0 and 1, which represent the logical relation
among digits instead of the big-small relation. The
logical algebra is the mathematical base of analyzing
and designing digital system. The operation formula is
quite different from normal operation formula, and it
has three basic operations: AND, XOR, NOR.
3. The Granule logic computation based on
the number of binary system
Suppose S = (U, A) is an information system, of
which U={u1,u2,…,um}is individual domain, A = (a1,
a2,…, am) is an attribute set. U can be divided into
Equivalence class which uncrosses each other by
778
arbitrary subset of B, A. Equivalence class is defined
as Granule, and obviously Granule is the expansion of
Rough set theory, because the implementation of the
Granule computation is much faster and much more
flexible than that of equivalence class computation.
Table 1 gives the information systems that expert
subordinate departments attach to the individual.
Table 1.Single attribute of the list
Experts’ Subordinate Experts’ Subordinate
serial department serial departments
number (A) number (A)
(U) (U)
u1 A1 u7 A2
u2 A2 u8 A1
u3 A1 u9 A1
u4 A3 u10 A2
u5 A4 u11 A5
u6 A3 u12 A1
We use equivalence class to define Granule, in table
1, according to the classification of two attributes
include expert and subordinate departments, obtain
quotient set U/IND( Ａ )={[A1],[A2],[A3],[A4],[A5]},
there into [A1]={u1,u3,u8,u9,u12} ， [A2]={u2,u7,u10} ，
[A3]={u4,u6}，[A4]={u5}，[A5]={u11}. Here we call
the elements --equivalence class Granule in quotient
set for.
For each element in Granule, its location, using this
element’s subscript denoted, can be presented in the
macrocosm U. If the subscript is corresponding to the
digits of binary system number, then the Granule can
be defined by a number of binary system, that is,
ui∈U, corresponding to set the number of binary
system on the corresponding i digit 1. Clearly, the
length of the binary system number exactly equals to
base U, such as：
[A1]=101000011001,[A2]=010000100100，
[A3]=000101000000,[A4]=000010000000，
[A5]=000000000010 and [A1],[A2],[A3],[A4],[A5] were
called separately to the names of the 1, the 2, the 3, the
4 and the 5 number of binary system.
The table 2 uses the two forms of enumerated
elements and binary system number to describe the
partition of U. Its first column denotes the names of
elements in quotient set U / IND (A), its second
column enumerates each Granule, its third column is
the number of binary system, it is worth noticing that
each element in quotient set all is a subset or the name
of subset on the U. Compared to the number of
elements on the U, the number of elements in quotient
set is much smaller, so it was already a data reduction
from the macrocosm to quotient set. This is the
essential problem of Granule computing, and is one of
the actual contents of data mining and information correlation table, which Experts from various
decision-making. departments have done the same results of evaluation,
Table 2. The representation of elements in to facilitate data mining. Data mining is usually to find
quotient set the association rules given in the relations with certain
Granule Granule number form: Let X and Y are two basic sets given in the
Granule relations, if the times, which the association rules or
name of binary system
[A1] {u1,u3,u8,u9,u12} 101000011001 individual given in the relations occurred, reach s% or
[A2] {u2,u7,u10} 010000100100 more, we calls the association rules can be extracted,
[A3] {u4,u6} 000101000000 marking as (X, Y). Here given the general process for
[A4] {u5} 000010000000 searching the association rules (X, Y):
[A5] {u11} 000000000010 (1) Computing the combination formats of all the X
Table 3 is the expansion of Table 1, viz., the and Y may be;
individual of a single attributes extends to the (2) Counting the time which some possible formats
information table of many characters. Here only listed appear in the given format;
three characters in the information table. For the (3) To find out the association rules of which the
relationship in table 3, its equivalence class sets of the appearance time ≥ s% given in the relations.
attribute in each column are listed below: Now in terms of these principles, we can seek the
(1) U/IND(departments)={[A1], [A2], [A3], [A4], association rules through Granule computing.
[A5]}; expressed 12 assessment experts are from five Obviously, the number of the association rules (X, Y)
different departments. which satisfied the conditions ≤ the number of Granule
(2) U/IND(assessment items)={[X1], [X2], [X3], in quotient set, so it is another data reduction from
[X4], [X5]}; expressed the five items will be evaluated. quotient set to the association rules set.
Of which: It is one association degree between experts from
[X1]={u1,u5,u6};[X2]={u2,u8,u12};[X3]={u3,u9,u11};[ different departments and the same excellent results of
X4]={u4};[X5]={u7, u10};expressed the experts of evaluation.
corresponding serial number were selected randomly For this we fully integrate the Boolean calculation
will evaluate different items. of binary digit, which puts forward more simple to
(3) U / IND (evaluation results)={[lower], [general], determine the relations:
[excellent]}. Table 4. Granule on-bit AND operation
Of which: Combina Binary AND The binary The total
[lower] = {u5}; [general] = {u1, u4, u7, u10, u11}; tion operation numbers number
[excellent] = {u2, u3, u6, u8, u9, u12}; expressed the results of of 1
evaluation results given by the experts of different operation appeared
serial number for assessment items. [A2] 0100001001 0100000000 1
Table 3. Multi-attribute relations list AND 00 AND 00
U Department(A) Assessment Evaluation [excellen 0110010110
items(X) results t] 01
u1 A1 X1 general [A3] 0001010000 0000010000 1
u2 A2 X2 excellent AND 00 AND 00
u3 A1 X3 excellent [excellen 0110010110
t] 01
u4 A3 X4 general
[A4] 0000100000 0000000000 0
u5 A4 X1 lower
AND 00 AND 00
u6 A3 X1 excellent
[excellen 0110010110
u7 A2 X5 general
t] 01
u8 A1 X2 excellent
[A5] 0000000000 0000000000 0
u9 A1 X3 excellent AND 10 AND 00
u10 A2 X5 general [excellen 0110010110
u11 A5 X3 general t] 01
u12 A1 X2 excellent [A1] 1010000110 0010000110 4
The classification of the various attributes combined AND 01 AND 01
Table 3 can be intuitive to elicit: more than 66% in [excellen 0110010110
excellent evaluation of the items is the experts from the t] 01
department A1 presented; If this judgment requires us
to make a detailed description, and to make a

779
 In table 4 are presented the corresponding binary [excell 0110010110
AND operation under the combination and gaining ent] 01
possession of the assessment experts’ subordinate [A3] 0001010000
department and the excellent results of the evaluation, NOR 00 NOR 1000101001
and their results are listed in corresponding to the right 5
[excell 0110010110 10
column. the assessment experts from the sector A1 and ent] 01
the excellent results of the evaluation are present to the [A4] 0000100000
bottom line in table 4, which the total number that 1 NOR 00 NOR 1001001001
appears is 4; if s = 10, clearly A1 meet the 5
[excell 0110010110 10
requirements; if S = 5, At this point A1、A2、A3 are ent] 01
all to meet requirements, if the data mining asked to [A5] 0000000000
mine the two rules of the largest association degree, NOR 10 NOR 1001101001
5
then how to select again from A2、A3. [excell 0110010110 00
In the binary on-bit XOR logic operation: while ent] 01
input the same two digits, it will output 0, while input [A1] 1010000110
the two different digits, it will output 1. In the binary NOR 01 NOR 0001101001
5
on-bit NOR logic operation: what input has 1 then [excell 0110010110 10
output 0, what input is all 0 then output 1. For the ent] 01
combination of the various Experts’ subordinate
departments and the excellent evaluation, the doneness 4. The Associated Gray Matrix of Granule
of binary on-bit XOR and on-bit NOR operations were computing based on the number of binary
shown in tables 5, 6.
Table 5. Granule on-bit XOR operation
system
The binary The total
Binary We can conclude clearly from Table 4, 5, 6: the sum
Combi numbers number of
XOR of probability gained in the same context is 1 after the
nation results of 1
operation AND, XOR, NOR operation. The binary sort of table
operation appeared
[A2] 0100001001 can be understood as: the sort of the voting results, 1
XOR 00 XOR 0010011111 presented assent, 0 presented opposition. For the
7 binary sort of excellent results of assessment, it can be
[excell 0110010110 01
ent] 01 represented the survey results that the projects assessed
[A3] 0001010000 by public opinion, so that its all sort in each table
XOR 00 XOR 0111000110 remains unchanged. For U/IND (departments)
6 ={[A1],[A2],[A3],[A4],[A5]},the different binary
[excell 0110010110 01
ent] 01 arrangement listed by the different departments can be
[A4] 0000100000 understood as: the projects of assessment sort in
XOR 00 XOR 0110110110 various sectors with internal point of view. 1 or 0 are
7 on both sides in the table 4, 5, 6, explaining the experts
[excell 0110010110 01
ent] 01 have the same points of view with public opinion for
assessment of this project, are in favor of or against
[A5] 0000000000
this project's implementation. If 1 and 0 on both sides
XOR 10 XOR 0110010110
7 are not appearance at the same time, show that
[excell 0110010110 11
opinions of group of the assessment experts and the
ent] 01
views of public opinion on this project are different,
[A1] 1010000110
and the implementation of this project needs to assess
XOR 01 XOR 1100010000
3 once again.
[excell 0110010110 00
The results of on-bit AND operation used in this
ent] 01
paper are defined as certainty information, that of on-
Table 6. Granule on-bit NOR operation bit XOR operation are defined as uncertainty
The binary The total information, and that of on-bit NOR operation are
Binary
Combi numbers number of defined as the opposed information. The probabilities
NOR
nation results of 1
operation of their counterparts were expressed as: tA、fA、 1−tA − fA .
operation appeared
[A2] 0100001001 1001100000 Obviously: the association degree of each
4 1− f
NOR 00 NOR 10 evaluation attributes are all a grey number γ (⊗)|tA A ,

780
viz.: γ (⊗) ∈[ t A ,1-fA ] , order γ (⊗) represented the
corresponding grey association degree, then
inf γ (⊗) = t A , sup γ (⊗) = 1-fA ; their whitening
 ) = α t + (1 − α )(1-f ), α ∈ [0,1] ,
association degree γ (⊗
A A
t A1 = 4 /12 = 1/ 3, t A 2 = 1/12, t A3 = 1/12, t A 4 = 0, t A5 = 0
t A1 > t A 2 = t A3 > t A 4 = t A5 ,
g D (⊗ A1 ) < g D (⊗ A3 ) < g D (⊗ A 2 ) = g D (⊗ A 4 ) = g D (⊗ A5 ) .
So we learn that A1, A3 are the two information

when t A = 1 − f A , the association degree is a white extracted.

number γ (⊗) = t A = 1 − f A .
5. Conclusion
The grey correlation form between experts from
various departments and the results of assessment: From individual to global then to the classification
Table 7. The grey correlation form Granule’s calculate gets a less data tables of Granule, it
Evaluation is said the first reduction of the individual; second
results excellent general lower according to the data tables on Granule combination
Experts and gets a combination data tables of Granule ,from the
sector data tables we can easily find the available association
A1 [1/3,7/12] [1/12,1/4] [0,1/2] rules, it corresponds to the further reduction. This
A2 [1/12,2/3] [1/6,1/12] [0,1/3] paper first by the binary number bit and (AND)
A3 [1/12,7/12] [1/12,1/2] [0,1/4] operator to find out the information association rules
A4 [0,7/12] [0,1/2] 1/12 that meet the request then according to with the same
A5 [0,7/12] [1/12，5/12] [0,1/6] certainty association rules of the information, to
In information data mining, the greater degree of conduct on binary number bit or (XOR), and by-bit
correlation of information, the more conducive to the non ( NOR) operation. When data mining according
information extraction and mining; in the same degree the following rules: firstly chose that with the biggest
of correlation, the smaller degree of the ambiguity, the certainty association information ; secondly chose that
more conducive to information extraction and mining. with less uncertainty information that own the same
At this time, it should choose the information of small certainty of association – Grayscale’s descending
degree of ambiguity for extracting at first. In Table 7, principles of data mining. This paper use the grey
the same line reflects the degree of correlation system theory and Rough set combination give a new
predicted by the internal experts within the same and rapid method of extraction association rules data
departments for the various the results of the ballots, mining, it is significance and valuable. So it is worth
the same column represents the degree of correlation for further study.
predicted by experts in different departments for the
same voting results. 6. References
Definition 1: Suppose the background of the theory
produced by gray number ⊗ is Ω , μ (⊗) is the degree [1] Liu Qing. Rough set and Rough reasoning, Beijing:
of measurement that Gray number ⊗ admits the Science Press, 2001.
domain, then calls:
[2] Sifeng Liu,Yaoguo Dang,Zhigeng Fang. Grey system
g D (⊗) = μ (⊗) / μ (Ω) (1) theory and application. Beijing: Science Press, 2005.
gray degree of the gray number ⊗ .
Suppose μ (Ω) = 1 , as g D (⊗) = μ (⊗) / μ (Ω) , we can [3] Z. Pawlak. Rough Sets-Theoretical Aspects of reasoning
about Data. Kluwer Academic Publishers, Dordrecht, 1991.
obtain the gray degree between subordinate
departments of assessment experts and the excellent [4] A. Skowron and J. Stepaniuk. Information Granules in
results of evaluation: Distributed Environment. LNAI 1711, Springer, 11,1999.
（1） g D (⊗ A1 ) = μ (⊗ A1 ) / μ (Ω) = 1/ 4 ;
[5] Z. Pawlak. Rough Sets, Rough Relations and Rough
（2） g D (⊗ A 2 ) = μ (⊗ A 2 ) / μ (Ω) = 7 /12 ; Functions. Fundamenta Informaticae, Vol.27, No.2-3, 8,1996.
（3） g D (⊗ A3 ) = μ (⊗ A3 ) / μ (Ω) = 1/ 2 ;
[6] Liu Qing. Rough Set Theory: Status and Prospects,
（4） g D (⊗ A 4 ) = μ (⊗ A 4 ) / μ (Ω) = 7 /12 ; computer science, 1997,4.
（5） g D (⊗ A5 ) = μ (⊗ A5 ) / μ (Ω) = 7 /12 .
[7] Z. Pawlak. Decision Analysis Using Rough Sets.
International Trans.Oper.Res./1,1994, 107-114.

781
 2008 International Conference on Intelligent Computation Technology and Automation
Knowledge creation in marketing based on data
mining
Guozheng Zhang, Faming Zhou, Fang Wang, Jian Luo
College of Business, Hunan Agricultural University
Changsha, P.R.China
E-mail: guozhengzhang@gmail.com
Abstract-Survival in a knowledge-based economy is derived from
the ability to convert information to knowledge. To do so,
researchers and managers are increasingly relying on the field of
data mining. Data mining identifies and confirms relationships
between explanatory and criterion variables. Data mining are
increasingly popular because of the substantial contributions
they can make in converting information to knowledge.
Marketing is among the most frequent applications of the
techniques, and whether you think about product development,
advertising, distribution and retailing, or marketing research
and business intelligence, data mining increasingly are being
applied. The purpose of this paper is to provide an overview of
data mining, summarize how it impact on knowledge creation in
marketing, and suggest future developments in marketing and
data mining for both organizations and researchers.
Keywords-Knowledge creation; data mining
I. INTRODUCTION
A cornerstone of innovation in the knowledge-based
economy is information. But to use information to improve
decision-making and stimulate innovation, we must convert it
to knowledge. The challenge of converting information to
knowledge was first identified by Tom Peters in his book
Thriving on Chaos[1]. The challenge has increased
dramatically in recent years, with experts estimating that in the
next three years (2007-2009) humanity will generate more data
than it has in the past 1,000 years[2].
In the past decade, more than one-half of the human race
has moved its work, shopping, playing and chatting online,
creating mountains of digital data that once would have
languished on scraps of paper or vanished as forgotten
conversations [3]. Today, virtually all organizations can
convert what was a “waste by-product” into a resource that
978-0-7695-3357-5/08 $25.00 © 2008 IEEE
DOI 10.1109/ICICTA.2008.45
improves organizational decision-making, creates knowledge
and provides added value to customers. And researchers
increasingly have tremendous opportunities to identify and
examine patterns in information to create valuable knowledge
for society.
Survival in a knowledge-based economy is derived from
the ability to convert information to knowledge. To do so,
researchers and managers are increasingly relying on the field
of data mining. The purpose of this paper is to provide an
overview of data mining, summarize how it is impacting
knowledge creation in marketing, and suggest future
developments in marketing and data mining for both
organizations and researchers.
II. DATA MINING: AN OVERVIEW
A. Definition
“Data mining” is defined as a sophisticated data search
capability that uses statistical algorithms to discover patterns
and correlations in data [4]. The term is an analogy to gold or
coal mining; data mining finds and extracts knowledge (“data
nuggets”) buried in corporate data warehouses, or information
that visitors have dropped on a website, most of which can
lead to improvements in the understanding and use of the data.
The data mining approach is complementary to other data
analysis techniques such as statistics, on-line analytical
processing (OLAP), spreadsheets, and basic data access. In
simple terms, data mining is another way to find meaning in
data.
Data mining discovers patterns and relationships hidden in
data [5], and is actually part of a larger process called
“knowledge discovery” which describes the steps that must be
taken to ensure meaningful results. Data mining software does
782
not, however, eliminate the need to know the business,
understand the data, or be aware of general statistical methods.
Data mining does not find patterns and knowledge that can be
trusted automatically without verification. Data mining helps
business analysts to generate hypotheses, but it does not
validate the hypotheses.
B. The evolution of data mining
Data mining techniques are the result of a long research
and product development process. The origin of data mining
lies with the first storage of data on computers, continues with
improvements in data access, until today technology allows
users to navigate through data in real time. In the evolution
from business data to useful information, each step is built on
the previous ones. Table 1 shows the evolutionary stages from
the perspective of the user.
In the first stage, Data Collection, individual sites collected
data used to make simple calculations such as summations or
averages. Information generated at this step answered business
questions related to figures derived from data collection sites,
such as total revenue or average total revenue over a period of
time. Specific application programs were created for collecting
data and calculations.
The second step, Data Access, used databases to store data
in a structured format. At this stage, company-wide policies for
data collection and reporting of management information were
established. Because every business unit conformed to specific
requirements or formats, businesses could query the
information system regarding branch sales during any
specified time period.
Once individual figures were known, questions that probed
the performance of aggregated sites could be asked. For
example, regional sales for a specified period could be
Table 1 Evolutionary stages of data mining
Source: Pilot Software [7].
783
calculated. Thanks to multi-dimensional databases, a business
could obtain either a global view or drill down to a particular
site for comparisons with its peers (Data Navigation). Finally,
on-line analytic tools provided real-time feedback and
information exchange with collaborating business units (Data
Mining). This capability is useful when sales representatives or
customer service persons need to retrieve customer
information on-line and respond to questions on a real-time
basis.
Information systems can query past data up to and
including the current level of business. Often businesses need
to make strategic decisions or implement new policies that
better serve their customers. For example, grocery stores
redesign their layout to promote more impulse purchasing.
Telephone companies establish new price structures to entice
customers into placing more calls. Both tasks require an
understanding of past customer consumption behavior data in
order to identify patterns for making those strategic
decisions—and data mining is particularly suited to this
purpose. With the application of advanced algorithms, data
mining uncovers knowledge in a vast amount of data and
points out possible relationships among the data. Data mining
help businesses address questions such as, “What is likely to
happen to Boston unit sales next month, and why?” Each of
the four stages were revolutionary because they allowed new
business questions to be answered accurately and quickly [6].
The core components of data mining technology have been
developed for decades in research areas such as statistics,
artificial intelligence, and machine learning. Today, these
technologies are mature, and when coupled with relational
database systems and a culture of data integration, they create
a business environment that can capitalize on knowledge
formerly buried within the systems.

III. KNOWLEDGE CREATION IN MARKETING BASED ON DATA
MINING
A. Traditional research versus data mining
Controversy has arisen over the application of these new
analytical tools. Traditional quantitative researchers use theory
to develop hypotheses that are then tested. But the newer tools
do not start with theory. Instead they are data driven. As shown
in Figure 1, traditional research is based on a theoretical
foundation. But data mining begin by identifying relationships
in data (Figure 2). Hypotheses are then developed and tested as
part of model building and validation. Once a model is
validated, it is used in data mining. Theory may or may not be
part of model building.
Researchers who use data mining claim that data
warehouses are so large it is difficult to fully examine the data
and relationships in order to apply theories to hypothesis
development and testing. In fact, today’s largest data
warehouses have a capacity of 300 or more terabytes, and
many organizations have 100 terabytes of storage capacity. For
example, Vodafone, Tesco, IBM and WalMart all claim to
have data warehouses with a capacity of 250-300 terabytes. As
a basis of comparison, a single terabyte is equal to 1,024
gigabytes, or one trillion bytes. A single terabyte is equal to
50,000 trees made into paper and printed, or 10 terabytes is
equal to all the print collections in the USA Library of
Congress [8]. However, you evaluate the capacity of data
warehouses, one must certainly conclude they contain a
tremendous amount of information – enough to overwhelm the
data analyst unless the proper software and statistical tools are
used.
The sheer size databases can be amazing. Ford Motor
Company has 50 million names in its customer database.
Citicorp has 30 million names, Kimberly Clark 10 million, and
Figure 1. Traditional research approach
Figure 2. Data mining approach
B. Applications of data mining in marketing
Data mining tools take data and construct a representation
of reality in the form of a model. The resulting model
784
Kraft Foods 2.5 million customer records. General Motors has
12 million GM credit card holders in a database containing
detailed data on customer buying habits. For each name in the
database, the companies have an average of 20 separate pieces
of information that can be translated into effective strategies to
better serve customers. As an example, Nokia examined six
billion data points from customer surveys to create its do-it-all
multimedia phones under the Nseries brand [9]. Similarly,
Vodafone typically examines 20 or more predictive models
every month in an effort to better understand and predict likely
market developments in the telecommunications industry.
Traditional researchers criticize data mining and data
mining as unscientific because the techniques are data driven
instead of theory driven. They say research based on data
mining may search for relationships to support preconceived
notions, or researchers may develop stories to fit relationships
found in the data. But even if this does not happen, traditional
researchers argue that judgment may not be used in applying
the findings of these newer tools because too often
inexperienced researchers or managers believe if the numbers
suggest a believable relationship they must be correct.
The debate over data driven or theory driven approaches to
conducting research will not be resolved quickly. But looking
beyond these issues most researchers agree that data mining
have many advantages. Among the most important advantages
is relationships that would remain hidden are identified by the
tools, and decision-making is therefore more informed and
better. The reason for improved decision-making is more
complex understanding of the data and its underlying patterns,
and more accurate predictions. As a result decisions are more
consistent and thus more accurate. When researchers and
managers increase the accuracy of their decision-making the
outcome is increased customer satisfaction and retention for
the organization, and therefore lower costs and higher profits.
describes patterns and relationships present in the data. From a
process orientation, data mining activities fall into three
general categories [10].
 Discovery: the process of looking in a database to find
hidden patterns without a predetermined idea or hypothesis
about what the patterns may be.
Predictive Modeling: the process of taking patterns
discovered from the database and using them to predict the
future.
Forensic Analysis: the process of applying the extracted
patterns to find anomalous or unusual data elements.
Data mining is used to construct six types of models aimed
at solving business problems: classification, regression, time
series, clustering, association analysis, and sequence discovery
[11]. The first two, classification and regression, are used to
make predictions, while association and sequence discovery
are used to describe behavior. Clustering can be used for either
forecasting or description. Companies in various industries can
gain a competitive edge by mining their expanding databases
for valuable, detailed transaction information. Examples of
such uses are provided below.
Each of the four applications below makes use of the first
two activities of data mining: discovery and predictive
modeling. The discovery process, while not mentioned
explicitly in the examples (except in the retail description), is
used to identify customer segments. This is done through
conditional logic, analysis of affinities and associations, and
trends and variations. Each of the application categories
described below describes some sort of predictive modeling.
Each business is interested in predicting the behavior of its
customers through the knowledge gained in data mining [12].
IV. FUTURE DEVELOPMENTS
So what does the future hold for the emerging field of data
mining? Data will continue to increase exponentially, but data
quality will need to improve. There is no indication the amount
of data will decrease. Indeed, it appears evident that it will
continue to increase substantially. The task ahead then is to
ensure the quality of data increases. Much progress has been
made in recent years, but the pressure to cut costs and make
quick decisions will slow efforts to improve the quality of data.
If used properly, the huge databases created by businesses
worldwide will revolutionize the ability to identify, understand
and predict customer needs and market developments. Indeed,
access to the information captured and made manageable by
modern databases is the business equivalent of the scientific
breakthroughs of the last century when the fundamental
785
building blocks of matter were cracked open and understood
[13]. To date most data mining applications have concentrated
on structured data (numeric and categorical) such as date last
paid, geographic location, average payment, days delinquent or
average balance, and number and type of products and services
purchased. Numeric values such as these are readily
understandable and computable. For example, analyses easily
recognize that a customer who uses a product or service ten or
more times a year is in a different category than one who
seldom or never uses the product. Similar results have been
developed in predicting customer losses in financial services,
churn in wireless telecommunications, and fraud in insurance
and healthcare [14].
Different technologies vary in terms of effectiveness and
ease of use. It is businesses and managers who determine how
to exploit collected data, in other words, more of a policy issue
than a technology issue. Several precautions have to be taken
by business to assure consumers that their privacy will be
respected and personal information will not be disclosed
without permission. Businesses also have a duty to execute
their privacy policy so as to establish and maintain good
customer relationships [15].
ACKNOWLEDGMENT
The Research is supported by the talent research fund of
Hunan Agriculture University “Research of Customer Lifetime
Value Management System” under the grant No: 07YJ04 and
Hunan Provincial Natural Science Foundation of China under
Grant No: 07JJ5114.
REFERENCES
[1] Tom J. Peters. Thriving on Chaos: Handbook for Management
Revolutions[M]. New York: Alfred P. Knopf, 1988.
[2] Mark, E. (2006), “Fragile digital data in danger of fading past history’s
reach”, Atlanta Journal Constitution, June 7, p. A1.
[3] Goldman, N. (2006), “Math will rock your world”, Business Week
Online, January 23.
[4] Newton’s Telecom Dictionary, Harry Newton, CMP Books,
http://www.cmpbooks.com
[5] Koh Hian Chye, Chan Kin Leong Gerry, Data mining and customer
relationship marketing in the banking industry, Singapore Management
Review, 2002; 24, 2;
[6] T. Fawcett, F. Provost, Combining data mining and machine learning
for effective user profiling, Proc. of 2nd ACM SIGKDD Int’l Conf. on
Knowledge Discovery and Data Mining (KDD-96), ACM, New York,
NY, 1996, pp. 8– 13.
[7] M.J. Shaw, C. Subramaniam, G.W. Tan, M.E. Welge, Knowledge
management and data mining for marketing, Decision Support Systems
31 (1) Elsevier, Amsterdam, The Netherlands (2001) 127– 137.
[8] London, S. (2002), “Customer information is the new commodity”,
Financial Times, p. 12.
[9] Edwards, C. and Ihlwan, M. (2006), “The future of tech”, Business
Week, December 4, p. 78.
[10] [Jiawei Han, Michelline Kamber, Data mining: conception and
technology, Beijing：Mechanic Industry Publish, 2002.
[11] Yun Chen, Guozheng Zhang, Dengfeng Hu and Shanshan Wang (2006),
Customer Segmentation in Customer Relationship Management Based
on Data Mining, Knowledge Enterprise: Intelligent Strategies in Product
Design, Manufacturing, and Management, Volume 207, pp.288-293
[12] Yun Chen, Guozheng Zhang, etc, Customer Segmentation Based on
Survival Character[J], Journal of Intelligent Manufacturing, Volume 18,
Number 4, August 2007, pp.513-517.
[13] P.B. Chou, E. Grossman, D. Gunopulos, P. Kamesam, Identifying
prospective customers, Proc. of 6th Int’l Conf. on Knowledge Discovery
and Data Mining, ACM, New York, NY, 2000, pp. 447– 456.
[14] J. H. Lee, and S. C. Park, Intelligent profitable customers segmentation
system based on business intelligence tools [J], Expert Systems with
Application, 29, pp. 145-152, 2005.
[15] Karim K Hirji, Exploring data mining implementation Association for
Computing Machinery [J]. Communications of the ACM; Jul 2001; 44,
7; pp.87-100.

786
 2008 International Conference on Intelligent Computation Technology and Automation
Knowledge Discovery in Information-Service-Oriented Experimental
Transportation System
Xiaoguang Yang, Mei Tong
School of Transportation Engineering, Tongji University, P.R.China 200092
tongmei@21cn.com
Abstract
Massive raw traffic data such as loop data, vehicle
GPS data stay undeveloped for administrative or
technical purpose in transportation industries in China.
Information-Service-Oriented Experimental Transport-
ation System (IETS) aims at exploring and deducing
useful traffic information from real-time collecting
traffic data and publishing the information as a value-
added service. Knowledge discovery techniques have
played an important role in IETS. The system was
implemented followed a classical steps of KDD. The
procedure of system data modeling was split into five
phases, topic determining, data preparing, data
transforming, analysis modeling and data exploring.
An example was given by an observation-hypothesis-
verification approach to show how OLAP methods
were used to discovery unknown information beneath
the traffic data in IETS. Using knowledge discovery
techniques in IETS, we can find useful information that
might be useful to provide decision support for the
planers and managers of transportation systems.
1. Introduction
In China, information techniques improve the
development of transportation informationization and
vice versa. Applications of Intelligent Transportation
Systems (ITS) bring massive raw traffic data which
record the running states of traffic systems. These
techniques, for one hand, bring new characteristic to
transportation systems, for the other hand, also provide
possibility to study transportation systems with new
aspect. Hence bud the prospects of Experimental
Transportation Engineering (Iida, 1999 and Yang,
2004). There are two kinds of experiments in
transportation systems, active experiments and passive
experiments. Active experiments emphasize on control
and intervention of the experiments through changing
the condition of the experiments while passive
experiments, based on explanation and observation,
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DOI 10.1109/ICICTA.2008.196
emphasize on management and analysis of data,
including simulation data and factual data. According
to different function fields in transportation, we made
five categories for experimental transportation systems,
traffic management oriented, information service
oriented, transport planning oriented, traffic safety
oriented, intelligent vehicle/highway oriented
transportation systems. Information-service-oriented
experimental transportation system (IETS) was defined
as a system that could provide real time traffic
information to the travelers before or on their trips.
Knowledge discovery was defined as “the non-
trivial extraction of implicit, unknown, and potentially
useful information from data” (Piatetsky-Shapiro et
al.,1991). It was a process of searching large volumes
of data for patterns using methods such as
classification, association rules, clustering as well as
many older computational techniques from statistics,
information retrieval, machine learning and pattern
recognition.
In this paper, we present a case study of IETS based
on a project in Shanghai City. The data source of the
system was thousands of taxis’ GPS trajectories
recorded by global position coordinates. In the system,
the traffic state of road network was estimated from the
raw data and further information was deduced by
analyzing the processed data using knowledge
discovery techniques.
2. Information-service-oriented
experimental transportation system
Information-service-oriented experimental transp-
ortation system (IETS) is a passive-experiments-based
experimental system. It is featured with the following
aspects: massive real-time collected traffic data, traffic
information-service-applications oriented data fusion,
analyzed or deduced information from the processed
data and reaction to actual transportation system. It is a
typical process of knowledge discovery in database
(KDD, Brachman et al., 1996). Hence the
787
implementation of the system would follow the of the traffic objects. For example, the dimensions’
classical steps of KDD: preprocessing and fusing data value of one link of a road network should be city,
from different data sources, building a traffic-topic- district, zone, path, road and link, arranged in
oriented data warehouse or data market, applying aggregation order from high level to low level.
OLAP and data mining manipulations and making According to different phases in data processing,
decision. In this case, the traffic topic focused on travel the data models in IETS were divided into five models.
speed of each links in the road network. At the topic determining phase, according to the
Generally there are three kinds of traffic data analysis of original question and status in quo, the
sources. The first is road relative information from topic model was determined to be traffic state and
infrastructure administrations, such as traffic volume evolvement in different time and space conditions. At
and speed from loop detectors, travel trajectories of the data preparing phase, the data, derived from real
vehicles from GPS equipments, vehicles ID and travel time taxis’ global position coordinates, was modeled
speed from AVI (Automatic Vehicle Identification) by physical position as key attribute. At the data
systems. The second is traffic incidents, accidents, transforming phase, the physical position was
traffic management and control schemes from traffic transformed into logical position in the road network.
administrations. The last is other information such as After data transforming, a traffic topic oriented online
travel’s messages and the weather information from analysis model was built in a snowflake schema. At the
relative administrations. last evaluating and analyzing phase, the results were
Because of administrative reasons, in this case, we display by visualization methods such as charts, reports
could only collect parts of taxis’ and buses’ trajectories and GIS. Figure 1 shows the procedure of the data
in real time. According to the application goals, taking modeling.
travel speed of links in road network as traffic state, we Traffic state and
transformed the dynamical trajectories into travel evolvement analysis in Traffic state: congestion/
Topic unblocked
different time and space
speed of links using a time-shortest-path searching determing
conditions based on Evolvement: time / space
algorithm (Yang and Tong, 2008). We generated a fact real time traffic data
table of travel speed, using time and space as
dimensions. Then by online analyzing the table with Vehicle ID: unique
Dada source:
varied time and space conditions, we could explore the Data Real time taxis’ global Record time: accurate in
evolvement patterns and disciplines for the road preparing position coordinates seconds
Vehicle position: physical
network state. The results could be used to traffic
information publishing and be helpful in evaluation of
Transform physical earth
traffic management schemes. coordinates into GIS logical Road ID: unique
In IETS, the processed data were used for OLAP or Data positions; Link ID: unique
transform Estimation of traffic state Estimation cycle: 5 minutes
data mining. The data model was constructed as a set Traffic state: travel speed
of fact-dimension tables. Time and space were two
major dimensions of the model which was designed in Time dimension: week/
star schema. In transportation systems, time can be time span/ work days/ Snowflake schema:
measured as time in the moment and time of a span. holidays Time dimension processing;
Analysis Space dimension: zone/ Space dimension processing;
The moment time is generally accurate to a second, modeling path/ road/ link CUBE calculating
while in fact the seconds are always neglected. So the Topic: traffic state
time dimension was classified as hour, span, day, week, Implementation: Oracle 9i
month and quarter.
Quarter was assigned to spring, summer, autumn OLAP: Analyzed by work days;
and winter, to describe traffic effects from the seasons. Evaluating Slice, dice, drill down and Analyzed by time span;
exploring drill up Road traffic state;
Month was described as the first to the last month of Zone traffic state;
a year, to explore traffic evolvement of one month. Visualization.
Day was subdivided into two kinds. One was Figure 1. Procedure of data modeling in IETS
holiday and non-holiday, when the traffic character
appears remarkable difference. The other was 3. Knowledge discovery in IETS
expressed as week days from Sunday to Saturday.
Hour was defined as peak hour, off peak and late The online analysis of road network traffic state was
night. Also it could be divided into 24 hours or smaller the kernel part of IETS, representing a kind of passive
time span according to some special purpose. transportation experiments. The traffic state varied in
The space dimension was relatively simpler than the different environments from time to time. Although we
time dimension. It was classified according to position

788
could not change the conditions of the environments
actively, we could query and explore different traffic
phenomena in different environments through
changing the query conditions because each traffic
phenomenon was stored in the traffic data warehouse.
There three kinds of online analysis in IETS.
First was online analysis of micro traffic state. We
could present all micro traffic state recorded in data
warehouse and replay traffic evolvement in different
time and space. In this case we displayed phenomena
relative to geographic space using GIS techniques.
Those phenomena included traffic state of a whole
road network, or trajectory of one vehicle.
Second was mesoanalysis of traffic information. We
could make the micro data more understandable
through aggregating the data according to different
conditions such as time and space. The results were
presented as traditional statistical reports, also were
sliced, diced, and drilled up and down in varied
dimensions. In this case we provided analysis of top
congested roads and links, or congested time spans.
Third was exploring of unknown phenomena. For
example, we could analyze the relationship by data
mining tools between the travel speed of one link and
that of its reversed link to explore how “tide” traffic
evolved in different time and space.
In the knowledge discovering procedure, we often
abided by an observation-hypothesis-verification
principle. We first made some hypothesis through
observation from the statistical results or visual map,
and then we used the data again to confirm our
assumption. An example of data exploring was given
below.
Observation. In the case, we could learn real time
road traffic states through color filled in the roads’
shape. Here the color blue, yellow, red represents three
traffic states free, congested, blocked in turn. Figure 2
shows a general traffic state view of a road network.
The network states changed while time elapsed. And
we found some interesting phenomena in some links
before or after an arterial intersection. It was found that
in flat hours and peak hours, the effects the intersection
applied to near links were quite different.
Figure 2. General view of road network traffic state
789
Hypothesis. We made an assumption that upstream
links might be more congested than downstream links
around an intersection. But after studying the recorded
data of that links, it seemed it was not true.
Verification. To verify the assumption we made, we
chose three adjoining links appeared unusual with two
links before an arterial intersection and one follow the
intersection. To simplify the result, we numbered the
three links as 1, 2 and 3. Figure 3 shows the study links.
The traffic flow direction was the same as the arrow
showed. The yellow area was an intersection where
two arterial roads crossed.
Figure 3. Studying links
We compared the processed traffic state among the
three links in some time span. In this case, the data
were retrieved from 3pm to 4pm in Mar 24, 2008. The
traffic state was processed into three states, 1 as
blocked, 2 as congested and 3 as free. The compare
result is shown in figure 4. We were surprise to found
that the downstream link, link 3, was more likely to be
congested than the upstream link, link 1 was. Then we
could draw a conclusion that in flat hours the effect of
an arterial intersection to the downstream link is more
serious than that to the upstream link, except the
upstream link adjoining the intersection.
Wusong road(Yuhang－Haining North) traffic
state （2008-3-24 15:00~16:00）
3
Traffic state
2
1
0
15:00 15:05 15:10 15:15 15:20 15:25 15:30 15:35 15:40 15:45 15:50 15:55
Time span
Link 1 Link 2 Link 3
Figure 4. Links traffic state in Wusong Road
To verify the conclusion, we chose other links near
other arterial intersection having the same pattern as
the studying links. We found that 78% of the testing
links group appeared the same results just like the
conclusion suggested. Further research showed that
when the upstream link was not long enough, the effect
from the intersection would spread to the next support to the planers and managers of transportation
upstream link. systems.
To exploring more information, we could also look In this case we illustrated a procedure of knowledge
into more detail data. Considering the links in figure 3 discovery in IETS. Because the IETS was still under
again, we saw about the travel speed of link 1 and link constructing and the data, to some extent, were instable
2. This time the data told us that in flat hours and peak and insufficient, the results we gained might not match
hours, the effect was different. Figure 5 shows the the factual transportation system. Another problem was
travel speed of link 1 and link 2. The data was retrieve that we hadn’t made the data exploring procedure
from 3pm to 8:30pm in Mar 24, 2008. automatization. Most of the jobs were done by manual.
Wusong road(Yuhang-Haining) travel speed
（2008-3-24） 5. Acknowledgement
9
8
7 This research was sponsored by funding the grand
Travel speed (m/s)

6 project of Science and Technology Commission of

5 Shanghai (Project No. 05dz15005): Grid-based traffic
4
3
information service system.
2
1 6. References
0
15:00

15:15

15:30

15:45

16:00

16:15

16:30

16:45

17:00

17:15

17:30

17:45

18:00

18:15

18:30

18:45

19:00

19:15

19:30

19:45

20:00

20:15

20:30

Time span Link 1 Eds. G. Piatetsky-Shapiro, and W. J. Frawley, Knowledge

Link 2 Discovery In Databases, AAAI Press/MIT Press, Cambridge,
Figure 5. Travel speed of two adjoining links MA, 1991, pp. 1-30.
From figure 5 it is easy to see that in the flat hours,
from 3pm to 4:30pm, the average travel speed of link 1 R.J.Brachman, T.Anand, “The Process of know-ledge
discovery in database”, Advanced in Knowledge Discovery
was higher than that of link 2. It suggested that the
and Data Ming. AAAI/MIT Press, 1996.
effect of the intersection near link2 might not apply to
its upstream link, link 2. But in the peak hours, from Xiao-guang Yang, Mei Tong, etc, “Traffic State Estimation
4:30pm to 6:30pm, the two lines appeared like a jagged, Using Taxi GPS Data”, The10th International Conference on
interlocking pattern. It meant the upstream link 1 Applications of Advanced Technologies in Transportation.
began to be affected by the intersection, having similar Athens, Greece, 2008.
trend as link 2. We were also curious to see that the
phenomenon lasted after the peak hours. Yasunori Iida, “Prospects of Experimental Traffic
Engineering”, Journal of traffic engineering, Japan, 1999,
No.6 Vol.34.
4. Conclusion
Yang Xiaoguang, Sunjian, “Basic theory and research
Using knowledge discovery techniques, we could prospects of Experimental T raffic Engineering.”, WEC2004,
explore massive data and found useful information that Shanghai, 2004.
we might neglect in daily work. Some of the
information might be useful to provide decision

790
 2008 International Conference on Intelligent Computation Technology and Automation

Mining Positive and Negative Association Rules in Multi-database Based on

Minimum Interestingness

Shi-ju SHANG1 Xiang-jun DONG1, 2 Jie LI3 Yuan-yuan ZHAO1

1
Shandong Institute of Light Industry, School of Information Science and Technology,
Shandong Jinan 250353
2
School of Management and Economics, Beijing Institute of Technology,
Beijing 100081, P.R. China
3
College of Mathematics and Information Science, Guangxi University,
Guangxi, Nanning 530004
Shiju82@163.com dxj@sdili.edu.cn Lijie2301117@163.com xiaofengye1013@163.com

Abstract applications. For effective decision-making, global

With the increasing development and application of
information and communication technologies, multi-
database mining is becoming more and more
important. Association rules mining is the major topic
in multi-database. According to Piatetsky-Shapiro’s
argument, an association rule is interesting only if the
rule meets the minimum interestingness condition. In
this paper, we extended this condition to mine
association rules in multi-database and improved it to
check the correlation of association rules. An
algorithm PNAR_MDB _on P-S measure is proposed
and the experimental results demonstrated the
algorithm is effective.
1. Introduction
Database mining has emerged as a major
application area for an efficient discovery of the
previously unknown and potentially useful patterns in
large databases. Traditional association rule mining has
been mainly focused on identifying the relationships
strongly associated among itemsets that have frequent
and high-correlation. It is the form X⇒Y call positive
association rules (PARs). As an important supplement,
the other three forms X⇒¬Y, ¬X⇒Y, ¬X⇒¬Y call
negative association rules (NARs) which can catch
mutually exclusive correlations among items, they can
provide much useful information and play an important
role in decision-making.
Nowadays most of the techniques of NARs mining
focus on mono-database. Rapid strides made in the
communication network technology and distributed
database systems have led to the development of
several multi-database systems for industrial
organizations are required to mine the multiple
databases that are distributed through out their
branches.Multi-database mining can be defined as the
process of mining data from multiple databases, which
may be heterogeneous, and finding novel and useful
patterns of significance.
In this paper, we mined the same category
databases based on the databases classified into several
group. In [1] proposed a method of synthesizing rules
by weighting. But it only considers positive association
rules; this will leave out much useful information
probably, so we will synthesizing the frequent itemsets
in different databases, this way can avoid knowledge
conflicts within databases may occur when mining
both the positive and negative association rules
simultaneously, Moreover, according to Piatetsky-
Shapiro’s argument, an association rule is interesting
only if the rule meets the minimum interestingness
condition. This condition is extended to mine
association rules in multi-database which can prune the
rules, whose interestingness is low.
The main contributions of this paper are as follows:
1. We revision P-S interestingness and extended it to
mine association rules in multi-database.
2. An algorithm PNAR_MDB _on P-S measure is
proposed to discover PNARs in multi-database.
The rest of this paper is organized as follows.
Section 2 is introduction the related work of P-S
interestingness. Mining association rules in Multi-
database based on minimum interestingness in Section
3. Section 4 is algorithm design. Section 5 is
experimental results and Section 6 is conclusions and
future work.

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DOI 10.1109/ICICTA.2008.43
2. The related work of P-S interestingness
Mining association rules can be described as follows:
Let I = {i1, i2…in} be a set of N distinct literals called
items. Let D be a set of database transactions where
each transaction T is a set of items such that T⊆I. Each
transaction is associated with a unique identifier, called TID.
Let A, B be a set of items, an association rule is an
implication of the form A⇒B, where A⊂I, B⊂I, and A∩
B=∅. A is called antecedent of the rule, and B is called the
consequent of the rule. The rule A⇒B holds in the
transaction set D with support supp, where supp is the
percentage of transactions in D that contain both A and B. In
other words, the support of the rule is the probability P (A∪
B). The rule A⇒B also has another measure called
confidence conf, where conf is the percentage of
transactions in D containing A that also contain B. In other
words, the confidence of the rule is the conditional
probability P (B|A).
Mining association rules is the process of
discovering those association rules whose supp and
conf meet some user specified minimum (minsupp) and
minimum confidence (minconf), but some association
rules satisfies this condition is not interesting.
According to Piatetsky-Shapiro’s argument, if supp
(A∪B)≈ supp (A) *supp (B), then the rule A⇒B is not
interesting. The rule is interesting only if meet the
condition : supp(A∪B)−supp(A)* supp(B)≥mininterest,
The people are familiar with calling this condition the
P-S interestingness, and mininterest>0 is given by the
user or the expert, but P-S interestingness is not
Consider negative association rules
In[2]the author extended this condition to negative
association rules ,if the rule A⇒B is interesting only if
meet the condition that | supp(A∪B)− supp(A) *
supp(B)|≥mininterest,this revision not only mining
negative association rules but also check the
correlation of association rules. corrA, B = supp (A∪B)−
supp (A) * supp (B)
(1) If corrA,B >0, then A and B is positively correlated
(2)If corrA,B =0, then A and B is independent,
(3)If corrA,B <0, then A and B is negatively correlated
Negative association was first noted by Brin et al.
[3]. Savasere et al. [4] proposed a method to mine
strong NARs. In [5] the authors proposed a PR
(Probability Ratio) model and proposed a new method
to discover both positive and negative association
rules. In [6] the authors proposed a PNARC (Positive
and Negative Association Rules on Correlation) and
proposed a simple but efficient method to calculate the
support and confidence of NARs through positive
association rule’s, furthermore this model can detect
and delete those self-contradictory rules by correlation.
A method of mining positive and negative association
792
rules based on multi-confidence and Chi-squared test is
proposed in [7], this method solved a dilemmatic
situation of using a single confidence threshold. [8]
proposed a new measure VARCC and proposed an
algorithm PNAR-MLMS which can mining positive
and negative association rules from frequent and
infrequent itemsets.
3. Association rules in multi-database
based on minimum interestingness
3.1 Database weighting and synthesizing
frequent itemsets
In order to synthesize frequent itemsets from
different databases in the branches of a company, the
weight of each database must be determined. In [1] the
author assumed that, within a company, each branch,
large or small, has equal power to vote for global
decision-making. In a pure business sense, all branches
are not equal; the branches which have high volume of
business will have and should have a greater say in
determining global policies based on global patterns.
So in [9] the author made a fair assumption that a large
number of transactions imply high volume of business,
for example, if there are two databases D1 and D2and if
D2 has twice the number of transactions of D1, then
effective vote for D2will be two as compared to one of
D1. This approach is in tune with the practice followed
in the real world applications.
Let D1, D2…Dm be m different databases from one
class of the branches of a large company, Num (Di) is
the number of transaction of Di, the weight of Di as
follows:
N um (Di )
ω DI = m
∑ N um (Di )
i =1
After we got the weight of database, we can synthesize
the frequent itemsets. Let FSi is the frequent itemsets
of Di, ω1, ω2…ωm are the weights of D1, D2…Dm
respectively, globe minsupport is minsuppω, for the
frequent itemset X, synthesizing model as follows:
suppω(X) =ω1×supp1(X)+ω2×supp2 (X) +…+ωm ×suppm
(X)
confω (A⇒B) = su p p ω ( A ∪ B )
su p p ω ( A )
Where suppω(X) is the support of X after
synthesizing, confω (A⇒B)is the confidence of the rule
A⇒B after synthesizing, because of adding weighting
,the support of synthesized itemsets is changed ,so we
remove those frequent itemsets whose support can not
meet minsuppω.
 If confω (¬A⇒B) ≥ minconf then
3.2 Mining association rules in multi-database NARs = NARs∪ {¬A⇒B};
}
We revision P-S interestingness and extended it to };
mining association rules in multi-database. If the rule output PARs and NARs
A⇒B is interesting only if it meet the condition that
|suppω(A∪B) −suppω(A)*suppω(B) |≥mininterest. The 5. Experimental results
correlation of association rules can solve the self-
contradictory rules, so we improved the P-S In order to demonstrate that our method is effective,
interestingness. Let the correlation of the synthesized we do the experiment on AMD3000+,1.8GHz,
frequent itemset A and B is corr ω(A, B) 512RAM,WinXP,PowerBuilder6.5,suppose three
Corr ω(A,B)= suppω (A∪B)−suppω (A)suppω (B) databases is D1,D2,D3, the number of transaction is
Where suppω(A∪B), suppω (A), suppω (B) is the 4,6,10,as follows:
support of frequent itemset AB, A, B in each database D1={(A,B,D); (A,B,C,E); (A,B,C,D); (B,C,D); }
after synthesizing. If corrω(A,B)>0 then (1)corrω(A,¬B)<0 D2={(A,B,C); (A,C,D,E); (B,C,D); (B,D,E); (A,C,E);
(A,B,D,E); }
(2)corrω(¬A,B)<0 (3)corrω(¬A,¬B)>0,and vice versa. The
D3={(A,B,C); (A,B,C,D); (A,B,C,E); (B,D,E);
theorem is the same with reference [2]
(B,C,D,E); (A,B,C,D,E); (B,C,E); (C,D,E);
(1) If corrω(A,B)>0 we mine rules of the forms A⇒B and
(A,C,D,E); (A,B,D,E); }
¬A⇒¬B
So the weight of database is ω1=0.2, ω2=0.3, ω3=0.5,
(2) If corrω(A,B)<0, we mine rules of the forms A⇒¬B
we set the minsupp is 0.3, 0.3, 0.4, minsuppω=0.2,
and ¬A⇒B
minconf=0.3. We synthesized frequent itemset by the
(3) If corrω(A,B)=0, there is no rules generated weight of database after got frequent itemsets by
Aprior. Table.1 is the number of association rule
4. Algorithm design generated by PNAR_MDB _on P-S measure .Flag=11,
flag=12, flag=13, flag=14 denote association rules of
Algorithm: PNAR_MDB _on P-S measure the form A⇒B, A⇒¬B, ¬A⇒B, ¬A⇒¬B respectively.
Input: FS1, FS2…FSm: the frequent itemsets database
D1, D2…Dm Table 1. The number of association rules
minsuppω: the threshold of the globe support,
minconf: the threshold of the confidence interestingness 11 12 13 14 prune Total
0 24 4 4 24 ⎯ 56
ω1, ω2 … ωm: the weight of database D1, D2…Dm
0.03 20 4 4 18 8 48
mininterest: the minimum of interestingness
0.06 18 4 4 18 12 44
Output: PARs and NARs: Put databases in
① FS ← {FS1, FS2…FSm}; PARs =Φ; NARs =Φ single data by 75 ⎯ ⎯ ⎯ ⎯ 75
② for each frenquent itemset X in FS do Apriori
suppω (X) =ω1×supp1 (X) +ω2×supp2 (X) +…+ωm
×suppm (X) From table.1, we can see that the number of
If suppω (X) <minsupp association rules by Apriori is 75, but by the method of
FS ←FS -{X} our proposed, the number is decreased obviously. At
③for each synthesized frequent itemset X in FS do the same time, with interestingness increasing, the
For any itemset A∪B =X and A∩B=Φ do { number of pruned rules also increases. This means that
the interestingness can be used to prune less valued
If|suppω(A∪B)−suppω(A)suppω(B)|≥mininterest
rules effectively.
then {
If suppω (A∪B) −suppω (A) suppω (B)>0 then {
If conf ω (A⇒B) ≥ minconf then
6. Conclusions and future work
PARs = PARs∪ {A⇒B};
When mining multi-database, because the factor of
If conf ω (¬A⇒¬B) ≥ minconf then
volume of business , profit and so on is different ,so
NARs = NARs∪ {¬A⇒¬B}; the weighting of database is different, synthesizing the
} frequent itemset which in different databases, which
If suppω (A∪B)−suppω (A)suppω (B)<0 then { can avoid Knowledge conflicts within databases
If confω (A⇒¬B) ≥ minconf then may occur when mining both the positive and negative
NARs = NARs∪ {A⇒¬B}; association rules simultaneously, Moreover, according

793
to Piatetsky-Shapiro’s argument, an association rule is
interesting only if the rule meets the minimum
interestingness condition. This condition is extended
association rules in multi-database. This way can prune
the rules, whose interestingness is low.
Acknowledgements
This work was partially supported by Shandong
Science Foundation (Y2007G25); the National Post
Doctor Foundation of China under Grant
(20070420302) and Excellent Young Scientist
Foundation of Shandong Province, China
(2006BS01017).
8. References
[1]Tang, Y., Niu, L., Zhang, S.: Algorithm Research of
Mining Association Rules in Multi-data Sources.
Journal of Guangxi Normal University, 2002:20(4): 27-
31
[2]Dong, X., Song, H., Jiang, H., Lu, Y.: Minimum
Interestingness Based Method for Discovering Positive
and Negative Association Rules. Computer project and
application, 2004.27:24-31
794
[3] Brin, S., Motwani, R., Silverstein, and C.Beyond Market:
Generalizing Association Rules to Correlations. In
Processing of the ACM SIGMOD Conference, 1997:
265-276
[4] Savasere, A., Omiecinski, E., Navathe, S. Mining for
Strong Negative Associations in a Large Database of
Customer Transaction. In Proceedings of the 1998
International Conference on Data Engineering, 1998:
494-502
[5] Zhang, C., Zhang, S.: Association Rule Mining, LNAI
2307, Springer-Verlag Berlin Heidelberg (2002) 47-84.
[6] Dong, X., Wang, S., Song, H.: Study of Negative
Association Rules, Beijing Institute of Technology
Journal 2004, 24(11): 978-981.
[7] Dong, X., Sun, F., Han, X., Hou, R.: Study of Positive
and Negative Association Rules Based on Multi-
confidence and Chi-Squared Test. LNAI 4093,
Springer-Verlag Berlin Heidelberg (2006) 100-109
[8] Dong, X., Niu, Z., Shi, X., Zhang, X., Zhu, D.: Mining
both Positive and Negative Association Rules from
Frequent and Infrequent Itemsets. ADMA 2007, LNAI
4632, Springer-Verlag Berlin Heidelberg (2007) 122–
133.
[9] Ramkumar, T., Srinivasan, R.: Modified algorithms for
synthesizing high-frequency rules from different data
sources. Springer-Verlag London (2008)
 2008 International Conference on Intelligent Computation Technology and Automation
Research and Application of Data Mining for Runoff Forecasting
Cailin Li1
1. College of electronical and mechanical
engineering，Guilin University of Electronic
Technology， Guilin, P.R.China, 541004
Lee_cailin@163.com, Leecailin@gmail.com
Abstract
This paper presents a runoff forecasting method based
on data mining. A runoff forecasting model is built up by
the data mining tool ANN. Data mining is carried on by
BP model and the convergence speed is improved by the
modification of the weight coefficients. The model is
tested in a real project and compared with general
models. The test result and analysis illustrate its good
precision of forecasting and good value in the
application.
1. Introduction
Runoff forecasting is a hydrology problem which is
indispensable of reservoir optimal scheduling. Former
general methods perform low precision in long-term
runoff forecasting and can hardly serve for long-term
reservoir optimal scheduling, which leads to the
inevitability of the research about new-style methods,
improvement methods and hybrid methods.
Generally, runoff forecasting methods contain process-
driver model and data-driver model [1]. The former is
based on hydrology conceptions and principles, which is a
mathematic model for stream flow process forecasting by
simulating the runoff formation process and the river
evolution process; the latter is a black box method which
goal is to build optimal mathematic relations between
input and output without concerning to the physical
characteristics. Data-driver model is widely used in many
research fields and new forecasting algorithms develop
rapidly during these years. ANN, nonlinear time series
analysis model, fuzzy mathematics method and gray
system mode are all data-driver models. Data mining is a
novel technique which has been used in load forecasting
and plant operation for electric system. It’s is an
innovation to apply data mining technique to runoff
forecasting [2].
978-0-7695-3357-5/08 $25.00 © 2008 IEEE
DOI 10.1109/ICICTA.2008.75
Xiaohui Yuan2
2. school of hydropower & information
engineering, huazhong university of science
and technology, wuhan ,china, 430074
2. Data mining and ANN
Data mining is also known as knowledge discovery in
database (KDD), which is usually used to analysis huge
data set in order to find unknown relationships and
aggregate data characteristics with flexible ways for the
database owner. Through data mining, a lot of original
data can be easily understood by attractive modes.
Artificial Neural Network (ANN), or Connectionism
Model or Parallel Processing Model, is based on modern
neural science research, which is connected by plenty of
neurons and performs the characteristics of human brain.
ANN is an abstractive and simplified simulation of human
brain. It is a common algorithm of data mining and its
application into power system causes the hydrological
forecasting come into a new research region [3, 4].
Basic theory of ANN is presented in many references
[4,5]
. In this approach, BP is used as a data mining tool to
make runoff forecasting. BP was produced by Rumelhart
in 1985. During the BP study period, the mapping from
input to output is achieved by minimizes a price function.
When the signal is input, it is first sent to the hidden node,
through the functional function, the output signal from the
hidden node is transported to the output layer. After a
certain treatment, the final result is achieved. The back
propagation calculation is relatively difficult; however,
weight coefficient amendment method can be used to
improve the precision. A weight coefficient amendment
equation is shown in (1).
Δω i (m + 1) = η ∑ δ i O j + aΔω i (m) (1)
k
Where k is the samples number, η is the study step,
δi is the error of iterativation, which is different from
inside units to output units. Unfortunately, in this
amendment method, some of the steps leads to more
iterative times although it causes less error than other
795
samples. Here, η is not easily chosen, too large η may
cause oscillation, which causes low convergence speed.
There are two improved algorithms, one is momentum
amendment method, in which not all the weight
coefficient is amended immediately as a sample is given
but after all the samples have been brought out the errors
for sample effection are calculated and amended. Where
the weight value has relation with error summation.
Another is to optimize the study coefficient. In this
method, η is chosen according to the error value. If the
error becomes decrescent in an iterative step, then η
should multiply a gene greater than 1 in the next step. If
the error becomes increscent, then η should multiply a
gene less than 1 in the next step, set a = 0 and repeat the
iterativation until the error become decrescent. Therefore,
a new weight coefficient amendment with high
convergence speed is achieved in (2).
Δω i (m + 1) = η ∑ δ i O j + aΔω i (m) (2)
k
3. Integrative long-term runoff forecasting
model
A feed forward ANN with single connotative layer is
chosen and the study rule is error amendment method. As
shown in fig.1. The first layer is input layer in which the
parameters are about history runoff, precipitation rain fall,
temperature, macula coefficient and humidity (5 input
parameters). The second layer is connotative layer which
contains 10 nodes, where sigmoid function is used. The
third layer is output layer where linear transform function
is worked. The output of the net is the forecasting runoff
of a month or a day.
Fig.1 Multi input single output BP net
3.1. Input and output net structure
As shown in fig.1. x k (k = 1,2,..., n) are input nodes,
Ol is the output node, ω ij is the weight value of input
796
nodes and the connotative nodes, Tli is the weight value
of the connotative nodes and the output node.
During the consequence, a better precision can be
achieved if the training data are instead of the history data
with the same forecasting time. Therefore the forecasting
gene is ascertained from the rule of the history
corresponding period streamflow. Before the forecasting
year, runoff history data which include rainy years,
median flow years and low water years are chosen to
serve as forecasting genes. Along with the forecasting day
temperature data, forecasting day climate data and so on,
the integrative ANN model is come into being. Fig.2.
Fig. 2 ANN structure of integrative model
The performance of the net depends on the number of
the connotative layer nodes and the chosen of the nodes
would affect the result precision. Kolmogorov theorem is
used to confirm the nodes number. In this approach, there
are 5 input nodes in the input layer 1 node in the output
layer. Experiments show that 10 or so interim nerve cells
may cause relatively higher forecasting precision. Here,
10 nerve cells are used.
3.2. Sample pretreatment
The nerve cells transfer function is sigmoid function,
of which the middle part is chosen to avoid that the output
run into saturation area.
For runoff history data, smoothness treatment is made
according to (3).
Q − Qmin
Qˆ t = t (3)
Qmax − Qmin
The real runoff data into the output layer are calculated
by (4)
Qt = Qˆ t (Qmax − Qmin ) + Qmin (4)
Where Q̂t is the output value after smoothness
treatment, Qmax ,Qmin are the max. and min. values of
the history date of the training sample set.
3.3. The forecasting process
 At first, the history data sample is trained, then the is not a recognized criterion to evaluate the precision of
relationship between input(the history data) and long-term runoff forecasting, therefore, relative error less
output(the real reservoir inflow) is built up, finally the than 30% serves as the criterion in this research.
trained ANN model is used to calculate the corresponding
forecasting values[5,6]. Steps are shown as follow:
(a) Initialize all the weight confidents values and
threshold parameter values. All above initialization values
are evaluated by stochastic numbers in [0, 1].
(b) Set the training sample set. Choose 5 years history
data what relate to the forecasting runoff to serve as the
history sample. Set 5 ANN input nodes, 10 connotative
nodes and 1 output node. All the sample are normalized to
[0, 1]. Through ANN model training, nonlinear mapping Fig.3 Parameter training process
relation between input and output can be achieved.
(c) Calculate the connotative layer output value yi and the Table 1 and Fig. 4 show that the most of the streamflow
output layer output value Ol, (5), (6). occurs from June to October, the maximum value is in
yi = f (∑ ω ij xi − θ l ) (5) September. From December to the next March is the
j period with the least streamflow and the minimum value
Ol = f (∑ Tli yi − θ l )
occurs in February. Fig. 5 shows that the relative error of
(6) forecasting model is less in low water season. But at the
i
beginning and the end of the flood period or under some
(d) Calculate the sample error, (7). extreme circumstances, the relative error is comparatively
1 1
E＝ ∑
2 t
(tl − Ol ) 2 = ∑(tl − f (∑Tli yi − θl ))2
2 l l
large. This is mostly owing to high indetermination of
month streamflow which may cause high instability in
(7) average stramflow of multi years. Therefore, month
1
= ∑tl − f (∑Tli f (∑ωij x j − θl ) − θl ) 2 runoff forecasting is more difficult in long-term runoff
2 l forecasting.
l j
(e) If the sample error value is less than allowable one, the
training process is completed, otherwise, go step (f).
(f) Calculate error value of the connotative layer and the
output layer.
(g) Update the weight coefficient values and the threshold
parameter values of each layer and training again.

4. Long-term runoff forecasting experiment

based on data mining
4.1. Experiment process
The experiment is carried on the project platform of
Huazhong Power Grid Water Plants United Optimal
Scheduling. Dan Jiangkou plant is chosen as the
experiment plant. The model training set is made up of
history runoff date from 1950 to 1999, from which the
checkout set is separated. All the absurd data should be
corrected before the training process. Fig.3 illustrates the
parameters training process.
Fig. 4 Dan Jiangkou Plant Inflow from 2001 to 2003
Table 2 and Fig.5 illustrate the real inflow, forecasting
value and the relative error of forecasting. It shows that
the approach performs high precision in non flood period.
And the number of which the error values less than 30%
covers 70% of the number of total perdition date. There is
also some larger error occur in some flood period. That is
a common problem for most of the forecasting methods.

4.2. Result analysis

Table 1 and Fig. 4 illustrate the month forecasting
streamflow from 2001 to 2003. Table 2 shows the
forecasting result of the last ten day in March 2003. There

797
 Table 1. Data mining result from 2001 to 2003
Forecasting Value/(m3/s) Real Value/(m3/s) Error/(%)
Month
2001 2002 2003 2001 2002 2003 2001 2002 2003
1 338.89 328.97 1302.00 310.55 322.54 1158.00 12.71 6.87 11.90
2 279.97 292.54 2.57 233.62 183.13 29.47 211.45 185.99 8.45
3 580.34 478.35 26.33 298.53 400.32 24.78 285.06 312.45 7.45
4 782.12 876.97 13.45 630.21 659.21 6.53 725.29 1010.00 28.00
5 676.88 1160.82 39.66 469.88 1023.67 53.38 715.69 480.45 51.12
6 970.3 1185.36 17.97 313.39 492.21 36.35 1356.00 610.56 122.30
7 1378.63 1025.87 34.66 646.61 2135.58 70.74 1852.11 744.06 141.11
8 1056.81 2049.2 48.67 2070.01 1817.89 14.16 1649.87 1076.56 53.45
9 1470.93 2540.06 42.13 2974.99 5757.68 58.28 1889.86 3230.56 41.49
10 954.67 1668.89 43.34 1999.94 3267.97 38.99 1011.43 1540.34 39.31
11 1037.65 753.67 37.78 756.38 932.57 19.22 493.97 622.21 19.81
12 444.67 410.62 9.38 308.64 495.48 37.80 527.00 418.99 26.01
Table 2. Degree of risk If the runoff history sequence is not long enough then
Date Forecasting Real Error/(%) the data mining result may not reach the prospective point.
Value/(m3/s) Value/(m3/s) At this time, the forecasting veracity is suspicious. For
21 610 901 32.29 those water plant with not enough data, the forecasting
22 487 411 18.49 precision is hardly acceptable or even the data mining
23 469 422 11.13 work can not be carried through and larger error will
24 466 523 10.89 occur in flood period. Further more, the choice of
origninal data for forecasting genes and the training
25 455 378 20.37
threshold value may affect the precision in different
26 401 801 49.93
valley and reservoir. So this eigenvalues should be
27 431 766 43.73
adjusted according to different circumstances.
28 476 1023 53.47
The authors gratefully acknowledge the financial
29 509 683 25.47 supports from National Natural Science Foundation of
30 531 672 20.98 China under Grant No. 50779020.
31 512 620 17.42
References
[1] Chen Shouyu, “Integrative analysis theory mode and
method to long-term hydrologic forecast”, Jurnal of Hydraulic
Engineering, 1997, 8: pp. 15-21.
[2] Ding Jie. Wei Minwen, Dai Jie etc., “Application of
warehouse & data dining technology to Hunan reservoir
scheduling”, Hydropower Automation and Dam Monitoring,
Vol. 29 No. 3 June 20, 2005.
[3] W. H. Inmon, Building the Data Warehouse. John Wiley &
Fig. 5 The last 10 days inflow in March 2003 of Dan Sons, New York. 2003.
Jiangkou reservoir [4] Xu Yonggong, Li Shu qin Pei Jingping, “Establishment and
5. Conclusion application of the BP neural network model on medium-and
long-range forecast of runoff”, Agricultural Research in the Arid
Areas, 2001, (3): pp. 38-42.
In this approach, a long-term integrative ANN runoff [5] Scott Weaver, Leemon Baird, Marios Polycarpou, “Using
forecasting model is built up, data mining technology is localizing learning to improve supervised learning algorithms”,
applied to hydrologic forecasting and BP algorithm of IEEE Transaction on neural networks, 2001, 12(5): pp.1037-
ANN is used to make the data mining work. Compared 1046.
with traditional runoff forecasting method, this approach [6] Chi-Tat Tommy, W. S. Chow, “Adaptive regularization
needs less input data requirement, less maintenance and parameter selection method for enhancing generalization
capability of neural networks”, Artificial Intelligence, 1999,
performs more simple forecasting process. The test result
107(2): pp. 347-356.
shows that the precision is fit for engineering project.

798
 2008 International Conference on Intelligent Computation Technology and Automation
Research on Model and Method for Product Data Distributed Storage in
Internet/Intranet environment
C. Song, M. Kang and Z. Wei
Department of Computer Science, Ocean University of China
songouc @gmail.com
Abstract
In multi-enterprises alliance for cooperatively
designing and manufacturing product, all relevant
data about the product is stored in the different
Product Data Management systems (PDMs) and
Databases respectively belonging to alliance members.
In order to effectively integrating, storing and
exchanging the decentralized product data among
alliance partners, this article presents a distributed
data storage model. This model comprises three levels:
Product Data Global Mode (PDGM), Product Data
Segment Mode (PDSM) and Product Data Distribution
Assignment Mode (PDAM). In PDGM, the global
product information, such as product data dictionary
and so forth, can be defined. PDSM can be used to
obtain the compartmentalized product data segments
with each having basic semantics and to define
constraint conditions between product data. PDAM
can help to store product data segments into dispersed
enterprise database separately according to
designated store mode and a certain redundancy,
hence storing product data in a distributed, layered
and cooperative style. Furthermore, this article put
forward a correlative model of product information in
multi-enterprises alliance environment, by which one
partner can share product data segments from other
partners and then assemble an integral product with its
PDMs. Finally, all key enabling techniques have been
practiced in an aviation project and the approaches
proposed have been verified.
1. Introduction
Owing to the new challenges of increased global
competition resulted from taking advantage of
information technology and electronic commerce,
virtual allied enterprises has been formed by
collaborating within companies or among different
companies in order to support time-to-market and mass
custom-making. In this virtual environment,
978-0-7695-3357-5/08 $25.00 © 2008 IEEE 799
DOI 10.1109/ICICTA.2008.107
geographically dispersed member companies
collaborate in all tasks of product design and
manufacture, with each member company using its
proprietary facilities. In the meantime, the
corresponding information systems supporting all
activities of product lifecycle have been built in
member companies for their special purposes, with the
features of autonomy, heterogeneous architecture and
regional distribution. Therefore, the information
systems of virtual enterprises must possess the
following functions:
(1) Exchange of information among cooperative
companies. Because product information [1] and
knowledge-data are mainly in each allied enterprise
and information demands are frequent and dynamical,
the management capability of distributed data and
mutual transaction should be provided.
(2) Ensuring consistency of information. The
product data of collaborative enterprises differ to that
of a single enterprise.
(3) Supporting self-maintenance and independent
planning. Information system must base on the self-
government of member companies that are legal entity.
(4) Satisfying heterogeneous architecture and
interoperability. System must be created to ensure the
interoperability of heterogeneous data because the
diversity of hardware, operating system and
application software (database, file manager, PDM
system) are major impediments for member companies
to share their information with each other.
(5) Having system architecture of dynamic
development. The virtual enterprises have flexible
organizational structure to allow each member
company to join and leave the alliance without any
technical limit. One company may join different
alliances at the same time.
The above-mentioned characteristics of dynamic
enterprise alliance determine that all data of one kind
product are stored in a database and managed by
information systems among different enterprises
according to their cooperation and different divisions
of task. Also, the distributed storage systems of
product data have three features: (1) physical
distribution: product data is stored in product databases
of different computer nodes on the network; (2) logical
consistency: all product data in each nodal database is
organized into one integrated product data model by
some logic; (3) redundant data: several copies of the
same product data can be respectively stored in several
enterprise nodes under the consideration of system
reliability, communication cost, system efficiency and
other special requirements. In order to satisfy the
storage requirements for distribution, consistency,
transparency, security and validity to product data in
collaborative enterprises environment [2], in this paper,
a three-tiered distributed product data storage reference
model is presented based on the analysis of features of
distributed product data storage. A method of
distributed product data storage is also designed based
on the three-tier structural model.
Section 2 of this paper discusses the current studies
and recent advances in product data management [3]
system [4] under distributed collaborative design and
manufacturing environment. A distributed product data
storage reference model is presented based on the
three-tier structure in section 3 of this research. Section
4 of this article researches the method of product-
oriented data storage in collaborative enterprises. In
section 5, we describe a usage case to demonstrate how
our model works. Finally, a conclusion is given in
section 6.
2. Related works
There are several papers already published, which
concern product data management under a distributed
collaborative design and manufacturing environment.
PDM systems can help companies to manage
product data and development process throughout the
product lifecycle. In order to reduce the production
cost, many companies have distributed their production
plants to different locations. Therefore, a distributed
PDM (DPDM) system is required since the related
product data is dispersed. So how to assign the right
data to the right place is crucial to the DPDM system.
A product data allocation model is presented as a
solution for this issue [5]. In this data allocation model,
product data object is defined, which is the
combination of meta-data and physical product data
and cannot be divided as a logical unit of distribution.
All kinds of product data objects are grouped into three
categories, namely engineering data, production data
and marketing data, with each having different
retrieval frequency and update frequency, which in
turn determine how to distribute these data objects by
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means of duplicating or migrating. In other words, for
example, because production data and marketing data
are updated more frequently, they should be migrated
to a central place for a lower update access cost. While
engineering data is rarely updated, but often retrieved,
so it should be placed in remote PDM system sites.
An indirect replication algorithm that differs to
traditional replication algorithms is proposed following
the intrinsic characteristic of distributed storage
systems [6]. Based on the indirect replication algorithm,
data object is segmented into data blocks, which then
are encoded in order that there is data redundancy
between data blocks. The indirect replication algorithm
has less granularity of replication, less bandwidth and
storage costs, and provides higher availability,
durability, and security. The performance evaluation
shows that the encoding and decoding times are
proportional to the data size, and that the irregular
cascade bipartite graphs are of great advantage in
improving the success ratio of data recovery. Finally, if
the number of data blocks used to recover the data
object is larger than a certain value, the success ratio of
data recovery approaches 100% [6].
In a distributed database system, how to allocate
data to nodes is a pivotal factor. An approach is
proposed to construct data allocation model under a
distributed environment [7]. The proposed method
consists of following steps: (1) collect existing global
relations of the database if available; (2) analyze
frequently asked queries and group them into
categories for a better facilitating later; (3) set proper
objectives for data allocation, which can fall into four
major consideration: availability and reliability,
communication cost, storage cost, and parallelism; (4)
transform global relations into fragment relations
according to the analysis of frequently asked queries
and data allocation objectives; (5) allocate fragment
relations to sites. Based on the systematic method, a
formal model of data allocation has been created for
distributed database system, which introduces two
types of relation allocations: initial allocation of
relations and post allocation of relations. The former
refers to the allocation of data when the database is
created, and the latter refers to the allocation after
processing of the queries. An algorithm has been
derived from the proposed model of initial allocation
of relations, which transforms global relations into
fragmentation relations and provides opportunity for
maximum parallelism. Besides, a framework for
distributed data management in collaborative
computing systems is proposed early [8], where the
Collaborative Computing Data Space (CCDS) is
defined as a user level tool to provide a group of
participants with a space of shared data objects as well
as a simple interface to operations on data objects in
such data space.
CAD/CAM systems are well-known major tools for
design and manufacturing tasks. Inside a company,
there may be many CAD/CAM users who use different
CAD/CAM systems, which are running on various
kinds of platforms with different output file formats,
and frequently exchange data. For an enterprise
alliance with its partners residing in different location,
it is the same situation. A framework to exchange data
between different CAD/CAM users is proposed, and
used to tackle this issue [9]. The framework comprises
index server and clients, which establish a data
exchange and sharing environment for distributed
CAD/CAM users across different platforms. The index
server can manage user information, convert different
output formats into a standard format, and handle
communication between client users. The client side of
the architecture can help a user access to the index
server and other client users, response to all file
transfer requests and transfer files. Therefore, the
architecture satisfies the following requirements: cross
platform, data browsing, data search, auto format
recognition and translation. However, because of
differences in clients' CAD/CAM systems, this
framework is not suitable for a centralized or a
distributed database system, and just a semi-centralized
data-sharing framework [9].
3. Reference model of distributed product
data storage
The product-oriented enterprise alliances can be
organized in two ways when considering respectively
product lifecycle and product components. In view of
stages in product lifecycle, one alliance may comprise
the partners who play different roles in production
activities such as design, analysis, manufacturing and
so on, and these alliances are called the lifecycle-
oriented alliance. On the other hand, with a view to
parts that are needed to compose one product, an
alliance can consist of companies with each partner
accomplishing the tasks of designing and
manufacturing its appointed parts, and these alliances
are named the component-oriented alliance. In
addition, there may be an alliance, which is lifecycle-
oriented as well as component-oriented, with each
partner responsible for assigned parts throughout
product life cycle. Therefore, according to mentioned
above, for one product, the related product data owned
by different type of alliance differ from each other.
By the way the product data is structured and
layered, a reference model of distributed product data
storage is proposed in this paper. The reference model
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consists of three layers, namely, global schema,
fragment schema and allocation schema, each of which
is defined well to explain how the product data is
arranged and stored with different level of views from
outline to detail under a distributed collaborative
environment.
(1) Product data global schema, which is the virtual
logic layer and a global user view, realizes the
definition of product data as well as its global
directory. The global directory, which is actually a
product structure, provides a hierarchical classification
of component parts that form a product. The product
structure normally lists all component parts of product
with the basic attributes of each component as well as
the relationship between each part and parent product
in the hierarchical structure. Besides, it is needed to
indicate which stage of product lifecycle each part
shown in the global directory belongs to.
(2) In product data fragment schema, product data is
partitioned into data fragments according to certain
constraint relations. Here the constraint relations
mainly involve the application of specified product
data to production activities by partners who have
different divisions in a collaborative enterprise
alliance. For example, a manufacturer named k who is
a member of the collaborative enterprise alliance,
undertakes tasks of manufacturing some parts, should
store the needed process data, NC code and relevant
tooling data in its own database management system
for product data. As a partition operation to product
data, two important rules, namely the integrity and the
reconstruction, should be followed during the
procedure of partition. The integrity means that overall
product data must be stored in, and mapped to the
product database for an enterprise. The reconstruction
denotes that the whole product data model can be
reconstructed by using all product data fragments.
(3) Product data allocation schema stores product
data fragments into product databases of different
partner nodes according to certain redundancy and
specified redundant storage pattern. Communication
cost, efficiency and necessary redundancy should be
fully considered to determine the degree of
redundancy. For instance, some basic information
about product data, such as part name, part number,
relationships with one another and so on, must be
stored in each node with some redundancy.
4. Data storage model of product-oriented
multi-alliance
4.1 Definition of information correlation model
under multi-alliance environment
Under the condition of global market competition in
the future, the dominant company of collaborative
enterprise alliance may lose its station because of the
frequently changing of business opportunities, business
objectives, core resource, material supply chains and
ratio of risk to interest. Furthermore, any partner in a
collaborative enterprise alliance can affiliate itself with
other alliances simultaneously via different network
connections based on market demand and product
characteristics. But, generally, one company can only
have one PDM system. Therefore, for such a company
who has joined more than one enterprise alliances, in
order to make the partitioned product data fragments
that come from different enterprise alliances to coexist
and function well in its own PDM system, the
reasonable and effective product data storage approach
and storage model should be adopted to tackle this
situation. Besides, in a multi-alliance environment,
under the management and operation by distributed
PDM (DPDM) system, one company can accomplish
integrating the chosen data fragments into product data
that is relevant to each alliance to which the company
belongs.
It is supposed that each company has one PDM
system, which is made up of a PDM server, a
distributed database management system, a distributed
file management system, several databases, and a
couple of electronic document libraries. Based on this
supposition, in the following, four definitions are given
for the better description of the relationships between
alliance, company, product data and PDMs.
Definition 1. Set of collaborative enterprise
alliances: EnpAlliaSet={{DyEnp(1),ProdSet(1)} ，
{DyEnp(2), ProdSet (2)} ， … ， {DyEnp(i), ProdSet
(i)} ，…，{DyEnp(n), ProdSet (n)}}.
In definition 1, EnpAlliaSet denotes set of
companies who are capable of producing some sort of
product in a certain industry or production field. For
example, China Aviation Industry Corporation governs
many companies with each having the capability of
either designing or manufacturing in production of
airplane. Therefore, under certain constraint
conditions, all combinations of above-mentioned
companies give the domain for set of collaborative
enterprise alliances that engage in airplane designing
and manufacturing. The element DyEnp(i) in this set
represents a collaborative enterprise alliance formed
under certain constraint conditions such as designing,
manufacturing, resource advantages, industrial macro-
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control plans and so forth. Here is a example of how
the constraint conditions affect the forming of
alliances: for a special purpose, one type of airplane
requires to be designed jointly by the specified
research institute 1, 5, and manufactured
collaboratively by the chosen aircraft corporation 2, 3,
and then all of them group into collaborative enterprise
alliance DyEnp(i); For another type of airplane,
considering the factors of resource advantages and
collaborative relationships, research institute 1, aircraft
corporation 1 and 2 need to form collaborative
enterprise alliance DyEnp(j). Element ProdSet(i),
corresponding to enterprise alliance DyEnp(i), stands
for a product object set composed of all products about
which the alliance DyEnp(i) concerns. The pair of
{DyEnp(i), ProdSet(i)} denotes enterprise alliance
DyEnp(i) and its product object set ProdSet(i).
Definition 2. Set of companies constituting
collaborative enterprise alliance: DyEnp(k) = {Enp(1),
Enp(2), …, Enp(i), …, Enp(n)}.
In definition 2, DyEnp(k) represents a collaborative
enterprise alliance constituted by companies who must
satisfy certain constraint conditions such as
complementary advantages, basic principles of sharing
risks and profits, macroscopic adjustments and controls
by government, or considerations for national security
and so on. In collaborative enterprise alliance, each
member Enp(i) has its specializations that maybe
include designing, trial manufacturing, manufacturing,
material supplying, selling and maintaining of product
in stages of All Lifecycle of Product (ALCP). Among
collaborative enterprise alliance, there may exist more
than one company that can undertake and accomplish
same tasks. For example, a collaborative enterprise
alliance may comprise two companies or departments
to design jointly, two manufactories to manufacture
cooperatively, and many suppliers to supply materials
and outsourcing parts.
Definition 3. Set of product data:
EnpProdDataSet(k)={AlLocProd(1), AlLocProd(2),
…, AlLocProd(i), …, AlLocProd(n),
NoAlProdDataSet}.
In definition 3, EnpProdDataSet(k) represents all
product data owned and managed by company k who is
partners of several enterprise alliances. Such product
data can then be divided logically into two distinct
sections since parts of it come from different alliances.
The first is the shared product data portion, i.e., the
elements of EnpProdDataSet(k) from AlLocProd(1) to
AlLocProd(n), which are used by company k to
collaborate with other partners for the production of
products assigned by its joined alliances. The
remaining elements of EnpProdDataSet(k), namely
NoAlProdDataSet, form the private product data
section possessed exclusively by company k without
sharing it with other partners. Therefore, in multi-
alliance environment, since product data is dispersed
among partner nodes to better serve to collaboration,
such situation becomes the key issue to be tackled
when designing and constructing the product data
storage model. In definition 3, AlLocProd(i) represents
one product data fragment of a certain product, which
is managed by PDM system of company k. Therefore,
all product data segments can be combined to
assemble an entire product data.
Definition 4. Set of DPDM system resource:
EnpDPMsysSet(k)={PDMServ, DBMS, FMS, DBSet，
FVSet}
In this definition, EnpDPMsysSet(k) represents the
essential software system resource for company k, and
Figure 1. Interrelationship between alliances, enterprises, product data and software resources
4.2 Relationships between alliances, company,
product data and software resources
Figure 1 shows the interrelationship between
alliances, partner, product data and software resources.
The top layer in Figure 1 describes collaborative
enterprise alliances, which indicates that there are m
alliances with each alliance corresponding to a product
data set (i.e., enterprise alliance DyAE(i) corresponds
to product data set ProdDSet(i) with 1≤m ≤n). The
second layer from top is used to denote companies and
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the elements, PDMServ, DBMS, FMS, DBSet, FVSet,
denote PDM system, database management system,
file management system, distributed product databases,
distributed document vaults respectively. Hereinto,
DBSet={DB(1), DB(2), …, DB(i), …, DB(n)}, and
FVSet ={FV(1), FVB(2), …, FV(i), …, FV(n)}. DB(i)
indicates the structural product data segments stored in
company k, while FV(i) is non-structural data (i.e., 3D
model files, 2D drawing files and other technique
documents).
their PDM software resources, where Enp(i) stands for
company i and PDM(i) represents its software
resources relevant to product data management, which
includes PDM system, database management system
and file management system.
Obviously, it is easy to figure out the constituent
companies of each alliance from the first two layers. In
Figure 1, collaborative enterprise alliance DyAE(1)
comprises company Enp(1), Enp(2), Enp(4), and its
corresponding product object set ProdDSet(1) is
dispersedly stored in the databases and electronic
document vaults of company Enp(1), Enp(2), Enp(4);
similarly, DyAE(2) consists of Enp(2), Enp(3) and
Enp(4), and ProdDSet(2) is distributed among Enp(2),
Enp(3), Enp(4); and so on. The third layer in Figure 1
is for data fragments storage. For example, as shown in
Figure 1, company Enp(1) participates simultaneously
in two alliances DyAE(1), DyAE(3), so, in its database
there are two product data segments ProdDset1.Seg1,
ProdDset3.Seg1, respectively coming from product
object set ProdDSet(1), ProdDSet(3). In the same way,
since Enp(2) joins DyAE(1), DyAE(2), and
ProdDset1.Seg2, ProdDset2.Seg1 respectively from
ProdDSet(1), ProdDSet(2) are stored in its database.
5. A distributed product data storage
instance under multi-alliance environment
Company C
PDM SERVER
INTERNET/INTRANET
INTERNET/INTRANET
Company A
PDM SERVER
PDM X1 DATA
PDM X2 DATA
PDM X3 DATA
……
DB1 DB2 DB3 FSV3 FSV2 FSV1
DATABASE FILE SYS VAULT
Figure 2. Distributed product data storage instance in multi-alliance
6. Conclusion
In this paper, we proposed a three-layer product
data storage model which consists of three kinds of
mode: Product Data Global Mode (PDGM), Product
Data Segment Mode (PDSM) and Product Data
Distribution Assignment Mode (PDAM). The PDGM
defines the global product information, the PDSM
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In this section, we describe an instance to show how
our distributed product data storage model can be
applied, which has been implemented in our previous
aviation project. As shown in Figure 2, company A and
B form a collaborative enterprise alliance i due to
product X1 and X3 that constitute the product object set
of alliance i. In company A, product X1 has one ID
number in database managed by its PDM system while
product X3 has another ID number. Similarly, in
company B, product X1 has one ID number while
product X3 has another ID number. In addition,
company A and C establish another collaborative
enterprise alliance j due to product X2 that is stored
respectively in database of company A, C. All above-
mentioned databases ID should be unique.
PDM X2 DATA FSV1
DB1
PDM X6 DATA
…… FSV2
DB2
Company B
PDM SERVER
PDM X1 DATA
PDM X3 DATA
PDM X4 DATA
……
DB1 DB2 DB3 FSV3 FSV2 FSV1
DATABASE FILE SYS VAULT
describes constraint conditions between product data
and compartmentalized semantic data segment, and the
PDAM can store product data segment to enterprise
data code separately. We also designed a product
information conjunction model for multi dynamic
alliance enterprises based on the three-layer model. In
our previous project, we have verified that product data
segments can be assembled into one integrated product
dataset by using our model in this paper.
7. References
[1] K. Hyun, H.S. Kim, J.H. Lee, J.M. Jung, J.Y. Lee and
N.C. Do, “A framework for sharing product information
across enterprises”, Int J Adv Manuf Technol, 2006, 27, pp.
610-618.
[2] W.D. Li, S.K. Ong, J.Y.H. Fuh, Y.S. Wong, Y.Q. Lu and
A.Y.C. Nee, “Feature based design in a collaborative and
distributed environment”, CAD, 2004, 36(9), pp. 775–797.
[3] Z.Q. Wei, “Research on digital product definition and
product data management techniques based on distributed
environment”, PhD thesis, Tsinghua University, 2000(in
Chinese).
[4] Q.W. Gao and X.M. Mo, “Product Data Management and
Implement”, Mechanical Industry Press: Beijing, 1998 (in
Chinese).
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[5] K.K. Leong, K.M, Yu and W.B. Lee, “Product data
allocation for distributed product data management system”,
Computers in Industry, 2002, 47, pp. 289-298.
[6] Y.J. Wang and S.J. Li, “Research and performance
evaluation of data replication technology in distributed
storage system”, Computers and Mathematics with
Applications, 2006, 51, pp. 1625-1632.
[7] H. Nadeem and Daudpota, “Five steps to construct a
model of data allocation for distributed database systems”,
Journal of Intelligent Information Systems, 1998, 11, pp.
153-168.
[8] S.P. Olesen, S.E. Chodrow, M. Grigni and V.S.
Sunderam, “Distributed Data Management Support for
Collaborative Computing”, Proceedings of HPCN 1997,
Vienna, Austria, April 1997, pp. 487 - 490.
[9] P.Y. Chao, “A data exchange framework for networked
CAD/CAM”, Computers in Industry, 2001, 44, pp. 131-140.
 2008 International Conference on Intelligent Computation Technology and Automation
Rough Set Based Study of the Competency for Chinese Seafarers
Xu Donghua
Dalian Maritime University, Dalian, China 116026
lnmsaxdh@yahoo.com.cn
Abstract
On base of current research of the quantitative
assessment of competency for Chinese seafarers,
aiming at the weakness of fuzzy comprehensive
assessment, the rough set theory is introduced into the
quantitative studies of competency for Chinese
seafarers. Based on the discrete decision table and
rough membership degree, some useful data mining
results are given: the degree of rough membership is
an inverse ratio to seafarer’s age, education extent
and sea experiences. For age factor, seafarers within
39 years old have higher membership degree. For
education extent factor, middle or less educated
seafarers have higher membership degree. For sea
experiences, 18 months or less experienced seafarers
have higher membership degree. For rank factors,
master has high membership degree. High
membership degree in watch-keeping time is
0000~0004, whereas low degree occurs in 0012~0016
and 0020~0024.
1. Introduction
More than 80% of marine accidents are human
related has been widely accepted in shipping industry,
and the International Maritime Organization (IMO)
pays extreme attention on the competency for
seafarers in STCW Convention [1]. In shipping area,
experts have conducted various qualitative researches
on the competency for seafarers [2-9]. However, there
are few quantitative researches in China, which mainly
focus on the comprehensive safety assessment. Fuzzy
comprehensive assessment tools are broadly used.
Aiming at the weakness on fussy comprehensive
assessment, the rough set is introduced to mine the
seafarers’ competency to obtain some universal and
practical quantitative results to secure safer shipping.
2. The quantitative research review
978-0-7695-3357-5/08 $25.00 © 2008 IEEE
DOI 10.1109/ICICTA.2008.168
Wu Zhaolin
On base of analysis of maritime safety research,
Huang and Wu [10] establish the comprehensive
assessment index system to evaluate the seafarers’
watch-keeping risk. They conduct the quantitative
assessment on the risk of human error through fuzzy
comprehensive assessment. Based on the
questionnaire and comprehensive analysis on the
factors human element related, Zeng and Wu [11]
propose the index system which have potential
influence on the shipping safety, and establish the
quantitative assessment model to evaluate the overall
safety level of seafarers. Liu and Zhu [12] integrate
the seafarers into the shipping system which is made
up of seafarers, ships, environment and management.
They finally establish a quantitative assessment model
to evaluate the competency for seafarers.
However, various researchers establish several
assessment index systems in specific research areas, as
well as assessment methods. To some extent, there are
some problems in quantitative analysis of competency
for Chinese seafarers. They mainly exist in three
aspects: assessment index system, data collection and
research methodology.
Currently, some indexes are lack of pertinence in
the revelation of the competency for seafarers, and are
more subjective. For example, the index “emotion” or
“spiritual status” is frequently used in the evaluation
of seafarers’ competency. Undoubtedly, they are
important to evaluate the seafarers’ mental status.
However, how to measure or define them is a problem.
It is better to put them in more specific researches
rather than in general ones.
Data are the basis of evaluation and critical to the
evaluation results. Unfortunately, many data used in
current assessment are based on subjective estimate,
which will inevitably influence the accuracy of
evaluation.
Some problems still exist in fuzzy comprehensive
assessment, which is widely used in current safety
assessment. Maritime safety or maritime risk itself is
vague, as well as several factors have interactive
influences on the assessment, so the fuzzy
comprehensive assessment is feasible to be used in
806
maritime safety assessment. However, some
limitations also exist. For example, the selection of
weights and membership functions will subjectively
rely on the expert judgment, which may influence the
accuracy of assessment.
Rough set, a powerful tool in the data mining and
knowledge discovery proposed by Pawlak [12], has
been broadly used in describing incomplete data, ultra
large data, imprecise data and noisy data. The
fundamental difference between fuzzy set and rough
set theory is that no any additional or transcendental
knowledge is required in rough set-based data analysis.
So aiming at the weakness of fuzzy comprehensive
method, the rough set theory can be introduced to the
quantitative research of the competency for seafarers
to get more objective results.
3. Rough set based research
Based on the designed methodology, the findings
will be put forward and the verification will be
exercised as well in this part.
3.1. Fundamental notions of rough set [13]
1. The lower approximation, which is the union of
all the elementary sets which are subsets of X.
apr _( X ) = {x R(x) ⊆ X} (1)
2. The upper approximation, which is the union of
all the elementary sets which have a non-empty
intersection with X.
apr ( X ) = {x R( x) ∩ X ≠ ∅} (2)
3. Rough membership function [14] is defined as
the degree of x ∈ U contained in X.
card ( X ∩ R( x))
μXR ( x) = (3)
card ( R( x))
It is obvious that:
μXR ( x) = 1 ⇔ x ∈ apr _( X ) (4)
μXR ( x) = 0 ⇔ x ∈U − apr ( X ) (5)
0< μ XR ( x ) <1 ⇔ x ∈ apr ( X ) − apr _( X )
(6)
According to the definition, the rough
membership function can be interpreted as the
condition probability, which can be objectively
calculated based on the individuals in the universe.
4. Decision table
In rough set, a decision table can be represented
as S=<U, A, V, f>. U is the universe. A=C∪D, which
is the set of all attributes. C is a non-empty set of
condition attributes, and D is a non-empty set of
decision attributes. Let V = ∪Va with a ∈ A .V for each
a ∈ A is a finite attributes domain and the elements of
807
Va are called values of attribute a(a ∈ A) . And f is an
information function means ∀a ∈ A, x ∈ U , f ( x, a ) ∈ Va .
3.2. Research design
1. Methodology
Our research indexes (contribution factors) are
selected from IMO’s document [15], which is a
general guideline for maritime investigation from IMO,
and broadly adopted by parties of IMO. We compose
our research system with 6 indexes, which include
seafarers’ age, education extent, current rank related
sea experience, last rank related sea experience and
watch-keeping time.
The research data are 50 marine accident cases
occur in Liaoning Maritime Safety Administration
(MSA) jurisdiction. In every case, we choose one
seafarer who causes the marine accident.
The rough membership function is adopted in our
research. And in each condition factor, the
membership degree is used to indicate the condition
probabilities of various values contributing to marine
accidents.
2. Data collection
In our research, the universe is U ={1,2,3,…,50},
set of condition attributes C={C1, C2, C3, C4, C5, C6},
set of decision attribute D={D1}.
In the set of condition attributes C, all attributes
are represented as follow:
C1 is the seafarer’s age factor;
C2 is the seafarer’s education extent factor;
C3 is the seafarer’s current rank related sea
experience factor;
C4 is the seafarer’s last rank related sea
experience factor;
C5 is the seafarer’s rank factor;
C6 is the seafarer’s watch-keeping time factor.
D1 is the decision attribute.
The discrete values of all attributes are as follow:
1. Seafarer’s age factor. The seafarers’ age in our
research is from 24 to 54 years old, we use 5 year
equal span. So VC1＝{1,2,3,4,5,6}, and 1＝[24,29 ),
2＝[29,34 ), 3＝[34,39 ), 4＝[39,44 ), 5＝ [44,49), 6
＝ [49,54 ].
2. Seafarer’s education extent factor. Seafarer’s
education extent is divided into maritime university
level, maritime college level, middle school level and
no maritime education. Thus VC2＝{1,2,3,4}, and 1＝
(maritime university level), 2 ＝ (maritime college
level), 3＝(middle level), 4＝(no maritime education).
3. Seafarer’s current rank related sea experience
factor. Current rank related sea experience is divided
based on 6 months span. So VC3＝{1,2,3,4,5,6}, and 1
＝ [6,12), 2＝[12,18), 3＝[18,24), 4＝[24,30), 5＝ seafarer’ age is an inverse ratio to the membership
[30,36), 6＝[more than 36] . degree.
4. Seafarer’s last rank related sea experience 0.25
0.22
factor. Last rank related sea experience is also divided 0.2
0.2 0.2

based on 6 months span. VC4＝{1,2,3,4,5,6,7}, and 1＝ 0.15 0.14 0.14

[0,6), 2＝[6,12), 3＝[12,18), 4＝[18,24), 5＝[24,30), 0.1

6＝[30,36), 7＝[more than 36].

0.1

5. Seafarer’s rank factor. the seafarer’s rank is 0.05

only in master and deck officers, VC5={1,2,3,4}, and 0

1=(master), 2=(1st officer), 3=(2nd officer) and 4=(3rd 1 2 3 4 5 6

officer). Figure 1. Membership degrees of age factor

6. Seafarer’s watch-keeping time factor. 2. Education extent factor
Seafarer’s watch-keeping time is divided into 6 parts The membership degrees that different education
based on the current arrangement. VC6＝{1,2,3,4,5,6}, extents contributing to marine accidents are showed in
and 1 ＝ [0000,0004), 2 ＝ [0004,0008), 3 ＝ figure 2.
[0008,0012), 4＝[0012,0016), 5＝ [0016,0020), 6＝ 0.5
0.44
0.45
[0020,0024). 0.4

7. Decision attribute D1 is valued 1. 0.35

0.3
Therefore we can get a discrete decision table of 0.25 0.22 0.22

the competency of seafarers. 0.2

0.15 0.12
Table 1. Decision table 0.1

U C1 C2 C3 C4 C5 C6 D1 0.05
0
1 3 4 2 3 3 1 1 1 2 3 4

2 4 4 2 3 4 4 1 Figure 2. Membership degrees of education

3 1 3 1 2 4 1 1 extent factor
…… Based on the figure 2, we can find that the
membership degree of those seafarers with lower
48 6 3 2 7 4 1 1
education (middle or no education) is 0.66. However
49 4 3 3 4 1 3 1 the membership degree of seafarers with higher
50 5 4 6 5 1 2 1 education is 0.34. Seafarers with maritime college
The discrete values of all attributes in table 1 can education extent have the lowest membership degree.
be interpreted. For example, the set of condition 3. Current rank related sea experience factor
attributes of the first record is {3,4,2,3,3,1}, which The membership degrees that various current rank
means that the competency condition of this seafarer is related sea experiences contributing to marine
{age is between 34 and 39 years old, no maritime accidents are showed in figure 3.
education, current rank related sea experience is 0.3

between 12 and 18 months, last rank related sea 0.25 0.24

0.22
experience is between 12 and 18 months, the rank is 0.2 0.18 0.18

2nd office, watch-keeping time is 0000~0004}. 0.15

However, the decision attribute is {1}, which means 0.1 0.08 0.08
that the marine accident has occurred. This discrete
0.05
decision table can be used in our research. 0.02

0
1 2 3 4 5 6 7

3.3. Findings
Figure 3. Membership degrees of current rank
1. Age factor related sea experience factor
The membership degree of seafarers with current
The membership degrees that ages contributing to
rank related sea experience less than 12 months is 0.46.
marine accidents are showed in figure 1.
However, seafarers with 30-36 months have the lowest
We can find that the membership degree of
membership degree. Generally speaking, the current
seafarers less than 39 years old is 0.62. Those between
rank related sea experience has an inverse ratio to the
24 and 29 years old have highest membership degree.
membership degree.
However, seafarers between 49 and 54 years old have
4. Last rank related sea experience factor
lowest membership degree. Generally speaking, the
The membership degrees that various last rank

808
related sea experiences contributing to marine 3.4. Verification
accidents are showed in figure 4.
0.3 We conduct a survey to management level officers
0.25 0.24 0.24
0.22
to verify the reliability of our findings. The
0.2
questionnaire includes our main findings: (1) the
0.15 0.14 seafarer’s age is an inverse ratio to the degree of
0.12
membership; (2) the seafarers with higher maritime
0.1

0.04
education have lower possibility to marine accidents;
0.05
(3) generally speaking, the current rank and last rank
0
1 2 3 4 5 6
related sea experience has an inverse ratio to the
possibility of marine accidents; (4) the master has
Figure 4. Membership degrees of last rank highest membership degree to marine accidents and (5)
related sea experience factor the membership degree in watch-keeping period 0000
We can find in figure 4 that the seafarers with last ~ 0004 is higher than any other periods, however the
rank related sea experience between 6 and 12 months membership degrees in 0012 ~ 0016 and 0020 ~ 0024
and between 12 and 18 months have same high are lowest. The Likert scale is introduced to indicate
membership degree. However, the general trend is that the reliabilities of our findings, which are 1—strongly
the last rank related sea experience has an inverse ratio disagree, 2—disagree, 3—agree, 4—highly agree and
to the membership degree. 5—strongly agree.
5. Rank factor 154 valid questionnaires return back from masters,
The membership degrees of 4 ranks are showed in 1st officers (1st/O), chief engineers (C/E) and 2nd
figure 5. engineers (2nd/E) from the jurisdictions of Liaoning,
0.45
0.4 Tianjin and Shandong MSA. The results are showed in
0.4
0.35
table 2.
0.3 The first column in table 2 indicates 4 different
0.25 0.22 0.22 ranks. The numbers of column 1 to column 5 indicate
0.2 0.16
0.15
the numbers of persons who have selected certain
0.1 reliability. For example, in master, no one selects
0.05
“strongly disagree”; 3 people select “disagree”; 23
0
1 2 3 4 people select “agree”; 5 people select “highly agree”,
no one selects “strongly agree”.
Figure 5. Membership degrees of rank factor
The average reliabilities of 4 ranks are calculated
It is revealed in figure 5 that the master has the
in column 6.
highest membership degree. However, the 1st officer
We can find that the average reliability in every
has the lowest membership degree. The 2nd officer and
rank is more than 3, which means the respondents
3rd officer have the same membership.
agree with our findings.
6. Watch-keeping time factor
Table 2. Questionnaire results
The membership degrees of watch-keeping time
Average
are showed in figure 6. Rank 1 2 3 4 5
reliability
0.35
0.3 Master 0 3 23 5 0 3.06
0.3 0.28 0.28

0.25
1st/O 1 10 30 17 0 3.08
0.2
C/E 4 5 10 15 0 3.06
0.15 2nd /E 1 0 15 15 0 3.42
0.1
0.1

0.05 0.02 0.02 4. Conclusion

0
1 2 3 4
Figure 6. Membership degrees of
watch-keeping time factor
The watch-keeping time period in 0000 ~ 0004
has highest membership degree. Watch-keeping time
periods in 0012 ~ 0016, 0020 ~ 0024 have the same
lowest membership degree. Watch-keeping time
period in 0016 ~ 0020 has lower degree.
5 6
Aiming at the weakness of current quantitative
assessment research and research methodology in the
competency of Chinese seafarers, the authors propose
an index system which is based on seafarers’ personal
qualities. Rough set data mining is also introduced.
The data are from 50 well selected marine
investigation cases in Liaoning MSA. Some objective
and universal findings are provided. The reliability of

809
main findings are verified, which means that the rough
set theory is a proper way to study the competency for
seafarers. However, the prospect of the application of
rough set theory in shipping industry will be splendid.
For example, the rough decision rules [16] will be
used in the prediction and prevention of marine
accidents to eliminate the influence of human
elements.
References
[1] IMO, International Convention on Standards of
Training, Certification and Watch-keeping for Seafarers,
1978, London, 1997.
[2] J. Bordal, “Future Competence of Seafarers”,
EUROPEAN JOURNAL of NAVIGATION, Apr, 2003,
1(1), pp. 24-26.
[3] J. Horck, “An analysis of decision making process in
multicultural maritime scenarios”, Maritime Policy and
Management, Jan-Mar, 2004, 31(1), pp. 15-29.
[4] M. Barnett, D. Gatfield, B. Overguard, C. Pekcan and A.
Graveson, “Barriers to progress or Windows of
Opportunity? A Study in Career Path Mapping in the
Maritime Industries”, WMU JOURNAL OF MARITIME
AFFAIRS, 2006, 5(2), pp. 127-142.
[5] A. Walczak, “The effort of human factor on the
frequency of navigational accidents”, In: Proceedings
of the international conference on preventing collision
at sea, Marine Collision and Prevention, J. Zhao, P. A.
Wilson, Z. Hu and F. Wang (Eds.), Chiavari Publishing,
1996, pp. 284-290.
[6] S. Fan, “Discussion on Improving Seafarers’
competency Assessment”, Maritime Education
Research, 2004, 4, pp. 48-49.
[7] Y. Zhu, C. Jiang and K. Li, “The ways to ensure the
810
competence of seafarers under the STCW78/95
Convention”, Journal of Dalian Maritime University,
1999, 25(2), pp. 60-62.
[8] L. Chen, W. Ji, “Discussion on Test and Evaluation on
Mariners”, Journal of Zhanjiang Ocean University,
2002, 22(4), pp. 52-55.
[9] Q. Chen, “The Development of Seamen’ Competence
Standards and Maritime Qualification Education”,
Journal of Qingdao Ocean Shipping Mariners College,
2006, 27(3), pp. 32-34.
[10] Y. Huang, Z. Wu, “Research upon quantitative
evaluation of human error in maritime accident
prevention”, Journal of Dalian Maritime University,
1998, 24(3), pp. 1-5.
[11] H. Zeng, Z. Wu, “Application of the fuzzy inference
system to quantitative assessment of the personal
factors of seafarers”, Journal of Dalian Maritime
University, 2001, 27(1), pp. 14-18.
[12] X. Liu, Y. Zhu, “Fuzzy comprehensive assessment for
seafarer’s competence after gaining competency
certificate”, Journal of Dalian Maritime University,
2004, 30(4), pp. 30-33.
[13] Z. Pawlak, “Rough Sets”, International Journal of
Computer and Information Science, 1982, 11(5), pp.
341-356.
[14] Z. Pawlak, A. Skowron, “Rough membership
functions”, in: Advances in the Dempster-Shafer Theory
of Evidence, R. R. Yager, M. Fedrizzi, and J. Kacprzyk.
(Eds.), John Wiley and Sons, New York, 1994, pp.
251-271.
[15] IMO, Amendments to the code for the investigation of
marine casualties and incidents (Resolution A. 849(20)),
(Resolution A. 884(21)), London, 2000.
[16] Z. Pawlak, Rough Sets: Theoretical Aspects of
Reasoning about Data, Dordrecht: Kluwer, 1991.
 2008 International Conference on Intelligent Computation Technology and Automation

Support Vector Clustering of Facial Expression Features

Shu-ren ZHOU 1,2, Xi-ming LIANG 1, Can ZHU 1,2

1
(School of Information Science and Engineering, Central South University, Changsha 410083,
China)
2
(Computer & Communication Engineering School, Changsha University of Science &
Technology, Changsha 410076, China)
zsr_hn@163.com

Abstract 2. Facial expression features extraction

Facial expression recognition is an active research
area that finds a potential application in human
emotion analysis. This work presents an efficient
approach of facial expression features clustering based
on Support Vector Clustering (SVC). Common
approaches to facial expression features clustering are
designed considering two main parts: (1) features
extraction, and (2) features clustering. In the process
of facial expression extraction, we use Gabor features
can reduce data dimensional, then we tune the
parameters that define the Gaussian kernel width
generator for clustering. Experiments on facial
expression database have shown that these methods
are effective to achieve facial expression features
clustering.
1. Introduction
Facial expression plays an essential role for human
communication. It could imply people’s emotion and
other important information. Human facial expression
analysis has been the important subject of many
research projects in computer vision [1], primarily due
to its future on the development of real human-
computer interactive systems. Recently, demands for
accurate classification and analysis of facial
expressions are growing with new applications of
facial motion analysis like deception detection and
affective computing.
We propose a method which is facial expression
features clustering based on SVC, and it contains two
steps, firstly, we extract features of facial expression
by Gabor filter [2,3], then we perform expression
features clustering using SVC. The experiments
indicate that the fusion methods are feasible combining
Gabor filter with SVC.
2.1. Gabor wavelets
Gabor kernels are similar to the receptive field
profiles in cortical simple cells, which are
characterized as localized, orientation selective, and
frequency selective. A family of Gabor kernel is the
product of a Gaussian envelope and a plane wave,
defined as [4].
k2 k2 2 σ2
Ψk ( z ) = 2 exp(− z )(exp(ikz ) − exp(− )) (1)
σ 2σ 2
2
Here z = ( x, y ) is the variable in spatial domain
and k is the frequency vector, which determines the
orientations (μ) and the scales (ν) of Gabor kernels. In
our system, μ and ν are orientation factor and scale
factor respectively. Different selection of subscript μ
and ν gives different Gabor kernel. We choose μ =
0,1,2,…,7 and ν = 0,1,2, …,4, thus totally we have 40
Gabor functions to be used. The real part of the Gabor
kernels used in our experiments is shown in Figure 1.
Figure 1. Real part of the 5×8 Gabor filters.
Given an image I ( x, y ) , its Gabor transformation
at a particular position can be computed by a
convolution with the Gabor kernels:

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DOI 10.1109/ICICTA.2008.26
 Ok (x, y ) = I ( x, y ) ∗ Ψk ( x, y )
2.2. Gabor features extraction
The facial expression features regions are the
emotional selections surrounding facial components:
eyebrows, eyes, and mouth. They encode critical
information about facial expression. Therefore, facial
expression features can be extracted from two main
regions: eye and mouth. Figure 2 (a) and Figure 2 (b)
show the regions of features selection, Figure 2 (c)
denotes that one eye image can be represented by its
response of Gabor filters.
Given an eye image , its Gabor wavelet transform is
then defined by equation (2). It is assumed that the
local eye and mouth regions are spatially homogeneous,
[ ] [ ]
and the mean μ ij , (i ∈ 0,4 , j ∈ 0,7 ) and the
standard deviation σ ij , (i ∈ [0,4], j ∈ [0,7]) of
magnitude of the transform coefficients are used to
represent the region for classification purposes [4,5,6].
(a) Region of expression selection. (b) Two feature
regions.
(c) The responses of the Gabor filters to one eye image
region.
Figure 2. Region of expression selection model and the
responses of the Gabor filters to one eye image region.
A feature vector is now constructed using μ ij and
σ ij as feature components. In the experiments, we use
five scales and eight orientations, resulting in a feature
vector. The mouth region handles same.
[
f = μ 00σ 00 μ 01σ 01 " μ 47σ 47 ] (3)
(2)
3. SVC of facial expression features
3.1 Support Vector Machines (SVM)
Support Vector Machines rely on separating the
data when not linearly separable by transforming them
to a higher dimensional feature space with an
appropriate nonlinear mapping, in which, data from
two categories can always be separated by a
hyperplane.
An important property of SVM is that the
construction of the classifier only needs to evaluate an
inner product between two vectors of the kernel
function. An explicit mapping into the high
dimensional feature space is not necessary. This avoids
the complex calculations in the feature space.
The separation process results in a classification
the function that depends only on a small number of input
vectors.
3.2 The Support Vector Clustering
In the Support Vector Clustering (SVC) algorithm
data points are mapped from data space to a high
dimensional feature space using a Gaussian kernel. In
the feature space, the smallest sphere that encloses the
image of the data is looked for. This sphere is mapped
back to data space, where it forms a set of contours,
which enclose the data points. These contours are
interpreted as cluster boundaries. Points enclosed by
each separate contour are associated with the same
cluster.
The clustering level can be controlled by changes in
the width parameter of the Gaussian kernel. As this
parameter is increased, the number of disconnected
contours in data space increases too, leading to an
increasing number of clusters.
The SVC algorithm can also deal with outliers by
employing a soft margin constant that allows the
sphere in feature space not to enclose all points. Large
values of this parameter, can also deal with
overlapping clusters [7]. The algorithm has two major
steps as described below: Training of SVM and Cluster
Assignment.
3.3 Training of SVM
Let {xi } ⊆ χ be a data set of N points,
with χ ∈ R , the minimal sphere of radius R
d
enclosing all data points’ images in the feature space
can be described by the following:
812
 Φ(x j ) − a ≤ R 2 ∀ j
2
(4)
3.4 Cluster Assignment
Where || · || is the Euclidean norm and a is the center
of the sphere. Soft constraints are incorporated by The cluster boundary detection algorithm does not
adding slack variables ξ j : find points that belong to different clusters. To do so, a
geometric approach is used: given a pair of data points
Φ (x j ) − a
2
≤ R2 + ξ j (5) that belong to different clusters, any path that connects
them must exit from the sphere in feature space.
Therefore, such a path contains a segment of points y
With ξ j ≥ 0 . To solve this problem we introduce such that R(x) > R. This leads to the definition of the
the Lagrange
( )β
adjacency matrix Aij between a pair of points x i and
L = R 2 − ∑ R 2 + ξ j − Φ (x j ) − a
2
j x j whose images lie in or on the sphere in feature
j (6)
space:
− ∑ξ j μ j + C∑ξ j
⎧1, R(xi + λ (x j − xi )) ≤ R, ∀λ ∈ [0,1]
aij = ⎨ (11)
Where βj ≥0 and μj ≥ 0 are Lagrange ⎩0, other
multipliers, C is a constant, and C ∑ ξ j is a penalty Clusters are defined as the connected components
term. Setting the derivative of L to zero with respect to of the graph induced by A. Checking the line segment
is implemented by sampling a number of points. BSVs
R, a and ξ j , respectively, leads to are unclassified by this procedure since their feature
space images lie outside the enclosing sphere. One
∑β j =1 may decide either to leave them unclassified, or to
j assign them to the cluster that they are closest to.

a = ∑ β j Φ (x j ) 4. Experiment and Analysis

j

Our facial expression recognition system is based

βj =C −μj on the above method with Gabor features extraction in
this paper, the expression recognition is defined as a
At each point x the distance of its image in feature
seven-class problem of anger, disgust, fear, happiness,
space from the center of the sphere is defined
neutral, sadness and surprise. The database is a set of
as R
2
(x ) = Φ(x ) − a 2 . 213 images of 7 different expressions posed by 10
In view of quadratic equation and the definition of Japanese females. In preprocessing, all the face
the kernel the following is got: samples in JAFFE database are transformed by Gabor

R 2 (x ) = K ( x, x ) − 2∑ β j K (x j , x )
wavelet through two areas which are eye part and
mouth part. Generally speaking, no color information
j is used.
+ ∑ β i β j K (xi , x j )
(7)

i, j

Where (
K (xi , x j ) = exp q xi − x j
2
) (8)
The radius of the sphere is:
R = {R( xi )}， xi is support vector (9)
The contours the enclose the points in data space
are defined by the set
{x | R(x ) = R} (10)

They are interpreted by us as forming cluster

boundaries. In view of equation (10), SVs lie on cluster Figure 3. Facial expression samples. From left to
boundaries, BSVs are outside, and all other points lie right: anger, disgust, fear, happiness, neutral, sadness
inside the clusters. and surprise (AN, DI, FE, HA, NE, SA, SU).

813

In the process of clustering, it is import to control
the parameters of clustering, such as the parameter q
that specifies the width of the Gaussian kernel [8,9]
and the parameter constant C in equation (5). We
assume that the value of C is fixed so that the number
of outliers is not varied. We estimate the number of q
values generated by the secant-like algorithm using
known results on secant method convergence [8]. The
estimate relies on spatial characteristics of the facial
expression dataset but not the number of data points or
dimensionality of the dataset.
Figure 4. R2 responses to q for secant algorithm.
For each value of q, the associated R2 value is
calculated using the SVC steps of updating a kernel
matrix, solving the Lagrangian, and computing the
radius of the minimal sphere. In order to generate each
subsequent q value, a line through the two previous R2
curve points is extended until it intersects the line
R 2 = 1 − 1 / N . The secant algorithm terminates
when every data point is an SV or the slope of the line
is close to flat (see Figure 3). When every data point is
an SV, the number of clusters is typically N which is
the number of examples.
As mentioned above, we use the JAFFE database to
train an expression clustering model. It contains 213
examples, in general, the dataset in which the
separation into clusters can be achieved without
invoking outliers with C = 1. Figure 5 shows the
parameters effect on the contour of clusters.
(a) q=1 (b) q=15
814
Figure 5 Some data points of the dataset clustered by
the SVC algorithm with constant C = 1.
(a)
(b)
Figure 6 The influence about q changing for 147
samples: (a) The radius of hypersphere changes large
as q changes large. (b) The number of misclassification
changes irregularly as q changes.
When C is fixed, we obtain the relations between R
and q. Figure 6 shows seven facial expressions
clustering corresponding to R vs q and
misclassification vs q.
From Figure 6 we can see that the larger q gives
large radius of hipersphere (see Figure 6a), apparently,
the smallest radius is our aim, but we have to think
about the other influence factor which is the number of
misclassification. Figure 6 (b) shows that the number
of classification is lowest while q = 12, that is to say,
this position is located on the trough, and we can find
that the number of misclassification is very large when
q is one because seven facial expressions are seen one
cluster. In this case, we have no single out all integers
from 1 to 43, but the values of q are representative. As
a result, the parameters of facial expression clustering
based on Gabor features are decided, C=1 and q=12,
and we obtain the corresponding radius of smallest
hypersphere, R = 0.793.
Using the above mentioned method, we also get the
respective radius of seven facial expressions according
to experiment, Table 1 shows the results of seven
cluster radius (E represents Expression).
Table 1. The radius R for each expression cluster
E AN DI FE HA NE SA SU
R 0.557 0.462 0.247 0.675 0.492 0.351 0.653
5. Conclusion
In this paper, a facial expression clustering
algorithm based on SVC is proposed. We select the
most effective region of facial expression to extract
features using Gabor method, then we find the optimal
value of the kernel width at which this method
produces its best clustering. In order to verify the
effectiveness of the algorithm, the corresponding
algorithms are performed on the JAFFE database. The
performance of the algorithm mainly relies on the
effective clustering strategy. The experiments indicate
that the fusion methods are feasible combining Gabor
method with SVC.
Future work will seek an efficient fusion method for
facial expression recognition.
Acknowledge
This research is partially supported by National Key
Basic Research and Development Program of China
(2002CB312203), National Research Foundation for
the Doctoral Program of Higher Education of China
815
(20070533131) and Natural Science Foundation of
Hunan Province (06JJ50109).
References
[1] J.M. Susskind, G. Littlewort, M.S. Bartlett, J. Movellan,
A.K. Anderson. Human and computer recognition of facial
expressions of emotion. Neuropsychologia, 45(1):152-162,
2007.
[2] Tobias Werther, Ewa Matusiak, Yonina C. Eldar, Nagesh
K. Subbana. A unified approach to dual Gabor windows.
Signal Processing, IEEE Transactions on Signal Processing,
55(5-1): 1758-1768, 2007.
[3] Reza Fazel-Rezai, Witold Kinsner: Image Decomposition
and Reconstruction using Two-Dimensional Complex-
Valued Gabor Wavelets. IEEE ICCI 2007: 72-78
[4] Shishir Bashyal, Ganesh K. Venayagamoorthy.
Recognition of facial expressions using Gabor wavelets and
learning vector quantization. Engineering Applications of
Artificial Intelligence, In Press, Corrected Proof, Available
online 14 January 2008.
[5] LinLin Shen, Li Bai, Michael Fairhurst. Gabor wavelets
and General Discriminant Analysis for face identification and
verification. Image and Vision Computing, 25(5):553-563,
2007.
[6] Loris Nanni, Dario Maio. Weighted Sub-Gabor for face
recognition. Pattern Recognition Letters, 28(4):487-492,
2007.
[7] Hur A B, Horn D, Siegelmann H T, et al. Support vector
clustering [J]. Machine Learning Research, 2001, 2: 125-137.
[8] Sei-Hyung Lee and Karen Daniels, Gaussian Kernel
Width Exploration in Support Vector Clustering 2004-009,
Technical Report, University of Massachusetts Lowell,
(2004).
[9] Dragomir Yankov, Eamonn J. Keogh, Kin Fai Kan.
Locally Constrained Support Vector Clustering. ICDM 2007:
715-720
 Session 6

Intelligent System

ICICTA 2008
 2008 International Conference on Intelligent Computation Technology and Automation

An Integrated Artificial Immune Systems Model Based On Ontology

Tao Li1,2, Yiwen Liang1, Huan Yang1,Jia Chen1

1
School of Computer science and technology, Wuhan University, 430079, Wuhan, Hubei, China
2
School of Computer science and technology,Wuhan university of science and technology,
430081,Wuhan,,China,
litao225@21cn.com, ywliang@whu.edu.cn

Abstratct • Affinity Measures: how the interactions between the

Modelling the immune system plays an important role in
the understanding of the computational aspects of the
immune system ， because most of existing Artificial
Immune System models are designed for a specific
application problem and have their advantages and
disadvantages.In this paper, an AIS model based on
ontology is presented which can integrate several AIS
models and algorithms.Secondly, this model has accurate
semantic , shared knowledge and understood by
computer.With the guidance of AIS Ontolgy,more and more
effectual AIS models can be created and implement
Evolution dynamicly .
1．INTRODUCTION
AIS is becoming a more interdisciplinary topic and
talked by biologist,AIS researchers and engineering
aspects.How to implement the AIS models shared and
understood better become a focus problem.On the other
hand, it is a complex process in modelling the immune
system to solve some practical problem.De Castro and
Timmis proposed a layered framework for engineering
AIS. (Fig.1).[1]. This framework succinctly demonstrates
the general structure of most AIS, These layers are:
• Component Representations: how the components of
the system are to be represented.
components of the system are to be quantified.
• Immune Algorithms: how the components of the
systems are going to interact to determine the system
dynamics.
In the paper [2,3], Forrest and Beauchemin focus more
on Agent Based Modelling (ABM) .They argued that ABM
might be more a tool for modeling the AIS system.But,it is
difficult that how to define the right level of abstraction for
each agent in the model, as this will clearly affect how the
simulation operates. Bersini [4] advocates the use of object
oriented (OO) technologies ,for example UML [5], design
patterns [6] and state charts [7] to AIS. Bersini [4] adopt a
simple UML class and state diagrams to describe a clonal
selection model. Here he illustrates the use of the ‘‘state’’
design pattern and the ‘‘template’’ design pattern which
not only illustrate how it is possible to encapsulate certain
design information easily, but also how it is possible to
isolate functionality within the model.In paper[2],author
summarize that Forrest and Beauchemin [8], Andrews and
Timmis [3], Stepneyet al. [9], Bersini [10], Timmis [11] and
Cohen [12] argee that there is a great benefit from the AIS
practitioner engaging with the immunological modelling
community to help not only the engineers but also the
immunologists.
As the shared understanding of some domains of
interest, Ontology has got more and more attention,which is
often conceived as a set of classes (concepts), relations,

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DOI 10.1109/ICICTA.2008.458
functions, axioms and instances (Gruber, 1993).[13] .“an NSA,CSA etc.Most models have similitude life
ontology is a formal,explicit specification of a shared cycle,different algorithms and parameter.we have collected
conceptualizatio n”.Ontology is a complex several AIS models and analysed in-depth.we find that if
multi-disciplinary field that draws upon the knowledge of we can describe explicitly the concepts,relations, restriction
information organization, natural language of AIS models,it is useful for not only shareing
processing,information extraction, artificial intelligence, knowledge ,but also forming the base of modeling AIS
knowledge representation and acquisition.Now,ontology automatically.
has become the core of semantic web,which is the next It don’t have conflict between the integrated artificial
generation web.[14]. immune systems model (IMAIS) based on ontology and
other methods of modeling AIS,such as UML, design
patterns,etc. For example,UML can become one of tools
Solution
which create AIS ontology. IMAIS pays more attention to
three features:share(especially in semantic web),
Immune Algorithms negative selection interaction(between biologist and engineers,even
positive selection computer), intelligence(it include some rules and deduction
clonal selection ).
Affinity Measures

r−chunk 3 INTEGRATED AIS MODEL BASED ON

Representation Euclidean distance ONTOLOGY(IMAIS)
r−contiguous
With more and more models of AIS are proposed to
Real−Valued solve practical problem,unified and shared AIS model
Hamming, Integer become a focus.Of course ,this kind of shared model must
show the common knowledge about AIS and have
exactitude semantic.What’s more,it had better share in
Application
semantic web and be understood by computer.When we
Fig. 1 AIS layered framework adapted from de Castro and modeling the AIS,people can implement the model quickly
Timmis (2002) through having interaction with AIS ontology.AIS
So,in this paper author think that ontology provides a ontology can offer some rules and deduction between
new way to intergrade all kinds of AIS model,decribles the different representation and measures,as will bring the
concepts of AIS models and their relationship, intelligence to the process of modeling the AIS.
restriction,etc.In this paper, author propose an intergrative
model based on ontology,which can intergrate most AIS 3.1 Shared AIS Models
model and have accurate semantic.It is easy to be shared ,
expanded ,understood by machine.With the guidance of A unified framework which can integrate most AIS
ontology,the process of modeling AIS system will become medels and be shared by other people. needs a AIS
more intelligent meta-model based on ontology.Meta-model is the model
which describle model, it is abstratct of special model.A
2．Related work AIS meta-model is used to describle the special model of
AIS. AIS meta-model define AIS glossary and the method
Currently, most of AIS model include these of creating special model. AIS meta-model have three
segments:expression, matching, training, evaluation and portions:the feature model,meta-language and implement
neutralization. For example,expression include binary string component. The feature model describle AIS basic
expression, digital sequence etc.Matching includes attributes. We can obtain feature model by analysis of

820
domain. Feature model describes all kinds of attributes and <rdfs:comment>describe the scale of element.for
AIS knowledge. For example:how many representations are example: 0 to 1</rdfs:label>
there in AIS system ? How many steps in AIS life cycle? <rdfs:label>length</rdfs:label>
We can gain a lot of knowledge which can help us master <rdfs:comment>describe the lenth of element.
content of AIS quickly and create a new AIS model. </rdfs:label>
Meta-language is used to describle feature model.In <rdfs:label>fromat</rdfs:label>
order to make the meta–model understood by computer,we <rdfs:comment>describe the format of element.
choose DAML[15,16] language as meta-language. </rdfs:label>
As one of the description language for semantic web, <daml:Class rdf:ID="sequercial">
DAML has abandunt semantic, so it can precisely describe <rdfs:label> sequercial </rdfs:label>
AIS meta-model and correlative knowledge.DAML has <rdfs:comment> sequercial allocation
stronger description ability than RDF(S)[17]. It expands </rdfs:comment>
RDF(S) and has more acute semantic.That we make use of </daml:Class>
DAML to describe AIS meta-model has some benefits. <daml:Class rdf:ID="link ">
DAML enriches RDF(S) semantic and takes XML[18] <rdfs:label> link </rdfs:label>
as basic.So,DAML has expansibility and interaction.On the <rdfs:comment>link allocation </rdfs:comment>
one hand,it can describe concept without different <daml:disjointWith rdf:resource="# sequercial "/>
meanings.On the other hand, we can expand our model . </daml:Class>
when required. </daml:Thing>
For example,We make use of DAML to describle the <daml:Thing rdf:ID=" Hyper-sphere ">
representation of AIS which include Bit String,Digtal <rdfs:label>linux</rdfs:label>
Sequence,Hyper-sphere, etc .In the description ,the relation </daml:Thing>
about elements of AIS representation include “one </daml:oneOf>
of ”,”part of ” etc,next,we can make use of “reverse of ” </daml:Class>
label,and all about these can be understood by computer. Of
course, we must make the AIS domain analyse before we 3.2 the level of AIS ontology
create Feature model.
<daml:Class ID="Availability"> In the process of modeling the AIS,the level of abstract is
<daml:oneOf parseType="daml:collection"> an important problem.It make us understand the AIS model
<daml:Thing rdf:ID=" representation "> through different levels. With the corresponding of Fig.
<rdfs:label> Bit String </rdfs:label> 1,the level of ontology should be divided into three
</daml:Thing> level:AIS top ontology,model ontology and resource
<daml:Thing rdf:ID=" Digtal Sequence "> ontology(from high to low).Top ontology describe the
<rdfs:label>element type</rdfs:label> theory ,application,advantage and difference with other
<rdfs:comment>describe the type of element discipline,the knowledge of top ontology is that same to
</rdfs:label> what a review paper tell you.Model ontology describe main
<daml:oneOf parseType="daml:collection"> model and relation NAS,CSA and their character.Resource
<daml:Thing rdf:ID=" element type "> ontology is a lib which include common representation,
<rdfs:label>float</rdfs:label> measures and their restriction rules,such as “Mutex”,”one of
<rdfs:comment>integer</rdfs:label> “,”part of “ ect,of course,their relation can be described by
</daml:Thing> DAML language.Computer can implement the inferences
</daml:oneOf> intelligently with the help of DAML+OIL system.
<rdfs:label>scale</rdfs:label>

821
 [4] Bersini H Immune system modeling: the OO way. In:Bersini
high
H, Carneiro J (eds) Proceedings of the 5th International
Conference on Artificial Immune Systems, LNCS, vol
Describe the AIS basic
Top ontology 4163.Springer, Berlin, pp 150–163 (2006)
theory and application,
[5]Folwer M UML Distilled. Addison-Wesley, Reading,
academic schools etc
MA(2004)
Model ontology [6]. Gamma E, Helm R, Johnson R, Vlissides J Design
Describe main model
patterns.Addison-Wesley, Reading, MA (1995)
and relation NAS,CSA
[7] Harel D Statecharts: a visual formalism for complex systems.
Sci Comput Program 8:231–274(1987)
Resource ontology
Lib which include [8] Andrews PS, Timmis J Inspiration for the next generation of
common Representation, artificial immune systems. In: Jacob C, Pilat M, BentleyP, Timmis
Measuresn and their J (eds) Proc of the 4th International Conference on Artificial
restriction rules Immune Systems (ICARIS), Lecture Notes in Computer Science,
vol 3627. Springer, Berlin, pp 126–138(2005)
low
[9] Stepney S, Smith R, Timmis J, Tyrrell A, Neal M, Hone A
Fig.2 the level of AIS ontology Conceptual frameworks for artificial immune systems.Int J
Unconventional Comput 1(3):315–338(2006)
4 CONCLUSION [10] Bersini H Immune system modeling: the OO way. In:Bersini
H, Carneiro J (eds) Proceedings of the 5th International
In this paper,we design an integrated AIS model based Conference on Artificial Immune Systems, LNCS, vol
on ontology which can integrate a lot of specials models 4163.Springer, Berlin, pp 150–163 (2006)
and share with other researchers.It has strong semantic and [11] Timmis J (2007) Artificial immune systems: today and
expansibility. AIS ontology is devided into three levels tomorow. Nat Comput 6(1):1–18
which implement the different level abstract.DAML+OIL [12] Cohen IR (2007) Real and artificial immune systems:
language is adopted to describe the AIS ontology,it will computing the state of the body. Imm Rev 7:569–574
make computer understand the semantic and can implement [13] Gruber, T.R. (1993). A translation approach to portable
inferences intelligently.In the future,the update of AIS ontology specifications.Knowledge Acquisition, 5, 199-220.
ontology will be researched,because the knowledge about [14] ]Lee T B, Herndler J, Lasilla O. The Semantic Web
AIS may change. .Scientific American, 2001-05
Acknowledgment [15] DAML Query Language (2002-08).
This work is supported by the National Natural Science http://www.daml.org/2002/08/dql/
Foundation of China under Grant No. 60673194 [16] Horrocks I. DAML+OIL: A description logic for the semantic
Web. Bulletin of the IEEE Computer Society Technical
5 REFERENCES Committee on Data Engineering, 2002,25(1):4−9.
[17] Lassila O, Swick R R. Resource Description
[1] J. Timmis Artificial Immune Systems - Today and Tomorrow.. Framework(RDF)
Natural Computing 6(1) pp. 1-18. (2007) [18] XML Query Language http://www.w3.org/TR/Xquery
[2] J. Timmis P. Andrews,N.OwensÆ.Clark An interdisciplinary
perspective on artificial immune systems Evolutionary
Intelligence 2008
[3]ForrestS,Beauchemin,C Computer immunology. Immunol Rev
216(1):176–197,2007

822
 2008 International Conference on Intelligent Computation Technology and Automation
Analysis of Workspace and Kinematics for a Tomato Harvesting Robot
Zhiguo Li,Jizhan Liu, Pingping Li and Wei Li
Jiangsu Provincial Key Laboratory of Modern Agricultural Equipment and Technology，Jiangsu
University, Zhenjiang, Jiangsu 212013, China
Lizhiguo0821@126.com
Abstract
Firstly, a tomato harvesting robot in greenhouse
is introduced, the workspace of which is visually
verified that it covers the tomatoes distribution space of
one plant and hasn’t cavity by the pose diagrams of
end-effector, and the designed robot has high flexibility.
Subsequently the forward and inverse kinematics of
harvesting robot is analyzed, so the range of joint
variables and the inverse solution are obtained, and the
catastrophe problem of robot joint value is solved with
the arithmetic application of numerical value
comparison. Finally the kinematics of harvesting robot
was simulated by using the Robotics Toolbox in Matlab
on the workspace, and results indicate the parameters
of the designed end-effector are rational, and this
end-effector can work well with manipulator. So the
harvesting robot can meet the working requirement in
greenhouse.
1. Introduction
Harvesting the fruit is a seasonal work with great
labor intensity, its cost is up to 50%~70% of the
production cost [1] ,so harvesting the fruit timely and
lowering the harvesting cost are an effective way of
increasing the agricultural income. The harvesting
robot has great developing potential in improving the
harvesting efficiency and working conditions. The
harvesting robots of fruit and vegetable were further
studied in Japan, America and Holland at present
[2].The designed robot must meet the requirement of
workspace and motion continuity, the workspace is one
of the main kinematics indexes, which weighs the
working ability of harvesting robot from geometry, and
the motion continuity is one of the main kinematics
indexes, which weighs the working ability of
harvesting robot from dynamic aspect. In order to
analyze the working ability of harvesting robot in
978-0-7695-3357-5/08 $25.00 © 2008 IEEE
DOI 10.1109/ICICTA.2008.138
greenhouse, firstly the architecture of harvesting robot
was introduced, and then the workspace and motion
continuity of the robot was studied.
2. Harvesting robot
2.1.Design Concept
Except for the mobile platform, the mechanical
structure of harvesting robot is made up of manipulator
and end-effector, the design of harvesting robot has two
methods, the first is to design the whole robot system,
for example, Mikio Umeda. designed the watermelon
harvesting robot in 1999 [3], Noriyuki MURAKAMI.
designed the cabbage harvesting robot in 1999 [4],
D.Erdogan.designed the apricot harvesting robot in
2003 [5] ,this robot is effective for the fruit-specific,
but it has high design cost and long design cycle; the
second is to get a robot by installing a designed
end-effector on the chosen industrial manipulator, for
example, Van Henten.E.J.designed the cucumber
harvesting robot in 2003 [6],which is made up of a
Mitsubishi RV-E2 manipulator and an end
effector,Achmad Irwan setia wan.designed an apple
harvesting robot in 2004 [7],which is made up of a
DENSO VS-E manipulator and an end-effector,this
robot has low design cost and short design
cycle,especially,it can harvest the other fruit by change
the corresponding manipulator. So the designed tomato
harvesting robot of this laboratory in greenhouse adopt
the second method, which is made up of a
Motoman-sv3x manipulator and a 3-DOF end effector
[8,9].
2.2.Architecture of the harvesting robot
The tomato harvesting robot in greenhouse is
composed of manipulator, end-effctor, camera, PC,
PMAC controller and micro servomotor, the
architecture of harvesting robot can be seen from
Figure 1:
823
 The position mechanism of manipulator adjusts the
position of end-effector in 3-D coordinate system, the
orientation mechanism adjusts the relative orientation
between end-effector and tomato; the end-effector,
which consists of execution system, control system,
perceptual system and power supply system, achieves
the task of separation and snatch solely. its mass is
1.2kg,its length is 260mm,and its operation time
needed for each task is only 3s.
3. Analysis of the robot workspace
3.1. Distribution space of tomatoes
The distribution space is a maximum spatial scope
what all the tomatoes of every plant covered. In the
large Venlo glasshouse of this laboratory, the height of
plant slot is 300mm, the mutual distance is 640mm,and
the height range of tomato plants is from 500mm to
800mm.the working environment of harvesting robot in
greenhouse can be seen from Figure 3.
First, a 3-D coordinate system was found on the fixed
base of harvesting robot, when the mobile platform
moves along the aisles, the harvesting object of robot is
the tomatoes of inside the right and left plants every
rested position. the needed workspace of robot W(T)：
320 ≤ x 2 + y 2 ≤ 850
0 ≤ z ≤ 800

1-Camera 2-PC 3-Laser 4-Control cabinet

5-Manipulator 6-End-effector 7-Sucker 8-Finger
Figure 1. Architecture of the harvesting robot

2.3. D-H coordinate system

A D-H coordinate system of the harvesting robot was

found in Figure 2, z i (i = 0,1,...5) is the joint axis,
z 6 is the end-effector coordinate axis. Table l is the
link parameters.

1-plant slot 2-distribution space of tomatoes 3-mobile

platform 4-box 5-robot 6-minimum workspace
Figure 3. Working environment

3.2. Workspace of the harvesting robot

The workspace is the maximum movable spatial scope

Figure 2. D-H coordinates system of the origin P in the wrist. The workspace of robot and
Table 1. Link Parameters of “Harvesting Robot” the distribution space of tomatoes can be plotted in the
Joint i αi ai di θi σi same figure using the pose diagrams of end- effector
1 90 150 300 0 0
[10],it not only exactly displays the working ability of
harvesting robot, but also directly reflects its flexibility.
2 0 260 0 90 0
The main view(a) and top view(b) of harvesting
3 90 60 0 0 0
robot was plotted using geometric method, in main
4 -90 0 260 0 0 view, the workspace of point P at the right of Z is
5 90 0 0 0 0 comprised of closed-arc abcdef,and the rectangle
6 0 0 350 0 0 ABCD is the projection of tomatoes distribution space
θ i : Link rotation angle (rad); d i : link length; to one plant on XOZ plane; in top view, the semicircle
C1C2C3 is the projection of tomatoes distribution
ai : Link offset distance; α i : link twist angle(rad) space to one plant on XOY plane, P1、P2、P3、P4 and P5

824
are a series position of point P on the workspace. ⎡ci − si cα i si sα i ai ci ⎤
⎢s ai si ⎥⎥ （1）
Because of the orientation mechanism of manipulator
ci cα i − ci sα i
is a 3 DOF concurrent structure, so the pose of i −1
Ai = ⎢ i
end-effector is a part sphere at the center of point P ⎢0 sα i cα i di ⎥
⎢ ⎥
（-135<θ6<135）,the sector is the pose section diagram ⎣0 0 0 1 ⎦
that the end-effector can reach. where： si = sinθi , ci = cosθi , sαi = sinαi , cαi = cosαi
As can be seen from Figure 4:
1) In the main view，the work scope of point P in z Insert the link parameters from Tab.l in equation (1),
the pose of end-effector is given:
axis is larger than the height of tomato plant; In the top
view, the section diagram of the achievable pose for ⎡nx ax ox px ⎤
⎢n a o p ⎥
end-effector covers the projection of the tomato y ⎥ （2）
0
A6 =0A1 1 A2 2 A3 3 A4 4 A5 5 A6 = ⎢ y y y
growing space in XOY plane. So the workspace W(P) of ⎢nz az oz pz ⎥
harvesting robot envelopes the tomatoes distribution ⎢ ⎥
space of one plant W(T) ⎣0 0 0 1 ⎦
2) The workspace hasn’t consisted in cavum, thereby where：(nx,ny,nz) is a normal vector；(ax,ay,az) is ,a
the reference point of end-effector can reach its every approach vector；(ox,oy,oz) is a orientation vector；
point, and this robot is easy to use. (px,py,pz) is the end-effector position vector.
3) The end-effector can reach the same point with 4.1.2 Forward kinematics simulation.The forward
many poses, so the harvesting robot has high flexibility. kinematics simulation is to simulate the attainable pose
of end-effector in terms of the actual paraments of
robot link.
First, a harvesting robot model was found by using
the Robotics tool, it can be seen from Figure 5:

Figure 5. Harvesting robot model

1)Testing the robot model: In order to test the
correctness of link parameters and the D—H
coordinate system, first the end-effector position
coordinate from Fig.2 is directly given as follows:
p x = 150 + 260 + 350 = 760
py = 0
Figure 4.Pose diagrams of the end-effector
p z = 300 + 260 + 60 = 620
4. Kinematics analysis However, the initial position of manipulator joint
variable is:
4.1. Forward kinematics analysis [θ01 θ02 θ03 θ04 θ05 θ06] =[0 pi/ 2 0 0 0 0]
Inserting it in rotation matrix（2）,the calculated result
4.1.1. Forward kinematics solution.The forward by MATLAB is:
kinematics is to solve the end-effector kinetic pose as ⎡0 0 1 760⎤
the geometric parameters of adjoining-link and the ⎢0 −1 0 0 ⎥⎥
motional displacement are given. 0
A6 = ⎢
⎢1 0 0 620⎥
According to the D-H coordinate system, the ⎢ ⎥
homogeneous transformations of link i-1Ai（i=1,2….6） ⎣0 0 0 1⎦
In conclusion, the end-effector coordinate in reference
is：
frame from two results is equal; this result indicates the
model is correct.

825
2)Rotate joint (XOZ plane) simulation:First, keeping Let : N = 0 A1−1 ⋅0 A6 ⋅5 A6−1 ⋅4 A5−1
the rotate joint variables θ1、 θ 4、 θ 6 are 0,and only let
⎡ε 1c5 + ε 2 s5 ε 1 s5 − ε 2 c5 ε3 γ⎤
θ 2、 θ 3、 θ 5 change within its limits,Table 2 is the ⎢v c + a s v s − a c n s − o c λ⎥
=⎢ 1 5 z 5 1 5 z 5 z 6 z 6 ⎥
simulated data both the rotated angle and the end ⎢ η1 s5η2 c5 η1 s5 −η2 c5 η3 b⎥
effector pose. ⎢ ⎥
Table 2. Rotated angle and end coordinate ⎣ 0 0 0 1⎦
θ2 θ3 θ5 Where:
px py pz
ε 1 = (c1 n x + s1 n y )c6 − (c1o x + s1o y ) s 6
-30 -30 45 89.41 0 350.04
45 30 60 848.1 0 721.99
ε 2 = c1 a x + s1a y ; v1 = n z c 6 + o z s 6
90 60 120 -121.9 0 815.17 ε 3 = (c1 n x + s1 n y ) s 6 − (c1o x + s1o y )c 6
180 90 135 -195.0 0 -63.12 η1 = ( s1 n x − c1 n y )c 6 + ( s1o x − c1o y ) s 6
Meanwhile, the permissible rotate angles are given:
η 2 = s1 a x − c1 a y
− 380 < θ 2 < 1800
− 42 0 < θ 3 < 180 0 η 3 = ( s1 n x − c1 n y ) s 6 + ( s1o x − c1 o y )c6
− 108 0 < θ 5 < 180 0 b = −η 2 d 6 + s1 p x − c1 p y
3)Rotate joint(XOY plane) simulation:First, keeping
the rotate joint variables θ 2、 θ 3、 θ 5 is 0,and only let
γ = −ε 2 d 6 + c1 p x + s1 p y − a1
θ 1、 θ 4、 θ 6 change within its limits, Table.3 is the λ = − a z d 6 + p z − d1
simulated data both the rotated angle and the obtained (4～9)：
end-effector pose. θ1 = arctg[( p y − a y d 6 ) ( p x + a x d 6 )]
Table 3. Rotated angle and end coordinate
d 42 + a 32 − γ 2
− λ 2 − a 22 γ
θ2 θ4 θ6 px py pz θ 2 = ± arcsin( ) − arctg ( )
− 2a2 γ 2
+ λ2 λ
-150 -120 -135 -407.03 -235.00 -310.00
γ − a2 c2 a3
-60 -30 -45 235.00 -407.03 -310.00 θ 3 = ± arcsin( ) − arctg ( ) − θ2
d +a
2
4
2
3
d4
90 60 120 0 470 -310.00
180 90 135 -470.00 0 -310.00
θ 4 = ± arccos((s1 n x − c1 n y )s6 + (s1o x − c1o y )c6 )
Meantime, the permissible motional angles are given: tg(θ 2 + θ 3 )(c1o x + s1o y ) − o z
θ 6 = arctg( )
− 170 0 < θ1 < 170 0 n z − tg(θ 2 + θ 3 )(c1 n x + s1 n y )
− 180 0 < θ 4 < 180 0 s1ax − c1a y
− 180 0 < θ 6 < 180 0 θ5 = arctg( )
(s1nx − c1n y )c6 + (s1ox − c1o y )s6
4.2.2 Nonuniqueness of solution.The θ 2 , θ 3 and θ 4
4.2. Inverse kinematics analysis
have respectively two values from the above
expression of solution, so the robot joint variables have
4.2.1 Inverse kinematics solution.The inverse eight groups solution, and it is apt to result in a
kinematics is to solve the joint variables as the catastrophe problem of joint. In order to keep the
end-effector pose is given, transforming equation (2) transfer path continuous, θ 2 , θ 3 and θ 4 must be limited
into: its scopes from the control algorithm:
1
A2 2 A3 3 A4 = 0 A1−1 ⋅0 A6 ⋅5 A6−1 ⋅ 4 A5−1 （3） 1)Scopes of θ 2 and θ 3 :Limited its scopes in the first
Let: M=1A2 2 A3 3 A4 and the fourth quadrant.
⎡c23c4 − s23 − c23s4 s23d4 + c23a3 + a2c3 ⎤ 2)Scope of θ 4 :limited the θ 4 with the arithmetic of
⎢s c c
⎢ − s23s4 − c23d4 + s23a3 + a2 s2 ⎥⎥ numerical value comparision.when the end-effector
= 23 4 23
was moved to the i and i-1 point, the θ 4 was
⎢ s4 0 c4 0 ⎥
⎢ ⎥ respectively signified with θ 4i and θ 4i −1 ,and the two
⎣ 0 0 0 1 ⎦
values of θ 4i was signified with θ 4i n （n=1,2）:
Where:
s23 = sin(θ2 +θ3 ),c23 = cos(θ2 +θ3 ), s4 = sinθ4 , c4 = cosθ4 Let d k = θ 4i n − θ 4i −1 + kπ , k = 0,±1
min

826
if d 0 is minimum, θ 4i = θ 4i n
θ 4i n > 0,θ 4i = θ 4i n − π
else:
θ 4i n < 0,θ 4i = θ 4i n + π
4.3.Motion simulation and analysis
4.3.1.Motion simulation.On the workspace, the
end-effector coordinate of initial position A is (760，0，
620) ,and the harvesting object position B is（800，0，
350) ,the movement of harvesting robot from A to B
was simulated by using the Robotics Toolbox in
MATLAB, The curves of rotated angle、velocity and
acceleration can be seen from Figure 6, The trajectory
of end can be seen from Figure 7.
Figure 6. rotated angle、velocity and acceleration
Figure 7. Trajectory of the end
4.3.2 Motion analysis
1)Motion Analysis of Joints:As can be seen from
Fig.8,the curves of rotated angle and velocity for joint
2、3 are smooth, and the others are the same.
2)Motion Analysis of the End: As can be seen from
Fig.9,after the end-effect moved from A to B,its end
coordinate X 、 Y and Z respectively become 8.02m,
-3.82m and 3.93m from initial position,it indicates the
last three joint can achieve many poses.
827
5.Conclusion
1)The workspace of harvesting robot was visually
verified that it covers the tomatoes distribution space of
one plant and hasn’t cavity with the pose diagrams of
end-effector, and the designed robot has high flexibility
and can work well in greenhouse.
2)The range of joint variables was obtained by the
simulation of forward kinematics; it lays the foundation
for the motion control and the trajectory planning of
harvesting robot in future
3)The inverse solution was gained, and the
catastrophe problem of robot joint value was solved
with the arithmetic application of numerical value
comparison.
4)The kinematics of harvesting robot was simulated in
the Robotics toolbox on the workspace, the motion
continuity of which indicates the parameters of the
designed end-effector are rational, and this end-effector
can work well with the manipulator. So the harvesting
robot can meet the working requirement in greenhouse.
Acknowledgments. This research is performed
under support of the National natural science
foundation of China under Grant 60575020.
References
[1] Japanese robot academy.Robotics Manual, Science Press,
Beijing,1996(10).
[2] Naoshi Kondo,Ting K C.Robotics for plant production,
Artificial intelligence review,1998(12):pp227-243.
[3] Mikio Umeda,Michihisa Iida.Development of watermelon
harvest robot,Robot,1997(7), pp20-25.
[4] Noriyuki murakami,Kanji otsuka,and Keichi inoue,et al.
ROBOTIC CABBAGE HARVESTER,Autonomous Robots,
1999(13),pp28-34.
[5] D.Erdogan,M.guner.Mechanical Harvesting of Apricots,
Biosystems Engineering,2003(1),pp19-28.
[6] Van Henten E J, Hemming J, and Van Tuijl B A J, et al.
An autonomous robot for harvesting cucumbers in
greenhouses, Autonomous Robots, 2002 (13),pp241-258.
[7] Achmad Irwan Setiawan, Tomonari Furukawa,and Adam
Preston. A low-cost gripper for an apple picking robot.
Proceedings of the IEEE International Conference on
Robotics & Automation, 2004.
[8] Jizhan Liu,Pingping Li,and Zhiguo Li.Hardware Design
of the End-effector for Tomato-harvesting Robot.
Transactions of the Chinese Society for Agricultural
Machinery,2008(3),pp39-42.
[9] Jizhan Liu,Pingping Li,and Zhiguo Li.A multi-sensory end
effector for spherical fruit harvesting robot,Proceedings
of the IEEE International Conference on Automation and
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[10] Xiangfeng Ma.Robot Kinematic, CHINA MACHINE
PRESS, Beijing,1991,pp106-114
 Session 7

Fuzzy System
and Application

ICICTA 2008
 2008 International Conference on Intelligent Computation Technology and Automation
A Dynamic Fuzzy Clustering Scheme in Overlay Multicast
Jun Lu, Qi Bing
School of Electrical and Electronic Engineering
North China Electric Power University
Beijing, China
lujun@ncepu.edu.cn
Abstract
This paper proposed a dynamic fuzzy clustering
scheme with adaptive fuzzy threshold to the
hierarchical topology optimization in overlay
multicast. The scheme firstly normalized the two
routing metrics—overlay path delay and overlay node
access bandwidth-- to comprise the clustering feature
vector, and then calculated the Euclidean distance
within each pair of overlay nodes to construct the fuzzy
membership matrix. Furthermore, inspired by the
statistic histogram principle, the scheme dynamically
adapted the fuzzy clustering threshold to the statistic
results from the fuzzy membership matrix for the better
clustering results. Compared with non-clustering
method and HCM, the experiments illustrated that the
proposed scheme performs better in both the clustering
performance and the routing optimization.
1. Introduction
The design of overlay network has been widely
considered for the past several years, which aims to
optimize and enable new-generation applications over
the existed Internet [1].Multicast services are one
important kind of applications in overlay network [2],
which may be called as overlay multicast. Overlay
multicast is an application-level multicast based on a
set of distributed Multicast Service Nodes (MSN: a
kind of application server directly accessing to near
access router with high access bandwidth) that
provides multicast services to end users on top of the
general Internet unicast infrastructure [3].
Similar to the goal of application layer multicast [4],
the goal of overlay multicast is to construct and
maintain efficient distribution trees between the
multicast session participants, minimizing the multicast
cost involved with overlay network processing. Hence,
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DOI 10.1109/ICICTA.2008.70
how to design the routing topology is a key technology
to the wide deployment of overlay multicast.
According to the construction methods, the
proposed overlay multicast routing schemes may be
categorized into three classes: tree-first, mesh-first, and
hierarchy solution [5]. The hierarchy solutions present
better routing performance compared with the other
two. However, one premise is to detect the topology
clustering structure effectively before constructing
hierarchical routing tree.
This paper proposed a dynamic Fuzzy Clustering
scheme with adaptive fuzzy threshold (DFClustrer) to
cluster topology nodes for the hierarchical topology
construction of overlay multicast tree, inspired by
Fuzzy Clustering [6].
The rest of the paper is organized as follows.
Section 2 formulates hierarchical routing issue in
overlay multicast. Section 3 depicts the proposed
dynamic fuzzy clustering scheme for the topology
hierarchy. Section 4 discusses its related experiment
performance. Finally, we conclude in Section 5.
2. Hierarchical Routing Issue Formulation
An overlay network in computer network is a logic-
connected network which is built on top of current
network infrastructure. It can be modeled as a complete
directed graph: Each tree edge corresponds to a unicast
path between a pair of MSNs (overlay path delay), and
each tree node degree represents MSN access
bandwidth [3].
(1) Model Routing Optimization
Definition: Overlay Multicast Routing
Optimization: Give an undirected complete graph
G = (V , E ) , a MSN access bandwidth bound
Bmax (v) ∈ N for each vertex v ∈ V , and path latency
cost L(e) ∈ Z + for each edge e ∈ E ; find a directed s
i
spanning tree T of G rooted at Source MSN r , so as j
to minimize the overlay path cost ∑ i , j∈T Ci , j , subject
k
Intra-Cluster A Inter-Cluster Intra-Cluster B
to the bandwidth constraint that BT (v) ≤ Bmax (v) for
all v ∈ T in which BT (v) is the consumed bandwidth MSN MSN

for the multicast tree T at vertex v . The optimization Intra-Cluster C

can be formulated as:
Minimize : ∑ i , j∈T Ci , j
⎧ BT (v) ≤ Bmax (v) ∀v ∈ T (c1)
s.t. ⎨
⎩ Li , j < Li , k + Lk , j i, j , k ∈ s (c 2)
For the following convenience of the performance
comparison, here we specified the overlay path cost
Ci , j as a unified optimization function of the overlay
latency cost Li , j and MSN access bandwidth usage
ratio Ri , j 1 of the tree overlay path between i and j ,
which is specified as Equation (1)
Ci , j = Li , j + R i , j
Li , j and R i , j are the normalized forms of
Where
the delay cost Li , j and the bandwidth cost Ri , j .
Hence, the objective in the routing optimization is
to minimize the unified optimization function
f indicating the total cost of multicast tree.
Figure.1 Hierarchical Routing Tree
3. Dynamic Fuzzy Clustering Scheme
The proposed scheme DFCluster firstly comprised
the clustering feature vector by normalizing the two
routing metrics --overlay path delay and MSN access
bandwidth, and then defined fuzzy member function
based on the Euclidean distance for the fuzzy
membership matrix. Finally the scheme applies an
adaptive fuzzy threshold to implement the clustering
decision.
3.1 Fuzzy Feature Vector Definition
(1)
Suppose MSN set is M and s is source MSN,
Dmin = min i∈M ( Di , s ) and Dmax = m a x i∈M ( Di , s ) ,
which are maximum and minimum of overlay path
delay within each MSN i and Source MSN s . And
Bmin = min i∈M ( Bi ) and Bmax = max i∈M ( Bi )
which are maximum and minimum of MSN access

(
f = ∑ i , j∈T L i , j + R i , j
(2) Construct Hierarchical Routing Tree
) (2)
bandwidth within each MSN i .The two routing-related
metrics for each MSN i ∈ M are normalized as
follows:

The clustering target of the proposal scheme i i = Di , s − Dmin

D (3)
DFCluster is to minimize the cost f through the Dmax − Dmin
optimization of the hierarchical topology obtained by i = Bi − Bmin
B (4)
the fuzzy clustering. After the clustering operation, we
Bmax − Bmin
i
construct the cluster-based hierarchical routing
topology tree (including intra-cluster and inter-cluster Where Di , s is overlay path delay from MSN i to s ,
trees) for the aim above based on a bandwidth-restraint
SPT-based multicast routing algorithm (MSPT) [7], and B is MSN access bandwidth. at MSN i . D i i and
i
which is to form a source-based Multicast Shortest i are their related normalized form.
B
Path Tree with bandwidth restraint shown in Fig.1. i

Hence, the fuzzy feature vector xi corresponding to

MSN i is composed of D i i and B i , that is

i
ii , B
xi = {D i} , which maps MSN i to be a point in a
i
1
MSN access bandwidth usage ratio Ri , j is defined as the 2-D topology feature space.

ratio of BT (i ) / Bmax (i ) .

832
3.2 Fuzzy Membership Matrix Calculation
⎡ r11 r12 " r1v ⎤
The proposed scheme aims at clustering MSN’s ⎢r r22 " r2 v ⎥⎥
related feature vector (one point in the feature space) R = ⎢ 21
by its feature similarity, by which the hierarchical ⎢# # % # ⎥
⎢ ⎥
routing tree will optimize the routing better. ⎢⎣ rv1 rv 2 " rvv ⎥⎦
DFCluster selected Euclidean distance to measure
the feature similarity, which corresponds to the unified (a) Fuzzy Membership Matrix
routing function as Equation (1).
Assume V is a MSN set containing v MSNs; the fuzzy theshold

Euclidean distance dij of two feature vectors at MSN

i and MSN j may be specified as Equation (5).
2
r
2
1
∑( x − x jk )
0 1
d ij = ik
(5)
2 k =1
(b) Statistic Histogram
Figure 2 Membership Histogram Statistics
Hence, the membership function rij may be defined
as Equation (6). 4. Experiment and Analysis
rij = μ R ( xi , x j ) = (1 − dij / d max ) (6)
The experiment network topology is generated
In Equation (6), d max is the maximum distance randomly, which scale is 200 nodes and MSN number
among any pair of MSNs, that is d max = max ( d ij ) is increased from 8 to 196. The experiment compared
the optimal performance of the proposed DFCluster
( i, j ∈ V ). Therefore, the membership matrix R may
with non-clustering method and HCM (Hard C-Mean
be specified as [ rij ]v×v , in which rij is ranged within Clustering) [8].
[0,1] proportional to the similarity of MSN i and MSN The experiments select average intra-cluster
j. distance J intra and average inter-cluster distance J inter
to evaluate the clustering performance, and the united
3.3 Adaptive Fuzzy Threshold Control optimization function f (detailed in Section 2) to
evaluate the routing performance respectively.
How to implement the fuzzy decision to divided all
MSNs into clusters is another important issue, in which
J intra is defined as the mean value of the intra-
the fuzzy threshold is the key. The fuzzy threshold will cluster distances as Equation (7).
1 c i 1 c
∑ ∑ ( ∑ || xk − ci ||2 )
influence on the final clustering performance. Inspired
by the statistic histogram principle in the image J intra = J intra = (7)
c i =1 c i =1 k , xk ∈Gi
segmentation, the fuzzy threshold is determined
i
dynamically by calculating the statistic distribution of In Equation (7), c the cluster is number and J intra
the elements in the membership matrix.
The whole course may be demonstrated in Fig.2. is the intra-cluster distance of the cluster Gi . k and ci
First the range of [0,1] will be divided into several are the members’ number and the center of the cluster
equal ranges, such as [0,0.1], [0.1,0.2],…,and [0.9,1.0]. Gi respectively.
And then the elements rij within the dashed triangle
J inter is defined as the mean value of the inter-
range illustrated in Fig.2(a) will be counted according cluster distance as Equation (8).
to its value (i.e. if rij =0.15, the counter for [0,0.1] will
1 c i 1 c c
increase one.). Finally all the counters may compose J inter = ∑
c i =1
J int er = ∑ (∑ || ci − c j ||2 )
c i =1 j =1
(8)
the statistic histogram illustrated in Fig.2(b). As a
i
result, the fuzzy threshold may be adapted to the In Equation (8), c is the cluster number and J int er
statistic distribution of the membership matrix
dynamically. is the inter-cluster distance of the cluster Gi . ci and

833
c j are the centers of Cluster Gi and Cluster G j average inter-distance J inter in DFCluster fluctuates in
respectively. large range (0.48~0.74) compared with that of HCM in
small one (0.43~0.59). With the help of the fuzzy
4.1 Clustering Experiment clustering, DFCluster possesses of less J intra and
Firstly we discussed the clustering performance by more J inter than HCM, which implies better clustering
performance.
average intra-cluster distance J intra and average inter-
cluster distance J inter , in which less J intra and more 4.2 Routing Optimization Experiment
J inter imply the better clustering performance. Fig.3
is the experiment results, in which the x-axis Then we discussed the routing performance by the
represents MSN number and the y-axis represents united optimization function f , in which less f also
J intra and J inter respectively. implies that the related overlay multicast routing tree
performs better. Fig.4 is the results with x-axis and y-
0.55 axis representing MSN number and the united
0.50
optimization function f of the related routing tree
0.45
Intra-Cluster Distance

0.40 respectively.
0.35 Non-Cluster
0.30
HCM
DFCluster 150
0.25 Non-Cluster
135
0.20 HCM
0.15 Optimization Function f 120
DFCluster
105
0.10

0.05 90

0.00 75
0 20 40 60 80 100 120 140 160 180 200
60
MSN Number 45

30

(a) Intra-Cluster Distance J intra 15

0
0 20 40 60 80 100 120 140 160 180 200
0.78
MSN Number
0.72

0.66
Inter-Cluster Distance

Figure 4 Routing Optimization Performance

0.60

0.54 Fig.4 indicates some observations of the routing

0.48
optimization cost f with increasing MSN number for
0.42

0.36 topology cluster detection: (a) the optimal objective f

Non-Cluster
0.30
HCM in the cluster schemes perform better than that of non-
0.24 DFCluster
cluster scheme; (b) the cost f increases with MSN
0 20 40 60 80 100 120 140 160 180 200

MSN Number
(b) Inter-Cluster Distance
Figure 3 Exp. Clustering Performance
Fig.3 indicates some observations with increasing
MSN number for topology cluster detection: (a) the
intra-cluster distance of the cluster schemes including
HCM and DFCluster is shorter than that of non-cluster
scheme, while the inter-distance is longer; (b) the
average J intra in both schemes
intra-distance
decreases; while DFCluster achieves less J intra
(0.04~0.16) than that in HCM (0.06~0.26); (c) the
number increasing which implies that the size of the
related multicast routing tree expands; (c) DFCluster
performs less cost f (2.04~31.72) compared with that
J inter
of HCM in (2.4~52.25), which implies that DFCluster
possesses of better routing results.
5. Conclusion
This paper proposed a dynamic fuzzy clustering
scheme with adaptive fuzzy threshold to cluster
topology nodes for the hierarchical topology
construction in overlay multicast. The simulation
illustrated that it achieved better clustering and routing
performance.

834

Acknowledgement
Lu thanks North China Electronic Power University
(NCEPU), for supporting his studies. This research is
funded by NCEPE Doctor Research Fund.
References
[1] A. Young, J. Chen, etc, “Overlay Mesh Construction
Using Interleaved Spanning Trees”, IEEE Infocom’04, 2004.
[2] Bo Li, Y Thomas Hou, S.Kazem, U. Mehmet,
ZhengSheng Zhang. “Guest Editorial: Recent Advances in
Overlay Networks”, IEEE JSAC Special Issue on Advances
in Overlay Networks, Vol. 22(1), 2004.
[3] S. Shi. And J.Turner. “Multicast Routing and Bandwidth
Dimensioning in Overlay Networks”, IEEE Journal on
Selected Areas in communications, Vol.(8) 2002.
835
[4] E. Brosh, Y. Shavitt, “Approximation and Heuristic
Algorithms for Minimum Delay Application-Layer Multicast
Trees”, IEEE Infocom’04, 2004.
[5] B. Suman, B. Bobby, K. Christopher, “Scalable
Application Layer Multicast”, ACM Sigcomm'02, Pittsburgh,
Pennsylvania, August 2002.
[6] F. Klawonn, F. Höppner: “What is Fuzzy about Fuzzy
Clustering? -- Understanding and Improving the Concept of
the Fuzzifier”, Advances in Intelligent Data Analysis,
Springer,Berlin 2003: pp254-264
[7] B. Suman, K. Christopher, K. Koushik, B. Samrat, K.
Samir, “Construction of an Efficient Overlay Multicast
Infrastructure for Real-time Applications,” IEEE Infocom’03,
San Francisco, June 2003.
[8] Bian Zhaozhong; Zhang Xuegong, Pattern Recognition;
second version, Beijing: Tsinghua Publishing House, 1999.
 2008 International Conference on Intelligent Computation Technology and Automation
A new method for assessing the weights of fuzzy opinions
in group decision environment
Yanbing Gong, Jiguo Zhang
（Business School, Hohai University, Changzhou, 213022, China）
Email: yanbg79@163.com
Abstract
The aggregation of fuzzy opinions is an important
component of group decision analysis with fuzzy
information. In this paper, a minimax disparity method
for the assessment of the weights to be associated with
fuzzy opinions is proposed. The proposed approach
generates the weights by minimizing the maximum the
difference of any two adjacent individual weighted fuzzy
opinions and the difference of individual weighted fuzzy
opinion and the weighted mean value, which is called the
possibilistic mean value minimax difference method
(MVMDM). Three numerical examples are provided to
illustrate the application of the proposed approach in
aggregating fuzzy opinions in a simple and effective way.
Keywords: Fuzzy opinions aggregation; group
consensus opinions; possibilistic mean value; minimax
1 Introduction
In fuzzy group decision analysis it is often required
that individual fuzzy opinions be aggregated to form
group consensus as the basis of group decision. Several
methods have been proposed in the literature deriving
group consensus from individual fuzzy opinions. Hsu
and Chen[1] suggested a similarity aggregation method
(SAM) for aggregating individual fuzzy opinions that are
subjectively estimated by experts and represented by
positive trapezoidal fuzzy numbers (TFNs). Their
method first measures the degree of agreement between
any two fuzzy opinions using a function of pairwise
similarity. For each fuzzy opinion, the degrees of
agreement with respect to the other opinions are
averaged. Subsequently the average degrees of
agreement are normalized and combined linearly with
the relative importance weights of the experts to obtain
the final composite weights for aggregating the
individual fuzzy opinions. When fuzzy opinions do not
overlap SAM is not applicable. Moon and Kang[2]
suggested an approach to determine the total integral
value of a triangular fuzzy number. The total integral
values are subsequently normalized to become the
weights of the fuzzy opinions. Kumar and Karmakar[3]
presented an aggregation method based on experts’
relative importance and confidence interval of
trapezoidal fuzzy numbers. In their method, individual
trapezoidal fuzzy numbers are first transformed into
intervals using α-cut, which are subsequently weighted
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DOI 10.1109/ICICTA.2008.104
and added into an overall interval, and finally this overall
interval is transformed back into an aggregate trapezoidal
fuzzy number. Lee[4] presented an optimal consensus
approach for aggregating individual fuzzy opinions,
which minimizes the sum of weighted dissimilarities
between aggregate consensus and individual opinions.
Compared with the other methods noted above, Lee’s
approach has some advantages. It is valid even in the
case when fuzzy opinions are disjoint. Also it determines
the weights by an optimization model and is therefore
optimal with respect to the criterion of the model.
However, Lee’s approach is nonlinear and
computationally complex, which renders its application
impractical in real-life fuzzy group decision analysis.
Recently, Wang[5] presented two approaches that
overcome the drawbacks of Lee’s method. The first
approach minimizes the sum of squared distances from
one weighted fuzzy opinion to another and is called the
least squares distance method (LSDM). The second
approach minimizes the sum of squared differences
between the defuzzified values of any two weighted
fuzzy opinions and is called the defuzzification-based
least squares method (DLSM).
In this paper, we also presented an optimal consensus
method for aggregating individual fuzzy opinions, called
the possibilistic mean value minimax difference method
(MVMDM). This approach does not entail the solution
of any nonlinear optimization problems or an inverse
matrix, and no partitioning is required. All that is needed
the solution of a linear programming (LP) model using
Excel’s solver or an LP software such as Lindo.
2 Optimization approach for assessing the
weights of fuzzy opinions
Consider a group decision making situation where
group members express their fuzzy opinions as positive
triangular or trapezoidal fuzzy numbers: Ri = ( ri1 ," ,
rim ), i = 1," , n ,n being the number of individuals in
the group, and m=3 is for triangular fuzzy numbers and
m=4 for trapezoidal fuzzy numbers. Let
R = (r1 ,", rm ) = F ( R1 ,", R n ) be the aggregate of the n
fuzzy opinions. Generally speaking, there exist many
aggregation operators and rules that can be used to
aggregate fuzzy opinions. The fuzzy opinions of the
group members will be aggregated using a commonly
used linear additive procedure[6,7]. According to the
836
additive aggregation rule, we have between all pairs of weighted fuzzy opinions:
n
⎛ ⎞ n n n n n n
⎛ m
⎞
R = ∑ wi Ri = ⎜ ∑ wi ri1 ," , ∑ wi rim ⎟ (1) Min J = ∑ ∑ dij2 = ∑ ∑ ⎜⎝ ∑(w r i ik − wj rjk )2 ⎟
i =1 ⎝ i =1 i =1 ⎠ i =1 j =1, j ≠i i =1 j =1, j ≠i k =1 ⎠
n
Where wi is the relative weight of the ith fuzzy
opinion, i = 1,…,n. The weights satisfy the following
s.t. ∑w =1
i =1
i (8)

normalization condition: wi ≥ 0, i = 1,", n

n

∑wi =1
i =1 (2) Then the optimal weights W = ( w1 , " , wn )
∗ ∗ ∗ T
of
model (8) can be generated by
The problem of aggregating the n fuzzy opinions is
G −1e
essentially the same as the problem of determining the W∗ = (9)
weight vector W. In order to determine the weights, eT G −1e
Lee[4] constructed the following optimization model:
Where e = (1," ,1) is the transpose of e and
T
n
Min Z p ,c (W , R ) = ∑ (w i ) p (c − S2 ( Ri , R )) G −1 is the inverse of G = ( gij )n×n , which is defined as
i =1
(3) ⎧ m
⎧ n
⎫
s.t. W ∈ ⎨W | W = (w1 ,", w n ), w i ≥ 0, ∑ w i = 1⎬ ⎪
⎪
( n − 1) ∑
k =1
rik2 , i = j = 1, " , n
⎩ i =1 ⎭ gij = ⎨ m (10)
⎪ − r r , i, j = 1," , n, j ≠ i
⎪⎩ ∑
Where p>1 is an integer, c>1 is a constant, and
S 2 ( Ri , R ) is a similarity measure between Ri and R ,
ik jk
k =1

which is defined as When the weight constraint is taken into

consideration, both minimum the sum of weighted
1
S 2 ( Ri , R ) = 1 − 2 (d 2 ( Ri , R )) 2 dissimilarities and the least squares distance method
4u (LSDM) could be interpreted as making all the weighted
(4)
∑
m fuzzy opinions as close to each other. In other words, the
(r − rk )2 disparities between two adjacent individual weighted
= 1− k =1 ik

4(max(U ) − min(U ))2 fuzzy opinions are made as small as possible. Or, the
differences between the individual weighted fuzzy
The expression (c − S 2 ( Ri , R )) represents the opinions and the value of a weighted mean value fuzzy
dissimilarity between R and R , while d ( R , R ) is
opinions are made as small as possible.
i 2 i In what follows, we present one such analytical
the Euclidean distance between them. U is the universe approach. We begin with the definition of the
of discourse. The optimal solution of the model (3) can possibilistic mean value weighted distance between two
be obtained by solving the following nonlinear equations fuzzy numbers.
iteratively: Definition1[8] Let a ∈ φ is a fuzzy number with a
n
1
R = ∑ ( w ) p
Ri (5) α -level set a (α ) = [a1 (α ), a2 (α )],α ∈ [0,1] . Then the
∑
n i
(w i ) i =1
i =1
p
possibilistic mean value of a is
[1/(c − S ( R , R ))]1/( p −1)
1
M ( a ) = ∫ α ( a1 (α ) + a2 (α )) dα
w i = 2 i
(6) 0

∑ [1/(c − S 2 ( R j , R ))]1/( p −1)

n
⎛ 1
∫ α a (α )dα ⎞⎟
1
1 ⎜ ∫0 α a1 (α )dα
j =1
2
(11)
∗
 (i = 1, " , n) be the solution of (5) and (6). = + 0
Let w 2 ⎜⎜ 1 1 ⎟
⎝ ∫0 ∫ α dα ⎟⎠
i
α d α
∗ ∗ ∗ T
Then the optimal weights W = ( w , " , w )
0
1 n can be
So, the possibilistic mean value zi of the triangular
generated by
(w i∗ ) p fuzzy number Ri = ( ri1 , ri 2 , ri 3 ) and trapezoidal fuzzy
wi∗ = , (i = 1," , n) (7)
∑ number Ri = ( ri1 , ri 2 , ri 3 , ri 4 ) can be determined by
n
j =1
( w ∗j ) p
1
Lee’s approach has some complexity. In addition to
its computational complexity, there is the requirement
Mi = ( ri1 + 4ri 2 + ri3 )
6
that the parameters p and c be chosen carefully as their (12)
1
values affect the final results. So Wang and Celik[5] M i = ( ri1 + 2ri 2 + 2ri 3 + ri 4 )
suggested a least squares distance method (LSDM), 6
which minimizes the sum of the squared distances

837
Definition 2 Let Ri = ( ri1 ," , rim ) and R j = ( rj1 , And

" , rjm ) be two triangular or trapezoidal fuzzy numbers ⎪⎧ wk M ( R k ) − wk +1M ( Rk +1 ) − ρ 2 ≤ 0, k = 1," , n − 1
⎨
with m=3 for triangular fuzzy numbers and m = 4 for ⎪⎩ − wk M ( R k ) + wk +1M ( R k +1 ) − ρ 2 ≤ 0, k = 1," , n − 1
trapezoidal fuzzy numbers. The possibilistic mean value Thus, the minimax difference model (16) can be
distance between Ri and R j , is defined as reconfigured as the LP model shown below:
Min ρ1 + ρ2
dij = f ( Ri , R j ) = M ( Ri ) − M ( R j ) (13)
⎛ P −e 0 ⎞
So, the differences between the possibilistic mean ⎜ ⎟ ⎛W ⎞
− P −e 0 ⎟ ⎜ ⎟
value of a weighted fuzzy number wi R i and the s.t. ⎜ ρ1 ≤ 0 (17)
possibilistic mean value of a weighted mean value fuzzy ⎜Q 0 −e ⎟ ⎜⎜ ⎟⎟
⎜ ⎟ ⎝ ρ2 ⎠
⎝ −Q 0 −e ⎠
n
1
number of Z =
n
∑ w R i i are
n

∑w
i =1
n i = 1, wi ≥ 0, i = 1," , n
1
gi = f (wi Ri , Z ) = wi M (Ri ) − ∑ wj M (R j )) i =1

Where e = (1," ,1) and P,Q are defined as

T
n j =1 (14)
i = 1,2,", n ⎛(n −1)M(R1) M(R2 ) " M(Rn ) ⎞
⎜ ⎟
M(R1) (n −1)M(R2 ) " M(Rn ) ⎟
P= ⎜
And, the disparities between two adjacent 1
(18)
individual possibilistic mean value weighted fuzzy n⎜ # # # # ⎟
opinions are ⎜⎜ ⎟
qi = f (wi Ri , wi +1Ri+1 ) ⎝ M(R1)
 M(R2 ) " (n −1)M(Rn ) ⎟⎠
(15) ⎛ M(R1) −M(R2 ) " 0 ⎞
= wi M ( Ri ) − wi +1M (Ri +1 ) , i = 1,", n −1
0
⎜   ⎟
⎜ 0 M(R2 ) −M(R3 ) " 0 ⎟
In view of above interpretation, we propose the Q= (19)
following model for minimizing the maximum ⎜ # # # # # ⎟
⎜⎜ ⎟
difference:
⎝ 0 0 " M(Rn−1) −M(Rn ) ⎟⎠
(
Min Max g i + Max qk
i =1,", n k =1,", n −1
) By solving the LP model (17), we can obtain the
∗ ∗ ∗ ∗ T
optimal weight W = ( w1 , w2 ," , wn ) of fuzzy
n
s.t. ∑ wi = 1
i =1
(16)
opinions under group decision making environment. We
call the method that employs Eqs. (17) to determine
wi ≥ 0, i = 1, 2," , n weights the possibilistic mean value minimax differences
Let the maximum difference be represented by method ,or MVMDM.
1 n
ρ1 = Max g i = Max wi M ( Ri ) −
i =1,", n i =1,", n
∑ w j M ( R j ))
n j =1
3 Numerical examples

ρ2 = Max qk = Max wk M ( Rk ) − wk +1M ( R k +1 ) In this section, we offer three numerical examples to
illustrate the use of the proposed method (MVMDM).
k =1,",n −1 k =1,",n −1
The first two examples illustrate the aggregation of
We have trapezoidal fuzzy numbers and triangular fuzzy numbers,
n
respectively. The third example involves the aggregation
1
∀i = 1," , n, wi M ( Ri ) − ∑ w j M ( R j )) ≤ ρ1 of combination of interval numbers, triangular fuzzy
n j =1 numbers, and trapezoidal fuzzy numbers.
Example 1. Consider a group decision analysis problem
∀k = 1," , n − 1, wk M ( Rk ) − wk +1M ( R k +1 ) ≤ ρ 2 investigated by Lee[4] and Hsu and Chen[1] and Wang[5]
in which three experts express their opinions as captured
That is by the following trapezoidal fuzzy numbers:
⎧ n
 ) − 1 ∑ w M ( R )) − ρ ≤ 0, i = 1, " , n R1 = (1,2,3,4), R 2 = (1.5,2.5,3.5,5), R3 = (2, 2.5,4,6)
⎪ iw M ( Ri j j 1
⎪ n j =1 For the application of MVMDM, we first construct
⎨ n
the following matrix:
⎪w M ( R ) − 1 w M ( R )) − ρ ≤ 0, i = 1, " , n
⎪⎩ i i ∑
n j =1
j j 1

838
 ⎛1.6667 1.0278 1.1667 ⎞
⎜ ⎟
P = ⎜ 0.8333 2.0556 1.1667 ⎟
⎜ 0.8333 1.0278 2.3333 ⎟
⎝ ⎠
Whose inverse is:
⎛ 2.5000 -3.0833 0⎞
Q=⎜ ⎟ DLSM R ∗ = (2.8945,3.5539,4.6175,5.2770) , R ∗ =
⎝ 0 3.0833 -3.5000 ⎠
Then, by Eqs. (17) and (1), we obtain the optimal
weights and optimal aggregation as
W ∗ = (0.4231, 0.3175, 0.2594)T
3 In this paper, we have proposed a new method, called
R ∗ = ∑ wi∗ Ri = (1.4181,2.2884,3.4181,4.8363)
i =1
Our method produces aggregate values that is very
similar to those obtained by Lee’s optimization
method[4], R ∗ = (1.5066,2.3370,3.5006,5.0012) , and
Wang’s LSDM and DLSM [5] R ∗ = (1.4388,2.3003
3.4388,4.8776) R ∗ = (1.4377,2.2992,3.4377,4.8753)
Our approach is markedly simpler than Lee’s
procedure.
Example 2. Consider an aggregation problem with
missing data point, which in the opinion of three experts
can be estimated by the three triangular fuzzy numbers
below:
R1 = (2,3, 4), R2 = (2, 4, 5), R3 = (3, 4, 5)
Using MVMDM, we have
∗
W = (0.4286,0.3012,0.2701) T under group decision making, Fuzzy Sets and Systems,
3
R ∗ = ∑ wi∗ Ri = (2.2701,3.5714,4.5714)
i =1
Thus, the method produces aggregate values that is
very similar to those obtained by Lee’s optimization
method R ∗ = (2.3334,3.6712,4.6712) , and Wang’s
LSDM and DLSM R ∗ = (2.2967,3.6093,4.6093) R ∗ =
(2.2920,3.6106,4.6106) .
Example 3. Consider the following scenario: Three real
estate agents, experts whose opinion we are interested in,
predicted the average price a certain property would
command over the next quarter. There opinions can be
characterized, respectively, by an interval number, a
triangular fuzzy number, and a trapezoidal fuzzy number,
as shown below where the formats[5]:
R1 = (3,5), R 2 = (4,5, 6), R3 = (2,3, 4, 5)
Since interval numbers and triangular fuzzy numbers
can both be viewed as special cases of trapezoidal fuzzy
numbers, the three opinions are represented by
trapezoidal fuzzy numbers as
R1 = (3,3,5,5), R 2 = (4,5,5,6), R3 = (2,3, 4,5)
MVMDM produces the following results:
839
W ∗ = (0.3306,0.2548,0.4146)T
3
R ∗ = ∑ wi∗ Ri = (2.8403,3.5096,4.5854,5.2548)
i =1
Thus, the method produces aggregate values that is
very similar to those obtained by Wang’s LSDM and
(2.8835,3.5437,4.6117,5.2718) .
4 Conclusions
minimax disparity approach (MVMDM), to obtain the
weights of individual fuzzy opinions in fuzzy group
decision analysis so that fuzzy opinions can be
aggregated in a simple and effective manner to obtain a
group consensus. The MVMDM is simpler than the
existing approaches because it requires only the
formulation and solution of an LP model as opposed to a
constrained nonlinear optimization model or the
requirement that an inverse matrix be solved. We have
illustrated the application of our approach by three
numerical examples and verified its validity in
generating valid weights of individual fuzzy opinions.
References
[1] H.M. Hsu, C.T. Chen, Aggregation of fuzzy opinions
vol. 79, no. 3, 1996,pp.279-285.
[2] J.H. Moon, C.S. Kang, Use of fuzzy set theory in the
aggregation of expert judgments, Annals of Nuclear
Energy,vol.26,no.6, 1999,pp.461-469.
[3] A. Kumar, G. Karmakar, Aggregation of opinions
using fuzzy numbers, International Journal of Systems
Science, vol.32, 2001,pp.1399-1411.
[4] H.S. Lee, Optimal consensus of fuzzy opinions under
group decision making environment, Fuzzy Sets and
Systems,vol. 132, no.3, 2002,pp.303-315.
[5]Ying-Ming Wang, Celik Parkan, Two new approaches
for assessing the weights of fuzzy opinions in group
decision analysis, Information Sciences, vol.176,no.23,
2006,pp.3538-3555.
[6] K.S. Park, S.H. Kim, A note on the fuzzy weighted
additive rule, Fuzzy Sets and Systems, vol.77, no.3, 1996,
pp.315-320.
[7] R. Ramakrishnan, C.J.M. Rao, The fuzzy weighted
additive rule, Fuzzy Sets and Systems, vol.46, no.2, 1992,
pp.177-187.
[8] Christer Carlsson, Robert Fuller, On possibilistic
mean value and variance of fuzzy numbers, Fuzzy Sets
and Systems,vol.122, no.2,2001,pp.315-326.
 2008 International Conference on Intelligent Computation Technology and Automation
A Study of Fixed-structure Variable-parameter Digital Controller Based on
Fuzzy Control for DC/DC Converters
Yao Yuying Zhang Donglai
Harbin Institute of Harbin Institute of
Technology Shenzhen Technology Shenzhen
Graduate School Graduate School
yaoyuying_hit@yahoo.com.cn
Abstract
The rapid development of digital control technology
provides a new approach to applications of modern
control theory and algorithm in power supplies. Firstly,
the paper presents a digital DC/DC converter
regulated by a fixed-structure variable- parameter PID
(proportional – Integral - differential) controller and
analyzes the limitations if a large signal disturbs the
system; secondly, the feasibility of a compound
controller including fuzzy and PI is demonstrated
based on the model-independent of fuzzy control; last,
fuzzy control is applied to determine the switching
condition of variable-parameter PID controller.
Simulation and experiment indicate that the vibration
and bounce-back at the switching instants can be
solved by the introduction of fuzzy control and the
robustness of DC/DC converter is improved.
1. Introduction
DC/DC converters are commonly applied to supply
power for terminal equipments in many systems, so the
performance and reliability are significantly important.
Traditional DC/DC converters are regulated by
constructing a close-loop with analog components;
otherwise, digital control technology can complete the
compensation by software codes. By this way, the
influences of temperature and humidity on component
parameters can be avoided; furthermore, the volume of
the power module will be decreased [1]. Another
attractive advantage is that modern control theory can
be applied to power supply and make it more robust
and intelligent [2]. State-space averaging is often used
to model the DC/DC converter with a small signal
system [3][4]. However, small signal model is adaptive
to stable state; the transient regulations should be
based on a large signal model. Except for the difficulty
978-0-7695-3357-5/08 $25.00 © 2008 IEEE 840
DOI 10.1109/ICICTA.2008.142
Xu Dianguo
Harbin Institute of
Technology
of obtaining the large signal model, the nonlinearity of
DC/DC converter is often ignored, so a fixed-
parameter PID controller is powerless during the
whole operating period and the stable and dynamic
performances are inaccessible at the same time [5]. A
piecewise control strategy and sliding-mode control
are applied to DC/DC converter, they establish
different models for each operating condition [6].
Unfortunately, more models are needed and increase
the difficulty and workload. A significant advantage of
fuzzy control is direct and model-independent, and it
works on the rules derived from human experience [7].
Fuzzy control has been implemented in many
applications, such as process control system, object
tracking and power supply, and self-adaptation, neural
network and sliding-mode methods are also
incorporated to improve the basic fuzzy controller [8]
[9].
In this paper, a digital DC/DC converter is
implemented in Section 2, and the problems of a fixed-
parameter variable-parameter PID controller are
presented and discussed. In section 3, the feasibility of
a compound controller including fuzzy and PI is
demonstrated by simulations. In section 4, a fuzzy
controller is designed to solve the above-mentioned
problems. Both simulation and experiment results are
listed to prove the validity of the method. The
conclusion is summarized in section 5.
2. System design
2.1 System scheme
The target is to design a digital-controlled isolated
DC/DC converter with +5V/3.6A output. The input
voltage fluctuates from 23V to 33V, switching
frequency is 300 kHz, stable error is less than 1%,
overshoot and undershoot are less than 5% when the
load current steps from 10% to 50% or from 50% to PID2), they switches from one to another when the
100%. error exceeds a limit [10].
The sketch map of digital DC/DC converter is
shown in Figure1. It consists of two controllers, one in
the primary side to obtain an intermediate bus
architecture (IBA) by preliminary regulation of input
voltage; the other in the secondary side for post-
regulation of output. The two controllers are both
implemented by FPGA chips of Cyclone II. This
converter is equipped with a PC interface and
E2PROM for parameters (output voltage, controller
coefficients or starting sequence) modification and
update.
Figure 2. 10%~50% step load response

Figure 1. Digital DC/DC converter

2.2 Digital implement and problems

A fixed-parameter compensator is usually used in
most cases and can be designed in Matlab SISO Figure 3. 50%~100% step load response
toolbox and implemented by software codes in the
secondary side controller. A digital compensator build If the controller switches from PID1 to PID2, the
for Figure 1 can be expressed as: initial values of PID2 are determined by the results
u(n)=1.446u(n-1)-0.446u(n-2)+12.9e(n)-24.84e(n-1) calculated from PID1 in the last two periods. In most
+11.95e(n-2) (1) cases, switching in this direction is smooth and
where u(n) and u(n-1) are the duty output in the nth friendly. For PID2 is designed for a rapid dynamic
and (n-1)th switching period respectively, e(n), e(n-1) response, duty changes more impetuous, reverse
and e(n-2) are the error of nth, (n-1)th and (n-2)th voltage overshoot or vibration may be resulted when
sampling period respectively. switching from PID2 to PID1. The unexpected
Equation (1) is equivalent to a PID controller and instances are shown in Figure 4.
the time constants (expressed as Kp, KI and KD) can be
calculated from the above five coefficients. With a
digital controller, the coefficients can be updated easily
by PC interface for a different topology model or
parameter variations caused by circumstances. But PID
controllers are designed on models and large signal
model is impracticable to establish, the dynamic
performance is often affected when pursuing a steady
index.
The experimental results in Figure 2 and Figure 3
show that overshoot and undershoot are in excess of
expectation. To solve the contradiction between the
steady and dynamic states, fixed-structure variable-
parameter controllers can be designed to satisfy a) bounce-back
different operating conditions, respectively for steady
state (defined as PID1) and transient state (defined as

841
 b) switch vibration
Figure 4. Unexpected switching results

Figure 6. Fuzzy control simulation result

3．Compound controller based on fuzzy

Fuzzy control is recommended for simplicity and

model-independent. Since it is a non-linear controller
and is often equivalent to a PD controller, the
drawbacks are steady error and middle region vibration.
A compound controller including fuzzy and PI is
proposed [11]: when error is larger than the switch
threshold, fuzzy controller is selected; otherwise, PI
controller is active. A corresponding compound
controller is designed for above buck converter is
shown in Figure 5, the step response simulation results
are shown in Figure 6, Figure 7 and Figure 8.

Figure 7. PI controller simulation result

Figure 5. Compound controller simulation model

It can be seen that the step response overshoot of
fuzzy controller is much lower than PI controller but
exists a steady error, and that the compound controller
behaves better in both steady and dynamic states.

4．Fuzzy controller implement

Based on the analysis in Section 3, a method is
proposed to solve the problems caused by variable-
parameter controller switching and can be
implemented with fuzzy control to judge the switching
conditions by error trend and convergence other than
by error itself only. The fuzzy controller includes two
Figure 8. Compound controller simulation (error limit is 0.1)
input and one output variables. The input variables are
the current error and last error, and the output reasoned
by fuzzy rules is compared to the threshold of the
switch to determine which controller will be selected.
For the output data from A/D converter is not fixed in
steady state, judging switching borders only by the

842
absolute value of error may result in mistaken switches.
The proposed fuzzy control outputs a reasonable value
which can select the switch moderately. The control
algorithm is shown in Figure 9 and explained below.

e(k+1) e(l+1)
e(k) e(l) Enmax

e(i) e(j+1)
Epmax
e(i+1) e(j)
Figure 10. Variable-parameter fuzzy controller simulation

Figure 9. Control algorithm of error judgment

The switching rules corresponding to Figure 9 are:

when a heavy load current is connected suddenly in the
(i+1)th period, an undershoot will appear, when the
last error and current error satisfies 0 < e(i ) < E p max
and e(i + 1) > E p max , PID2 is selected; when
a) Membership function of e(i)
e( j ) > E p max and 0 < e( j + 1) < E p max , PID1 is selected.
If a heavy load current is unconnected suddenly in the
(k+1)th period, an overshoot will appear, when the last
error and current error satisfies En max < e(k ) < 0 and
e(k + 1) < En max < 0 , PID2 is selected; when
e(l ) < En max < 0 and En max < e(l + 1) < 0 , PID1 is
selected. b) Membership function of e(i+1)
The values of Epmax and Enmax must be selected
f(u)
between the limits defined in Equation (2) and (3),
otherwise, mistaken switches will occur.
E p max > 0 ，and ∆U o < E p max < U under (2)
Z PS
En max < 0 ，and ∆U o < En max < U over (3)
where ∆U o is the voltage variation amplitude in
steady state, U over and U under are the limits of u
overshoot and undershoot respectively. c) Membership function of u
The whole system is shown in Figure 10. The Figure 11. Membership functions of fuzzy controller
membership functions of input and output variables are
shown in Figure 11. Each input variable can be Table 1. Fuzzy rules
expressed with three fuzzy values: Z, PS, NS; the u e(i)
output can be expressed with two values: Z and PS, PS Z NS
and these values will be used as the thresholds to select PS PS PS Z
controllers. When the value of f(u) is PS, the output is e(i+1) Z Z Z Z
larger than ux, PID2 is selected, otherwise PID1 is NS Z PS PS
selected. ux is the border value of the switch in Figure
10. The fuzzy rules are shown in Table 1. overshoot and undershoot voltages of step load
The step load simulation results of the fuzzy response are less than 5%, moreover, the vibration and
variable-parameter controller are shown in Figure 12. reverse overshoot are restrained effectively.
The experimental results are shown in Figure 13. The

843
 5. Conclusion
In this paper, a fuzzy PID compound controller is
demonstrated in a digital DC/DC converter, and is
applied to a fixed-structure variable-parameter (two
PID parameters) system aiming at solving the problem
of vibration and bounce-back occurred at switching
moments. The fuzzy control is used to determine
which PID controller will be selected. Experimental
results indicate that fuzzy control is helpful to smooth
the switches and improve robustness, and the
performance of the system is ensured by variable-
parameter controllers. A better result can be obtained:
a) 10％～50％ output voltage variation is less than 0.3%, overshoot
and undershoot of 10%~50% step load response is
144mV and 162mV, 50%~100% step load response is
206mV and 210mV, the efficiency is 84%.

6. References
[1] Geof Potter, “An Introduction to Digital Control of
Switching Power Converters”, DCDC Technical White
Paper from Astec Power, 2004.
[2] Laszlo balogh, “A Practical Introduction to Digital Power
Supply Control”, Texas Instruments Incorporated, 2005.
[3] A. J. Forsyth, S. V. Mollov. “Modelling and control of
b) 50％～100％ DC-DC converters”, Power Engineering Journal, 1998, Oct.
Figure 12. Step load simulation [4] Qing Chen, Fred C. Lee and Milan M. Jovanovic,
“Small-signal Modeling and Analysis of Current-Mode
Control for Multiple-Output Forward Converters”, IEEE,
1994, pp. 1026-1033.
[5] J. A. Oliver, R. Prieto and V. Romero, “Behavioral
Modeling of DC-DC Converters for Large-Signal Simulation
of Distributed Power Systems”, IEEE, 2006, pp. 1204-1209.
[6] Jaber A. Abu-Qahouq, Ehab Shoubaki and Yangyang
Wen, “Piecewise Digital Control Method for DC-DC
Converter”, IEEE, 2005, pp. 41-49.
[7] J. C. Wu, T. S. Liu, “A Sliding-Mode Approach to Fuzzy
Control Design”, IEEE Transactions on Control System
Technology, 1996, 4(2), pp. 141-149.
[8] Wei Jingyi, Fan Yinhai, “A Fuzzy PID Controller for
Ship Course Based on Engineering Tuning Methods”, IEEE,
a) 10％～50％ 2001, pp. 376-381.
[9] Qingjie Zhao, Fasheng Wang and Wei Wang, “Adaptive
Fuzzy Control Technology for Automatic Oil Drilling
System”, IEEE, 2007, pp. 2123-2127.
[10] Xu Haiping, Wen Xuhui and Kong Li, “Analysis and
Design of Digitally Controlled Bi-directional DC/DC
Converter”, Power Electronics, 2003, 37(6), pp.13-16.
[11] Duan Ruiling, Li Yuhe and Li Qingxiang, “Design and
Simulation on Fuzzy-PI-Based Control Method for Precision
Servo-worktable”, Computer Measurement and Control,
2006. 14(6), pp. 751-753.

b) 50％～100％
Figure 13. Step load response

844
 2008 International Conference on Intelligent Computation Technology and Automation

An Advanced Control Method for ABS Fuzzy Control System

ZHANG Jing-ming1, SONG Bao-yu2, SUN Gang3

1. Automobile Engineering Department, Harbin Institute of Technology, Weihai, China E-mail:
whjingming@163.com; 2. School of Mechanical and Electrical Engineering, Harbin Institute of
Technology, Harbin, China; 3. Automobile Engineering Department, Harbin Institute of
Technology, Weihai, China

Abstract relation and magic formula relation now [6]. Problem 2

The purpose of an antilock braking system (ABS) is
to prevent wheel lockup under heavy braking
conditions on any type of road surface. In this study,
multifactor input, dϕ / ds and (dϕ / ds) / dt , are
proposed in the fuzzy controller. This new method not
only offers a better braking performance, but also
improves the pedal pushing feeling. At last, the design
is simulated in Matlab/Simulink environment. And the
results indicate multifactor input offer a good braking
result and improves the active security when the
automobile brakes promptly.
and problem 3 are problems which this text will solve
mainly.
2. ABS operation principles
The basic principle of an antilock braking system is
shown in Figure 1. It is a hydraulic braking system
with a hydraulically assisted power booster/master
cylinder. A sensor at each wheel indicates rotational
speed. The signal is transported to antilock braking
controller. The controller operates solenoid valves to
reduce, maintain or increase braking pressure [7].

1. Introduction
ABS (Antilock Braking System), on the basis of
traditional braking system, adopts electronic control
technology to modulate the oil pressure of the brake
automatically. During to ABS system, the brake wheel
is prevented from lockup [1]. In general, there are two
kinds of ABS systems, one is based on the wheel Figure 1. Basic principle of an antilock braking
deceleration, the other is based on the wheel slip ratio. system
The first can work without signals of vehicle velocity,
but the full force offered by road can’t be used If a wheel speed sensor signals severe wheel
completely. The second aimed to maintain the oil deceleration to the electronic controller that indicate
pressure around the optimum point. In a way, the the wheel is likely to lock up, the braking pressure at
maximal braking force can be used [2], [3]. the wheel involved is initially kept constant as opposed
Furthermore, the wheel can also be prevented from to being further increased. If the wheel still continues
lockup. Following problem should be solved during to decelerate, the pressure in the wheel brake cylinder
designing the second ABS system: 1) Identifying the is reduced so that the wheel is broken less heavily. The
road condition, in other words, how to calculate wheel will accelerate again as a result of the reduced
adhesive coefficient on the condition of the slip ratio braking pressure. Upon reaching a specified limitation,
which is already known. 2) The method to look for the controller registers the factor that the wheel is not
ideal slip ratio, which is corresponding with maximum braked sufficiently now. The former reduced pressure
adhesive coefficient. 3) The arithmetic to control slip is then increased so that the wheel is decelerated again.
ratio [4], [5].
The first problem is solved through experiment
mainly, a commonly used method include straight line

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DOI 10.1109/ICICTA.2008.300
3. Vehicle modeling
In order to certificate the new control arithmetic, a
vehicle model is needed. The model is proposed on the
supposed condition as follows during braking:
ABS dynamics model is supposed as follows while
applying the brake: 1) Automobile drives in a line. 2)
Neglecting the wind resistance. 3) The load of every
wheel is equal to a fourth of automobile weight. The
dynamics model of the automobile is described as
follows:
ma = 4Fz (1)
Fz = Nϕ (2)
1 (3)
N = mg
4 received the equation below.
In above equations, m is the automobile quality, a
is the acceleration of automobile, and Fz is braking
force on a wheel from the road. N is vertical force
offered by road, ϕ is adhesive coefficient, and g is
acceleration of gravity. ϕ is related with slip ratios as
follows.
ϕ ( s) = ϕ 0 + A sin{ B　arctan
(4)
　　　 [Cs − D(Cs − arctan(Cs))] } cylinder; K is the brake coefficient. Because the
A, B, C and D undetermined coefficient can confirm
their values through the method that is tested on
different road surface. Figure 2 shows ϕ − s curve of
several types of typical road conditions:
Figure 2. Several types of typical road conditions
Every curve parameter is as follows:
Curve 1 (general dry road surface):
A =0. 85; B =2. 4; C =4. 5; D =0. 9
Curve 2 (loose gravel road surface):
A =0. 45; B =2. 4; C =5. 0; D =0. 9
Curve 3 (ice road surface):
A =0.1; B =2.4; C =6.0; D =0.9
While braking, the analysis of the braking wheel is
described by Figure 3.
846
Figure 3. The analysis of the braking wheel
According to the second law of Newton, We have
J ω = Fz r − M (5)
J is the rotating inertia of the wheel, ω is the
angular acceleration of the wheel, r is the radius of
the wheel, M is braking torque. Among them, braking
torque is related with oil pressure of the braking
cylinder:
M = KP
(6)
In above equation, P is pressure of the brake
switch of the electromagnetic valve responds quickly,
it can be regarded approximately as increasing
proportionally as follows:
P = Ut (7)
U is increasing or reducing pressure speed.
Corresponding maintaining, reducing and increasing
pressure, U can be shown as below equation.
⎧a increasing
⎪
⎪ (8)
⎨0 maintaining
⎪
⎪⎩− a reducing
a is a variable value between maximum and
minimum according to the situation of inputs, and it
symbols the value of increasing or reducing pressure
speed.
4. ABS controller design
ABS receives speed signal of wheels and calculates
automobile speed, slip ratio and acceleration of wheel.
It analyses these signals, thus to modulate the pressure
regulator through sending corresponding order. In
order to satisfy the braking requires, and to apply the
maximum adhesive coefficient, the slip ratio should be
controlled near to ideal value. According to the
extremism theory, when dϕ / ds is zero, adhesive
coefficient is the maximum. So we should control the
ratio near to the point.
In general ABS controller, input is single, dϕ / ds
e.g. If we set the dϕ / ds and (dϕ / ds) / dt as input,
and braking pressure ΔP as output. The key aspect is
that pressure modulating value U is variable. This can
be actuated by a PWM modulation electromagnetic
valve. First, the input and output variables are altered
to the scale [-5, +5], and then input is divided into five
discussed scale, {NL, NS, ZE, PS, PL}, witch is shown
as Figure 4. The fuzzifition of the output is divided
into seven fuzzy set, {NL, NM, NS, ZE, PS, PM, PL}
as Figure 4. The Gaussian method is applied.

Figure 5. ABS control system block diagram

Figure 6. ABS controller block diagram

Simulation parameter: in the magic formula
Coefficient A=0.85, B=2.4, C=4.5, D=0.9; Automobile
load m =4000kg, the wheel rotating
Figure 4. The fuzzy set of the input and output inertia J =2.23kg/m2, the radius of the wheel
After fuzzifition, the fuzzy rules is designed, Table 1 r =0.375m, the initial velocity V0 =50m/s, a has a
describes the fuzzy rules of the system. scale from 0 to 4000. The simulation result is as Figure
Table 1. Controls the regular form fuzzily from 7 to 10 shown.

5. Simulation and result analysis

Figure 5 shows matlab/simulink model according to
aforesaid ABS model.
Figure 7. The braking pressure after and before
improvement

847
 general ABS system, the new antilock braking system
improves the pushback feeling on the braking pedal.
Fig. 10 indicates that the braking distance of the new
system is shorter than the general one. The reason of
this is easily found in Figure 8 and Figure 9. That is
because the wheel speed can maintain nearer to the
ideal speed than that of general one, and the adhesive
coefficient also can maintain nearer to the ideal value.

6. Experiment and result analysis

In order to test the correctness of ABS model, the
car was experimented which equipped with ABS
system when emergency braking occurred in the
condition of different initial velocity. This experiment
is in accordance with GB 7258-2004 test methods and
standards. The test results and the results of the
Figure 8. Vehicle speed and wheel speed after and simulation can be shown as in Table 2. MFDD is
before improvement described by the vehicle average braking deceleration
with full ability.
Table 2. Performances comparing between test
result and simulation result (1)
Vehicle Braking distance (m)
speed Experimental Simulation Relative
(km/h) data data error (%)
50 16.29 16.45 1.0
80 37.76 38.02 0.7
100 52.75 52.91 0.3
Performance comparing between test result and
simulation result (2)
Vehicle MFDD (m/s2)
speed Experimental Simulation Relative
(km/h) data data error (%)
Figure 9. The adhesive coefficient after and before 50 8.87 8.95 0.9
improvement 80 9.10 9.63 0.5
100 9.44 9.88 0.1
From Table 2 we can find the simulation results are
very close to the experimental results. The maximum
relative error of Braking distance is 1 percent. The
maximum relative error of MFDD value is 0.9 percent.
It can be proved that the model is fit for accuracy
.Besides, the simulation results of ordinary cars
equipped with the ABS braking performance and the
simulation results of the vehicles equipped with the
new ABS were compared. It can be stated as table 3.
Table 3. Performances comparing between general
ABS simulation result and new ABS simulation (1)
Vehicle Braking distance (m)
speed General New Increment Relative
Figure 10. Braking distance after and before (km/h) ABS ABS increment
improvement 50 16.45 15.49 -0.96 -5.83
Figure 7 indicates that the braking pressure reach the 80 38.02 36.76 -1.26 -3.31
ideal value and maintain still. Compared with the 100 52.91 51.94 -0.97 -1.83

848
 Performances comparing between general ABS
simulation result and new ABS simulation (2) 8. References
Vehicle MFDD (m/s2)
speed Relative [1] MA Ming-xing, MAO Wu-ben, and ZHU Wei-xing,
General New Increment
(km/h) increment “Vehicle ABS controls theory analysis of the algorithm and
ABS ABS
experimental study,” Mechanical Journal for Agriculture.
50 8.95 9.05 0.10 1.12
April 2002, pp. 29-37
80 9.63 9.72 0.09 0.93
[2] MA Ming-xing, CHOU Qi-ya, “The braking simulation
100 9.88 9.96 0.08 0.81 study of vehicle based MATLAB,” Group Technology &
We can get a conclusion from Table 3 that braking Production Modernization, March 2004, pp. 11-14
distance is shorten maximum relatively 5.83 percent. [3] Long Xiao-lin, Du Xiao-fang, and Xu Da, “The
automobile ABS analysis and simulation based on slip and
MFDD maximum relative value increment is 1.12 variable structure modulation control,” ZHUAN YONG QI
percent. Simulation results fully demonstrated that this CHE, March 2004, pp. 25-26
new system can shorten the ABS braking distance. It [4] SUN Jun, “The simulation of antilock braking system
can raise the braking average speed and improve the based on fuzzy control,” Computer Simulation, October
braking performance of vehicles. 2004, pp. 160-162
[5] Li Jun, YU Fan, and ZHANG Jian-wu, “The research of
7. Conclusion ABS fuzzy control system on the basis of identifications
automatically,” Mechanical Journal for Agriculture. May
2002, pp. 26-29
This study aims to get the maximum adhesive [6] Qi Zhang, Guo-fu Liu, Yue-ke Wang, and Ting-ting
coefficient and control it to maintain near to the ideal Zhou. “A Study of Calculation Method of Wheel Angular
value. Fuzzy control method is adopted which has two Acceleration in ABS System,” Proceedings of 2004
input variable, dϕ / ds and (dϕ / ds) / dt . During the International Conference on Information Acquisition.
reducing, maintaining and increasing pressure, the September 2004, pp. 147-150.
[7] Dengfeng Yang, Zhihua Feng, Desheng Ma, and Gang
velocity is defined variable. This can carry out through
Sun, “Development of Anti-lock Brake System in Virtual
a PWM modulating electromagnetic. This is the next Environment,” IEEE Human-Computer Interfaces and
work. The ABS control system is simulated in Measurement Systems, June 2004, pp. 131-135
Matlab/Simulink environment. The result indicates
that, compared with the single input, the multi-input
can improve the pushback on the pedal.

849
 2008 International Conference on Intelligent Computation Technology and Automation

Application of Adaptive Fuzzy Sliding-mode Controller for Heat Exchanger

System in District Heating

Zhang Jian 1,2 , Sun He-xu1,Zhang Jiang-tao1

1. Institute of Automation, Hebei University of Technology, Tianjin 300130, China;
2. Department of Automation, Civil Aviation University of China, Tianjin 300300, China
E-mail:zjzmcfq@163.com, hxsun@hebut.edu.cn

Abstract The temperature control system of heat exchanger

in district heating is a complex process control system
The temperature control system of heat exchanger whose properties are large heat inertia, slow time
in district heating is a nonlinear system with strong varying and so on. The system is shown in Fig.1.
heat inertia and large time lag. Classical PID control
dissatisfies static characteristics and dynamic Source of centralized
heat supply
characteristics of the system during its control process. heat supply 130℃,1.0Mpa
85℃,1.0Mpa
According to this case, an adaptive fuzzy sliding mode
controller is designed based on stability theory of user
Lyapunov for the system. Simulation results show that
the system with adaptive fuzzy sliding mode controller
has better rapidity, strong robustness and high control
precision, as compared with the system of PID control. heat exchanger
The controller is very suitable for the temperature Fig.1.Water-water plate heat exchanger system
control system of heat exchanger. It is also suitable for
other temperature control system of industrial Operation process of controlled plant is a process of
processes .Therefore it has a high value of application. conducting heat which can be described by a third-
order plus dead time mode. If heat conduction of
enterclose by itself is neglected, it can be described
1. Introduction with a second-order plus dead time mode[3] as follows:
k0 e −τ s
G ( s) = (1)
At present, in order to reduce environmental (T1 s + 1)(T2 s + 1)
pollution and save energy, the mode of central heating where k0 is amplification coefficient, τ is pure delay
is adopted in the north of China. The temperature
control system of heat exchanging station of central time, T1 and T2 are time constants of controlled plant.
heating is a nonlinear system with strong inertial and
time delay[1]. And because of the factors such as 3. Controller design
external load, weather change and so on, it is difficult
to establish the exact mathematical model[2]. Therefore
the traditional PID controller can’t satisfy the 3.1. Adaptive fuzzy sliding mode controller
requirements of system control performance. In this design
paper, a stable adaptive fuzzy sliding mode controller A MIMO nonlinear system described by the
is designed based on the stability theory of Lyapunov. following equations:
In the design of the controller, both the motion state of
x ⋅⋅⋅, x( n−1) ) + bu + d (t )
x(n) = f (x, x,  (2)
tracking errors of closed loop control system and the
position information of errors are considered. y=x
Therefore the dynamic characteristics of closed loop where f is a unknown bounded continuous function,
control system are improved greatly. b is a unknown bounded constant, d (t ) is a unknown
2. Heat -exchanger system description

978-0-7695-3357-5/08 $25.00 © 2008 IEEE 850

DOI 10.1109/ICICTA.2008.144
bounded external disturbance, u ∈ R and y ∈ R are where Sd = S − ϕ sat ( S ) , ϕ is thickness of fuzzy sliding
input and output with respect to system, respectively. ϕ
If f ( x) and b are known, meanwhile, d(t) =0 , then surface, S =c e , c = (c1 , c2 ⋅⋅⋅, cn −1 ,1) , e = (e, e ⋅⋅⋅, e( n −1) )T
T

ideal controller is designed as follows: = (e1 , e2 , ⋅⋅⋅, en )T ∈ R n , λ is a positive constant. The

n −1
1
u* = [− f ( x) + λ S + ∑ ci ei +1 + ym ( n ) ] (3) saturation function sat ( x) is defined as follows:
b i =1
x >1
⎧+1
However, f ( x) and b are unknown , and d (t ) ≠ 0 , s ⎪
| x | ≤1 (9)
sat ( x ) ⎨ x
o that ideal controller in(3) is not implemented. There ⎪ x <−1
-fore fuzzy basic function network controller is used to ⎩−1
approximate ideal controller. Properties of Sd are described as follows:
Theorem1[4]. h( x) is continuous function at compact ① If | S |> ϕ ,then | S |=| S | −ϕ and S = S
d d

set U ⊂ R n ,for each given ε > 0 ,it is satisfied that ② If | S |< ϕ ,then Sd = Sd = 0
supx∈U | h(x) − f (x) |≤ ε , Fuzzy basic function network controller u is used to
k
Where f ( x ) = ∑ξ
j =1
j ( x )θ j = ξ T ( x ) θ = θ T ξ , where approximate u * in (8). According to Theorem 1, it is
designed as follows:
θ = (θ1,θ 2 , ⋅⋅⋅, θ k )T is adjustable parametric vector; u = u fz ( x | θ) = θT ξ ( x) = ξT ( x)θ (10)
ξT ( x) = (ξ1 , ξ 2 , ⋅⋅⋅, ξ k )T is fuzzy basis function vector. Adaptive law about parameter θ is given by
Here, ξ j ( x) is given by θ = η S (t )ξ ( x)
1 d (11)
n Meanwhile, considering effect of approximation error
∏μ Aij
( xi ) and external disturbance, compensation controller is
ξ j ( x) = k
i =1
n
（ j = 1, 2, ⋅⋅⋅, k ） (4) added. Ultimately, we have
∑ (∏ μ A j ( xi ))
j =1 i =1
i
u = u fz ( x | θ) + kc uc (12)
Where u fz ( x | θ ) is called fuzzy approximation
According to theorem 1, fuzzy basic function network
controller is designed as follows: controller; uc , compensation controller; and kc ,
u fz ( x | θ ) = θ ξ ( x ) = ξ ( x ) θ T T
(5) compensation controller gain. The compensation
controller gain kc is described as follows:
Typical adaptive law of parameter θ [5] is given by
kc = ω + K d (13)
θ = η1 ⋅ S ⋅ ξ ( x) (6)
Where ω is called control gain of approximation error,
Direct fuzzy adaptive controller with θ in (6) is
which is a time-varied function about Sd , and K d is
sensitive to approximation error and external
disturbance. Also, continuous unfit modifications of called gain of suppressing external disturbance, which
parameter for fuzzy system result in control are respectively determined by the following formulas:
performance reduction. In order to overcome above ω = μ2 | Sd | (14)
mentioned questions, the parameter θ is given by Kd =
D (15)
θ = η ⋅ ( S + λ S ) ⋅ ξ ( x)
1 (7) d
bL

Although control performance of fuzzy adaptive In the (11) and (14), η1 > 0 and η 2 > 0 respectively are
controller with θ in (7) is improved, convergent speed adaptive law with respect to θ and ω . D is upper
become slower. bound of external disturbance, | d(t)|≤ D,and b L is lower
In order to solve questions in (6) and (7), their bound of control gain about system in (2),
advantages are combined to overcome the namely 0<bL <b .In order to compensate effect of
disadvantages of each other. Quasi-sliding region is
approximation error and external disturbance for
designed by use of sliding mode control theory and
fuzzy control method. Therefore, design process of system, compensation controller uc in(12)is designed
adaptive fuzzy sliding mode controller is as follows: as follows:
Ideal controller in(3) is redesigned ,we have uc = I ⋅ sgnS , | S |> ϕ
n −1
1
u* = [− f ( x ) + λ Sd + ∑ ci ei +1 + ym ( n ) ] (8) uc = S + λd S ， | S |≤ ϕ (16)
b i =1
In above expressions, I = 1 and λd > 0 , sgn (⋅) is sign
function, if S > 0 ,then sgn S = 1 .if S < 0 ,then

851
sgnS =−1 .From equations (2),(8),and(12),we obtain Noting that θ = -θ , ω = −ω , and by substituting
dynamic equation of tracing error as follows: (11) ,(14) and(15) into above inequality, we get the
n −1
time derivative of Lyapunov function V as follows:
e (n ) = − λ S + b (u * − u ) −
d c e ∑
− d (17) i i +1
S 2
i =1 V ( t ) = − λ d + S d θ T ξ ( x ) + | S d | ω +
b
3.2. Stability and robustness analysis D D
| Sd | ( | S d | ω − ) − S d θ T ξ ( x ) − | S d | ω
bL bL
Theorem2.In the nonlinear system(2) u is designed as
(12),where approximation controller u fz is in (10), Sd 2
≤ −λ <0 (22)
corresponding adaptive law about parameter is in (11), b
compensation controller uc is in (16), corresponding Therefore, for arbitrary bounded initial conditions
Sd (0) , θ ( 0 ) ,and ω (0) , it is known that Sd (t ) , θ (t ) and
adaptive law of control gain about approximation error
is in (14), gain of suppressing external disturbance is in ω (t ) are bounded. if e(0) is bounded, then e(t ) is
(15),then the states x of closed loop system and control bounded. Thus, system state is bounded for bounded
variable u are bounded, and tracing error converge in reference output ym and its all-order derivatives. Each
neighborhood of zero[6]. team in (12) is bounded, so that control variable u is
Proof. Let the Lyapunov function be also bounded. In order to prove tracing error converge
1 1 T  1 2 in neighborhood of zero, only prove as
V (t ) = b −1 S d 2 + θ θ+ ω (18)
2 2η1 2η2 t → ∞ , Sd → 0 .So, let
where θ = θ* - θ and ω = ω * − ω are estimation error V1 (t ) = V (t ) − ∫ (V (τ ) +
t λ
Sd 2 (τ ))dτ (23)
with respect to optimal weight vector θ* and ω * , 0 bL
respectively. Here ω * is define as approximation error then
of fuzzy approximation controller, that is λ
V1 (t ) = − Sd 2 (t ) (24)
| u* − u fz ( x | θ) |= ω * (19) bL
The time derivative of V in (18) is Because Sd is bounded, V1 (t ) is uniformly
S S 1  T  1
V ( t ) = d + θ θ+ ω ω (20) continuous. V1 (t ) has lower bound and its lower bound
b μ1 μ2
is zero, and V (t ) ≤ 0 for all t. According to Barbalat
If | S |≤ ϕ , then Sd (t ) = 0 ,at the same time ,noting that
1

lemma, lim V1 (t ) = 0 , Therefore, lim Sd = 0 is obtained

  , ω = − ω ,and by substituting equations(11), (14) , t →∞ t →∞
θ=-θ
by(24). This indicates that | S |≤ ϕ can be asymptotic
and (15) into equation(20),then we obtain V (t ) = 0 .
obtained, therefore tracing error asymptotically
From equations S = cT e , (12), and (17),we obtain converge in neighborhood of zero, size of
S = −λ S d + b(u * − u fz ( x | θ)) − bkc uc − d (21) neighborhood is related to boundary width of sliding
If | Sd |> ϕ , then Sd = S , by substituting equation (21) surface.
into equation(20),then we obtain 3.3. Characteristics of controller
S 2
V (t ) = − λ d + S d [u * − u fz ( x | θ)] As t → ∞ , Sd → 0 .Then weight vector θ of fuzzy
b
d 1  1  basic function network controller converges to optimal
− S d k c uc − S d + θ T θ + ωω  parameter vector θ* ,and ω converges to intrinsic
b η1 η2
approximation error of fuzzy basic function network
Sd 2
≤ −λ + | S d | ω * + S d θ T ξ ( x ) − | S d | ω controller, at the same time, adaptive adjustment end
b and θ and ω remain constants.
d 1  1 
− | S d | K d + | S d | + θ T θ + ωω  Because of using compensation controller uc of
bL η1 η2 approximation error and external disturbance, fuzzy
Sd2 basic function network controller is not strict to
≤ −λ + S d θ T ξ ( x ) + | S d | ω
b precision of language modeling.
D 1  T  1 The greater the value of λd is, the higher
+ | Sd | ( − Kd)+ θ θ+ ω ω
bL η1 η2 convergence precision of S is, and the quicker
convergence speed is. When the value of λd reach to a
certain value, it is ensured that tracing error converge

852
to predetermined precision at a definite speed.
In addition, in(16) not only considering distance
between tracing error and sliding surface in phase
space bur also considering motion information of the
tracing error. Compared with the method that is
considering pure motion information, the method
proposed in this paper make anti-interference ability of
closed-loop system stronger, and dynamic performance
The first group: T1 =100(s) ， T2 =250(s), τ =25(s).
Step response curve of the controlled temperature is
curve 1 in Fig2.
The second group: T1 =100(s),T2 =350(s),τ=25(s).
Step response curve of the controlled temperature is
curve 2 in Fig2.
90

Controlled Temperature (degree celsius)

85
of closed-loop system is further improved. 80
2
70
4. Simulation experiment 1
60
To prove the effectiveness of the designed controller, 50
take an the temperature control system of heat
exchanger in district heating for example, the 40
simulation experiment is carried out 30

4.1. Simulation of adaptive fuzzy sliding mode 20

controller 10
In order to obtain fuzzy approximation controller, 0
0 20 40 60 80
temperature ( x1 ) and temperature variation rate ( x2 ) Time ( sec )
are fuzzed. x1 and x2 are divided into five fuzzy Fig.2 step response curve of the controlled plant
subspaces, whose linguistic terms respectively are under adaptive fuzzy sliding mode controller
“very low”, “lower” , “low” , “moderate”, “high” and
“negative big” , “negative small”, “ zero”, “positive Fig.2.shows when parameter T2 changes, the system
big”, “ positive small” , and corresponding is under the control of adaptive fuzzy sliding mode
membership functions respectively are: controller, its performance indexes, for example,
μ A ( x1 ) = e x p { − [( x1 − 5 5 ) / 2 .5] 2 }
1
overshoot σ =0%, steady state error ess=0 ℃ , and
1

μ A ( x1 ) = ex p { − [( x1 − 6 5) / 2 .5] 2 }
transient time ts=40(s),remain constant. This proves
2
1
that system robustness is strong and control
μ A ( x1 ) = ex p { − [( x1 − 7 5) / 2 .5] 2 }
3 performance is good.
1

μ A ( x1 ) = ex p { − [( x1 − 8 5 ) / 2 .5] 2 }
1
4
4.2. PID controller simulation
μ A ( x1 ) = ex p { − [( x1 − 9 5) / 2 .5 ] 2 }
5
1
The model of controlled plant and parameters are the
μ A ( x 2 ) = ex p { − [( x 2 + 1) / 0 .5 ] 2 }
1
2 same as mentioned above. Step response curves of the
μ A ( x 2 ) = e x p { − [( x 2 + 0 .5 ) / 0 .5 ] 2 }
2 controlled plant under the control of PID controller are
2

μ A ( x 2 ) = e x p { − [( x 2 ) / 0 .5 ] 2 }
3
shown in Fig.3.
2
System performance indexes of curve 1 in Fig.3:
μ A ( x 2 ) = e x p { − [( x 2 − 0 .5 ) / 0 .5 ] 2 }
overshoot σ=11.8%, steady state error ess= 1.5℃, and
4
2

μ A ( x 2 ) = e x p { − [( x 2 − 1) / 0 .5 ] 2 }
5
transient time ts=52(s).System performance indexes of
2

Therefore according to above membership functions,
we obtain twenty-five fuzzy rules to approximate ideal
controller u ∗ , that is
R1：if x1 is A11 , x2 is A21 then y1 is B1
R2：if x1 is A11 , x2 is A22 then y2 is B 2
..
25
R ：if x1 is A15 , x2 is A25 then y25 is B 25
Parameters of adaptive fuzzy sliding mode controller
are: λd = 300 , η 1 = 0 . 56 , η 2 = 1 , ϕ = 0.15.
The model of controlled plant is given by (1).We set
parameters of model as follows:
curve 2 in Fig.3: overshoot σ =18.8%,steady state
error ess=1.5℃,and transient time ts=65(s).
The comparison between Fig.2and Fig.3 indicates
that the system with adaptive fuzzy sliding mode
controller can effectively suppress bad influences of
time delay and nonlinearity, also, when parameters of
the model change greatly and external disturbances
exist, the system still has satisfactory effect of control.
The performance indexes of the system with adaptive
fuzzy sliding mode controller, for example overshoot,
steady state error and transient time, have evident
advantage over the performance indexes of the system

853
with PID controller. Dynamic performance of the [4] Wang lix-in, Adaptive Fuzzy System and Control—
control system is obviously improved. Design and Analysis, National Defence Industry Press
，beijing,1989.
120 [5] Soo Yeong Yi, Myung Jin Chung , “Systematic Design
Controlled Temperature (degree Celsius)

2 1 and Stability Analysis of a Fuzzy Logic Controller”,

100 Fuzzy Sets and Systems, 1995, (72) pp.271-298.
[6] Zhang Hua-guang, He Xi-qin et al, fuzzy adaptive control
85
80 theory and application, Beijing University of
Aeronautics & Astronautics Press, Beijing ,2002.
60

40

20

0
0 50 100 150
Time (sec)

Fig.3. step response curve of the controlled

plant under PID controller

5. Conclusion
In this paper, we designed an adaptive fuzzy sliding
mode controller for the temperature control system of
heat exchanger in district heating. Simulation results
show that the system with adaptive fuzzy sliding mode
controller have better rapidity, stronger robustness and
higher control precision. Dynamic performance of
control system is obviously improved. The controller is
suitable for the temperature control system of heat
exchanger. It is also suitable for temperature control of
other industrial processes. Therefore, it has high
application value.

Acknowledgements
This work has been supported by Tianjin Natural science
Foundation under grant No: 07JCYBJC05600.

References
[1] Yu Shu-rong ,Qi Zhen-qiang et al, “System Modeling of
Two Stage Heat Exchanger Unit in Thermal Station of
Centralized Heating System”, Journal of Gansu
University of Technology,Editorial Office of Journal of
Gansu University of Technology,2002,(28)PP.57-61.
[2] Zhang Cheng, “Design of the Amendatory Fuzzy-PID
Temperature control System of Heating Net”, Control
and Automation, Control and Automation Publication
Group,2005,(21)pp.53-55.
[3] Zeng Ke’e, Xie Qing-guo et al, “Adaptive Fuzzy
Controller of Central Heating Net”,Journal of Huazhong
University of Science & Technology, Editorial office of
Journal of Huazhong University of Science &
Technology,2000,(28)PP.111-113.

854
 2008 International Conference on Intelligent Computation Technology and Automation
Application of Fuzzy Modeling to Identify the Soil Resistivity of Dynamic
Grounding System
Fan shao-sheng, Wang bing
College of Electrical and Information Engineering, Changsha University of Science and
Technology, China
Fss508@163.com
Abstract
Accurate identification of soil resistivity of dynamic
grounding system is extremely important to define the
operational safety and proper functioning of electric
power system. Conventional methods can’t achieve
good result due to non-linearity of grounding system.
To cope with the problem, a novel approach based on
fuzzy modeling is proposed. In this approach, T-S fuzzy
model is employed to appropriate the non-linear
process, fuzzy model is derived from input-output data
by means of product-space fuzzy clustering, similarity
driven rule base simplification is applied to detect and
merges compatible fuzzy sets in the model and real-
coded genetic algorithm is adopted to optimize model
parameters. All these techniques make the fuzzy model
transparent and accurate. Based on this approach, a
simulation experiment is made. The result shows the
approach yields accurate result with error less than
1.5%, other parameters such as grounding resistance,
over voltage can also be identified in the same way.
1. Introduction
Among the most electric energy systems, lightning
is the main cause of unscheduled supplies
interruptions. So, the accurate identification of
parameters of dynamic grounding system is extremely
important to define the operational safety and proper
functioning of electric power system. In last years,
some experimental tests and theoretical investigations
have been carried out to obtain characteristics and
parameters associated with grounding system
concerning lightning[1,2][3], several experiment
formulas and approximate mathematical modeling
approaches were proposed .However, the result is not
very accurate because these methods do not take fully
the non-linearity of dynamic grounding system into
consideration.
978-0-7695-3357-5/08 $25.00 © 2008 IEEE
DOI 10.1109/ICICTA.2008.276
The dynamic behavior of grounding systems
depends on two different physical processes: the
nonlinear behavior of soil due to soil ionization in the
immediate proximity of grounding electrodes and the
propagation of electromagnetic waves along grounding
electrodes. These processes are very complex, and thus
difficult to model by conventional technique.
T-S fuzzy model is especially suitable to model
nonlinear dynamic system[4] ,it has the ability to
achieve complicated mappings and therefore account
for process non-linearity directly. In this paper, we
focus on identifying soil resistivity. T-S model is
employed to map the relationship among soil
resistivity in relation to several variables such as
frequency, low frequency grounding resistance,
impulse resistance, waveform that indicate the features
of grounding system. During fuzzy modeling, fuzzy
model is derived from input-output measured or
simulation data by means of fuzzy clustering,
similarity driven rule base simplification is applied to
detect and merges compatible fuzzy sets in the model
and a real-coded genetic algorithm is adopted to
optimize model parameters , All these techniques
ensure the fuzzy model transparent and accurate. Based
on this approach, a simulation experiment is made. The
result shows the approach can yield accurate result
with error less than 1.5%.
2. Dynamic grounding system
The configuration investigated in this paper to
represent a typical dynamic grounding system has been
composed for six electrodes distant of 3 meters with
2.4 meters deep. Fig.1 shows the electrode
configuration used in the computational model.
855
 from input and output data, the fuzzy model can be
acquired .in order to make the model transparent and
accurate, a identification algorithm which consists of
four steps is introduced:
a. the fuzzy antecedents are determined by means of
fuzzy clustering.
b. The similarity-driven rule base simplification
Fig1. Electrode configuration
algorithm is used to detect compatible fuzzy sets.
The impulse current has virtual front time of 1.2us
c. The rule consequents are determined by least
and a virtual time to half value of 50us with 1Ka
squares parameter estimation.
amplitude that was injected in the first rod, as shown in
d. Genetic algorithm is adopted to optimize global
the Fig.1
parameters.
3.2.1. Fuzzy clustering
3. Fuzzy modeling
⎡ x (k ) ⎤ ⎡ ρ (k ) ⎤
⎢
define X = "
⎥ ⎢ ⎥
3.1. T-S fuzzy model
⎢ ⎥ , y = ⎢" ⎥ (5)

When the impulse waves is set, the soil resistivity of

⎢⎣ x( N )⎥⎦ ⎢⎣ ρ ( N )⎥⎦
dynamical system can be expressed as: Given the data ZT=[X,y] ,the fuzzy c-means clustering
algorithm[5] is applied to computes the fuzzy partition
ρ = f (x) ， x = ( x1 , x2 , x3 ) = ( f , R, Rch ) (1) matrix U whose ikth element μ ik ∈ [0,1] is the
where ρ is soil resistivity, f is frequency, R is low membership degree of the data object z k ∈ Z ,in
frequency grounding resistance. Rch is impulse cluster i. the rows of U are thus multidimensional
resistance which is defined as the ratio between the fuzzy sets (clusters)represented point-wise. Univariate
peak value of voltage and current waves . Equation (1) fuzzy set are obtained by projecting the rows of U onto
can be approximated by T-S fuzzy model, the ith rule the input variables
is: μ A ( x j (k )) = proj j ( μ ik )
i
(6)
Ri ：if x1 is Ai1 and x2 is Ai 2 and x3 is Ai 3 where，proj is point-wise projection operator.
then ρ i = pi1 x1 + pi 2 x2 + pi 3 x3 + pi 4 (2) The projection can be approximate by parametric
function, such as Gaussian function.
Ai1 , Ai 2 , Ai 3 is the antecedent fuzzy sets of the ith −(
x−a 2
)
rule, pi1 , pi 2 , pi 3 , pi 4 are consequent parameters, μ ( x) = e b
(7)
3.2.2. Rule base simplification
i = 1," M , M is the number of rules. Due to projection, the transparency of the model
For a given input, the output of the fuzzy model is may be hampered by redundancy present in the form of
inferred by computing the weighted sum of the rule many compatible membership functions, similarity
consequences: measures[6] are used in order to asses the compatibility
M
ρ = ∑ βi ρ i
of fuzzy sets in the rule base ,and identify sets that can
(3) be merged.
i =1 3.2.3. Consequent parameter
where, β i is the normalized overall truth value of let θ i = ( pi1 ,", pi 4 )
the ith rule calculated as: define Xe=[X,1]
3
⎡ μ i1 " 0 ⎤
∏ A (x ) 0
⎢0 " 0 ⎥⎥
ij j

β i ( x) = j =1 μi 2
3 Φi = ⎢ (8)
∑k =1∏ Akj ( x j ) ⎢ # # % # ⎥
M

⎢ ⎥
j =1
⎣0 0 " μ iN ⎦
０≤ β i ≤１ (4)
according to least squares method, the solution is：
3.2. Fuzzy model identification
θ i = ( X e T φi X e ) −1 X eT φi y (9)

856
3.2.4. Genetic algorithm (2) Simple arithmetic crossover svt and s wt are
The projection of clusters onto the input variables
and their approximation by parametric functions chromosomes selected for cross over at the kth position.
introduces a structural error since the resulting premise The resulting offsprings are:
partition differs from the cluster partition matrix, svt +1 = r.( svt ) + (1 − r ) s wt
moreover the separate identification of the rule
antecedents and the rule consequents prohibits s wt +1 = r.( s wt ) + (1 − r ) svt (14)
interactions between them during modeling. To where, r∈[0,1] is a random number, t=0,1,…,T is the
improve the approximation capability of the rule base, generation number.
a real-coded GA [7] is used for the simultaneous (3) Uniform mutation: a random selected
optimization of the parameters of the antecedent element vk is replaced by vk′ ,
membership functions and the rule consequents. The
main aspects of the proposed GA are discussed below:
A. Code scheme v′k ∈ [vkmin , vkmax ] , vkmax , vkmin are the lower and upper
Chromosomes are used to describe the solution. bounds, respectively. The resulting chromosome is
With a population size L, we encode the parameters of s vt + 1 = ( v 1 , " , v k' , " , v m ) .
each fuzzy model in a chromosome sl , l = 1,", L ,as D. Terminate condition
a sequence of elements describing the fuzzy sets in the The genetic search stops when the highest fitness in
rule antecedents followed by the parameters of the rule the population reaches a predefined value.
consequents. A TS model with M fuzzy rule is encoded Through aboved four steps, we can get a
as: transparent and accurate fuzzy model.
sl = (ant1 ,", ant M ,θ1 ,",θ M ) (10)
4. Simulation results
Where anti = (ai1 , bi1 ,", ai 3 , bi 3 ) is the
antecedent parameters of the ith rule, θ i contains the in this section, some simulation results are
presented to illustrate the application of fuzzy
consequent parameters of the ith rule. In the initial modeling approach to identify the soil resistivity of
population S 0 = ( s10 ,", s L0 ) , s10 is the initial model, dynamic grounding system. The data used for fuzzy
clustering came from ref.[2][8].
and s 2 ,", s L are created by random variation with a
0 0
TABLE 1: RELATIVE ERROR RATE OF THE SOIL RESISTIVITY
uniform distribution around s1 .
0
f R Rch ρm ρr error
B. Fitness function (Hz) (Ω) (Ω) (Ω.m) (Ω.m) (%)
The performance of the model is expressed as 100 140.9 78.5 1997 2000 0.15
1 N ∧ 200 67.7 38.3 1011 1000 1.1
J = ∑ ( yk − yk ) (11) 300 6.3 3.5 100 100 0.0
N k =1
400 101.7 57.6 1587 1600 0.8
∧
where, yk is real value， y k is model output. Fitness 500 31.7 17.9 499 500 0.2
600 6.3 3.5 101 100 1.0
function is defined as 700 30.8 17.4 17.4 500 0.4
1 In Table1, ρ m is model output of soil resistivity,
f = (12)
J2 ρ r is real value of soil resistivity. From Table 1, it is
C. Genetic operators observed that the proposed approach provides result
(1) Reproduction The roulette wheel selection near real value, the error is lower and acceptable. All
method is used to select chromosomes for operation. these results demonstrate that problems involving
The chance on the roulette-wheel is adaptive and is identification of characteristics of grounding system
given as can be effectively mapped by fuzzy modeling approach.
n
pl = f l ∑f k (13) 5. Conclusion
k ' =1
The inverse of the selection function is used to select In this paper, a novel approach based on fuzzy
chromosomes for deletion. modeling is proposed to map the relationship among
the soil resistivity in relation to several variables that

857
indicate the features to grounding system. It achieves
good result and decreases time involved with tests in
laboratory, it can be seen as an efficient tool to provide
alternatives to the conventional method. Other
parameters such as grounding resistance, over-voltage
can also be identified by this approach in the same way.
6. Acknowledgement
This work is partially supported by the Provincial
Natural Science Foundation of Hunan under Grant
06JJ2011 and Scientific Research Fund of Hunan
Provincial Education under Grant 07A002.
7. References
[1] IEEE WG Report. A Simplified method for estimating
lightning performance of transmission lines.IEEE Trans on
Power Apparatus and System, vol.PAS-104, no.4, April
2005,pp.919-932
[2] Andre Nunes de Souza,Ivan Nunes da Silva, “Application
of neural network to identify features of dynamical
grounding system ” Proceedings of international Symposium
on neural network ,pp.181-186,July, 2007,seattle,USA
858
[3] Xie Guang Yun Grounding technique in power system
Hydroelectric power press 1998
[4] T.Takagi, M.Sugeno, Fuzzy identification of systems and
its application to modeling and control, IEEE Tran. Systems,
Man and Cybernetics 15(1985)116-132
[5] Zhang Zhi Xing Sun Chun Zai Neuro-Fuzy and Soft
Computing. Xian jiaotong university press ,2004
[6] M.Setnes, R.Babuska, U.Kaymak. Similarity measures in
fuzzy rule base simplification. IEEE Transactions on
systems, Man and Cybernetics. Part B,28(3) (1998),376-386
[7]Z.Michalewicz, GeneticAlgorithms+Data Structure
=Evolution Programs, 2nd ed. New York: Springer-Verlap,
2004.
[8] S.Visacro.”evaluation of models for representing usual
grounding electrode configurations of distribution lines in
Brazil”. Proceedings of V international Symposium on
Lightning Protection,pp.104-108,may 2005,brazil.
 2008 International Conference on Intelligent Computation Technology and Automation
Application of Self-adaptive Fuzzy Control in the MDJ Palletizer
Ning Fengyan Wang Gang
Beihang University Northeast University at
Qinhuangdao
Beijing, 100083, China Qinhuangdao, 066004, China
nfy198@tom.com wg8858@126.com
Abstract
The MDJ120 robot palletizer researched and
manufactured by the paper is used to transfer and
palletize materials on the packing production line. The
author analyses the dynamical features of the robot by
the Second Lagrangian kinetics and sets up its inverse
dynamical equations. To improve the performance of
the system, a self-adaptive fuzzy PID control method is
presented to study the dynamic characteristics of the
robot, and the simulations have proved that the control
method is efficient in trajectory tracking control of the
MDJ120 palletizer．
1. Introduction
Palletizing technology is a developing one in the
field of material handling. The reasearch of the
technology is greatly contributed to the development of
the logistics, especially in the China's booming
developmental today. In the past few years, Palletizing
technology, especially robotic Palletizing technology,
had been developed rapidly, the throughput of on-line
palletizers had been increasing and the flexibility,
processing velocity, and payload of robotic palltizers
had been upgrading [1]. Among the above palletizers,
their links are either revolving with the R-joint, or
moving by a geodetic coordinate system, the forth will
produce heavy coupling among the links, so all of their
kinematical and dynamical analysis will have to deal
with very complex decoupling questions; and the latter
have overcome the coupling phenomenon, and it is
easy to control, but it covers much working space and
has very bad flexibility in transferring and palletizing
cargoes. In the current situation, after a great deal of
analysis, computation and optimized design, the
MDJ120 palletizer has been researched and
manufactured by the Robot Research of Beihang
University for the Wenzhou Hualian Package Ltd., to
transfer and palletize cargoes on the packing
978-0-7695-3357-5/08 $25.00 © 2008 IEEE
DOI 10.1109/ICICTA.2008.393
Yun Chao
Beihang University
Beijing, 100083, China
cyun18@vip.sina.com.cn
production line. The robot requires excellent operating
performance, such as large operating space, great end-
load, increasing velocity, easy control, and excellent
safety and reliability. The robot’s maximum gripping
load is 120kg (including gripper), the maximum
working velocity is 1400 times/hour, and the maximum
rotation angle of the waist is 3300. The MDJ palletizer
has been manufactured and equipped well, and now is
being debugged and test run. The whole structure is
show in the Figure 1. The links of the palletizer consist
of a closed parallel four-bar linkage, and couples two
groups of little paralle four-bar linkages to satify the
requirement of the wrist in positioning and orientating.
Each link, driven by the two sliders, may revolve to
control the spread and pitch of the wrist in the level
and vertical direction, respectively. The parallel four-
bar mechanism makes the actuators of the two arms
and their reducing mechanism can be installed into the
waist of the robot to improve its dynamic features.
Thus, the robot’ kinematics is decoupling, this will
help user’ application, but with the partical closed link,
some constraint forces act on the corresponding links
so that the robot is coupling in dynamics, thus it is very
difficult to analysis their dynamics.
The dynamical equations of robot denonate the
relation between every actuator and the displacement,
velocity and acceleration of every joint, so the question
can be divided into verse dynamics and inverse
dynamics [2-3]. Using the Second Lagrangian kinetics,
the paper completes its analysis and derivation of its
dynamical model, and sets up its inverse dynamical
equations. During palletizing, its great velocity and
heavy load make the robot operate in a bad condition.
To improve the performance of the system, a new
controller is designed with a self-adaptive fuzzy
control algorithm, which makes use of the merits both
of the fuzzy control and the self-adaptive control
algorithm to complete its control by MATLABLE
program.
859
 θ2 and θ3 are the rotating angle of the waist, front arm
and little arm respectively. Therefore, take the θ0, θ2
and θ3 as the generalized coordination of the system.

Figure 1. The structure of the MDJ120 palletizer

2. Dynamic analysis of the MDJ120 robot

palletizer model

2.1. Simplied model of the palletizer

Figure 2. The MDJ robot’s simplied model
The main structure of the MDJ120 robot palletizer
is a closed paralle four-bar linkage. The motors 1, 2, 3 By the Fig. 2 and the physical dimension, we can
and 4 drive the revolution of the wrist, the movment of derive out the relation between the removing distance
the level slider and the vertical slider, respectively. All of the two sliders and the position of the wrist, that is
of the links consist of a parallel four-bar mechanism, x1 = 0.18 x7 − 260.00
(1)
so the actuators of the two arms and their reducing y 4 = −0.22 y 7 + 293.33
mechanism can be installed on the waist of the robot to
improve its dynamic features. For simplicity, we only Where, x1 denotes the position coordination of the
consider the dynamics of its waist and paralle four-bar level slider, x1=x1(t) ； y4 denotes the position
linkages, and neglect its wrist and the two groups of coordination of the vertical one, y4= y4 (t)； x7 and y7
little paralle four-bar linkages. Thus, we can obtain the are the positions of the wrist, x7=x7(t), y7=y7(t).
simplied structure of the robot, shown in the Figure 2. Now, we set up the relation between the generalized
Now, denote the length of the front arm, connection- coordination θ 2 and θ 3 and the base coordination x1
rod, rear arm and the little arm by l2, l3, l5 and l6,
respectively; denote the distance between their mass and y4
centers and their rotating axis by l2c, l3c, l5c and l6c θ2 = α − β − λ (2)
respectively; denote their masses by m2, m3, m5 and m6, θ3 = α − β
respectively; denote the masses of the level slider, Where
vertical slider and wrist (including jaw gripper and y4 (t )
material) by m1, m2 and m7, respectively; and the α = π − arctan
distances denoted by l0, r3, r5, r6 and rr6 are shown in x1 (t )
the figure, respectively. x1 (t ) 2 + y 4 (t ) 2 + l32 − l02
Here, we analyse and derive the dynamical
β = arccos
2l3 x1 (t ) 2 + y 4 (t ) 2
equations of the robot by the Second Lagrangian
kinetics, which is the difference of the kinetic and the l02 + l32 − x1 (t ) 2 − y1 (t ) 2
λ = arccos
potential energy of the system [4-6]. 2l0l3
2.3. System generalized force
2.2. Generalized coordinate of the system
The non-conservative force of the robot is joint
To simplied computation during the dynamical torqure：
analysis of the palletizer, we neglect the movment of
the wrist, thus, the system becomes a three- τ = [τ 0 , τ 2 ,τ 3 ]T (3)
dimensional model with three free-degrees. Now, Where τ0, τ2 and τ3 are the output torque of the
transforming the position coordination of the two motors of waist, level slider and vertical slider,
sliders x1 and y4 into angle variety θ2 and θ3, where θ0, respectively.

860
 The virtual work of the robot is Substituting Lagrange function and generalized force
δW = τ T δq = τ 0δθ 0 + τ 2δx1 + τ 3δy 4 (4) into the Lagrange equations yields
⎡ ⎤
Referrinh to the Fig. 2, we can derive the following d ⎢ ∂L ⎥ ∂L (i = 1,2,3) (17)
− = Qi
geometry relation dt ⎢ ∂ q• ⎥ ∂qi
⎣ i⎦
⎧ x1 = l0c2 − l3c3
⎨ (5) Arranging and deriving after substiting (1)~(16)
⎩ y4 = l3 s3 − l0 s2 into (17), in matrix form those nolinear dynamic
equations of the robot can be written as
Differenttiating the above expression gives •• • •
⎧δx1 = −l0 s2δθ 2 + l3 s3δθ 3 M (θ )θ + C (θ ,θ )θ = Dτ (18)
⎨ (6)
⎩δy4 = l3c3δθ3 − l0c2δθ 2 ⎡ M 11 0 0 ⎤
Substituting (6) into (4) results in Where M = ⎢ 0 M 22 M 23 ⎥⎥ is a 3×3 positive
⎢
δW = τ 0δθ 0 + (− l0 s2τ 2 − l0 c2τ 3 )δθ 2 ⎢⎣ 0 M 32 M 33 ⎥⎦
(7)
+ (l3 s3τ 2 + l3 c3τ 3 )δθ 3 definite, symmetry and time-varying generalized
With the virtual work principle, we have quality matrix:
M 11 = m1 (l0c2 − l3c3 − l ) + m2 (l0c2 + l2 c c2 − l3c3 − l )
2 2
δW = τ 0*δθ 0 + τ 2*δθ 2 + τ 3*δθ 3 (8)
+ I 0 + m3 (l0 c2 − r3c3 − l ) + m4l 2 + m5 (l5c c2 − l )
2 2
Comparing (7) with (8) gives the generalited force
is
+ m6 (l5c2 − l6c c3 − l ) + m7 (l5c2 − l6 c3 − l )
2 2

τ * = Dτ (9)
(
M 22 = s22 m1l02 + m2 r22 + m3l02 + m5l52c + m6l52 + m7l52 )
2.4 System’s dynamical model 2
2 (
+ c m l + m r + m l + m l + m l + I2 + I5
2
2 2c 4 5
2 2
5 0
2
6 2
2
7 2 )
To simply the force analysis of the three- (
M 23 = M 32 = c2c3 m5l3r5 − m4l0l3 − m6l0 r6 − m7l2 r6' )
dimensional mode, we first derived Lagrangian + s2 s3 (− m1l0l3 − m2l3r2 − m3l0 r3 − m6l5l6c − m7l5l6 )
equations of the system.
M 33 = I 3 + I 6
2.4.1. Vector radius of link’s mass center. [7-8] (
+ s32 m1l32 + m2 l 32 + m3 r32 + m6 l 62c + m7 l 62 )
( )
Supposing that the vector radius of every link into the
2
coordinates OXYZ is ri (i=1,2,…7). Referring to their + c32 m3l32c + m4l32 + m5l32 + m6 r62 + m7 r6'
geomtrical relation, yields The other elements of the matrixes have been
( ) (
r1 = l0c2 − l3c3 − l c1i + l0c2 − l3c3 − l s1 j (10) ) derived out, but they are omittted here because of their
r2 = (l0 c2 − l3c3 + l 2 c c 2 − l )c1i long expressions.
(11)
+ (l0 c2 − l3 c3 + l2 c c2 − l )s1 j + l 2 c s2 k
3. Self-adaptive Fuzzy PID Control
( ) ( )
r3 = l0c2 − r3c3 − l c1i + l0c2 − r3c3 − l s1 j + l3c s3 k (12)
r4 = −lc i − ls j + (l s − l s )k
1 1 3 3 0 2
(13) The fuzzy inference of the self-adaptive fuzzy PID
r5 = (l5 cc2 − l )c1i + (l5 cc2 − l )s1 j + (l3 s3 + r5 s2 )k (14) controller is based on the fuzzy rule table. The
parameters of PID can be adjusted on-line, which can
r6 = (l5 c2 − l 6 c c3 − l )c1i be changed through the inquiry to the fuzzy control
(15)
+ (l5 c2 − l6 c c3 − l )s1 j + (l 2 s 2 − r6 s3 )k rules table saved aforehand in the computer. [9-11]
r7 = (l5 c2 − l6 c3 − l )c1i + (l5 c2 − l6 c3 − l )s1 The conventional PID controller can be described as
(16)
∫
de(t )
( )
+ l2 s2 − r6' s3 k u (t ) = K P e(t ) + K I e(t )dt + K D
dt
(19)
Where s1=sinθ1, c1=cosθ1, s2=sinθ2, c2=cosθ2, s3=sinθ3, Where, KP, KI and KD are the proportional, integral
and c3=cosθ3, the following is as so. and derivative gains respectively, u(t) is the output of
Differenttiating the expression of (10) to (16), we controller; e(t) is the error signal. The design algorithm
can have the volecity expression of every link of PID controller in this paper is to adjust the KP, KI
vi(i=1,2,…7). and KD parameters on line trough fzzy inference based
on the current e and de(t)/dt to make the controlled
2.4.2. Dynamical model of the system. object attain the good dynamic and static performances.

861
The block diagram of self-adaptive fuzzy PID
controller is shown in Figure 3. [13-14]
Figure 3. Block diagram of self-adaptive fuzzy PID
controller
The four aspects of the design process of controller
are as following:
(1) The input and output variables. The e and ec are
used as fuzzy input and the KP, KI and KD are used as
fuzzy output.
(2) Fuzzy language of input and output variables.
Here, quantum rank of the input variables e, ec is
chosen as thirteen ranks, e, ec ={-6, -5, -4, -3, -2, -1, 0,
1, 2, 3, 4, 5, 6,}. The fuzzy sets of them are all defined
as {NB, NS, ZO, PS, PB}, where NB, NS, ZO, PS and
PB represent negative big, negative, small, positive,
small and positive big, respectively. The quantum rank
of KP, KI and KD is chosen as ten ranks, KP, KI and KD
={0, 1, 2, 3, 4, 5, 6, 7, 8, 9}. The triangle distrbution
membership function of each variable is shown in
Figure 4 and Figure 5, respectively. The suitable
quantum factor of each variable is adopted by
considering the experiment and simulation results of
the Palletizer, where the quantum factor of e is Ke=10;
the quantum factor ec is Kec=100; The quantum factor
of KP, KI and KD is KUP=3; KUI=0.7; KUD=0.5 [13-14].
Figure 4. The built fuzzy membership functions of
e and ec
Figure 5. The built fuzzy membership functions of
KP, KI, and KD
(3) Fuzzy rules regulation. The fuzzy rules are
generalized, they are ommitted here because of their
long expressions.
(4) PID parameters regulation
KP, KI and KD can be regulated according to their
862
fuzzy rule tables. The exact value of them can be
obtained after the defuzzification. The practical control
value is the production of exact value and the quantum
factors.
4. Simulation results
To demonstrate the effectiveness of the designed
controller for the palletizer, the MATLAB software is
used to the whole system simulation. To make the
robot rapid response and without overshoot, we
design the controller by means of the above self-
adaptive fuzzy PID algorithm.
With the block diagram of the self-adaptive fuzzy
PID control principle in the Figure 3 and the fuzzy
control rules, the simulation results are shown in the
Figure 6. Now, to avoid the paper too long, here we
only pay an attention on the controls of the waist of the
robot, the responses of the other links are omitted.
From the Figure 6, we can see that when the input
angle of the waist is 1 radian, the ascending time is
50ms, the adjusting time is 10ms, the error of the
steady state is 1.4% with the self-adaptive fuzzy PID
control, while the tranditional PID control has the
defects of lower response rate and longer delay time,
so the self-adaptive fuzzy PID control has more
obvious advantage than the traditional PID control in
response for the nonlinear system, and have no
overshoot which is easy to occur in the fuzzy control.
Therefore, the controller can satisfy the performance
requirement of the palletizer system.
Figure 6. Comparison of the traditional PID
controller and self-adaptive fuzzy PID controller
Because of the frequently changing of the robot
load, the controller is required to posses good
robustness. Input the angle of the waist is 4.5 radia,
load jamming signal of cosine torqure with a
magnitude of 10N.m and a frenquence of 1Hz on the
end-effectors of the robot. From the responses of the
system, the response of the waist is shown in the
Figure 7, the others are omitted here.
From the Figure 7, we can see that the robot may
still work in an normal condition under the jamming of
10N.m cosine singnal, hence the controller have strogh
robustness.
Figure 7. Output response of the system with
jamming signal
5. Conslusion
The MJR120 palletizer can satisfy the requirement
of high-speed and heavy load for material handling,
whose parallel four-bar mechanism makes the
actuators of the two arms and their reducing
mechanism can be installed on the its waist to improve
its dynamic features. On the base of Lagrangian
method, this paper analyses its dynamical performance
and sets up its inverse dynamic model, which is a
foundation for its next trace and torque control.
In the case of having no overshoot, it is very
difficult to increase the response velocity of the system
with the traditional PID control algorithm. In response,
the paper introduces the self-adaptive fuzzy PID
control algorithm into the control system of the
MJR120 palletizer. From the simulation results, we can
863
see that the self-adaptive fuzzy PID control has more
obvious advantage than the traditional PID control, and
the controller designed by the self-adaptive fuzzy PID
control algorithm can eliminate overshoot and posses
strong robustness.
6. References
[1] H. G. Hu, J. H. Gao, R. Q. Yang. “The development of
palletizing technology”, Modular Machine Tool & Automatic
Manufacturing Technique, 2000, 6. pp. 35-39.
[2] T. S. Wang. Robot Kinematics and dynamics, Xidian
University Press, Xi’an, 1990, pp. 125-135.
[3] W. Huo. Robot dynamics and control, High Education
Press, Beijing, 2005, pp.211-221.
[4] Z. X. Zhu, Q. H. Zhou, J. S. Yin, Theoretical Mechanics.
Beijing University Press, 1997, pp. 315-325.
[5] Fei xuebo, Advanced Dynamics, Zhejiang University
Press, 1993, pp. 27-42.
[6] Fei Renyuan, Zhang Huihui, Mechabical design and
analysis of robots, Beijing Industry University Press, 1998,
pp. 75-83.
[7] X. Y. Tang, W. Li, “Effect of parallel four-bar
mechanism on spotwelding robot”, Journal of China
Agricultural University, 2003, 8(4), pp. 36-40.
[8] Ma Xiangfeng, Robot Mechanisms, Medical Industry
Press, 1991, pp. 233-239.
[9] Mark W. Spong, M. Vidyasagar, Robot Dynamics and
control, United States of America. 1989, pp. 278-297.
[10] T. Terano, K. Asai, M. Sugeno, "Applied Fuzzy
Systems", AP Professional 1994, pp.302
[11] K. Tanaka, M. Sugeno, “Stability Analysis and Design
of Fuzzy Control Systems”, Fuzzy Sets and Systems, 1992,
vo1.45, No.2, pp. 135-156.
[12] Tao Y H, Yin Y X, Ge L S, “The control and
application of late-model PID”. China Machine Press,
Beijing, 1999, pp. 179-195.
[13] GS. Buja and F. Todesco. "Neural network
implementation of fuzzy logic controller”, IEEE Trans. Ind.
Rlectron, vol 41, 1994, Dec. pp.663-667.
 2008 International Conference on Intelligent Computation Technology and Automation

Based on the Fuzzy Math of the major Rivers in Hunan Province Water

Quality Assessment

Dong-Zheng Liu1, 2, Fei-Yan Guo1, 2, Zhi-jun Zhang1，Cailei1

1
CCCC.Tianjin Port & Waterway Prospect ion & Design Research Institute Co..Ltd
2
School of Water Conversancy, Changsha University of Science & Technology, Changsha
410076, P.R. China
E-MAIL: liudzheng@126.com

Abstract the more quality evaluation factors, the ineffective and

Water resources of Hunan province are rich. With
the rapid development of industries and cities, the
water pollution of the Hunan province becomes more
and more serious. Analysis the present water quality
comprehensive evaluation methods at home and
abroad, apply the fuzzy math principle
comprehensive evaluations of the water quality to the
major rivers in Hunan Province, and compare with
those years of the water quality status of the four rivers
in Hunan, confirm this evaluation method is a positive
practical significance on the correct assessment River
water quality.
practical are very poor [1-3]. In this paper, fully consider
the use of the Closeness Degree concept in fuzzy math
on the basis of the successful application of the
atmospheric environmental quality assessment; use the
approach of Closeness Degree to evaluate the
to water-quality. The actual results of the application of
the comprehensive evaluation of water-quality in rivers
are satisfactory.
2. Water quality evaluation model
According to the definition of fuzzy math, if A and

B the domain
U = {u1 , u 2 , u 3 , "" , u n } of the
1. Introduction
fuzzy sets, the close-degree of A and B is:
Water-quality evaluation is an important segment in n

the current environment research, has been presented a ∑ min u (u ), u (u )

A i B i
variety of evaluation methods, mathematical methods. ( A, B ) = i =1
n
The fuzzy math method has many advantages in the ∑ max u (u ), u (u )
i =1
A i B i
comprehensive evaluation of the water-quality, it can
reduce the impact of man-made factors, the evaluation （1）
result is objective, reasonable comparable. A and B is for the membership function, also in the
However, at present, in some of the more prominent domain of a subset of a fuzzy, also in the domain
projects the fuzzy comprehensive evaluation method is
rough and the application is not ideal. Particularly in

978-0-7695-3357-5/08 $25.00 © 2008 IEEE 864

DOI 10.1109/ICICTA.2008.30
U A1, A2,"""Am ,
has m fuzzy is If
Ci
≤1
j ∈ {1,2,"", m}, then
max m
1≤ i ≤ n
has H • ∑ S ij
j =1

(B, A ) = max(B , A )
.
j i k (1≤k≤m) （2）
Form formulas (3) and (4), and you will get all
kinds of standards corresponding to the fuzzy
Says B and Bi is the nearest.
set
A1 , A2 ,""" Am and monitoring the
If the models meet the formula (2), judgment B
corresponding value of the fuzzy subset of B, this
Aj
should be classified model , the principle known as comprehensive water quality Evaluation
the Optional nearly principal.
on
A1 , A2 ,""" Am to choose the closest fuzzy
This article provides for the evaluation of projects
all types of water quality standards corresponding to sets with B, this will be the membership function into
the value from formula (1), can be obtained the close
the fuzzy
Aj
(
1 ≤ j ≤ m ) monitoring the
degree of
A1 , A2 ,""" Am with B, then under the
corresponding value of the fuzzy sets for and the
establishment of membership functions are as follows: optional nearly principle of choice close to the greatest
degree of fuzzy sets standards corresponding with B to
S ij
u A j (u i ) = m the type of comprehensive evaluation as a results.
H • ∑ S ij
i =1 （3）
3. Water-quality of rivers in Hunan
C Province
u B (u i ) = m
i

H • ∑ j =1
S ij Water crisis has become a world concern; it restricts
（4）
the development of human society and the level [4]. In

u A j (ui ) j Water
China, Hunan province is rich in water resources. Per
Above the two formula, － capita possession of water resources for many years an
quality standards corresponding to the fuzzy focus of average of 3381 m3, about 1.5 times the national
the project membership functions; average. However, water pollution has become

u B (ui ) － Monitoring the corresponding value of increasingly prominent in Hunan Province, the season
of water resources and water quality of water shortage
the fuzzy focus of the i project membership relatively prominent, and its economic and social
functions; development constraints increasingly appear.
Water-pollution is quite common in Hunan
S ij j water quality standard
－i Project of the province. State-controlled, the provincial serious
value; pollution control section of the super-section three
Water quality statistics section above 1 / 3, nearly half
Ci － The monitoring of i projects;
of the rivers in the middle above the level of pollution.
There are more than 60 percent of the river cannot use
H －Are integral to meet:
functional requirements. In recent years, despite

865
concentrations of pollutants ups and downs changes, 4. The evaluation of the water-quality in
but still very high. Local waters of heavy metal Hunan Province
contamination prominent, sewage has become
increasingly obvious impact on water quality, As shown in Table 1, there are four major rivers in
non-point source pollution is not effectively controlled, Hunan Province, Xiangjiang, Ziwater, Yuanjiang and
some enterprises discharge standards cannot achieve Liwater. The pollution problem of Xiang River is the
stability. The shore of the city's pollution is serious, most serious of the four, and the Li River has the best
direct threat to water safety. water quality, the Xiangjiang River pollution in the
In this paper, water environment monitoring data in most serious, and the best water quality of the Liwater
2005 was selected, using models of Hunan four river River. Below optional surface water environmental
wet and withered water period water quality of quality standards for the water situation in Hunan four
comprehensive evaluation and the results and the use of water comprehensive evaluation.
composite index of the evaluation results compared. Based on Table 2 in the surface water environmental
The water quality monitoring situations of Hunan in quality standards and using the model for Hunan four
[5]
2005 are shown in Table 1 and Table 2 . water do comprehensive evaluation, the results in Table
Table 1 2005 in Hunan Province four water 3, Table 4.
quality monitoring the situation The data of Table 1, Table 2 and Table 3 into the
(High water period) formula (3), and formula (4), can be calculated in
River Xiangjiang Ziwater Yuanjiang Liwater Hunan Province in the water environment projects
under the function of the water quality.
︱7.5-PH︱ 0.36 0.11 0.08 0.09

15-DO 10.56 8.64 8.1 7.29 Table 3 Surface water quality standard
Ⅰ Ⅱ Ⅲ Ⅳ Ⅴ Total
CODcr 4.64 0.7 4.68 6.36
︱７.５－ＰＨ︱ ≤ 1 1 1 1 1.5 5.5
BOD5 0.45 0.75 0.48 0.79
１5－ＤＯ ≤ 7 9 10 12 13 51
oilL 0.008 0.015 0.01 0.008

Volatile phenol ＣＯＤcr ≤ 15 15 15 20 25 90

0.001 0.0014 0.002 0.0014
(mg/L) ＢＯＤ5 ≤ 3 3 4 6 10 26

oil ≤ 0.05 0.05 0.05 0.5 1 1.65

Table 2 2005 in Hunan Province four water
quality monitoring the situation Volatile phenol ≤ 0.002 0.002 0.005 0.01 0.1 0.119
(Withered water period) The concrete results see Table 4 and Table 5.
River Xiangjiang Ziwater Yuanjiang Liwater Table 4 and Table 5 present data on water quality
︱7.5-PH︱ 0.58 0.46 0.51 0.77 for the four categories of Hunan Province and the river
15-DO 6.24 5.57 6.06 5.7 water quality in calculation results membership
CODcr 20.06 11.71 10.32 11.06 function, the following data into the formula (1), 40 in
BOD5 4.46 1.48 2.48 3 Hunan Province can be calculated water and high water
oilL 0.29 0.03 0.035 0.035 period of the withered water period the water quality of
Volatile phenol the concrete results in table 6 and Table 7.
0.009 0.0024 0.0026 0.002
(mg/L)

866
 Table 4 Categories of water quality and river Table 7 Types of water quality and water quality
water quality in calculation results in table in rivers close to the table of results
members’ hip function (Withered water period)
(High water period) River
0.0909 0.6364 1.3636 0.2727 0.0045 0.0002 Xiangjiang 0.7578 0.7143 0.7224 0.7981 0.6253
0.0909 0.8182 1.3636 0.2727 0.0045 0.0002 Ziwater 0.639 0.6863 0.6906 0.4873 0.3805
0.0909 0.9091 1.3636 0.3636 0.0045 0.0005 Yuanjiang 0.6472 0.6939 0.6977 0.4927 0.3847
0.0909 1.0909 1.8182 0.5455 0.0455 0.0009 Liwater 0.7895 0.7932 0.6843 0.5206 0.4065
0.1364 1.1818 2.2727 0.9091 0.0909 0.0091
Based on the data in Table 6 and Table 7, under the
Xiang 0.0327 0.9600 0.4218 0.0409 0.0007 0.0001 optional nearly principle, can be drawn: the Xiangjiang
Zi 0.0100 0.7855 0.0636 0.0682 0.0014 0.0001 River water for the withered water period categories,
Yuan 0.0073 0.7364 0.4255 0.0436 0.0009 0.0002 high water period ; funded water for the withered
water period the water quality class , high water
Li 0.0082 0.6627 0.5782 0.0718 0.0007 0.0001
period ; Yuanjiang for the withered water period
Table 5 Categories of water quality and river the water quality category, high water period ;
water quality in calculation results in table Liwater for the withered water period the class , high
members’ hip function water period for the class . Therefore, the Xiangjiang
(Withered water period) River pollution is most serious, major pollution
Ⅰ 0.0909 0.6364 1.3636 0.2727 0.0045 0.0002 indicators are chemical oxygen demand, the annual
withered water period the most pollution. The best
Ⅱ 0.0909 0.8182 1.3636 0.2727 0.0045 0.0002
water quality of the Liwater, and wet achieve Water
Ⅲ 0.0909 0.9091 1.3636 0.3636 0.0045 0.0005
quality standards, and this results in line with the actual
Ⅳ 0.0909 1.0909 1.8182 0.5455 0.0455 0.0009 monitoring data shows that use fuzzy math in the law
Ⅴ 0.1364 1.1818 2.2727 0.9091 0.0909 0.0091 to close to the comprehensive evaluation of the quality

Xiang 0.0527 0.5673 1.8236 0.4055 0.0264 0.0008

of the results more accurate method, has a reliable
Sexual.
Zi 0.0418 0.5064 1.0645 0.1345 0.0027 0.0002

Yuan 0.5180 0.5509 0.9382 0.2255 0.0032 0.0002

5. Conclusions
Li 0.0700 0.5182 1.0055 0.2727 0.0032 0.0002
Fuzzy math in the law to close to the comprehensive
Table 6 Types of water quality and water quality evaluation of water quality, the method is simple, easy
in rivers close to the table of results to accept, the more accurate evaluation. With the index
(High water period) and fuzzy comprehensive evaluation method, omit all
River
the different projects under various degrees of
Xiangjiang 0.4207 0.4883 0.5049 0.4054 0.3166 pollution; determine the weight of different coefficient
Ziwater 0.3097 0.3642 0.3399 0.2586 0.2019 of cumbersome steps.
Based on the standards in developing countries have
Yuanjiang 0.4512 0.476 0.4443 0.3379 0.2639
to consider each project's impact on water quality, so
Liwater 0.5409 0.5183 0.4838 0.368 0.2873
that the project could just reach a certain standard of

867
water quality, they impact on water quality is membership, integrated assessment of water quality
equivalent. Therefore, close-degree method is directly was not affected.
based on the value and purpose of monitoring all types In short, both close to the perfect degree of fuzzy
of close to the water quality standards to evaluate the math evaluation methods have provided a
extent and therefore cannot be considered weight, can comprehensive evaluation of water quality model, but
also draw accurate evaluation of the results. However, an objective evaluation of the results reliable,
with close to the water quality evaluation, the comparable and effective method of simple steps.
evaluation of projects, assuming that the other items on
the contribution of zero pollution under the premise References
made. Therefore, the choice of evaluation projects, as
far as possible to select those that cause serious [1] Zhang Jie editor-in-chief. Environmental Engineering
pollution of local water targets, otherwise it will cause Manual [M]. Water Pollution Prevention Vol. Higher
the results do not accurately evaluate the problem, such Education Press, 1996.27 - 50.
as ammonia and potassium permanganate should be [2] Ping Deyi, such as the Expo floor. Die Xu mathematical
considered the serious pollution of water quality index. methods and application of [M]. Seismic Press, 1983.55 -58.
Because of the law itself closer to the characteristics [3] WANG Pei Chuang. Flail-set theory and its applications
of those of lesser pollution can not participate in the [M]. Shanghai Science and Technology Press, 1983.91- 93.
evaluation of the project, the first little effect on the [4] Mr Nanhu. Conservation and rational exploitation of
results of the evaluation, the evaluation of the project is water resources in response [J], water purification
to reduce the savings related to data processing. In the technology, 2002.21 (3).
formula H value was only less than or equal to the [5] Hunan Provincial Environmental Quality Report 2001 ~
mathematical definition of an established in the 2005 [M], Hunan Provincial Environmental Protection
Bureau, 2006.3.

868
 2008 International Conference on Intelligent Computation Technology and Automation
Control of Four-Wheel-Steering Vehicle Using GA Fuzzy Neural Network
Shijing Wu, Enyong Zhu, Ming Qin, Hui Ren, Zhipeng Lei
School of Power and Mechanical Engineering, Wuhan University
wsj @whu.edu.cn
Abstract
In order to improve the handling and stability of
four-wheel-steering (4WS) vehicle, a new 4WS
intelligent control system with genetic algorithm (GA)
fuzzy neural network (FNN) was put forward.
According to the tire cubic formula, a vehicle
nonlinear dynamics model was built. Then a vehicle
model based on back-propagation (BP) network was
identified from the vehicle dynamics. Next a fuzzy
neural network controller was designed. Speed,
steering angle of front wheel and lateral acceleration
were taken as its input variables and steering angle of
rear wheel was taken as its output variable. At last GA
was used to optimize the fuzzy neural network
controller. The results of computer simulation
demonstrate that the 4WS intelligent control system
with GA fuzzy neural network can markedly reduce the
side slip angle and the yaw rate compared with linear
4WS control law and 2WS control law, the entire
control system is robust, and the optimization by GA
improves the control performance of controller and the
design efficiency.
1. Introduction
With the development of the automobile industry,
improving vehicle handling and stability is becoming
an important development direction of vehicle
technology. Since the vehicle applying 4WS
technology has good steering characteristics, many
research groups have researched 4WS technology
worldwide. Literature [1] introduced adaptive model
following control which considered uncertainty.
Literature [2] studied H∞ optimization control based on
yaw rate feedback under different road conditions.
Literature [3] investigated proportional control by
setting the side slip angle to zero. Literature [4]
introduced a dual steering scheme as a useful method
for controlling both yaw rate and side slip speed state
variables. Literature [5] established neural network
model of vehicle steering firstly, then applied PID
978-0-7695-3357-5/08 $25.00 © 2008 IEEE
DOI 10.1109/ICICTA.2008.237
controller to control the steering angle of rear wheel.
The current studies show that most of researches are
based on a 2-DOF linear mathematics mode that is
built on the premise of being a smaller lateral
acceleration of vehicle. These control methods can
achieve the purposes to some extent. However, because
the 2-DOF model cannot reflect the real situation of
vehicle dynamics, in some dangerous driving situation,
such as avoiding obstacles emergency, running in the
slippery road surface or the road with low friction, the
vehicle 4WS control system will lose its control role
and reduce the security. Furthermore, most of
researchers still adopt traditional control methods.
Using intelligent control technology to finish
vehicle 4WS control has become a study trend, with
the further development of intelligent control methods.
This paper proposes a vehicle 4WS intelligent control
system based on fuzzy neural network. Fuzzy neural
network control system which is not based on the
model of vehicle movement but knowledge can adapt
to the nonlinear movement of vehicle. Neural network,
integrated with fuzzy control, can achieve fuzzy logic
and its self-learning ability can optimize the control
rules, so their integration makes up for the inadequate
of each other with their advantages. In addition, in this
paper GA is employed to optimize fuzzy neural
network controller to further improve its control
performance and the steering characteristics of vehicle,
enhance the design efficiency of control system.
2. Vehicle 4WS neural network model
Designing 4WS system includes two learning
processes - identifying the dynamics model of vehicle
and synthesizing the controller of the steering angle of
rear wheel. Firstly, this paper establishes the nonlinear
dynamics model of vehicle 4WS system to obtain the
data for learning, and then takes advantage of the input
and output data of the nonlinear model to train the
neural network model. After trained, the neural
network model can fully describe the dynamics
performance of vehicle.
869
2.1 Vehicle 4WS nonlinear mathematics model
The suspension system is not considered, and the
section length is ignored. The vehicle is assumed to be
symmetrical along the vertical axis and only run on the
plane paralleling ground. Only the cornering force
among all ones of wheel acted, namely side slip force
is considered in cornering. Applied Newton mechanics,
the 2-DOF differential equation on side slip angle and
yaw rate can be deduced.
⎧ dβ
⎪⎪mv( dt + γ ) = 2Y f + 2Yr
⎨ (1)
⎪ I d γ = 2l Y − 2l Y
⎪⎩ z dt f f r r
Where β is the side slip angle on vehicle centroid;
γ is yaw rate of vehicle; m is the total vehicle mass;
l f 、 lr are the distance from vehicle centroid to front
and rear shaft, respectively; v is vehicle forward
speed; I z is moment of inertia of vehicle taking its
centroid as rotating center; Y f 、 Yr are cornering force
of front and rear wheels acted , respectively.
In the course of vehicle running, lateral deviation
phenomenon will happen on vehicle tires ineluctably,
because of lateral tilt, wind or centrifugal force created
by vehicle curve movement. Hence it is necessary to
add nonlinear factors into above model. A vehicle
of front wheel δ f and steering angle of rear wheel δr
as input variables. Its output variables are side slip
angle β and yaw rate γ . The ranges of v and δ f are
[0,30]m/s and [-0.14,0.14]rad, respectively. According
to experience, the range of δ r is set within [-0.035,
0.035]rad. After being random sampling, the value of
input variables in their set range are inputted into the
4WS dynamics model, and the corresponding output
variables value - the values of side slip angle and yaw
rate are obtained. The value of input and output
variables make up of the training sample whose size is
set to 10000 in this paper. As the orders of magnitude
of vectors in the sample are very different, in order to
improve the training accuracy and prevent some
neurons from reaching saturated condition, the training
sample must be normalized before inputted the model.
The learning rate is set to 0.05, the largest time of
iteration is set to 500. The transfer functions of two
hidden layers are bipolar sigmoid function. And the
one of output layer is the linear transfer function.
δf β
v
•
•
•

nonlinear model is established on the basis of tire cube δr γ

formula [6-7].
⎧Y f = −(C1 f α f − C3 f α f 3 )
⎨ (2)
⎩ Yr = −(C1rα r − C3rα r )
3

Figure 1 Vehicle 4WS neural network model

⎧ lf
⎪⎪α f = β + γ − δ f To prove that the neural network model can
v describe the nonlinear characteristic of the vehicle, the
⎨ (3)
⎪ α = β − lr γ − δ following variables values will be input the model.
⎪⎩ r v
r Where, the vehicle speed is 20m/s, the steering angle
of rear wheel is 0, and the steering angle of front wheel
Where C if , Cir (i=1,3) are cornering stiffness of is 0 in the first one second, then changes as sinusoid
front and rear tires, respectively; α f , α r are side slip whose amplitude is 0.1rad and frequency is 0.17Hz.
angles of the front and rear wheels, respectively; The responses of the system are shown in figure 2.
δ f , δ r are steering angles of the front and rear wheels,
respectively. In addition, all parameters are plus in
formula (2) because tires are flexible.
2.2 neural network model
The BP neural network model designed in this
paper is composed of an input layer including three
units, two hidden layers including five and eight units (a) Curves of side slip angle changing with time
respectively, and an output layer including two units.
Its structure is shown in Figure 1. The BP network
model chooses vehicle forward speed v , steering angle

870

(b) Curves of yaw rate changing with time
Figure 2 Responses of the system
Compared two pairs of curve shown in figure 2, it is
easy to find that the error between output of neural
network model and the one of nonlinear mathematics
model is very small. Therefore, this fact proves that the
identification method proposed in this paper is
reasonable and effective.
3 Design of fuzzy neural network control
system
The main purpose of 4WS controller is to control
the steering angle of rear wheel to make the absolute
value of side slip angle of vehicle be close to zero as
possible. However, the core issues of fuzzy controller-
"automatic extraction of fuzzy rules "and" automatic
generation of fuzzy membership functions" are two
major puzzle of fuzzy logic control. In this paper, the
genetic fuzzy neural network is a control technology,
in which, by introducing the neural network into fuzzy
system as a computing tool, and neural network
generates reasonable fuzzy rules through learning, and
membership functions of fuzzy system will be
optimized by genetic algorithm to make controller
achieve the best control performance.
3.1 Design of fuzzy neural network controller
To ensure the continuity of the network output
surface, this paper adopted a band T-S fuzzy neural
network model. The fuzzy neural network model is
composed 5-layer. Xi, Y are inputting and outputting
linguistic variables respectively. It integrates the basic
elements and functions of traditional fuzzy control
(such as membership function, fuzzy control rules,
fuzzification, defuzzification, etc.) into a neural
network structure. In order to make the side slip angle
and yaw rate be smallest, objective function is
introduced, shown as the formula (4).
1 f = M xji ( mij , σ ij ) = −
J = ( ρ1β 2 + ρ2γ 2 ) (4)
2
Where ρ1 , ρ 2 are weight coefficient. In this
lateral acceleration a y and current steering angle of
front wheel δf . The output linguistic variable is
steering angle of rear wheel δ r . It should be pointed
out that in the course of vehicle moving will be
impacted inevitably by external factors such as
crosswind. So in order to overcome the impact of
external factors, lateral acceleration is taken as one of
the control variables. In the process of actual control,
lateral acceleration will be measured using sensors. It
is obtained by computing here. First, it is assumed that
the crosswind acts on the wind pressure center, and the
crosswind’s heading is always perpendicular to the
vertical plane of symmetry of the vehicle, then the
lateral force caused by crosswind can be expressed as:
Fy = ρV f 2 ACy / 2 (5)
Where Fy is force caused by crosswind, ρ is air
density, V f wind speed, A is lateral area which vehicle
projects on its axis of bank, C y is lateral force
coefficient. Then lateral acceleration can be figured out
by the following formula.
Y f + Yr − Fy
ay = (6)
m
Steering angle of front wheel δ f and lateral
acceleration a y are conveyed in five grades: NB
(negative big), NS(negative small), Z(zero), PS
(positive small), PB(positive big). The speed of vehicle
is divided to three grades: L(low), M(middle), H(high).
Gaussian is adopted as fuzzy membership function. Its
mathematical expression is as following:
( x − ck )2
−
2σ k 2 (7)
μk ( x ) = e
Where ck is position parameter of the fuzzy
membership function, σ k is its shape parameter and
the subscript k represents each fuzzy variable.
The signal propagation and the basic function in
each layer are as follows.
Layer 1: input layer
y i1 = xi1 (8)
Layer 2: fuzzification layer
(u i2 − mij )
j = 1, " , n (9)
σ ij2
x 2j = w 2ji y i1 (10)

paper, ρ1 =0.8， ρ 2 =0.2. y 2j = f ( x 2j ) (11)

The input linguistic variables of fuzzy neural Layer 3: fuzzy inference layer
network model consist of vehicle forward speed v ,

871
 xi3 = ∏ w 3ji y 2j (12)
j network controller each chromosome represents, and
yi3 = xi3 (13)
Layer 4: defuzzification layer
x k4 = ∑ wik4 y i3
(14)
k
y = min(1, x )
4
k
4
k (15)
Layer 5: output layer
x5 = ∑ (ckσ k ) yk4 (16)
k
x5
y5 =
∑σ
k
k y k4 (17)
k
Where xi and y ik are the input and output of the
i th node in layer k , respectively. wijk is the link
weight between the i th node in layer k − 1 and
the j th node in layer k The link weights in each layer
are unity expect that of layer five.
3.2. The optimization of fuzzy neural network
controller by genetic algorithm
The selection of parameters σ k and ck of the
membership function greatly affects the performance
of fuzzy neural network controller. On the premise that
the fuzzy control rules have been determined, the
control effect primarily lies on the membership
function which is required to be able to objectively
reflect the actual situation. Researchers often adopt the
default membership function shape whose fuzzy state
is average distribution. When variables’ change is non-
uniform, the reasoning results of this design are
obviously not ideal, so the fuzzy state is distributed
non-uniformly based on experience. Nevertheless,
because this is an optimization problem with multi-
variable, it is neither inefficient to adjust parameter nor
easy to get the best control effect. This paper will use
the genetic algorithm to optimize σ k and ck , so that
the fuzzy neural network controller can achieve the
best control performance.
According to the above analysis, in the following text
the controller will be optimized by genetic algorithm.
The optimization parameters are σ k and ck , and the
number of variables is 26. Considered the actual
situation, the basic optimization steps are as follow:
(1) Select encoding strategy. This paper adopts
binary encoding which is the common one. Set that
each population consists of 40 chromosomes, and then
the first generation is initialized.
872
(2) Input the representative data of the fuzzy neural
get the output results of controllers. The fitness
function is shown as formula (18). Evaluate the fitness-
value of each output.
n
J = ∑ ( yi − yid )
2
(18)
i =1
Where yi is reference output; yi d is output of
controller.
(3) Select those offspring individuals with a less
fitness-value for the next generation. In this paper,
Roulette wheel is adopted.
(4) Generate a new generation through crossover
and mutation. The mutation rate is 0.001.
(5) Evaluate the fitness-value of the new generation,
then go back to step (2), until certain criteria (such as a
fixed number of generations, or a time limit) or the
targets is met.
(6) Save optimization results and terminate the total
process.
4. Simulation and analysis of results
To verify the availability of GA fuzzy neural
network 4WS intelligent control system, a simulation
model is built based on MATLAB/Simulink. The
entire control system is shown in Figure 3. To reflect
the superiority of genetic GA fuzzy neural network
4WS control, it is taken for comparative analysis with
2WS control and linear 4WS control.
δf
β
NN
v γ
δf
v FNN δr
ay
GA
Figure 3 GA fuzzy neural network control system
After the simulation model is established, wind
speed is set to change as shown in Figure 4 and its
heading is along the turning radius toward the center.
The steering angle of front wheel is set to change as the
curve shown in Figure 5. Vehicle speed is set for 25
m/s. Then the side slip angle and yaw rate will be
obtained, as shown in Figure 6.
In the simulation process, with the change of
steering angle of front wheel, the amplitude of side slip
angle of vehicle controlled by GA fuzzy neural
network enlarges, but quickly returns to the stable
condition that the amplitude is close to zero. The great
fluctuation does not happen to side slip angle and yaw
rate with the sharp fluctuations in wind speed and the
sudden change of steering angle of front wheel. So the
entire control system is robust. Compared with linear
4WS control law and 2WS control law, the genetic GA
fuzzy neural network controller designed in this paper
can significantly reduce the amplitude of side slip
angle and yaw rate.
Figure 4 Wind speed
Figure 5 Steering angle of front wheel
(a) Side slip angle
(b) Yaw rate
Figure 6 Responses of the system
5 Conclusion
This paper proposes a new 4WS intelligent control
strategy based on GA fuzzy neural network. First, a
4WS system nonlinear dynamics mathematics model is
established. A neural network model is used identify
the dynamics model. Then a fuzzy neural network
controller is designed whose input variables are vehicle
speed, steering angle of front wheel and lateral
acceleration. Fuzzy neural network controller is
optimized by GA to achieve best performance. The
873
simulation experiments proved that the control laws to
the 4WS designed from fuzzy neural network is more
effective than that of linear 4WS control law and 2WS
control law. GA fuzzy neural network control system
can significantly reduce the amplitude of side slip
angle and yaw rate and has more strong robust. So
vehicles adopting this control system will be more
smooth, flexible and safer.
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 2008 International Conference on Intelligent Computation Technology and Automation

Design and implementation of a regional economic evaluation system based on fuzzy

neural control
ZHENG Shi ZHENG Wen JIN Xia
School of Economic and Department of Economics and School of Economic and
Management, Dalian Management, Northeastern Management, Dalian
Nationalities University, University in Qinhuangdao, Nationalities University,
Liaoning Province Hebei Province, Liaoning Province
Dalian Development Zone, P. Qinhuangdao, Dalian Development Zone,
R. China, 116600 P. R. China, 066000 P. R. China, 116600
E-mail:
zhengshi1993@yahoo.com.cn

Abstract forward a new scheme of integration of traditional expert system

This paper presents the design of a neuro-fuzzy
current control scheme for a regional economic system.
The method is firstly, a fuzzy evaluation method and
fuzzy control rule based on lots of statistical data and
experts’ experience was trained and checked; secondly,
a fuzzy neural controller was designed. Finally,
simulation of this method was carried out by applying
MATLAB GUI and Simulink. Simulation results show
that fuzzy neural-network control is validated. This
scheme is useful in avoiding the subjective and
extensive in the regional economic evaluation. The
method of switching controller development in this
paper is new and can be applied to other Economics
and Management fields’ applications for improved
performance.
1. Introduction
Regional economic evaluation, a systematic
project, is the need of national regional coordination
development and an important reflection of the
concept of scientific development. A regional
economic evaluation system is basically an expert
system based on knowledge that simulates the expert’s
thinking process and addresses difficult problems for
experts. By 2003, research on the expert system and
the fuzzy control theory were applied broadly in the
field of Medical Science, Archival Science, and
Cyber-Economy, e.g. C. Obeli et al.[1] have studied
the Expert System of Alarm Integrated Monitoring for
medical system and employed processed and
integrated data by Fuzzy Logic; T. Yakhno et al.[2] put
and case reasoning system which is based on regular knowledge set,
matching rules, and the set of decision-making rules; J. Wu[3]
proposed applying the methods of fuzzy expert system to the
problems concerning network congestion control; M.
Hadjimichael[4] matched the theory of fuzzy set with fuzzy pattern
to research regional wind-force prediction. There are also many
cases which use expert system to make evaluation research, for
example, C. Roder[5] made a summary of international files and the
experience about evaluation system in a decade; C. Seong Leem[6]
advanced the evaluation system of enterprise plans of information
strategies and then it was applied in seventeen dominant companies
in South Korea.
2. A brief summary of the literatures about
regional economic evaluation
Regional economic evaluation method is based on evaluation
theory. The sustainable development evaluation theory matured, J.
Becker[7] made a systematic research into the application of
sustainable development evaluation in regions, D.
Devuyst[8]designed an evaluation system at the regional level, and A.
Gilbert[9] put forward evaluation standards for sustainable
development.
Up to the present, researches into a regional economy
evaluation in China has focused on the construction of indices
system, e.g. Xu Hong et al. [10] constructed the evaluation indices
system of regional economic competitiveness; Zuo Jihong et al.[11]
designed the indices system of regional economic competitiveness
and studied evaluation models; Li Ren’an et al.[12] presented the
evaluation indices system of the regional core competitiveness; LiLi
et al.[13] probed the connotation, indices system and evaluation
method of the regional competitiveness; Wang Lianyue et al.[14]
analyzed an indices system with AHP method in the regional
competitiveness evaluation. Little research has designed the

978-0-7695-3357-5/08 $25.00 © 2008 IEEE 874

DOI 10.1109/ICICTA.2008.106
decision-making support system at local development
level, e.g. Wang Zongjun.[15] designed the intelligent
synthetic evaluation support system in Wu Han city.
However, an effective regional economy evaluation
system still lacks an adequate theoretical basis.
This paper designs a neuro-fuzzy current control
scheme for a regional economic system. The regional
economic competitiveness can be tracked dynamically
by using this scheme.
3. The structure model of a regional
economic evaluation based on neural fuzzy
control
3.1 System structure
This system uses classical triangle structure, i.e.,
triangularly distributed structure comprised of
database, method base and other branch systems,
combined with a dialogue branch system. (See Fig. 1)
Fig.1 A regional economic neural fuzzy control
system structure
Fig.2 The application of neural fuzzy control in
regional economic evaluation
3.2 The application of the neural fuzzy control and its
advantages
The regional economic fuzzy evaluation method was improved
as follows: (1) transformed the interval variables into 5 levels. (2)
Adoped the 3 scale AHP method[16], i.e. Comparing the each
element by the familiar (0, 1, 2) scale method, then constructing a
comparative matrix and calculating the sequence index of each
element. In the second stage, the comparative matrix was
transformed into a determine matrix. At the same time the
consistency of the matrix should be proven. This method improved
Saaty’ 9 scale method.
26 pairs of data came from the improved fuzzy evaluation of 26
provinces (or cities) in China in 2005. The 26 provinces are random
samples of 31 provinces(or cities) in China. They are HaiNan,
SanXi, TianJin, ShanDong, HeiLongJiang, AnHui, ZheJiang,
JiangSu, LiaoNing, JinLin, ShangHai, GuangDong, HeBei,
GuangXi, FuJian, NeiMengGu, QingHai, ChongQing, GanSu,
YunNan, BeiJing, GuiZhou, NingXia, SiChuan, XiZang, XinJiang.
26 pairs of nominal measurement data, which represent regional
competitiveness core elements and auxiliary elements respectively
and regional competitiveness outputs were acquired.
Using Matlab GUI (graphical user interface), the process is as
follows:
(1) Constructing two .dat file(trndata, chkdata), trndata= […],
chkdata=[….],and loading them from disk to ANFIS GUI.
(2) Adding the inputs of T-S fuzzy model to two inputs, namely
a core element and an auxiliary element. The membership function
of them is guass function, the number is 4.
(3) Selecting grid partition button to generate the original FIS
structure, save as Dataanfis.fis.
(4) Setting the training parameters of ANFIS function. The
epoch is 20, and other parameter is default.
(5) Training ANFIS and checking the performance of the FIS
by ANFIS function. ANFIS is the major program for training T-S
(Sugeno Type) fuzzy inference system. The parameters of fuzzy
inference system can be decided by the hybrid learning method (a
combination algorithm of the least square method and the gradient
descent method). The fuzzy system can simulate the training data.
After the training process stopped and data were tested, the
membership function can be seen (see Fig.1, 2). The GUI can also
be acquired (see Fig. 3). The training error is 0.000211371.
875
 Fig.6 Simulation output curve of regional economic
Fig.3 trained membership function of the regional evaluation system based on neural fuzzy control
competitiveness core element

Fig.7 Simulation output curve of the regional economic

Fig.4 trained membership function of the regional Evaluation system based on fuzzy logic (5 rules)
competitiveness auxiliary element

Fig.8 fuzzy evaluation result by classical method

Fig.5 Graphic Interface of trained ANFIS

876

Fig.9 A comparison between fuzzy neural control and
Classical method
Fig.10 A comparison between fuzzy neural control and
fuzzy logic (5 rules)
Designing simulation models and loading ANFIS
(anfis.fis) file, the control result is illustrated in Fig.6. Taking
advantage of the same simulation model and loading the
fuzzy controller (rule.fis) which was designed before; we can
get another control result (see Fig. 7). Fig.8 is the evaluation
result of classical fuzzy evaluation. Comparing the fuzzy
control evaluation result (Fig.10) with the neural fuzzy
evaluation control result (Fig.9), we can find that the result of
neural fuzzy evaluation control is more accurate. It shows
that the design of the neural fuzzy controller has met the
requirements for the intelligence of experts’ knowledge. In
sum, the consequences of control are validated.
4. Conclusions
This paper demonstrates the design scheme of a neural
fuzzy controller in a regional economic evaluation system.
This scheme is useful in avoiding the subjective and extensive
in regional economic evaluation. It is Adaptive Neural Fuzzy
Inference and is a part of Automatic Data Mining. Due to the
877
intelligence of the scheme; it can be applied to other
Economics and Management fields’ applications for improved
performance. In addition, this scheme has the potential to
overcome problems with the existing stock or future analysis
systems.
References
[1] C．Obeli et al. An Expert System for Monitor Alarm Integration.
Journal of Clinical Monitoring and Computing. 1999,1: 29-35
[2] T. Yakhno Can Yilmaz, Sevinc Gulsecen, et al. Kidney Allocation
Expert System with Case-Based Reasoning. Advances in Information
Systems: Third International Conference, AI Turkey.2004,11: 489
[3] J. Wu et al. A Fuzzy-Expert System-Based Structure for Active
Queue Management. Advances in Intelligent Computing:
International Conference on Intelligent Computing ICIC. 2005,
HeFei, China.
[4] Michael Hadjimichael et al. A Meteorological Fuzzy Expert
System Incorporating Subjective User Input. Knowledge and
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[5] C. Röder. The International Documentation and Evaluation
System(IDES)—10 years Experience. International Orthopedics.
2003,10: 59-261
[6] C． Seong Leem et al. Evaluating Information Strategic Planning:
An Evaluation System and its application. Journal of System
Integration. 2001,7：207-222
[7] J. Becker. Sustainable Development Assessment for Local Land
Uses. International Journal of Sustainable Development and World
Ecology. 1998,5(1):59-69
[8] D. Devuyst. Linking Impact Assessment and Sustainable
Development at the local Level: The Introduction of Sustainability
Assessment Systems. Sustainable Development. 2000,8(2)：67-78
[9] A ． Gilbert. Criteria for Sustainability in the Development
Indicators for Sustainable Development. Chemosphere. 1996,
33(9):1739-1748
[10] Xu Hong, Li Mmg. The Construction of Regional
Competitiveness Evaluation Indices System. Special Zone Economic.
2005, 5: 322-323
[11] Zuo Jihong et al. Indices System and Research on Evaluation
Model of Regional Competitiveness. Commercial Study. 2005, 23-25
[12] Li Ren’an et al.. The Research on Regional Core
Competitiveness. Wuhan Technology University Journal. 2005, 2:
96-98
[13] LiLi et al. The Comment on Connotation , Indices System and
Evaluation Method of Regional Competitiveness. XinJiang
professional University Journal. 2005，3：4-6
[14] Wang Lianyue et al. The Application of AHP Method on
Synthetic Evaluation of Regional Competitiveness. Enterprise
Economic. 2004, 6: 112-113
[15] Wang Zongjun. The Design and Implementation of Synthetic
Evaluation Support System of Development level of Intelligent.
Wuhan Management Engineering Journal. 1996, 3: 30-39
[16] Zhu yin, Meng ZhiYong, Gan Shuyu. Calculate Weight-ness by
AHP Method. Journal of North Traffic University.1999, 10:
119-122
 2008 International Conference on Intelligent Computation Technology and Automation
Design of Main Steam Temperature Cascade Control System Based on Fuzzy
Self-tuning PID Controller
ZENG Jing, XIE Youcheng, CHEN Lei
College of Energy and Power Engineering, Changsha University of Science and Technology,
Changsha, 410076, China
E-mail:jingzengxiao@163.com
Abstract
To obtain perfect performances of the main steam
temperature control system, a new scheme is proposed.
The scheme substitutes fuzzy self-tuning PID controller
for the main regulator of cascade control system. The
controller is composed of fuzzy controller and PID
controller. According to the error and error rate of the
control system and fuzzy control rules, the fuzzy
controller can online adjust the three parameters of the
PID controller, then alter the output of the fuzzy self-
tuning PID controller to maintain the main steam
temperature. The results show that the proposed
control scheme has smaller overshoot, shorter settling
time, better capacity of anti-disturbance and stronger
robustness than the conventional PID cascade control.
1. Introduction
The main steam temperature of the thermal power
plant directly affects the security and economy of an
operating unit. On the one hand, if the main steam
temperature is too high, the metal material of boiler
and turbine will be over temperature and heat, which
will accelerate metal oxidati
steam temperature is characterized by long time-delay,
large inertial and nonlinear time-variation. Therefore,
all the above mentioned factors make it difficult for
conventional PID cascade control scheme to obtain
satisfactory control effects. Consequently, many
scholars have proposed a lot of advanced control
strategies concerning the control system of the main
steam temperature of the thermal power plant [1-10].
Since E.H.Mandani introduced fuzzy control
technology into boiler-turbine firstly, fuzzy control has
been widely adopted in industrial process. Based on
fuzzy control theory, this paper proposes to substitute
fuzzy self-tuning PID controller for the main regulator
of cascade control system, at the same time, simulation
based on the proposed scheme is carried out. The result
shows that the proposed scheme has better
performance such as control quality, robustness and
anti-disturbance than the conventional PID cascade
control scheme.
2. Cascade control
2.1 Conventional cascade control system