4152 Chin Med J 2014;127 (23)
Short communication
Direct aperture optimization based on genetic algorithm and
conjugate gradient in intensity modulated radiation therapy
Cao Ruifen, Pei Xi, Zheng Huaqing, Hu Liqin and Wu Yican
Keywords: direct aperture optimization; genetic algorithm; conjugate gradient
F or resolving the problem that a conventional intensity
modulated radiotherapy (IMRT) plan designed with
the “two-step method” creates a greater number of
apertures and total Monitor Units (MU), the direct aperture
optimization1 (DAO) method using a genetic algorithm
and conjugate gradient was studied based on Accurate/
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Advanced Radiation Therapy System (ARTS)2,3 developed
by the FDS Team (www.fds.org.cn).
METHODS
The parameters to adjust in DAO were the shape and MU
of each aperture. Based on DAO characteristics, the shape
of each aperture was encoded as a 0/1 two-dimensional
matrix that corresponds to the individual chromosome
of genetic algorithm, and then crossover and mutation
strategies of genetic algorithm were adopted to adjust
the shape of the aperture, finally the weights of apertures
were optimized using the conjugate gradient method. The
corresponding two-dimensional matrix of each aperture has
the following conditions: (1) the “1” of each row must be
continuous; (2) the “1” regions of the adjacent rows must
be connected, etc. All MLC hardware constraints were
reflected in the corresponding 0/1 matrix. The optimization
process is shown in Figure 1.
Initializing aperture individuals
The parameters to adjust the DAO were the shape and MU
of each aperture and these two kinds of parameters worked
together to determine the beam intensity map that affect
Figure 1. Direct aperture optimization process.
the dose at each point. Based on cumulative energy of each
unit pencil beam deposition in the target and organs at risk
(OAR), the effectiveness of the pencil beam concept was
proposed, which could be quickly calculated based on
characteristic matrix that described every sampling point
dose that each unit pencil beam deposited. The validity
of the MLC leaf position corresponding to the opening
and closing was determined according to the pencil beam
effectiveness and then the apertures were initialized.
Adjust aperture shape using genetic algorithm
In the evolution process of genetic algorithm, crossover
and mutation are two key strategies affecting the
convergence and solution quality. Considering the 0/1
matrix corresponding to the segments, the crossover and
mutation strategies used in this article would not only meet
the requirements of the evolution of genetic algorithm, but
also ensured that individuals produced in the process of
evolution were a set of segments.
Conjugate gradient optimize apertures weights
After the above operation of genetic algorithm, the shape
of each aperture was obtained, but for the same apertures,
if the corresponding MU values ​​were different, the dose of
sampling points or various parts of the body were different.
Therefore, the conjugate gradient method was used to
optimize each aperture’s MU value to make the dose of
sampling points meet the doctor’s prescribed dose. The
objective function and constraints of conjugate gradient
optimization aperture weights can be seen inreference.4
Dose calculation
The speed of direct aperture optimization would be slow
if the dose calculation time was too long. The Finite Size
DOI: 10.3760/cma.j.issn.0366-6999.20130644
Key Laboratory of Neutronics and Radiation safety, Institute of
Nuclear Energy Safety Technology, Chinese Academy of Sciences,
Hefei, Anhui 230031, China (Cao RF, Pei X, Zheng HQ, Hu LQ and
Wu YC)
Engineering Technology Research Center of Accurate Radiotherapy
of Anhui Province, Hefei, Anhui 230031, China (Cao RF, Pei X,
Zheng HQ, Hu LQ and Wu YC)
Correspondence to: Dr. Cao Ruifen, Key Laboratory of Neutronics
and Radiation safety, Institute of Nuclear Energy Safety Technology,
Chinese Academy of Sciences; Engineering Technology Research
Center of Accurate Radiotherapy of Anhui Province, Hefei, Anhui
230031, China (Tel: 86-551-65593595. Fax: 86-551-65593681.
Email: ruifen.cao@fds.odrg.cn)
These works were supported by a grant from the National Natural
Science Foundation (No. 81101132).
Chinese Medical Journal 2014;127 (23) 4153

Table 1. Comparison of the number of apertures and MU using As Table 1 suggests, under the circumstances of getting
DAO method and conventional two-step method almost the same dose distribution, comparing the aperture
DAO IO+LS numbers and MU of the two plans, the number of apertures
Aperture number MU Aperture number MU
Beam1 10 381 27 442
can decrease from 327 to 63, which is an 81% decrease,
Beam2 9 328 39 457 and the MU decrease from 4 369 to 2 833, which is a 35%
Beam3 7 312 35 429 decrease. If both plans use the accelerator with a radiation
Beam4 6 303 35 511 dose rate 400 MU/min, then the machine beam time of
Beam5 8 317 36 464 the IO+LS method and the DAO method will be 10.92
Beam6 6 323 39 525
Beam7 6 297 39 503
minutes and 7.08 minutes. If one aperture switching time
Beam8 5 286 37 562 is 7 seconds, the time the IO+LS method took to switch the
Beam9 6 286 40 476 apertures will be 38.15 minutes, while the DAO method
Total 63 2 833 327 4 369 only will take 7.35 minutes. Therefore, considering the
treatment time of each method, treatment time needed by
Pencil Beam (FSPB) algorithm based on Monte Carlo plans obtained with DAO method is much less than plans
simulated data which developed independently was obtained by the “two-step method”.
adopted for dose calculation.5 The characteristic matrix
of each organ will be calculated by FSPB method before DISCUSSION
optimization. To speed up calculating the affect of each
aperture on each sampling point, we adopted steps as Since there usually are a large number of small apertures
follows: (1) the points which the pencil beam effected were and MU in conventional IMRT plan design, a direct
only indexed, because the effect area of each pencil beam aperture optimization based on a genetic algorithm and
was very small; (2) the apertures in the new generation conjugate gradient was studied, which can obtain an
were produced through crossover and mutation of the implemented aperture shape as well as the corresponding
parent individuals, so the differences between the parent MU according to requirements of the doctors. A clinical
individuals and the child individuals were used to calculate nasopharyngeal carcinoma case was used to test the method
the objective function of the next generation individuals, in the computer (CPU E7200@2.53GHz, 2.00 GB RAM,
which were then subtracted the contribution of the pencil Windows XP), the optimized results were compared with
beam if leaf became closed from open, and if the leaf that using the conventional “two-step” method. It had been
became open from closed, the contribution of the pencil proven that under the same plan quality, the total number of
beam will be added, thereby averting the multiply of apertures and MU using direct aperture optimization was
matrix. far fewer than using the “two-step method”. Besides, the
entire DAO process taking about 10 minutes (eight minutes
RESULTS
and 10 seconds for the test used in this paper) for a general
clinical case, it can be clinically accepted. Therefore, the
In order to verify the effectiveness of DAO the paper
method proposed by this paper would be efficient and time
adopted, a clinical nasopharyngeal carcinoma was used to
saving during the treatment.
test the method. The results were compared with that of
conventional IMRT plan design in which a leaf sequencing
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