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www.myreaders.info/ , RC Chakraborty, e-mail rcchak@gmail.com , Aug. 10, 2010

http://www.myreaders.info/html/soft_computing.html
www.myreaders.info

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Genetic Algorithms & Modeling : Soft Computing Course Lecture 37 40, notes, slides

Return to Website

Genetic Algorithms & Modeling

Soft Computing
Genetic algorithms & Modeling, topics

: Introduction, why genetic

algorithm? search optimization methods, evolutionary algorithms

(EAs),

genetic algorithms (GAs) - biological background, working

principles;

basic

Programming.

genetic

Encoding

permutation

encoding,

algorithm

random

algorithm,
:
tree

binary

flow
encoding,

encoding.

population,

chart

value

Operators

reproduction

for

or

Genetic
encoding,

of

genetic

selection

roulette wheel selection, Boltzmann selection; Fitness function;

Crossover

one-point

crossover,

two-point

crossover,

uniform

crossover, arithmetic, heuristic; Mutation - flip bit, boundary,

Gaussian, non-uniform, and uniform; Basic genetic algorithm :
examples - maximize function f(x) = x2 and two bar pendulum.

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Genetic Algorithms & Modeling

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Soft Computing

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Topics
37, 38, 39, 40

4 hours)

Slides

(Lectures

03-23

1. Introduction

What are Genetic Algorithms and why Genetic Algorithm? Search

optimization

methods;

Evolutionary

Algorithms

(EAs),

Genetic

Algorithms (GAs) : Biological background, Working principles, Basic

Genetic Algorithm, Flow chart for Genetic Programming.
24-29

2. Encoding

Binary

Encoding,

Value

Encoding,

Permutation

Encoding,

Tree

Encoding.
30-43

3. Operators of Genetic Algorithm

Random population, Reproduction or Selection : Roulette wheel

selection, Boltzmann selection; Fitness function; Crossover: One-point
crossover,

Two-point

crossover,

Uniform

crossover,

Arithmetic,

Heuristic; Mutation: Flip bit, Boundary, Gaussian, Non-uniform, and

Uniform;
4. Basic Genetic Algorithm

44-49

Examples : Maximize function f(x) = x2 and Two bar pendulum.

5. References
02

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What are GAs ?

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Genetic Algorithms & Modeling

Genetic Algorithms (GAs) are adaptive heuristic search algorithm based

on the evolutionary ideas of natural selection and genetics.

Genetic algorithms (GAs) are a part of Evolutionary computing, a rapidly

growing area of artificial intelligence. GAs are inspired by Darwin's
theory about evolution - "survival of the fittest".

GAs represent an intelligent exploitation of a random search used to

solve optimization problems.

GAs, although randomized, exploit historical information to direct the

search into the region of better performance within the search space.

In nature, competition among individuals for scanty resources results

in the fittest individuals dominating over the weaker ones.
03

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SC GA - Introduction

Solving problems mean looking for solutions, which is best among others.

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1. Introduction

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Finding the solution to a problem is often thought :

In computer science and AI, as a process of search through the space of

possible solutions. The set of possible solutions defines the search space
(also called state space) for a given problem. Solutions or partial solutions
are viewed as points in the search space.
In

engineering and mathematics, as a process of optimization. The

problems are first formulated as mathematical models expressed in terms

of functions and then to find a solution, discover the parameters that
optimize the model or the function components that provide optimal
system performance.
04

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SC GA - Introduction

It is better than conventional AI ; It is more robust.

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Why Genetic Algorithms ?

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- unlike older AI systems, the GA's do not break easily even if the

inputs changed slightly, or in the presence of reasonable noise.

- while performing search in large state-space, multi-modal state-space,
or n-dimensional surface, a genetic algorithms offer significant benefits
over many other typical search optimization techniques like - linear
programming, heuristic, depth-first, breath-first.
"Genetic Algorithms are good at taking large, potentially huge search
spaces and navigating them, looking for optimal combinations of things,
the solutions one might not otherwise find in a lifetime.
Mangano Computer Design, May 1995.
05

Salvatore

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SC GA - Introduction

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1.1 Optimization
Optimization is a process that finds a best, or optimal, solution for a

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problem. The Optimization problems are centered around three factors :

An objective function : which is to be minimized or maximized;

Examples:
1. In manufacturing, we want to maximize the profit or minimize
the cost .
2. In designing an automobile panel, we want to maximize the
strength.
A set of unknowns or variables : that affect the objective function,

Examples:
1. In manufacturing, the variables are amount of resources used or
the time spent.
2. In panel design problem, the variables are shape and dimensions of
the panel.
A set of constraints :

that allow the unknowns to take on certain

values but exclude others;

Examples:
1. In manufacturing, one constrain is, that all "time" variables to
be non-negative.
2

In the panel design, we want to limit the weight and put

constrain on its shape.

An optimization problem is defined as :

that

minimize

the constraints.
06

or

maximize

the

Finding values of the variables

objective

function

while

satisfying

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SC GA - Introduction

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Optimization Methods
Many optimization methods exist and categorized as shown below.

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The

suitability

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characteristics

of

method

depends

on

one

or

more

problem

to be optimized to meet one or more objectives like :

low cost,
high performance,
low loss

These

characteristics

are

not

necessarily

obtainable,

and

requires

knowledge about the problem.

Optimization
Methods

Linear
Programming

Non-Linear
Programming

Classical
Methods

Enumerative
Methods

Stochastic
Methods

Fig. Optimization Methods

Each of these methods are briefly discussed indicating the nature of

the problem they are more applicable.
07

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SC GA - Introduction

Linear Programming

Intends to obtain the optimal solution to problems

that

are

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perfectly represented by a set of linear equations; thus require

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a priori knowledge of the problem. Here the

the functions to be minimized or maximized, is called objective

functions,
the set of linear equations are called restrictions.
the optimal solution,

is the one

that

minimizes (or maximizes)

the objective function.

Example : Traveling salesman, seeking a minimal traveling distance.
08

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SC GA - Introduction

Non- Linear Programming

Intended for problems described by non-linear equations.

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The methods are divided in three large groups:

Enumerative

and

Stochastic.

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Classical,

Classical search uses deterministic approach to find best solution.

These methods requires knowledge of gradients or higher order

derivatives.

In

many practical problems, some desired information

are not available, means deterministic algorithms are inappropriate.

The techniques are subdivide into:
Direct methods, e.g. Newton or Fibonacci
Indirect methods.

Enumerative search

goes through every point (one point at a

time ) related to the function's domain space.

possible solutions are generated and

tested

At each point, all

to

find

optimum

solution. It is easy to implement but usually require significant

computation. In the field of artificial intelligence,

the

enumerative

methods are subdivided into two categories:

Uninformed methods, e.g. Mini-Max algorithm
Informed methods, e.g. Alpha-Beta and A* ,

Stochastic search deliberately introduces randomness into the search

process. The injected randomness may provide the necessary impetus

to move away from a local solution when searching for a global
optimum. e.g., a gradient vector criterion for smoothing problems.
Stochastic methods offer robustness quality to optimization process.
Among the stochastic techniques, the most widely used are :
Evolutionary Strategies (ES),
Genetic Algorithms (GA), and
Simulated Annealing (SA).

The ES and GA emulate natures evolutionary behavior, while SA is

based on the physical process of annealing a material.
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SC GA - Introduction

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1.2 Search Optimization

Among the three Non-Linear search methodologies, just mentioned

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in the previous slide, our immediate concern is Stochastic search

ha

which means

Evolutionary Strategies (ES),

Genetic Algorithms (GA), and
Simulated Annealing (SA).

The two other search methodologies, shown below, the Classical

and

the Enumerative methods, are first briefly explained. Later the Stochastic
methods are discussed in detail. All these methods belong to NonLinear search.
Search
Optimization

Classical
Search

Evolutionary
Strategies
(ES)
Fig
10

Enumerative
Search

Stochastic Search
(Guided Random Search)

Genetic
Algorithms
(GA)

Simulated
Annealing
(ES)

Non- Linear search methods

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SC GA - Introduction

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Classical or Calculus based search

Uses deterministic approach to find best solutions of an optimization

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problem.

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the solutions satisfy a set of necessary and sufficient conditions

the optimization problem.

the techniques are subdivide into direct and indirect methods.

Direct or Numerical methods :

example : Newton or Fibonacci,
tries to find extremes by "hopping" around the search space

and

assessing

the

gradient

of

the

new point, which

guides the search.

applies

the

concept of "hill climbing", and finds the best

local point by climbing the steepest permissible gradient.

used only on a restricted set of "well behaved" functions.

Indirect methods :
does search for local extremes by solving usually non-linear

set of equations resulting from setting the gradient of the

objective function to zero.
does search for possible solutions (function peaks), starts by

restricting itself to points with zero slope in all directions.

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SC GA - Introduction

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Enumerative Search
Here the search goes through every point (one point at a time) related

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to the function's domain space.

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At each point, all possible solutions are generated and tested to find

optimum solution.
It is easy to implement but usually require significant computation.

Thus

these techniques are not suitable for applications with large

domain spaces.
In the field of artificial intelligence, the

enumerative

methods

are

subdivided into two categories : Uninformed and Informed methods.

Uninformed or blind methods :

example: Mini-Max algorithm,
search all points in the space in a predefined order,
used in game playing.

Informed methods :
example: Alpha-Beta and A* ,
does more sophisticated search
uses

domain specific knowledge in the form of a cost

function or heuristic to reduce cost for search.

Next slide shows, the taxonomy of enumerative search in AI domain.
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SC GA - Introduction

[Ref : previous slide Enumerative search]

The Enumerative search techniques follows, the traditional search and

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or

control strategies, in the domain of Artificial Intelligence.

the search methods explore the search space "intelligently";

means

evaluating possibilities without investigating every single possibility.

there are many control structures for search; the depth-first search

and breadth-first search are two common search strategies.

the taxonomy of search algorithms in AI domain is given below.

Enumerative Search
G (State, Operator, Cost)
No h(n) present

User heuristics h(n)

Informed Search

Uninformed Search
LIFO Stack

Depth-First
Search

Breadth-First
Search

Impose fixed
depth limit

Depth
Limited
Search

Cost-First
Search

Fig.

Hill
Climbing

Problem
Reduction

Constraint
satisfaction

Priority Queue:
f(n)=h(n)+g(n

A* Search

Iterative
Deepening
DFS

Generate
-and-test

Priority
Queue: h(n)

Best first
search

Gradually increase
fixed depth limit

13

Priority
Queue: g(n)

FIFO

AO* Search

Enumerative Search Algorithms in AI Domain

Mean-endanalysis

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SC GA - Introduction

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Stochastic Search
Here

the

search

methods,

include

heuristics

and

an

element

of

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randomness (non-determinism) in traversing the search space. Unlike

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the previous two search methodologies

the

stochastic search algorithm moves from one point to another in

the search space in a non-deterministic manner, guided by heuristics.

the stochastic search techniques are usually called

Guided random

search techniques.
The stochastic search techniques are grouped into two major subclasses :
Simulated annealing

and

Evolutionary algorithms.

Both these classes follow the principles of evolutionary processes.

Simulated annealing (SAs)

uses

thermodynamic

evolution

process

to

search

minimum energy states.

Evolutionary algorithms (EAs)

use natural selection principles.
the search evolves throughout generations, improving the

features of potential solutions

by means of

biological

inspired operations.
Genetic

Algorithms (GAs)

are a good example of this

technique.
The next slide shows, the

taxonomy of evolutionary search algorithms.

It includes the other two search, the Enumerative search and Calculus
based

techniques,

for

better

methodologies in its entirety.

14

understanding

of

Non-Linear

search

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SC GA - Introduction

Fig. below shows different types of Search Optimization algorithms.

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Taxonomy of Search Optimization

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Search
Optimization

Calculus
Based
Techniques
Indirect
method

Direct
method

Newton

Tabu
Search

Enumerative
Techniques

Guided Random Search

techniques

Uninformed
Search

Informed
Search

Finonacci

Hill
Climbing

Simulated
Annealing

Evolutionary
Algorithms

Genetic
Programming

Genetic
Algorithms

Fig. Taxonomy of Search Optimization techniques

We are interested in Evolutionary search algorithms.

Our main concern is to understand the evolutionary algorithms :
- how to describe the process of search,
- how to implement and carry out search,
- what are the elements required to carry out search,
- the different search strategies
The Evolutionary Algorithms include :
- Genetic Algorithms
- Genetic Programming
15

and

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SC GA - Introduction

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1.3 Evolutionary Algorithm (EAs)

Evolutionary Algorithm (EA) is a subset of Evolutionary Computation (EC)

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which is a subfield of Artificial Intelligence (AI).

Evolutionary

Computation

(EC)

is

general

term

for

several

computational techniques. Evolutionary Computation represents powerful

search and optimization paradigm influenced by biological mechanisms of
evolution : that of natural selection and genetic.
Evolutionary Algorithms (EAs)

refers to

Evolutionary Computational

models using randomness and genetic inspired operations.

EAs

involve selection, recombination, random variation and competition of the

individuals in a population of adequately represented potential solutions.
The candidate solutions are referred as chromosomes or individuals.
Genetic Algorithms (GAs) represent the main paradigm of

Evolutionary

Computation.
- GAs simulate natural evolution, mimicking processes the nature uses :

Selection, Crosses over, Mutation and Accepting.

- GAs

simulate the survival of the fittest among individuals over

consecutive generation for solving a problem.

Development History

EC

16

GP

ES

EP

GA

Evolutionary
Computing

Genetic
Programming

Evolution
Strategies

Evolutionary
Programming

Genetic
Algorithms

Rechenberg
1960

Koza
1992

Rechenberg
1965

Fogel
1962

Holland
1970

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SC GA - Introduction

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1.4 Genetic Algorithms (GAs) - Basic Concepts

Genetic

algorithms

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computing.

(GAs)

are

the

main

paradigm

of

evolutionary

GAs are inspired by Darwin's theory about evolution the

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"survival of the fittest". In nature, competition among individuals for

scanty resources results in the fittest individuals dominating over the

weaker ones.
GAs

are the ways of solving problems by mimicking processes nature

uses; ie., Selection, Crosses over, Mutation and Accepting, to evolve a

solution to a problem.
GAs

are

adaptive heuristic search

based on the evolutionary ideas

of natural selection and genetics.

GAs are intelligent exploitation of random search used in optimization

problems.
GAs, although randomized, exploit historical information to direct the

search into the region of better performance within the search space.
The biological background (basic genetics), the scheme of evolutionary
processes, the working principles and the steps involved in GAs are
illustrated in next few slides.
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SC GA - Introduction

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Biological Background Basic Genetics

Every organism has a set of rules, describing how that organism

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is built. All living organisms consist of cells.

In each cell there is same set of chromosomes.

Chromosomes are

strings of DNA and serve as a model for the whole organism.

A chromosome consists of genes, blocks of DNA.
Each

gene encodes a particular protein that represents a trait

(feature), e.g., color of eyes.

Possible settings for a trait (e.g. blue, brown) are called alleles.
Each gene has its own position in the chromosome called its locus.
Complete set of genetic material (all chromosomes) is called a
genome.
Particular set of genes in a genome is called genotype.
The physical expression of the genotype (the organism itself after

birth) is called the phenotype, its physical and mental characteristics,

such as eye color, intelligence etc.
When two organisms mate they share their genes; the resultant

offspring may end up having half the genes from one parent and half
from the other. This process is called recombination (cross over) .
The new created offspring can then be mutated. Mutation means,

that the elements of DNA are a bit changed. This changes are mainly
caused by errors in copying genes from parents.
The fitness of an organism is measured by success of the organism

in its life (survival).

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SC GA - Introduction

[ continued from previous slide - Biological background ]

Below shown,

the

general scheme of evolutionary process

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along with pseudo-code.

Parents
Initialization

Parents
Recombination

Population
Mutation
Termination

Offspring
Survivor

Fig. General Scheme of Evolutionary process

Pseudo-Code
BEGIN
INITIALISE population with random candidate solution.
EVALUATE

each candidate;

REPEAT UNTIL (termination condition ) is satisfied DO

1. SELECT parents;
2. RECOMBINE pairs of parents;
3. MUTATE the resulting offspring;
4. SELECT individuals or the next generation;
END.
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in genetic

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SC GA - Introduction

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Search Space
In solving problems, some solution will be the best among others.

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The space of all feasible solutions (among which the desired solution

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resides) is called search space (also called state space).

Each point in the search space represents one possible solution.

Each possible solution can be "marked"

by

its value (or fitness) for

the problem.
The GA looks for the best solution among a number of possible

solutions represented by one point in the search space.

Looking for a solution is then equal to looking for some extreme value

(minimum or maximum) in the search space.

At times the search space may be well defined, but usually only a few

points in the search space are known.

In using GA, the process of finding solutions generates other points
(possible solutions) as evolution proceeds.
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SC GA - Introduction

Before getting into GAs, it is necessary to explain few terms.

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Working Principles

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Chromosome : a set of genes; a chromosome contains the solution in

form of genes.
Gene :

a part of chromosome; a gene contains a part of solution. It

determines the solution.

e.g. 16743 is a chromosome and 1, 6, 7, 4

and 3 are its genes.

Individual : same as

chromosome.

Population:

of

number

individuals

present

with

same

length

of

chromosome.
Fitness :

the value assigned to an individual

based

on how far or

close a individual is from the solution; greater the fitness value better
the solution it contains.
Fitness function : a function that assigns fitness value to the individual.

It is problem specific.
Breeding : taking two fit individuals and then intermingling there

chromosome to create new two individuals.

Mutation :

changing a random gene in an individual.

Selection : selecting individuals for creating the next generation.

Working principles :
Genetic algorithm begins with a set of solutions (represented by
chromosomes) called the population.
Solutions from one population are taken and used to form a new

population. This is motivated by the possibility that the new population

will be better than the old one.
Solutions are selected according to their fitness to form new solutions

(offspring); more suitable they are, more chances they have to

reproduce.
This is repeated until some condition (e.g. number of populations or

improvement of the best solution) is satisfied.

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SC GA - Introduction

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Outline of the Basic Genetic Algorithm

[Start] Generate random population of n chromosomes (i.e. suitable

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solutions for the problem).

[Fitness] Evaluate the fitness f(x) of each chromosome x in the

2.

population.
3.

[New population] Create

a new population by repeating following

steps until the new population is complete.

(a) [Selection] Select two parent chromosomes from a population
according to their fitness (better the fitness, bigger the chance to
be selected)
(b) [Crossover] With a crossover probability, cross over the parents
to form new offspring (children). If no crossover was performed,
offspring is the exact copy of parents.
(c) [Mutation] With a mutation probability, mutate new offspring at
each locus (position in chromosome).
(d) [Accepting] Place new offspring in the new population
4.

[Replace] Use new generated population for a further run of the

algorithm

5.

[Test] If the end condition is satisfied, stop, and return the best
solution in current population

6.

[Loop] Go to step 2

Note : The genetic algorithm's

performance is largely influenced by two

operators called crossover and mutation. These two operators are the
most important parts of GA.
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SC GA - Introduction

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Flow chart for Genetic Programming

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Start

Seed Population
Generate N individuals Genesis
Scoring : assign fitness
to each individual

Natural
Selection

Select two individuals

(Parent 1 Parent 2)

No
Reproduction
Recombination

Use crossover operator

to produce off- springs

Crossover

Scoring : assign fitness

to off- springs

Crossover
Finished?

Yes

Survival of Fittest
Apply replacement
operator to incorporate
new individual into
population

Yes

No

Natural
Selection

Select one off-spring

Mutation

Apply Mutation operator

to produce Mutated
offspring

No
Terminate?

Yes

Mutation
Finished?

Scoring : assign
fitness to off- spring

Finish

Fig. Genetic Algorithm program flow chart

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SC GA - Encoding

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2. Encoding
Before a genetic algorithm can be put to work on any problem, a method is

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needed to encode potential solutions to that problem in a form so that a

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computer can process.

One common approach is to encode solutions as binary strings: sequences

of 1's and 0's, where the digit at each position represents

the

value of

some aspect of the solution.

Example :

A Gene represents some data (eye color, hair color, sight, etc.).
A chromosome is an array of genes. In binary form
a Gene looks like :

(11100010)

a Chromosome looks like: Gene1

Gene2

Gene3

Gene4

(11000010, 00001110, 001111010, 10100011)

A chromosome should in some way contain information about solution

which it represents; it thus requires encoding. The most popular way of
encoding is a binary string like :
Chromosome 1 : 1101100100110110
Chromosome 2 : 1101111000011110

Each bit in the string represent some characteristics of the solution.

There are many other ways of encoding, e.g., encoding values as integer or

real numbers or some permutations and so on.

The virtue of these encoding method depends on the problem to work on .
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SC GA - Encoding

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Binary Encoding
Binary encoding is the most common to represent information contained.

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In genetic algorithms, it was first used because of its relative simplicity.

In binary encoding, every chromosome is a string of bits : 0 or 1, like

Chromosome 1:

101100101100101011100101

Chromosome 2:

111111100000110000011111

Binary encoding gives many possible chromosomes even with a small

number of alleles ie possible settings for a trait (features).

This encoding is often not natural for many problems and sometimes

corrections must be made after crossover and/or mutation.

Example 1:

One variable function,

say

0 to 15

numbers, numeric values,

represented by 4 bit binary string.

25

Numeric
value

4bit
string

Numeric
value

4bit
string

Numeric
value

4bit
string

0000

0110

12

1100

0001

0111

13

1101

0010

1000

14

1110

0011

1001

15

1111

0100

10

1010

0101

11

1011

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SC GA - Encoding

[ continued binary encoding ]

Example 2 :

Two variable function represented by 4 bit string for each variable.

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Let two variables X1 , X2

as

0110) .

(1011

Every variable will have both upper and lower limits as X iL

Xi

Xi

Because 4-bit string can represent integers from 0 to 15,

so (0000 0000) and (1111 1111) represent the points for X1 , X2 as
( X 1L ,

X2

and

( X1

, X2

respectively.

Thus, an n-bit string can represent integers from

0 to 2n -1, i.e. 2n integers.
Binary Coding
2

10

Remainder

Equivalent integer
1

Decoded binary substring

Let Xi is coded as a substring

0x 2

1x 2

0x 2
1x 2

0
1
2
3

Si of length ni. Then decoded

= 0

binary substring Si is as

= 2

K=ni - 1

= 0

2k

= 8
10

Sk

k=0
where Si can be 0 or 1 and the
string S is represented as
Sn-1 . . . . S3 S2 S1 S0

Example : Decoding value

Consider a 4-bit string (0111),

the decoded value is equal to
23 x 0 +
L

Knowing X i

22 x 1 + 2 1 x 1

and X iU

+ 20 x 1 = 7

corresponding to (0000) and (1111) ,

the equivalent value for any 4-bit string can be obtained as

L

Xi

L
=X i

(X i
Xi
)
+ --------------( 2ni 1 )
L

For e.g. a variable Xi ; let X i

(decoded value of string)

U

= 2 , and X i

= 17, find what value the

4-bit string Xi = (1010) would represent. First get decoded value for
Si = 1010 = 23 x 1 + 22 x 0 + 21 x 1 + 20 x 0 = 10

then

(17 -2)
Xi = 2 + ----------- x 10 = 12
(24 - 1)

The accuracy obtained with a 4-bit code is 1/16 of search space.

By increasing the string length by 1-bit , accuracy increases to 1/32.
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Value Encoding
The Value encoding can be used in problems where values such as real

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numbers

are

used. Use of binary encoding for this type of problems

ha

would be difficult.
1. In value encoding, every chromosome is a sequence of some values.
2. The Values can be anything connected to the problem, such as :

real numbers, characters or objects.

Examples :
Chromosome A

1.2324 5.3243 0.4556 2.3293 2.4545

Chromosome B

ABDJEIFJDHDIERJFDLDFLFEGT

Chromosome C

(back), (back), (right), (forward), (left)

3. Value encoding is often necessary

to develop some new types of

crossovers and mutations specific for the problem.

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Permutation Encoding
Permutation encoding can be used in ordering problems, such as traveling

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salesman problem or task ordering problem.

ha

1. In permutation encoding, every chromosome is a string of numbers

that represent a position in a sequence.

Chromosome A

1 5 3 2 6 4 7 9 8

Chromosome B

8 5 6 7 2 3 1 4 9

2. Permutation encoding is useful for ordering problems. For some

problems, crossover and mutation corrections must be made to
leave the chromosome consistent.
Examples :

1. The Traveling Salesman problem:

There are cities and given distances between them. Traveling
salesman has to visit all of them, but he does not want to travel more
than necessary. Find a sequence of cities with a minimal traveled
distance. Here, encoded chromosomes describe the order of cities the
salesman visits.
2. The Eight Queens problem :
There are eight queens. Find a way to place them on a chess board
so

that

no

two queens

attack

each

other.

describes the position of a queen on each row.

28

Here, encoding

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Tree Encoding
Tree encoding is used mainly for evolving programs or expressions.

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For genetic programming :

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In tree encoding, every chromosome is a tree of some objects, such as

functions or commands in programming language.

Tree encoding is useful for evolving programs or any other structures

that can be encoded in trees.

The crossover and mutation can be done relatively easy way .

Example :
Chromosome A
+
x

Chromosome

do untill

/
step
5

wall

(+ x(/ 5y))

( do until step wall )

Fig. Example of Chromosomes with tree encoding

Note : Tree encoding is good for evolving programs. The programming

language LISP is often used. Programs in LISP can be easily parsed as a
tree, so the crossover and mutation is relatively easy.
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3. Operators of Genetic Algorithm

Genetic operators used in genetic algorithms maintain genetic diversity.

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Genetic diversity or variation is a necessity for the process of evolution.

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Genetic operators are analogous to those which occur in the natural world:

Reproduction (or Selection) ;

Crossover (or Recombination); and
Mutation.

In addition to these operators, there are some parameters of GA.

One important parameter is Population size.
Population size says how many chromosomes are in population (in one

generation).
If there are only few chromosomes, then

GA would have a few possibilities

to perform crossover and only a small part of search space is explored.

If there are many chromosomes, then GA slows down.
Research shows that after some limit, it is not useful to increase population

size, because it does not help in solving the problem faster. The population
size depends on the type of encoding and the problem.
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3.1 Reproduction, or Selection

Reproduction

is

usually

the first operator applied on population. From

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the population, the chromosomes are selected to be parents to crossover

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and produce offspring.

The problem is how to select these chromosomes ?

According to Darwin's evolution theory "survival of the fittest" the best

ones should survive and create new offspring.
The Reproduction operators are also called Selection operators.
Selection means extract a subset of genes from an existing population,

according to any definition of quality. Every gene has a meaning, so

one can derive from the gene a kind of quality measurement called
fitness function. Following this quality (fitness value), selection can be

performed.
Fitness function quantifies the optimality of a solution (chromosome) so

that a particular solution may be ranked against all the other solutions.
The function depicts the closeness of a given solution to the desired
result.
Many reproduction operators exists and they all essentially do same thing.
They pick from current population the strings of above average and insert
their multiple copies in the mating pool in a probabilistic manner.
The most commonly used methods of selecting chromosomes for parents
to crossover are :
Roulette wheel selection,

Rank selection

Boltzmann selection,

Steady state selection.

Tournament selection,

The Roulette wheel and Boltzmann selections methods are illustrated next.
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Example of Selection
Evolutionary Algorithms is to maximize the function f(x) = x2 with x in
x = 0, 1, . . . 30, 31.

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the integer interval [0 , 31], i.e.,

1. The first step is encoding of chromosomes; use binary representation

for integers; 5-bits are used to represent integers up to 31.

2. Assume that the population size is 4.
3. Generate

initial population at random. They are chromosomes or

genotypes;

e.g., 01101, 11000, 01000, 10011.

4. Calculate fitness value for each individual.

(a) Decode the individual into an integer (called phenotypes),
01101 13;

11000 24;

01000 8;

10011 19;

(b) Evaluate the fitness according to f(x) = x2 ,

13 169;

24 576;

8 64;

19 361.

5. Select parents (two individuals) for crossover based on their fitness

in pi. Out of many methods for selecting the best chromosomes, if
roulette-wheel selection is used, then the probability of the i

in the population is

pi = F i / (

Fj ) ,

th

string

where

j=1

F i is fitness for the string i in the population, expressed as f(x)

pi

is probability of the string i being selected,

is no of individuals in the population, is population size, n=4

n * pi is expected count
String No

Initial
Population

X value

Fitness Fi
f(x) = x2

pi

Expected count
N * Prob i

01101

13

169

0.14

0.58

11000

24

576

0.49

1.97

01000

64

0.06

0.22

10011

19

361

0.31

1.23

Sum

1170

1.00

4.00

Average

293

0.25

1.00

Max

576

0.49

1.97

The string no 2 has maximum chance of selection.

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Roulette wheel selection (Fitness-Proportionate Selection)

Roulette-wheel selection, also known as Fitness Proportionate Selection, is

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a genetic operator, used for selecting potentially useful solutions for

recombination.
In fitness-proportionate selection :
the chance of an individual's being

selected is proportional to its

fitness, greater or less than its competitors' fitness.

conceptually, this can be thought as a game of Roulette.

The

1
5%

individuals

2
9%

20%

Roulette-wheel
with

simulates

fitness

8
Fi,

values

marked at its circumference; e.g.,

the 5

3
13%

th

individual

has

higher

fitness than others, so the wheel

8%

would

the 5th

choose

individual

more than other individuals .

6
8%

the

17%

n = 8

th

times,

the

the

individuals

wheel

is

is

spun

each time selecting

an instance, of the string, chosen

Fig. Roulette-wheel Shows 8

individual with fitness
i

of

calculated as

20%

Probability of

fitness

by the wheel pointer.

n

string is pi = F i / (

F j ) , where

j=1

n = no of individuals, called population size; pi = probability of ith

string being selected; Fi = fitness for ith string
Because
a

string's

make

F
F

the circumference of the wheel is marked according to

fitness,

the

Roulette-wheel mechanism is expected

copies of the ith string.

Average fitness =

F Fj/ n

N=5

Cumulative Probability5 =

33

in the population.

i=1

pi

Expected count = (n =8 ) x pi

to

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Simulated annealing is a method used to minimize or maximize a function.

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Boltzmann Selection

ha

kr

This method simulates the process of slow cooling of molten metal to

achieve the minimum function value in a minimization problem.

The cooling

phenomena is simulated by controlling a temperature like

parameter introduced with the concept of Boltzmann probability

distribution.
The system in thermal equilibrium at a temperature T has its energy

distribution based on the probability defined by

P(E) = exp ( - E / kT )
This expression suggests

were k is Boltzmann constant.

that a system at a higher temperature has

almost uniform probability at any energy state, but at

lower

temperature it has a small probability of being at a higher energy state.

Thus, by controlling the temperature T and assuming that the search

process follows Boltzmann probability distribution, the convergence of

the algorithm is controlled.
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3.2 Crossover
Crossover is a genetic operator that combines (mates) two chromosomes

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(parents) to produce a new chromosome (offspring). The idea behind

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crossover is that the new chromosome may be better than both of the

parents if it takes the best characteristics from each of the parents.

Crossover occurs during evolution according to a user-definable crossover
probability. Crossover selects genes from parent chromosomes and
creates a new offspring.
The Crossover operators are of many types.
one simple way is, One-Point crossover.
the others are Two Point, Uniform, Arithmetic, and Heuristic crossovers.

The operators are selected based on the way chromosomes are encoded.
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One-Point Crossover
One-Point crossover operator randomly selects one crossover point and

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then copy everything before this point from the first parent and then

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everything after

the crossover point copy from the second parent. The

Crossover would then look as shown below.

Consider the two parents selected for crossover.
Parent 1

11011|00100110110

Parent 2

11011|11000011110

Interchanging the parents chromosomes after the crossover points The Offspring produced are :
Offspring 1

11011|11000011110

Offspring 2

11011|00100110110

Note : The symbol, a vertical line, | is the chosen crossover point.

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Two-Point Crossover
Two-Point crossover operator randomly selects two crossover points within

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a chromosome then interchanges the two parent chromosomes between

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these points to produce two new offspring.

Consider the two parents selected for crossover :
Parent 1

11011|0010011|0110

Parent 2

11011|1100001|1110

Interchanging the parents chromosomes between the crossover points The Offspring produced are :

37

Offspring 1

11011|0010011|0110

Offspring 2

11011|0010011|0110

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Uniform Crossover
Uniform crossover operator decides (with some probability know as the

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mixing ratio) which parent will contribute how the gene values in the

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offspring

chromosomes.

The

crossover

operator

allows

the

parent

chromosomes to be mixed at the gene level rather than the segment

level (as with one and two point crossover).
Consider the two parents selected for crossover.
Parent 1

1 1 0 1 1 0 0 1 0 0 1 1 0 1 1 0

Parent 2

1 1 0 1 1 1 1 0 0 0 0 1 1 1 1 0

If the mixing ratio is 0.5 approximately, then half of the genes in the
offspring will come from parent 1 and other half will come from parent 2.
The possible set of offspring after uniform crossover would be:
Offspring 1

1 1 1 2 0 2 1 1 1 1 12 12 0 2 0 1 0 1 0 2 1 1 1 2 1 1 1 1 02

Offspring 2

1 2 1 1 0 1 1 2 1 2 01 01 1 1 0 2 0 2 1 1 1 2 0 1 1 2 1 2 01

Note: The subscripts indicate which parent the gene came from.
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Arithmetic
Arithmetic crossover operator linearly combines two parent chromosome

ha

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vectors to produce two new offspring according to the equations:

Offspring1 = a * Parent1 + (1- a) * Parent2

Offspring2 = (1 a) * Parent1 + a * Parent2

where a is a random weighting factor chosen before each crossover

operation.
Consider two parents (each of 4 float genes) selected for crossover:
Parent 1

(0.3)

(1.4)

(0.2)

(7.4)

Parent 2

(0.5)

(4.5)

(0.1)

(5.6)

Applying

the

above

two

equations

and

assuming

the

weighting

factor a = 0.7, applying above equations, we get two resulting offspring.

The possible set of offspring after arithmetic crossover would be:
Offspring 1
Offspring 2
39

(0.36)

(2.33)

(0.17)

(6.87)

(0.402) (2.981) (0.149) (5.842)

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Heuristic
Heuristic crossover operator uses the fitness values of the two parent

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chromosomes to determine the direction of the search.

The offspring are created according to the equations:

Offspring1 = BestParent + r * (BestParent WorstParent)
Offspring2 = BestParent

where r is a random number between 0 and 1.

It is possible that offspring1 will not be feasible. It can happen if

is

chosen such that one or more of its genes fall outside of the allowable
upper or lower bounds. For this reason, heuristic crossover has a user
defined parameter n for the number of times to try and find an r
that results in a feasible chromosome. If a feasible chromosome is not
produced after n tries, the worst parent is returned as offspring1.
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3.3 Mutation
After a crossover is performed, mutation takes place.

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Mutation is a genetic operator used to maintain genetic diversity from

ha

one generation of a population of chromosomes to the next.

Mutation occurs during evolution according to a user-definable mutation
probability, usually set to fairly low value, say 0.01 a good first choice.
Mutation alters one or more gene values in a chromosome from its initial
state. This can result in entirely new gene values being added to the
gene pool. With the new gene values, the genetic algorithm may be able
to arrive at better solution than was previously possible.
Mutation is an important part of the genetic search, helps to prevent the
population from stagnating at any local optima. Mutation is intended to
prevent the search falling into a local optimum of the state space.
The Mutation operators are of many type.
one simple way is, Flip Bit.
the others are Boundary, Non-Uniform, Uniform, and Gaussian.

The operators are

encoded .
41

selected

based

on

the

way

chromosomes

are

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Flip Bit
The mutation operator simply inverts the value of the chosen gene.

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i.e. 0

goes to 1

and

1 goes to 0.

ha

This mutation operator can only be used for binary genes.

Consider the two original off-springs selected for mutation.
Original offspring 1

1 1 0 1 1 1 1 0 0 0 0 1 1 1 1 0

Original offspring 2

1 1 0 1 1 0 0 1 0 0 1 1 0 1 1 0

Invert the value of the chosen gene as 0 to 1

and

1 to 0

The Mutated Off-spring produced are :

42

Mutated offspring 1

1 1 0 0 1 1 1 0 0 0 0 1 1 1 1 0

Mutated offspring 2

1 1 0 1 1 0 1 1 0 0 1 1 0 1 0 0

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Boundary
The mutation operator replaces the value of the chosen gene with either

ab

or

the upper or lower bound for that gene (chosen randomly).

ha

kr

This mutation operator can only be used for integer and float genes.

Non-Uniform
The mutation operator increases the probability such that the amount of
the mutation will be close to 0 as the generation number increases. This
mutation operator prevents the population from stagnating in the early
stages of the evolution then allows the genetic algorithm to fine tune the
solution in the later stages of evolution.
This mutation operator can only be used for integer and float genes.

Uniform
The mutation operator replaces the value of the chosen gene with a
uniform random value selected between the user-specified upper and
lower bounds for that gene.
This mutation operator can only be used for integer and float genes.

Gaussian
The mutation operator adds a unit Gaussian distributed random value to
the chosen gene. The new gene value is clipped if it falls outside of the
user-specified lower or upper bounds for that gene.
This mutation operator can only be used for integer and float genes.
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4. Basic Genetic Algorithm :

Examples to demonstrate and explain : Random population, Fitness, Selection,

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Crossover, Mutation, and Accepting.

Example 1 :

Maximize the function f(x) = x2 over the range of integers from 0 . . . 31.
Note : This function could be solved by a variety of traditional methods
such as

a hill-climbing algorithm which uses the derivative.

One way is to :
Start from any integer x in the domain of f
Evaluate at this point x the derivative f
Observing that the derivative is +ve,

pick a new x which is at a small

distance in the +ve direction from current x

Repeat until x = 31

See, how a genetic algorithm would approach this problem ?

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Genetic Algorithm approach to problem - Maximize the function f(x) = x2

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SC GA - Examples

[ continued from previous slide ]

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ab

1. Devise a means to represent a solution to the problem :

ha

Assume, we represent x with five-digit unsigned binary integers.

2. Devise a heuristic for evaluating the fitness of any particular solution :

The function f(x) is simple, so it is easy to use the f(x) value itself to rate
the fitness of a solution;

else we might have considered a more simpler

heuristic that would more or less serve the same purpose.

3. Coding - Binary and the String length :

GAs often process binary representations of solutions. This works well,

because crossover and mutation can be clearly defined for binary solutions.
A Binary string of length 5 can represents 32 numbers (0 to 31).
4. Randomly generate a set of solutions :

Here, considered a population of four solutions. However, larger populations

are used in real applications to explore a larger part of the search. Assume,
four randomly generated solutions as :

01101,

11000,

01000,

10011.

These are chromosomes or genotypes.

5. Evaluate the fitness of each member of the population :

The calculated fitness values for each individual are (a) Decode the individual into an integer (called phenotypes),
01101 13;

11000 24;

01000 8;

10011 19;

(b) Evaluate the fitness according to f(x) = x 2 ,

13 169;

24 576;

(c) Expected count = N * Prob

8 64;
i

, where

19 361.
N is the number of

individuals in the population called population size, here N = 4.

Thus the evaluation of the initial population summarized in table below .
String No
i

Initial
Prob i
X value Fitness
Population
(Pheno f(x) = x2 (fraction
(chromosome) types)
of total)
1
01101
13
169
0.14
2
11000
24
576
0.49
3
01000
8
64
0.06
4
10011
19
361
0.31
Total (sum)
1170
1.00
Average
293
0.25
Max
576
0.49

Expected count
N * Prob i

Thus, the string no 2 has maximum chance of selection.

45

0.58
1.97
0.22
1.23
4.00
1.00
1.97

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SC GA - Examples
6. Produce a new generation of solutions by picking from the existing

pool of solutions with a preference for solutions which are better

ab

or

suited than others:

ha

kr

We divide the range into four bins, sized according to the relative fitness of

the solutions which they represent.

Strings
0
1
0
1

1
1
1
0

1
0
0
0

0
0
0
1

Prob i

1
0
0
1

Associated Bin

0.14
0.49
0.06
0.31

0.0
0.14
0.63
0.69

.
.
.
.

.
.
.
.

.
.
.
.

0.14
0.63
0.69
1.00

By generating 4 uniform (0, 1) random values and seeing which bin they fall
into we pick the four strings that will form the basis for the next generation.
Random No
0.08
0.24
0.52
0.87

Falls into bin

0.0
0.14
0.14
0.69

.
.
.
.

.
.
.
.

.
.
.
.

Chosen string

0.14
0.63
0.63
1.00

0
1
1
1

1
1
1
0

1
0
0
0

0
0
0
1

1
0
0
1

7. Randomly pair the members of the new generation

Random number generator decides for us to mate the first two strings
together and the second two strings together.
8. Within each pair swap parts of the members solutions to create

offspring which are a mixture of the parents :

For the first pair of strings:

01101

11000

We randomly select the crossover point to be after the fourth digit.

Crossing these two strings at that point yields:

01101

11000

0 1 1 0 |1
1 1 0 0 |0

For the second pair of strings:

01100
11001

11000

10011

We randomly select the crossover point to be after the second digit.

Crossing these two strings at that point yields:

46

11000

1 1 |0 0 0

11011

10011

1 0 |0 1 1

10000

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SC GA - Examples
9. Randomly mutate a very small fraction of genes in the population :

With a typical mutation probability of per bit it happens that none of the bits

kr

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or

in our population are mutated.

ha

10. Go back and re-evaluate fitness of the population (new generation) :

This would be the first step in generating a new generation of solutions.

However it is also useful in showing the way that a single iteration of the
genetic algorithm has improved this sample.
String No

Initial
X value Fitness
Prob i
Population
(Pheno f(x) = x2 (fraction
(chromosome) types)
of total)
1
01100
12
144
0.082
2
11001
25
625
0.356
3
11011
27
729
0.415
4
10000
16
256
0.145
Total (sum)
1754
1.000
Average
439
0.250
Max
729
0.415

Expected count
0.328
1.424
1.660
0.580
4.000
1.000
1.660

Observe that :
1. Initial populations :

At start step 5 were

01101, 11000,

01000 , 10011

After one cycle, new populations, at step 10 to act as initial population

01100, 11001,

1 1 0 11 ,

10000

2. The total fitness has gone from 1170 to 1754 in a single generation.
3. The algorithm has already come up with the string 11011 (i.e x = 27) as
a possible solution.
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Example 2 : Two bar pendulum

Two uniform bars are connected by pins at A and B and supported

ha

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ab

at A. Let a horizontal force P acts at C.

Given : Force P = 2, Length of bars 1 = 2 ,
2 = 2, Bar weights W1= 2, W2 = 2 . angles = Xi

1
B

Find : Equilibrium configuration of the system if

fiction at all joints are neglected ?

P Solution : Since there are two unknowns 1 and

2 , we use 4 bit binary for each unknown.

W1

XU - XL
90 - 0
Accuracy = ----------- = --------- = 60
24 - 1
15

W2

Fig. Two bar pendulum

Hence, the binary coding and the corresponding angles Xi are given as
XiU - XiL
Xi = XiL + ----------- Si

where Si is decoded Value of the i

th

chromosome.
24 - 1
e.g. the 6th chromosome binary code (0 1 0 1) would have the corresponding
angle given by Si = 0 1 0 1 = 23 x 0 + 22 x 1 + 21 x 0 + 20 x 1 = 5
90 - 0
Xi = 0 + ----------- x 5
15

= 30

The binary coding and the angles are given in the table below.
S. No. Binary code Angle S. No. Binary code
Si
Xi
Si
1
0000
0
9
1000
2
0001
6
10
1001
3
0010
12
11
1010
4
0011
18
12
1011
5
0100
24
13
1100
6
0101
30
14
1101
7
0110
36
15
1110
8
0111
42
16
1111

Angle
Xi
48
54
60
66
72
78
84
90

Note : The total potential for two bar pendulum is written as

= - P[(1 sin1 + 2 sin2 )] - (W1 1 /2)cos1 - W2 [(2 /2) cos2 + 1 cos1] (Eq.1)

Substituting the values for

P,

W1 ,

W2

1 , 2

all as 2 , we get ,

(1 , 2 ) = - 4 sin1 - 6 cos1 - 4 sin2 - 2 cos2 = function f

1 , 2 lies between 0 and 90 both inclusive

ie

(Eq. 2)

0 1 , 2 90 (Eq. 3)

Equilibrium configuration is the one which makes a minimum .

Since the objective function is ve , instead of minimizing the function f let us
maximize -f = f .

The maximum value of f = 8 when 1 and 2

Hence the fitness function F is given by

48

F= f7= f 7

are zero.

(Eq. 4)

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SC GA - Examples

[ continued from previous slide ]

First randomly generate 8 population with 8 bit strings as shown in table below.

ha

kr

ab

or

Population Population of 8 bit strings Corresponding Angles

No.
(Randomly generated)
(from table above)
1
,
2
1
0000
0000
0
0
2
0010
0000
12
6
3
0001
0000
6
30
4
0010
1000
12
48
5
0110
1010
36
60
6
1110
1000
84
48
7
1110
1101
84
78
8
0111
1100
42
72

F=f7
1
2.1
3.11
4.01
4.66
1.91
1.93
4.55

These angles and the corresponding to fitness function are shown below.
F=2.1

F=1

F=3.11

F=3.11

1=0

1=12

1=6

1=12

2=0

2=6

2=30

2=48

F=1.91

F=4.6

F=4.55

F=1.93

1=36

1=84

1=84

1=42

2=60

2=48

2=78

2=72

Fig.

Fitness function F for various population

The above Table and the Fig. illustrates that :

GA begins with a population of random strings.
Then, each string is evaluated to find the fitness value.
The population is then operated by three operators

Reproduction , Crossover and Mutation, to create new population.

The new population is further evaluated tested for termination.
If the termination criteria are not met, the population is iteratively operated

by the three operators and evaluated until the termination criteria are met.
One cycle of these

operation and the subsequent evaluation procedure is

known as a Generation in GA terminology.

49

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Sc GA References

ha

kr

ab

or

ty

,w

.m

yr

5. References : Textbooks

1. "Neural Network, Fuzzy Logic, and Genetic Algorithms - Synthesis and

Applications", by S. Rajasekaran and G.A. Vijayalaksmi Pai,
Hall, Chapter 8-9, page 225-293.

(2005), Prentice

2. "Genetic Algorithms in Search, Optimization, and Machine Learning", by David E.

Goldberg, (1989), Addison-Wesley, Chapter 1-5, page 1- 214.

3. "An Introduction to Genetic Algorithms", by Melanie Mitchell, (1998), MIT Press,

Chapter 1- 5, page 1- 155,

4. "Genetic Algorithms: Concepts And Designs", by K. F. Man, K. S. and Tang, S.

Kwong, (201), Springer, Chapter 1- 2, page 1- 42,

5. "Practical genetic algorithms", by Randy L. Haupt, (2004), John Wiley & Sons
Inc, Chapter 1- 5, page 1- 127.

6. Related documents from open source, mainly internet.

being prepared for inclusion at a later date.

50

An exhaustive list is