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fo .in rs de ea yr Fundamentals of Genetic Algorithms : AI Course Lecture 39 40, notes, slides .m w w www.myreaders.info/ , RC Chakraborty, e-mail [email protected] , June 01, 2010
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Fundamentals of Genetic Algorithms

Artificial Intelligence
Genetic algorithms, topics : Introduction, search optimization

algorithm; Evolutionary algorithm (EAs); Genetic Algorithms (GAs) : biological background, search space, working principles, basic genetic algorithm, flow chart for Genetic programming; Encoding : binary encoding, value encoding, permutation encoding, and tree

encoding; Operators of genetic algorithm : 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, nonuniform, uniform, Gaussian; Basic genetic algorithm solved

examples : maximize function f(x) = x2 and two bar pendulum.

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fo .in rs de ea yr .m w w

Fundamentals of Genetic Algorithms Artificial Intelligence

Topics
(Lectures 39, 40 2 hours) Slides 03-15

1. Introduction

Why genetic algorithms, Optimization, Search optimization algorithm; Evolutionary algorithm (EAs); Genetic Algorithms (GAs) : Biological background, Search space, Working principles, Basic genetic algorithm, Flow chart for Genetic programming.
2. Encoding
16-21

Binary Encoding, Value Encoding, Permutation Encoding, and Tree Encoding.

3. Operators of Genetic Algorithm
22-35

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, non-uniform, uniform, Gaussian.
4. Basic Genetic Algorithm
36-41

Solved examples : maximize function f(x) = x2 and two bar pendulum.

5. References
02

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,w ty or What are GAs ? ab kr ha Genetic Algorithms (GAs) are adaptive heuristic search algorithm based C

fo .in rs de ea yr .m w w

Fundamentals of Genetic Algorithms

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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fo .in rs de ea 1. Introduction to Genetic Algorithms yr .m w w

GA - Introduction

Solving others.

problems

mean

looking

for

solutions,

which

is

best

among

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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fo .in rs de ea yr Why Genetic Algorithms ? .m w w

SC GA - Introduction

- It is better than conventional AI ; It is more robust. - 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, or multi-modal

state-space, or n-dimensional surface, a genetic algorithms offer significant benefits over many other typical search optimization techniques 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.
(Salvatore Mangano Computer Design, May 1995)
05

like

linear

programming,

heuristic,

depth-first,

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fo .in rs de ea 1.1 yr Optimization .m w w

SC GA - Introduction

Optimization is a process that finds a best, or optimal, solution for a problem. The Optimization problems are centered around three factors : 1. An objective function which is to be minimized or maximized; Examples In manufacturing, we want to maximize the profit or minimize the cost . In designing an automobile panel, we want to maximize the strength. 2. A set of unknowns or variables that affect the objective function, Examples In manufacturing, the variables are amount of resources used or the time spent. In panel design problem, the variables are shape and dimensions of the panel. 3. A set of constraints values but exclude others; Examples In manufacturing, one constrain is, that be non-negative. In the panel design, we want to limit the weight and put constrain on its shape. An optimization problem is defined as : that minimize or maximize the Finding values of the variables objective function while satisfying all "time" variables to that allow the unknowns to take on certain

the constraints.
06

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fo .in rs de ea yr Search Optimization Algorithms .m w w

SC GA Introduction

Fig. below shows different types of Search Optimization algorithms.

Search Optimization

Calculus Based Techniques Indirect method Direct method

Guided Random Search techniques

Enumerative Techniques

Uninformed Search

Informed Search

Newton

Finonacci

Tabu Search

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
07

and

and

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fo .in rs de ea 1.3 yr Evolutionary Algorithm (EAs) .m w w

SC GA - Introduction

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

models using randomness and genetic inspired operations. 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
Evolutionary Computing

GP
Genetic Programming

ES
Evolution Strategies

EP
Evolutionary Programming

GA
Genetic Algorithms

Rechenberg 1960
08

Koza 1992

Rechenberg 1965

Fogel 1962

Holland 1970

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fo .in rs de ea 1.4 yr Genetic Algorithms (GAs) - Basic Concepts .m w w

SC GA - Introduction

Genetic

algorithms

(GAs)

are

the

main

paradigm

of

evolutionary

computing.

GAs are inspired by Darwin's theory about evolution the

"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.
09

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fo .in rs de SC GA - Introduction ea yr Biological Background Basic Genetics .m w w Every organism has a set of rules, describing how that organism ,w ty or is built. All living organisms consist of cells. ab kr ha In each cell there is same set of chromosomes. Chromosomes are C

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).

10

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fo .in rs de SC GA - Introduction ea [ continued from previous slide - Biological background ] yr .m w w Below shown, the general scheme of evolutionary process in genetic ,w

along with pseudo-code.

Parents

Parents
Initialization Recombination

Population
Mutation Termination Survivor Fig. General Scheme of Evolutionary process

Offspring

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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fo .in rs de ea yr Search Space .m w w

SC GA - Introduction

In solving problems, some solution will be the best among others. The space of all feasible solutions (among which the desired solution resides) is called search space (also called state space).
Each Each

point in the search space represents one possible solution. 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.
12

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fo .in rs de ea yr Working Principles .m w w

SC GA - Introduction

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

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

determines the solution. and 3 are its genes.

Individual

: same as number

chromosome. of individuals present with same length of

Population:

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 Selection

changing a random gene in an individual.

: 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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fo .in rs de SC GA - Introduction ea yr Outline of the Basic Genetic Algorithm .m w w 1. [Start] Generate random population of n chromosomes (i.e. suitable ,w

solutions for the problem).

2.

[Fitness] Evaluate the fitness f(x) of each chromosome x in the 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 performance is largely influenced by two

Note : The genetic algorithm's

operators called crossover and mutation. These two operators are the most important parts of GA.
14

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fo .in rs de ea yr Flow Chart for Genetic Programming .m w w

SC GA Introduction

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?

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

Yes Yes No
Natural Selection Select one off-spring

Mutation

No
Terminate?

Apply Mutation operator to produce Mutated offspring

Yes
Finish

Mutation Finished?

Scoring : assign fitness to off- spring

Fig. Genetic algorithm program flow chart

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fo .in rs de SC GA Encoding ea 2. Encoding yr .m w w Before a genetic algorithm can be put to work on any problem, a method is ,w ty needed to encode potential solutions to that problem in a form so that a or ab kr computer can process. ha C
One

common approach is to encode solutions as binary strings: sequences

of 1's and 0's, where the digit at each position represents some aspect of the solution.
Example :

the

value of

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 : a Chromosome looks like: Gene1
(11100010) 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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fo .in rs de ea yr Binary Encoding .m w w

SC GA - Encoding

Binary encoding is the most common to represent information contained. 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: Chromosome 2: 101100101100101011100101 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.

Numeric value 0 1 2 3 4 5
17

4bit string 0000 0001 0010 0011 0100 0101

Numeric value 6 7 8 9 10 11

4bit string 0110 0111 1000 1001 1010 1011

Numeric value 12 13 14 15

4bit string 1100 1101 1110 1111

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fo .in rs de ea [ continued binary encoding ] yr .m Example 2 : w w

SC GA Encoding

Two variable function represented by 4 bit string for each variable. Let two variables X1 , X2 as
(1011 0110) .

Every variable will have both upper and lower limits as X iL Because 4-bit string can represent integers from 0 to 15, so (0000 0000) and (1111 1111) represent the points for X1 , X2 as
( X1 ,L X2
L

Xi

Xi

and

( X1

, X2

respectively.

Thus, an n-bit string can represent integers from

0 to 2n -1, i.e. 2n integers.
Binary Coding
2 2 2 10 5 2 1 0 1 0 Remainder 1

Equivalent integer
0 1 0 0x 2 1x 2 0x 2 1x 2
0 1 2 3

Decoded binary substring

Let Xi is coded as a substring
=0 =2 =0 =8 10

Si of length ni. Then decoded binary substring Si is as K=ni - 1 k=0

k 2

Sk

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

the

(0111),

decoded value is equal to

23 x 0 + 22 x 1 + 2 1 x 1 + 20 x 1 = 7 (0000)
L

Knowing X i

and X iU

corresponding to

and

(1111) ,

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

L

Xi =X

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

) x
(decoded value of string)

For

e.g. a variable Xi ; let X i

(1010)

=2,

and X i

= 17, find what value the

4-bit string Xi =

would represent. First get decoded value for then

Si = 1010 = 23 x 1 + 22 x 0 + 21 x 1 + 20 x 0 = 10 (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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fo .in rs de ea yr Value Encoding .m w w

SC GA Encoding

The Value encoding can be used in problems where values such as real numbers are used. Use of binary encoding for this type of problems

would be difficult.
1. 2.

In value encoding, every chromosome is a sequence of some values. The Values can be anything connected to the problem, such as : real numbers, characters or objects. Examples :
Chromosome A Chromosome B Chromosome C 1.2324 5.3243 0.4556 2.3293 2.4545 ABDJEIFJDHDIERJFDLDFLFEGT (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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fo .in rs de ea yr Permutation Encoding .m w w

SC GA Encoding

Permutation encoding can be used in ordering problems, such as traveling salesman problem or task ordering problem. 1. In permutation encoding, every chromosome is a string of numbers that represent a position in a sequence.
Chromosome A Chromosome B 153264798 856723149

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. Here, encoding

describes the position of a queen on each row.

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fo .in rs de ea yr Tree Encoding .m w w

SC GA - Encoding

Tree encoding is used mainly for evolving programs or expressions. For genetic programming :
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 Chromosome B

do untill / step wall

5 (+ x(/ 5y))

y ( 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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fo .in rs de SC GA - Operators ea 3. Operators of Genetic Algorithm yr .m w w ,w Genetic operators used in genetic algorithms maintain genetic diversity. ty or Genetic diversity or variation is a necessity for the process of evolution. ab kr ha Genetic operators are analogous to those which occur in the natural world: C
Reproduction Crossover Mutation.

(or Selection) ;

(or Recombination); and

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. shows that after some limit, it is not useful to increase population

Research

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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fo .in rs de ea 3.1 Reproduction, or Selection yr .m w w

SC GA Operators

Reproduction

is

usually

the first operator applied on population. From

the population, the chromosomes are selected to be parents to crossover 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. means extract a subset of genes from an existing population,

Selection

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, selection, selection,

Rank

selection state selection.

Boltzmann

Steady

Tournament

The Roulette wheel and Boltzmann selections methods are illustrated next.
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fo .in rs de ea yr Example of Selection .m w w

SC GA Operators

Evolutionary Algorithms is to maximize the function f(x) = x2 with x in the integer interval [0 , 31], i.e., x = 0, 1, . . . 30, 31.

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

genotypes;

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
th

in the population is

pi = F i / (

string

Fj ) ,
j=1

where

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

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 1 2 3 4 Sum Average Max Initial Population 01101 11000 01000 10011 X value 13 24 8 19 Fitness Fi f(x) = x2 169 576 64 361 1170 293 576 pi 0.14 0.49 0.06 0.31 1.00 0.25 0.49 Expected count N * Prob i 0.58 1.97 0.22 1.23 4.00 1.00 1.97

The string no 2 has maximum chance of selection.

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fo .in rs de ea yr Roulette wheel selection (Fitness-Proportionate Selection) .m w w

SC GA Operators

Roulette-wheel selection, also known as Fitness Proportionate Selection, is 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 2
9%

1 8
20% 5%

Roulette-wheel with fitness

simulates values

8 Fi,

individuals

marked at its circumference; e.g., 3

the 5
th

individual

has

higher

7
8%

13%

fitness than others, so the wheel would choose the 5th individual

6
8% 17%

more than other individuals .

the

fitness

of

the

individuals wheel is

is spun

4
20%

calculated as n=8 times,

the

5
Fig. Roulette-wheel Shows 8 individual with fitness

each time selecting

an instance, of the string, chosen by the wheel pointer.

n j=1

Probability of

th

string is pi = F i / (

F j ) , where

n = no of individuals, called population size; pi = probability of ith string being selected; Fi = fitness for ith string Because a string's
F F

in the population.

the circumference of the wheel is marked according to fitness, the Roulette-wheel mechanism is expected to

make

copies of the ith string.

F Fj/ n
N=5

Average fitness =
Cumulative Probability5 =

Expected count = (n =8 ) x pi

i=1
25

pi

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fo .in rs de ea yr Boltzmann Selection .m w w

SC GA Operators

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

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

were k is Boltzmann constant. that a system at a higher temperature has lower

expression suggests

almost uniform probability at any energy state, but at 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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fo .in rs de ea 3.2 yr Crossover .m w w

SC GA Operators

Crossover is a genetic operator that combines (mates) two chromosomes (parents) to produce a new chromosome (offspring). The idea behind 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 the

simple way is, One-Point crossover. others are Two Point, Uniform, Arithmetic, and Heuristic crossovers.

The operators are selected based on the way chromosomes are encoded.
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fo .in rs de ea yr One-Point Crossover .m w w

SC GA Operators

One-Point crossover operator randomly selects one crossover point and then copy everything before this point from the first parent and then 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 Parent 2 11011|00100110110 11011|11000011110

Interchanging the parents chromosomes after the crossover points The Offspring produced are :
Offspring 1 Offspring 2 11011|11000011110 11011|00100110110

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

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fo .in rs de ea yr Two-Point Crossover .m w w

SC GA Operators

Two-Point crossover operator randomly selects two crossover points within a chromosome then interchanges the two parent chromosomes between these points to produce two new offspring. Consider the two parents selected for crossover :
Parent 1 Parent 2 11011|0010011|0110 11011|1100001|1110

Interchanging the parents chromosomes between the crossover points The Offspring produced are :
Offspring 1 Offspring 2
29

11011|0010011|0110 11011|0010011|0110

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fo .in rs de ea yr Uniform Crossover .m w w

SC GA Operators

Uniform crossover operator decides (with some probability know as the mixing ratio) which parent will contribute how the gene values in the 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 Parent 2 1101100100110110 1101111000011110

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 Offspring 2 11120 1
2 2 1

1 1

1 2

1 1

1 2

12 12 0 01 01 1

2 1

0 0

1 2

0 0

1 2

0 1

2 1

1 1

1 2

1 0

2 1

1 1

1 2

1 1

1 2

02 01

Note: The subscripts indicate which parent the gene came from.
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fo .in rs de ea yr Arithmetic .m w w

SC GA Operators

Arithmetic crossover operator linearly combines two parent chromosome 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 Parent 2 (0.3) (0.5) (1.4) (4.5) (0.2) (0.1) (7.4) (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
31

(0.36)

(2.33)

(0.17)

(6.87)

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

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fo .in rs de ea yr Heuristic .m w w

SC GA Operators

Heuristic crossover operator uses the fitness values of the two parent 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 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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fo .in rs de ea 3.3 yr Mutation .m w w

SC GA Operators

After a crossover is performed, mutation takes place. Mutation is a genetic operator used to maintain genetic diversity from 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 the

simple way is, Flip Bit. others are Boundary, Non-Uniform, Uniform, and Gaussian. selected based on the way chromosomes are

The operators are encoded .

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fo .in rs de ea yr Flip Bit .m w w

SC GA - Operators

The mutation operator simply inverts the value of the chosen gene. i.e. 0 goes to 1 and
1 goes to 0.

This mutation operator can only be used for binary genes. Consider the two original off-springs selected for mutation.
Original offspring 1 Original offspring 2 1101111000011110 1101100100110110

Invert the value of the chosen gene as 0 to 1 The Mutated Off-spring produced are :
Mutated offspring 1 Mutated offspring 2
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and

1 to 0

1100111000011110 1101101100110100

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fo .in rs de SC GA - Operators ea yr Boundary .m w The mutation operator replaces the value of the chosen gene with either w

the upper or lower bound for that gene (chosen randomly). 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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fo .in rs de SC GA Examples ea 4. Basic Genetic Algorithm : yr .m w w ,w Examples to demonstrate and explain : Random population, Fitness, Selection, ty or Crossover, Mutation, and Accepting. ab kr ha C 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 at this point x the derivative f that the derivative is +ve, pick a new x which is at a small

Evaluate

Observing

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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fo .in rs de SC GA Examples ea [ continued from previous slide ] yr .m w w Genetic Algorithm Approach to problem - Maximize the function f(x) = x2
1.

Devise a means to represent a solution to the problem :

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 : These are chromosomes or genotypes.
01101, 11000, 01000, 10011.

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;
i

8 64;

19 361. N is the number of

(c) Expected count = N * Prob

, where

individuals in the population called population size, here N = 4. Thus the evaluation of the initial population summarized in table below .
String No i 1 2 3 4 Total (sum) Average Max Initial X value Fitness Prob i 2 Population (Pheno f(x) = x (fraction (chromosome) types) of total) 01101 13 169 0.14 11000 24 576 0.49 01000 8 64 0.06 10011 19 361 0.31 1170 1.00 293 0.25 576 0.49 Expected count N * Prob i 0.58 1.97 0.22 1.23 4.00 1.00 1.97

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

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fo .in rs de SC GA Examples ea yr 6. Produce a new generation of solutions by picking from the existing .m w pool of solutions with a preference for solutions which are better w

suited than others:

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 1 0 0 1 Prob i 0.14 0.49 0.06 0.31 Associated Bin 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 7. Falls into bin 0.0 0.14 0.14 0.69 . . . . . . . . . . . . 0.14 0.63 0.63 1.00 Chosen string 0 1 1 1 1 1 1 0 1 0 0 0 0 0 0 1 1 0 0 1

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 01100 11001 , 10011

For the second pair of strings:

11000

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

Crossing these two strings at that point yields:

11000 10011
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1 1 |0 0 0 1 0 |0 1 1

11011 10000

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fo .in rs de SC GA Examples ea yr 9. Randomly mutate a very small fraction of genes in the population : .m w With a typical mutation probability of per bit it happens that none of the bits w

in our population are mutated.

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 2 Population (Pheno f(x) = x (fraction (chromosome) types) of total) 01100 12 144 0.082 11001 25 625 0.356 11011 27 729 0.415 10000 16 256 0.145 1754 1.000 439 0.250 729 0.415 Expected count

1 2 3 4 Total (sum) Average Max

0.328 1.424 1.660 0.580 4.000 1.000 1.660

Observe that :
1. Initial populations :
01101, 11000,

At start step 5 were

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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fo .in rs de ea yr Example 2 : Two bar pendulum .m w w

SC GA Examples

Two uniform bars are connected by pins at A and B and supported at A. Let a horizontal force P acts at C.
A
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

2
W1

fiction at all joints are neglected ? C P Solution : Since there are two unknowns and 1 , we use 4 bit binary for each unknown. 2
XU - XL Accuracy = ----------- = --------- = 60 24 - 1 90 - 0 15

W2

Fig. Two bar pendulum

Hence, the binary coding and the corresponding angles Xi are given as
XiU - XiL Xi = XiL + ----------- Si
4

chromosome. 2 -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

where Si is decoded Value of the i

th

The binary coding and the angles are given in the table below.
S. No. Binary code Angle S. No. Binary code Si Xi 0000 0 1 9 0001 6 2 10 0010 12 3 11 0011 18 4 12 0100 24 5 13 0101 30 6 14 0110 36 7 15 0111 42 8 16 Angle Xi 48 54 60 66 72 78 84 90

Si 1000 1001 1010 1011 1100 1101 1110 1111

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 ,
(Eq. 2) ie 0 , 90 (Eq. 3) 1 2

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

, lies between 0 and 90 both inclusive 1 2

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 and 1 2
F= f7= f 7

are zero.
(Eq. 4)

Hence the fitness function F is given by

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fo .in rs de SC GA - Examples ea [ continued from previous slide ] yr .m w First randomly generate 8 population with 8 bit strings as shown in table below. w
Population Population of 8 bit strings Corresponding Angles No. (Randomly generated) (from table above) , 1 2 0000 0000 0 0 1 0010 0000 12 6 2 0001 0000 6 30 3 0010 1000 12 48 4 0110 1010 36 60 5 1110 1000 84 48 6 1110 1101 84 78 7 0111 1100 42 72 8 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=1 F=2.1 F=3.11 F=3.11

=0 1

=12 1

=6 1

=12 1

=0 2

=6 2

=30 2

=48 2

F=4.6

F=1.91

F=1.93

F=4.55

=36 1

=84 1

=84 1

=42 1

=60 2

=48 2

=78 2

=72 2

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.

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fo .in rs de ea 5. References : Textbooks yr .m w w

Sc GA References

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

Goldberg, (1989), Addison-Wesley, Chapter 1-8, page 1- 432.

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

Chapter 1- 6, page 1- 203,

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

Kwong, (201), Springer, Chapter 1- 10, page 1- 348,

4. "Genetic algorithms and engineering design", by Mitsuo Gen, and Runwei Cheng,
(1997), John Wiley & Sons Inc, chapter 1- 10, page 1-411.

5. "Practical genetic algorithms", by Randy L. Haupt, (2004), John Wiley & Sons
Inc, Chapter 1- 7, page 1- 251. 6. Related documents from open source, mainly internet. being prepared for inclusion at a later date.
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An exhaustive list is