02 Bildiri 09 ICAT 16

SELCUK
UNIVERSITY
INTERNATIONAL CONFERENCE ON ADVANCED

TECHNOLOGY & SCIENCES
PROCEEDINGS BOOK
Mechanical
Engineering
September 01-03, 2016

Konya / TURKEY
International Conference on Advanced Technology &
Sciences
3th International Conference, ICAT’16

Konya, Turkey, September 01-03, 2016
Proceedings
Editors
Ismail SARITAS
Omer Faruk BAY
Kemal TUTUNCU
International Conference on Advanced Technology & Sciences, ICAT’16

Proceedings of the 3th International Conference on Advanced Technology & Sciences
* This conference is supported by TUBITAK (The Scientific & Technological Research Council of Turkey)
2223- B Support Program for Scientific Activities.
International Conference on Advanced Technology & Sciences (ICAT’16) September 01-03, 2016 Konya-Turkey
International Conference on Advanced Technology &

Sciences
3th International Conference, ICAT’16
Proceedings
Editors
Ismail SARITAS
Omer Faruk BAY
Kemal TUTUNCU
e-ISSN- 978-605-9119-74-0
Aybil Yayınevi Sertifika No: 31790
www.aybilonline.com
Aybil Dijital Baskı Reklam Mühendislik

Turizm Sanayi ve Ticaret Limited Şirketi
Ferhuniye Mh. Sultanşah Cd. No:30/A KONYA
Tel: 0.332 350 21 71 Fax: 0.332 350 71 21
KONYA - KASIM – 2016
ii
EDITORS :
Ismail SARITAS
Selcuk University, Turkey
Depertmant of Electric-Electronic Engineering, Faculty of Technology
Alaeddin Keykubat Campus 42031 Konya, Turkey
isaritas@selcuk.edu.tr
Omer Faruk BAY,

Gazi University, Turkey
Depertmant of Electronic - Computer Education
Teknikokullar, 06500, Ankara, Turkey
e-mail: omerbay@gazi.edu.tr
Kemal TUTUNCU
Depertmant of Electric-Electronic Engineering, Faculty of Technology
ktutuncu@selcuk.edu.tr
ASSISTANT EDITORS :
Ilker Ali OZKAN
Depertmant of Computer Engineering, Faculty of Technology
ilkerozkan@selcuk.edu.tr
Murat KOKLU
Depertmant of Computer Engineering, Faculty of Technology
mkoklu@selcuk.edu.tr
Ali YASAR
Guneysinir Vocational School of Higher Education,
Computer Programming, Konya, Turkey
aliyasar@selcuk.edu.tr
iii
PREFACE
International Conference on Advanced Technology & Sciences (ICAT'16) has been organized in Konya,
Turkey on 01-03 September, 2016.
The aim of International Conference on Advanced Technology & Sciences is to provide a platform for
researchers and academics as well as practicing professionals from all over the world, to present their research
and professional development activities in Computer, Electric and Electronics, Energy and Mechatronics.This
conference provides opportunities for the different areas delegates to exchange new ideas and application
experiences face to face, to establish business or research relations and to find global partners for future
collaboration. We hope that the conference results constituted significant contribution to the knowledge in
these up to date scientific fields.
All full paper submissions have been double blind and peer reviewed and evaluated based on originality,
technical and/or research content/depth, correctness, relevance to conference, contributions, and readability.
Selected papers presented in the conference that match with the topics of the journals will be published in the
following journals:
 International Journal of Intelligent Systems and Applications in Engineering (IJISAE)
 International Journal of Applied Mathematics, Electronics and Computers (IJAMEC)
 International Journal of Energy Applications and technology (IJEAT)
 International Journal of Automotive Engineering and Technologies (IJAET)
At this conference, there are 700 paper submissions from 107 different universities. Each paper proposal
was evaluated by two reviewers and 416 of these were accepted for presentation. And finally, 366 papers will
be presented at our conference.
We are sure that, ICAT will be the flagship conference for researchers, students, and professionals in
the areas of Electrical and Computer Engineering, Biomedical Engineering, Energy and Manufacturing
Engineering and their applications from Turkey and around the world to disseminate their research
advancements and discoveries, to network and exchange ideas in order to strengthen existing partnerships and
foster new collaborations.
In particular we would like to thank Prof. Dr. Mustafa SAHIN, Rector of Selcuk University; Advanced
Technology and Sciences, Academic Publisher; International Journal of Intelligent Systems and Applications
in Engineering (IJISAE); International Journal of Applied Mathematics, Electronics and Computers
(IJAMEC); Konya Metropolitan Municipality, Province of Konya Culture and Tourism Directorate, Konya
Chamber of Industry, Konya Chamber of Commerce, Firdevs Patent and AYBIL Organization. They have
made a crucial contribution towards the success of this conference. Our thanks also go to the colleagues in our
conference office.
Looking forward to see you in next ICAT.
Ismail SARITAS - Omer Faruk BAY
Kemal TUTUNCU
Editors
iv
PROGRAMME COMMITTEES
HONORARY CHAIR :
Mustafa Sahin, Turkey
GENERAL CHAIR :
Ismail Saritas, Turkey
CO-CHAIR :
Omer Faruk Bay, Turkey
Necmettin Tarakcioglu, Turkey
I Unal Sert, Turkey
Murat Ciniviz, Turkey
Silyan Sibinov Arsov, Bulgaria
Kemal Tutuncu, Turkey
PUBLICATION CHAIR :
Murat Koklu, Turkey
Mehmet Akif Sahman, Turkey
Ali Yasar, Turkey
Mustafa Buber, Turkey
INTERNATIONAL ADVISORY BOARD
A Engin Ozcelik, Turkey Biagio Lenzitti, Hungary

Abdullah Erdal Tumer, Turkey Binod Kumar, Hungary
Adem Alpaslan Altun, Turkey Boris Akanaev, Kazakhstan
Adnan Gorur, Turkey Burhan Turksen, Turkey
Adnan Sozen, Turkey Cemal Gemci, Turkey
Ahmet Arslan, Turkey Cemal Kocak, Turkey
Ahmet Peker, Turkey Cemil Sungur, Turkey
Ahmet Afsin Kulaksiz, Turkey D S Hooda, Hungary
Ahmet Fevzi Baba, Turkey Dimitris Dranidis, Greece
Ahmet H Ertas, Turkey Domenico Tegolo, Hungary
Alexander Sudnitson, Estonia Eda Akman Aydin, Turkey
Alla Anohina Naumeca, Latvia Eisha Akanksha, Hungary
Almoataz Youssef Abdelaziz, Egypt Elinda Kajo Mece, Romania
Amar Ramdane Cherif, France Ercan Oztemel, Turkey
Anand Kumar, Hungary Fecir Duran, Turkey
Anatoly Victorovich Maslov, Russian Federation Firdevs Melis Cin, Turkey
Anca Loana Andreescu, Bulgaria Gabriel Luna Sandoval, Mexico
Angel Smrikarov, Bulgaria Haci Mehmet Sahin, Turkey
Anne Villems, Estonia Halil Ibrahim Bulbul, Turkey
Antonella Reitano, Hungary Heinz Dietrich Wuttke, Germany
Antonio Mendes, Portugal Hidayet Oguz, Turkey
Artan Luma, Macedonia Hilda Tellioglu, Austria
Asaf Varol, Turkey Howard Duncan, Hungary
Asir Genc, Turkey Humar Kahramanli, Turkey
Asrun Matthiasdottir, Hungary Huse Fatkic, Bosnia-Herzegovina
Ayhan Demirbas, Saudi Arabia Ibrahim Sefa, Turkey
Betim Cico, Macedonia Ilhami Colak, Turkey
v
Ilker Ali Ozkan, Turkey Mustafa Alci, Turkey

Ilyas Cankaya, Turkey Mustafa Altin, Turkey
Inan Guler, Turkey Mustafa Nevzat Ornek, Turkey
Ismail Atacak, Turkey Natasa Hoic Bozic, Croatia
Ismail Saritas, Turkey Necattin Barisci, Turkey
Istvan Fuvesi, Hungary Novruz Allahverdi, Turkey
Ivan Jelinek, Czech Republic Nursal Arici, Turkey
Jan Vom Brocke, Saint Lucia Pantha Ghosal, Australia
Janis Grundspenkis, Latvia Pino Caballero Gil, Spain
Janusz Jablonowski, Poland Polyxeni Arapi, Greece
Jari Matti Makela, Ethiopia Qiaohua Wang, China
Jiri Srba, Denmark Raif Bayir, Turkey
Kadir Sabanci, Turkey Ramazan Bayindir, Turkey
Karl Jones, Great Britain Ramesh C Gupta, Hungary
Kemal Tutuncu, Turkey Refik Samet, Turkey
Kenan Danisman, Turkey Ridvan Saracoglu, Turkey
Kesheng Wang, Norway Saadetdin Herdem, Turkey
Laurentiu Cristian Deaconu, Romania Sakir Tasdemir, Turkey
Leon Rothkrantz, Netherlands Seifedine Kadry, Kuwait
Luca Lombardi, Hungary Seref Sagiroglu, Turkey
M Turan Demirci, Turkey Shahnaz Shahbazova, Azerbaidjan
Mahdi Shahbakhti, United States Shun Ido, Japan
Majida Ali Abed Meshari, Hungary Silyan Sibinov Arsov, Bulgaria
Marco Porta, Hungary Stavros Nikolopoulos, Greece
Marios Neofytou, Cyprus Stavros Christodoulakis, Greece
Mehmet Cunkas, Turkey Stefanie Oestlund, Luxembourg
Mehmet Rahmi Canal, Turkey Tatjana Dulinskiene, Lithuania
Melih Gunay, Turkey Teresa Parra, Spain
Meral Ozarslan Yatak, Turkey Thomas Engel, Luxembourg
Mirjana Ivanovic, Romania Tohid Alizadeh, Kazakhstan
Mohammad Masdari, Hungary Tuncay Yigit, Turkey
Muammer Gokbulut, Turkey Virginio Cantoni, Hungary
Muciz Ozcan, Turkey Yakup Kara, Turkey
Muhammad Zia Ur Rehman, Pakistan Yuri Pavlov, Bulgaria
Murat Barut, Turkey Zarifa Jabrayilova, Azerbaijan
Murat Ciniviz, Turkey Zekai Sen, Turkey
Murat Koklu, Turkey
ORGANIZING COMMITTEE
Omer Faruk Bay, Turkey Alla Anohina Naumeca, Latvia
Necmettin Tarakcioglu, Turkey Hidayet Oguz, Turkey
Ismail Saritas, Turkey Sakir Tasdemir, Turkey
Kemal Tutuncu, Turkey Silyan Sibinov Arsov, Bulgaria
Ilker Ali Ozkan, Turkey Ridvan Saracoglu, Turkey
Murat Koklu, Turkey Murat Ciniviz, Turkey
Betim Cico, Macedonia Dimitris Dranidis, Greece
Leon Rothkrantz, Netherlands Mustafa Altin, Turkey
Angel Smrikarov, Bulgaria
vi
TECHNICAL COMMITTEE
M Turan Demirci, Turkey Ali Yasar, Turkey
Selahattin Alan, Turkey Mehmet Akif Sahman, Turkey
Mustafa Nevzat Ornek, Turkey Esra Kaya, Turkey
Mustafa Buber, Turkey
vii
Contents Pages
AN EFFICIENT RESOURCE MANAGEMENT IN CLOUD COMPUTING 1
A MODEL OF AUTOMATIC BLOCK REALLOCATION IN THE LAND CONSOLIDATION PROJECTS USING
7
ARTIFICIAL BEE COLONY ALGORITHM
A COMPARATIVE STUDY OF STATISTICAL AND ARTIFICIAL INTELLIGENCE BASED CLASSIFICATION
12
ALGORITHMS ON CENTRAL NERVOUS SYSTEM CANCER MICROARRAY GENE EXPRESSION DATA
ROUTE PLANNING FOR MULTIPLE UNMANNED AERIAL VEHICLES UAVS WITH PARALLEL GENETIC
16
ALGORITHM ON GPU USING CUDA
TRAINING ANFIS USING GENETIC ALGORITHM FOR DYNAMIC SYSTEMS IDENTIFICATION 23
DS-MAC: DEADLINE SENSITIVE MEDIUM ACCESS CONTROL PROTOCOL FOR DELAY TOLERANT
27
NETWORK BASED MULTIPLE UNMANNED AERIAL VEHICLE SYSTEMS
IMPORTANCE OF BUSINESS INTELLIGENCE SOLUTION ON DECISION-MAKING PROCESS OF
36
COMPANY’S
ELEVATOR SYSTEM A CASE STUDY OF COLOURED PETRI NETS 40
APPLICATION OF FUZZY LOGIC IN LAND CONSOLIDATION-CLASSIFICATION STUDIES 46
SIMULATION AND ANALYZES OF HETEROGENEOUS WSN CLUSTERING PROTOCOLS 51
ROBOTICS EDUCATION BASED ON AUGMENTED REALITY IN PRIMARY SCHOOLS 55
WAVELET BASED MEDICAL IMAGE WATERMARKING SCHEME FOR PATIENT INFORMATION
60
AUTHENTICITY
COMPARISON OF THE EFFECT OF UNSUPERVISED AND SUPERVISED DISCRETIZATION METHODS
65
ON CLASSIFICATION PROCESS
USING K MEANS AND K MEDOIDS METHODS FOR MULTIVARIATE MAPPING 70
AUTOMATIC VOICE AND SPEECH RECOGNITION SYSTEM FOR THE GERMAN LANGUAGE WITH
75
DEEP LEARNING METHODS
A SOFT-CONFIGURED MANAGEMENT SYSTEM FOR MICROCONTROLLER TRAINING KIT 81
COMPARISON OF IMAGE ROTATION AND FILTERING OPERATIONS IN TERMS OF IMAGE QUALITY
84
FACTORS
IMPLEMENTATION OF MAINLY USED EDGE DETECTION ALGORITHMS ON FPGA 88
INVESTIGATING THE EFFECTS OF FACIAL REGIONS TO AGE ESTIMATION 95
DETECTION AND CONDITION MONITORING APPROACH OF RAIL SWITCHES BASED ON IMAGE
99
PROCESSING IN RAILWAYS
TRUST MODELS IN WIRELESS SENSOR NETWORKS 106
A REVIEW OF AUTOMATIC TEXT SUMMARIZATION 110
A REVIEW OF MULTI-OBJECTIVE OPTIMIZATION 117
LONG RANGE WIRELESS POINT TO POINT LINK NETWORK ON 5 GHZ FREQUENCY BAND WITH
125
VOIP
CONDITION MONITORING APPROACH USING 3D MODELLING OF RAILWAY TRACKS WITH LASER
132
CAMERAS
DIFFERENT APPLE VARIETIES CLASSIFICATION USING KNN AND MLP ALGORITHMS 136
ROLE OF ETHICS IN INFORMATION SECURITY 141
KNOWLEDGE MINING APPROACH FOR HEALTHY MONITORING FROM PREGNANCY DATA WITH
145
BIG VOLUMES
ENERGY EFFICIENT RANDOM SELECTED CONSTANT CLUSTERING APPROACH FOR WIRELESS
149
SENSOR NETWORKS
NETWORK TRAFFIC CLASSIFICATION BY KERNEL BASED EXTREME LEARNING MACHINE 153
HYBRID BIOMETRIC SYSTEM USING IRIS AND SPEAKER RECOGNITION 158
MOBILE APPLICATION OF DRUG FOLLOW UP INFORMATION SYSTEM WITH DATA MATRIX
162
READER
A HYBRID ALGORITHM FOR AUTOMATED GUIDED VEHICLE ROUTING PROBLEM 166
THE USE OF INTELLIGENT WATER DROPS IWD FOR B SPLINE CURVE FITTING 169
MONITORING OF ANXIETY LIKE BEHAVIORS ON RATS WITH VIDEO TRACKING TECHNOLOGY 177
viii
A NEW APPROACH BASED ON IMAGE PROCESSING FOR DETECTION OF WEAR OF GUIDE RAIL
181
SURFACE IN ELEVATOR SYSTEMS
CHEMICAL ANALYSIS PROGRAM FOR THE TIME OF FLIGHT MASS SPECTROMETRY SYSTEM 187
A MODIFIED CUCKOO SEARCH USING DIFFERENT SEARCH STRATEGIES 191
VIDEO STREAM WITH WEBSOCKET ON RASPBERRY PI 2 196
COMPARISON OF SIMULATED ANNEALING AND GENETIC ALGORITHM APPROACHES ON
200
INTEGRATED PROCESS ROUTING AND SCHEDULING PROBLEM
TRANSMIT POWER CONTROL (TPC) ALGORITHM FOR LTE-A FEMTOCELL NETWORKS 204
CUSTOMER SATISFACTION USING DATA MINING APPROACH 208
A FAST DETECTION APPROACH FOR ROAD DEFECTS USING IMAGE PROCESSING 212
A VISION BASED DETECTION APPROACH FOR LEVEL CROSSING AND SWITCH IN RAILWAY 217
A HYBRID APPROACH FOR INDOOR POSITIONING 224
A NEW REAL TIME CONTROL APPROACH FOR TIME EFFICIENCY IN GROUP ELEVATOR CONTROL
228
SYSTEM
DEEP BELIEF NETWORK BASED BRAIN ACTIVITY CLASSIFICATION USING EEG FROM SLOW
233
CORTICAL POTENTIALS IN STROKE
ARRHYTHMIA CLASSIFICATION USING WAVEFORM ECG SIGNALS 240
EFFECTS OF SPECTRAL CLUSTERING ON DOCUMENT CATEGORIZATION USING DISTRIBUTED
246
TOOLS
THE CLASSIFICATION OF WHITE WINE AND RED WINE ACCORDING TO THEIR PHYSICOCHEMICAL
251
QUALITIES
ESTABLISHMENT OF FIBER OPTIC CABLING SYSTEM IN KIRKUK CITY BY USING ANT COLONY
255
OPTIMIZATION AND GENETIC ALGORITHM
PARALLELIZATION OF A HIERARCHICAL GRAPH BASED IMAGE SEGMENTATION USING OPENMP 260
A PERFORMANCE COMPARISON OF GRAPH COLORING ALGORITHMS 266
DESIGN OF AN INTERFACE FOR GENETIC ALGORITHM BASED OPTIMIZATION OF FUNCTIONS 274
A HYBRID GENETIC ALGORITHM FOR MOBILE ROBOT PATH PLANNING PROBLEM 278
DIFFERENT DUTY CYCLE RATIO AND BRIGHTNESS OF VISUAL STIMULI CHANGE TO STEADY STATE
282
VISUAL EVOKED POTENTIAL RESPONSE
TOPOLOGY CONTROL IN MOBILE WIRELESS SENSOR NETWORKS 286
BIG BANG-BIG CRUNCH OPTIMIZATION ALGORITHM FOR SOLVING THE UNCAPACITATED FACILITY
291
LOCATION PROBLEM
IMAGE MOSAICING BASED CONDITION MONITORING APPROACH FOR MULTI ROBOTS AT
297
PRODUCTION LINES IN INDUSTRIAL SYSTEMS
DEFINING CROWD MOVEMENT AS PARABOLA AND CLASSIFYING THESE DEFINITIONS 302
VIBRATION ANALYSIS FOR INDUCTION MOTORS WITH AN EXPERT SYSTEM 307
SECURITY EVALUATION OF IOS AND ANDROID 310
AN EVALUTION OF SOME INSTANT MESSAGING APPLICATIONS (SIGNAL, TELEGRAM, THREEMA)
314
IN TERMS OF SECURITY
PREPARING DIET LIST SUGGESTION WITH FUZZY EXPERT SYSTEM 321
SWITCHING ACCESS POINTS ON AND OFF FOR AN ENERGY EFFICIENT WIRELESS
326
COMMUNICATION
CLUSTERING OF MITOCHONDRIAL D-LOOP SEQUENCES USING SIMILARITY MATRIX, PCA AND K-
331
MEANS ALGORITHM
TEXTURE SEGMENTATION BASED ON GABOR FILTERS AND NEUTROSOPHIC GRAPH CUT 336
INTERNET OF THINGS A SURVEY 340
AN EXPERT SYSTEM FOR BORING TOOLS USED FOR MACHINING HOLES 348
MULTI-CORE COMPUTING APPLICATION FOR LYAPUNOV EXPONENTS ANALYSIS OF CHAOTIC
353
SYSTEMS
ESTIMATION OF TURKEY ELECTRIC ENERGY DEMAND UNTIL YEAR 2035 USING TLBO ALGORITHM 357
A REVIEW OF AUTOMATIC AUTHOR IDENTIFICATION TASK 363
ix
THE EFFECTS OF NEIGHBORHOOD STRATEGIES ON THE PERFORMANCE OF ARTIFICIAL BEE

368
COLONY ALGORITHMS
A DETAILED ANALYSIS OF OPTICAL CHARACTER RECOGNITION (OCR) TECHNOLOGY 374
AN ANALYSIS ON THE COMPARISON OF THE PERFORMANCE AND CONFIGURATION FEATURES OF
380
BIG DATA TOOLS SOLR AND ELASTICSEARCH
CLASSIFICATION OF HEURISTIC INFORMATION BY USING MACHINE LEARNING ALGORITHMS 387
CLASSIFICATION OF CREDIT CARD CUSTOMERS PAYMENT STATUS BY USING KNN AND MLP
390
ALGORITHMS
BLIND AUDIO SOURCE SEPARATION USING INDEPENDENT COMPONENT ANALYSIS AND
393
INDEPENDENT VECTOR ANALYSIS
NOTE RECOGNITION FROM MONOPHONIC MUSICAL SIGNALS BY USING NEURAL NETWORK 397
APPLICATIONS OF FUZZY LOGIC IN BUILDING PERFORMANCE EVALUATION 401
MACHINE LERANING TECHNIQUES FOR OCCUPATIONAL ACCIDENT CLASSIFICATION IN MINE
406
INDUSTRY
HYBRID ASSESSMENT BY MODIFIED TRANSLATED MULTIPLICATIVE AND MCCULLOCH-PITTS
411
NEURONS MODELS FOR MONK’S PROBLEM
A MODEL PROPOSAL FOR IMPROVING THE EFFICIENCY OF FACILITY LAYOUT IN EMERGENCY
416
SERVICE IN FACULTY OF MEDICINE
ANT COLONY BASED DYNAMIC NAVIGATION FOR TRABZON CITY 421
A ROBUST HAND POSE CORRECTION METHOD FOR PALMPRINT RECOGNITION 424
REGRESSION ANALYSIS OF FIRE DOORS RESISTANCE AND COMPARATIVE WITH ARTIFICIAL
430
NEURAL NETWORK APPLICATION
MOBILE ACCIDENT NOTIFICATIONS 435
REAL TIME BLOOD TYPE DETERMINATION BY GEL TEST METHOD ON EMBEDDED SYSTEM 438
MODELING OF COMPRESSIVE STRENGTH OF DIFFERENT SIZES WOOD MATERIALS BY REGRESSION
442
ANALYSIS
WIND POWER FORECASTING FOR THE PROVINCE OF OSMANIYE USING ARTIFICIAL NEURAL
446
NETWORK METHOD
PERFORMANCE ANALYSIS OF SPIRAL NEIGHBORHOOD TOPOLOGY BASED LOCAL BINARY
451
PATTERNS IN TEXTURE RECOGNITION
WAREHOUSE DESIGN APPLICATION WITH VIP PLANOPT IN A MANUFACTURING COMPANY 455
PERFORMANCE EVALUATIONS FOR OPENMP ACCELERATED TRAINING OF SEPARABLE IMAGE
463
FILTER
A PRELIMINARY SURVEY ON THE SECURITY OF SOFTWARE DEFINED NETWORKS 468
SEGMENTATION PROCESS ON VIDEOCAPILLARASCOPIC IMAGES BY MATCHED FILTER 474
THE DETECTION OF GASTRIC CANCER WITH SEMI-AUTOMATIC IMAGE PROCESSING TECHNIQUES 477
DECISION TREE APPLICATION FOR RENAL CALCULI DIAGNOSIS 481
CLASSIFICATION OF GENUINE AND COUNTERFEIT BANKNOTES BY USING DATA MINING
486
ALGORITHMS
SPEED CONTROL OF DC MOTOR USING TYPE 2 FUZZY CONTROLLER 489
STATE SPACE MODELLING AND REALIZATION OF FLYBACK CONVERTER CIRCUIT 492
STUDY ON POWER FACTOR CORRECTION USING FUZZY LOGIC EXCITATION CONTROL OF
496
SYNCHRONOUS MOTOR
CHAOTIC ENCRYPTION BASED DATA TRANSMISSION USING DELTA AND DELTA-SIGMA
501
MODULATORS
PERFORMANCE COMPARISON OF PSFB-PWM CONVERTER AND LLC RESONANT CONVERTER FOR
507
ON-BOARD ELECTRICAL VEHICLE BATTERY CHARGER
CURRENT-MODE RAIL-TO-RAIL INSTRUMENTATION AMPLIFIER FOR GENERAL PURPOSE
512
INSTRUMENTATION APPLICATIONS
MEASUREMENT AND COMPARISON OF SIGNAL LEVELS OF GSM900, GSM1800 AND UMTS BANDS 518
DESIGN AN ULTRA-WIDE BAND MICROSTRIP PATCH ANTENNA FOR MICROWAVE IMAGING
522
SYSTEMS
x
A SIMPLE AND EFFICIENT APPROACH TO COMPUTE THE OPERATING FREQUENCY OF ANNULAR

RING PATCH ANTENNAS BY USING ANN WITH BAYESIAN REGULARIZATION LEARNING 525
ALGORITHM
CONTROL OF A THREE-PHASE BOOST RECTIFIER FOR HIGH-SPEED BLDC GENERATORS USED IN
530
FLYWHEEL ENERGY STORAGE SYSTEM
LOW NOISE HIGH GAIN WIDE BANDWIDTH FOLDED CASCODE CMOS OP AMP BASED ON BIASING
536
CURRENT TECHNIQUE FOR ECG SIGNAL APPLICATIONS
RESIDUAL LSF VECTOR QUANTIZATION USING ARMA PREDICTION 541
A LOW COST SMARTPHONE CONTROLLED WIRELESS DATA LOGGER SYSTEM FOR MONITORING
544
OF SAFETY CRITICAL AREAS
HIGH GAIN, DIRECTIONAL AND TRIPLE BAND RECTANGULAR MICROSTRIP ARRAY ANTENNA
549
DESIGN
PROPOSAL AND ANALYSIS OF A NEW SPECTRUM SENSING ALGORITHM FOR COGNITIVE RADIO
554
DRIVEN HOSPITALS
PERFORMANCE EVALUATION FOR A PMSG WITH INTERIOR ROTOR OF N35 AND N42 NDFEB PMS
559
HAVING SAME GEOMETRY IN MICRO WIND TURBINES
OBSERVER DESIGN FOR THE HODGKIN-HUXLEY NEURONAL MODEL 564
SIMPLIFIED MINLLR EARLY STOPPING CRITERION FOR BELIEF-PROPAGATION BASED POLAR CODE
570
DECODERS
DISTRIBUTION NETWORK RECONFIGURATION FOR LOSS REDUCTION AND VOLTAGE PROFILE

574
IMPROVEMENT USING B-PSO
A DESIGN OPTIMIZATION STUDY OF THE OUTER ROTOR PMSM WITH GENETIC ALGORITHM AND
580
DIFFERENTIAL EVOLUTION ALGORITHM
MICROPROCESSOR BASED ANTENNA RECONFIGURATION CONTROLLER FOR 5G
583
COMMUNICATION SYSTEMS
NEUROSKY EEG BIOSENSOR USING IN EDUCATION 586
ADAPTIVE FAULT TOLERANT CONTROL FOR A LIQUID TANK PROCESS 589
RSSI AND FLOWER POLLINATION ALGORITHM BASED LOCATION ESTIMATION FOR WIRELESS
596
SENSOR NETWORKS
DEVELOPMENT OF CASCADE H BRIDGE MULTI LEVEL INVERTER FOR PHOTOVOLTAIC PANELS 602
SVDD BASED DATA DRIVEN FAULT DETECTION 610
LINE OF SIGHT LOS PROBABILITY PREDICTION FOR SATELLITE AND HAPS COMMUNICATION IN
614
TRABZON TURKEY
A SIMPLE STATE OBSERVER DESIGN FOR LINEAR TIME INVARIANT DYNAMIC SYSTEMS VIA
621
TAYLOR SERIES APPROXIMATION
SHORT CIRCUIT ANALYSIS IN ISLAND MODE USING ETAP 628
TRANSMISSION AND REFLECTION CHARACTERISTICS OF FOURFOLD ROTATIONALLY SYMMETRIC
632
RECTANGULAR NANOAPERTURE ANTENNA ARRAYS
COMPARISON OF PILOT BASED AND SEMI-BLIND CHANNEL ESTIMATION TECHNIQUES IN
635
MULTIPLE INPUT MULTIPLE OUTPUT COMMUNICATION SYSTEMS
CLASSIFICATION OF DIGITAL MODULATION SIGNALS WITH TIME-FREQUENCY TEXTURE FEATURES
638
AND SUPPORT VECTOR MACHINES
PAPR REDUCTION IN OFDM SYSTEMS USING PARTIAL TRANSMIT SEQUENCE COMBINED WITH
643
CUCKOO SEARCH OPTIMIZATION ALGORITHM
WIFI CONTROL OF MOBILE ROBOT MOTION TYPES BASED ON DIFFERENTIAL DRIVE KINEMATICS
647
MODELING APPROACH
THE EFFECT OF VIEWING ANGLE ON DETECTION OF LANDMINES FROM THERMAL TIME SERIES
651
IMAGES USING ACTIVE THERMOGRAPHY
MORTAR MIXING AUTOMATION SYSTEM USING PLC BASED SCADA 656
REAL TIME APPLICATION OF SLIDING MODE CONTROLLER FOR COUPLED TANK LIQUID LEVEL
659
SYSTEM
xi
REAL-TIME SPEED CONTROL OF BLDC MOTOR BASED ON FRACTIONAL SLIDING MODE

666
CONTROLLER
DESIGN OF AN AUTOMATED DEVICE PROGRAMMING SYSTEM 672
HIGH GAIN MICROSTRIP PATCH ANTENNA ARRAY DESIGN FOR ISM 2450 MHZ 676
SEPARATION OF WHEAT SEEDS FROM JUNK IN A DYNAMIC SYSTEM USING MORPHOLOGICAL
679
PROPERTIES
DEFECTED GROUND STRUCTURE-BASED ULTRA-WIDEBAND TRIANGULAR PATCH ANTENNA 684
SPEECH DENOISING USING COMMON VECTOR ANALYSIS IN FREQUENCY DOMAIN 689
INTEGRATION OF SOFTWARE DEFINED RADIO AND ADD-ON BOARD FOR DIGITAL
695
COMMUNICATION EDUCATION WITH HANDS-ON APPLICATIONS.
REDUCING THE EFFECT OF IN BAND INTERFERENCE BY USING MUSIC ALGORITHM IN RADIO
700
CHANNEL DATA
MEASUREMENT AND EVALUATION OF ELECTROMAGNETIC POLLUTION IN SAMSUN CITY CENTER
703
BEFORE AND AFTER DEPLOYMENT OF 4 5G
MONITORING THE SIGNAL STRENGTH OF CELLULAR SYSTEM OPERATORS ON A UNIVERSITY
707
CAMPUS
THE STATE AND MOMENTUM EQUATIONS OF A NEW TYPE FIVE PHASES SEGMENTAL SWITCHED
712
RELUCTANCE MOTOR
LEAN SIX SIGMA APPLYING TO REDUCE THE MAINTENANCE TIME IN POWER PLANTS 718
ANALYSIS AND DESIGN OF AN AXIAL FLUX CORELESS PERMANENT MAGNET SYNCHRONOUS
722
GENERATOR WITH SINGLE STATORS AND DOUBLE ROTORS
DIRECT DIGITAL FREQUENCY SYNTHESIZER DESIGNS IN MATLAB 726
MEASUREMENTS OF HIGH FREQUENCY ELECTROMAGNETIC WAVES IN CENTER OF MUS 731
SIMULINK MODEL FOR PIECE WISE LINEAR APPROXIMATION OF MEMRISTOR 734
EKF BASED GENERALIZED PREDICTIVE CONTROL OF NONLINEAR SYSTEMS 739
ACTIVE FILTER DESIGN USING CUCKOO SEARCH ALGORITHM 746
PETRI NETS MODELLING OF A SMART BUILDING AS A CYBER PHYSICAL SYSTEM 750
SHORT TERM LOAD FORECASTING BASED ON ABC AND ANN FOR SMART GRIDS 755
A PSO TUNED FRACTIONAL ORDER PID CONTROLLED NON INVERTING BUCK BOOST CONVERTER
761
FOR A WAVE UC ENERGY SYSTEM
DETERMINATION OF THE APPROPRIATE FEATURE VECTOR FROM THE EEG SIGNAL FOR EPILEPSY
767
DIAGNOSIS
A COMPARISON OF THE PROGRAMMES USING FINITE ELEMENT SOFTWARE IN ELECTRICAL
771
MACHINE DESIGN
COMPARISON OF TWO DIFFERENT POWER CONTROLLERS FOR GRID TIED DISTRIBUTED
781
GENERATION SYSTEMS
A STUDY ON THE PARAMETERS OF PHOTONIC CRYSTAL FIBER MODES 788
OFFLINE VEHICLE TRACKING AND VISUALIZING ON DIGITAL MAPS 792
A COMPARISON STUDY ON PERFORMANCE INVESTIGATION OF SPEED ESTIMATION METHODS
797
FOR THE SENSORLESS DTC BASED AC DRIVES
ADAPTİVE CONTROLLER DESIGN BASED ON FRACTIONAL ORDER MEMRISTORS 802
DUAL-HOP DECODE-AND-FORWARD IDMA NETWORKS OVER NAKAGAMI-M FADING CHANNELS 807
PERFORMANCE OF DUAL-HOP DS-CDMA SYSTEMS WITH AF RELAYING OVER RICIAN FADING
811
CHANNELS
COMPARISON OF PWM AND PCM BASED DIGITAL-ANALOG CONVERTER STRUCTURES 815
A COMPARISON OF DIFFERENT PATCH SHAPES EFFECTS ON BANDWIDTH 819
EFFECT OF JUNCTION RECOMBINATION VELOCITY OF ELECTRIC AL PARAMETERS OF OF A
822
VERTICAL PARALLEL SILICON SOLAR CELL UNDER FREQUENCY MODULATION
OPTICAL PERFORMANCE INVESTIGATION OF A CLFR FOR THE PURPOSE OF UTILIZING SOLAR
831
ENERGY IN TURKEY
A PERFORMANCE EVALUATION OF SOLAR ENERGY PREDICTION APPROACHES FOR ENERGY-
836
HARVESTING WIRELESS SENSOR NETWORKS
xii
METHANOL COMBUSTION SIMULATION VIA CFD 841

AN ANALYTIC ASSESSMENT OF SHIP ENERGY EFFICIENCY IN MARITIME TRANSPORTATION
845
ENGINEERING
REVIEW OF THE BISMUTH TELLURIDE (BI2TE3) NANOPARTICLE: GROWTH AND
849
CHARACTERIZATION
DETERMINATION OF WIND ENERGY POTENTIAL OF CAMPUS AREA OF SIIRT UNIVERSITY 853
PD BASED CATALYSTS FOR FUEL CELL APPLICATIONS 860
EXPERIMENTAL INVESTIGATION AND FUZZY LOGIC MODELING OF PERFORMANCE HYDROXY DRY
863
CELL WITH DIFFERENT PLATE COMBINATION
A WIND POWER PLANT FEASIBILITY STUDY FOR BURSA, GEMLIK REGION IN TURKEY BY WINDSIM
869
SOFTWARE
THERMODYNAMIC ANALYSIS OF THE ORGANIC RANKINE CYCLE AND THE EFFECT OF
874
REFRIGERANT SELECTION ON CYCLE PERFORMANCE
STUDIES ON THE ENERGY EFFICIENCY IMPROVEMENTS AT SEYDIŞEHIR ETI ALUMINIUM PLANT 879
USING OF BIOFUEL – DIESEL FUEL BLENDS IN A DIESEL ENGINE 885
THE DEPLOYMENT OF MICROGRID AS AN EMERGING POWER SYSTEM IN UZBEKISTAN 889
COMPARISON OF CFD AND XFOIL AIRFOIL ANALYSIS FOR LOW REYNOLD NUMBER 893
MINI SCALED HORIZONTAL AXIS WIND TURBINE ANALYSIS BY QBLADE AND CFD 897
WIND SPEED MODELLING USING INVERSE WEIBULL DISTRIBUTION: A CASE STUDY FOR BILECIK,
903
TURKEY
A SURVEY ON LEARNING SYSTEM APPLICATIONS IN ENERGY SYSTEM MODELING AND
907
PREDICTION
NUMERICAL SIMULATION OF A SINGLE PEM FUEL CELL WITH DOUBLE-SERPENTINE FLOW
912
CHANNEL
MONTHLY OPTIMIZATION OF A NEW HYBRID RENEWABLE ENERGY SYSTEM CONSIDERING
918
ENERGY AND AGRICULTURAL EFFICIENCY
LAMINAR NATURAL CONVECTION IN TRIANGULAR ENCLOSURES 922
DESIGN AND THERMAL ANALYSIS OF FREE PISTON LINEAR GENERATOR USING IN RANGE
926
EXTENDED ELECTRIC VEHICLES
THE EFFECT OF ADDING EN 2 ETHYLHEXYL NITRATE TO DIESEL ETHANOL BLENDS ON
931
PERFORMANCE AND EXHAUST EMISSIONS
OPTIMAL TILT ANGLE FOR OBTAINING MAXIMUM ENERGY IN PHOTOVOLTAIC SYSTEM FOR SIIRT
935
PROVINCE TURKEY
COMPUTATIONAL INVESTIGATION OF TURBULENT FLOW IN PIPES 939
EXPERIMENTAL DETERMINATION OF DRAG COEFFICIENTS FOR TORPEDO LIKE GEOMETRIES IN AN
949
OPEN WIND TUNNEL
CFD-BASED PERFORMANCE ANALYSES OF A FRANCIS TURBINE IN SEVERAL GUIDE VANE
956
POSITIONS
NUMERICAL ANALYSIS OF A SWEEP-TWIST WIND TURBINE BLADE 962
A REVIEW OF INDOOR LOCALIZATION USE CASES IN THE BUILT ENVIRONMENT 967
ENERGY ANALYSIS FOR AN AIR-CONDITIONING SYSTEM OF A COMMERCIAL AIRCRAFT: CASE
973
STUDY FOR AIRBUS A330
DETERMINATION OF VIBRATION CHARACTERISTICS ON VERTICAL AXIS OF A FOUR CYLINDER
980
GASOLINE ENGINE
ENERGY IMPORT DEPENDENCY AND SEEKING FOR NEW ENERGY TECHNOLOGIES EUROPEAN
983
UNION CASE
HEAT TRANSFER OF TWO PHASES WATER AIR IN HORIZONTAL SMOOTH AND RIBBED DUCTS 988
STEPPER MOTOR MOTION CONTROL THROUGH SERIAL COMMUNICATION USING FPGA-BASED
998
MICROCOMPUTER ARCHITECTURE AND EXAMPLE OF APPLICATION
A COMPARISONAL STUDY ON UNBALANCE FAILURE IN THE PERSPECTIVE OF VIBRATION AND
1002
ELECTRICAL CONSUMPTION ANALYSIS
xiii
DEVELOPMENT OF A 3D LASER SCANNING SYSTEM FOR LOCALIZATION AND MAPPING IN

1006
ROBOTIC APPLICATIONS
PID CONTROLLER DESIGN FOR HUMAN ELBOW THERAPY 1011
GAIN PARAMETER ADJUSTMENT METHODS COMPARISON OF CONTROLLER FOR AUTONOMOUS
1015
REHABILITATION DEVICE
THE REALIZATION OF A CONTROL ALGORITHM AND ITS PLC BASED PROGRAM ABLE TO
1020
AUTHORIZE FOUR DIFFERENT RANKS OF PRIORITY TO ELEVATOR USERS
ANALYSIS OF SUSPENSION SYSTEM FOR 3D PRINTED MOBILE ROBOT 1025
MODELLING AND CONTROL OF A SINGLE-WHEEL INVERTED PENDULUM BY USING ADAMS AND
1031
MATLAB
ANALYSIS OF MECHANICAL PROPERTIES OF SHAPE MEMORY ALLOYS 1034
TWO-DIMENSIONAL SENSOR LOCALIZATION USING DIFFERENT TYPES OF DISTRIBUTED SENSOR
1038
NETWORKS
ROBUST VARIABLE STRUCTURE CONTROLLERS FOR AXIAL ACTIVE MAGNETIC BEARING 1043
IMPLEMENTATION OF FUZZY LOGIC BASED SPEED CONTROL OF BRUSHLESS DIRECT CURRENT
1049
MOTORS VIA INDUSTRIAL PC
ELECTROCHEMICAL DISCHARGE MACHINING A REVIEW 1056
COMPARATIVE ANALYSIS OF TRADITIONAL PRODUCTION SYSTEMS WITH FLEXIBLE
1059
MANUFACTURING SYSTEMS
ELECTRONICS OF A HOLONOMIC RESCUE ROBOT WITH A SCREW DRIVE MECHANISM FOR SOFT
1064
TERRAIN MOBILITY
DESIGN AND MANUFACTURING OF A MICRO-TENSILE TESTER 1072
ROBUST STABILIZATION OF A SERVOMECHANISM WITH RESPECT TO TIME DELAY 1077
BALANCE CONTROL SYSTEM APPLICATION FOR ON VEHICLE MOBILE CRANE 1085
TUNING OF DISCRETE PID CONTROLLERS USING DOMINANT POLE PLACEMENT APPROACH FOR
1088
TIME DELAY SYSTEMS OF ANY ORDER
DESIGN AND IMPLEMENTATION OF A MICROCONTROLLER CONTROLLED DIGITAL MAHYA 1094
AN OFF-LINE SIMULATION TOOL FOR PUMA ROBOT USING UNITY 3D 1097
PROTOTYPING MULTIAXIS 3D WEAVING: FABRICATION 3D PREFORMS FOR COMPOSITES 1104
AN INVESTIGATION ON MICROSTRUCTURE AND MECHANICAL PROPERTIES OF ALC ADDED PM
1107
STEELS
PROPERTIES OF EPOXY COMPOSITES INCLUDING VOLCANIC TUFF 1111
LOW VELOCITY IMPACT RESPONSE OF NANO-CACO3 MODIFIED EPOXY/CARBON FIBER
1116
LAMINATED NANOCOMPOSITES
STUDIES ON THE PREPARATION AND MECHANICAL PERFORMANCE OF THE
1120
NANOCLAY/MULTIWALL CARBON NANOTUBE HYBRID EPOXY NANOCOMPOSITES
WEAR AND EXFOLIATION CORROSION BEHAVIOR OF AA7075-SICP COMPOSITES FABRICATED
1124
USING POWDER METALLURGY AND HOT EXTRUSION
MODELING OF WOOD BONDING STRENGTH BASED ON SOAKING TEMPERATURE AND SOAKING
1128
TIME BY MEANS OF ARTIFICIAL NEURAL NETWORKS
FRICTION WELDING OF AZ91 AND 316 L STAINLESS STEEL 1133
A COMPARATIVE INVESTIGATION OF THE EFFECTS OF BRASS AND COPPER ELECTRODES IN HOLE-
1136
EDM PROCESS
INVESTIGATION OF THE PROCESS PARAMETERS OF SHEET METAL BLANKING PROCESS BY USING
1141
FINITE ELEMENT METHOD
MESO/MINIATURE FORMING WITH FLEXIBLE DIE 1146
TENSILE AND FLEXURAL BEHAVIOR OF NANO-SILICA MODIFIED KEVLAR-CARBON HYBRID
1151
COMPOSITES
INFLUENCE OF PERLITE PARTICLE INCLUSION WITH ADHESIVELY BONDED SINGLE STRAP REPAIRS
1155
ON TENSILE PROPERTIES OF S-GLASS/EPOXY COMPOSITE LAMINATES
EFFECT OF OLIVE POMACE CONTENTS ON MECHANICAL PROPERTY OF GLASS FIBER REINFORCED
1159
EPOXY COMPOSITES
xiv
EFFECT OF DENSITY AND BLEND RATES OF COMPOSITE PANELS REINFORCED WITH POLYESTER
1163
FIBRES TO TENSILE RESISTANCE
ELECTROCHEMICAL STUDIES ON POLY(3,4-ETHYLENEDIOXYTHIOPHENE) POLYMER AND ITS
1168
POTENTIAL APPLICATION IN ELECTROCHEMICAL CAPACITOR
THE EXPERIMENTAL AND THEORETICAL STUDIES OF THE CHARACTERISTICS OF LSPR PEAKS OF
METAL NANOPARTICLES CONTROLLED BY AR AMBIENT GAS PRESSURE FOR THE EFFICIENCY IN 1175
THE SOLAR CELL
INVESTIGATION OF THE EFFECT OF NANOCLAY INCLUSION ON CHARPY IMPACT BEHAVIOR OF
1179
THE GLASS FIBER REINFORCED COMPOSITE LAMINATES
THE EFFECT OF NANOCLAY ON TENSILE AND FLEXURAL BEHAVIOR OF GLASS FIBER REINFORCED
1183
COMPOSITE LAMINATES
DENSIFICATION AND MECHANICAL BEHAVIOR OF ALUMINA MATRIX NANO METAL COMPOSITES 1186
EFFECTS OF SI AND MN ON MACHINABILITY AND WEAR RESISTANCE OF AS91 AND AM90
1190
MAGNESIUM ALLOYS
INVESTIGATION OF METALLURGICAL AND MECHANICAL PROPERTIES OF WELDED REGION OF API
1195
5L X80 STEEL MERGED BY SUBMERGED ARC WELDING METHOD
CHARACTERISATION OF NITI - TI POWDERS PROCESSED BY MECHANICAL ALLOYING TECHNIQUE 1200
HYDROPHILICITY PROCEDURE OF AGAVA AMERICANA L FIBERS WITH ECOLOGIC METHODS 1205
TRADITIONAL PRODUCTION AND WEAR BEHAVIOR OF COMPOSITE MATERIALS REINFORCED
1209
WASTE
TO SELECT ALUMINUM AL ALLOYS FOR MANY APPLICATIONS WITH THE HELP OF AN EXPERT
1218
SYSTEM
MECHANICAL AND THERMO-MECHANICAL BUCKLING ANALYSES OF COMPOSITE CYLINDRICAL
1223
SHELLS
TERMO MECHANICAL VIBRATION OF FUNCTIONALLY GRADED NANO PLATES AND BEAMS BASED
1227
ON COUPLE STRESS THEORY
EXPERIMENTAL INVESTIGATION OF THE BENDING OF LOCALLY HEATED AZ91B MAGNESIUM
1232
ALLOY SHEET
DRYING OF IONIC HYDROGELS USING FLUORESCENCE TECHNIQUE 1237
WEIGHT REDUCTION STUDY ON BIW BY USING BORON ALLOYED HOT STAMPING SOLUTION OF
1242
FRONT FRAME RAIL INSTEAD CONVENTIONAL HSS OR AHSS APPLICATIONS
WELD CURRENT EFFECT ON THE TENSILE STRENGTH OF COLD ROLLED TWIP980 STEEL JOINTS
1247
WELDED BY RESISTANCE SPOT WELDING
THE PHASE COMPOSITION AND MICROSTRUCTURE OF CLINOPTILOLITE BY ADDITION OF AL
1252
POWDER
IMPROVING DIE FILLING UTILIZING BI-DIRECTIONAL FORGING PROCESS 1256
BURST FAILURE OF NANO SILICA ADDED 55 6 FILAMENT WOUND BFR EPOXY COMPOSITE PIPE 1261
POTENTIAL APPLICATIONS OF NANO-SILICA PARTICLES IN CIVIL ENGINEERING 1265
COMPARISON OF OPTICAL AND ELECTRICAL CONDUCTANCE AND REFRACTIVE INDEX VALUES OF
1270
THE PTCDI C5 SMALL MOLECULE FOR VARIOUS RELATIONS AND CONDITIONS
ANALYSIS OF REFRACTIVE INDEX DISPERSION AND RELATION BETWEEN OPTICAL BAND GAPS
1275
AND INDEXES OF REFRACTION OF PPTTPP NANOFIBER
ANALYZING THE EUTECTIC AL SI ALLOYS MODIFICATION USING AL10SR AND CUSN5 MASTER
1279
ALLOYS
DETECTION AND COUNTING OF EMBRYONIC STEM CELLS IN FLUORESCENCE MICROSCOPY
1283
IMAGES BY A FULLY AUTOMATIC METHOD
DEVELOPING SOME BIOLOGICAL SYSTEM OF NANO HYBRID PEEK/PVDF REINFORCED WITH NANO
1288
HA , ZRO2,Y2O3 FOR INTERNAL FIXATION OF BONE FRACTURE.
ACTIVE CONTOUR BASED DEVELOPMENTAL HIP DYSPLASIA DIAGNOSIS WITH GRAF METHOD 1299
STRUCTURAL ELEMENTAL AND MOLECULAR CHARACTERIZATION OF HUMAN ARTICULAR
1305
CARTILAGE
STIFFNESS ANALYSIS OF ABOVE KNEE PROSTHESIS 1310
xv
A VISUAL STIMULUS MODULE FOR P300 BASED BRAIN COMPUTER INTERFACES 1315
PULSE OXİMETER AND WIRELESS TELEMETRY FOR VENTILATION OXYGEN SUPPORT 1321
EVALUATION OF THE COMPOUND MUSCLE ACTION POTENTIAL IN DIAGNOSIS OF THE MILD
1327
CARPAL TUNNEL SYNDROME
FEATURE SELECTION ON MR IMAGES USING GENETIC ALGORITHM WITH SVM AND NAIVE BAYES
1333
CLASSIFIERS
SMART DEVICES BASED REMOTE PATIENT MONITORING SYSTEM 1338
DESIGN AND CONSTRUCTION OF A NOVEL MICRO-EXTRUSION SYSTEM FOR BIO-PRINTING
1342
APPLICATIONS
A GENUINE GLCM-BASED FEATURE EXTRACTION FOR BREAST TISSUE CLASSIFICATION ON
1347
MAMMOGRAMS
FOUR-HEADED ARROW SHAPED DUAL BAND PERFECT ABSORBERS FOR BIOSENSING
1353
APPLICATIONS
BIOMECHANICAL CONSIDERATIONS IN FRACTURE FIXATION USING ORTHOPAEDIC IMPLANTS 1357
THE ASSESSMENT OF TIME DOMAIN FEATURES FOR DETECTING SYMPTOMS OF DIABETIC
1362
RETINOPATHY
RECOGNITION OF COMMON LUNG SOUNDS USING PCA AND SUPPORT VECTOR MACHINES 1367
RFID TAG ANTENNA DESIGN IN DIFFERENT ISM BANDS FOR IMPLANT IDENTIFICATION 1372
CLASSIFICATION OF STRUCTURAL MRI FOR DETECTING ALZHEIMER S DISEASE 1376
EXAMINATION AND CLASSIFICATION OF ROBOTS USED AT THE HEALTH SECTOR, AND SOME
1380
RECOMMENDATIONS FOR DISADVANTAGED CIRCUMSTANCES
THE DIAGNOSIS AND ESTIMATE OF CHRONIC KIDNEY DISEASE USING THE MACHINE LEARNING
1384
METHODS
PID CONTROL PERFORMANCE IMPROVEMENT FOR A LIQUID LEVEL SYSTEM USING PARAMETER
1389
DESIGN
COMPARING THE THERMAL PERFORMANCE OF TRADITIONAL BUILDING AND REINFORCED
1396
CONCRETE BUILDING BASED ON TS 825 (THERMAL INSULATION REQUIREMENTS FOR BUILDINGS)
A MATLAB SIMULATION OF POSITIONING OF POLITICAL PARTIES IN THE OPINION SPACE 1403
ABOUT ONE APPROACH TO INTELLIGENT MANAGING OF HEALTH SPECIALISTS LABOR MARKET 1408
DETERMINING EFFECTS OF FLEXIBLE STRUCTURE AND NON-RANDOM ROAD IRREGULARITY ON
1413
PASSENGER COMFORT USING A QUARTER CAR MODEL
STATISTICAL PROCESS CONTROL OF ASH CONTENT FOR 10 0 5 MM COAL PRODUCT OF HEAVY
1418
MEDIUM CYCLONE
INVESTIGATION OF WINGLET SHAPE EFFECT ON THE DRAG AND LIFT FORCE OF AIRCRAFT WING 1424
BIOGEOGRAPHY-BASED OPTIMIZATION ALGORITHM FOR DESIGNING OF PLANAR STEEL FRAMES 1430
BLADE NUMBER EFFECT ON THE THRUST, TORQUE AND POWER OF PROPELLER 1435
GENERATION OF DIGITAL TERRAIN MODEL FROM UN-MANNED AERIAL VEHICLE IMAGE DATA 1439
USING NANOFIBERS IN FREQUENCY SELECTIVE SURFACES AS DIELECTRIC SUBSTRATE 1446
T0 EXTENDED PSEUDO-SEMI METRIC SPACES 1448
T0 REFLEXIVE SPACES 1452
REMOVAL OF CONGO RED ANIONIC DYE FROM AQUEOUS SOLUTIONS BY ADSORPTION ONTO
1455
OLIVE POMACE
COMPARISON OF ASSOCIATION ANALYSIS ALGORITHM IN SPSS CLEMENTINE AND AN
1458
APPLICATION
NARMA-L2 CONTROLLER BASED ON ONLINE SUPPORT VECTOR REGRESSION 1462
DEFINING THE PLANTATION ROLE TO MITIGATE THE URBAN HEAT ISLAND EFFECTS ON GLOBAL
1469
WARMING USING THERMAL SATELLITE SENSORS
AN INTEGRATED APPROACH FOR SUSTAINABLE SUPPLIER SELECTION IN FUZZY ENVIRONMENT 1473
THE MINIMIZATION OF TORQUE RIPPLES OF SEGMENTAL TYPE SWITCHED RELUCTANCE MOTOR
1479
BY PARTICLE SWARM OPTIMIZATION
A NEW SUBSPACE BASED SOLUTION TO BACKGROUND
1485
MODELLING AND CHANGE DETECTION
xvi
A LITERATURE REVIEW OF WIND SPEED PREDICTION

1491
TECHNIQUES
A NOTE ON BACKGROUND SUBTRACTION BY UTILIZING A NEW
1497
TENSOR APPROACH
xvii
_____________________________________________________________________________________________________________
An Efficient Resource Management in Cloud

Computing
Bashir Yusuf Bichi*, TuncayErcan*,AnasMu’azuKademi*
#
Yasar University, Department of Computer Engineering
Izmir,Turkey
bbichi2009@yahoo.com, tuncay.ercan@.yasar.edu.tr
anasmkademi@gmail.com
Abstract— Ascloud computing is gaining more recognition to the algorithmshave been designed so far, and the need for much
public, request for services to a given task within the virtual more efficient algorithm that, with other things, also fairly
environment of the cloud also increases.This paper proposed a allocate the loads across the system is high. Moreover, each
max-min algorithm liked technique with the aim ofdevelopinga developed algorithm has its own draw back and mostly
new framework that tends to balance the load that may be
performs better in one application than in others [12].
experienced due to the high demand of resources by a set of task
within the virtual environmentof the cloud computing ecosystem. Load balancing, the absence of which negatively rises some
issues (in performance, availability), is one of the primary
Keywords— Load balancing, Max-min algorithm, Makespan, challenges in cloud computing [12] [14]. For improvement
Min-min algorithm, Task Scheduling, Resource Allocation. upon the available solutions, of which min-max relatively
performs well [13], a modified and extensively improved
I. INTRODUCTION algorithm is formed.
The fast development in the area of computing gives users The other part of this paper is organized as follows: Section
of computer system the opportunity to have access as well as 2 discussed on some previous studies related to task
exploit the vast resources that are contained within the system. scheduling algorithms. In Section 3 and 4 we introduce some
Cloud Computing is seen as a new technology that adopt the concept with regard to the technique for task scheduling and
aspect of distributed computing and internet. The concept of resource allocation in cloud computing, section 4 discuss on
cloud is to allow a client or a customer to have access to the issues pertaining load balancing, mathematical
computing resources through the use of web services in a formulation, and the proposed algorithm.In section 5,
more efficient manner. Resources in the field of information mathematical simulation and results arediscussed, and lastly
and communicationtechnology are more or less the concluding remarks are given in Section 7.
fundamental elements that include some part of computer
systems, computer networks, software application and so on. II. RELATED WORK
Managing these resources involve controlling and limiting As research in cloud environment is increasing, task
access to the pool of resources that are been shared. This scheduling needs to be more scalable to the user demands.
brings the concept of an agreement between the resource [1][2] Uses a technique known as improved max-min
services providers and the clients otherwise known as Service algorithm and enhance max-min algorithm respectively with
Level Agreement (SLA), The idea behind the SLA is to the aim of distributing the load among the available resources.
restrict access to a given resources. [1] is a modification of [2] in which both uses the max-min
Cloud resource management may involve some policies task scheduling algorithm. This paper employs the technique
such as admission control, Quality of Service (QoS) which in [1] to propose another algorithm that will help in balancing
involves specification from SLA. Other policy which is the load across the virtual resources and to allow for scalability
main topic regarding this research is Load Balancing which when handing task with the aim of improving the performance
involves balancing the work load evenly among the cloud of the system. Load balancing over resources in the cloud
servers.The cloud services are provided to customers through environment is used toachieveminimum load when using
the use of virtual hardware, the services provided to the client resources, different methods are use to achieved such balance
such as IaaS, SaaS, and PaaS as shown in Fig. 1can be scale as stated in [7, 8, and 9]. Based on these methods, we take
up or down depending on the client’s level of usage and the interest in max-min algorithm and shows how load can be
SLA adopted . balanced across different resources in the cloud environment.
Revolutionary increase of users and demand for various
services parallel with the need for efficient resources usage III. CLOUD COMPUTING AND TASK SCHEDULING
reveal that load balancing should be done correctly and As the aspect of parallel and distributed computing
efficiently. The aimed of which is to optimize involves Cloud computingwhich is a collection of computers
resourceutilization, maximize throughput, minimize response that are interconnected and virtualized as one computing
time, and avoiding overload. Many load balancing
____________________________________________________________________________________________________________
1
_____________________________________________________________________________________________________________
resources, cloud client get access to the resources through the include storage, memory, network bandwidth, and virtual
SLA [11]. machine [3]. The resources can be virtualized and provisioned
As mention previously cloud computing offers software, from the existing physical resources in the cloud environment.
platform, and infrastructure as a service respectively. The The parameters that are virtualized include; the CPU, memory,
software as a service includes providing software such as Mail disk etc. The provisioning can be done by mapping these
(e.g. Gmail, Yahoo mail), social network sites, Google drive, virtualized resources to their corresponding physical ones.
and so on, to the customers or clients. The infrastructure as a Resource allocation in cloud computing is all about assigning
service deals with VM, storage, network, load balancer and so available resources to a needing cloud application. Dynamic
on as a service to the client and lastly the platform as a service resource management is seen as a very active research area in
deals with database like sql, oracle, web services, runtime (e.g. the field of cloud computing. The cloud computing resources
java) and so on as a service to the client. The clients get access costs vary depending upon the type of configuration for using
to these services through various devices as shown in the such resources. Therefore an efficient use of these resources is
figure below [3] [4]. considered as a prime interest for both the customer/client and
the cloud provider. Resource allocation in cloud computing
takes place in two levels [5];firstly load is balanced within the
physical machine whenever an application is uploaded and
secondly, request are assigned to a specific application if there
are multiple request for the resource.
Resource allocation exhibits some benefits irrespective of

the organization size or business market. It also have some
limitations, below are some set of advantages and limitations
of resource allocation [6]; among the advantages is that users
shares their resources whenever there is scarcity of resources.
The limitation may arise in the aspect of securitywhich is a
major challenge and another setback is that migration issue
may arise whenever a client decides to switch service
providers.
Fig.2.ServicetypesinCloudComputing
[http://en.m.wikipedia.org/wiki/Cloud_computing]. V. LOAD BALANCING AND TASK SCHEDULING ALGORITHM
Load balancing is a technique used to distribute processing
Task scheduling is a well known concept as it is a vital load (i.e. large processing load) to smaller processing nodes
aspect in cloud computing. It allows for scheduling virtual (i.e. resources) to enhance the overall performance within the
resources over the cloud to keep a balance load across the system in a distributed environment as shown in fig.2 above.
resources [7] as indicated in the figureFig. 2 below. The idea of load balancing is to avoid loading up a resource
during task scheduling so that all the resources will be
Resource allocated with a task evenly across a given virtual
Monitor R1
environment. Various load balancing algorithms exist as
stated in [7] with the aim of distributing the task’s load across
R2 resources. Some of these algorithms include;
Task
 Min-Min Algorithm
Set of Task
scheduler This algorithm has all the relevant information needed in
advance. The algorithm uses some parameters to obtain the
R information it needs. Some of these parameters are; ETC
(Expected Time Compute), MET (Minimum Execution Time),
Fig. 2 -Task Scheduling for Different Resources MTC (Minimum Completion Time) etc. The Min-Min
algorithm selects a task with minimum completion time and
IV. VIRTUAL RESOURCES AND ALLOCATION maps it with a node with a minimum completion time [8].
As it is shown in Fig. 2 above, the users send task to the
cloud environment with different requirement to the cloud  Max-Min Algorithm:
service providers. The requirement can be tasks with different Max-min algorithm chooses large task to be executed firstly
set of data size and processing power, the task scheduler will before executing small once [10]. This algorithm works
then match the tasks with available resources (virtual almost the same way as the Min-Min algorithm except in
resources) that are available. Max-Min the task with maximum value is selected from the
Resources in cloud computing cover all useful entities set of execution time of tasks and maps it to a node with
which can be use through the cloud platform. These resources
____________________________________________________________________________________________________________
2
_____________________________________________________________________________________________________________
minimum completion time. The ready time of the node is The Max-min algorithm allocated task tito resource vj such
updated by adding the execution time of the task [7, 8]. that large tasks have higher priority. For instance for a given
As the cloud users sends task to the cloud environment with large task, the max-min algorithm execute smaller task
different requirement to the cloud service providers. The concurrently while running large tasks. Therefore, the largest
requirement can be tasks with different set of data size and task determines the total makespan for other resources. The
processing power, the task scheduler will then match the tasks improved max-min algorithm is given below [2].
with available resources (virtual resources) that are available.
For all submitted tasks in Meta-task;
Some mathematical relations are given in [9] to analyze for all resources;
resources scheduling in cloud computing which are employed C = E +t
and used in this paper are given below. Find task t costs maximum execution time
Assign task t to resource v which gives minimum
completion time
The set of VMs V with their respective processing power is Remove task t from Meta-tasks set.
given as; Update t for selectedv .
Update c for all j.
While Meta-task not Empty
= | = 1,2, … (1) Find task t costs maximum execution time.
Assign task t to resource v which gives minimum
The set of tasks is also given as completion time
Remove Task t form Meta-tasks set.
Update t for selectedv .
= , | = 1,2, … (2) Update c for all j.
Where
= processing speed (MIPS) 

Proposed Algorithm
= given task i The improved max-min algorithm is reliable and proved to
be efficient in scheduling the set of tasks to the available
=Data file size of a given task (Mb) resources. However to make effective and sufficient use of
resource a proposed algorithm was introduced which is based
= Processing power (MI) of a task on the improved max-min algorithm but small changes are
made to make sure that all resources are used sufficiently and
to minimize the use of these resources if few once can
With above equations (1) and (2) the expected execution time
perform the task. The proposed algorithm is shown in the
(EET) for a given task by a virtual resource can be obtained as;
pseudo code below;
= ( )/ ( (3) For all submitted tasks in Meta-task; Ti

For all resources; Rj
Now with equation (3) above, another metric can be obtained, Cij = Eij + tj
which is the completion time (CT) of task by a given Find task Tk costs maximum execution time
resource. Assign task Tk to its corresponding resources Rj
Remove task Tk from Meta-tasks set.
Update rj for selected Rj.
(, ) = (, ) + (4) Update Cij for all j.
Pivot= Tk;
Where indicate the starting time of the execution of task . For all updated task in Meta-task; Ti
For all updated resources; Rj
Find task Th costs maximum execution time
Using (4), another important metric can be obtained, which is Assign task Th to its corresponding resource Rj
called the makespan, define as a measure of the throughput of Remove task Th from Meta-tasks set.
Update rj for selected Rj.
the heterogeneous computing system [7]. Update Cij for all j.
2pivot= th
= ∈ , ∈ )( , ) (5) While Meta-task not Empty
This paper employs a known scheduling algorithm called an Find task Tg costs maximum execution time.
If 2pivot+tg ≤Pivot then
improved max-min algorithm from [1] and then based on this Assign task Tg to previous resource Rj which
algorithm we propose another algorithm that will help in gives minimum completion time
balancing load across the VMs’ resources to improve the Remove Task Tg form Meta-tasks set.
performance of the system. Update rj for Selected Rj.
Update Cij for all j.
Update 2pivot.
 Improved Max-Min Algorithm Else
Assign task Tg to resource its
corresponding resource Rj
Remove Task Tk form Meta-tasks set.
Update rj for Selected Rj.
Update Cij for all j.
____________________________________________________________________________________________________________
3
_____________________________________________________________________________________________________________
In the algorithm the total makespan is made to be a pivot 1 By given this criteria, the resources can be used in a
value for the first step and another pivot 2 value is assigned balanced manner and fewer resources can be used, the
during the second step of the execution. Then during the next remaining resources will not be involved to minimize the use
execution step the second pivot value and the completion time of such resources. The aim of the above algorithm when
of the current state are summed up together. If they are greater compared to the improved Max-Min algorithm is to make
than the first pivot value, then a new resource is allocated to effective used of the available resource during scheduling.
that task. The flowchart for the above pseudo code is given in the
figure (Fig. 3)
Start
Compute Expected
Execution Time of each
task
Select task tk with maximum

EET then assign it to
corresponding resource
Delete task tk
Update EET of the meta-
task set
Select task tg with Max

EET, then assign to
corresponding resource
Delete task tgfrom meta-

task set
update EET
Meta-task No
not empty
Select task with max EET
Y N
Assign task to
If corresponding
Pivot2+EET<pivot resource
Assign task to previous

resource with MCT
Delete task form meta-

task Update EET and
MCT
Stop
Fig. 3: Flowchart of ProposedAlgorithm
____________________________________________________________________________________________________________
4
_____________________________________________________________________________________________________________
VI. PROPOSED ALGORITHM RESULT AND ANALYSIS 9

Scenario: A theoretical analysis ofpredefined meta-task 8
values and resources are used to carry out the scheduling
process as given below. The tables underneath shows the 7
meta-task values and the resources used. 6
5 T2 T5
TABLE I
TASKS VALUES 4
Task Size of task (MI) Data volume (Mb) 3 T1
T1 522 200
2
1 T4 T3
T2 1128 500
0
T3 430 300
R1 R2 R3
T4 340 410
T5 570 328 Fig. 4: Chart for Resource Allocation for Max-Min Algorithm
Table he table (table 2) below holds the processing speed In contrast to theproposed max-min scheduling algorithm
and the bandwidth of the resources on a network system. the figure fig. 4 below shows how the allocation is performed.
TABLE 2
RESOURCE PROCESSING SPEED AND BANDWIDTH
Processing speed
R Bandwidth (MbPS)
(MIPS)
R1 130 100
R2 266 120
R3 294 150
Given the above values, Matlab is employed to compute the

expected execution time of each task and the results are
tabulated and analyzed as given in Table 3 below;
TABLE 3
EXPECTED EXECUTION TIME OF TASK
R1 R2 R3
T1 4.015 1.962 1.776 Fig. 5: Chart for Resource Allocation for proposed Max-Min Algorithm
T2 8.677 4.241 3.837 From the chart (fig. 4), the largest task T1 (the blue colour)
T3 3.308 1.617 1.463 has a maximum makespan of 8.031 and it’s scheduled to
T4 2.615 1.278 1.156 resource R1. The maximum makespan, is considered as the
maximum throughput for other resources the summation of
T5 4.389 2.143 1.938
the remaining task i.e. T4 (red), T3(green), T1 (purple) and T5
(dark purple) are not up to the maximum throughput therefore
From the tables above i.e. Table 3: Ti with maximum they are assigned to the second resource R2. This makes it
execution time is selected and then is assigned to the possible to balance different smaller tasks to run concurrently
corresponding resource Ri. Fig. 4 shows how the allocation on different resources across the system and also to use the
was performed based on the max-min idea, the task are resources wisely when needed. Another important factor
allocated to all the available resources within the scheduler, which is based on the on-demand characteristics of cloud
the processing time is measured in seconds. computing is that, the number of resources used is also
minimized and a resource can be put into use when there is a
demand for that resource. Based on the results obtained,
instead of assigning the load to the three resources, it’s
possible to assign the task to only two resources, thereby
increasing the efficiency of the system, thus we can have
many task running concurrently on some resources and other
resources can be put in use only when the need arise.
____________________________________________________________________________________________________________
5
_____________________________________________________________________________________________________________
VII. CONCLUSIONS
In conclusion Cloud Computing is an on-demand service,
therefore, efficient on-demand allocation of VM is needed. In
thispaper technique to handle on-demand allocation is
analysed and it proved to be effective. Allocation of resources
can be performed efficiently within a cloud environment by
balancing the load across the various virtual machine
resources, by employing an efficient technique for load
balancing such as the max-min algorithm that was used in this
paper.
The usage of max-min technique made it possible to handle
resources in an efficient and balanced manner. Thus, for a
better service to be experienced in a field of cloud computing,
a proper and efficient allocation techniques need to be adopted.
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Cloud Computing. International Journal of Computer Science and
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of Software Engineering and Application 2013.
[10] Pinal Salot , A survey of various scheduling algorithm in cloud
computing environment, IJRET | FEB 2013
[11] . Patel, Pankesh, Ajith H. Ranabahu, and Amit P. Sheth. "Service level
agreement in cloud computing." (2009).
[12] G. Gopinath, S. Vasudevan An in-depth analysis and study of Load
balancingtechniques in the cloud computing
environment.2ndInternational Symposium on Big Data and Cloud
Computing. 2015
[13] NayandeepSran, Navdeep Kaur. Comparative Analysis of Existing
Load Balancing Techniques in Cloud Computing.International Journal
of Engineering Science Invention.Vol. 2 Issue 1 2013. PP.60-63
[14] Garima Joshi, S.K. VermaA Review on Load Balancing Approach in
Cloud Computing.International Journal of Computer Applications
(0975 – 8887) Volume 119 – No.20, June 2015.
____________________________________________________________________________________________________________
6
_____________________________________________________________________________________________________________
A Model of Automatic Block Reallocation in the

Land Consolidation Projects Using Artificial Bee
Colony Algorithm
Yaşar İnceyol*, Abdurrahman Özbeyaz+
#*
Department of Geomatic, Faculty of Engineering, University of Adiyaman
02040 Adiyaman, Turkey
yinceyol@adiyaman.edu.tr
+
Department of Electric-Electronics Engineering, Faculty of Engineering, University of Adiyaman
02040 Adiyaman, Turkey
aozbeyaz@adiyaman.edu.tr
Abstract— Equitably reallocating of blocks among land owners providing fewer, more compact, contiguous and larger land
has been one of the most important tasks in Land Consolidation parcels for individual owners [2,3]. Land consolidation (LC)
studies. This task has to be fairly solved among landholdings for is a highly complex for spatial planning process because it
a land. This complicated problem is difficult to solve using linear involves many tasks, actors (landowners, rural engineers, local
methods. Therefore, a method is needed to solve this non-linear
and regional administrations, consultants) [4]. Lands of
problem among land owners impartially. There are many
applications employing optimization algorithms for solving the landholdings in Turkey are jointly owned, fragmented, away
complicated and non-linear problems in literature. When we from each other and in irregular geometric shapes. As a
examine the literature, it is seen that Genetic Algorithm has been consequence of that, because of non-monolithic parcels,
only used to overcome the block reallocation problem. Artificial increasing in workforce demand, a great loss of time and un-
Bee Colony (ABC) algorithm is one of the optimization cultivated areas, agricultural landholdings can’t use modern
algorithms that have been used to solve the non-linear and farming methods. Therefore, agricultural productivity
complicated problems in literature. Furthermore, this method decreases constantly. Besides, agricultural parcels continue to
has better performance when it is compared with the other be fragmented because of inheritance provisions, sale, newly
optimization algorithms. In this study, we have aimed to fairly
opened roads and irrigation channels. This situation makes LC
reallocate the landholding areas to blocks in a land by developing
an algorithm using Artificial Bee Colony optimization method. projects necessary on agricultural areas [5]. One of the
When we develop the steps of the algorithm, we give priority to important objectives of studies in agricultural LC is to
landholdings preferences and places of fixed installations. Data increase agricultural cultivation and to eliminate the problems
tables have been arranged by taking land consolidation data of in the agricultural structure. Land reallocation is the most
DOT Village in Adiyaman, Turkey that into consideration. DOT important stage of LC studies and a tool to rearrange
Village land consolidation project includes 143 blocks and 225 proprietary rights. In reallocation of parcels and their
landholders. Consequently, we have introduced the steps of an emplacement on lands, there are some technical obligations
algorithm solving the block reallocation problem automatically such as farmer’s wishes, fixed installations, roads and
using ABC for a sample land. Also, we have observed the
irrigation network and the most suitable dimension, geometry,
applicability of the proposed method for automatic block
reallocation problem in this study. This study is a preliminary size and direction of parcels. These obligations can be easily
study helping us to develop software providing to automatically overcame in the LC projects by using new computer
solve complicated block reallocation problem in real time land technologies employing mathematical models [6].
consolidation process. LC projects consist of various steps. Within these steps,
land reallocation is the most important and a time-
Keywords— Artificial Bee Colony Algorithm, Land consuming stage since high number of criteria are considered.
Consolidation, Automatic Block Reallocation, Landholding, Land reallocation is crucial for social peace to conduct land
Optimization reallocation studies in such way to meet the demands of
I. INTRODUCTION landowners and also the principles of equity and justice
[7]. Many different solutions have been suggested for the land
Land consolidation (LC) is an important component of reallocation process. These are based on many mathematical
determining the country farmland rational development models; model based on block priority [8–10], special-purpose
utilizing and improving the sustainable use of land resources. interface program to perform land reallocation [11,12], a new
Traditionally, LC is the most favourable land management model approach in reallocation [13], application of fuzzy logic
approach for solving land fragmentation and it has been in land reallocation [7], using the analytic hierarchy process
applied in many countries around the World [1]. Land in land consolidation [14], using the planning and decision
consolidation aims to change land ownership by redistribution support system in land consolidation [1], theoretical
____________________________________________________________________________________________________________
7
_____________________________________________________________________________________________________________
framework and application of the land-redistribution modules blocks. To this end, optimization studies have been conducted
[15], using genetic algorithm to land reallocation of land for land reallocation process [7]. The remaining amount after
consolidation [16], a spatial genetic algorithm for automating deducting the share from the total land amounts of each
land partitioning [17], a preliminary study for design of landholding in land consolidation area is placed in blocks, if
automatic block reallocation algorithm with genetic algorithm possible, in a single piece and as parcels in proper geometrical
method [5], comparison of designed different land reallocation shapes. In this location process; preferences of farmers, fixed
models [6]. installations and provisions of related legislation must be
Although Artificial Bee Colony (ABC) algorithm has been taken into account. As for this situation, new parcels can be
recently improved, there are lots of studies using ABC in placed in blocks in many different ways. Therefore, multiple
literature. Karaboga and Basturk compared the Genetic options and solutions emerge in this process. The aim is to
Algorithm (GA), Particle Swarm Optimization (PSO), Particle find the most appropriate solution for our goals. For this
Swarm Inspired Evolutionary Algorithm (PS-EA) and reason, block reallocation problem can be defined as an
Artificial Bee Colony Algorithm (ABC) in the optimization of ‘optimization’ process [5].
some numerical functions and they reported that ABC was
better [18]. Aydin et al. were modified the ABC algorithm and B. Application Area
they developed the Incremental ABC algorithm in which The study area, Dot Village is located in the east of
population size was grown over time and local search was Adıyaman Province (Fig. 1). It is situated 12 km along from
applied [19]. Kahta district and 35 km along from Adıyaman city centre. Its
Heuristic methods like swarm intelligence have been altitude is 660 m. Settlement area is on the hill and Atatürk
employed in complicated problems that are difficult to solve. Dam Lake coast. Çataltepe east of the village, west Sarısu
These methods simulate the social behaviours of animals like village, north Arılı and Zeytin villages, on the south west
bird flocking or fish schooling. Artificial bee colony (ABC) Beşaltı hamlet is located in the south Büyükbey village.
and genetic algorithm (GA) are examples of the heuristic Settlement area is between 38.170 East longitude and 37.450
methods. Solutions of automatic block reallocation problems North latitudes. Dot village LC project area is 1605.84
in land consolidation studies are difficult and this problem has hectares. There are 225 landholding and 143 blocks in the LC
been solved by traditional methods such block priority based. project area. There are 352 cadastre parcels and 688 numbers
However, as artificial intelligent systems like the heuristic of shares in the LC project area. Preference of 3 different
methods develop, the solution of such complicated problems blocks is made for each share.
is getting easier. Genetic algorithm (GA) is one of
optimization algorithms. This optimization method was firstly
demonstrated for solving the automatic block reallocation
problem in land consolidation projects in some studies [5,20].
Moreover, it was concluded that the optimization methods
was more successful than traditional one to reallocate the
blocks in a land consolidation project [20]. Artificial bee
colony algorithm (ABC) is an optimization algorithm which
can solve non-linear and complicated problems. This method
was firstly proposed in 2005 by Derviş Karaboga [18,21].
When ABC is compared with the other optimization
algorithms, it is seen to produce good results for complicated
problems described in literature. [22]. In this study, we
propose an algorithmic model that can automatically solve the
block reallocation problem in consolidation of a land using
ABC. The steps of this model are described in results.
In this paper, we described the steps of an algorithm to Fig. 1 Study Area
solve the block reallocation problem among landholders for
the land found in DOT village, Adiyaman-Turkey using ABC. C. Data Tables and Constraints
ABC algorithm is preferred because it is swarm intelligence Two data has been prepared for block reallocation. The first
and said to be better than the other optimization algorithms. In data include areas of cadastral parcels, the first degree fields
Sect. 2, the proposed ABC algorithm and some materials are of cadastral parcels prepared according to the index map and
described; in Sect. 3 results and discussion are presented; in farmer preferences. According to the data; there are 225
Sect. 4 conclusion is given. landholdings, 352 cadastral parcels and 688 numbers of shares
in the LC project area. Total of the first degree areas in
II. MATERIALS AND METHODS cadastral parcels is 9,528,608.84 m2 in the LC project area.
A. Block Reallocation in Land Consolidation The second data include block areas and the first degree
block fields. According to the data; there are 143 blocks in the
The problem encountered in LC projects can be defined as LC project area. Total of the first degree areas of blocks is
reallocating “n” number of cadastral parcels to “m” number of
____________________________________________________________________________________________________________
8
_____________________________________________________________________________________________________________
9,528,608.84 m2 in the LC project area. Cadastral parcels and optimization problems. There are three groups of bees which
block plan of DOT village are displayed in Fig. 2 and Fig 3 are employed, onlookers and scouts bees in the artificial bee
respectively. colony model. Initially, colony is divided two parts. The first
The constraints of block reallocation process are in the part of the colony includes the employed bees and second part
following: consist the onlookers. In the artificial bee colony the numbers
1- The first degree areas of the parcels. of food sources are equal to the number of employed bees in
2- Three preferences for parcel shares of landholdings. the artificial colony. The employed bee becomes the scout
3- Fixed installations. after the related food source is exhausted by the bees. The
4- Defendant parcels and grasslands located in multiple pseudo-code of ABC algorithm is given in the following Fig.
blocks. 2 [18,21].
• INITIALIZE.
• REPEAT.
(Step-1)Place the employed bees on the food sources
in the memory;
(Step-2)Place the onlooker bees on the food sources
in the memory;
(Step-3)Send the scouts to the search area for
discovering new food sources.
• UNTIL (requirements are met).
Fig. 2 The main steps of ABC algorithm.
E. Application of Algorithm
Our model includes three external functions. These three
functions generate population according to the constraints
expressed in section 2.C (function 1), calculate the fitness of
population (function 2) and select best population (function 3)
respectively. A population in our model includes 100 rows
(ensembles) and columns as the number of landholder. Each
Fig. 2 Cadastral Parcels of DOT Village column stores block numbers in which one landholder area is
located. Each landholder areas are randomly distributed to the
blocks except fixed installations in each ensemble. Our model
proposes to select the best ensemble in the population.
In the algorithm process, we set the initial values such that
colony size (number of employed bees + number of onlooker
bees) was 100; maximum cycle number in order to terminate
the algorithm was 2000; number of parameters of the
objective function was 225; control parameter in order to
abandon the food source was 100 and number of the runs was
three.
Generating of population worked as an external function in
the model. This function was designed such as; areas of
landholders having installations were fixed to their blocks for
each ensemble in the population because the fixed
installations found in the block areas couldn’t be changed. So
this situation was a limitation in the block reallocation process.
Areas of landholders having no fixed installations were
reallocated to remaining blocks in the model. Areas of
landholders having no fixed installations were fixed to first
preferences and second preferences in the first and second
ensembles of populations respectively. Third ensembles of
Fig.3 Block Plan of DOT Village population were generated such as; areas of landholders
having second preferences but third preferences and having
D. Artificial Bee Colony Algorithm three preferences were jointly fixed to their preferred blocks
Artificial Bee Colony algorithm was firstly proposed as an in third ensembles. The rest of the ensembles of the
optimization algorithm by Karaboga in 2005 [18,21]. population were composed such that the blocks were
Karaboga artificially simulated the intelligent behaviours of
bees in a real bee colony to solve multidimensional
____________________________________________________________________________________________________________
9
_____________________________________________________________________________________________________________
randomly reallocated for landholders regardless of their Step 19. Control the amount of food source in a limit rate.
preferences. (Scout phase)
Fitness function worked as an external function in our Step 20. Go to step 8.
model too. When one ensemble in the population was tested Step 21. Go to step 4.
with the fitness function in our model, we calculated the
settled areas and assessed the remaining areas information in
m2 for each block. And, we calculated settlements status to
the first, second and third preferences for each landholder.
Lastly, arithmetic means of these outputs assessed the fitness
status for each ensembles of population.
III. RESULTS AND DISCUSSION

In this study, we proposed to prepare the data tables of a
land found in DOT village, Adıyaman Turkey. Moreover, a
model was secondly developed to apply automatic block
reallocation in the land consolidation project. This model
aimed to use ABC algorithm. When we determined to use
ABC for block reallocation in land consolidation projects, the
previous studies in literature were examined and this
algorithm was observed to be more feasible than the other
optimization algorithms. As a result of the study, we
developed the pseudo codes of the model and the flow chart of
the algorithm applying automatic block reallocation process.
The flow chart (in Fig. 4) and the general pseudo code of the Fig. 4 Flow chart of the proposed algorithm
study are given in the following; IV. CONCLUSIONS
Step 1. Set the initial values (Colony Size, Max Cycles, Run
Time, Number of Parameters of objective function) In this study, required model to apply the land reallocation
Step 2. Load data belonging to the all areas and blocks using artificial bee colony algorithm in the land consolidation
Step 3. Set the global minimum (The amount of empty area projects were designed. In this design, the first three steps
in blocks must be min). before stage of writing codes with artificial bee colony
Step 4. If runtime number is achieved, finish the loop else go algorithm for land reallocation were completed. Namely, data
to next step. tables were prepared for a project land and reallocation
Step 5. Generate the initial colony conditions, constraints were identified for an example
Step 6. Divide the colony in two parts for employed and landholding and pseudo code and flow chart of block
onlookers bees phases. reallocation algorithm were prepared. In the future study, the
Step 7. Calculate the fitness of the employed colony codes of the block reallocation algorithm will be written
Step 8. If max cycle is achieved, finish the loop else go to according to developed these three steps.
next step.
ACKNOWLEDGMENT
Step 9. Change the individuals among ensembles as much as
employed population size and derive the new This study is supported by Adıyaman University’s
population. Scientific Research Fund - Project Number: MUFBAP/2015-
Step 10. Calculate the fitness of the new generated employed 0014.
colony.
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11
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A Comparative Study of Statistical and Artificial

Intelligence based Classification Algorithms on
Central Nervous System Cancer Microarray Gene
Expression Data
Mustafa Turan ARSLAN*, Adem KALINLI+
#
Department of Computer Technology, Kırıkhan Vocational School, Mustafa Kemal University, Turkey
mtarslan@mku.edu.tr
+
Department of Computer Engineering, Erciyes University, Turkey
kalinlia@erciyes.edu.tr
Abstract— A variety of methods are used in order to classify The interest in working with the rapid advancement of DNA
cancer gene expression profiles based on microarray data. microarray technology is increasing day by day. These studies,
Especially, statistical methods such as Support Vector Machines is a comprehensive technology used in molecular biology and
(SVM), Decision Trees (DT) and Bayes are widely preferred to medicine. DNA microarray data analysis plays an important
classify on microarray cancer data. However, the statistical role the identification of genes associated with diseases such as
methods can often be inadequate to solve problems which are cancer. It can be calculated in high probability that any
based on particularly large-scale data such as microarray data. individual is ill or healthy by identifying disease-related genes.
Therefore, artificial intelligence-based methods have been used to
Therefore, high performance classification methods are very
classify on microarray data lately. We are interested in classifying
microarray cancer gene expression by using both artificial important for microarray data.
intelligence based methods and statistical methods. In this study, Statistical methods such as Support Vector Machines,
Multi-Layer Perceptron (MLP), Radial basis Function Network Decision Trees and Bayesian Network are the most frequently
(RBFNetwork) and Ant Colony Optimization Algorithm (ACO) used methods in microarray classification. However, these
have been used including statistical methods. The performances of methods can often be inadequate to solve problems which are
these classification methods have been tested with validation based on especially large-scale data. Therefore, it is important
methods such as v-fold cross validation. To reduce dimension of to develop methods that can be effective to solve such
DNA microarray gene expression has been used Correlation- problems.
based Feature Selection (CFS) technique. According to the results
In the last few decades, artificial Intelligence techniques are
obtained from experimental study, artificial intelligence-based
classification methods exhibit better results than the statistical methods which are commonly used and preferred to solve
methods. difficult problems. That’s why, we are interested in classifying
central nervous system microarray cancer gene expression by
Keywords— DNA microarray, classification, v-fold cross using artificial intelligence based classification methods
validation, feature selection, gene expression data including statistical methods in this study.
In the experimental analysis, the results of classification
I. INTRODUCTION obtained by artificial intelligence methods are compared with
Gene expression analysis of thousands of genes can be the results of classification obtained by statistical methods. The
performed with a technique called microchip thanks to rest of this paper is organized as follow: We describe the
innovations in technology and research [1]. DNA microarray is relevant methods in our comparison study part in Section 2. In
high intensity gene array and it makes possible to examine Section 3, we introduced our experimental dataset called
thousands of gene expression profile [2]. Microarray central nervous system cancer microarray gene expression
technology provides abundance of knowledge on expression dataset. We report the results of our experiments which are
levels of thousands genes that has been used for diagnostic and followed by statistical analysis and discussions in Section 4.
prognostic purposes for various types of diseases. Microarray Finally, we conclude the paper with an outlook to our future
technology is an invention that allows for detection of too many work about the control parameter optimization of classification
genes. This technique is also used in many fields including algorithms.
medicine primarily [3]. The activity of genes in patient and
II. METHODS
healthy cells that get same tissues can compare through DNA
microarray technology. This technique can help find genes A classification function consists of two parts. First part is
associated with disease. For example, it can be used to identify about selecting important features by using “feature selection”
a gene associated with a disease thanks to compare gene methods. Second part is about classifying data thanks to
expression level of healthy and diseased cells [3].
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classification methods. System component used in this study 2) One Rule (OneR): One-R or “One Rule (a Rule)” is a
are described below. simple algorithm proposed by Holt R.C [7]. This algorithm
produces a rule in training data for each feature and then rule
A. Feature Selection which has minimum error rate according to One-R is selected.
The number of features is usually very high in gene
3) J48 Decision Tree: J48 is the Weka implementation of
expression dataset. Therefore we need to reduce dimension on
the C4.5 algorithm, based on the ID3 algorithm. The main idea
dataset to make better classification. Feature selection is very
of this method is to generate decision trees by using the
important process to make classification with high accuracy on
information entropy. The method divides dataset by calculating
microarray cancer datasets. We examined various feature
the information gain of each attribute and attribute which
selection methods and preferred Correlation based Feature
provides the most benefit is used to make a decision [8].
Selection (CFS) because it made a successful choice among all
features. 4) Multi-Layer Perceptron (MLP): This model on which
Rumelhart and his friends worked together is called error
1) Correlation based Feature Selection (CFS): CFS is a
propagation model or the back-propagation model
simple filter algorithm that ranks feature subsets and discovers
(backpropagation of the network) [9]. There are one or more
the merit of feature or subset of features according to a
hidden layer excluding an input and output layer in this model.
correlation based function. According to this approach, subsets
Neurons in layers is associated with other layers. Information
which has the best attributes consist of attributes which have a
flow direction is forward and there is no feedback on the
high correlation with the corresponding class label and have
network in MLP. Therefore it is known as feed forward neural
low correlation with each other. The rest of features should be
network. Data is not processed in neurons in the input layer.
ignored. CFS feature subset evaluation function is shown as
The number of neurons in this layer depends on the number of
follows:
dimensions of the problem to be applied to the network. The
k r ci number of hidden layer and neuron are randomly determined.
G s
 (1) The number of neurons in the output layer depends on the type
k  k (k  1)r ii of problem [10].
5) Radial basis Function Network (RBFNetwork):
where G S
is the heuristic merit of a feature subset S RBFNetwork was revealed in 1988 by inspiring the behavior of
biological neurons [11]. Training of this model can be
containing k features, r ci
is the mean feature–class compared to curve fitting approach in multidimensional space
[12]. It is used radial basis activation functions the transition
correlation, and r ii
, is the average feature-feature
from the input layer to the intermediate layer unlike other
intercorrelation. This equation is, in fact, Pearson's correlation, neural network structure in RBFNetwork and a non-linear
where all variables have been standardized [4]. clustering (cluster) analysis is performed. There are three layers
called input, hidden and output on RBFNetwork like general
B. Classification ANN structure. The structure between the intermediate and
1) Support Vector Machine (SVM): SVM is a statistical output layer is also same in other types of Artificial Neural
algorithm found by V. Vapnik [5] in the late 1960s. It is a Networks, and training is performed among neurons which are
method which is used particularly in classification microarray intermediate and output layer.
gene expression levels. SVM is a supervised classification 6) Ant Colony Optimization Algorithm (ACO) : ACO is a
algorithm based on statistical learning theory. SVM initially proposed algorithm inspired by the behavior of real ants in
had designed for two-class classification of linear data and then
nature [13]. This algorithm was proposed by utilizing the ability
was generalized to classify non-linear and multi-class data. The
to find the shortest path between nest and food source of the
working principle of SVM is based on predicting the optimal
ants [14]. The use of this algorithm for solution of classification
decision function that can separate two classes from each other, problems has been just used and Ant-Miner has been proposed
in other words, the most appropriate way to define SVM is the by Parpinelli and his friends [15] to classify data recently. After
hyper-plane, which can separate two classes each other [6]. An
that, Ant-Miner was developed by Liu and his friends [16] by
infinite number of non-optimal hyper-plane can be drawn to
the same logic, but different heuristic and pheromone update
split the two sets from each other. However, SVM try to find
strategy. cAnt-Miner algorithm was also developed for data
optimal hyper-plane that provides the maximum margin to
which has continuous values. High-level pseudocode of cAnt-
separate the two sets from each other. There are linear and Miner algorithm is shown Figure 1. We used cAnt-Miner
nonlinear forms of classification based on kernel function. algorithm because central nervous system microarray gene
Radial basis kernel function is frequently used in classification
expression dataset we use in this study has continuous values.
applications. SVM is an important classification method
because it is fast and especially perform good results on high
dimensional attributes.
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applied different techniques to select a small subset of

informative genes that can classify different subgroups of
cancers accurately. The same experiment was repeated for six
classifiers. The classification methods called statistical and
artificial intelligence-based were applied to the dataset by
performing feature selection and we tested the accuracy of our
classification methods with 10-fold cross validation. The
results of classification methods have been shown Figure 2.
Percentage Accuracy of Classification Methods
120
100
80 85,29 97,06 94,12 92,5
60 73,53 73,53
40
20
Fig. 1 High level pseudocode of cAnt-Miner
0
III. DATA DESCRIPTION
Central Nervous System Cancer dataset, provided by
Pomeroy [17], contains the expression levels of 7129 genes.
Each sample was obtained from brain tissues and was analyzed
using Affymetrix microarrays. This dataset contains two
Fig. 2 Percentage accuracy of 10-fold cross validation of classification methods
subtypes of cancer, namely classic medulloblastomas (CMD) for all genes.
and desmoplastic medulloblastomas (DMD). After data
preprocessing, 857 genes remain. The source of the 857 gene According to Figure 2, Multi-Layer Perceptron (MLP) has
expression measurements is publicly available at [18]. Central the best performance among classification methods which
Nervous System Cancer dataset is available at Schliep lab performed on central nervous system microarray gene
bioinformatics Repository of Rutgers University contains 857 expression dataset with 97.06%. RBFNetwork and cAnt-Miner
genes with one class attribute. The dataset includes numeric have the best results respectively, with 94.12% and 92.50%
attributes. The class shows two subtypes of cancer named CMD after MLP. SVM and OneR have the worst performance, with
and DMD. The dataset contains 34 samples belonging to two 73.53% in the experimental study.
different target class. Table 1 shows the summary of the
characteristics of the dataset. Percentage Average Accuracy of Classification Methods
TABLE I
100
CENTRAL NERVOUS SYSTEM CANCER DATASET
94,56
80
Dataset Comparison Class Gene Sample 77,45
Central Nervous Tumor 2 857 34 60
System Cancer Subtypes
40
20
IV. EXPERIMENTAL RESULTS AND DISCUSSIONS
0
In this study, we compared the efficiency of the Statistical Methods Artificial Intelligence based
classification methods including; SVM, OneR, J48 Decision Methods
Tree, MLP, RBFNetwork and cAnt-Miner methods for the
prediction of cancer risks. We used improved and modified
Weka [19] software for applying classification on dataset. The Fig. 3 Percentage average accuracy of statistical and artificial intelligence-
classification accuracy is used as the performance measures. based classification methods on the dataset.
We transformed data into the format arff for Weka. At first, As it is shown in Figure 3, the average performance of
feature selection method was used to find relevant features in artificial intelligence-based methods is better than the average
the central nervous cancer dataset and then, classification performance of statistical methods. Approximately, the average
algorithms were applied to the selected features to evaluate the performance of artificial intelligence-based methods is 22.09%
algorithms. Thirty features (genes) were selected by the feature more than the average performance of statistical methods.
selection algorithm. To select an important subset of genes Artificial Intelligence-based classification methods performed
from thousands of genes is pretty arduous. That’s why, gene very well on Central Nervous System microarray cancer with,
selection becomes the most needed requirement for a diagnostic 94.56%. However, the average of statistical methods is less
classifying system. For this reason, many researchers have
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than the average of artificial intelligence-based methods, with [6] I. Guyon, J. Weston, S. Barnhill, and V. Vapnik, “Gene Selection for
Cancer Classification using Support Vector Machines,” Mach.
83.33%.
Learn., vol. 46, no. 1/3, pp. 389–422, 2002.
[7] J. Novakovic, M. Minic, and A. Veljovic, “Genetic Search for
V. CONCLUSION AND FUTURE EXTENSIONS Feature Selection in Rule Induction Algorithms,” pp. 1109–1112,
In this paper, we have conducted a comparative study of the 2010.
[8] C. Saylan, “Intelligent method based on new feature selection
classification methods for microarray data analysis on publicly algorithm on renal transplantation patients,” Kadir Has University,
available dataset including microarray central nervous system 2013.
cancer dataset. Firstly we applied Correlation-based Feature [9] E. Oztemel, Artificial Neural Network. Papatya Publishing, 2003.
Selection (CFS) which is method of dimension reduction on [10] E. Cetin, “The Applications of Artificial Intelligence,”
Ankara,Turkey: Seckin Publishing, 2007, pp. 379–401.
microarray dataset and then we compared the performances of [11] D. S. Broomhead and D. Lowe, “Radial Basis Functions, Multi-
six classification methods, namely Support Vector Machine Variable Functional Interpolation and Adaptive Networks,” 1988.
(SVM), OneR, J48 Decision Tree, Multi-Layer Perceptron [12] F. M. Ham and I. Kostanic, Principles of neurocomputing for science
(MLP), Radial Basis Function Network (RBFNetwork) and and engineering. McGraw Hill, 2001.
[13] A. C. Marco Dorigo, V. Maniezzo, Alberto Colorni, Marco Dorigo,
cAnt-Miner on central nervous system dataset by using control Marco Dorigo, Vittorio Maniezzo, Vittorio Maniezzo, Alberto
parameters most commonly used in the literature. In Colorni, “Positive Feedback as a Search Strategy,” 1991.
conclusion, the experimental results show that the artificial [14] B. Alatas and E. Akin, “The Discovery of Classification Rules by Ant
intelligence-based classification methods have higher accuracy Colony Algorithm,” 2004.
[15] R. S. Parpinelli, H. S. Lopes, and A. A. Freitas, “An ant colony
than the statistical classification methods. In the future, we will algorithm for classification rule discovery,” in Data mining: A
study on control parameter optimization of classification heuristic approach, 2002, pp. 191–208.
methods and then we will compare results of classification [16] B. Liu, H. A. Abbass, and B. Mckay, “Classification Rule Discovery
methods with parameters most commonly used in the literature with Ant Colony Optimization,” IEEE Comput. Intell. Bull. , vol. 3,
no. 1, pp. 31–35, 2004.
and with optimal control parameters. [17] S. L. Pomeroy, P. Tamayo, M. Gaasenbeek, L. M. Sturla, M. Angelo,
M. E. Mclaughlin, J. Y. H. Kim, L. C. Goumnerova, P. M. Black, C.
ACKNOWLEDGMENT Lau, J. C. Allen, D. Z. I, J. M. Olson, T. Curran, C. Wetmore, J. A.
This work was supported by the Research Fund of Erciyes Biegel, T. Poggio, S. Mukherjee, R. Rifkin, A. Califano, G.
Stolovitzky, D. N. Louis, J. P. Mesirov, E. S. Lander, and T. R. G. Ii,
University of Turkey, grant number: FYL-2015-6095. “Prediction of central nervous system embryonal tumour outcome
based on gene expression,” vol. 415, no. January, pp. 436–442, 2002.
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[2] H. U. Luleyap, The Principles of Moleculer Genetics. Izmir: Nobel [Accessed: 12-Jul-2016].
Bookstore, 2008. [19] E. Frank, M. Hall, L. Trigg, G. Holmes, and I. H. Witten, “Data
[3] K. Ipekdal, “Microarray Technology,” 2011. [Online]. Available: mining in bioinformatics using Weka,” Bioinformatics, vol. 20, no.
http://yunus.hacettepe.edu.tr/~mergen/sunu/s_mikroarrayandecolog 15, pp. 2479–2481, Oct. 2004.
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[4] M. a. Hall and L. a. Smith, “Practical feature subset selection for
machine learning,” Comput. Sci., vol. 98, pp. 181–191, 1998.
[5] V. Vapnik and V. Vapnik, Statistical learning theory. 1998.
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Route Planning for Multiple Unmanned Aerial Vehicles (UAVs) with

Parallel Genetic Algorithm on GPU Using CUDA
Murat Cakir∗ , Guray Yilmaz+
Department of Computer Engineering
Aeronautics and Space Technologies Institute
Turkish Air Force Academy
Istanbul, Turkey 34149
{∗ mcakir1, + gyilmaz}@hho.edu.tr
Abstract— Unmanned Aerial Vehicles (UAVs) are designed as unmanned aerial vehicles follow in this study. According to
alternative solutions to traditional aerial vehicles controlled by Scholer [11], autonomy consists of six parts that are mis-
human on-board. Recent advances in robotic and communica- sion distribution, hazardous area detection, route planning,
tion technologies have enabled UAVs to become convenient plat-
forms for various missions from aerial surveillance to combat avoidance of collision, generation of trajectory and vehicle
operations. Today, most of the efforts on UAV technologies from control. By increasing autonomy, the stress on the operator
scientific and industrial communities are focusing on autonomy decreases and it provides an environment that can be used
to provide self-decision skills to UAVs particularly on their by lots of unmanned aerial vehicles. Therefore, while data
mobility. In order to execute a certain mission effectively in obtained by using only one UAV takes a long period of
the shortest possible time, an optimal pre-defined route plan
which regulate the mobility of UAVs is required. Moreover, time, using multiple UAVs simultaneosuly may provide time
for multi-UAV systems, which consist of more than one UAVs efficiency.
perform their tasks in collaboration, this pre-defined route plan Using a big UAV at the duties is not economic. Besides,
should be updatable during the mission in order to make the using the smaller UAVs together that is equipped with
system fault tolerant. Route planning for multi-UAV systems payload increases the success of the duties. The problem is
is NP-hard problem which is also known as multiple traveling
salesman problem (mTSP). Given a set of waypoints, multi take- that calculate the routes of lots of UAVs both accurately and
off points for all UAVs, and a cost metric, the objective of the fastly. This problem is in the NP-Hard category according
problem is finding a set of routes for a given number of UAVs to the target points that will be gone. In this structure that
so as to minimize the total cost. It is obvious that increase in can be named as the traveling salesman problem, increasing
the number of waypoints or UAVs cause exponential increase the target points that form the field of problem means that
in search space. In order to find a solution with good quality
from this huge search space within a reasonable amount of time, increasing the calculating time exponentially that is required
evolutionary algorithms and parallel computing techniques can for route planning. So, genetic algorithm offers a good
be used. In this study, it is aimed to find near-optimal route solution in an acceptable time as the other evolutionary
plans for multi-UAV systems. The objective function used in this solution methods.
study provides that all individual routes of UAVs to be close each The time that genetic algorithm requires to find the so-
other as possible. The algorithm is implemented on GPUs using
NVIDIAs parallel computing platform, Compute Unified Device lution increases with increasing the number of target point.
Architecture (CUDA). The efficiency and the effectiveness of In this situation, the information of route that UAVs, which
the proposed parallel GA approach are demonstrated through is controlled simultaneously, need must be calculated in a
simulations under different scenarios. shorter time. To attain the requiring time we must ensure
Keywords-parallel genetic algorithm, CUDA, multi-uav sys- that the algorithm of finding route process in parallel. Briefly
tems, multi-TSP.
total process time can be shortened by calculating in parallel,
using the parts of program that don’t effect each other in lots
I. I NTRODUCTION
of operation simultaneously and gathering the results. On
The aviation is a discipline that doesn’t accept risks. Lots account of requiring equipment, using the GPU cores that
of R&D (Research and Development) activities has been works at low frequencies unlike the high frequency CPU
made to decrease the risk factor to the lowest level and cores and has lots of in its is eligible for parallel calculating.
eradicate the risk at the end. The top of this activities is In this study, taking advantage of the power of the
unmanned aerial vehicles (UAV). Technological investments NVIDIA’s CUDA architecture, it is aimed to adopt the
and autonomous systems demonstrate that conventional air genetic algorithm approach to solve route planning problem
platforms are going to replace with unmanned aerial vehicles. for multiple UAVs. By this way, it is intended to find near-
Thus, people leave the platform will form the core of these optimal route plans for multi UAV systems. All UAVs are
systems that control program and structure. assumed to be resided at different locations. One of the goals
It is aimed to improve the abilities of autonomous move- in this study is making all individual routes of UAVs to be
ment by calculating the routes fastly and effectively that close as possible. For this reason, the objective function used
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in this study prefered from a study conducted by Gomez et al.

[12]. The proposed genetic approach for multi UAV systems
is implemented using on GPUs using NVIDIAs parallel
computing platform, Compute Unified Device Architecture
(CUDA). The efficiency and the effectiveness of the proposed
parallel GA approach are demonstrated through simulations
under different scenarios.
The rest of the study is arranged at this array: At the
second part, the basic information is given about the multiple
traveling salesman problem and genetic algorithm. The other
part, the similar studies is expressed. At the fourth part,
CUDA architecture is explained . At the five part, the
designing system is explained. At the other part, test results
and comparisons is expressed. Finally, a brief explanation is
made about the result and next studies.
II. BASICS
A. Multiple Traveling Salesman Problem (mTSP)
In this study, it is observed that m number of UAV control
n number of target points and turn back to the initial point
again. This problem is defined as a generalization of widely
known travelling salesman problem which more than one
salesman is allowed. It is called as multiple traveling sales-
man problem (mTSP). Given a set of points, m depots where Fig. 1. Flow of The Genetic Algorithm
m salesmen are located, and a cost metric, the objective of
mTSP is to determine a route for each salesman such that
the total tour cost is minimized and that each city is visited III. R ELATED S TUDIES
exactly once by only one salesman. In mTSP, all of the routes Dantzig and Ramser [4] have provided an algorithmic
must start and end at the same depot and each city must be approach to Vehicle Routing Problem (VRP) which is rep-
visited exactly once by only one salesman. Sorting targets in resented as in mTSP model by considering transport costs
the best order is not enough to get the optimal solution. It of vehicles. The main objective here was the minimizing the
is also imported that which point is assigned to a salesmen total cost by using Vehicle Routing Problem (VRP). This
[1]. study is considered as the first study of VRP which is still
Kara and Bektas [7] have provided a number of variations agreed to be used in today’s vehicle systems.
on the mTSP by presenting a mathematical model. With this In a study conducted by Ercan and Gencer [5], route plans
model, sub-tour creation is prevented by detecting neighbors for UAVs have been accepted as VRP and their types have
counts to visit. been inspected and classified according to the needs.
Sahingoz [10] have proposed a flyable route which fits
B. Genetic Algorithm
to multiple UAV’s maneuver angle in his study. The route
Genetic algorithm can be defined as similar to the evo- is calculated with the genetic algorithm and the solution is
lution observed in nature. Because it provides an heuristic produced in a faster way. In order to make the route flyable,
search method, it does not necessitate to search all solution Bezier curves are used in his study.
space of the problem. The terms used in this algorithm are In another route planning study, Karakaya [8], has pro-
very similar to the ones in biology. Some of these terms vided multiple Traveling Salesmen Problem approach to
are chromosome, generation, choosing parents, crossover, detect minimum count of UAV to spy a single target and to
mutation, etc. obtain a near-optimal route. The Ant Colony Optimization
In GA, each candidate solution represents chromosomes. (ACO) Algorithm is used in his work. With a single vehicle
Each chromosome is organized as an array of genes. In ad- base, considering the range limitations and coordination’s
dition, a number of chromosome forms a generation. In this of targets 20% saving is achieved in the number of used
regard, chromosomes in the generation are sorted in terms unmanned vehicle number.
of their solution quality according to fitness function. Each Ergezer and Leblebicioglu [6] have studied on the most
generation forms a new generation using GA operators such efficient way that unmanned vehicles can obtain information
as crossover and mutation. As a result of new generations, from the desired locations. It is aimed to solve Traveling
the population becomes more qualified having individuals Salesmen Problem by staying away from the restricted
with better fitness values. regions. Matlab’s genetic algorithm tools have been used for
Fundamental phases of GA is shown in Figure 1. the calculation of the route.
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Valero et al. [12] have made the route planning using grid with given dimension and size. The reason why threads
genetic algorithm for robots which are planned for the service form two hierarcy is as follows. Threads in a thread block
to the patients. The scenarios which have 2,3,4, and 5 robots can share data efficiently via shared memory. However, the
have been tested for the problem areas which have 30,40, maximum number of threads per block is limited to 1024. So,
and 50 targets. if more than 1024 threads are required, we have to partition
Cekmez [3], [2] and the others revealed that the route threads into several thread blocks with the same size.
planning of one UAVs can be calculated faster by operating
V. PARALLEL G ENETIC A LGORITHM
ACO and genetic algorithm on GPUs in parallel.
A parallel genetic algorithm was designed for multiple
IV. CUDA A RCHITECTURE UAV route planning in this paper. Each solution in the
This section describes the CUDA architecture through the genetic algorithm is named as chromosome. A cluster formed
example of the GeForce GTX 480 GPU card, which is used by these chromosomes is named as a population. After
in our experiments. crossover and mutation over the members, the population,
which is formed randomly at the beginning, has become
In terms of hardware, CUDA GPUs are regarded as two
a more acceptable situation. We express every candidate
level shared-memory machines. Processors in a GTX 480
solution with a chromosome in our algorithm. We evaluate
are grouped into streaming multiprocessors (SMs). Each
the quality with a fitness function which we determined. Al-
SM consists of 32 processors. The GTX 480 has 15 SMs.
gorithm stages, parallel design, and performance comparison
Therefore, the GTX 480 is equipped with total of 480
according to the results will be explained in detail at the next
processors. CUDA is highly multithreaded architecture that
sections.
allows a maximum of 1536 concurrent threads per SM.
Hence, the GTX 480 can run a maximum of 23040 threads A. Codification of The Chromosome
concurrently. Processors in a SM can exchange data via fast To make the route solution of multiple UAVs, it is required
shared memory. On the other hand, data exchange between that m number of UAV and n number of target must exist in
SMs can be performed via VRAM. VRAM is also like the candidate solution (chromosome). Therefore, we can see
main memory for processors. So, code and data in a CUDA that which UAV will follow which route. In our study on one
program are basically stored in VRAM. chromosome, m number of UAV is shown with the values
CUDA programming model is one of multi-threaded pro- between [0, m − 1] and n number of target is shown with
gramming models. In the following, we describe an overview the values between [m, m + n − 1] [12]. Every chromosome
of CUDA programming model using Fig. 2. must be started one value showing a UAV. Providing that
the index repetition does not occur, the sequence that comes
after index of UAVs shows the route that UAV follows.
For example, the sample chromosome structure provided
below shows route plans for 3 UAVs for 12 targets;
[2−5−7−8−11−0−4−6−10−3−9−1−12−14−13]
In the solution;
• UAV 0 : 4-6-10-3-9
• UAV 1 : 12-14-13
• UAV 2 : 5-7-8-11
route is followed.
B. Calculation of The Fitness Value of Chromosome
It is required that the total route distance has to be its
minimum value at standard mTSP. However, in our case,
it is different from the standard mTSP. For route planning
problem for multiple UAVs, It is required that duty execution
time must be its minimum level. So, we can reduce the duty
time by shortening UAV’s routes that has the maximum route
distance in the candidate solution.
We want to minimize the total route distance (1st term in
Fig. 2. CUDA Programming Model. Eq. 11) and maximum subtour distance (2nd term in Eq. 11)
in our study. Besides we provide that the route distance of
In a CUDA program, threads form two hierarchy: a grid every UAV to be close to each other by trying to increase
and thread blocks. A thread block is a set of threads. A thread the maximum base tour distance (3nd term in Eq. 11) [12].
block has dimensions 1, 2, or 3. A grid is a set of blocks
with the same size and dimension. A grid has dimensions 1 m−1
or 2. Each thread executes the same code specified by the
X
F itness(indi ) = +0.9∗max(Ri )−0.9∗min(Ri ) (1)
kernel function. A kernel function call generates threads as a i=0
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m shows the number of UAV, Ri shows the total route

distance which is charged to the UAV in the function.
C. Establishment of The Initial Population

In this phase, the initial population members build up with
the threads. Threads create the initial population according
to the index number that they have enhanced randomness.
Thereby, it is produced quickly from each other as differ-
ent candidate solutions. In addition, the prospect of going
local optimum which is one of the missing side of genetic
algorithm is reduced.
D. Parallel Evolution Process

Our approach is different from the algorithm proposed
by Gomez et al. [12] in that we adopt the GA to CUDA
GPUs in order to take the advantage of massively parallel
programming. With our parallel GA approach, we provide
Fig. 3. 2-opt Local Optimization
significant increases in computing performance owing to
parallel compute mechanism of NVIDIA GPUs.
TABLE I
• Initial population is created by an approach is increased T HE T EST E NVIRONMENT
randomness using time more efficiently. Here, working
in parallel random number seed produced by each GPU CPU
Manufacturer NVIDIA Intel
thread, mix the points of the problem with the random Model Geforce GTX 480 i7
numbers to produce population that contains many Clock Freq. 9oo MHz 2.6 GHz
different chromosome. Cores 480 8
• Our work have local optimization step. This is provided
Memory 1,5GB 8GB
as an alternative way to avoid local optima.
Elitism which is part of this process, parent selection,
crossover, mutation, and local optimization is performed and reconnects the two new sub-tours created. 2-opt local
simultaneously by each thread. optimization is used as shown in Figure-3 in this study.
Elitism: It is intended to protect the elite individuals with Finally, population which passed this stage is ranked
the Elitism. An individual which has a suitable previously according to the fitness value of individuals. This processes
determined value, displaced to the next population. Each continue until it reaches the criteria finalization specified
thread between the index number 0 and 31 will transfer maximum number of iterations which is 200.
individual concerned to the next generation.
Parent selection: Two members selected randomly in the VI. E XPERIMENTAL R ESULTS
population to form the remaining members of the population.
Eligibility value is better kept as the first parents. Similarly, A. Performance Comparision Between GPU and CPU
the second parent is selected too.
Crossover: Creating a new individual which has the char- GA is implemented both on CPU and GPU for perfor-
acteristics of selected individuals. The individual is produced mance comparisons. Table I shows some specifications of the
that the thread which select Parent will settle the represents hardwares. Sequantial genetic algorithm and the introduced
index number. This study uses one point crossover. parallel genetic algorithm are run on this system. All GPU
Mutation: That is the stage where genetic algorithms gets tests are executed with 5120 threads. CPU version tests are
his actual power and genetic diversity is maintained. Swap executed with 512 population size. Elitism size is set to
mutation technique is used here. Changes in chromosome 32 because of the number of the warp size. At the same
mutates at a rate of ten in thousand within the algorithm time maximum 32 threads are processed at the GPU. The
may allow access to the global optimal. parameters of the genetic algorithm chosen in this study are
Local optimization: It is used 2-opt local optimization as shown in Table II.
to prevent produced individuals from unsuitable results. Multi-UAV system is considered as consisting 4 UAVs.
Thereby the algorithm has produced much better results. Data sets with 52 and 100 and waypoints are used in the
Crossover and mutation can’t reach the best results every experiments. As it is presented in Fig.4 and Fig.5, GPU
time. At the end of the iteration to reduce the possibility implementation provides better total travel cost values for
of convergence of poor results can be found in solutions the same number of iterations. It is therefore important to
called local optimization structure aimed at removing cross- note that GPU implementation of genetic algorithm provides
links. The 2-opt basically removes two edges from the tour, better solutions as compared to serial CPU implementation.
____________________________________________________________________________________________________________
19
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TABLE II TABLE III

T EST PARAMETERS OF T HE G ENETIC A LGORITHM E FFECTS OF N UMBER OF T HREADS ON AVERAGE C ONVERGENCE T IME
Parameters Values Parameter Value

Number of the target points 52 / 100 Num. of UAVs 1
Number of the UAVs 4 Num. of Waypoint 100 ve 150
Population Size 512 Mutation Rate %20
Elitism 32 individual each generation Ending Criteria 200 GA terasyon
Parental Selection tournament Num. Threads [1024,2048,3072,4096,5120,
Crossover one-point 6144,8192,9216,11264]
Mutation Type Swap Model of the GPU card Geforce GTX480
Mutation Rate 0.20
Local Optimization Type 2-opt TABLE IV
Number of iteration 200 T EST SETS .
Name of Data Sets Num. of Waypoint

kroA100 100
kroB150 150
surveillence data. At this point, it is required to find near

optimal individual routes for UAVs in the system. In order
to compute these routes as soon as possible, proposed parallel
genetic algorithm is implemented on CUDA GPUs. It is as-
sumed that proposed algorithm is performed at ground station
which have NVIDIA’s CUDA capable GPU cards. After the
computation each route plans are sended to respective UAVs.
In this simulation study, it is aimed to observe the effects
of number of population used in the algorithm on average
convergence time. It is important to note that number of
population is equal to the number of threads used in the
algorithm. The optimum number of threads can be found in
this way.
The parameters used in this simulation study are presented
Fig. 4. Comparison of CPU and GPU performance for 52 waypoints using in Table III above. This study is performed on TSPLIB [9]
4 UAVs.
data sets whose details given in Table IV.
Fig. 6. Effects of number of threads on average convergence time
Fig. 6 shows the results for NVIDIA’s GTX480 graphic

Fig. 5. Comparison of CPU and GPU performance for 100 waypoints
using 4 UAVs.
card. As it is shown in the figure, average convergence time
decreases up to a certain point. This is because hardware
resources can be utilized up to a certain number of threads
B. Effects of Number of Threads on Average Convergence which is determined as 5120 threads. However, when the
Time number of threads are kept to increase, average conver-
In this paper, it is consider that UAVs are planned to gence time starts to increase due to the insufficent hardware
visit pre-defined geographical locations in order to obtain
____________________________________________________________________________________________________________
20
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TABLE V
T EST PARAMETERS FOR THE EFFECTS OF OBJECTIVE FUNCTION ON
AVERAGE FLIGHT COST
Num. of UAV 4
Num. of Waypoint 100
Mutation rate %20
Ending Criteria 200
Num. of threads 5120
Model of the GPU card Geforce GTX480
Penalty Factors [0 , 0.3 , 0.6 , 0.9]
resources of graphic card. As it is presented in Section

IV in detail, each CUDA capable graphic cards consist
of a constant number of streaming multiprocessors (SMs).
Also in each SM, there are a certain number of CUDA
cores (streaming processors-SPs). Additionaly, the number
of resident warp executed by each SM simultaneously is
also constant. Each warp has 32 threads for all CUDA Fig. 7. Effects of objective function on average flight cost
architectures. Within this context, the maximum concurent
TABLE VI
number of threads executed by SMs for CUDA capable
AVERAGE FLIGHT COSTS AND THE STANDARD DEVIATIONS FROM THE
GPUs can be calculated as: Max. Number of Threads = Total
SIMULATION STUDY
Number of SM x Resident Warp x 32 threads.
The number above is the maximum number of threads Scenarios Penalty Average Standard
whose resources can be stored on-chip simultaneously. In Factor Flight Cost Deviation
CUDA architecture, the hardware switches between warps State-1 0 5670.1 7635.8
State-2 0.3 5994.6 904.7
constantly to help hide the large latency of memory accesses. State-3 0.6 5993.1 739.3
However, even each SM has a certain number of resident State-4 0.9 6153.1 590.4
warp, it can only issue instructions from a small number of
warps at each clock cycle. Therefore, as it is shown in Figure
6, in most cases, while it can be launched more threads data set. As it can be understood from the figure, penalty
concurently on the GTX480 the optimal value of number factor is increased gradually from 0 to 0.9. Vertical axis
of threads is lower. showes the average flight routes for each UAVs. It is obvious
This result shows that round-robin thread scheduling that while average flight route cost tends to maintain its
mechanism is used in CUDA architecture in order to meet the stability, the standart deviation of these average values tends
increasing number of threads. In this context, threads waiting to decrease. Standart deviation of these average values shows
in ready queue cause increased average convergence time. the quality of individual flight route similarities in terms of
As a result, the lowest averege convergence time obtained in route cost. Low standart deviation indicates high smilarity
this simulation study also shows that the optimum hardware among indvidual flight routes in terms of route cost. This is
utilization for the GTX480. because as the value of penalty factor is increased, additional
cost applied to total cost is also increased. The acceptance
C. Effects of objective function on average flight cost probobilty of the flight route is decreased in this way due to
As it is presented in Section V, in order to obtain individ- the low solution quality. Consequently, choosing high penalty
ual routes for each UAV as close as possible, a modified factor enables to obtain individual flight routes as close as
objective function is used in genetic algorithm. In this possible.
simulation study, the objective function, which is used for
route cost calculation, is analyzed. By this way, the objective VII. C ONCLUSION
function do not consider traditional point to point Euclidian Today, most of the efforts on UAV technologies from
distance used in classical TSP problems. The parameters scientific and industrial communities are focusing on au-
used in this simulation study are presented in Table V. The tonomy to provide self-decision skills to UAVs particularly
objective function used in this study adds additional cost on their mobility. An optimal pre-defined route plan which
value according to penalty factor chosen. Therefore, each regulate the mobility of UAVs is required in order to execute
individual routes for UAVs are made close each other in a certain mission effectively in the shortest possible time.
terms of total flight cost. Morover, route planning for multi-UAV systems is NP-
Figure 7 shows the result of effects of objective function complete problem which is also known as multiple traveling
on average total flight cost. The detailed results are shown salesman problem (mTSP). It is quite known that increase
at Table VI. NVIDIA’s GTX480 graphic card is used to in the number of waypoints or UAVs cause the exponential
observe the behaviour of objective function on kroA100 increase in the search space. Evolutionary algorithms and
____________________________________________________________________________________________________________
21
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parallel computing techniques can be used in order to find

a solution with good quality from this huge search space
within a reasonable amount of time.
In this study, it is aimed to adopt parallel genetic algorithm
on CUDA capable GPUs to compute flight routes for multi
depot multi-UAV systems efficiently. The objective function
used in this study has provided that all individual routes of
UAVs to be close each other as possible. GPU performance
of proposed genetic approach is compared with the CPU
version. Simulation studies shows the efficiency of proposed
parallel GA approach on CUDA platform under different
scenarios. As a future work, it is planned to improve the
performance of the parallel genetic algorithm by considering
CUDA hardware performance issues. It is also intended to
conduct simulation studies on large scale mTSP systems.
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[1] Tolga Bektas. The multiple traveling salesman problem: an overview
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unmanned aerial vehicles. In 2012 20th Signal Processing and
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[8] Murat KARAKAYA. En az sayıda insansız hava aracı kullanarak sabit
hedeflerin gözetlenmesinin planlanması. 15. Otomatik Kontrol Ulusal
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[9] Gerhard Reinelt. Tsplib a traveling salesman problem library. ORSA
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[10] Ozgur Koray Sahingoz. Generation of bezier curve-based flyable
trajectories for multi-uav systems with parallel genetic algorithm.
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[11] Flemming Schøler. 3d path planning for autonomous aerial vehicles
in constrained spaces. Section of Automation & Control, Department
of Electronic Systems, Aalborg University, 2012.
[12] Alberto Valero-Gomez, Julio Valero-Gomez, Alvaro Castro-Gonzalez,
and Luis Moreno. Use of genetic algorithms for target distribution
and sequencing in multiple robot operations. 2011 IEEE International
Conference on Robotics and Biomimetics, ROBIO 2011, pages 2718–
2724, 2011.
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Training ANFIS Using Genetic Algorithm for

Dynamic Systems Identification
Bülent Haznedar*, Adem KALINLI+
#
Hasan Kalyoncu University, Computer Engineering Department, Turkey
bulent.haznedar@hku.edu.tr
+
Erciyes University, Computer Engineering Department, Turkey
kalinlia@erciyes.edu.tr
Abstract—In this study, the premise and consequent parameters the following section, the basic structure of ANFIS is
of ANFIS are optimized using Genetic Algorithm (GA) based on a introduced, in the third section, information about genetic
population algorithm. The proposed approach is applied to the algorithm is given, in the fourth section, information about the
nonlinear dynamic system identification problem. The simulation presented approach is given and the obtained results are given
results of the method are compared with the Backpropagation
in the section 5.
(BP) algorithm and the results of other methods that are available
in the literature. With this study it was observed that the
II. ADAPTIVE NEURO-FUZZY INFERENCE SYSTEM (ANFIS)
optimisation of ANFIS parameters using GA is more successful
than the other methods. Adaptive Network-based Fuzzy Inference System (ANFIS)
is a network model which Sugeno-type fuzzy system is
Keywords— neuro-fuzzy, ANFIS, genetic algorithm, system combined with neural learning ability. The main aim of ANFIS
identification is to optimize the parameters of the equivalent fuzzy logic
system by using input-output data sets via a learning algorithm.
I. INTRODUCTION Parameter optimization is carried out in such a way that the
System identification is a model generating process that is error value between the actual output and the target output to
developed to predict the behaviour of a system between its be minimum.
input and output signals. The approaches based on the fuzzy ANFIS contains two parameters as antecedent and
neural networks and artificial neural networks are among the consequent parameters. Those two parameter types connect the
methods that are used commonly for the dynamic systems fuzzy rules to each other and training of the model is provided
identification. However, due to some of its superior features, with the optimization of these parameters. ANFIS basically
studies towards using ANFIS for the purpose of dynamic consists of five layers. A basic ANFIS structure consisting of
system identification, have started to increase gradually in the two inputs and one output is given in Fig. 1.
recent years [1-5].
Training the ANFIS model is basically the determination
process of the optimal values for the model’s premise and
consequent parameters. Derivative-based algorithms are
commonly used for training of ANFIS. But there is a problem
of getting stuck in a local minimum in derivative-based
algorithms. In this context, various methods have been
proposed in recent years in order to train ANFIS parameters.
Some of these methods are artificial intelligence optimization
algorithms and heuristic algorithms such as Genetic algorithm,
PSO and Differential Evolution Algorithm that are not
derivative-based [6]. Fig. 1 A basic structure of ANFIS [9]
Ghomsheh et al. [3] proposed Particle Swarm Optimization
(PSO) algorithm that is modified for the optimization of ANFIS
parameters. Carrano et al. [7] used GA for the training of A. Layer 1
ANFIS in the solution of multi-objective optimization
This layer is named as the fuzzification layer. The signal that
problems. Cus et al. [8] used Ant Colony Optimization (ACO)
is obtained from each node is transfered to the other layer. In
algorithm for training of ANFIS parameters. They tried the
this layer, for the outputs of the cells, ( O1i ), Equation (1) and
performance analysis of the developed method on the non-
linear systems. Equation (2) are given [10].
In this study, an approach is presented towards the training
ANFIS by using GA based on a population algorithm. The O1i  Ai ( x) i  1,2 (1)
performance of the presented approach is tested on non-linear O1i  Bi  2 ( x) i  3,4 (2)
system and the results are compared with different methods. In
____________________________________________________________________________________________________________
23
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In here, Ai and Bi are any membership functions belong to chromosomes transform into the solution candidates that
the inputs, Ai and Bi are membership degrees that are represent better results. This process is maintained until
reaching an acceptable compliance value or until meeting the
calculated for this function. For the bell-shaped membership criteria such as pre-determined processing time or generation
function Ai is calculated with the equation below. number. Basic steps of the Genetic Algorithm are given in Fig.2.
1 x c 2
 ( )
Ai  e 2 a
i  1,2 (3) 1. Generate random population of n chromosomes
2. Evaluate the fitness of each chromosome
3. Create a new population by repeating following steps
In here, a i and ci are sigma and central parameters of the until the new population is complete
membership function respectively. (i) Select two parent chromosomes from a
population according to their fitness
B. Layer 2 (ii) With a crossover probability cross over the
This layer is named as the rule layer. Each rule’s firing parents to form new offspring
strength is calculated with the membership degrees that are (iii) With a mutation probability mutate new
coming from the previous layer. offspring at each locus
(iv) Place new offspring in the new population
O2i  wi  Ai ( x).Bi ( y) i  1,2 (4) 4. Use new generated population for a further run of the
algorithm
C. Layer 3 5. If the end condition is satisfied, stop, and return the
best solution in current population
In this layer which is named as the normalisation layer, each
6. Go to step 2
rule’s normalised firing strength is calculated.
wi Fig. 2 Main steps of the basic GA algorithm [12]

O3i  wi  i  1,2 (5)
w1  w2 IV. TRAINING ANFIS USING GA
In this section, GA usage for updating ANFIS parameters is
D. Layer 4 explained. ANFIS has two parameter types that have to be
This layer is the defuzzification layer. Output value for each updated. These are premise parameters and consequent
rule is calculated using the value of firing strength from parameters. Premise parameters belong to the gauss
previous layer. membership function that is given as {𝑎𝑖 , 𝑐𝑖 } in Equation (3).
The total number of the premise parameters is equal to the sum
O4i  wi . f i  wi .( pi x  qi y  ri ) i  1,2 (6) of the parameters in all membership functions. Consequent
parameters are the ones that are used in defuzzification layer,
E. Layer 5 shown in Equation (6) as {𝑝𝑖 , 𝑞𝑖 , 𝑟𝑖 }.
This is the sum layer. ANFIS’s output is obtained by The method that is suggested in this study is applied to the
collecting the output values belong to the each rule that are dynamic system identification problem. For the error value
obtained in defuzzification layer. between the output obtained from ANFIS and the output
obtained from non-linear dynamic system to be minimum,
O5i  f   wi . f i 
w .f i i
i  1,2 (7)
ANFIS parameters are optimized with GA. Block diagram
showing this structure is given in Fig. 3. RMSE error function
w i which is obtained by using Equation (8), is used for
determining the error value of the solution. 𝑦̅𝑖 is used in
III. GENETIC ALGORITHM Equation (8), is showing the output obtained by ANFIS at the
Genetic Algorithm (GA) which its fundamental principles time i and 𝑦𝑖 is showing the actual output of the system. N is
are set forth by John Holland in 1970’s, is implemented with showing the instance number used in the application.
success on many problem types [11]. GA is a heuristic
algorithm which is used for being able to find exact or
[∑𝑁
𝑖=1(𝑦𝑖 −𝑦
̅̅̅)
𝑖 ]
approximate results in optimization or search problem. This 𝑅𝑀𝑆𝐸 = √ (8)
𝑁
algorithm is developed by being inspired from the techniques
in the evolutionary biology such as inheritance, mutation,
The selection of the input array which will be used in training
selection and crossover. GA can be implemented quite
is important on the success of training. The elements of the
effortlessly even on the multidimensional problems with large-
input array are usually chosen from sinusoidal and random
size search space and also with too many number of variables.
input values [13]. In the carried out simulation studies within
GA is a population based optimization algorithm. Equivalent
this study, u(k) input signal array which has proper distribution,
of the candidate solutions that generate the population is
randomly generated in the range of [−2,2] is used.
chromosomes. Due to the various evolution processes, these
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24
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that the performance of the approach suggested in this study has

quite high success comparing to the other methods. Standard
deviation for the training and testing processes of the error
values that are obtained in 15 different attempts towards
training ANFIS with genetic algorithm is found as 0.0032 and
0.0022 respectively. The low standard deviations show that
RMSE values are close to each other, so it means that the results
are reliable. The system that belongs one of the attempts
towards training ANFIS with GA and the answers of ANFIS
model are given in Fig. 4.
TABLE I
COMPARISON OF THE RESULTS
Fig. 3. Block diagram showed the proposed method
Model Train (𝑹𝑴𝑺𝑬𝑨𝑽𝑮) Test (𝑹𝑴𝑺𝑬𝑨𝑽𝑮)
V. SIMULATION RESULTS
Elman – BP [15] - 2.6182E-01
In this section, Applications have been performed by using
non-linear dynamic system for the training ANFIS with GA. In Elman – TS [15] - 1.1990E-01
order to measure the performance of the system 250 input and Elman – SA [15] - 2.9430E-02
output data sets are generated. 200 of these data sets are used
for training, the remaining 50 are used for the test. Elman – PTS[16] - 2.83189E-02
For the dynamic system, that is going to be modelled, ANFIS ANFIS - BP 7.99112E-03 9.60747E-03
structure that consists of 3 inputs and 1 output is created ANFIS – GA
respectively. For each of the input of created ANFIS structure, 8.69121E-03 8.32214E-03
gauss membership function with 2 parameters is used.
Therefore there are 2𝑛 rules in the used ANFIS model [14]. In
this way, ANFIS structure consisting 12 premise parameters
and 32 consequent parameters with 8 rules is used for the
system.
In the study, many attempts have been made in order to
decide upon the various parameter values that are required for
GA. As a consequence of these attempts, population size is
chosen as 200, crossover rate is chosen as 0.8 and mutation rate
is chosen as 0.01.
Besides, the performance of the suggested approach is also
compared with the results taken from the literature, which
belong to the Elman feedback artificial neural network that is
commonly used in the identification of the dynamic systems
[15,16]. In the considered studies, Kalinli has suggested an
Fig. 4. Response of the system (RMSE error= 5.33145E-03)
approach based on training Elman network by using Tabu
Search Algorithm (TS), SA algorithm and Parallel Tabu Search VI. CONCLUSIONS
Algorithm (PTS) for the identification of dynamic systems and
It has been seen that the best training and test error values
achieved more successful results than the traditional BP
obtained are found with the suggested method. Following the
algorithm [15,16].
studies, finding the admissible RMSE error value shows that the
Sample non-linear system which is used for simulation
training of ANFIS using GA for identification of non-linear
belongs to a simple pendulum, swinging through small angle
systems is quite effective. Besides, the results with the low
that is taken from [15] and defined with Equation (9). The
deviation value has been obtained within the suggested method.
system’s discrete time definition is as follows:
Having low deviation value shows that RMSE error values
obtained from trainings started with different initial solutions
𝑦(𝑘) = 𝐴1 𝑦(𝑘 − 1) + 𝐴2 𝑦(𝑘 − 2) + 𝐴3 𝑦 3 (𝑘 − 2) +
are close to each other which means the results are reliable.
𝐵1 𝑢(𝑘 − 2) (9)
Also, by reason of the fact that Genetic algorithm does not have
restrictions as the derivative-based algorithms have and it is
where, 𝐴1 = 1.040000, 𝐴2 = −0.824000, easily applicable on the problems, it is assessed that ANFIS
𝐴3 = 0.130667, 𝐵1 = −0.160000 model can be used on its applications for different problems.
RMSE error values that are obtained following the ACKNOWLEDGMENT
simulation studies, and the error values belong to different This work was supported by the Research Fund of Erciyes
methods and that are taken from the literature are given in Table University of Turkey, grant number: FDK-2016-6371.
1. From the results that are given on Table 1, it is clearly seen
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DSMAC: Deadline Sensitive Medium Access Control Protocol

for Delay Tolerant Network based Multiple Unmanned Aerial Vehicle
Systems
Tolgahan Türker∗ , İlker Bekmezci+
Aeronautics and Space Technologies Institute
Turkish Air Force Academy
İstanbul, Turkey 34149
Email: ∗ tturker@hho.edu.tr, + i.bekmezci@hho.edu.tr
Abstract— Fast moving electro-mechanical and wireless com- smaller UAVs can be produced at lower costs with the
munication technologies have made it possible to design and downsizing trend experienced in embedded systems today.
implement multiple unmanned aerial vehicle (multi-UAV) sys- The decrease in the size of UAVs brings out strict limitations
tems which promise more efficient and reliable ways to per-
form application-specific missions through their simultaneous over maximum take-off load capacity so that application-
execution capability and fault tolerant potential. In a typical specific payloads used in these small UAVs have more
surveillance-based multi-UAV application, each individual UAV limited capabilities. For this reason, required efficiency for
collects required data from its area of interest and transfer some UAV applications cannot be achieved by using a single
it to a ground station (GS) through a shared communication small UAV. In this context, it is considered that a multi-UAV
link. In some challenging cases, e.g. in a hostile environment
such as battlefield communication, which it is unable to es- system, which is composed of multiple small UAVs, may
tablish and maintain a reliable end-to-end communication link offer more efficient solutions by performing jointly missions
between UAVs and the GS, Delay Tolerant Network (DTN) such as surveillance, reconnaissance, monitoring etc. Using
paradigm which is based on store-carry-forward data delivery multiple UAVs allows establishing a fault tolerant structure
technique can be applied. However, in such system, link layer along with providing task completion in a shorter period of
packet collisions may occur because it is quite possible that
multiple UAVs may arrive at communication range of the time owing to the advantage of its capability of simulta-
GS at overlapping times and need to transfer their data neous task execution in multiple locations. Also, potential
simultaneously. This paper presents deadline-sensitive medium coordination capability of multiple autonomous UAVs may
access control (DSMAC) protocol designed for DTN based provide to accomplish missions that no individual UAV can
multi-UAV systems. The DSMAC protocol provides a non- accomplish on its own. However, multi-UAV approach brings
preemptive medium access scheme in a centralized manner to
make the medium free of collisions. The main objective is to many distinctive challenging design problems.
enable UAVs to transfer their large amount of surveillance data Communication is one of the most important design
as fast as possible to the GS by taking deadline-constrained data problems for multi-UAV systems. The main objective for a
delivery requirement into consideration. Our protocol differs multi-UAV application which performs a typical reconnais-
significantly from commercially available technologies such as sance/surveillance mission is increasing success rate of the
802.11, 3G or LTE in that deadline meeting rate is the main
performance metric in our case rather than providing general mission and providing time efficiency by distributing tasks
connectivity and fair medium sharing among large number of on multiple UAVs. It is required for each individual UAVs
UAVs. Simulation studies are conducted by using NS-2. Results in the system to collect application-specific data from its
show that DSMAC protocol provides considerable performance own area of interest and transfer it to a ground station (GS)
improvements in terms of average waiting time and deadline as soon as possible for further data processing phases. In
meeting rate when compared to PCF (Point Coordination
Function) mode of widely used IEEE 802.11 technology. such applications, it is difficult to setup a reliable end-to-
Keywords— medium access control, delay tolerant networks, end communication link between UAVs and the GS in cases
multi-uav systems, deadline sensitive. which locations to be visited for data collection remain out
of the communication range provided by the GS or, in more
I. I NTRODUCTION general terms, which there are some challenging conditions
Recent developments in micro electro-mechanical sys- in the communication environment such as battlefield com-
tems and wireless communication technologies have enabled munication, disaster rescue etc.
the realization of unmanned aerial vehicle (UAV) systems. For multi-UAV applications performing tasks which re-
Single-UAV systems, which consist of only one large UAV quire collecting data in a certain operation area and then
with powerful hardware, have produced at relatively high deliver it to a GS, it is obvious that there is no need for
costs and provided successful results in many application immediate or real-time data transmission in cases which
areas for about last twenty years. On the other hand, much the application-specific data has a certain degree of delay
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tolerance. Clearly, for such cases, it is required to collect (CBDTP) for underwater wireless sensor networks which is
delay tolerant data from the operation area, store it into based on predicating a value for a sensor node if its data
the on-board memory of UAVs, and carry it until reaching were not received at the sink node instead of having the
required wireless communication range for reliable con- sensor node retransmit its data. In another study, Zhong et al.
nection with the GS. In this context, it is considered that [9] has proposed UMACAW as another delay tolerant MAC
using Delay Tolerant Network (DTN) [1] model, which have protocol which utilize the rest time of RTS/CTS/DATA/ACK
been developed for similar needs, may provide considerable exchange period by taking advantage of long propagation
advantages for such multi-UAV applications. The DTN based delay in underwater channels. However, none of these efforts
data delivery technique considered in this study for multi- made on MAC protocols intended for DTN paradigm in the
uav systems is first proposed by Spyropoulos et al. [2] and literature take deadline-constrained data delivery requirement
it is also known as Direct Delivery. Fig.1 below illustrates a into consideration.
multi-uav system which performs its operation within the For DTN based multi-UAV applications considered in this
context of this simple single-copy DTN delivery scheme. study, the problem of link layer packet collisions may occur
UAVs, as source nodes, carry their application-specific data when multiple UAVs arrive at the GS at overlapping time
until they reach the GS. periods and attempt to transfer their data simultaneously, as
it is shown in Fig.1. In general, COTS technologies such as
IEEE 802.11, 3G, and LTE are used to overcome link layer
packet collision problem for such applications. However, the
main objective of these technologies is providing medium
sharing as fair as possible for large number of stations. Al-
though multi-UAV applications perform their tasks by using
DTN model, there may still be some deadline constraints
for collected data within certain scenarios. Therefore, the
most important need for multi-UAV systems which perform
their tasks under such scenarios is providing medium access
for UAVs by taking deadline constraints of their data into
account and data transmission without any interruption in
order to ensure UAVs to continue their tasks as soon as
possible. To the best of our knowledge, medium access in
Fig. 1. Direct delivery scheme applied to a multi-uav system. DTN has not been studied from this perspective before and
this is the first research effort focusing on deadline sensitivity
DTN paradigm has been developed for abnormal network of channel allocation for DTN based multi-uav systems.
conditions where a reliable communication and a complete To address these needs, in this paper, a MAC protocol for
end-to-end connectivity between the data source and desti- DTN based multi-UAV systems is proposed which eliminates
nation may not exist. Different from traditional networking the link layer packet collisions, ensures UAVs to return
approach, DTNs are characterized by long latencies, unstable their operation area as soon as possible by providing data
network topologies, and inconsistent connectivity. With these transmission without suspending it because of any other
characteristics, DTNs find places in such applications that possible transfer requests, and uses deadline information of
traditional networks cannot work effectively, for example, collected data as a priority measure for medium access.
data communications in rural area where communication Because the main criteria for medium access is deadline
infrastructure cannot be deployed or costly [3] , disaster for transmission of data to the GS, the proposed MAC
rescue [4], military/battlefield communications [5], etc. protocol is named as “Deadline-sensitive Medium Access
Most of the research efforts on DTN in the literature Control” (DSMAC). DSMAC protocol provides a centralized
focus on data delivery/routing schemes for different network medium access model using two different communication
scenarios assuming that mobile communication devices are channel. Tests for DSMAC protocol are conducted by using
distributed sparsely and network traffic is low. However, link NS2. DSMAC’s superiority over PCF (Point Coordination
layer packet collision problem in DTN-based applications Function) [10] mode of widely used IEEE 802.11 protocol
is not considered in these studies. Within this context, a are analyzed through performance metrics such as average
study conducted by Jindal et al. [6] shows that the packet waiting time and deadline meeting rate. Simulation results
collision problem should not be overlooked especially for show that channel allocation scheduling mechanism and
densely distributed communication devices are on subject. centralized MAC model provided by DSMAC protocol out-
In another study, Liang et al. [7] has proposed a DTN- performs IEEE 802.11 PCF in terms of average waiting time
friendly MAC protocol (DFMAC) which is developed for and deadline meeting rate for aforementioned multi-UAV
radio resource allocation for a DTN/WLAN integrated net- applications.
works. In order to address the problem of large delay The remainder of the paper is organized as follows. The
variance in underwater acoustic channel, Zhang et al. [8] protocol design issues and its operation details are described
has proposed a cluster based delay tolerant MAC protocol in Section II. Medium access scheduling mechanism of
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DSMAC is provided in Section III. Performance evaluation version, frame type/subtype, retry flag, etc. is inherited from
and simulation results are presented in Section III. Finally, the 802.11 protocol specifications due to its ease of NS2
the paper is concluded in Section IV. implementation.
II. DSMAC P ROTOCOL
In the following sections, we first present an overview of
proposed DSMAC protocol to discuss the main objectives
and then we provide the design issues of DSMAC with its
operation details.
A. Overview Fig. 2. START frame format.
For a DTN based multi-UAV system considered in this
study which performs a surveillance-based mission, UAVs As it is shown in Fig.3, UAVs arriving at the GS wait
are required to collect application-specific data from their for the START frame to start transfer their data to the GS.
area of interests, store data in their own on-board memory, The GS, as a coordinator, is responsible to decide which
and then deliver them to the GS by moving to it until they UAV is allowed to use the channel first. The details of
arrive at required communication range for reliable wireless this decision process is described in Section III. Because
connection. Clearly, there is a need for a MAC protocol in UAVs are not allowed to access the channel freely, an
order to regulate medium accesses of UAVs in such cases ongoing transmission is not interrupted by other UAVs.
that multiple UAVs arrive at GS for data transmission at Clearly, there is no contention among UAVs to gain the
overlapping time periods and attempt to access the medium access to the channel due to the centralized mechanism of
simultaneously. DSMAC. To this end, additional frame exchanges between
One of the most important limitations for UAVs is en- the communication nodes in order to avoid packet collisions
durance capability. In order to utilize limited flight duration such in CSMA/CA are not needed in DSMAC protocol.
of UAVs within the context of data transfer to the GS, it is
quite important to consider this fact at MAC level operations.
Besides that, certain applications may necessitate specific
amount of delay tolerance for data delivery rather than
completely disregarding it even they perform under DTN
paradigm. For these reasons, to assure effective usage of
limited flight duration and timely data delivering, deadline-
constraint data transmission to the GS as fast as possible
must be effectively handled by an efficient MAC protocol
mechanism. To this end, the main objectives of DSMAC
protocol we design for DTN based muti-uav systems are:
• creating a centralized channel allocation mechanism
in order to provide contention-free medium access for
UAVs,
• using two different communication channels for data
and control frames to utilize data channel effectively,
• making channel allocation scheduling non-preemptive
to avoid suspending ongoing transmission,
• taking record deadlines into consideration for channel Fig. 3. Centralized medium access scheme in DSMAC.
allocation to increase the deadline meeting rate as much
as possible In DSMAC protocol, it is assumed to be used two different
transceiver in UAVs with two antennas and their associated
B. Design communication circuitry. One of them performs on data
DSMAC protocol is designed to provide a centralized channel while the other uses control channel. It is also
MAC scheme for DTN based multi-UAV systems. Accesses assumed that possible interference between two transceivers
to the medium are controlled only by the GS. It performs are resolved using a kind of digital signal processing methods
its operations as a coordinator while UAVs in the system or physical precautions.
are its associated mobile nodes. None of the UAVs has a It is clear that the GS has to be informed by UAVs in
direct access permission to the medium. UAVs are allowed to some way to notify that they have records to be transferred
transmit their data only when the GS sends a special frame to to the GS. In this regard, we introduce a term meta-info,
them, which is called START. Fig.2 below shows the START which is a brief information of records to be transferred to
frame format. It is important to note that Frame Control the GS. Since the DSMAC provides coordinator initiated data
field which has a number of sub-fields such as protocol transmission, this information is used by the GS to schedule
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the channel allocations properly and to send a START frame Thus, DATA-ACK exchanges start between the UAV#1 and
to a UAV. The control channel mentioned above is used by the GS. After a short time, as this frame exchange continues
UAVs to send their meta-info to the GS when they arrive. between the UAV#1 and the GS, UAV#2 arrives at GS and
Thus, UAVs are able to send their data transfer requests using sends its meta-info using control channel as it is shown as red
control channel without violating the data channel. Because frames in the figure. In this way, the meta-info transmission
the size of meta-info is quite small and the essential need for does not disturb the ongoing data transmission. In order to
control channel is to provide a reliable communication link notify the GS for last DATA frame, UAV#1 set a flag into the
between UAVs and the GS, it is considered as a contention- Frame Control field of DATA frame which is shown in the
based channel which can be implemented by using one of figure as a red marker on the end of the last DATA frame sent
the COTS technologies such as XBee 802.15.4 [11] or Wi-Fi by UAV#1. The GS notices that it can send START frame
[10] modules. Data channel, on the other hand, is the channel to allocate the data channel to the UAV#2. To assure its last
allocated by the GS to a UAV for reliable data transmission ACK frame as a feedback is received by the UAV#1, it waits
using ARQ. Contention-free medium access for data transfer for a tD period of time before sending a new START frame
is provided using the data channel. to the UAV#2. Although the details of channel allocation
scheduling performed by the GS is provided in Section III,
at this point, it is important to note that the GS does not stop
the current data transmission even that UAV#2 has a record
with higher priority than the UAV#1 has. This is because the
GS schedules channel allocations based on non-preemptive
Earliest Deadline First service discipline as described later.
tD = T XACK + DSSSM AX + T XDAT A + DSSSM AX

The time period of tD used in NS2 implementation of
DSMAC is calculated as below. It is the sum of transmission
time of ACK frame (T XACK ), maximum propagation time
for ACK, transmission time of DATA frame (T XDAT A ), and
maximum propagation time for DATA. Additionally, in order
to provide reliable communication between UAVs and the
GS, retransmission timers for DATA packets sent by UAVs
and START packets sent by the GS are also implemented in
a similar way in NS2.
III. C HANNEL A LLOCATION S CHEDULING
As described before, DSMAC protocol provides a central-
Fig. 4. Control and data channels in DSMAC.
ized channel access scheme. Access to the medium is com-
pletely controlled by the GS so the possibility of contention
As it is illustrated in Fig.4, UAVs use Channel#2 (control for the medium is eliminated. UAVs arrived at the GS send
channel) to send their data transfer requests as meta-info to their meta-info using control channel. The GS uses meta-
the GS when they arrive. These requests are handled by the info to create an access priority plan by considering delivery
GS in order to obtain a channel allocation plan. Then, the GS deadlines of records. An example meta-info sent by a UAV
sends a START frame using Channel#1 (data channel) to a to the GS is presented in Table I below.
UAV which has the highest priority in the channel allocation
plan. In the case that an another UAV arrive at the GS to TABLE I
transmit its data while there is an ongoing transmission on A N E XAMPLE M ETA -I NFO S ENT B Y A UAV
Channel#1, no packet collisions occur because the newly
arrived UAV uses Channel#2 to send its meta-info without UAV Id Record Id Deadline (sec)
causing any interference on Channel#1. 1 1 344
1 2 507
Frame-level operation details of DSMAC protocol on 1 3 830
the timeline is presented in Fig.5. Note that exchanges of
green frames between UAVs and the GS are performed on
contention-free data channel while red frames are sent and Channel access function implemented in the GS uses a
received on contention-based control channel. According to service discipline based on Earliest Deadline First (EDF)
Fig.4, assume that UAV#1 has already sent its meta-info to [12] scheduling algorithm which is generally used in real-
the GS using control channel and the GS has decided to time operating systems. The channel access function places
reserve Channel#1 to the UAV#1 after the channel allocation transfer requests into a priority queue. Whenever a data
plan has updated. The GS sends START frame to UAV#1 to transfer is completed, the queue is searched for the transfer
inform it that the data channel is reserved for its transmission. request which has minimum delivery deadline value for the
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Fig. 5. Opoeration details of DSMAC protocol.
next data transfer. Unlike EDF, scheduling algorithm used can be defined as:
in DSMAC is non-preemptive. This means the GS does not • The Waiting Time is an amount of time a data transfer
suspend ongoing data transfer to start another one. Although is waiting in the ready queue or sum of time waiting in
a newly received meta-info has a record with higher priority, ready queue.
which means a closer deadline value, current data transfer is • The Turnaround Time is an amount of time to complete
waited for to end. The reason that we are using such non- a data transfer (time from first placed in ready queue to
preemptive mechanism for channel access service is limited transfer completion).
flight duration of UAVs. It is important to note that one • The Response Time is an amount of time it takes
of the major objectives of DSMAC is to allow UAVs to from when a transfer request is placed in ready queue
continue their operation as soon as possible in addition to until the first response is produced (not completion of
satisfy deadline constraints of the records. transfer).
It is better to present a case study to gain more insight • The Deadline Meeting Rate (DMR) is the rate of satis-
regarding different scheduling mechanisms. To this end, we fied deadline constraints of records.
provide a sample transfer requests made by three UAVs in
Table II.
TABLE II
S AMPLE T RANSFER R EQUESTS
Transfer Request
Record Record Deadline
UAV Id Time Time
Id Size (sec)
(sec) (sec)
1 1 D1 60 120 0
1 2 D2 40 50 0
2 1 D3 10 30 30
2 2 D4 20 110 30
Fig. 6. Results for round-robin scheduling.
3 1 D5 30 170 60
3 2 D6 50 130 60
If round-robin scheduling is applied to sample transfer
requests provided in Table II, as it is shown in Fig.6, trans-
Based on the transfer requests provided in Table II, mission of records is performed in a fragmental manner with
Gantt charts and results for some performance measures are the 10 sec quantum value. Because round-robin scheduling
provided in Fig.6 and Fig.7 according to round-robin and is a preemptive approach, it gives relatively high average
non-preemptive EDF scheduling algorithms corresponding to times compared to non-preemptive EDF (Fig.7). The reason
802.11 PCF and DSMAC, respectively. Gantt charts show that we prefer to use round-robin scheduling mechanism
the order of data transfers for corresponding scheduling to compare it with the scheduling algorithm used in DS-
algorithms. Performance measures used in this case study MAC (non-preemptive EDF) is because it is used in 802.11
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PCF which also provides a centralized and contention-free A. Effects of Average Inter-arrival Time
medium access as DSMAC we propose. One of the main factors which effects DMR is inter-
arrival times of UAVs to the GS. When real-world conditions
are considered, arrivals of UAVs to the GS are completely
random and independent from each other. However, when
these random occurrences of arrivals are observed long
enough, a certain occurrence rate can be obtained. For this
reason, random UAV arrivals to the GS are considered as
a Poisson process which is widely used random process to
model random points in time. In this context, inter-arrival
times between UAV arrivals to the GS are produced based
on exponential distribution which arise naturally from the
Poisson process.
Fig. 7. Results for non-preemptive EDF scheduling.
TABLE IV
S IMULATION PARAMETERS
As it can be seen from Fig.6 and Fig.7, non-preemptive
EDF provides considerable performance improvement in
Parameter Value(s)
terms of DMR. This is because it schedules data transfer Number of UAV 4
requests by considering deadlines of records even it does not Number of Record for each UAV 1, 2, 3, 4, 5
suspend ongoing transfer. The round-robin scheduling also Record Size [5, 10] MB
satisfies a number of deadline constraints, but this is made Deadline Range [tTx x 1.5, tTx x 5] s
Average Inter-arrival Times 50, 75, 100, 125, 150, 175 s
unconsciously.
Simulation result provided in Fig.8 shows how average

IV. P ERFORMANCE A NALYSIS
inter-arrival times effect DMR both for DSMAC and PCF.
Studies on performance issues are conducted by using In this simulation study, a multi-UAV system is considered
NS2. As another centralized medium access mechanism, to be formed by 4 UAVs. Number of records per UAVs
802.11 PCF, is used to compare it with proposed DSMAC are determined as a random integer between 1 and 5.
protocol. DSMAC is implemented by making modifications Record sizes are randomly generated between 5 and 10
on 802.11 PCF support patch [13] in NS2. Contention MB considering that UAVs collect data as 720p (1280x720)
period of PCF is deactivated so only centralized contention- video with the length between 30 and 60 seconds. Deadlines
free medium access scheme is considered for comparison for each records are also randomly generated between 1.5
between PCF and DSMAC. PHY layer parameters are set and 5 times of delivery time estimation of corresponding
based upon 802.11b standard. Deadline Meeting Rate (DMR) record to the GS. All random generations are based on
and Average Waiting Time (AWT) are considered as main uniform distribution except random inter-arrival times which
performance measures that we employ to measure the perfor- are generated based on exponential distribution. Parameters
mance of DSMAC protocol. All simulation results provided used in this simulation study is provided in Table IV.
below are average results of 20 experiments. Table III shows
general parameters used for wireless node configuration in
simulation studies.
TABLE III
G ENERAL S IMULATION PARAMETERS
Parameter Value(s)
Channel Channel/WirelessChannel
Antenna Antenna/OmniAntenna
Radio Propagation Model Propagation/TwoRayGround
Network Interface Phy/WirelessPhy
Interface Queue Type Queue/DropTail/PriQueue
Interface Queue Capacity 50
Link Layer LL
MAC Protocol DSMAC and 802.11 PCF Fig. 8. Change in DMR with respect to average inter-arrival times.
CBR Data Rate 2 Mbps
CBR Packet Size 512 byte
Simulation Area 140 m x 140 m As can be seen from the Fig.8, there are similar trends
Number of UAVs 4, 8, and 12 for DSMAC and PCF with respect to DMR. DSMAC out-
performs PCF for all average inter-arrival times used in
the simulation. When it is considered that a UAV in the
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system has 3 records and 7.5 MB each on average, average multi-UAV systems. Table VI shows corresponding average
total transfer time of these records to the GS is calculated inter-arrival times for three different multi-UAV systems used
approximately as 77 seconds according to parameters used in this simulation.
in the simulation. Performance gain obtained for average
TABLE V
inter-arrival times which are close to this average value
(50, 75, 100) is about 8% on average while more relaxed
average inter-arrival times provide performance gain up to
Parameter Value(s)
15% as it is shown in Fig.8. For shorter average inter- Number of UAV 4, 8, 12
arrival times, PCF, which do not take record deadlines into Number of Record for each UAV 1, 2, 3, 4, 5
account, may complete most parts of the records which have Record Size [5, 10] MB
Deadline Range [tTx x 1.5, tTx x 5] s
longer deadline early in the process owing to its round- Arrival Periods 5, 10, 15, 20 min.
robin based medium access scheduling mechanism. On the
other hand, even DSMAC considers record deadlines for
medium accesses, it may suffer from convoy effect problem
TABLE VI
for shorter average inter-arrival times because of its non-
C ORRESPONDING I NTER - ARRIVAL T IMES FOR D IFFERENT M ULTI -UAV
preemptive scheduling scheme. For these reasons, the diver-
S YSTEMS
sity on performance gain for different average inter-arrival
times is observed in the simulation.
Average
Multi-UAV Arrival Period
Inter-arrival
System (min.)
Time (sec)
5 100
10 200
4 UAV
15 300
20 400
5 42
10 85
8 UAV
15 128
20 171
5 28
10 55
12 UAV
15 82
20 110
Fig. 9. Change in AWT with respect to average inter-arrival times.
Another performance measure which is effected from

inter-arrival times to the GS is AWT for records. Fig.9 above
shows the change in AWT with respect to average inter-
arrival times for the same parameter configuration described
for the previous simulation. Both DSMAC and PCF have
similar trends for AWT. AWT decreases as average inter-
arrival time is increased. It is observed that DSMAC has
lower values of AWT for all average inter-arrival times used
in the simulation. For more frequent arrivals of UAVs, the
difference between AWT values for DSMAC and PCF is
much more as it can be seen from the Fig.9. This is because
of that DSMAC provides non-preemptive medium accesses Fig. 10. Change in DMR for different multi-UAV systems with respect to
while PCF provides round-robin based scheduling. When arrival periods.
average inter-arrival time is relaxed enough, both protocols
converges to their worst-case AWT values and the AWT In this simulation, three different multi-UAV systems
gain obtained after their convergence is up to 17 seconds which consist 4, 8, and 12 UAVs are considered to arrive
approximately. at the GS in 5, 10, 15, and 20 minutes. Simulation result
Parameters used for another simulation study which is is presented in Fig.10. As it can be understood from the
conducted to observe how DMR is effected by different UAV Table VI, for the same arrival period, inter-arrival times for
arrival periods for multi-UAV systems consisting different different multi-UAV systems varies because of the number
number of UAVs are provided in Table V. An arrival period of UAVs they consist. For arrival period of 5 minutes, multi-
indicates a period of time which all UAVs of a multi-UAV UAV systems of 4, 8, and 12 UAVs have 100, 42, and 28
system should arrive. In this context, a certain arrival period seconds average inter-arrival times respectively. Therefore,
provides different average inter-arrival times for different results obtained for DMR in 5 minutes of arrival period
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show that 4-UAV system has a DMR about 80% while 8- distribution. Based on the fact that UAVs are assumed to be
UAV and 12-UAV systems have about 20% and 10% DMR capable of making delivery time estimation for each record
respectively for DSMAC protocol. Also, it is observed that they have, deadlines for each records are randomly generated
DSMAC outperforms PCF with respect to DMR for all between 1.5 and i times of delivery time estimation of
arrival periods used in the simulation. In addition, multi-UAV corresponding record. The value of i indicates the maximum
systems consisting much more UAVs reach their maximum boundary of the delivery deadline range. Fig.12 shows the
DMR slowly while systems that contain fewer UAVs con- change in DMR with respect to deadline generation range
verges its maximum DMR more quickly because of varying for DSMAC and PCF. Parameters used in this simulation is
corresponding average inter-arrival times. provided in Table VIII.
B. Effects of Average Record Size on Average Waiting Time
TABLE VIII
Size of records UAVs have directly effects the AWT S IMULATION PARAMETERS
performance for both protocols due to its first-hand relation
to the transmission time. This simulation study is conducted
Parameter Value(s)
to show how AWT changes through the average size of Number of UAV 4
records. Simulation configuration is provided in Table VI Number of Record for each UAV 1, 2, 3, 4, 5
below. Record Size [5, 10] MB
Deadline Range [tTx x 1.5, tTx x 3, 5, 7, 9] s
TABLE VII Average Inter-arrival Times 75 s
Parameter Value(s) Here, our aim is to observe DMR performance of DSMAC

Number of UAV 4 and PCF by relaxing the deadline range gradually. As shown
Number of Record for each UAV 1, 2, 3, 4, 5
Average Record Size 5, 10, 15, 20 MB in Fig.12, both DSMAC and PCF have poor performance
Deadline Range [tTx x 1.5, tTx x 5] s results for initial deadline range which is too strict to
Average Inter-arrival Time 75 s meet the deadline constraints of records in this simulation
configuration. As this range is relaxed by increasing the
maximum limit of the range, both protocols have started to
As shown in Fig.11, AWT is increased as the average
produce better results in terms of DMR. This is because
record size is increased. DSMAC outperforms PCF for all
the value of average deadline is also increased when the
average record sizes used in the simulation. This is because
range that we generate random deadlines is relaxed. It is also
DSMAC do not interrupt an ongoing transmission in its
shown that DSMAC gives better DMR performance results
operation while PCF performs a preemptive medium access
than PCF for all ranges that we choose due to its deadline
scheme allowing all UAVs arrived at GS to access the
sensitivity. Although the performance difference between two
medium for short periods by turns.
protocols is much less for too strict deadline ranges, it grows
as the range is started to be wider until reaching a certain
point. If the maximum boundary of the range is increased
too much, it is obvious that both protocols will be capable of
meeting deadlines of all records naturally due to high average
deadline range obtained in this case.
Fig. 11. Change in AWT with respect to average record size.
C. Effects of Delivery Deadline Range on Deadline Meeting

Rate
Delivery deadlines for records is another consideration for
DMR. The delivery deadline generation range that we use in
simulation studies have a great impact on performance of Fig. 12. Change in DMR with respect to delivery deadline generation
range.
meeting these delay bounds. In simulation studies, deadlines
are generated within a certain range using random uniform
____________________________________________________________________________________________________________
34
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V. C ONCLUSION [11] Wireless Medium Access Control (MAC) and Physical Layer
(PHY) Specifications for Low-Rate Wireless Personal Area Networks
Research efforts on DTN in the literature mainly focus on (WPANs), IEEE Std. 802.15.4, 2006.
data delivery/routing schemes. However, link layer packet [12] M. Caccamo, L. Y. Zhang, L. Sha, and G. Buttazzo, “An implicit
prioritized access protocol for wireless sensor networks,” in Real-Time
collision problem should not be overlooked for DTN based Systems Symposium, 2002. RTSS 2002. 23rd IEEE, 2002, pp. 39–48.
applications, particularly, densely distributed nodes are on [13] A. Lindgren, A. Almquist, and O. Schelén, Quality of Service Schemes
subject. Additionally, certain applications may necessitate for IEEE 802.11 A Simulation Study. Berlin, Heidelberg: Springer
Berlin Heidelberg, 2001, pp. 281–287.
specific amount of delay tolerance for data delivery rather
than completely disregarding it even they perform under
DTN model. Based on such DTN-based applications under
multi-uav system scenario, Deadline Sensitive Medium Ac-
cess Control (DSMAC) protocol is presented in this paper.
The DSMAC protocol is a novel medium access solution
that seeks to achieve timely data transfer as possible with
contention-free and centralized access mechanism. It enables
UAVs in a DTN-based multi-UAV system to continue their
operation as fast as possible with non-preemptive scheduling
executed on channel access function in the GS. To the best of
our knowledge, medium access in DTNs has not been studied
from this perspective before and this is the first research
effort focusing on deadline sensitivity of channel allocation
for DTN based multi-uav systems.
To investigate the performance of DSMAC protocol, we
have developed an evaluation environment by implementing
it on NS2. In addition, DSMAC has been compared to PCF
mode of widely used IEEE 802.11 protocol in terms of
deadline meeting rate and average waiting time performance
measures. Simulation results show that DSMAC protocol
provides considerable performance improvements in terms
of average waiting time and deadline meeting rate.
R EFERENCES
[1] K. Fall, “A delay-tolerant network architecture for challenged inter-
nets,” in Proceedings of the 2003 Conference on Applications, Tech-
nologies, Architectures, and Protocols for Computer Communications,
ser. SIGCOMM ’03. New York, NY, USA: ACM, 2003, pp. 27–34.
[2] T. Spyropoulos, K. Psounis, and C. S. Raghavendra, “Single-copy
routing in intermittently connected mobile networks,” in Sensor and
Ad Hoc Communications and Networks, 2004. IEEE SECON 2004.
2004 First Annual IEEE Communications Society Conference on, Oct
2004, pp. 235–244.
[3] A. Pentland, R. Fletcher, and A. Hasson, “Daknet: rethinking connec-
tivity in developing nations,” Computer, vol. 37, no. 1, pp. 78–83, Jan
2004.
[4] K. Fall, G. Iannaccone, J. Kannan, F. Silveira, and N. Taft, “A
disruption-tolerant architecture for secure and efficient disaster re-
sponse communications,” in Proceedings of ISCRAM, 2010.
[5] R. A. Nichols and A. R. Hammons, “Performance of dtn-based free-
space optical networks with mobility,” in MILCOM 2007 - IEEE
Military Communications Conference, Oct 2007, pp. 1–6.
[6] A. Jindal and K. Psounis, “Contention-aware performance analysis of
mobility-assisted routing,” IEEE Transactions on Mobile Computing,
vol. 8, no. 2, pp. 145–161, Feb 2009.
[7] H. Liang and W. Zhuang, “Dfmac: Dtn-friendly medium access con-
trol for wireless local area networks supporting voice/data services,”
Mobile Networks and Applications, vol. 16, no. 5, pp. 531–543, 2011.
[8] Z. Zhang, “A cluster based delay tolerant mac protocol for underwater
wireless sensor network,” in 2013 International Conference of Wireless
Networks (ICWN2013), July 2013, pp. 85–91.
[9] Y. Zhong, J. Huang, and J. Han, “A delay-tolerant mac protocol with
collision avoidance for underwater acoustic networks,” in 2009 5th
International Conference on Wireless Communications, Networking
and Mobile Computing, Sept 2009, pp. 1–4.
[10] Wireless LAN Medium Access Control (MAC) and Physical Layer
(PHY) Specification, IEEE Std. 802.11, 1997.
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Importance of Business Intelligence Solution on

Decision-Making Process of Companies
Serdar Biroğul*, Hasan Berk Gültekin+
*
Duzce University, Technology Faculty Department of Computer Engineering, Duzce, Turkey
serdarbirogul@duzce.edu.tr
Bank of Aktif Yatırım, Department of Business Intelligence, İstanbul, Turkey
berk.gultekin@aktifbank.com.tr
Abstract - Nowadays , many companies meet the needs of data The number of studies in Turkey on business intelligence
from different data sources in different formats in order to in systems, which are recognized more and more by companies
line with changing business needs. Data is managed and stored in for their importance, is insufficient. The purpose of this study
different parts of the system. Business intelligence is the most is to emphasize the effect of business intelligence solutions
effective solution that allows to see big picture by integrating all
used in the finance sector, which has a direct relationship with
of the distributed data within a storage. Business intelligence has
emerged as a natural result of the previous system designed to money, on company strategies and explain their advantages
support the decision-making process. Over time, visual for companies.
deficiencies discovered in decision support systems, difficulties of
useage and mismatch between applications, is one of the major II. Strategic Decision-Making
factors in the rise of business intelligence technology. Such
solutions are up to date and integrated view of business Strategic decisions have long-term and profound impacts.
performance it offers the greatest benefits to decision makers., Access to complete and accurate information in line with
business needs on time has made decisions more structured.
Data warehouses store the data constantly cleaned and
By increasing centralization of data quality, control and
scheduling capabilities have allowed us to take quick and right
updated with ETL (Extract-Transform-Load) processes, which
decisions in the evolving competitive environment.The concept of are designed in a planned way, and fulfill the quality data
business intelligence is an important element of taking strategic element, which is one of the important factors in the decision-
decisons and implementation point in globalized world.This making process. Softwares that allows for the management of
study has designed by Oracle business intelligence tool and the business intelligence process contribute to the decision
results have been a key element of evaluation in decision making making process by bringing all the technical work to a level
processes of the companies. which the decision maker will understand using visual tools
such as display panels, pivot tables or graphs.
Keyword – Decision making, business intelligence, big data Decision-making and action-taking occur after the
intervention of many factors simultaneously. Considering
I. Introduction today’s conditions, competition between companies seem to
Rapid changes in the business life and complex situations be getting fiercer with each passing day with emerging
that come along with these changes force businesses to make technology. To be able to survive in the dynamic business life
fast and accurate decisions. This journey started with the use is not possible with adopting emerging technologies to the
of decision support systems which are being replaced by company alone. The cornerstone of fast and effective
business intelligence technologies due to changing business decision-making is to provide analyses designed in accordance
needs. with today’s needs to competent decision makers who are able
to accurately assess results of these analyses, which provides a
Instead of depending on their personal predictions and considerable competitive advantage for companies.
intuition, decision makers must adopt approaches based on
facts in order for companies to have competitive advantage. It has been found in recent studies that most companies
With the introduction of business intelligence tools, cannot use corporate data in decision-making processes
centralized data sources enhance data quality and control, as efficiently. The amount of collected data increases
well as shortening decision-making and action-taking time by exponentially with each passing day, which means that the
preventing decision makers from getting lost in different data competition between companies increases at the same pace. It
sources. Centralized data sources may sometimes appear in is of great importance to have different and well-integrated
the form of data warehouses and sometimes in the form of information sources for an effective decision-making process.
data marts containing department- or issue-specific solutions. At this point, business intelligence is provision of a powerful,
____________________________________________________________________________________________________________
36
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low-cost, easy-to-use and sharable source, which can meet the installation and implementation by saying, "These solutions
needs. have made everything we do easier”. In addition, improved
query performance and more self-serve reporting across the
The resulting heaps of information with changing company are other positive outcomes of the project.
technology were not useful to upper management. A need for
management information systems allowing for the Considering success stories with business intelligence
presentation of integrated and summary data emerged. softwares, the following are observed ([7.8]):
Decision support systems were developed for this purpose.
However, visual inadequacies, usage difficulties and - It is possible to access the desired data at the desired place
integration problems between applications created the need for through visual graphics comfortably and understandably
a new system to achieve this purpose and established a ground without needing IT specialists,
for the introduction of Business Intelligence Systems. - It is possible to access appropriate data among million
lines of data in a shorter time and ensure a faster decision-
III. Business Intelligence making process,
- The huge amount of time spent for data tabulation and
Business intelligence as a term was used for the first time in evaluation can be channelized to customers and decision
1989 by Howard Dresner, who worked as an analyst and makers,
researcher at Gartner Group. Howard Dresner saw business - A lower number of key performance indicators are used,
intelligence as a decision support system based on facts and an - A higher level of report optimization is achieved,
umbrella covering all methods and ideas that enhance the - The simplification of data is much more comfortable.
ability of business-related decision-making.
IV. Experiments
Humanity’s endless search has been an important driving
force in the advance of technology, as in many areas of life. In terms of accounting and financial reporting, the
Findings and results obtained from research have been the information required by banks for analysis and interpretations
harbinger of new technologies of future. Business intelligence such as the following is prepared in a standard way:
designs and softwares are a new technology developed in
- Ensuring uniformity,
order to overcome deficiencies experienced by companies in
- Obtaining uniform balance sheets and income statements
relation to support the decision-making process and increase
directly,
administrative decision-making efficiency, which has began to
- Obtaining information required for auditing and
be used in practice.
supervision in a verifiable and auditable manner,
Business intelligence application softwares are considered - Reaching information required by authorities to monitor
to be the latest point that decision support systems have and direct the economy and other statistical data,
reached. Therefore, they have a wider scope compared to - Financial analysis,
decision support systems. They contain a higher level of - Risk analysis,
analysis and more estimation algorithms. In addition, offering - Efficiency analysis.
a powerful visual tool support is one of the important reasons
Oracle Business Intelligence 11.1.1.7.140527 was used in
why they are used widely today.
the implementation of the study. Within the scope of our
A well-designed technological infrastructure is not enough study, we held meetings with finance group employees in
for a new solution to be adopted widely. To correctly describe different periods in order to determine business needs both
and explain the philosophy behind the solution and its verbally and in written. As a result of these meetings, the
meaning is at least as important as the solution itself. Many study was shaped on a business model covering technical
definitions have been made for business intelligence to analysis documents and queries that end-users desire and may
emphasize its contribution to the decision-making process and desire in future.
effectiveness of administrative decision-making ([1-6]).
Database which was used
Kraft Foods, which has its head office in Illinois, USA,
- Oracle Database 11g Enterprise Edition Release 11.2.0.4.0
employs about 125.000, has a annual revenue of USD 110
- 64bit Production
million with its more than 70 brand, has 40 brands in the
- PL/SQL Release 11.2.0.4.0 - Production
market for more than 100 years and has an asset size of USD
- CORE 11.2.0.4.0 - Production
49 billion and is the second biggest food company in the
- TNS for Linux: Version 11.2.0.4.0 - Production
world, started to use SAP Business Objects BI 4.0 business
- NLSRTL Version 11.2.0.4.0 – Production
intelligence application in 2012. The main purpose of the
project was to make it possible to rapidly and effectively reach Fig. 1 shows a screenshot related to one of the steps of
the rich data in the ERP system of the company through user- creating the physical layer used in the study and Fig. 2 shows
friendly interfaces. Mike Walsh, the Business Intelligence a screenshot related to displaying data.
Director of Kraft Foods expressed his satisfaction with the
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37
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Fig. 1 Creating physical layer tables Fig. 4 Business model and mapping fact table design-2
Fig. 2 Displaying data

Fig.5 Displaying the business model and mapping table relations
Fig. 3-4-5 show screenshot related a few of the steps of
creating the business model and mapping used in the study. Fig. 6 shows a screenshot related to one of the steps of
creating the presentation layer used in the study.
Fig. 3 The current business model and mapping

Fig. 6. Displaying the presentation layer
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38
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Business Intelligence Production REFERENCES
Oracle Business Intelligence web interface is a reporting [1]. G.J. Miller, D. Bräutigam and S.V. Gerlach, Business Intelligence
Competency Centers, John Wiley & Sons, Inc., 2006
tool that allows us to reach the data in the system in line with [2]. (2015)http://www.lodestonemc.com/files/pdf/success_stories.
defined targets, perform analyses that make is possible to [3]. H. Ateş, “Karar Vermede İş zekasının Önemi Tekstil Sektöründe Bir
make healthy decisions and present these with visual richness. araştırma”, Yüksek Lisans Tezi, Dokuz Eylül Üniversitesi, 2008.
Once the Data Mart design, which is the first phase of the [4]. A.S. Yılmaz, “Esnek raporlama aracı ve iş zekası uygulamaları ile
bütünleştirilmesi”, Yüksek Lisans Tezi, Ege Üniversitesi, 2010.
study, is completed, we can go on with the next phase, which [5]. M. Gibson, D. Arnott, and I. Jagielska, “Evaluating the Intangible
is providing an Oracle web interface for end-users. This phase Benefits of Business Intelligence Review & Research Agenda”,
which emerges after needs analysis allows end-users to create Proceedings of the 2004 IFIP International Conference, 2004, s. 295-
reports using a drag and drop technology. The relevant 305.
[6]. J. Reinschmidt, and A. Francoise, IBM Business Intelligence
screenshot is given in Fig.7. Certification Guide, pp.3-4, 2000.
[7]. (2015) Hannon, http://sapinsider.wispubs.com/Assets/Case-
Studies/2012/April/Kraft-Foods-Recipe-For-Successful-Business-
Intelligence.
[8]. (2015) Crider, http://www.sap.com/customer-testimonials/high-
tech/dell.html.
Figure 7. Displaying analysis results
V. Conclusion
Reports obtained as a result of the solution designed within
the scope of the study allows us to find customer details based
on the ledger account number.
The solution, which began to be used by the finance group

of the bank, allows us to find customer details based on the
ledger account number and evaluate loans given or taken by
the bank from a financial perspective. Requested data presents
periodic profit and loss information to the bank. It also allows
for a cross-check between bottom totals of accounts found on
the basis of customer and voucher number and bank balance,
which is used a checking tool in accounting. These checks lay
the groundwork for preparation of steps that will allow for
healthier banking operations by detecting vouchers prepared
for the wrong account number. For example, it is possible to
make improvements in the current banking software thanks to
detection of continuous mistakes. Also, long-term and short-
term loan information that banks are obliged to report to the
tax office periodically, constitute a resource for decisions
related to loans for the government.
ACKNOWLEDGMENT
This study was supported by Scientific Research and

Projects Coordinatorship, Duzce University.
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39
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Elevator System. A Case Study of Coloured Petri Nets

Eman Assiri2, Mohammed Assiri1, and Ryszard Janicki1
1
Department of Computing and Software, McMaster University,
Hamilton, Ontario, Canada L8S 4L8
2
Mohawk College, Hamilton, Ontario, Canada L9N 1E9
Abstract— A fairly general model of the elevator system is II. THE ELEVATOR SYSTEM
presented. Coloured Petri Nets (CPN) and CPN tools are adopted Elevator systems are an integral aspect of most buildings.
as modeling tools. The model, which is independent of the number
Transportation between floors, often with heavy goods, is in
of floors and elevators, covers different stages of the elevator
system in substantial detail. The model assists simulation-based
many cases almost impossible just by using stairs, especially
analysis of different algorithms and rules which govern real for high-rise buildings. Quite often multiple elevators are
elevator systems, including calculating serving time and waiting required and such systems are usually very complex. Multiple
time. The results prove the compatibility and applicability of this elevators must be controlled by a centralized control
model in various situations and demonstrate the expressive power mechanism. The complexity of these elevator systems arises
and convenience of CPN. from factors such as scheduling needs, resource allocation, and
stochastic control, to name a few. Handling these jobs usually
results in systems behaving as discrete event systems [12].
Keywords— Formal Specification, Elevator System, Software Moreover, the differences among the types of buildings and
Specification Benchmarks, Coloured Petri Nets, Calculating their traffic patterns also add to the complexity of the elevator
Service Time, Waiting Time systems. For example, elevator passengers in residential,
institutional, or commercial buildings might face some mix of
popular traffic patterns as: up-peak traffic (also called incoming
I. INTRODUCTION traffic) where the traffic flows mostly from the first floor to
Coloured Petri Nets (CPN), first proposed in [7] and later other floors, down-peak traffic (also called outgoing traffic)
substantially modified and enhanced in [8] and [9], are an where the traffic flows mostly to the first floor from other floors,
extension of Petri Nets (c.f. [13]), and are often used to model and balanced traffic (also called random traffic) where none of
behaviours of large variety of complex systems. Nevertheless, the two previous patterns dominates [2], [14].
the question whether or not CPN are an effective technique for The elevator system is usually defined as follows [5]: An
modeling real world applications of interconnected elevator system is to be installed in a building with m floors and
communicating systems is still of interest for software n cars. The elevator and the control mechanisms are supplied
developers and modelers. In this paper we discuss a CPN model by the manufacturer. The internal mechanism of an elevator
of the elevator system. The elevator system is one of the system is assumed (given). The problem concerns the logistics
software engineering benchmarks that are frequently used to of moving cars between floors according to the following
test the expressive power, readability and convenience of constraints:
various formal specification techniques [5].
This paper is an extension and refinement of the results • Each elevator’s car has a set of buttons - one for each
presented in [1], however it can be read independently. The floor. These buttons illuminate when pressed and signal
main difference is calculating service time and waiting time. the elevator to move to the corresponding floor. The
Various types of Petri nets have been used to model the illumination is canceled when the corresponding floor
elevator system before, a detailed list of references can be found is visited by the car.
in [1], here we mention only [4], [6], [10] and [11]. • On the wall outside the elevator each floor has two
Nevertheless, all the previous models (except [1]) are either buttons (with the exception of the ground and the top
static, or the concept of colour as a data type was not fully floors). One button is pressed to request an upward
utilized, or other formalisms as UML were substantially moving elevator and another button is pressed to re-
involved. quest a downward moving elevator. If both buttons are
The model presented in this paper is independent on the pressed, then each direction is assigned to a different
number of floors and elevators, it covers in substantial detail car. These buttons illuminate when pressed. The
different stages of the elevator system. We believe our model illumination is canceled when the assigned car visits the
is flexible enough to be adapted to different algorithms and floor.
rules, and may eventually evolve in a ’standard’ formal model • When an elevator has not received any requests for
of the elevator system. service, it should be held at its parking floor with its
doors closed until it receives further requests.
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40
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• All requests for elevators from floors (i.e. hall calls) have been used. For more details and theory of CPN, the reader
must be serviced eventually. The applied algorithm is referred to [9].
controls the priority of floors. Throughout this paper we will use ℝ (ℝ ) to denote Reals
• All requests for floors within elevators (i.e. car calls) (non-negative Reals), ℤ (ℤ ) to denote Integers (non- negative
must be serviced eventually, with floors usually serviced Integers), [x1, . . . , xn] to denote the list x1, . . . , xn and lists(X)
sequentially in the direction of travel. to denote finite lists built from the elements of X.
• Each elevator’s car has an emergency button which
when pressed causes a warning signal that is sent to the
site manager. The car is then deemed "out of service". IV. CPN-BASED MODELLING OF ELEVATOR SYSTEM
Each car has a mechanism to cancel its "out of service" Our model of the elevator system consists of four major
status.   interconnected but independent sub-models, namely: timing
car-structure, timing hall-call, timing car-call, and timing
system-cycle.
III. COLOURED PETRI NETS Their functions and interconnections are described as
Coloured Petri Nets are a discrete-event modelling language follows. The timing car-structure sub-model represents the
combining the capabilities of Petri Nets with the capabilities of elevator’s cars. It is at the centre of all other sub-models that
a high-level programming language. Petri Nets provide the concurrently control the elevator’s cars. Typically, an elevator
foundation of the graphical notation and the basic primitives for car is requested by either a hall-call or a car-call. A hall-call is
modeling concurrency, communication, and synchronization. placed by pressing a button located in the hallway of a given
Coloured Petri Nets allow tokens to have a data value attached floor while a car-call is placed by pressing a button inside the
to them. This attached data value is called token colour. car of the elevator. When a hall-call is placed, the timing hall-
Although the colour can be of any arbitrarily complex type, call sub-model will assign the hall-call to the appropriate car of
places in CPNs usually contain tokens of one type. This type is the timing car-structure sub-model (details depend on the
referred to as the colour set of the place. algorithms that are used). Similarly, the timing car-call sub-
A semi-formal definition can be given as follows: model coordinates the placed car-calls with the cars of the
A Coloured Petri Net is a tuple: timing car-structure sub-model. Finally, the timing system-
cycle sub-model operates the cars of the timing car-structure
N = (P,T,A,Σ,C,N,E,G,I) sub-model to service the requested calls.
where: A. Timing Car-Structure

• P is a set of places and T is a set of transitions.   The timing car-structure sub-model (Figure 1) is composed
• A is a set of arcs and P ∩ T = P ∩ A = T ∩ A = . of two places: Timing Cars and Timing Database, that also
• Σ is a set of colour sets defined within CPN model. belong to other sub-models. The Timing Cars place is a
This set contains all possible colour, operations, and Cartesian product defined in Table I. The Timing Database
functions used within CPN. place, defined in Table II, is just a list of cars’ states data. Hence,
• C is a colour function which maps places in P into both places are initialized dynamically by the functions
colour in Σ.   initialize cars and initialize database respectively (see Figure
• N is a node function which maps A into (P × T )∪ 1).
( T × P).
• E is an arc expression function which maps each arc
a A into the expression e. The input and output initialize_tcars() initialize_tdatabase()
types of arc expressions correspond to the type of Timing
CarsCars Timing
Database
Database
nodes which the arc is connected to. Timing_Cars Timing_Database
• G is a guard function which maps each transition t ∈

Fig. 1: The timing car-structure sub-model
T into guard expression g. The output of the guard
expression should evaluate to Boolean value true or
false.   In the colour set Timing Cars, the parking floor indicates
• I is an initialization function which maps each place which floor should the car be held on when it is idle, while stops
p into an initialization expression i. The initialization limitation predetermines the maximum number of served calls
expression must evaluate to a multiset of tokens with during the simulation-based analysis of traffic congestion.
a colour corresponding to the colour of the place C(p). Stops limitation is either a positive (small) integer constant, or
a function that determines when a new value of stop limitation
CPN support hierarchical modeling and are equipped with a is produced. For example, if the function returns two, then after
modeling language called CPN ML which is based on the accomplishing two calls, a new value for the stop limitation is
standard functional programming language ML. There are a generated. Time period is a real number that shows the
variety of tools that can be used. In this paper the tools from [3] operational time of the car, and served hall calls is a list of
triples (hall call, direction, time) or timing hall calls. Served
____________________________________________________________________________________________________________
41
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hall calls are used to transfer the tokens of assigned hall calls The condition (3) guarantees the balance between the
from the timing hall-call sub-model to the timing system-cycle producing process and the assignment process.
sub-model. The other elements of the colour set Timing Cars
are rather self-explanatory. TABLE III
THE COLOUR SET HALL BUTTONS
TABLE I Colour Sets Definitions
THE COLOUR SET TIMING CARS
{(hall call floor, status) | hall call floor
Hall Call
Colour Sets Definitions ∈ Range, status ∈ Status} 
Car ID {i | i ∈ ℤ ∧ 1 ≤ i ≤ total number of cars} Hall Calls {[h1,...,hk] | hi ∈ Hall Call}
{x | x ∈ ℤ ∧ lowest floor ≤ x ≤ highest {(IB, USB, UUB) | IB ∈ Hall Calls,
Range Hall Buttons
floor} USB ∈ Hall Calls, UUB ∈ Hall Calls} 
Status { up, down, emergency, idle, out of service}
Desired
{[l1,...,lk] | li ∈ Range} initialize_halls'_buttons()
Floors Hall's_Buttons
Hall's_Buttons
Call Issuer {request, system, non, reservation} HB
illuminate_hall_btn(HB,C)
Timing Hall {(hall call, direction, time) | hall call ∈

Range, direction ∈ Status, time ∈ ℝ} 
[releas_guard(HB,C)]
Call Release Hall Call
DB
DB
Timing Hall
{[h1,...,lk] | hi ∈ Timing Hall Call} 
Calls hall_call(HB,C,DB)
upd_coord(HB,C) C
{(car id, current floor, status, parking

floor, desired floors, call issuer, stops Requested
initialize_coordination() initialize_tdatabase()
Coordinator Timing
Database
Database
limitation, time period, served hall calls) Hall Call
Requested_Hall_Call Coordinator Timing_Database
| car id ∈ Car ID, current floor ∈ rhc

released(C) C
Timing Cars Range, status ∈ Status, parking floor ∈

[asn_guard(rhc,car,DB)]
Range, desired floors ∈ Desired Floors, call Assign Hall Call
DB
issuer ∈ Call Issuer, stops limitation ∈ ℤ, (#hall_call rhc) upd_asn

(car,rhc,DB)
time period ∈ ℝ, served hall calls ∈ Timing asn_hcall(car,rhc) car
Hall Calls} Prk Sys

Hall_Call Timing
CarsCars
initialize_tcars()
Timing_Cars
TABLE II Fig. 2: The timing hall-call sub-model

THE COLOUR SETS TIMING DATABASE
Colour Sets Definitions After firing the transition Release Hall Call, an appropriate
{(current floor, status, destinations,
tuple from either the USB list or the UUB list is removed and
car id, time) | current floor ∈ Range,
Timing Car’s Data placed into both the IB list and place Requested Hall Call. The
status ∈ Status, destinations ∈ Desired
choice between the USB list and UUB list is based on the
Floors, car id ∈ Car ID, time ∈ ℝ } 
following rules:
Timing Database {[g1,...,gk] | gi ∈ Timing Car′s Data} 1) When one list is empty, the other list is always selected.
2) The difference between both lengths of lists is less or
B. Timing Hall-call equal to the value of parameter frequency of most
This sub-model executes an algorithm, giving by the user, requested floors.  
that assigns a hall-call to the most appropriate car. It also can 3) The internal choice between tuples is sequential for
generate hall-calls from arbitrary floors, selected floors, or both. USB list and arbitrary (non-deterministic) for UUB
Invoking hall calls, which involves button illuminations, list.
starts from place Hall Buttons, which contains a single token The waiting time is calculated in three steps. First, when a hall
from the colour set defined in Table III. In principle, it is a list call is released from place Hall Buttons and put in place
of triples (IB, USB, UUB), where IB - illuminated buttons (IB), Requested Hall Call, the current times of all cars become
USB - unilluminated-specified buttons, and UUB - attached to this hall call (see Table V). Second, when the placed
unilluminated-unspecified buttons, are also (internal) lists. hall call is assigned to a car, it is removed from place Requested
Invocation of a Hall Call requires the firing of transition Hall Call and the lists: desired-floors and served- hall-calls (see
Release Hall Call. This transition is enabled if and only if the Table I) are appropriately modified.
following conditions are satisfied: Third, when the assigned car arrives at the floor of the placed
1) At least one of USB or UUB is not empty,  hall call, then the waiting time is calculated as the absolute
2) If the limit of producing calls is finite, then it has not value of the difference between the time of the car’s arrival and
been already reached, the registered time when the hall call was released. For more
3) The number of produced calls is less than the value of details and particular algorithms, the reader is refereed to [1].
parameter pause number (see Table IV). 
____________________________________________________________________________________________________________
42
_____________________________________________________________________________________________________________
TABLE IV The transition Place Car Call is enabled if and only if the
THE PARAMETERS OF THE TIMING HALL-CALL SUB-MODEL
following conditions are satisfied:
Parameters Legal values
1) At least one of the lists UUCB and USCB is not empty,
Producing mode { finite, infinite } 2) The selected car has not reached its maximum number
Times of finite hall  of accepted calls,  
{ y | y ∈ ℤ ∧0 ≤ y}
calls
3) If the limit of producing calls is finite, then it has not
Most requested
{[hc1,...,hck] | hci ∈ Hall Call}  been reached yet,  
floors
Frequency of most A selected algorithm in Timing Hall-call sub-model may also
{d | d ∈ ℤ ∧0 ≤ d} affect car calls process. Firing the transition Place Car Call
requested floors
Algorithms for modifies two lists: most-desired floors (see Table VII) and
{minimum waiting, nearest, scope}
assigning hall calls illuminated car buttons (ICB), by placing appropriate floor
Travel time {t | t ∈ ℝ } number in both of them respectively.
Average stop times {s | s ∈ ℝ }
Production pause TABLE VI
{p | p ℤ }
number COLOUR SETS CAR BUTTONS AND CALLS COUNTERS
Colour Sets Definitions

TABLE V Floors {[f1,...,fk] | fi ∈ Range} 
COLOUR SETS REQUESTED HALL CALL AND COORDINATOR
{[(floor1, time1), . . . , (floork, timek)]
Served Calls
Colour Sets Definitions | floori ∈ Range, timei ∈ ℝ}
{(car id, time) | car id ∈ Car ID, {(car id, ICB, USCB, UUCB) | car id
Car Time
time ∈ ℝ } Car Buttons ∈ Car ID, ICB ∈ Served Calls, USCB ∈
Cars Times {[c1,...,ck] | ci ∈ Car Time} lists(Floors), UUCB ∈ lists(Floors)}
{(hall call, waiting times) | hall call {(specified call, unspecified call, next
Requested Hall Call ∈ Hall Call, waiting times ∈ Cars Calls Counters selection) | specified call ∈ ℤ, unspecified
Times} call ∈ ℤ, next selection ∈ ℤ }
{(specified call, unspecified call,
next selection, released calls) |
TABLE VII
Coordinator specified call ∈ ℤ, unspecified call THE PARAMETERS OF THE TIMING CAR-CALL SUB-MODEL
∈ ℤ, next selection ∈ ℤ, released
calls ∈ ℤ } Parameters Legal values
Producing mode {finite, infinite}
Times of finite
C. Timing Car-call { y | y ∈ ℤ ∧0 ≤ y}
car calls
This sub-model provides a coordination between a car and The most desired
{[f1,...,fk] | fi ∈ Range}
its car-calls, and also may generate car-calls. floors
The tokens in place Car’s Buttons are of the colour Car The frequency of
{ d | d ∈ ℤ ∧0 ≤ d}
Button that is defined in Table VI. They are quadruples most desired floors
consisting of car identifier and three lists: illuminated car
buttons (ICB), unilluminated-specified car buttons (USCB), D. Timing System-cycle
and unilluminated-unspecified car buttons (UUCB). The The Timing System-cycle (Figure 4) models three stages:
process of car buttons illumination and calculation of serving maintenance, arrival, and transition, of cars operations. In
times starts with firing the transition Place Car Call (whose addition, it makes a simulation-based analysis possible.
input place is Car’s Buttons. At the arrival stage, when a car reached its desired destination,
transition Arrival fires and the time of a delivered call is
initialize_coord () initialize_car's_buttons
calculated and logged. If the delivered call was a hall call then
Calls_Counters Car's_Buttons
Car's_Buttons
the waiting time is the absolute value of the difference between
Calls_Counters Car's_Buttons the arrival time of the car and the registered time when the hall
upd_ccoord(CB,CC) CC call was placed. The calculated result is stored in place Hall
CB illuminate_btn(CB,CC,car) Call LOG (see Table VIII for an appropriate colour sets).
[plc_gaurd(CB,CC,car) ]
Similarly, the serving time of a delivered car call is the
Place Car Call
absolute value of the difference between the arrival time of the
snd_ccall(CB,CC,car) car
car and the registered time when the car call was placed (see
DB upd_db_(CB,CC,DB,car)
the timing car-call sub-model). The result is stored in place Car
initialize_tcars() initialize_tdatabase() Call LOG (c.f. Table VIII). The type of a delivered call (i.e.
Timing
CarsCars Timing
Database
Database
whether it is a hall call, a car call, or both) is determined by
Timing_Cars Timing_Database
checking simultaneously the illuminated-car-buttons list of a
Fig. 3: The timing car-call sub-model
place Car’s Buttons, the illuminated-buttons list of place Hall’s
____________________________________________________________________________________________________________
43
_____________________________________________________________________________________________________________
initialize_counters () initialize_car_call_log ()
Hall Call Car Call
LOG Doors LOG
Hall_Call_LOG Car_Call_LOG
Doors
log_hall(car) upd_cnt(car,cnt) cnt CL log_car(CB,CL,car)
[arr_guard(CB,car,cnt)] initialize_tdatabase()
upd_arr(car,DB)
Arrive Timing
Database
Database
DB
Timing_Database
CB unilluminate_btn HB unilluminate_hall_btn
(CB,car) (HB,car)
initialize_car's_buttons ()
initialize_halls'_buttons()
Car's_Buttons
Car's_Buttons
Hall's_Buttons
Hall's_Buttons upd_trn(car,DB) DB
Car's_Buttons
Hall's_Buttons
arrive(car,cnt) car
HB return_hall_call
CB reset_car's_btns(CB)
(HB,car)
[trn_guard(car)]
[mnt_guard(car,c)] initialize_tcars()
car
Maintain Timing
CarsCars
car Transfer
transfer(car)
0 Timing_Cars
DB upd_susp(car,DB)
suspend(car)
initialize_tdatabase()
warning
out of service Timing
Database_
Database
to manager
Timing_Cars Timing_Database
car upd_rst
(car,DB) DB
[rst_guard(car)]
Restart
restart(car)
Fig. 4: The timing system-cycle sub-model
Buttons, and the served-hall-calls of place Timing Cars. fired. In such case the pending car’s token is transferred
Moreover, each delivered hall call or car call is returned to its temporarily to place out of service, which is not accessible by
original list after it was removed from the illuminated-buttons any other sub-models, all assigned hall calls and car calls of the
list or illuminated-car-buttons list, respectively. The doors pending car are returned to places Hall’s Buttons and Car’s
operations are represented by the colour set Doors (c.f. Table Buttons, respectively, and a warning message is sent to the site
VIII). manager, which is denoted by place warning to manager. A
TABLE VIII
suspended car may be restarted, either automatically or
COLOUR SETS OF THE ARRIVAL STAGE manually based on the value of parameter restart cars
automatically that controls the enabling of transition Restart.
Colour Sets Definitions Cars movements between floors are modeled in the
{(car id, current delivery number,
transition stage. Transitions Transfer and Maintain are
Doors deliveries’ total ) | car id ∈ Car ID, current
mutually exclusive. Enabling and firing the transition Transfer
delivery number ∈ ℤ , deliveries’ total ∈ ℤ }
requires that the car desired-floors list is not empty, and the car
Hall Call {(hall call, waiting time) | hall call∈
current floor matches no calls of the desired-floors list. After
LOG Hall Call, waiting time ∈ ℝ } firing transition Transfer, the car token is updated in the
Serving {[(f1, st1), . . . , (fk, stk)] | fi = floori ∈ following way. If the car desired-floor list has calls beyond the
times Range, sti = serving timei ∈ ℝ} car current floor, it continues moving in the same direction.
Car Call {(car id, serving time) | car id ∈ Car Otherwise its direction is reversed. In both cases, the token in
LOG ID, serving time ∈ Serving Times} place Database is updated accordingly.
Restart cars Once a car reached its desired destination, it is in the arrival
{yes, no}
automatically stage. At this stage, transition Arrive is enabled provided that
transition Maintain is disabled and the car current floor matches
In the maintenance stage, when a car is suspended either by a requested call from the desired-floors list. After firing
an emergency case (i.e. emergency button was pressed) or an transition Arrive, car’s token is updated by dropping the
operation failure case, the transition Maintain, which has the requested floor from the car desired-floor list. Additionally, the
highest priority of firing upon enabling in the entire model, is car state is set to one of three cases. If the car desired-floor list
____________________________________________________________________________________________________________
44
_____________________________________________________________________________________________________________
has more calls, then it continues serving the requested calls. 140'
The'Average'Wai3ng'in'Seconds'
Otherwise, the car is set to idle, if the car current floor agrees 120'
with its parking floor, or alternatively, the car is dispatched to 100'
80'
its parking floor with an appropriate direction.
60'
Nearest'Car'Algo.'
40'
Minimum'Time'Algo.'
20'
V. ANALYSIS 0'
(1 p)'
(1 p)'
(1 p)'
(1 p)'
(1 p)'
(1 p)'
(1 p)'
(1 p)'
(1 p)'
(1 p)'
(2 )'
, d )'
, d )'
, d )'
, d )'
, d )'
, d )'
, d )'
'
CPN models can be analyzed and evaluated by various
n)
up
(3 ,up
(4 wn
(5 wn
(6 wn
(7 wn
(8 wn
(9 wn
,u
u
u
u
u
u
u
u
u
u
ow
0,
1,
2,
3,
4,
5,
6,
7,
8,
9,
o
o
o
o
o
o
(1
techniques and tools [15]. In this paper, we used the simulation- Placed'Hall'Calls'
based performance analysis using tools from [3], with various
parameters including numbers of cars and floors, types of
150$
decision algorithms, specified floors, etc. The results of our
130$
simulation-based performance analysis has proved validity and
Average'Wai*ng'Time'in'Seconds'
110$
applicability of our model in various situations.
90$
Due to page limit, we mention only one case study: five cars 70$
serving a twenty-floor building. Among others, we obtained the 50$
Four$Cars$
Five$Cars$
following results. 30$
1) Car calls were produced by timing car-call sub-model 10$
for each car to each floor. Additionally, the car-call
(1 p)$
(1 p)$
d )$
d )$
d )$
d )$
do )$
(1 n)$
(1 p)$
(2 ) $
do $
d )$
d )$
d $
d )$
d )$
d $
d )$
do )$
, d )$
d )$
d )$
d $
d )$
d )$
d $
do )$
)$
!10$
1, p)
4, n)
7, n)
2, n)
5, n)
(1 1,up
(1 own
(1 own
(1 own
(1 own
up
(2 wn
(2 own
(2 own
(2 own
(2 own
(2 own
(3 wn
(3 own
(3 own
(3 own
(3 own
(3 own
wn
w
(2 ow
(2 ow
(3 ow
(3 ow
,u
(2 ,u
buttons were illuminated when released and
0,
8,
9,
(1
3,
4,
5,
6,
7,
2,
3,
5,
6,
8,
9,
0,
1,
3,
4,
6,
Placed'Hall'Calls'
unilluminated when the cars visited the corresponding
floors. Fig. 5: A comparison of Nearest Car and Minimum Time algorithms (top) and
2) Hall calls were produced by timing hall-call sub- a comparison of four cars with five cars (bottom).
model from all floors to request cars. Additionally, the
hall-call buttons were illuminated when released and REFERENCES
unilluminated when the cars visited the floors of the [1] M. Assiri, M. Alqarni and R. Janicki, Modeling Elevator System With
requested hall calls.   Coloured Petri Nets, Proc. of SERP’2015 (Software Engineering Research and
Practice), Las Vegas, Nevada, USA, July 27-30, 2015, pp. 183-189, CSREA
3) All requested hall calls were eventually served for all Press  
algorithms used.   [2] G. Barney, Elevator Traffic Handbook: Theory and Practice. Taylor &
4) All requested car calls were served eventually and Francis, 2003.  
[3] CPN Tools AIS Group, The University of Technology, Eindhoven, The
sequentially in the direction of car movements.   
Netherlands, http://www.cpntools.org.  
5) If no calls, all cars were held at their parking floors.  [4] E. S. Etessami and G. S. Hura, “Abstract Petri net based approach to
6) The maintenance stage worked as it supposed to.   problem solving in real time applications,” Fourth IEEE Region 10
The results of two particular experiments are presented in International Conference, pp. 234–239, 1989.  
[5] C. Ghezzi, M. Jazayeri, and D. Mandrioli, Eds., Fundamentals of Software
Figure 5.
Engineering, 2nd ed. Pearson Prentice Hall, 2003.  
[6] Y.-H. Huang and L.-C. Fu, “Dynamic scheduling of elevator systems over
VI. CONCLUSION hybrid Petri net/rule modeling,” in IEEE International Conference on Robotics
In this paper, a fairly general CPN-based model of the and Automation, vol. 2, 1998, pp. 1805–1810.  
elevator system, one of specification benchmarks [5], is [7] K. Jensen, “Coloured Petri Nets and the Invariant Method,” Theoretical
Computer Science, vol. 14, no. 3, pp. 317–336, 1981.  
proposed. The model consists of four separated but inter-
[8] K. Jensen, Coloured Petri Nets. Springer, 1994.  
connected parts and it emphasis the expressive power and [9] K. Jensen and L. M. Kristensen, “Coloured Petri Nets Modelling and
convenience of Coloured Petri Nets. Our model is quite flexible  Validation of Concurrent Systems.” Berlin: Springer, 2009.  
and it allows using different algorithms and different rules at [10] C.-H. Lin and L.-C. Fu, “Petri net based dynamic scheduling of an elevator
ease. Division into four sub-models allows easy tracking of system,” in IEEE International Conference on Robotics and  Automation, vol.
errors and faults. A thorough simulation-based performance 1, 1996, pp. 192–199.  
[11] D. Liqian, Z. Qun, and W. Lijian, “Modeling and analysis of elevator
analysis by using the simulator provided in [3].
 system based on timed-coloured Petri net,” in Fifth World Congress  on
Intelligent Control and Automation, vol. 1, 2004, pp. 226–230.  
ACKNOWLEDGEMENTS
[12] P. J. Ramadge and W. M. Wonham, “The control of discrete event
The first author was supported by the Ministry of Education  systems,” in Proceedings of the IEEE 77.1, 1989, pp. 81–98.  
of Saudi Arabia, the second author was supported by Prince [13] W. Reisig, “Petri nets, an introduction, 2nd ed.” Berlin: Springer  Berlin
Sattam bin Abdulaziz University, while the third author Heidelberg., 1991.  
acknowledges partial support by NSERC Discovery Grant of [14] G. R. Strakosch and R. S. Caporale (eds), The Vertical Transportation
 Handbook, Wiley 2010.  
Canada.
[15] W. M. P. van der Aalst and C. Stahl, Modeling Business Processes:  A
Petri Net-Oriented Approach. The MIT Press, 2011.  
____________________________________________________________________________________________________________
45
_____________________________________________________________________________________________________________
APPLICATION OF FUZZY LOGIC IN LAND

CONSOLIDATION-CLASSIFICATION
STUDIES
Ela Ertunç *, Tayfun Çay+
*
Selcuk University, Geomatic Engineering
Konya, Turkey
*
elaertunc@selcuk.edu.tr
+
tcay@selcuk.edu.tr
Abstract— Land classification is one of the most important stages Land classification, which is the process to estimate the ability
of consolidation projects. The success and timely completion of of the land yield, includes studies relied that the soil,
this project depends on that this classification is useful and fair topography and other features of the land are interpreted and
and are accepted by landowners. Different methods have been carried out in order to make comparisons between certain forms
developed for the classification. Effects on the success of the land
of evaluation [2].
consolidation of the results of these methods are being investigated.
Land classification is one of the most important stages of
In this study, fuzzy logic method has been used for land consolidation projects. The success and timely completion of
classification according to Law No. 5403. In Mamdani Type Fuzzy this project depends on that this classification is useful and fair
Logic, Values of soil index, productivity index and the location and are accepted by landowners. In order to classify lands in
index, which are used to determine the value of the parcel index, many countries of the world, various methods have been
have been defined as input, whereas the value of parcel index have developed and have been put into practice [2].
been defined as the output. Inputs and outputs have been Values of soil index, productivity index and location index is
converted to the linguistic terms (such as very efficient, inefficient, determined when the classification maps for land consolidation
somewhat efficient, remote, near) by creating membership
are generated, 70% of the index obtained the results of the soil
functions. Rule base has been created for calculating of the parcel
index. As a result of fuzzy inference and defuzzification process, etudes (TE) is taken. By adding the index scores determined for
the model formed by Mamdani Type Fuzzy Logic gives the value productivity (VE) and location (KE) to this value, value of
of parcel index. By giving random input values to test generated parcel index is determined. Obtained values of parcel index are
model, results has been compared with results obtained manually. evaluated in particular group ranges, and thus, map of
classification is formed.
Classifications of parcels according to determined the parcel
Keywords— fuzzy logic, land consolidation, land classification, index are made according to Table 1.
fuzzy systems, soft computing Parcel index (PE) = TE*70% + V + k
I. INTRODUCTION TABLE I Classifications of parcels
Land consolidation studies have a set of technical services in
order to increase productivity in agriculture regulating Classification Parcel Index Classification Parcel Index
agricultural space along with a variety of infrastructure services
(road-irrigation network, drainage, soil leveling, construction 1 91-100 6 41-50
of village settlements etc.) [1]. 2 81-90 7 31-40
To give lands equal to their previous lands to landowners after
3 71-80 8 21-30
the consolidation process in land consolidation area,
classification process based on specific criteria of their existing 4 61-70 9 11-20
plots must be made [2].
Land classification according to Soil Conservation and Land 5 51-60 10 0-10
Use Law (Law No. 5403) has been defined as values found
based on soil and productivity etudes and been basis to the
change of land with soil's natural and permanent features and
the distance to settlement or business center of land. The aim of Discovered fuzzy sets, logic and system concepts by Zadeh in
classification is obtained according to certain criteria of the 1965 have occured the result that much nonlinear equations
previous value from land consolidation of lands belonging to are used, method is complicated and solution becomes difficult
businesses. in order to working of this researcher for many years in the
control area and obtaining the control he wants [3].
____________________________________________________________________________________________________________
46
_____________________________________________________________________________________________________________
The concept of fuzzy logic generally tries to modelling the 1) General Information Base Unit: It contains the input
thinking style of people. It is communicable that turbidity variables which are affected of event which will be examined
signify the tentative information as a concept, in other words and all informations about these. The reason which it is called
uncertainty. Fuzzy logic is defined as an artificial intelligence as the general data base is numerical and / or verbal of the
technique which run with uncertainties instead of certainties by informations here.
using verbal variables. Typical value of the verbal variable is 2) Fuzzifier: This is a processor that assigns to membership
expressed with words, such as “hot” or “cold”, also, these degrees in fuzzy sets that has been described as verbal to the
values are represented by membership functions of fuzzy sets. digital input values.
The difference from standart mathematical methods of fuzzy 3) Fuzzy Rule Base Unit: This includes all of rules that
logic is runnig with uncertainties instead of certainties and connect to output variables to inputs in the database and that
allowing the qualitative definition. That uncertainties are can be written in logical IF – IF type. While these rules are
expressed mathematically is evaluated as the greatest written, all intermediate (fuzzy set) connections which may be
convenience which is brought by fuzzy logic the modeling of only between input datas and outputs is considered. Thus, each
complex systems [4]. rule logically connects to the output space to a part of the input
In classical set theory, any object is a member of a cluster or space. All of this contexts creates a rule base.
not. This object only has the value of “0” or “1”. The medium 4) Fuzzy Inference Engine Unit: This is a mechanism that
of these values is not possible. In fuzzy logic unlike classical contains processes community that provide that the system
logic, members belong to partially the fuzzy cluster and is used behaves with output by collecting together all of the piece
in values between '0' and '1'. In the following Figure 1, the relationship established between the input fuzzy sets and the
difference of binary (classical) logic and fuzzy logic is output fuzzy sets. This engine benefits that How to give an
schematically shown. In Figure 1 it is shown that intermediate output under inputs of whole system is determined by huddling
values do not exist in classical logic. together the implications of each rule.
5) Defuzzifier: This converts to sharp digital output values to
The processes of fuzzy logic consists of stages which the results of fuzzy inference obtained result of fuzzy processes.
problem is analyzed and is defined, sets and logical 6) Output Unit: This unit specifies community of the output
relationships are formed, available information is converted values obtained by the interaction by means of fuzzy inference
into fuzzy sets and model is interpreted. By using a lot of engine of information and fuzzy rule bases [6].
prerequisites, it can be decided whether fuzzy logic solves the In this study, fuzzy logic method has been used for land
problem or not. Originally for the problem to be solved, it is classification according to Law No. 5403. In Mamdani Type
decided whether fuzzy logic approach is the right choice or not. Fuzzy Logic, Values of soil index, productivity index and the
If the system's behavior to be applied can be expressed with location index, which are used to determine the value of the
rules or it requires a complex mathematical operation, fuzzy parcel index, have been defined as input, whereas the value of
logic approach can be applied. Otherwise, The results obtained parcel index have been defined as the output. Inputs and outputs
by the fuzzy logic will not give the desired values most likely have been converted to the linguistic terms (such as very
[5]. efficient, inefficient, somewhat efficient, remote, near) by
creating membership functions. Rule base has been created for
calculating of the parcel index. In order to benefit from fuzzy
informations obtained, this informations have to be
defuzzification. Centroid method has been used as
defuzzification method. As a result of fuzzy inference and
defuzzification process, the model formed by Mamdani Type
Fuzzy Logic gives the value of parcel index. By giving random
-a- - b- input values to test generated model, results has been compared
Fig. 1 Representation of the difference between fuzzy logic (a) and classical with results obtained manually.
logic (b)
II. MATERIALS AND METHODS

While fuzzy system is established, the soil index (TE), the
productivity index (VE) and the location index (KE) has been
defined as the input values of system, whereas, parcel index (PE)
has been defined as the output value of system. The general
structure of the fuzzy model is shown in Figure 3.
Firstly, while fuzzy model is created, it must be determined that

values of soil index, productivity index and location index will
Fig. 2 Blurring defuzzification fuzzy system with unit be divided how many sub-regions and that what kind of
membership function (such as triangular, trapezoidal, Gaussian
____________________________________________________________________________________________________________
47
_____________________________________________________________________________________________________________
curve etc.) will be used. In this study, the seven sub-regions for
soil index, the five sub-regions for productivity index and the
four sub-regions for location index have been determined and
triangular membership function has been used.
Fig.5 The membership function of productivity index (VE)
Fig. 3 The general structure of Fuzzy Logic Model
A. Membership Function Fig. 6 The membership function of location index (KE)
While the fuzzy model is established, different membership

functions have been formed for soil index (TE), productivity
index (VE) and location index (KE). The membership functions
for input and output variables are shown in Figure 4, 5, 6 and 7.
Units of factors used are: TE (unit), VE (unit), KE (unit) and
PE (unit). TE membership function is in the range of 0-100, VE
membership function is in the range of 0-10, LI membership
function is in the range of 0-20 and PE membership function is
in the range of 0-100. Fig. 7 The membership function of parcel index (PE)
Such as, The mathematical representation of each membership
That the factors used are blurred are carried out with help of the function of the location index (KE) is as follows:
following functions determined by benefiting from an expert's
opinions and informations.
;0 < <5
μ (C) =
TE (A) = {a; 0<a<100 0;
VE (B) = {b; 0<b<10
0;
KE (C) = {c; 0<c<20 ⎧ . a≤3.5;
⎪ 3.5<a≤5;
.
PE (D) = {d; 0<d<100 μ ( )=
⎨ 6<a<10;
⎪ a≥10;
⎩ 0;
0; a≤10;
⎧
⎪ .
10<a≤12;
μ ( ) = 12<a<18;
⎨
⎪ a≥12;
⎩ 0;
Fig. 4 The membership function of soil index (TE)

; 17 < < 20
μ (C) =
0;
____________________________________________________________________________________________________________
48
_____________________________________________________________________________________________________________
B.Rule Base
An appropriate rule base is required for fuzzy logic system. The

total of 140 rules have been written for fuzzy system in this
study. The portion of them is seen in Table 2. The relationship
with parcel index (PE) that is the output value of soil index (TE),
location index (KE) and productivity index (VE) that are input
values are shown in Figure 8, 9 and 10.
Table II Rule base
Rule TE VE KE PE
Number Fig 9. The relationship with PE of TE and VE
Rule 1 very inefficient far too
inefficient inefficient
Rule 2 very inefficient near too
Rule 3 very inefficient very near very
…
Rule 48 inefficient somewhat too near efficient

efficient
Rule 49 inefficient efficient far inefficient
Rule 50 inefficient efficient near somewhat
efficient
…
Rule 85 efficient somewhat far somewhat Fig. 10The relationship with PE of VE and KE
efficient efficient
Rule 86 efficient somewhat near very
efficient efficient
Rule 87 too efficient inefficient very near very III.CONCLUSION
efficient
The method developed in this study has been applied the first
…
time for the land classification. according to Land Law No.
Rule 118 too efficient inefficient near very
5403. As shown in Table 3, the results of Fuzzy Logic Model
efficient are compared with results of traditional method. It is seen in
Rule 119 too efficient inefficient very near too Table 3 that both the results obtained from the fuzzy logic
efficient model and the results obtained from the traditional method are
Rule 120 too efficient inefficient too near too
efficient
similar one another. The system is fast and is more accurate
than traditional methods. This system also has a high reliability.
Besides, accuracy of established fuzzy system has been shown
on stabilizing right graph that its angle is 45 degrees (Figure
11).
Fig. 8. The relationship with PE of KE and TE
____________________________________________________________________________________________________________
49
_____________________________________________________________________________________________________________
TABLE III Comparison of the results of Traditional Method [4] Gülbağ, A., 2006, Yapay Sinir Ağı ve Bulanık Mantık Tabanlı
Algoritmalar İle Uçucu Organik Bileşiklerin Miktarsal Tayini, PhD
and Fuzzy System
Thesis, Sakarya University, Graduate School of Natural Sciences,
Sakarya-Turkey.
TE V K PE According to PE According to [5] Elmas, Ç., 2007, Yapay Zeka Uygulamaları, Seçkin Yayıncılık, Ankara-
the Traditional the Fuzzy Logic Turkey.
Method System [6] Yılmaz, M. and Arslan, E., 2005, Bulanık Mantığın Jeodezik
Problemlerin Çözümünde Kullanılması, 2. Mühendislik Ölçmeleri
83 9 18 85 90 Sempozyumu, 23-25 Kasım İstanbul-Turkey.
74 8 15 75 73.2
60 5 8 55 59.5
71 7 13 70 70.2
55 8 17 63.5 67.4
95 9 12 87.5 90
80 5 14 75 79
78 6 12 73 77.7
10 2 3 12 13.6
50 5 10 50 53.5
61 4 7 53.7 52.8
40 3 11 42 47.4
15 3 4 17.5 17.6
30 2 6 29 23.6
23 6 4 26.1 23.5
78 7 10 71.6 73.4
100
Tradational Method
75
50
25
0
0 25 50 75 100
Fuzzy Logic Model
Fig. 11 Accuracy of Fuzzy Logic Model with the help of 45 degrees right
As a result of this study, it is understood that Mamdani Fuzzy

Logic Method can be used for the land classification. This
system can be further improved by being increased linguistic
variables and the number of rules of generated Fuzzy Model.
REFERENCES
[1] Çay, T. and İnceyol, Y., 2000, arazi Toplulaştırası Çalışmalarında

Jeodezi ve fotogrametri Mühendisliğinin Yeri, Harita Bülteni,
Number:43,2000
[2] Gündoğdu, K.S., Aslan, Ş.T.A., and Arıcı, İ., 2003, Arazi
Toplulaştırmada Parsel Değer Sayılarının Coğrafi Bilgi Sistemi ile
Belirlenmesi, Uludağ Üniversitesi Ziraat Fakültesi Dergisi (2003) 17(1):
137-148.
[3] Şen, Z., 2009, Bulanık Mantık İlkeleri ve Modelleme, ISBN: 978-975-
6455-42-5, Su Vakfı Yayınları, İstanbul-Turkey.
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Simulation and Analyses of Heterogeneous WSN

Clustering Protocols
Korhan Cengiz
Department of Electrical-Electronics Engineering
Trakya University
Edirne, Turkey
korhancengiz@trakya.edu.tr
Abstract — Limited battery supply of a sensor node is one of the sensor nodes. Because WSNs often use broadcast based radio
most important factors that limit the lifetime of the WSNs. As a communication.
consequence, prolonging the lifetime of WSNs through energy Limited energy availability in sensor nodes makes network
efficient mechanisms has become a challenging research area. lifetime an important issue in WSN applications. To extend the
Previous studies have shown that instead of implementing direct
network lifetime, energy efficient wireless sensor network
transmission or multi-hop routing, clustering is a kind of key
technique used to reduce energy consumption. Clustering can protocols and algorithms have been devised in the literature.
increase the scalability, decrease the energy consumption and Node clustering, in-network data processing, data fusion and
extend the lifetime of the network. Also, energy-efficient clustering network coding are some of the measures taken to reduce the
protocols have been designed for the characteristic of amount of data that is processed, sensed or transmitted.
heterogeneous wireless sensor networks to obtain additional Minimization of energy spent in processing, sensing and
energy savings. In heterogeneous wireless sensor networks, some transmission of data allows sensor nodes to save energy. Such
of sensor nodes is equipped with additional energy resources. In energy savings help to extend the lifetime of WSN applications.
this paper, comparison of stable election protocol (SEP), The main goal of cluster-based routing protocol is to
distributed energy-efficient clustering (DEEC) scheme with
efficiently maintain the energy consumption of sensor nodes by
LEACH which has also advanced nodes is aimed. Same simulation
parameters are used for comparison. The nodes in all involving them in multi-hop communication within a cluster
heterogeneous algorithms are equipped with same total energy. and by performing data aggregation and fusion in order to
The protocols are compared in terms of number of alive nodes, decrease the number of transmitted messages to the sink and
lifetime and energy-efficiency in MATLAB. The results of the transmission distance of sensor nodes.
simulations are discussed in details. There are two kinds of clustering schemes. The clustering
algorithms applied in homogeneous networks are called
Keywords— Energy Efficient Routing, Clustering, Wireless Sensor homogeneous schemes, and the clustering algorithms applied
Networks. in heterogeneous networks are referred to as heterogeneous
clustering schemes. It is difficult to devise an energy-efficient
I. INTRODUCTION heterogeneous clustering scheme due to the complicated energy
A WSN is obviously formed by a collection of sensor nodes configure and network operation. Thus most of the current
and corresponding protocols for routing messages in this clustering algorithms are homogeneous schemes, such as low
network. A typical wireless sensor node consists of a sensory energy adaptive clustering hierarchy (LEACH) [1] and their
unit, a communication unit, a power unit and a processing unit. variants [2].
Sensory unit consists of a data acquisition component and ADC The most successful heterogeneous clustering protocols are
(converts the sensed real world data to the digital form). stable election protocol (SEP) [3] and distributed energy-
Communication unit has a radio transceiver and the power is efficient clustering scheme (DEEC) [4].
backed by a battery source. The WSN node can be equipped LEACH is one of the most popular distributed cluster-based
with a limited power source (0.5 Ah, 1.2 V). The node remains routing protocols in WSNs. LEACH randomly selects a few
active as long as the battery is alive and hence power saving is nodes as CHs which aggregate data arriving from nodes and
a crucial criterion in this domain of applications. Energy forward the aggregated data to BS and rotates this role to
consumption happens in three domains: sensing, data balance the energy consumption of the sensor nodes in the
processing and communications. The sensing, signal network.
processing parts operate at low sequential and consume less In LEACH protocol, the time is divided into parts called a
than 1mW. This is over an order of extent less than the energy round. Each round consists of two phases. The first phase is set-
consumption of the communication part. Therefore we have to up phase which is the phase of node formation. The second
assign less communication/data exchange between sensor phase is related to the normal function of the network and is
nodes. called the Steady-State phase. In the first phase, the CHs are
The traditional infrastructure based protocols cannot be used elected based on a probability function. This election is as
for WSNs because of the limited storage and power of the follows: each sensor node selects itself to be CH at any given
time with a certain probability. Any node in the network
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chooses a random number between 0 and 1. Then this number DEEC, there are advanced and normal nodes. m is the fraction
is compared with threshold limit, if the number is less than a of the advanced nodes and these nodes have a times more
threshold, the node becomes a CH for the current round. This energy than the normal ones. Therefore, DEEC network has am
probability function is designed in such a way that within a times more energy and virtually am more nodes. The results of
specific number of rounds each sensor becomes a CH only once the simulations of DEEC protocol indicate that, DEEC
and thus the energy consumption is distributed over the whole prolongs the time of first node death when compared with
network. After the set up phase of the round, where the CHs are LEACH variants and SEP in heterogeneous networks.
elected, each CH announces its election to other nodes and each
node chooses a suitable (nearest) CH for itself; and then it II. SIMULATION ENVIRONMENT AND PARAMETERS
announces this decision to the related CH and thus the clusters The simulations are conducted in MATLAB. 100 sensor
are formed and the network comes into the steady-state nodes are randomly deployed in a 100 m x 100 m field as shown
operation i.e data transmission. Then each CH creates a TDMA in Fig. 1 and BS is placed outside of the sensor field which have
schedule in each cluster to organize the communication among coordinates of (150,50). Same simulation parameters of
cluster members. When the non CH nodes receive the TDMA
LEACH are used for all simulations in this paper. Each
scheme, nodes send their data to the CH once per frame during
simulation is realized for 100 independent iterations to obtain
their allocated transmission TDMA slots. This allows the radio
components of each non-cluster-head node to put the sleep more scalable results. Table I summarizes the simulation
mode at all times except during its transmit time, thus environment parameters used for simulations.
minimizing the energy dissipated in the individual sensors.
After a certain amount of frames i.e. a TDMA round, the
network re-elects CHs and re-form clusters. Then CH, after
combining all the received data, will send the results to the BS.
Besides, to prevent the interaction of the transmissions which
occur in clusters at the same time, LEACH uses different
CDMA codes. Existing CH chooses randomly a unique code
from a list of spreading codes. The CH filters all received
energy using this spreading code. Consequently, the radio
signals of the neighbouring nodes are filtered out hence
interference of the transmission of the nodes is minimized.
While many homogeneous LEACH variants have been
developed as described above, there are also heterogeneous
cluster based WSN routing protocols. SEP is a fundamental
protocol for WSNs and contains advanced nodes which are
fitted with extra energy resources. SEP uses a weighted election
probability based approach to determine CHs according to the
residual energy of each node. In SEP, m corresponds to fraction Fig. 1. The randomly deployed sensor nodes in a WSN.
of the advanced nodes which are fitted with a times more
energy than the normal nodes. As a consequence, the total TABLE I. SIMULATION ENVIRONMENT PARAMETERS
initial energy of the WSN is increased by 1+a.m times. The
additional energy of the advanced nodes forces them to be
elected as CHs. Each node is informed the total energy of the Parameters Values
network in order to adjust its election probability to become a Network area 100 m x 100 m
CH according to its residual energy. The remaining energy Number of nodes 100
values of normal and advanced nodes are transmitted to the Base station coordinates (150,50)
CHs while members send data. The remaining energy values of Initial energy per node 2J
the nodes are delivered to the BS by using CHs. The results of Data packet size 6400 bits
the simulations of the SEP show that, SEP provides significant Control Packet Size 200 bits
energy savings, lifetime gains and throughput improvement Transceiver Energy (Eelec) 50 nJ/bit
when compared with LEACH for both homogeneous and
Aggregation Energy per Bit (EDA) 5 nJ/bit/signal
heterogeneous scenarios.
Free Space Amplifier Energy (εfs) 10 pJ/bit/m2
DEEC is another heterogeneous and distributed clustering
protocol where the CHs are determined by a probability based Multipath Amplifier Energy (εmp) 0.0013 pJ/bit/m4
on the ratio between residual energy of each node and the
average energy of the network. The nodes which have high
III. SIMULATION RESULTS
residual energy are more probable to become CHs. Adaptive
approach of DEEC provides for controlling the energy In this section, the performance comparisons of LEACH,
consumption of the nodes to provide the energy-efficiency. In SEP and DEEC protocols are made for residual energy, number
of alive nodes and lifetime. To obtain more scalable results, 100
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52
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iterations are realized. For each iteration, the average values of

the results are collected. In SEP and DEEC simulations, same
parameters are used. The nodes in SEP and DEEC networks are
equipped with 250 J total initial energy.
A. Residual Energy
Fig. 2 illustrates the total residual energy of the nodes in
terms of rounds. With advanced, it can be observed that DEEC
and SEP provide significant energy savings when compared to
LEACH. After 2000 rounds, while LEACH holds 15% of its
initial total energy, SEP and DEEC hold approximately 30% of
their initial total energies. When the network lifetime ends
under LEACH, SEP and DEEC still maintain approximately
10% of its total initial energy. For same simulation parameters,
DEEC and SEP have approximately same performance.
Fig. 3. Round Number vs Alive Nodes
C. Network Lifetime
For each algorithm, the simulations are repeated 100 times

for different topologies and the maximum and average
observed lifetimes are presented in Table II as well as the initial
network energies. DEEC’s conservative energy consumption
ratio increases the lifetime of a WSN significantly. DEEC
outperforms LEACH and SEP.
TABLE II. NETWORK LIFETIME COMPARISON

Average Maximum
Fig. 2. Comparison of Total Residual Energy Algorithms Lifetime Lifetime Initial Energy
DEEC 5221 5941 250 J
B. Number of Alive Nodes
SEP 5059 6177 250 J
Fig. 3 shows the number of alive nodes thus the network LEACH 3478 4216 200 J
lifetime for LEACH, SEP and DEEC. Under SEP and DEEC,
the network lifetime increases from 3237 rounds to 5000
rounds, approximately 50% improvement compared to LEACH. IV. CONCLUSIONS
Although, node deaths start earlier under DEEC, since the CHs Nowadays, saving energy, extending lifetime and designing
are abused, the rate of the number of dead node increases is green networks [5, 6] for WSNs has become an essential
significantly less and this yields to a longer lifetime. One major research area. By placing or determining advanced nodes and
difference between LEACH and DEEC can also be observed providing more energy-efficient CH determination approaches,
from this figure. Right after the first node death under LEACH, DEEC and SEP decrease the energy consumption of cluster
the remaining node deaths will follow quickly. But with DEEC, formation. The results of the simulations demonstrate that, SEP
node deaths are distributed evenly for the network lifetime. SEP and DEEC algorithms provide significant energy efficiency,
provides to delay first node failure in the network because it lifetime gains when compared with LEACH. DEEC also delays
uses advanced nodes. It allows to select advanced nodes to the first node death and provides equal alive node distribution
become CHs more frequently thus it provides to delay the CHs in the WSN.
in the network. SEP also utilises CH determination approach
which provides to select CH nodes according to their residual
energy. References
[1] W. Heinzelman, C. Anantha, and B. Hari, “An application-specific
protocol architecture for wireless microsensor networks,” IEEE
Transactions on Wireless Communications, vol. 1, no. 4, pp. 660-670,
2004.
[2] M. Islam, et. al., “Survey of Extended LEACH-Based Clustering
Routing Protocols for Wireless Sensor Networks,” IEEE 9th
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International Conference on Embedded Software and Systems,

Liverpool, UK, 2012, pp. 1232-1238.
[3] G. Smaragdakis, I. Matta, A. Bestavros, “SEP: A stable election protocol
for clustered heterogeneous wireless sensor networks,” 2nd
International Workshop on Sensor and Actor Network Protocols and
Applications (SANPA), Boston, USA, 2004.
[4] Qing, Li, Qingxin Zhu, Mingwen Wang, “Design of a distributed
energy-efficient clustering algorithm for heterogeneous wireless sensor
networks,” Computer Communications, vol. 29, no. 12, pp. 2230-2237,
2006.
[5] S. Saleh, M. Ahmed, et al, “A survey on energy awareness mechanisms
in routing protocols for wireless sensor networks using optimization
methods,” Transactions on Emerging Telecommunications
Technologies vol. 25, no. 12, pp. 1184-1207, 2014.
[6] V. Mor and H. Kumar, “Energy efficient wireless mobile networks: A
review,” IEEE International Conference on Optimization, Reliabilty,
and Information Technology (ICROIT), Haryana, India, 2014, pp. 281-
285.
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Robotics Education Based on Augmented Reality in

Primary Schools
Mehmet Albayrak¹, Volkan Altıntaş², Ali Murat Sümen³, Gizem Şener4
¹Distance Learning Vocational School, Süleyman Demirel University, Isparta, Turkey
mehmetalbayrak@sdu.edu.tr
²Akhisar Vocational School, Celal Bayar University, Manisa, Turkey
volkan.altintas@cbu.edu.tr
³Graduate School of Nature and App. Sciences, Süleyman Demirel University, Isparta, Turkey
alimrts07@gmail.com
4Informatics Institute, Middle East Technical University, Ankara, Turkey
kilic.gizem@metu.edu.tr
Abstract— Robots are located at every stage of our lives with According to the research, it was determined that 4-5-6
developing technologies. Interest in the field of robotics is graders have more creative and original ideas, according to the
increasing every day. There isn’t a course on robotics in primary 7th and 8th grade students [3]. In elementary schools of Turkey,
school curriculum in Turkey. Facilities of educational institutions computers first come to mind when term of technology is said.
is limited and primary school teachers is inadequate in robotic. However, we see that take out different terms the mention of
Therefore, many educational institutions aren’t given to students technology in the World. Robotics comes at the beginning of
in robotics education. Shown in programming courses in private these terms.
schools, Lego Mindstorm robot module constitutes awareness in
children from early ages. This study aims to increase the interest
of children in Turkey to robotics. To improve the students' Robotics is an area that needs to be focused on in primary
creativity and motivation, a simple robot design supported with school age children. With applications of robot design, robot
Augmented Reality education related notes have been prepared. contests, robot projects, it is seen that children gain a lot of
A simple model for the implementation of robotics in primary property, such as problem-solving, finding practical solutions
education has been constituted. to problems, learning by doing and experiencing and critical
thinking [4].
Keywords— Robotic, Education, Augmented Reality, Primary This research aims to provide information on the use of
School robotics in the education of primary school age children, and to
help planning applications about robotics in Turkey. It also
I. INTRODUCTION aims to provide the students get closer with the robotic and
technology. In this context, a document prepared that supported
Today, in the face of rapidly evolving technology and by augmented reality robot construction and programming for
increasing information needs to be trained individuals who can the 4th and 5th grade students who are studying in primary
adapt to change. Knowledge of age together with our ability to schools.
quickly increase, based on the technology and the training of
information technology, including new technologies, the II. RELATED WORK
question of how it illustrates the way in the field of educational When the studies related to robotics in schools are analyzed,
technology [1]. it is seen that students were affected in a positive way [5].
A new term in the field of technology is Augmented Reality In the study of Vollstedt, Lego Robotics learning program
(AR) which is some- how can be considered as a different has been performed on about 300 students in secondary schools
version of virtual reality. It allows users to get experience of [6]. As a result of the analysis made, it is seen that students'
using virtual objects in real world. So, Augmented Reality is interest and knowledge of science, technology, engineering and
rapidly growing and developing. This technology supplements mathematics has been increased with robotics [2]. Hacker has
the real world with composite 3D virtual objects that are developed “Robolab” project for his work, and observed the
integrated into the real world. This technology is very effect of robotics on learning basic science and mathematics
interesting and interactive and therefore there is a vast range of principles of 3-6 grade children. With the study, it is seen that
potential applications of Augmented Reality such as in the field the students were affected positively with learning by doing
of medicine, manufacturing, urban planning, architecture, and living practices [7]. Teixeira uses robotics in secondary
archaeology, education and many more [2].
____________________________________________________________________________________________________________
55
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education and suggests usage of robots as a pedagogical agent

especially in project development [8].
Balaji et al. created a robotic education tool named

“FASTBOT” to create an awareness before the students plan
their career. This tool provides students to program, find
solutions to the given tasks and apply their knowledge in
addition to programming [9]. Wei et al. in their study, present
a general technical creative design- teaching scheme that
includes Augmented Reality. The result of study that Keller
method is also used , show that the proposed teaching scheme
significantly improves learning motivation, student creativity
and teaching of creative design [10][11].
Augmented reality applications related to education seem to Fig. 1. BMW Maintenance Repair Works
increase in the world and Turkey. Comparing with traditional Marshall company has developed applications for wall color
classes, it is seen that augmented reality applications are test in the house. Images of the application is shown in Figure
increasing the students learning rate [12][13]. As a result of 2 [19].
spreading usage of smart phones, the number of augmented
reality applications and researches on mobile devices are
increasing [14].
One of the augmented reality technologies thought that can

be used in education is “Google Glass” technology created
by Google. The study of Demirer and Erbaş, "Augmented
Reality Applications in Educa- tion: Google Glass Case" can
be shown as an example. In this study, the information about
augmented reality and Google Glass technology is given,
studies about the usage of this technology are reviewed and
suggestions are made [15].
Küçük et al. developed an augmented reality application for

learning English. In the application, the success, comportment
Fig. 2. Color Selection
and cognitive load levels of secondary school students in
English learning were examined [16]. ]. As a result of studies,
it was determined that students are satisfied, their level of The images of the augmented reality application developed
anxiety is low and they want to use the application in the future by Ikea to show table, armchair etc. home accessories in 3D is
in their classes. shown in Figure 3 [20].
Çetinkaya and Akçay in their study "Augmented Reality

Applications in Educa- tional Environments", say that
augmented reality applications for different needs are started to
be used widely in the world and foresee that FATİH project is
an important opportunity to spread augmented reality in Turkey
[17].
The use of augmented reality is increasing in daily life, too.

Large companies are developing applications to their customers
and users. The companies BMW, Marshall and Ikea develop
some of these applications. The glasses designed by BMW for
these of maintenance and repairing is shown in Figure 1 [18].
Fig. 3. Ikea Decoration Application
____________________________________________________________________________________________________________
56
_____________________________________________________________________________________________________________
III. METHOD
Turkey’s private schools use robotics kits, "PicoCricket" and
"MINDSTORMS® LEGO® NXT" which has developed by
MIT University and Lego Group, on their robotic courses.
Students produce original designs by using robotic kits. They
learn gears and simple machine mechanisms. They try the
mechanisms they produced using sensors and motors. Robotic
studies aims to gain skills that students use technology, design,
science and mathematical operations about the subject.
Students think themselves as a scientist, an engineer or a

designer when they work on robotic studies. They begin to
examine the problems in daily life in time. They feel more
confidence about creating solutions to these problems [21].
Fig. 4. Aurasma Samples
There are a variety of applications that can run in mobile
operating systems to develop Augmented Reality projects.
Some of them are Alive, Augmented, Aurasma, Blippar, Junaio, Application website’s image is shown in Figure 5.
Layar and Wikitude in applications. The features of these
programs are presented in Table 1 [14].
App Operating Working 3D Social Position

Sys. Media Media Based
Alive A/I/M PC/SP/T No No No
Augment A/I SP/T Yes No No
Aurasma A/I SP/T Yes Yes No
Blippar A/I/M SP/T/G Yes Yes No
Junaio A/I SP/T/G Yes Yes Yes
Layar A/I SP/T Yes Yes No
Wikitude A/I SP/T/G Yes Yes Yes
A: Android I: iOS M: Microsoft PC: Computer SP: Smart Phone T: Tablet G: Google Glass
Table 1. Augmented Reality Programs
Videos are added to document using Aurasma Studio

which is one of the freeware augmented reality program.
Aurasma Studio software is an easy to use application.
Aurasma Studio, unlike the other applications, allows to
create augmented reality projects with personal mobile devices.
Fig. 5. Aurasma Studio Screensh
Aurasma Studio application needs to be downloaded to
smart phone via the web site of the application. In this Document has been prepared for use by LEGO®
application, any image prerecorded databases, whether in the MINDSTORMS® robotic kits. Students do not need to know
form of a banner outside or a computer located image, it could programming. Students take information about the robotic kits
be scanned to be transformed into an interactive view rather via the help of the document. Students see what can do with
than an image. robotic kits using both verbal and video sources.
As one of the application's functionality, while video Document has benefited from the Lego’s instruction manual
viewing on tablet or phone device pointed on an image , if for the verbal section. The document consists of 3 pages. Each
the device removed from image video stops and if the device pages has and image supported by Augmented Reality. First
replaced back on the image, video will continue where it left. visual is made public information about the robotic kit. The
second visual was introduced kind of robots that can be made
For example, on Figure 4, the application executed by a using Lego blocks. There is also information in latest visual that
picture, an animation presented to the user's access. Simple sensors can be used. An example is shown in Figure 6 from the
images can be a gate to easily access different videos or document.
animations [22].
____________________________________________________________________________________________________________
57
_____________________________________________________________________________________________________________
methods to arouse interest in the field of robotics in order to

increase motivation of students, using robotics for their creative
skills. These studies suggest a different training method
combining augmented reality technology with robotics.
These studies can be expanded, starting from elementary

school to teenagers at the university level. It could be provided
courses about robotics for students which could be accessed
whenever they want. Also augmented reality technology could
be used in different areas of education.
Fig. 6. Augmented Reality Example
Document example, supported with augmented reality is

shown in Figure 7.
Fig. 7. Example of Augmented Reality on Document
IV. RESULT AND DISCUSSIONS
When analyzed international studies on robotics, it is seen

that robotics education is given importance. Recently in Turkey
is given courses of robotics education. Augmented Reality
applications will be more imported to improve robotic
educations.
The importance of robotics education in primary schools is

also emerging at this point. It is necessary to find different
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REFERENCES
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el-Dusunme/22/82/0
[22] 3D Augmented Reality,http://creativesatworkblog.com/wp-
content/uploads/2012/02/CAWAurasma.jpg
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Wavelet Based Medical Image Watermarking

Scheme for Patient Information Authenticity
LLukman ÇERKEZİ1, Gökçen ÇETİNEL2
1,2
Elecrical and Electronics Engineering Dept., Sakarya University, Sakarya, Turkey
llukmancerkezi@gmail.com, gcetinel@sakarya.edu.tr
Abstract—Telemedicine is an important technique that Digital image watermarking is a technique of embedding a

permits transmission of medical and imaging data from one secret information (watermark) to a cover image. There are
place to other, ensures the reliability of data and provides a three common requirements for watermarking schemes:
convenient communications between patient and medical robustness, capacity and invisibility. However, there is a
staff. In this study, Discrete Wavelet Transform (DWT) and trade-off between these requirements. For example, a
Singular Value Decomposition (SVD) based medical image stronger watermark can be used to increase the robustness,
watermarking method that hides the patient information into but in this case watermark becomes noticeable. On the
medical image without affecting the image quality is proposed contrary, increasing the capacity decreases the robustness.
for the purpose of authentication. At the watermark (secret
Consequently, one must make a choice between these three
image containing patient information) embedding process, a
chaotic map called as Arnold Cat Map (ACM) is applied to
requirements according to the application. For telemedicine
the watermark to improve the security of the method. technique, during the storing and transmission of medical
images (i.e. Computed Tomography (CT), Magnetic
So that the aim of the proposed watermarking scheme is Resonance Imaging (MRI) and X-ray imaging) the security
personal authentication by ensuring the perceptual of the digital data has a critical importance. Furthermore, we
invisibility, PSNR (Peak Signal-to-Noise Ratio) values are need to embed patient’s information to the medical image
calculated during the simulations. According to the without causing any perceptual changes. So, the perceptual
experimental results, we can say that the proposed method invisibility of the watermarking scheme must be very high
provides higher PSNR values than compared current to maintain the quality of original medical image [2, 3].
methods. Furthermore, in simulations DWT and SVD based
watermarking scheme is implemented as chaotic and non- According to the embedding domain, watermarking
chaotic watermarking scheme to investigate the effect of techniques can be classified in to two groups as spatial
chaotic map on the performance of the proposed algorithm. domain watermarking techniques and frequency domain
watermarking techniques. In spatial domain techniques, the
Keywords—Medical image watermarking, dicsrete wavelet secret data is directly inserted into the samples of the cover
transform, singular value decomposition, PSNR. signal. In frequency domain techniques, embedding process
is performed in the frequency domain by modifying the
I. INTRODUCTION coefficients of the transformed image. The transformed
Telemedicine is a technique which aims to provide image can be obtained by applying Discrete Cosine
clinical and health assistance to remote areas by utilizing Transform (DCT), Discrete Fourier Transform (DFT),
telecommunication and information technologies. Through Discrete Wavelet Transform (DWT) or Redundant Discrete
using telemedicine, patients benefit from far away Wavelet Transform (RDWT) [4]. Although spatial domain
specialists for medical diagnosis without travelling. By techniques has low computational cost and are less complex,
telemedicine, it is possible to transmit medical and imaging the transform domain techniques are most popular because
data from one place to other and to communicate the patient of their significant advantages such as robustness and
with the medical staff. Transmitted medical images help imperceptibility.
physician to decide diagnostic procedures. Then, to evaluate In this study, DWT and SVD based medical image
the progress of treatment, telemedicine can be used again watermarking scheme is proposed. In the proposed scheme,
[1]. patient’s information is embedded to the medical image as a
During the transmission, medical image may be binary watermark. The aim of this study is to embed the
destroyed by intruders or attacked by noise. We need to patient’s information to the medical image without
ensure reliable data transmission to not cause the wrong degrading the quality of medical image for personal
diagnosis. For this purpose, digital image watermarking is authentication. At the watermark embedding stage, original
found to be an effective and promising mechanism by the cover (medical) image is decomposed by DWT into LL, LH,
researchers [8, 9]. HL and HH sub-bands. Then SVD is applied to each sub-
band. On the other side, ACM and SVD are performed for
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the original watermark, respectively. Then, the singular signal processing area. Image compression, data hiding,
values of the medical image is added to the singular values noise reduction and image watermarking are just some
of chaotic watermark in all sub-bands. Finally, by using applications of SVD [6].
invers SVD and inverse DWT the watermarked image is
obtained. Given the data matrix A of dimension N x N which has the
independent column (i.e. rank (A) = N), there are two
The paper is organized as follows. In section II, in order unitary matrices V and U such that
to better understand the proposed algorithm, DWT, SVD
and ACM are discussed. Watermark embedding and 𝐀 = 𝐔𝐒𝐕 𝐓 (1)
extracting algorithms are explained step by step in section Where S= diag(σ1, σ2, … , σW) is an diagonal matrix.
III. Section IV gives the experimental results and compares Singular values are ordered as σ1≥ σ2≥…≥σW>0. The
the proposed method with related studies. Finally, Section Equation (1) is mathematical the representation of SVD.
V concludes the paper.
SVD is an optimal decomposition method that
II. APPLIED TECHNIQUES concentrates the maximum signal energy into as few
coefficients as possible. From the image processing point of
In this section, the techniques used in the proposed method
view SVD has three main advantages: i) it can applied to
are explained briefly to better understand the watermark
any dimension of image matrix, ii) after applying SVD to
embedding and extraction steps. image the singular values S corresponds to the brightness of
A. Discrete Wavelet Transform (DWT) image while U and V denotes the geometric properties of
the image, iii) the slight variations of singular values of an
DWT is a common tool used in watermarking schemes
image may not affect the human visual perception. This
which transforms the image from spatial domain to stability property of SVD is the main reason why it is
frequency domain. It is shown in many papers that DWT is preferred for watermarking applications [7].
superior then other transform techniques in watermarking
algorithms. By applying DWT, 1-D original signal is
separated into the low-frequency and high frequency sub- C. Arnold’s Cat Map (ACM)
bands. This process is called as decomposition and gives us
DWT coefficients. The original signal can be reconstructed
by using DFT coefficients. This reconstruction process is Chaotic signals has very broad range of application in
referred as inverse DWT (IDWT) [5]. secure communications, signal processing and
cryptography because of their inherent properties that can
By performing DWT on image (2-D signal) one time, the be taken into account such as high complexity. There are
image is split into four sub-bands, LL1, LH1, HL1, and HH1. many chaotic maps in literature appropriate for image
processing applications. ACM is one of the most famous
LL1 is the low frequency sub-band and it contains the
chaotic map used for randomizing the pixel locations in the
maximum of energy while the other sub-bands are middle
(LH1, HL1) and high (HH1) frequency sub-bands .These image matrix. This randomizing provides high security for
the image watermarking schemes. ACM can be applied for
middle and high frequency sub-bands represent the edges,
only square matrix. For N x N square image matrix it can
outline, texture and other detail information of the original
be expressed as
signal. If we want to perform again DWT to signal, we
should apply the DWT to the LL1 sub-band. This process 𝑥𝑛+1 𝑥𝑛 𝑥𝑛
1 𝑎
can be repeated until we get the appropriate decomposition [𝑦 ] = [ ] [ ] 𝑚𝑜𝑑 𝑁 = 𝑨 [ 𝑦 ] 𝑚𝑜𝑑 𝑁. (2)
𝑛+1 𝑏 𝑎𝑏 + 1 𝑦𝑛 𝑛
level for our application.
where (xn,yn) and (xn+1, yn+1) are the locations of pixels
Watermark embedding process is done by changing the before and after iterations, respectively. In Equation (2) the
wavelet coefficients according to the embedding algorithm. coefficients a and b are selected such as det(A)=1 [5].
The watermark can be embedded either in low- frequency
sub-band or high- frequency sub-band with respect to the After applying a few iterations into original image the
purpose of the application. Embedding watermark to the locations of pixel will be scrambled but when the iterations
high- frequency sub-band provides high imperceptibility are repeated enough we will attain the original image again.
advantage but robustness and stability of the scheme will There is no any formula for exact number of iterations for
be decreased. Robustness can be improved by embedding given dimension of image, but for higher dimension we
watermark to the middle a frequency sub-band but this will expect higher iterations. ACM transformation for different
cause decrement of imperceptibility. iterations is illustrated in Fig.1. As a conclusion the number
B. Singular Value Decomposition (SVD) of iterations both in watermarking embedding and
In recent years, SVD has become an extremely valuable tool extracting must be selected carefully [10].
in the analysis and the solution of problems especially in
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6. Inverse SVD is performed by using modified

singular values
𝑇
𝑨∗ 𝑖 = 𝑼𝑖 𝑺∗ 𝑖 𝑽𝑖 (6)
where i represents LL, LH, HL and HH sub-
bands, again.
(a) (b) (c)
7. Finally, we implement inverse DWT to the
modified coefficients of related sub-bands in order
to get the watermarked image.
B. Watermark Extraction
(d) (e) (f) The steps of thewatermark extraction algorithm are
Figure 1.(a) Original watermark, (b) 3, (c) 37, (d) 76, (e) 87 and (f) 96th
given below:
iteration ACM applied watermark image.
1. We decide the most appropriate level of DWT and
applied DWT to the watermarked medical images.
III. PROPOSED MEDICAL IMAGE WATERMARKING By this way, we get LL*, LH*, HL* and HH* sub-
ALGORITHM bands.
In this section, the proposed medical image watermarking
algorithm including watermark embedding and watermark 2. SVD is applied to LL*, LH*, HL* and HH*sub-
extraction are explained in detail with all steps. bands, as follows
𝑇
A. Watermark Embedding 𝑨∗𝑖 = 𝑼∗𝑖 𝑺∗𝑖 𝑽∗𝑖 (7)
where I denotes LL, LH, HL and HH sub-bands
In our algorithm, CT, MRI and X-ray images are usedas respectively.
a cover image. During the embedding algorithm,
two,three and four level decomposition of DWT are 3. Singular values of watermark image are computed
performed to these images, respectively.The steps of the as follows,
emedding algorithm are given below: 𝑺𝑊 = (𝑺∗𝑖 − 𝑺𝑖 )/𝛼 (8)
1. By performing the appropriate decemposition where 𝛼 is fixed scale factor for all sub-bands.
level to cover image, the image is divided into LL,
LH, HL ve HH sub-bands. 4. By applying inverse SVD, we obtain the chaotic
watermark
∗ 𝑇
2. SVD is applied to the each sub-band of the cover 𝑾𝐴𝐶𝑀 = 𝑼𝑖 𝑺𝑤 𝑽𝑖 (9)
image as follows:
𝑇 5. Finally, we perform 20 iterations ACM
𝑨𝑖 = 𝑼𝑖 𝑺𝑖 𝑽𝑖 (3) ∗
to𝑾𝐴𝐶𝑀 ,(for 128x128 image matrix96-76=20), in
where A is the sub-band of cover image and
order to get the original watermark image.
idenotes the LL, LH, HL and HH sub-bands,
respectively.
3. We attain chaotic watermark WACM by performing IV. EXPERIMENTAL RESULTS

76 iterations ACM to the watermark image (W). The purpose of this section is to investigate the efficiency
of the proposed medical image watermarking method by
4. SVD is applied to chaotic watermark WACM as performing simulations. In order to expand the application
follows: areas of the proposed scheme the CT, MRI and X-ray
𝑇
𝑾𝐴𝐶𝑀 = 𝑼𝐴𝐶𝑀 𝑺𝐴𝐶𝑀 𝑉𝐴𝐶𝑀 (4) medical images are utilized. MATLAB computer program
is used during the simulations. The size of CT image is
5. Singular values 𝑺𝑖 of cover image are modified 1024x1024,MRI image 512x512 and X-ray image is
with singular values 𝑺𝐴𝐶𝑀 of chaotic watermark 2048x2495.The watermark image of size 128x128,
image includes the patient’s information such as the name,
𝑺∗ 𝑖 = 𝑺𝑖 + 𝛼𝑺𝐴𝐶𝑀 (5) surname, age and type of medical image. Since the medical
where α is fixed scaling factor for all sub-bands images are used for diagnosis and treatment, the quality of
and i represents LL, LH, HL and HH sub-bands. medical image is crucial. So the imperceptibility of
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watermark must be very high. In order to investigate the

imperceptibility of the watermarking schemes, the peak
signal-to-noise ratio (PSNR) criterion is commonly used in
the literature. PSNR can be defined as the similarity
between the original cover(medical) image and
watermarked medical image and can be calculated as (a) (b) (c)
follows,
max((𝑿(𝑖,𝑗))2
𝑃𝑆𝑁𝑅 = 10𝑙𝑜𝑔10 [ ] (10)
𝑀𝑆𝐸
where the mean square error (MSE) is defined as :

1
𝑀𝑆𝐸 = ∑𝑚 𝑛 2
𝑖=1 ∑𝑗=1[𝑿(𝑖, 𝑗) − 𝒀(𝑖, 𝑗)] (11)
(d) (e) (f)
𝑚𝑥𝑛 Figure 2. (a)MR medical image, (b) original watermark, (c) chaotic
watermark, (d) watermarked image, (e) extracted chaotic watermark, (f)
extracted original watermark.
In Eq. (11), size of the images are m x n. The higher PSNR
values means that the watermark is better hidden. The other In Table 1, PSNR and NC values are given for CT, MR and
criterion for evaluating the performance of algorithm is X-ray image. The watermarking algorithm is performed
Normalized Correlation (NC) which measures the with and without chaos. As can be seen from the table, for
similarity between the original watermark and extracted both cases the PSNR values are almost over 90 dB and NC
watermark [2, 4]. It is computed from: values are over 0.98. According to these results it is clear
∑𝑚 𝑛 ′
𝑘=1 ∑𝑗=1[𝑾(𝑘,𝑗)𝑾 (𝑘,𝑗)]
that the imperceptibility of watermark in the proposed
𝑁𝐶 = 𝑚 𝑛 𝑚 𝑛
(12) scheme ensures the desired demand. In the Table 2, the
√∑𝑘=1 ∑𝑗=1[𝑾(𝑘,𝑗)]2 √∑𝑘=1 ∑𝑗=1[𝑾′ (𝑘,𝑗)]2
comparison between the proposed scheme and reference [2]
where W and 𝑾′ represent the original and extracted is illustrated. Watermark is embedded in LL sub-band for
watermarks, respectively. The correlation coefficient takes comparison. The superiority of our method can be seen
on values in the interval [-1, 1]. If it is near 0, the extracted obviously. Furthermore, in Figure 2 each step of proposed
watermark is completely uncorrelated with the original one. watermarking scheme is shown with corresponding
Generally, the NC is considered acceptable if it is 0.75 or images. The other advantage of proposed scheme is that
above. acquired imperceptibility values are independent from
decomposition level of DWT.
PSNR(dB) NC PSNR(dB) NC
(non- (non- (chaotic) (chaotic) V. CONCLUSION
chaotic) chaotic) In this study, DWT and SVD based medical image
CT watermarking scheme is proposed. In the proposed scheme,
LL 102.181 0.9945 90.4105 0.9977 patient’s information is embedded to the medical image as a
LH 98.2397 0.9983 87.0457 0.9955
binary watermark. CT, MR and X-Ray images are used as
HL 97.9923 0.9979 86.9351 0.9966
HH 69.8840 0.9961 86.9940 0.9982 medical image in the simulations. At the watermark
MRI embedding process, a chaotic map called as ACM is applied to
LL 94.3808 0.9960 94.0275 0.9924 the watermark to improve the security of the method.
LH 100.410 0.9942 91.5416 0.9942
HL 100.432 0.9926 91.6404 0.9943 The aim of the study is to hide patient’s information to the
HH 100.354 0.9856 91.4640 0.9970 medical image without degrading the quality of medical image
X-ray for personal authentication. By calculating PSNR and NC
LL 92.3033 0.9928 93.6579 0.9953
values we prove that the proposed method ensures the desired
LH 96.7856 0.9936 94.7722 0.9960
HL 96.8000 0.9870 94.8258 0.9951 property. Furthermore, we exhibit that the proposed method
HH 93.3746 0.9976 94.8079 0.9964
provides higher PSNR values than compared current
Table 1.Results for proposed medical image watermarking scheme.
methods. The proposed scheme can be applied independently
of type and size of medical image.
Method [2] Proposed Method
REFERENCES
CT 46.01 dB 102.18 dB
MRI 47.20 dB 94.38 dB [1] Eswaraiah, R., Reddy, E.S.,”Robust Medical Image Watermarking
x-Ray 49. 58 dB 92.30 dB Technique for Accurate Detection of Tampers Inside Region of Interest
and Recovering Origina Region of Interest”, IET Image Processing, 9(8),
Table 2. Comparison between proposed scheme for (sub-band LL) and 2015.
reference [2].
[2] Moniruzzaman, Hawladar, Hossain, Md., “Wavelet Based
Watermarking Approach for Hiding Patient Information in medical Image
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for Medical Image Authentication”, 17th International Conference on

Computer and Information Technology (ICCIT), 2014.
[3] Paulopoulas, G. S., Kaoutsouris, D., “Multiple Image Watermarking
Scheme Applied to Medical Image Management”, IEEE Trans. on
Information Technology in Biomedicine, 10(4), 2006.
[4] Dong, P., “Robust Digital Image Watermarking”, PhD thesis,
Electrical Engineering in the Graduate College of the Illinois Institute of
Technology, May 2004.
[5] O. Jane, H.K. Ilk, E. Elbasi, “A Secure and Robust Watermarking
Algorithm Based on the Combination of DWT, SVD and LU
Decomposition with Arnold’s Cat Map Approach”, 8th International
Conference on Electrical and Electronics Engineering (ELECO),2013.
[6] S. Haykin, “Adaptive Filter Theory”, Prentice Hall, New Jersey, 4.th
edt., 2002.
[7] Q. Li, C. Yuan, Y. Zhong, “Adaptive DWT-SVD Domain Image
Watermarking Using Human Visual Model”, The 9th International on
Advanced Communication Technology, 2007.
[8] K. Pal, G. Ghosh, M. Bhattacharya, “ Retrieval of hidden infected
region using biomedical image watermarking for tele-diagnosis to ensure
better treatment”, 5th International Conference on Computers and Devices
for Communication (CODEC), 2012.
[9] K. Pal, G. Ghosh, M. Bhattacharya, “Biomedical Image Watermarking
for Content Protection Using Multiple Copies of Information and Bit
Majority Algorithm in Wavelet Domain”, IEEE Student’s Conference on
Electrical, Electronics and Computer Science (SCEECS), 2012.
[10] X. Xi’an, W. Yongsheng, “Study on Algorithm of Masking Digital
Watermarking in Wavelet Transform Domain Based on Chaos Encryption
and Arnold Transform”, International Conference on Audio Language and
Image Processing (ICALIP), 2010.
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Comparison of the effect of unsupervised and

supervised discretization methods on classification
process
Mehmet HACIBEYOĞLU*, Mohammed H. IBRAHIM+
Computer Engineering Department, Necmettin Erbakan University, Konya, Turkey
*
hacibeyoglu@konya.edu.tr
+
mibrahim@konya.edu.tr
Abstract— Most of the machine learning and data mining discretise using an entropy-based discrete method. At [3], the
algorithms use discrete data for the classification process. But, results of comparison between using discrete method and
most data in practice include continuous features. Therefore, a continuous method for six datasets showing that the
discretization pre-processing step is applied on these datasets performance of the classification accuracy is improved, when
before the classification. Discretization process converts
the features of datasets discretise. Studies for Cluster Algorithm
continuous values to discrete values. In the literature, there are
many methods used for discretization process. These methods are also can be used as discretise values. [4] proposed accounting
grouped as supervised and unsupervised methods according to the interdependencies among different attributes and discretise
whether a class information is used or not. In this paper, we used the data using minimum entropy with minimum description
two unsupervised methods: Equal Width Interval (EWI), Equal length as the stopping criteria, used K-mean clustering methods
Frequency (EF) and one supervised method: Entropy Based (EB) and shared nearest neighbour. While [5] used the K-means
discretization. In the experiments, a well-known 10 dataset from clustering algorithm for discretization.
UCI (Machine Learning Repository) is used in order to compare In this study, we applied supervised EB and unsupervised
the effect of the discretization methods on the classification. The EW and EF discretization methods on 10 UCI dataset with
results show that, Naive Bayes (NB), C4.5 and ID3 classification
continuous values. These datasets are applied to classification
algorithms obtain higher accuracy with EB discretization method.
algorithms that work on discrete features, and then the accuracy
of classification methods are compared. At the next section, the
Keywords— Discretization, Supervised and Unsupervised
discretization methods unsupervised EW & EF and supervised
Discretization, Continuous Features, Discrete Feature,
classification algorithms. EB are explained. At section 3, the classification algorithms are
given. The experimental results are shown at Section 4 and the
I. INTRODUCTION paper is concluded at Section 5.
Many Machine Learning and Data Mining classification
II. DISCRETIZATION AND CLASSIFICATION OF DISCRETIZATION
algorithms have application possibility only to the discrete data.
METHODS
But, most data in practice have continuous feature. The datasets
usually contains mixed forms of nominal, discrete, and Data discretization process is a method aims to reduce the
continuous data. Discrete values have intervals between a volume of distinct values of continuous variables through
continuous series of values. The number of continuous values dividing its range into limited set of unrelated intervals and then
for an attribute can be endless, but the number of discrete values relating these intervals by specific descriptive labels. Usually
may be few or have an end value [1]. An example to continuous discretization steps are sorting continuous values, finding cut
features is blood sugar content. Whereas an example of discrete points and finally applying conversion process [1].
features is gender. Process of converting continuous values to Discretization methods are categorized along different needs,
discrete values is called discretization. Discretization is discretization of continuous values to obtain higher accuracy
generally used to sort and reshape continuous variables of rate on handling data with high cardinality. Main classification
attributes into categorized features. However, there are endless of discretization is as supervised and unsupervised. Generally
possibilities of discretization methods depending on the the categorization of the supervised and unsupervised
intervals which exist within domain. The idea of discretization discretization techniques depends on class information, for
is to divide the range of a numeric or ordinal attribute into example if the discretization process uses class information,
intervals through user given or computed cut points. [2] made then we say it is supervised discretization. Otherwise, it is
a comparison between unsupervised discretization method called as unsupervised discretization [1], [2]–[3].
(Equal width, Equal frequency) and supervised discretization
method (Entropy-based, Purity-based) from classification
A. Unsupervised Discretization Methods
accuracy point of view. They found that the classification The simple discretization (equal-width and equal-frequency
accuracy of the classification algorithms (Naive-Bayes, C4.5) interval binning) is among the unsupervised discretization
significantly improved when features of the datasets were methods and binning does not use class information.
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Continuous ranges are subdivided into smaller ranges through A = {a0, a1, a2, .... an-1, an} where n is a number of element in
user specified width or frequency. Usually in the unsupervised A. And A is set of data with array having continuous values [1],
discretization methods, the number of parts must be supplied [2], [5]–[7]. In proportional K–interval discretization method,
by the user [1], [2]–[6]. the data instances with identical value must be placed in the
same interval, so it is not always possible to generate exactly K
1) Equal Width Interval Discretization: The simplest
equal frequency intervals [7]. Equal Frequency discretization
discretization method is Equal-width interval discretization
steps as shown in the Fig. 2. And these steps are given as an
which divides the range of observed values for a feature into
example in Table II below. Where I is the instance, T is the
equal sized bins represented by k that is a parameter supplied
temperature, C is the classes value, A sorted value of T and D
by the user [1]–[2]. The process involves finding the minimum
is a discretised value of T.
and maximum observed values through sorting of a continuous
feature, A = {a0, a1, a2, .... an-1, an}, amin = a0 and amax = an. A is
Input: data is an array having continuous values, A = {a0,
a continuous value array. Computing the interval may be done
a1, a2, ….. an-1, an} and k is the number of parts.
by dividing the range of the observed values for the variable
Where k > 0;
into equally sized bins using the following formula: [1], [2]–[5].
Output: data having discrete values.
Step 1: Sort the value A in increasing order
𝑎𝑚𝑎𝑥 − 𝑎𝑚𝑖𝑛
𝐼𝑛𝑡𝑒𝑟𝑣𝑎𝑙 = 1 Step 2: Determine the split point for A and calculate the data
𝑘
instances in each interval by dividing the number of
Boundaries = amin + (i x interval) elements in the array by number of parts.
Step 3: The value of an attribute in the array must be placed
The boundaries can be formed by i = 1...k-1 using the above in the same boundaries
formula. Equal Width Interval discretization steps as shown in Fig. 2 Equal Frequency Discretization algorithms
Fig. 1. And these steps are given as an example in Table I below.
Where I is the instance, T is the temperature, C are the classes TABLE II
value, A is the sorted value of T and D which is the discretised EXAMPLE FOR EQUAL FREQUENCY DISCRETIZATION
value of T. I 1 2 3 4 5 6 7 8 9 10
T 85 90 86 96 80 70 65 95 75 91
Input: data is the array having continuous values of the C no no yes yes yes no yes no yes yes
attribute, A = {a0, a1, a2, ….. an-1, an} and k is the number of A 65 70 75 80 85 86 90 91 95 96
parts, where k > 0; Here amin= 65, amax= 96, n = 10, and let k= 3
Output: data having discrete values. So Interval = 10/3=3.3 and around (interval) Then interval = 3;
each bining contained approximately 3 element, the rise is added to
Step 1: Sort the value A in increasing order
the last part. 0 = [65, 80); 1 = [80, 90); 2 = [90, 96].
Step 2: Calculate the interval by equation 1 D 1 2 1 2 1 0 0 2 0 2
Step 3: Binning the data by boundaries formula and
determine the split point for A B. Supervised Discretization Methods
Step 4: The value of attribute in the array must be placed in This discretization method converts numerical data to their
the same boundaries categorical counterparts and use class information while
Fig. 1 Equal Width Interval Discretization algorithms choosing discretization nodes. Entropy based discretization is
an example of this method [1], [2]–[5].
TABLE I
EXAMPLE FOR EQUAL WIDTH DISCRETIZATION 1) Entropy Based Discretization: This method uses division
approach. Entropy (or information content) is calculated based
I 1 2 3 4 5 6 7 8 9 10 on class labels. Intuitively works towards purifying each data
T 85 90 86 96 80 70 65 95 75 91 group by finding the best cut points, so each data in the pure
C no no yes yes yes no yes no yes yes groups will have the same class label as much as possible. It is
A 65 70 75 80 85 86 90 91 95 96 characterized by finding intervals that gives the maximum
Here amin= 65, amax= 96 and let k= 3 information gained [1]–[8]. The formula to calculate Entropy is
So Interval = (96-65)/3=10.3 then Boundary = 65+10.3 = 75.3
as follows;
0 = [65, 75.3); 1 = [75.3, 85.6); 2 = [85.6, 96.2]
𝑛
D 1 2 2 2 1 0 0 2 0 2
𝐸(S, A) = − ∑ 𝑃𝑖 log 2 (𝑃𝑖 )
2) Equal Frequency Interval Discretization: In the equal- 𝑖=1
frequency discretization algorithm the minimum and maximum 𝑣𝑖⁄
values are determined for discretized attribute, and then all 𝑃𝑖 = 𝑣
values are sorted in ascending order, and sorted continuous Entropy means “impurity”. But the impurity here means:
values divided into k intervals in a way that each interval diversity, having too much data with different specifications in
contains approximately n/k data instances with adjacent values, one group. When calculating entropy, we will first calculate
____________________________________________________________________________________________________________
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entropy for estimated class value E(S). Then we will calculate A. Decision Tree Algorithm
entropy for specified cut points E(S, A). Finally, the best cut Decision trees are frequently used data mining approaches
point by calculating information gained by the flowing equation for classification and estimation. Despite the fact that other
is determined [1]–[8]. methods such as ANN can be used for classification, decision
Information Gain = E(S) – E(S, A) trees provide advantage of easy interpretation and
Entropy based discretization pseudo code is shown in Fig. 3 comprehensibility to the decision makers [3]. Classification of
below. All these steps are given as an example in Table 3 below. the data using decision tree technique is a two step process
comprising learning and classification. A previously known
Input: Data is an array having continuous values, A = {a0, education data is analyzed by the classification algorithm in
a1, a2, ….. an-1, an} order to constitute a model during the learning phase. The
Output: Data has discrete values. constituted model is shown as classification rules or a decision
Step 1: sort the value A in increasing order tree. During the classification phase, on the other hand, test data
Step 2: calculate entropy for class data is utilized in order to determine the accuracy of the
Step 3: determine the best split point for A by classification rules or a decision tree. If the accuracy is in an
 Calculate Entropy for each split point acceptable range then the rules are used for classification of
 Calculate information gain for each split point new data. It should be determined that which domains will be
Step 4: select the split point with highest information gain used in what type of order to constitute the tree. Entropy metric
Step 5: recursively the partition on each split point when is the most widely used measurement for this purpose. The
terminate once information gain falls below a certain results obtained using the domain are uncertain and instable
threshold or once you reach a specified number of bins. proportionally to the entropy measurement in that domain.
Fig. 3 Entropy based Discretization algorithms Thus the minimum entropy or maximum information gain
TABLE III
measurement of the domains are used in the roots of the
EXAMPLE FOR ENTROPY-BASED DISCRETIZATION decision tree. Entropy can be mathematically defined as;
if (𝑝1 , 𝑝2 , … 𝑝𝑛 ) = ∑𝑛𝑖=1 𝑝𝑖 log 2 𝑝𝑖 . (𝑝1 , 𝑝2 , … 𝑝𝑛 ) which
I 1 2 3 4 5 6 7 8 9 10 states the probabilities, then the sum of all these probabilities
T 85 90 86 96 80 70 65 95 75 91 should be exactly 1. Finally the information gain is calculated
C no no yes yes yes no yes no yes yes for each p via the following equation [9]–[10].
A 65 70 75 80 85 86 90 91 95 96 𝑛
No = 4, Yes = 6 probability No Pno = 4/10 = 0.4 probability Yes, 𝑖𝑛𝑓𝑔𝑎𝑖𝑛 (𝐷, 𝑆) = 𝐻(𝐷) − ∑ 𝑃(𝐷𝑖 )𝐻(𝐷𝑖 )
Pyes = 6/10 = 0.6 𝑖=1
Entropy (Play) = E(4,6) = E(0.4, 0.6) = -0.4 * log2(0.4) – 0.6 *
log2(0.6) = 0.970. In a decision tree, all paths from the root node to the leaf
Let k = 2 (80 and 86) then.
node proceed by way of AND [11]. There are multiple modules
For 1. Split <=80 = {65, 70, 75, 80} and > 80 = {85, 86, 90, 91,
95, 96} of the decision tree algorithms [10], ID3 and C4.5 modules are
For 2. Split <=86 = {65, 70, 75, 80, 85, 86} and > 86 = {90, 91, used in this paper.
95, 96}
Calculate entropy and information gain for each split then chose B. Naive Bayes algorithm
the split with the highest information gain. Naive Bayes Classifier is an approach of probability, which
Entropy E = - Σ pi log2 (pi) can be used with a proposition that first seems to be very
Entropy for split 1 = 0.954 and Entropy for split 2 = 0.888. limiting in classification problems [10]. This proposition is the
Information Gain = E(S) – E(S, A) necessity of independency of each defining quality or
Info for split 1 = 0.970 - 0.954 = 0.016 and parameter to be used in pattern identification in respect of
Info for split 2 = 0.970 - 0.888 = 0.082 then
0 = [65, 86); 1 = [86, 96];
statistics. No matter how this proposition is limiting the
application field of Naïve Bayes Classifier, this approach yields
D 0 1 0 1 0 0 0 1 0 1
results comparable to more complex methods such as ANN by
III. CLASSIFICATION ALGORITHMS stretching statistical independency condition.
Naive Bayes Classifier is the simplified state of Bayes
Classification concept is basically the distribution of the data
theorem by means of the independency proposition. Bayes
among predefined various classes on a dataset [1].
theorem is expressed with the following equation:
Classification algorithms learn this distribution type from the
𝑃(𝐵|𝐴) 𝑃(𝐴)
given education cluster and they try to distribute data when 𝑃(𝐴|𝐵) =
unclassified test data are received. The values indicating these 𝑃(𝐵)
classes on the dataset are named as labels and they are used in 𝑃(𝐴|𝐵) ; The probability of incident A when incident B is
order to denote the classes either for education and test. Some realized
classification algorithms process according to categorical 𝑃(𝐵|𝐴) ; The probability of incident B when incident A is
values (Decision Tree, Naive Bayes) while others process with realized
numerical values (ANN) [1]. 𝑃(𝐴) and 𝑃(𝐵); Prior probabilities of incidents A and B.
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Here, prior probabilities add subjectivity to the Bayes Glass Identification 68,69 55,61 59,81
theorem. In other words, for instance, P(A) is the information Iris 95,33 89,33 96,00
that is obtained prior to any obtained data about incident A. On Stat log Heart 82,22 58,15 79,63
the other hand P(B|A) is post probability because it gives Australian Credit 85,80 67,54 86,52
information about the realization probability of incident B German Credit 74,50 59,10 72,60
when incident A is realized after data collection [1]–[10]. E.coli 85,71 58,63 74,11
IV. THE EXPERIMENTAL RESULTS TABLE VII

CLASSIFICATION ACCURACY OF EB
In this study, using discretization methods of unsupervised
(EW and EF) and supervised (EB) to convert an attribute’s Datasets name NB ID3 J4.5
continuous value of UCI dataset of Table IV into discrete Breast Cancer Wisconsin 97,00 84,39 94,99
values. Where NS is The Number of continuous Attributes, ND Pima Indians Diabetes 77,86 77,08 78,26
Glass Identification 74,30 73,36 73,83
is The Number of discrete Attributes, NI is The Number of
Iris 94,00 94,00 94,00
Instance and NC is The Number of Classes. Using Machine
Stat log Heart 83,33 80,37 81,85
learning classification algorithms (NB, ID3, C4.5), we carried Australian Credit 85,51 75,36 87,65
out the classification process on discrete datasets of converted German Credit 75,80 63,20 72,10
values. Number of parts used in EW and EF discretization E.coli 87,46 85,02 86,24
methods are (k= 3 To 22; k+= 2), the means (3, 5, 7, .... 21) are
used, and at each k value classification performance is The analysis of the results given in Tables V, VI and VII,
calculated, as a result, we have taken the average of overall part from 8 datasets show that in EW method provides high
numbers according to the high performance value of each classification accuracy for only Breast Cancer Wisconsin and
classification algorithm, in this case k = 9, in Table V and VI Iris datasets and in EF method provides high classification
we have given classification accuracy according to the value of accuracy Glass Identification and German Credit datasets while
k. In EB discretization method, as we mentioned above, the in EB method provides high classification accuracy for the
number of parts is calculated according to the data information remaining four datasets. In general supervised EB provides
gain, each attribute of data set is divided into different number better accuracy then unsupervised EW and EF.
of parts. In Table V, VI and VII classification results are given
according to discretization methods used. Properties V. CONCLUSIONS
Discretization algorithms are known to have advantages and
TABLE IV
NAME AND PROPERETİES OF DATASETS disadvantages relative to one another. Several new methods
have been developed keeping these advantages and
Datasets name NS ND NI NC disadvantages in mind. As it is mentioned before; such as, in
Breast Cancer Wisconsin 9 0 699 2 equal width discretization method, even if this bare
Pima Indians Diabetes 8 0 768 2 discretization method is attractive among the others, there are
Glass Identification 9 0 214 6
reported opinions about major loss of data after discretization
Iris 4 0 150 3
process, because of determining the gap width is not done
Stat log Heart 5 8 270 2
Australian Credit 6 8 690 2
correctly during the division into equal intervals. Other
German Credit 7 13 1000 2 methods, such as the EW and EF require the user to enter the
E.coli 7 1 336 8 parameters while EB method determines the parameters itself.
It is possible to say that, in this case, if user entered values are
TABLE V wrong parameters it could pose a problem in terms of results
CLASSIFICATION ACCURACY OF EW obtained. Data discretization process plays an important role in
Datasets name NB ID3 J4.5
the data classification process, since it is the process of entropy
Breast Cancer Wisconsin 97,07 95,16 95,31 based discretization data depends on the class of data in
Pima Indians Diabetes 74,74 51,82 75,13 discretization data the discretization is relatively true, and it
Glass Identification 68,69 76,63 72,43 increases Probability of data classification is relatively. As a
Iris 93,33 90,66 94,00 result of this study in categorization algorithms (NB, ID3, J4.5)
Stat log Heart 81,44 62,59 79,25 which discretization method gives better performance than the
Australian Credit 85,36 67,97 84,78 others.
German Credit 76,50 56,50 71,50
E.coli 83,33 62,20 76,19 REFERENCES
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Features, Ionosphere, vol.5, pp. 34.351: 2, 2011.
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Sci. Appl., 2014.
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Using K-Means and K-Medoids Methods for

Multivariate Mapping
Huseyin Zahit Selvi *, Burak Caglar+
*
Necmettin Erbakan University Geomatic Engineering Department Division of Cartography, Konya, Turkey
hzselvi@konya.edu.tr
+
Çorum Special Provincial Administration Directorate of Roads and Transportation Services, Çorum, Turkey
bcaglar19@gmail.com
Abstract— Multivariate mapping is the visual exploration of point symbols [8]-[15], method in which combining different
multiple attributes using a map or data reduction technique. The type of symbols is used for representing multivariate data [16]
simultaneous display of sometimes multiple features and their and method of separating different attributes from integral
respective multivariate attributes allows for estimation of the symbols [17] can be listed.
degree or spatial pattern of cross-correlation between attributes.
Different from the methods above, in order to represent
Multivariate mapping integrates computational, visual, and
cartographic methods to develop a visual approach for exploring many attributes in the same map, classification method based
and understanding spatiotemporal and multivariate patterns. on clustering methods in data mining can be used as well.
More than one attribute can be visually explored and symbolized With the use of clustering methods, similar aspects of
using numerous statistical classification systems or data different spatial objects can be revealed by considering more
reduction techniques. In this sense, clustering analysis methods than one attribute [18]-[19]. In this sense, spatial analyses that
can be used for multivariate mapping. k-means and k-medoids would make important contributions for risk analysis,
methods which are non-hierarchical clustering analysis methods planning etc. can be done.
were analyzed in this study. The aim of this study is to determine It is quite important to make use of more than one attributes
the success of the spatial analysis of the multivariate maps
of current spatial event and determine similarity of spatial
produced by these methods. For this aim, classes and
multivariate maps created with these methods from traffic events in order to detect future events. For this aim, different
accident data of two different years in Turkey were presented. Inspatial and non-spatial analysis methods are used for
addition usability of such maps in risk management and determining common properties of the spatial events. In this
planning was discussed. context, [20], [21], [22] and [23] used different clustering
methods for determining common properties of different
Keywords— multivariate mapping; data mining; cluster analysis; spatial events. Mapping of spatial events according with
visualization; cartography common properties is also significant for estimating types and
effects of future events. Multivariate maps of occurred spatial
I. INTRODUCTION events are more effective on determining common properties
Multivariate mapping is the graphic display of more than of spatial events and planning investments according to these
one variable or attribute of geographic phenomena. The properties. The aim of this study is to determine the success of
simultaneous display of sometimes multiple features and their the spatial analysis of the multivariate maps produced by k-
respective multivariate attributes allows for estimation of the means and k-medoids clustering analysis methods. For this
degree or spatial pattern of cross-correlation between aim, k-means and k-medoids methods are used for designing
attributes. Multivariate mapping integrates computational, multivariate mapping of traffic accidents in Turkey with data
visual, and cartographic methods to develop a visual approach of two different years, and result maps are compared. Success
for exploring and understanding spatiotemporal and of these methods is determined with comparison of maps
multivariate patterns [1]. designed in different years according to two different methods.
A fundamental issue in multivariate mapping is whether In this study, Cluster Analysis and k-means and k-medoids
individual maps should be shown for each attribute or whether methods in the second section, application in the third section
all attributes should be displayed on the same map ([2], p.327). will be explained in details, results and suggestions will be
Producing separate maps for each attributes would make it shared in last section.
difficult to compare two objects which have various attributes.
Therefore methods in which various attributes are shown in II. CLUSTER ANALYSIS
the same map are preferred more. In this sense, Trivariate Cluster analysis is the process of grouping information in a
Choropleth Map which is created by overlapping of two data set according to specific proximity criteria. Similarity of
colored choropleth map [3]-[6], Multivariate Dot Maps element in the same cluster should be high, similarity between
method in which specific color or symbol is used for each clusters should be low [24]. In the process of classification,
attribute in the map [7], Multivariate Point Symbol methods classes are determined before. In clustering method, classes
which are used when multivariate data can be shown with
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are not determined before. Data are separated different classes object in each cluster is taken as representative. This
according to the similarity of data obtained. representative object, called a medoid, is meant to be the most
Cluster methods are classified in different ways in various centrally located object within the cluster [25]. After k
resources. In general sense, cluster methods can be classified medoids chosen for k-clusters are determined, each remaining
as hierarchical and non-hierarchical methods [2]. object is clustered with the representative object to which it is
 Non-hierarchical Methods: In non-hierarchical methods, the most similar [27].
n objects are divided into k clusters according k number Steps of k-medoids algorithm are summarized as below
(k<n) given before. This method divides data in a way [28]:
that there will be at least one object in each cluster and (1) Determination of k-cluster number.
each object will be included at least in one cluster [25]. (2) Choose of k objects as initial medoids
 Hierarchical Methods: Hierarchical clustering methods (3) Assign the remaining objects to cluster which has the
group data objects in tree structure. Hierarchical most similar x medoid.
clustering methods are classified as agglomerative or (4) Calculate aim function (sum of distances of all objects
divisive according to hierarchical division being to the closest medoid)
bottom-up or top-down [26]. (5) Arbitrarily choose of y point which is not medoid.
(6) If change of x and y would minimize aim function,
In this study, k-means and k-medoids methods from non- change the place of these two points (x and y)
hierarchical methods will be analyzed. (7) The process is repeated between 3rd and 6th step until
there is no change.
A. K-Means Method
This algorithm which was introduced by Mac Queen for the III. APPLICATION
first time in 1967 is a cyclical algorithm in which clusters are Casualties, injuries and financial damages as a result of
continuously renewed until the most suitable solution is traffic accidents are among the most important problems of
attained. General logic of k-means algorithm is to divide a Turkey. When data of the last 5 years are analyzed, it is seen
data set composed of n data object to k clusters determined that there have been more than 1.000.000 traffic accidents,
depending on preliminary information and experience of 145.000 of them ended up with death and injury, and nearly
researcher. The aim is to provide the intracluster similarity is 1.060.000 of them results with financial damage. 4000 people
high, but the intercluster similarity is low. Similarity of lose their life on average in these accidents and nearly
clusters is calculated with the mean value of objects. 250.000 people are injured. It is quite important to make use
The k-means procedure is summarized as below [25]: of more than one current traffic accidents attributes and
Input: determine similarity of traffic data on city basis in order to
k: the number of clusters, detect measures to be taken for traffic security in Turkey and
D: a data set containing n objects. future investments to be done. For this aim, in this study,
Output: A set of k clusters. clustering analysis will be made in 3 different methods by
Method: using number of motor land vehicles based on city, number of
(1) arbitrarily choose k objects from D as the initial cluster traffic accidents resulting in death and injury, number of
centers; casualties and injuries (4 different values) for the years 2011
(2) (re)assign each object to the cluster to which the object and 2012 prepared by Turkish Statistical Institute (TUIK) and
is the most similar, multivariate maps will be produced according to analysis
based on the distance between the object and the cluster results. Maps designed for both years with 3 different methods
mean; were compared, it will be evaluated which method is suitable
(3) update the cluster means, i.e., calculate the mean value for the success of multivariate mapping and clustering.
of the objects for each cluster; In the application of clustering analysis methods,
(4) repeat until no change; (Fig.1) RapidMiner software developed in Dortmund Technology
University Artificial Mind Unit by Ralf Klinkenberg, Ingo
Mierswa and Simon Fischer was used. Multivariate maps
were designed by ArcGIS software developed by ESRI group.
A. Multivariate Map Design with k-means Method

RapidMiner software was used in application of k-means
method. As a result of test made in this sense, k cluster
Fig. 1 Clustering with k-mean Algorithm [26]
number is 5, number of highest iteration that would be made
during operation of algorithm for once is 100, and maximum
cycle of algorithm is 35. The method was applied separately
B. K-Medoids Method for 2011 and 2012 data. Centroid Tables of clusters generated
In this algorithm which was developed by Kauffman and as a result of clustering processes are given in Table 1 and
Rousseeuw in 1990, instead of mean value of each cluster, an Table 2.
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With the help of classes obtained by using 4 different

values (number of motor land vehicle, number of traffic
accidents resulting in death and injury, number of casualties
and injuries) in clustering processes, multivariate maps
showing similarity of traffic accidents on city basis for Turkey
were designed (Fig.2).
TABLE I
CENTROID VALUES OF CLUSTERS GENERATED WITH K-MEANS METHOD FOR
2011 DATA
TABLE II
CENTROID VALUES OF CLUSTERS GENERATED WITH K-MEANS METHOD FOR
2012 DATA
Fig. 2 Multivariate maps designed with k-means method for the years 2011
(above) and 2012 (below)
B. Multivariate Map Design with K-medoids Method

RapidMiner software was also used in application of k-
medoids method. Different from k-means algorithm, k-
medoids process operator was used instead of k-means
operator. In this scope, k cluster number was again taken as 5,
and maximum cycle of algorithm was taken as 35. Centroid
Tables of clusters generated as a result of clustering processes
are given in Table 3 and Table 3.
Again with the help of classes obtained by using 4 different
values in clustering processes with k-medoids method,
multivariate maps were designed for the years 2011 and 2012
(Fig. 3).
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TABLE III
CENTROID VALUES OF CLUSTERS GENERATED WITH K-MEDOIDS METHOD FOR
2011 DATA
TABLE IV
CENTROID VALUES OF CLUSTERS GENERATED WITH K-MEDOIDS METHOD FOR
2012 DATA
Fig. 3 Multivariate maps designed with K-medoids for the years 2011 (above)
and 2012 (below)
IV. CONCLUSIONS
In the scope of multivariate mapping, more than one
attribute can be displayed in separate maps or in the same map.
Designing separate maps for each attribute would make it
difficult to compare two objects which have various attributes.
Therefore methods in which various attributes are shown in
the same map are preferred more. One of the methods in
which various attributes are displayed in the same map is to
generate thematic map classes by determining the effect of
different attributes with clustering analysis. In this sense, in
this study, considering traffic accidents in 2011 and 2012 in
Turkey, number of vehicles in traffic in these years, number of
traffic accidents resulting in death and injuries, number of
casualties and injuries parameters, multivariate maps were
designed with 2 different cluster analysis method.
K-means and k-medoids non-hierarchical clustering
algorithms divide n objects into k clusters according to k input
parameter. They form the same cluster if objects resemble
each other but not with the objects in other clusters. The
greatest problem in applying these algorithms is determination
of k cluster number. This can be determined with some of the
practices experiences. When k=5 cluster number is given for
data sets used in the study, it is observed that better clustering
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Automatic Voice and Speech Recognition System

for the German Language with Deep Learning
Methods
Cigdem Bakir*
*
Yildiz Technical University
Computer Engineering Department
İstanbul, Turkey
cigdem@ce.yildiz.edu.tr
Abstract— In our age, technological developments are trade, industry and many other fields in the international sense.
accompanied by certain problems associated with them. Security For this reason German language is used in a quite widespread
takes the first place amongst such kind of problems. In manner. However, common usage of this language to such an
particular, such biometric systems as authentication constitute extent, brings security problems for biometric data in this field.
the significant fraction of the security matters. This is because
Accordingly this calls for the requirement of a secure, fast
sound recordings having connection with the various crimes are
required to be analyzed for forensic purposes. Authentication automatic voice and speaker recognition.
systems necessitate transmission, design and classification of German language comprises of roots (words) and suffixes
biometric data in a secure manner. In this study, analysis of & prefixes and included in the inflected languages if we
German language employed in the economy, industry and trade consider properties of the German language. German is
in a wide spread manner, has been performed. In the same vein, written using the Latin alphabet and there are 29 letters in its
the aim was to actualize automatic voice and speech recognition alphabet. An article appears before each noun in German.
system using Mel Frequency Cepstral Coefficients (MFCC), Words are pronounced as they are written. In addition, it is
MelFrequency Discrete Wavelet Coefficients (MFDWC) and distinguished from other languages with various developed
Linear. Prediction Cepstral Coefficient (LPCC) taking German
sound shifts and intonation.
sound forms and properties into consideration. Approximately
2658 German voice samples of words and clauses with differing Various studies have been carried out in order for voice and
lengths have been collected from 50 males and 50 females. speaker recognition. Jie-Fu et al. have collected voice samples
Features of these voice samples have been obtained using wavelet in Chinese from 7 males and 5 females whose ages were
transform. Feature vectors of the voice samples obtained have ranging between 25 and 45 [8]. Attempts have been made to
been trained with such methods as Boltzmann Machines and identify the owner of the voice by trying to analyze these
Deep Belief Networks. In the test phase, owner of a given voice voice samples by means of their tones, vowels, consonants
sample has been identified taking the trained voice samples into and syllables. Voice samples have been separated into four
consideration. Results and performances of the algorithms frequency groups, and each frequency band has been analyzed.
employed in the study for classification have been also
However, this study has not been tested for very big data. In
demonstrated in a comparative manner.
addition, intended success was not exactly achieved since it
was performed taking its similarities with the English
Keywords— Boltzmann Machines, Deep Belief Networks. language into consideration.
Tokuda et al. have developed English speech synthesis
system using Hidden Markov Model [4]. This system has been
I. INTRODUCTION developed for speaker recognition and specifies the structure
In our day, security problems have been unearthed along by changing the voice feature. However characteristic feature
with the developments in the technology. Certain studies have of the synthesized voice in the study, is pretty low.
been accomplished especially in order to prevent information Reynolds et al. have implemented SuperSID project in
belonging to some people from being transferred to other order to enhance performance of speaker recognition systems
people in commercial transactions. Some of such studies are [1]. Purpose of this project is to develop speaker recognition
hand script recognition, signature recognition, face systems and employ the most suitable features in order to
recognition, iris recognition and voice recognition [9]. increase its accuracy. However this study failed to completely
German language belongs to the Germanic branch of Indo- achieve the acoustic characteristics of the voice and removal
European language family. Approximately 120 million people of the noise.
are speaking German language in the world. In addition, Reynolds et al. have attempted to substantiate speaker
Germany has an important standing in respect of economy, identification and verification using Gaussian Mixture Model
____________________________________________________________________________________________________________
75
_____________________________________________________________________________________________________________
(GMM) method [2]. Attempts have been made to determine scaled between actual frequency of voice signal and estimated
speaker verification in the system according to the probability voice frequency. For this reason total energy of every frame is
distribution. 11 different hypothesis have been developed for calculated. Classification success in speaker identification has
this probability distribution. Data used in the study has been been calculated on an individual basis for MFDWC-3,
extracted from telephone conversations. MFDWC-5 and MFDWC-9 vectors by training the feature
Speech has an important place in communication. Voice vectors obtained from voice signals by means of Boltzmann
recognition study has been carried out for this reason. In this Machines and Deep Belief Networks.
study, a simulation also has been performed in order to solve
the voice recognition problem related to the security risk.
However, certain difficulties have got in the way while Pre-
Filtering Framing
creating voice database. There was such difficulty ranked first Emphasis
among the others that words were vocalized at different
speeds and in different pronunciation by different persons. In
addition to that, such reasons as the noise occurred in the
environment and voice while recording the voice data, toning
effect and syllable stress make voice recognition process FFT
difficult [10].
Feature extraction and classification techniques used, were
given in the section 2 of the study performed, and
experimental study and results were given in the section 3. Feature Mel-Frequency
DWT Filter Bank
Vector
II. FEATURE EXTRACTION METHODS
German language is widely used in economy, industry and
trade. Therefore, examinations have been made on German
language in this study. The study has been realized on a Fig. 1 Feature extraction steps of MFDWC
unique data base, which have been formed from the German B. Mel Frequency Cepstral Coefficients (MFCC)
sound samples, taken from men and women. These sound
samples are trained by getting dispersed to various feature MFCC is a feature extraction method, that is used in sound
vectors with MFDWC, MFCC and LPCC. In the second stage, processing. It is used to extract important information and
the feature vectors of the recorded sound signals are trained features by dividing the sound data to its subsets. The steps of
with classification algorithms, such as Boltzmann Machines feature extraction technique of MFCC is indicated in Figure
and Deep Belief Networks. The gender of the speaker is 2[11].
decided by looking at sound signals at the test data and Pre-Emphasis
training data after the system is trained. Furthermore, the
classification success in recognizing the gender of speaker has
been calculated separately for 1, 3 and 5 and 9 feature
vectors and the success of the methods have been presented Framing
comparatively by training the feature vectors, obtained from
speaking signals with Boltzmann Machines and Deep Belief
Networks.
Windowing
A. Mel-frequency Discrete Wavelet Cofficients (MFDWC)
The study in question has been performed, based on a
unique database comprising German voice samples collected FFT Spektrum
from men and women. These voice samples were separated
into various feature vectors with MFDWC, and trained.
MFDWC is a feature extraction method employed in the
speech processing. It is used to extract significant information Mel Spektrum
and features by dividing voice data into subsets. Feature
extraction steps of MFDWC technique is shown in the Figure
1 [7]. Mel Cepstrum
Sample speech signal is shown between the 40-40000 Hz
range in the MFDWC feature extraction method. Speech
signal is divided into frames after the pre-processing step. Feature Extraction
Hamming window has been used in this study in order to
smoothen the transition of speech samples between the frames.
One Mel shows the frequency of voice tone. Mel-scale is
Fig. 2 Feature extraction steps of MFCC
____________________________________________________________________________________________________________
76
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Two filters are used in MFCC feature extraction method. Pre-Emphasis

The first filter has a linear distribution of frequency values
under 1000 Hz and the other has a logarithmic distribution of
frequency over 1000 Hz. Pre-emphasis stage is the first stage
in obtaining MFFC feature vector. Windowing
The sound signals, which have high frequency, are
passed through a filter at this stage. This way, the energy of
the sound is increased at high frequency. The sound signals
are analog. The sound signals are converted from analog to Autocorrelation
digital by getting divided into small frames between 20 and
40 ms during the framing stage and it is divided into N frames.
The sound signal is moved by sliding the sound signal at the
windowing stage. This way, the closest frequency lines and LPC Analysis
the frame, which will come by windowing, that is used are
combined. The window type, width and sliding amount are
determined at this stage. Each of N frames is transmitted from Cepstral Analysis
the time space to the frequency space with Fast Fourier
Transformer (FFT). The spectral features of sound signals are
shown in frequency space.MEL spectrum is obtained by
calculating the total weight of these spectral features. This Feature Extraction
MEL spectrum is formed from triangle waves and are formed
by getting passed through a series of filters. MEL spectrum
reduces the noise by lowering two neighbour frequencies. The
Fig. 3 Feature extraction steps of LPCC
logarithm of signal is taken at the stage of MEL spectrum and
the signal is transmitted back again from frequency space to III. CLASSIFICATION METHODS
the time space. MEL frequency cepstrum factors are obtained
by using DCT (Discrete Cosine Transform) in time space.
Depth learning algorithms are used in certain fields
primarily in sound processing in recent years. In particular,
C. Linear Prediction Cepstral Coefficient (LPCC) depth learning algorithms are developed for the solution of
complicated problems. They are comprised of multi layers.
LPCC is a well known and commonly used technique to Therefore, they may contain numerous hidden information. In
obtain the characteristic features from sound signals. In this this study, two depth learning algorithms are used as
technique, each sample of sound signal is based on the Boltzmann machines and Depth belief Networks. Steps of the
conversion of linear prediction coefficients obtained as a study are presented in Figure 4.
linear weighted total of previous sound signals into cepstral
coefficients. This is not a method preferred for sound signals Receiving of sound records
exposed to various environmental effects or noise. LPCC
utilizes functions that model the sound path.
LPCC method is obtained by converting LPC coefficients
into cepstral coefficients through Fourier conversion. Extraction of sound features with
Preliminary process is completed by transmitting speech MFDWC, MFCC and LPCC
signal through high filter. Auto correlation characterizes the
signal by determining the similarity of each sound signal with
itself. This step is materialized in frame of each signal. Signal Modelling the system by training
is analyzed by converting the auto correlation values into LPC with depth learning algorithms
parameters by using Levinson-Durbin recursion. In final phase,
LPCC parameters are obtained with cepstral analysis [12].
Steps of LPCC feature extraction are provided in Figure 3. Comparison of test sample given
LPCC method is calculated as in Equality 1 [13]. a LPC with the sound samples in the
coefficients indicate the degree of p LPC coefficients. models
s(n) = a s(n − i) (1) Automatically determining the

speaker according to model created
Fig. 4 Study Steps
____________________________________________________________________________________________________________
77
_____________________________________________________________________________________________________________
A. Boltzmann Machines exp(∑ + )

( = |ℎ; 0) = (2)
Boltzmann Machines(BM) are used in the modelling of (ℎ)
units between entry layers and hidden layers. Therefore,
parameters learnt in hidden layer are the entry parameters for
next BM. So, BM is very significant for deep neural networks. Enrty signal in Equality 2 is processed through all layers
Boltzmann machines are a stochastic process comprised of and converted into output multiple distribution. Entry signal is
recursive artificial neural network. It has multilayer structure. divided into k and e in final layer weights between k class
It is used frequently for the solution of searching and learning and hidden units are indicated.
problems. All artificial neural networks are not linked with It is recommended to materialize the learning of DBM
each other. network in two phases. In preliminary training phase as first
Restricted Boltzmann Machines (RBM) are the structures stage, weight parameters modelling the entry data are learnt.
limiting the connections to be formed on the layers between Second phase is referred as finetuning and aims for the
units within the entry layer and the units within the hidden learning of network parameters classifying the training set
layer. All artificial neural networks are not linked with each [15].
other. Sample of RBM neural networks are indicated in Figure
5.
Fig. 5 Boltzmann Machines
RBM is a directional graphical model comprising the

hidden and visible units on a layer. All hidden units are
indicated as dual graph since they are linked with visible units.
Creation of RBM model is indicated in Equality 2 [16].
Fig. 6 Deep Belief Networks Structure
exp(− ( , ℎ; Ɵ))
( , ℎ, Ɵ) = (2)
IV. EXPERIMENTAL STUDY AND RESULTS
In this study, an authentic and unique German database

In this equality, v indicate the visible unit, h hidden units, Ɵ
has been used. The names, surnames, ages, sexes and
model parameters and E function of model comprised of (v, h,
speeches of persons have been added into this data base. The
Ɵ) = ∑ ∑ exp(− ( , ℎ; Ɵ)) normalization factor.
different number of feature vectors of sound components
have been extracted with MFDWC, MFCC and LPCC feature
B. Deep Belief Networks extraction method. In the next stages, the sound samples have
Depth Belief Networks (DBM) are the architectures been trained by using methods Boltzmann Machines and Deep
providing modelling of data within hierarchical structure. Belief Networks. The features of the recorded sound samples
DBM comprised of subsequent connection of multiple RBM have been indicated in Table 1.
materializes the learning process by subsequently training the
RBMs creating its structure. Structure of DBM is indicated in
the Figure 6. It is formed of numerous hidden layers. Next
possibility of each hidden layer for the data of which entry
data is given. Weight of subsequent RBMs are found from
hidden activities [14]. This possibility distribution is
calculated as in Equality 2 [16].
____________________________________________________________________________________________________________
78
_____________________________________________________________________________________________________________
TABLE I
ATTRIBUTES OF USED DATABASES
Success rates of speech samples obtained utilizing LPCC
Number of speaker
different feature vectors are given for Boltzmann Machines
Age Range and Deep Belief Networks in the Table 4. Success in the
Male Female speaker identification increases as the number of words used
increases in all techniques employed. Deep Belief Network
18-25 range speakers 15 19 gave more successful results when compared to Boltzmann
26-40 range speakers 23 26 Machines.
41 and more speakers 12 15
TABLE IV
SUCCESS IN CLASSIFICATION FOR LPCC
Feature vectors of voice components with different
quantities; have been extracted by means of MFDWC, MFCC
3 5 9
and LPCC feature extraction method. Voice samples have Feature
been tested by training them, using available feature vectors vectors/ Male Female Male Female Male Female
by means of Boltzmann Machines and Deep Belief Networks Methods
methods. used
Success rates of speech samples obtained utilizing MFDWC Boltzmann 93.27 94.84 95.61 94.38 98.83 97.62
different feature vectors are given for Boltzmann Machines Machines
and Deep Belief Networks in the Table 2. Success in the Deep 96.71 93.62 97.65 96.05 99.62 99.17
speaker identification increases as the number of words used Belief
increases in all techniques employed. Deep Belief Network Networks
gave more successful results when compared to Boltzmann
Machines.
Success rates of speech samples obtained employing
TABLE II MFDWC, MFCC and LPCC feature vector. Success rates of
SUCCESS IN CLASSIFICATION FOR MFDWC speech samples obtained employing 9 feature vector, for all
feature extraction techniques.
3 5 9 A unique and genuine German language database has been
Feature employed in this study. Names, family names, ages, speeches
vectors/ Male Female Male Female Male Female and genders of the persons were added to this database.
Methods
Feature vectors of voice components with different quantities;
used
Boltzmann 87.62 82.15 74.62 70.82 79.62 76.21
have been extracted by means of MFDWC, MFCC and LPCC
Machines feature extraction method. Voice samples have been tested by
Deep 85.03 83.72 56.75 84.62 87.56 81.62 training them, using available feature vectors by means of
Belief Deep Belief Networks and Boltzmann Machines. In the
Networks testing phase it was determined successfull classification
techniques as male or female by available testing example. It
Success rates of speech samples obtained utilizing MFCC has also presented and compared by calculating the success of
different feature vectors are given for Boltzmann Machines any method used.
and Deep Belief Networks in the Table 3. Success in the
speaker identification increases as the number of words used V. CONCLUSION
increases in all techniques employed. Deep Belief Network
gave more successful results when compared to Boltzmann Voice recognition plays an important role in our day due to
Machines. security and many other reasons. Person and speaker
identification systems have been developed, being based on an
TABLE III unique database obtained by utilizing German language in this
SUCCESS IN CLASSIFICATION FOR MFCC study. Classification success of the methods employed in the
study have been calculated separately for men and women,
3 5 9 and results are demonstrated in a comparative manner. Deep
Feature
vectors/ Male Female Male Female Male Female
Belief Networks provided more successful results compared
Methods to the Boltzmann Machines when the results are taken into
used consideration. Speaker recognition system is more successful
Boltzmann 90.87 91.72 94.67 93.21 97.85 96.94 for men compared to the women. 9 feature extraction is more
Machines successful compared to the results obtained utilizing for all
Deep 94.67 90.86 95.65 95.39 99.91 98.78 other feature extraction techniques.
Belief
Networks
____________________________________________________________________________________________________________
79
_____________________________________________________________________________________________________________
REFERENCES The Journal of the Acoustical Societct of America, vol.104, no.1,

p.505-510, 1998.
[1] Douglas, Reynold , Walter, Andrews and Joseph, Campbell etc., “The [9] Seok, Oh and Ching, Suen, “A class-modular feed forward neural
SuperSID Project: Exploiting High-Level Information for High- network for handwriting recognition”, Pattern Recognition, vol.35,
Accuracy Speaker Recognition”, In.Proc. ICASSP, Hong Kong, p.784- issue 1, p.229-244, 2002.
787, 2003. [10] Wouter, Gevaert , Georgi, Tsenov and Valeri, Mladenov, “Neural
[2] Douglas, Reynolds , Thomas, Quatieri and Robert, Dunn, “Speaker networks used for speech recognition”, Journal of Automatic
Vrification using Adapted Gaussian Mixture Models”, Digital Signal Control,vol.20,p.1-7,2010.
Processing 10, p.19-41, 2000. [11] Lindasalwa Muda, Mumtaj Begam and I. Elamvazuthi, “ Voice
[3] Edmondo, Trentin and Marko, Gori, “A survey of hybrid ANN/HMM Recognition Algorithms using Mel Frequency Cepstral Coefficient
models for automatic speech recognition”, Elsevier Neurocomputing (MFCC) and Dynamic Time Warping (DTW) Techniques”, Jornal of
37, p.91-126, 2001. Computing, vol.2, issue 3, p.138-143, ISSN 2151-9617, 2010.
[4] Keiichi, Tokuda , Heiga, Zen and Alan, Black, “An HMM-Based [12] M.Zbancioc and M.Costin, “Using Neural Networks and LPCC to
Speech Synthesis System Applied to English”, Proc.of 2002 IEEE Improve Speech Recognition”, International Symposium on Signals,
SSW, p.227-230, 2012. Circuits and Systems, vol.2, pp.445-448, 2003.
[5] Lihang, Li, Dongqing, Chen and Sarang, Lakare etc, “Image [13] O.Eray, “Destek Vektmr Makineleri ile Ses Tanıma Uygulaması”,
segmentation approach to extract colon lümen through colonic material Pamukkale Üniversitesi, 2008.
taggng and hidden markov random field model for virtual [14] A.Mohamed, T.Sainath and G.Dahl, “Deep Belief Networks Using
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Algorithms using Mel Frequency Cepstral Coefficient (MFCC) and 2011, 2011.
Dynamic Time Warping (DTW) Techniques”, Journal Computing, [15] ,G. E. Hinton., ,S. Osindero, and ,Y. Teh, “ AFast Learning
vol.2, issue 3,p.138-143, ISBN 2151-9617, 2010. Algorithm For Deep Belief Nets”, Neural Computation,vol. 18, 2006.
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“Importance of tonal envelope cues in Chinese speech recognition”,
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A Soft-configured Management System for

Microcontroller Training Kits
Mustafa DARKA*, Yılmaz KORKMAZ+, Ahmet Turan OZCERIT#
*
Gazi University Science Institute, Ankara, Turkey
mustafadarka@mynet.com
+
Gazi University, Technology Faculty, Ankara, Turkey
ykorkmaz@gazi.edu.tr
#
Sakarya University, Computer and Information Sciences Faculty, Sakarya, Turkey
aozcerit@.sakarya.edu.tr
Abstract— There are many microcontroller training kits are companies were emerged to market the educational kits for
available on the market. Most of them are equipped with DIP- institutions that have short budgets. Since then, several types
switched circuit connections that are configured mostly by of experimental kits have been marketed by different
students during the experiments. Intensive use of DIP-switch producers with diverse elements and components.
sockets, cables, and materials on the experimental kits leads to
Almost all experimental kits have sockets and cable pairs
circuit breaks and faulty connections easily. Therefore, many
institutions face undesired hurdles in maintenance and repairing for the connection of the desired experiment. Since each
procedures even though they have skilled technicians or experiment has different connection setup, the users must
instructors. configure all cables and connectors on the board before the
In this paper, we have designed and implemented a software- test run. This procedure should be done with great care and in
configured microcontroller training set to overcome adverse a proper manner. Despite diligent operations, the user can
conditions originated by conventional microcontroller kits such harm the sockets and cables during the insertion or remove
as time-consuming maintenance procedures and circuit faults procedures because of the mechanical forces. In addition, the
caused by improper configurations. In doing so, an analog switch user can connect the ports in the wrong way inadvertently.
matrix board has been designed to perform connections between
The potential problems mentioned can increase the time and
the microcontroller port pins and external peripherals. The
system eliminates the possibility of the user errors or electrical maintenance cost dramatically along with reduced level of
faults caused by improper wiring along with mechanical availability of the kits.
damages caused by forceful interventions. Hence, the students In the literature, there are many approaches to ease the
can concentrate on the technical aspects of the experiment other laboratory burdens. For example, an educational kit has been
than mechanical inconveniences. designed to configure the program of the microcontroller and
The software designed, which manages an analog matrix switch port connections in a straightforward fashion. The educational
board, has many scenarios and configuration files for each kit also incorporates a software interface to ease the procedure
experiment. The students decide the type of the experiment and of the experiments [1].
he/she configures both the microcontroller and the CPLD using
Another paper presents a microcontroller training set which
software interfaces provided. The CPLD configuration file is
fixed for each scenario but the microcontroller hex file must be is also supported by training sets and video courses along with
developed by the students. The CPLD and the 8051 development a virtual laboratory [2].
board are connected to the computer via a USB 2.0 port. In a master thesis, which is the origin of this study, an 8051
based microcontroller training kit and its peripheral modules
are connected each other with a matrix switch configured by a
Keywords— Microcontroller, Training Set, Experiments, CPLD,
CPLD. In that study, there is no software interface used to
Matrix Switches
configure both CPLD and microcontroller devices
I. INTRODUCTION respectively. However, the user must configure both the
microcontroller and CPLD boards manually using software
Since the time microprocessors and microcontrollers
tools provided by manufacturers [3].
courses first appeared at the universities and colleges, there
An 8-bit Motorola 68HC11 microcontroller training kit
has been always a strong demand for experimental sets to
employed with RS-232 serial communication has been
comprehend the backgrounds of the subject. Emerging
designed. The connections for each experiment are performed
technologies like flash programming, high-level language
by on-board DIP-switches and the hex code files are
compilers, and simulation tools increase the number of
downloaded into the chip through RS-232 protocol [4].
candidates who are willing to develop embedded systems. At
Virtual platforms used in embedded systems training are
the same time, many companies promote their chips and
examined and it is claimed that students prefer virtual
education or training kits to draw the attention of the
environments rather than hardware based platforms since they
engineers from the world. Initially, the price of the kits was
are considered more efficient compared to conventional
too high for educational institutions. So, many local
approaches [5].
____________________________________________________________________________________________________________
81
_____________________________________________________________________________________________________________
An MC68C11/12 based experiment kit has been designed controlled by 2-bit selection signals (IN1, IN2) provided by
for engineering laboratories. The system includes only CPLD outputs as shown in Fig. 2. In fact, the microcontroller
hardware based components and modules [6]. has four port sockets deployed with 10-pin IDC headers,
An MC68000 microprocessor based standalone educational however, in each port header two extra pins are used for
board has been designed. The board incorporates keypad, power pins i.e. GND and VDD. So, there is no need to
LEDs, LCD, DIP switches, 7-segment display, DC motor and redistribute those power pins and they are shared with all ports
a couple of I/O peripherals. All hardware connections are by default.
implemented by DIP-switches and cables [7].
A microcontroller (ATmega128) processor based The software interface developed incorporates following
educational kit, which is targeted for bachelor engineering features:
students, has been examined. Again, entire hardware
connections are implemented by DIP-switches and cables [8].  All configuration procedures have visual icons
In another study, a PIC 16F84 based training program and  Experiment selection by the user
an accompanying experimental set have been designed.  HEX file selection and experiment setup facilities
Programme includes some experiments related to basic  The circuit schematic of the experiment is loaded on
operations for target microcontroller [9]. the screen when an experiment is selected.
 ‘Status’ pane shows the procedures step by step to
In this paper, we propose a new design and test inform the user
environment used in microcontroller training to eliminate the  ‘Experiment summary’ pane informs the user on the
drawbacks originated from conventional microcontroller details of the experiment such as port routing
experimental kits. The method includes a matrix switch circuit schemes and the materials used
and a user interface to configure the experimental kit within a
couple of seconds without mechanical or physical
interventions.
II. SYSTEM ARCHITECTURE

The system architecture is consist of 4 main modules as seen
in Fig.1:
 The PC and accompanying software
 An 8051-based microcontroller kit
 A Matrix switchboard
 Various experimental modules
Fig. 1 General system block diagram
Low impedance analog switches, which are types of SP3T

(Single pole, three throw-TS5A3359), connect 8-bit
microcontroller ports to various peripheral experimental
modules such as display modules, keypads and etc. We have
used 32 (4x8) analog switches in the whole system. The
switches have 1x3 multiplexer behaviour. Thus, any port of
the target microcontroller can be redistributed to one of three Fig. 2 Analog matrix switch block diagram
testing ports. In order to redistribute each bit of the port of the The user can either select regular experiments or user-defined
microcontroller, 8 analog switches are required and they are experiments by clicking tabbed windows on demand as
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demonstrated in Fig. 3. In the user-defined mode, many types REFERENCES

of peripherals such as LCDs, LEDs, and Dip-switches can be [1] Dimanalata, Lenmor L. et al. PC- Based Microcontroller Programmer
selected and all wiring procedures are done by the user and Training Kit. Rosario, Philippines: lenmorld.files.wordpress.com,
directives. 2012.
[2] Balid, W., Abdulwahed, M. Development of an educationally oriented
open-source embedded systems laboratory kit: a hybrid hands-on and
virtual experimentation approach. International Journal of Electrical
Engineering Education, 51(4), pp.340-353, 2014
[3] S. Bakırcılar, The design and implementation of Programmable CPLD
based smart microcontroller educatıon set, Master’s Thesis, Sakarya
University Science Institute, Sakarya, 2012
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Embedded Systems Laboratory, 32nd ASEE/IEEE Frontiers in
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[5] H. Lim, H. Yu, T. Suh, Using Virtual Platform in Embedded System
Education, Computer Applications in Engineering Education, Vol. 20,
Issue 2, pp. 346-355, 2012
[6] T. Stoltz, M. Paulik, N. Al-Holou, A Microcontroller Laboratory
Hardware Platform for the Academic Environment: The UDM-EVB,
35th ASEE/IEEE Frontiers in Education Conference, October 19 – 22,
2005, Indianapolis
[7] P. X. Heng,. MC68000 Microprocessor Stand Alone Educational
Board, Master's Thesis, Malaysia Faculty of Electrical and Electronics
Engineering, Pahang, June 2012
[8] Y. Li, Teaching Embedded Systems Using a Modular-Approach
Microcontroller Training Kit, World Transactions on Engineering and
Fig. 3. The User Interface Technology Education, Vol. 6, No.1, 2007
[9] H. Şerbetçi, PIC 16F84 Microcontroller Education Program and
Educational Kit Design for Electrical Department Students in
III. HEX FILE AND CONFIGURATION FILE SELECTION Vocational High Schools” Master’s Thesis, Gazi University Science
If the user selects a user defined experiment, the hex code Institute, 2005, Ankara
of the experiment and C or assembly source code of the
experiment must be provided by the user. Having compiled
and produced the hex code by any development tool, the
‘open’ button must be clicked to select intended hex file. After
hex file selection, ‘Prepare Experiment” button is clicked and
this step causes two consecutive procedures performed: the
background worker programs namely Flip.exe and impact.exe
are executed respectively. While Flip.exe configures the target
microcontroller using the hex file provided, impact.exe
configures the CPLD using a jedec file generated for the
intended experiment architecture.
When a regular experiment is intended, any desired
experiment listed in the pane is selected by clicking the
corresponding radio button. The rest of the configuration
procedures are performed automatically without the
intervention of the user.
IV. CONCLUSIONS
In this paper, we have designed and implemented a user-
friendly, low cost and low maintainability laboratory kit used
in embedded systems classes. The system includes hardware
and software modules and enables students to focus on
programming of the embedded system and its modules other
than the hardware connection burdens. Since there is no
student intervention on the experiment kits, the risk of the
mechanical failures or breaks. The system also provides time
advantages, thereby promising more experimental
opportunities for the students. The system has been tested with
a limited number of modules and it would be better if the
number of modules is increased.
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Comparison of Image Rotation And Filtering

Operations In Terms of Image Quality Factors
Kutlucan Gorur*, Ozdemir Cetin+, M.Recep Bozkurt#, Feyzullah Temurtas*
*
Bozok University Electrical-Electronics Engineering Department
+
Sakarya University Technology Faculty Electrical-Electronics Engineering Department
#
Sakarya University Electrical-Electronics Engineering Department
kutlucan.gorur@bozok.edu.tr
ocetin@.sakarya.edu.tr
mbozkurt@sakarya.edu.tr
feyzullah.temurtas@bozok.edu.tr
Yozgat-Turkey
Sakarya-Turkey
Abstract— In this study, research was carried out in order to Calculating a new pixel value of each pixel which is known
compare the effects of basic imaging applications such as image as interpolation during image rotating application is an
rotation and image filtering on a noisy image and determine important operation. For this application, bilinear, bicubic,
whether image rotating application can be used instead of nearest interpolation methods were developed in the Matlab
image filtering application. In the study, it was aimed to environment and put into practice [8].
compare bilinear, bicubic and nearest methods, among The comparison of image rotating operation and the
commonly used interpolation methods of image rotating, with mentioned interpolation methods noise elimination based on
average, wiener and median filters, which are the linear filters
image rotating process idea and implementation with the
among image filtering methods, in terms of image quality factors.
PSNR (Peak to Signal Noise Ratio), MSE (Mean Square Error), mentioned filtering methods was a fundamental aim of this
SSIM (Structural Similarity Index) were determined as quality study [8].
factors to be used in the study, and the processed image was a The measurability and comparability of an application
baboon image, an 8-bit gray-scale image of 512*512 dimension performed are important in terms of science. Therefore,
that is the most common image used in image processing. image quality factors are important in image processing
applications in order to obtain the measurements of the
Keywords— Image rotating, Image filtering, PSNR, MSE,SSIM original image and the image obtained after the performed
operation [9].
I. INTRODUCTION II. METHOD
The noise which is one of the most common encountered A. Image And Noise Filtering
problems in image processing operations consists of noises The basic logic of the median filter algorithm that is one of
such as photon shot noise, dark current noise, read noise, the filters used in this study is realized by a mask and
quantization noise [1]. These noises can occur within the making ascending and descending order of the pixel values
digital systems due to the reasons such as data transmission within the neighborhood of this mask and appointing the
and data storage. The random noises such as Gaussian Noise mean value to the center pixel value of the mask determined
and Salt&Paper Noise which are the most commonly used [4].
images to model these noises and create algorithms based on The second filter used in this study is called average filter
this can be created in software environment[1]. and is one of the most basic linear and spatial filters. The
The filtering technique which is one of the most frequently average filter is found by taking the arithmetic average of the
used methods to eliminate noises on the image is divided into sum of pixel values in the whole neighborhood of a mask with
two: linear, non-linear and spatial-frequency domain filters a certain neighborhood [5].
[2,3].Linear filters are generally defined as low-pass filters, Another filter used in this study was determined as the
create blurring on the image and smooth the image while wiener filter, and the use of the mentioned filter structure was
nonlinear filters make the noise filtering process by preserving realized in the Matlab environment and is currently used in
the edge information defined as a high frequency [3]. academic studies [6].
Average filter and wiener filter from linear filters and median B. Image Rotating
filter from non-linear filters were used in this study [4, 5, 6]. The methods used in image rotating operation were realized
Image rotating operation is one of the most frequently used by using the available Matlab functions. The relevant methods
applications in program-based and real-time processing in are bilinear, bicubic, nearest interpolation methods. The
image processing applications [7]. comparison of image rotating operation with image filtering
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operation through interpolation methods was studied in the

literature, and various image rotating algorithms were
observed to have given good results [10,8].
C. Image Quality Factors

Image quality factors are calculated with the relational
mathematical functions of the operations performed on images
by taking the original image as reference[9]. These were
determined as PSNR (Peak to Signal Noise Ratio), MSE
(Mean Square Error) and SSIM (Structural Similarity Index).
The mathematical expressions of PSNR, MSE, and SSIM,
among the relevant quality factors, are as follows [9].
Taking M*N as the image, 8-bit-gray-scale can be
calculated in the f reference image with the same values and Fig.2 The baboon image to which zero-padding processing was applied
in the g test-processed image[9] as follows:
Similarly, mathematical expressions related to SSIM are as

follows:
“1” represents lighting, “c” represents contrast, and “s”

represents correlation. The SSIM factor represents a value
within the range of (0-1). The closer the image value is to the
reference image, the closer SSIM value is to 1 [9]. Again, the
higher PSNR value is, the closer image to the reference image
is obtained, and it takes values between (0-99) [9]. Fig.3 The baboon image to which zero-padding and Salt&Pepper noise
The farther the MSE quality factor is to the reference image, adding processing were applied and which was rotated with 20-degree angle
of rotation
the higher value MSE takes [9].
The values in this study and their results are shown in the The PSNR, MSE, SSIM values of the angular changes on the
figures and charts in the following section. image to which no noise was added in this study are shown
in Figure-4, 5 and 6.
III. EXPERIMENT AND RESULTS
The results obtained in this study were obtained as follows in
the form of charts and graphs.
Fig.4 Unnoised Baboon Image and 45 degree rotation with PSNR
Fig.1 512*512 Gray-scale 8-bit baboon image.

Baboon image which is frequently used in image processing
studies is shown in Fig.1. Again, zero-padding processing was
performed for image rotating operation performed by acquir-
ing new dimensions on the same image, and a sample image
rotating of 20 degrees is shown in Fig.2 and Fig.3.
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Fig.8 Baboon Image 10 Degree Rotation and PSNR Value

Fig.5 Unnoised Baboon Image and 45 degree rotation with MSE
Fig.9 Filtered Baboon Image and PSNR Value

Fig.6 Unnoised Baboon Image and 45 degree rotation with SSIM
Again, the change in the noise density which was added to the
image in this study and the PSNR values of the relevant image
following the application of the median filter were obtained.
The results are shown in Fig.7.
Fig.10 Baboon Image 10 Degree Rotation and MSE Value
Fig.7 Baboon Image PSNR Value For Each Noise Density Value
However, the PSNR, MSE, SSIM values in the image to

which noise was added and which was rotated at the angles
determined in the image and the comparison of the PSNR,
MSE, SSIM values in the image of the same picture after
filtering through the Average-Wiener filter are shown in
Figure-8, 9, 10, 11,12,13.
Fig.11 Filtered Baboon Image and MSE Value
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bilinear method which is one of the interpolation methods

gave better results that the other methods.
REFERENCES
[1] P.Zhijun, T.Qingqiao, W.Lina, Z.Jun,”A Median Filter Method For
Image Noise Variance Estimation”, Second International Conference on
Information Technology and Computer Science, 2010
[2] Q.Xie and H.Chen ,”Image Denoising Based on Adaptive and
Multiframe Averaging Filtering”, International Conference on Artificial
Intelligence and Computational Intelligence,2009
[3] D.Fu-guo,”A Novel Fast Algorithm For Image Filtering Based on
Improved Sign Test Method”,978-1-4244-7330-4/10/2010 IEEE
[4] Y.Zhu, C.Huang , L. Zhai,”A Median Image Filtering Algorithm Based
on Statistical Histogram”, Fifth Conference on Measuring Technology and
Mechatronics Automation, 2013
Fig.12 Baboon Image 10 Degree Rotation and SSIM Value
[5] G.Mrityunjay , M.Srabani,”Cache Oblivious Algorithm of Average
Filtering in Image Processing”, IEEE/OSA/IAPR International Conference on
Informatics, Electronics&Vision,2012
[6] D.Manoj, K.Manoj, ”CT Image Noise Reduction Base on Adaptive
Wiener Filtering with Wavelet Packet Thresholding”, International
Conference on Parallel, Distributed and Grid Computing, 2014
[7] A.Amir Hossein,N.Md Jan , K.Seyed Mostafa Mousavi ,”Double Line
Image Rotation”, IEEE Transactions On Image Processing,Vol.24, No.
11,2015
[8] C.Huifang,W.Yi ,”A New Image Rotation Approach Using Radial Basis
Functions”, 8th International Congress on Image and Signal Processing,2015
[9] H.Alain, Djemel Ziou,”Image Quality Metrics PSNR vs.SSIM”,
International Conference on Pattern Recognition,2010
[10] S. M. Elshoura and D. B. Megherbi,”A New Estimation and Rotation
Algorithm”, International Symposium on Computer, Communication, Control
and Automation, 2010
Fig.13 Filtered Baboon Image and SSIM Value
IV. CONCLUSION AND RESULTS

In this study, as a result of the comparison made between
the interpolation methods realized in the image rotating
operation during obtaining the values shown in Figure-8-13
and the characteristics of the mentioned filters, it was
observed that the characteristics of the filters did not give
the expected good results in terms of image quality factors.
However, while the conclusion that increasing the values
determined as spatial filter masks gave similar results to
image rotating operation or it could be used instead of image
rotating was valid for the average filter, it was observed to
have given an exactly opposite characteristic for the wiener
filter. Furthermore, it was observed in the study that the
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Implementation of Mainly Used Edge Detection

Algorithms on FPGA
Yaser Icer*, Mustafa Turk+

*
Dicle University, Diyarbakır Technical Sciences Vocational School 21080 Diyarbakır, Turkey, yaser.icer@dicle.edu.tr
+
Fırat University, Department of Electrical and Electronic Engineering 23200 Elazığ, Turkey, mturk@firat.edu.tr
Abstract— Edge detection has important applications area in derivative method caller has provided a transition to zero [2].
image processing field. Today, it is a fact that the image processing Canny, the implementation of the operator derived from the
used in many fields. Therefore, the applicability of edge detection Gaussian mask derivative based proposed a method [3].
process in the field is also has great importance. In this study, Roberts is the first method used in image processing, Prewitt
mainly used edge detection algorithms in the literature; İe. Sobel,
and Sobel operators are an example to the most appropriate
Prewitt and Canny algorithms is provided using the verification
and inspection on FPGA (Field Programmable Gate Arrays). operators [4]. Because image processing and edge detection
Program files required for FPGA is prepared by Xilinx System processing speed for applications that require processing
Generator DSP blocks, which can work integrated with typically computer-based applications, DSP-based methods
Matlab/Simulink. For this study; gray format images, which is and FPGA's are used.
stored on the computer has been sent to FPGA with USB We can sort out some work done using image processing
configuration port interface on FPGA. Edge detection process is FPGA said. Chris and his friends for the detection of tumors in
realized by moving subject images from the computer with the the brain images taken by MRI device, brands have benefited
same connection to FPGA and then, Sobel, Prewitt and Canny from Xilinx FPGA development board. Implemented on FPGA
algorihms are applied to the images on FPGA respectively. Edge
determined the tumor site with different filters. Create a system
detection process for the same images are performed by Simulink
and FPGA bord at the same time and then, edge detected images in which they work in a way that is integrated with Matlab,
obtained from these two environment are compared and also it has compared to other systems available in the literature, 50% less
been observed on the FPGA resource usage. use of resources has been realized [5]. Rodriguez and
colleagues while running real-time median filter design on
FPGA, have created a system that enables visual identification
Keywords— FPGA (Field Programmable Gate Arrays), Sobel,
of errors in production centers [6]. Nelson, a team using
Prewitt, Canny, Matlab/Simulink and Xilinx System Generator,
DSP (Digital Signal Processing) different FPGA hardware produced by the master's thesis on
Xilinx and Altera company that performs morphological
operations and convolution processing, receives the results
I. INTRODUCTION were compared with the results produced by using MATLAB
[7]. Nana and her friends while improving the resolution of an
Today, with the development of image processing
image taken using DSP with FPGA hardware have gained a
technology it is also used quite a lot. Most of our lives
clearer picture. In this process; They used the Xilinx Spartan-3
intertwined with a technological structure is wrapped in an
FPGA hardware configuration of the image and they have
image processing device is configured on. The algorithms used
developed the resolution with DSP [8].
in this field of technology with the speed proportional manner
This article made a thorough research on the FPGA
are developing very rapidly. Work is done in many areas, I.e.;
programmable logic devices and technologies and the basic
Security systems, traffic warning systems, microscopy and
operators used in edge detection Sobel, Prewitt and Canny
medical imaging systems, making use of image processing
operator of the implementation on FPGA and is provided to be
techniques such as remote sensing systems.
examined. In this study, Matlab / Simulink and Xilinx System
One of the most important areas in the image processing is
Generator can run Xlinx integrated DSP blocks in Simulink and
an edge detection process. Edge detection is one of the most
Simulink blocks with the tool is used. Due to prepared system
important task of finding the image. Edges is the most
256*256 gray formatted images on computer sent to Simulink
important information in the image. Human visual system is
and FPGA at the same time and Sobel, Prewitt and Canny
based on the direct detection of edges [1]. To distinguish
operators were applied to the images. In prepared system, data
objects in the images, the display of details which can not be
transmission between computer and FPGA is provided with
noticed with the naked eye, in situations such as edge detection
USB configuration port. FPGA's need to work * .bit extension
algorithms to compare the two different patterns are used quite
program file has been created with the Xilinx System Generator.
extensively. Haralick, found that the gradient value using the
In practice, Spartan3E XC3S1600 belonging to the company
derivative value interpolation equation is found through applied
Xilinx FPGA device is used.
on pixels in the direction of the gradient on the second
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The following sections of this article consists of more than A. The First Derivative(Gradient) Based Methods
four sections. Scope of issues examined in this section are as Gradient based single variable is expressed as the first
follows: Section 2 in this article; edge detection, edge detection derivative of a function. This operation is a function which
methods and general information about the basic edge detection depends on two variables calculated by applying the process
operators are given. At Section 3; information about Xilinx according to the 1st derivative of each variable. As an image is
System Generator, which used for programming of FPGA expressed as a function of two changes, the necessary
board and Simulink DSP blocks are given. Section 4 in this information about the direction of the gradient edge angle as
article; implementation of Sobel, Prewitt and Canny edge can be seen by looking at the size gradient to be applied to the
detection operator on FPGA and Simulink side is explained in edges in an image display function will give us. f(x,y) as an
detail. Results and conclusion parts are shown in sections 5 and equation for an image display function, gradient magnitude and
6 respectively. gradient angle is calculated by equations below.
II. EDGE DETECTION AND OPERATORS ( ∆ , ) ( , )
lim
Visual system in humans is first trend detection edges in the ∆ → ∆
[ ( , )] = = = ( , ∆ ) ( , ) (1)
image of the object located on any image. This is because the lim
stationary location typically does not contain information. In an ∆ → ∆
image, the image improvement is of great importance how

important is the determination of the edges. Generally such = + , = tan (2)
high levels of image processing in the edge detection operators
are implemented as a precursor [9]. Different features Roberts, Sobel, Prewitt and Canny 1st derivative (gradient)
depending on optical and shape of an image leads to the based methods are the most well-known among operators.
formation of the edges. shape-based features in the appearance
of the edges; changes in the direction of surface texture or color, 1) Roberts Operator: Roberts’s operator on the image of a
object, borders, colors observed two objects sourced from the mask with a drizzle of 2x2 at every point allows for the
top are differences in the appearance and texture [10]. Edges calculation of the approximate gradient vector. The magnitude
which some of their optical properties are; the direct reflection of the gradient vectors is calculated, it is placed on the edges of
light, shadows caused from a part of the same object or other a pixel matrix of image size designated image can be obtained.
objects, reflections arising from the intermediate part of the Gradient operation on the image convolution operation result
same object or other objects, texture or color variation [11]. is calculated using two different masks image horizontally and
One of the most efficient methods to detect edges in the vertically. The result of using the first derivative of the
image that exists is to identify instant gray value changes on the convolution equation gives two masks, which is given below.
image. One of the main approaches used by many edge
detection method which involves calculating the derivative
locally. In the first derivative of the edges of the image locally 1 0 0 −1
= , = (3)
reached the highest value, while the second derivative image in 0 −1 1 0
the edge of regional zero. 1st and 2nd derivatives are calculated
for the image as a result of this, a local maximum and edges 2) Sobel Operator: Another fundamental edge detection
with the zero crossing points for the examination of the image operator is Sobel. This provides operators with the direction to
is determined. Fig. 1 shows derivative values of image function make an efficient assessment as more independent gradient
at edge points. calculation based on more extensive use operators like Robert
[12]. The basic idea underlying the creation of Sobel operator
edge can be explained as follows. The total value of the gradient
of a digital image to 3x3 neighbourhood center and 4 formed in
the direction vector is based on a function that is considered.
Sobel horizontal and vertical masks are given below.
−1 0 1 1 2 1
= −2 0 2 , = 0 0 0 (4)
−1 0 1 −1 −2 −1
3) Prewitt Operator: Prewitt edge operator is an operator that

calculates the gradient vector at each point on the image pixels.
Found the gradient vector magnitude edge image that made
improvements, while the direction of the gradient vector gives
the edge direction [13]. Prewitt operator edge gradient values
using the two different masks in horizontal and vertical pixel
on the image is calculated by convolution operation. The masks
Fig. 1 Derivative of edge transition of edge points are used during this process include using difference equations
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of the first derivative. Prewitt horizontal and vertical masks are

are printed below the lower threshold pixel density. Edge pixel
given below. value between the low and high threshold in case the edges of
the pixels are "weak" as classified.
−1 0 1 −1 −1 −1 After double thresholding process the pixels, which are
= −1 0 1 , = 0 0 0 (5) classified “strong” as determined edge pixels precisely. If the
−1 0 1 1 1 1 pixels, which outside of that and classified “weak” is
neighbourhood of “strong” pixels remain otherwise value of
4) Canny Algorithm: Canny has been working for optimum them became zero.
edge detection algorithm [3]. Determining this algorithm has B. The Second Derivative(Laplacian) Based Methods
been designed to provide the following features:
In this method when we take the first derivative of image
function, at the edge points value of derivative become
 Developing a great possibility that when
maximum and minimum. After this we take second derivative
determining the value of the algorithm places where
and it will give us edge pixels at zero values of image function.
the edges, the edges are not able to determine
Noise sensitivity of this method is higher than the first
locations with a small probability value.
derivative method. Marr-Hildreth(LoG) operator is well known
 To be defined edges should be on the edge to be the
operator for the second derivative based methods [1].
closest to real edge.
 Real edge should be detected only once. 1) Marr-Hildreth(LoG) Operator: Marr and Hildreth applying
Laplace filter to image the function passed through the filter
Canny edge detection algorithm work consists of five steps. Gaussian filters were developed in 1980, allows the presence of
These steps are as follows, respectively: edges on the image. High frequency noise on the image
cleaning with a Gaussian filter operation, and applying Laplace
 Smoothing filter by taken second derivative of image function gives edge
 Gradient Calculation detection of image. Equations given below is about Laplacian
 Non-maximum Suppression and Gaussian of image function respectively.
 Double Thresholding
 Edge Tracking with Hysteresis ℎ( , ) = ∇ [ ( , ) ∗ ( , )] = [∇ ( , )] ∗ ( , ) (8)
All of the amount of noise present in the images obtained by ( )
the camera is inevitable. During the edge detection process on ∇ ( , )= . (9)

the noise image to image will cause errors need to be cleaned
out. In order to cleaning Gaussian filter is applied to the image. III. PROGRAMMING FPGA WITH XSG
This process is for smoothing and equations given below is for Xilinx System Generator (XSG) is produced by the Xilinx
Gaussian filter. DSP design tool. This software tool MATLAB model-based
design environment that enables the use of Simulink for FPGA.
≡ exp − (6) System Generator using the design is carried out using hosts
Xilinx special design blocks in DSP functions in Simulink.
FPGA program file that is necessary for creating synthesis and
2 4 5 4 2
⎡4 9 placement/ routing steps are automatically executed in this
12 9 4⎤
⎢ ⎥ environment.
= . ⎢5 12 15 12 5⎥ (7)
System Generator is working according to the Simulink
⎢4 9 12 9 4⎥ model-based design methods. Usually, executable functions are
⎣2 4 5 4 2⎦ created using standard Simulink blocks. This feature of System
For calculation of gradient magnitude and gradient angle Generator is designed using floating point number system
Sobel filter are applied to the images and equation (2) is used. without function hardware details. System Generator uses the
The main objective of making the process non-maximum Xilinx DSP blocks in Simulink and automatically run to
suppression is sharpen the edge of the image with a blurred perform the core functions of a high degree of conformity of
gradient magnitude. This process is mainly performed by the connection required for the DSP blocks.
making all pixel values of the non-local maximum points in the The Xilinx DSP block are accessed through the library
gradient image to zero. operated with Matlab Simulink tool. Blocks can be made easily
After non-maximum suppression process some of pixel for the search process is divided into sub-categories. "Index" is
values is not real edge pixels due to noise and color variation. keeping all blocks and sub-categories shortcuts to frequently
The aim of double thresholding is elimination of these pixels. used blocks, offers ease of use possibilities. DSP building
Canny edge detection algorithm uses two threshold, including blocks over 90 in the System Generator to design a DSP system
high and low thresholds. Edge pixel density greater than high is located. System Generator DSP blocks are located in
threshold pixels that "strong" as classifying edge pixels which Matlab/Simulink and its image windows is given in Fig. 2.
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“Image from File” block converts image data to M by N

matrix format, “Resize” block changes image matrix size (in
this study it is 256*256), “Convert 2D to 1D” block converts
two dimension matrix image data to one dimension, “Frame
Conversion” block converts one dimension image data to frame
by frame serial data, and “Unbuffer” block converts coming
data to digital samples with high sampling rate.
B. Image Post-Processing
FPGA card with “Gateway Out” block of the output block to
output data series because it is in digital format and can be
monitored on a digital display that data in a serial format and
the image data is converted to two-dimensional image format.
Simulink blocks used in image post-processing phase is given
in Fig. 5.
Fig. 2 System Generator DSP blocks in Matlab/Simulink
System Generator works with standard Simulink models.

“Gateway In” and “Gateway Out” is defined as two blocks in Fig. 5 Image post-processing blocks
Simulink simulation model and they define the input and output “Data Type Conversion” block converts digital data to 8 bit
of the FPGA device is used. "Gateway In" block, converting unsigned integer format, “Buffer” block converts digital data to
floating point to fixed-point number type. "Gateway Out" is one dimensional serial data with low sampling rate, “Convert
transforming the FPGA block out the double-precision number 1D to 2D” block converts one dimensional image data to two
type. After FPGAs limits determined by the gateway blocks, dimensional image matrix, and “Image Viewer” shows two
DSP designs using the Xilinx DSP block can be realized. dimensional image matrix as an image.
Standard Simulink blocks is not used between the “Gateway In”
C. Hardware and Software Implementation
and “Gateway Out” blocks.
Hardware implementation is realised by using XSG block,
IV. PROPOSED DESIGN AND IMPLEMENTATION which can be used for creating FPGA equivalent block on
The implementation of edge detection algorithms on FPGA Simulink side. Software implementation is realised by using
realized in three steps, which are image pre-processing, image Xilinx DSP blocks on Simulink. Both hardware and software
post-processing and edge detection with XSG. Addition to this, implementation is run at the same time on Simulink and FPGA.
hardware implementation is realized by using XSG for Fig. 6 shows hardware and software realisation of proposed
preparation of programming file (*.bit) for FPGA. Fig. 3 shows design.
system diagram for implementation of edge detection
algorithms on FPGA.
Edge Detection with
Image Pre-Processing Image Post-Processing
XSG
Fig. 3 System diagram for edge detection algorithms
A. Image Pre-Processing
During this process the data entry format of the “Gateway In”
the blog entry block for FPGA card in gray format image on a
computer and converted into serial digital data format. Fig. 6 Hardware and software realisation of proposed design
Simulink blocks used in image pre-processing steps are given
in Fig. 4. D. Edge Detection with XSG
In order to implementation of edge detection on FPGA, XSG
DSP blocks on Simulink is used. For implementation of Sobel
operator, gradient calculation and thresholding operation is
done XSG DSP blocks, which is shown in Fig. 7 and Fig. 8
respectively. Gradient calculation blocks give the convolution
Fig. 4 Image pre-processing blocks of Sobel mask coefficient with original image pixels and
thresholding blocks give the binary edge detected image with
respect to a threshold value.
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Implementation of Prewitt operator is done same as Sobel Finally, double thresholding is applied to image pixels and
operator. Because only the convolution coefficient of Prewitt binary edge detected image is obtained. Double thresholding
mask is different from Sobel operator. XSG blocks are shown in Fig. 11.
Fig. 11 Double thresholding blocks for XSG

Fig. 7 Gradient calculation blocks
V. RESULTS
The proposed work is implemented by using Matlab and
XSG (Xilinx System Generator) simulink blocksets. This
method has been tested on some standard test image like
'Cameraman'. Fig. 12 shows edge detected images, which are
detected by Matlab/Simulink and FPGA board for Sobel,
Prewitt and Canny algorithms.
Fig. 8 Thresholding blocks
For implementation of Canny algorithm; first of all, Gauss

filter is used to remove noise from original image. Fig. 9 shows
Gauss filter blocks for XSG.
(a)
Fig. 9 Gauss filter blocks for XSG
After that, Sobel operator is applied to image pixels for gradient

magnitude and gradient angle calculation. And then, NMS
(non-maximum suppression) is applied to image pixels, which
is shown in Fig. 10.
(b) (c)
Fig. 10 NMS blocks for XSG (d) (e)
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The performance of edge detected image is analysed by

using Mean Squared Error (MSE) and Peak Signal to Noise
Ratio (PSNR). Equation (10) and (11) show calculation of MSE
and PSNR respectively.
∑ , [ ( , ) ( , )]
= (10)
∗
= 10 log (11)
(f) (g)
For MSE value; I1 is pixel value of original image, I2 is pixel
Fig. 12 (a) Original image (b) Sobel Simulink result (c) Sobel FPGA value of edge detected image, M and N is horizontal and
result (d) Prewitt Simulink result (e) Prewitt FPGA result (f) Canny Simulink
result (g) Canny FPGA result vertical pixel size of original image. R is taken 255 in this work,
because original image data format is 8-bit unsigned integer.
FPGA resource usage of Sobel-Prewitt and Canny Table III shows quantitative results of MSE and PSNR values
algorithms on Spartan3E XC3S1600E is given Table I and for proposed works.
Table II respectively. Sobel and Prewitt resource usage is TABLE IIIII
given in one table, because they use the same resource usage QUANTITATIVE RESULTS OF MSE AND PSNR
on FPGA.
Algorithms / Platform MSE PSNR (dB)
TABLE I
FPGA RESOURCE USAGE FOR SOBEL OR PREWITT Simulink 29327.8 3.458
Sobel
FPGA 30149.5 3.338
Resource Utilization Summary (Sobel or Prewitt)
Simulink 31137.2 3.198
Resources Used Available Utilization Prewitt
FPGA 31345.8 3.169
Number of Slice Flip Flops 1,404 29,504 4%
Simulink 31447.1 3.155
Number of 4 input LUTs 2,201 29,504 7% Canny
FPGA 31497.8 3.148
Number of occupied Slices 1,401 14,752 9%
Total Number of 4 input LUTs 2,369 29,504 8% MSE gives mean square difference between original image
Number of bonded IOBs 17 250 6% pixel and edge detected image pixel. If this difference is high,
this means that similarity between images is low [14]. For edge
Number of BUFGMUXs 1 24 4%
detection process, high MSE means that edge detection
Number of MULT18X18SIOs 18 36 50% performance is better. Therefore low PSNR value gives better
TABLE III edge detection performance [15].
FPGA RESOURCE USAGE FOR CANNY
VI. CONCLUSION
Resource Utilization Summary (Canny) In this proposed work, edge detection algorithms used in
Resources Used Available Utilization literature is introduced. Implementation of Sobel, Prewitt and
Canny edge detection algorithms are done in Matlab/Simulink
Number of Slice Flip Flops 916 29,504 3% and FPGA board at the same time. When we look at the
Number of 4 input LUTs 603 29,504 2% resource usage on FPGA board, proposed designs used small
Number of occupied Slices 654 14,752 4% part of FPGA resources. If we analysis edge detection
performance due to Matlab/Simulink and FPGA platform, we
Total Number of 4 input LUTs 688 29,504 2% can see that MSE values of edge detected images from FPGA
Number of bonded IOBs 17 250 6% is greater than Simulink and therefore PSNR values of edge
Number of RAMB16s 13 20 65% detected images from FPGA is less than Simulink platform.
Because of this, results have shown edge detection performance
Number of BUFGMUXs 1 24 4% of FPGA is better than Matlab/Simulink. Another performance
Number of MULT18X18SIOs 5 36 14% investigation is that algorithms, which used for edge detection.
That is Prewitt operator gives better results than Sobel operator
The proposed designs use low resources on FPGA. Sobel due to edge detection performance because of its MSE and
and Prewitt resource usage is same value, because only their PSNR values. Canny algorithm has the best edge detection
convolution mask coefficient is different from each other. performance than Sobel and Prewitt operators. Because, it has
Resource usage of Canny algorithm is greater than Sobel or highest MSE and lowest PSNR values comparing with them.
Prewitt, because Canny algorithm includes more processing As a result, more complex system can be implemented on
steps from Sobel or Prewitt. FPGA, and advantages of edge detection implemented on
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FPGA is that; it is field programmable and economic for

design, it has flexible structure and parallel processing
capability.
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Investigating the Effects of Facial Regions to Age

Estimation
Asuman Günay*, Vasif V. Nabiyev+
*
Department of Computer Technologies, Trabzon Vocational School, Karadeniz Technical University, Trabzon, Turkey
gunaya@ktu.edu.tr
+
Department of Computer Engineering, Karadeniz Technical University, Trabzon, Turkey
vasif@ktu.edu.tr
Abstract— Aging process causes evident alterations on human estimation systems by using the facial regions emphasizing
facial appearance. Real world age progression on human face is the aging information is an important issue in this field.
personalized and related with many factors such as, genetics, In this paper we investigate the age estimation
living style, eating habits, facial expressions, climate etc. The performances of facial regions: eye, nose, mouth and chin,
wide degree of variations on facial appearance of different
cheek, sides of mouth. For this purpose we designed an age
individuals affects the age estimation performance. In
accordance with these facts discovering the aging information estimation system using the texture features of these facial
contained in facial regions is an important issue in automatic age regions to produce an estimate of the age of a subject. The
estimation. Thus the facial regions emphasizing the aging block diagram of the system is shown in Fig.1. In our method
information can be used for more accurate age estimation. In this the input images are normalized so that the shape variations
context, age estimation performances of facial regions (eye, nose, such as scale, head pose are eliminated and the facial texture
mouth and chin, cheeks and sides of mouth) are investigated in is aligned. Then Local Phase Quantization (LPQ) is used to
this paper. For this purpose, an age estimation method is extract holistic and spatial texture features from facial regions.
designed to produce an estimate of the age of a subject by using After feature extraction, dimensionality reduction is
the texture features extracted from facial regions. In this method
performed with Principal Component Analysis (PCA). Finally
the facial images are warped into the mean shape thus variations
of head pose and scale are eliminated and the texture an aging function is learned using Multiple Linear Regression
information of facial images are aligned. Then the holistic and (MLR) for age estimation. The feature extraction,
spatial texture features are extracted from facial regions using dimensionality reduction and aging function learning steps are
Local Phase Quantization (LPQ) texture descriptor, robust to performed separately for each of the facial regions to discover
blur, illumination and expression variations. After the low the amount of aging information contained in that region.
dimensional representation of these features, a linear aging
function is learned using multiple linear regression. In the
experiments FGNET and PAL databases are used to evaluate the
age estimation accuracies of facial regions i.e. eye, nose, mouth
and chin, cheek and sides of mouth, separately. The results have
shown that the eye region carries the most significant
information for age estimation. Also the mouth and chin, cheek
regions are effective in the prediction of age. The results also
have shown that, using the spatial texture features enhances the
discriminative power of the texture descriptor and thus increases
the estimation accuracy.
Keywords— Age estimation, Local Phase Quantization, Facial
Regions, Regression Fig. 1. System overview
I. INTRODUCTION The rest of the paper is organized as follows. A survey on
Age estimation is the process of estimating the age or age the age estimation methods are given in Section 2. The
group of an individual according to his/her facial information. proposed age estimation approach is explained in Section 3. In
During the aging process, evident alterations occur on human Section 4 the experimental results on various databases are
facial appearance. These variations are personalized and reported and analyzed. Finally, the conclusions are outlined in
affected by factors such as race, genetics, living conditions, Section 5.
eating habits, the frequency of facial expressions, etc. This
makes the age estimation problem much harder than other II. RELATED WORK
facial image processing problems. Therefore the accuracy of Age estimation systems generally consist of age image
the age estimation systems are insufficient, even the human representation and age estimation modules. The aim of age
skills about age estimation are limited. In this context, image representation module is to extract the shape or texture
discovering the amount of aging information contained in based features from facial images. Then classification
facial regions and thus improving the accuracy of age techniques are used to classify the facial images into multiple
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age groups or regression techniques are applied to estimate the the texture information is aligned. The result of warping
age of the subjects. process is given in Fig. 2-c. As the head poses of facial images
The age image representation techniques can be grouped varies, the warped images can be inclined, therefore rotation is
under five topics. The anthropometric models relays on the the last step in image normalization as shown in Fig.2-d.
facial geometry. In these models the distances and the ratios
of these distances are calculated using the fiducial points on
the facial images. As these geometrical features can only deal
with young ages, wrinkle features are used with geometric
features to strengthen the classification performance for older
ages [1-3]. Active Appearance Model (AAM) based age
(a) (b) (c) (d)
estimation methods incorporate shape and appearance
information together. For this reason AAM’s are frequently Fig. 2. Image normalization a) Facial image labeled with 68 landmark points
used in age estimation methods [4-6]. In some studies AAM b) Delaunay triangulation c) The image after warping into the mean shape d)
Rotated image
features are extracted as global facial features and fused with
local facial features for efficient age estimation [7]. In Aging B. Facial Regions
Pattern Subspace method, the sequence of an individual’s Investigating the aging information contained in facial
aging face images are used to model the aging process [8]. But regions is important for age estimation system’s design. In this
age manifold methods uses the images of different individuals way, the accuracies of age estimation systems can be
at different ages to learn the common aging pattern. They improved by using the facial regions emphasizing the aging
utilize manifold embedding techniques to discover the aging information. For this purpose the facial images are divided
trend in a low dimensional space [9, 10]. Appearance models into regions and the age estimation algorithm is applied to
are mainly focused on aging-related facial feature extraction these regions separately. In the study the age estimation
using various texture descriptors such as local binary patterns, performances of eye (19055), nose (5570), mouth and chin
Gabor filters, histograms of gradients etc. [7, 11-13].
(8570), cheek (6560) and side of mouth (4045) regions are
All the studies mentioned above generally uses the whole
determined. The facial regions used in the experiments are
face in feature extraction phases. Unfortunately the number of
shown in Fig. 3.
works examining the age estimation performances of facial
regions/parts is insufficient in the literature. Lanitis [14]
investigated the significance of facial parts in age estimation.
In the experiments, the age estimation performances of whole
(a)
face (including the hairline), internal face, upper part of the
face and lower part of the face are calculated. AAMs are used
to represent the shape and appearance of facial parts with
(b) (b)
model parameters. The results showed that the upper part of (c)
the face gives the minimum age estimation error than other
parts. El-Dib and Onsi [15] used bio-inspired features to
analyze the different facial parts: eye wrinkles (covering the (d) (d)
eyes and the area under the eyes), internal face and whole face. (e)
They built six support vector regression and one support
Fig. 3. Facial regions a) eye b) cheeks (left and right) c) nose d) side of mouth
vector machine model to estimate the age of a subject. Their
(left and right) e) mouth
results showed that the eye region covering the eyes and the
area under the eyes contains the most important aging features C. Feature Extraction with LPQ
when compared with others. LPQ is a blur insensitive texture descriptor based on the
blur invariance property of the Fourier phase spectrum [16]. In
III. PROPOSED METHOD
this method LPQ codes are computed in local image windows
A. Image Normalization using discrete Fourier transform (DFT) and the results are
In order to eliminate the shape variations such as head pose, presented as a histogram.
scale, size, etc. and to align the texture information, image The spatially invariant blurring of an image can be
normalization is applied on facial images. Image expressed by a convolution between the image and the point
normalization is performed by warping the facial images into spread function (PSF). In the frequency domain this is equal
the mean shape obtained from training set. The facial images to 𝐺(u) = 𝐹(u). 𝐻(u) , where 𝐺(u) , 𝐹(u) and 𝐻(u) are the
in the training set are labelled with 68 landmark points as DFTs of the blurred image, the original image and the PSF,
shown in Fig.2-a. Mean shape is obtained by taking the mean respectively. Considering the phase of the spectrum we have
of all coordinates of these points. Then all the images are ∠𝐺(u) = ∠𝐹(u) + ∠𝐻(u). If we assume that the blur PSF
warped into the mean shape using Delaunay triangulation as ℎ(x) is centrally symmetric, ℎ(x) = ℎ(−x) , its Fourier
shown in Fig. 2.-b and affine transformation, so the landmark transform is always real valued, 0 for ∠𝐻(u) ≥ 0 and 𝜋 for
points of all images are matched with the mean shape and also ∠𝐻(u) < 0. This means that ∠𝐺(u) = ∠𝐹(u) for all 𝐻(u) ≥
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0. In other words the phase of the observed image ∠𝐺(u) is E. Age Estimation
invariant to centrally symmetric blur, at the frequencies where After finding the low dimensional representation of features,
𝐻(u) is positive. the age estimation problem is recast as a multiple linear
If the NxN neighborhood around a pixel x is denoted as 𝒩𝑥 , regression as 𝐿 = 𝑌𝐵 + 𝑒 where 𝑌 is the data matrix, B is the
the two dimensional (2-D) DFT of 𝒩𝑥 is defined by, unknown parameter vector, L is the age label vector and e is
the error vector. In the learning phase the unknown parameters
𝑇y
𝐹(u, x) = ∑y∈ 𝒩𝑥 𝑓(x − y)𝑒 −𝑗2𝜋u = wu𝑇 fx (1) are estimated by means of least squares, or robust regression.
The regression function used in this study is a linear function
𝑇
where wu is the basis vector of the 2-D DFT at frequency u, given by 𝑙̂ = 𝛽̂0 + 𝛽̂1 𝑦 where 𝑙̂ is the estimate of age, 𝛽̂0 is
and fx is the vector containing all N2 pixels in 𝒩𝑥 . Only the the offset, 𝛽̂1 is the weight vector containing the coefficients
complex coefficients of u1=[a, 0]T, u2=[0, a]T, u3=[a, a]T, for each value in the feature vector and y is the low
u4=[a,−a]T are considered in LPQ. a is a scalar frequency dimensional representation of the extracted feature vector.
below the first zero crossing of 𝐻(u) that satisfies 𝐻(u) ≥ 0.
For each pixel position this results in a vector given by IV. EXPERIMENTS AND RESULTS
In this paper the FGNET and PAL databases are used to
Fx𝑐 = [𝐹(u1 , x), 𝐹(u2 , x), 𝐹(u3 , x), 𝐹(u4 , x)], (2) evaluate the age estimation performances of facial regions.
FG-NET database [17] is composed of 1,002 images that were
Fx = [Re{Fx𝑐 }, Im{Fx𝑐 }]𝑇 , (3) retrieved from real-life albums of 82 subjects, thus includes
variations of head pose, occlusion, illumination, facial
where Re{. } and Im{. } return real and imaginary parts of a expressions, etc. The age range in this database is 0-69 years,
complex number, respectively. Then Gx is computed for all but the images are not uniformly distributed according to the
image positions, i.e., x ∈ {x1, x2, . . . , xN}, and the resulting ages. This can be a disadvantage for the estimation accuracy.
vectors are quantized using a simple scalar quantizer, The PAL aging database [18] contains 580 images of
different persons taken under natural lighting conditions using
1, if 𝑔𝑗 ≥ 0 a digital camera. The images include various expressions such
𝑞𝑗 = { (4) as neutral faces, anger, sadness or smiling. The age
0, otherwise distribution of the images in this database is between 18 and
93 years old and also not uniform.
where 𝑔𝑗 is the jth component of Gx . The quantized The age estimation performance of the system is evaluated
coefficients are represented as integer values between 0-255 using n-fold cross validation method. In this method all the
using binary coding using (5), and the histogram of these samples are randomly partitioned into n equal sized
integer values is used as a feature vector. subsamples. Then one subsample is used as test set and n-1
subsamples are used as training set. This procedure is repeated
𝑏 = ∑8𝑗=1 𝑞𝑗 2𝑗−1 (5) n times until each of the subsamples are used once as a test set.
Then the average of all n estimations is considered as the
The LPQ texture descriptor represents the input image as a system performance. In our experiments we set n=3.
histogram of 256 bins. In this holistic representation, the The performance is measured using the Mean Absolute
histogram is produced without taking into account the spatial Error (MAE) metric given as,
information of the pixels. The discriminative power of the 𝑁
texture descriptor can be enhanced by using the spatial MAE = ∑𝑖=1
𝑡
|𝑙̂𝑖 − 𝑙𝑖 | /𝑁𝑡  
histograms. The spatial histograms are produced by
concatenating the local histograms extracted from small image where 𝑙̂𝑖 is the estimated age value of ith test sample, 𝑙𝑖 is the
blocks. real age value of ith test sample, and 𝑁𝑡 is the total number of
test samples.
D. Dimensionality Reduction In the experiments the age estimation performances of
In order to find a lower dimensional subspace of the facial regions are calculated using the features extracted with
extracted features and to obtain the significant features for age LPQ texture descriptor and regression. LPQ is performed on
estimation, dimensionality reduction is performed using PCA. 5 × 5 local image windows. The LPQ histograms are first
PCA method finds the embedding that maximizes the extracted from the whole facial region resulting the holistic
projected variance given by 𝑊𝑜𝑝𝑡 = arg max‖𝑊‖=1 𝑊 𝑇 𝑆𝑊 description of that region. Then the region is divided into
where 𝑆 = ∑𝑛𝑖=1(𝑥𝑖 − 𝑥̅ ) (𝑥𝑖 − 𝑥)𝑇 is the scatter matrix, 𝑥𝑖 is 𝑛 × 𝑛 blocks, LPQ histograms are extracted from each block
and concatenated to obtain the spatial description of the region.
ith feature vector with 𝑥𝑖 ∈ 𝑅𝐷 and 𝑥̅ is the mean of the feature
The spatial features are used to enhance the discriminative
vectors. By solving this problem, a set of 𝑑 ≤ 𝐷 eigenvectors
power of the texture descriptor. The spatial LPQ histograms
associated to the d largest eigenvalues of S is obtained. Then
are extracted for n=2, 3, 4, 5, 6 and age estimation is
dimensionality reduction is performed by projecting all
performed using these features. The effect of using the spatial
samples on the projection subspace using 𝑦𝑖 = 𝑊 𝑇 𝑥𝑖 with
texture features of facial regions for age estimation on
𝑦𝑖 ∈ 𝑅𝑑 . FGNET and PAL databases are given in Fig. 4. We can see
from the figure that the holistic feature representation is not
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encouraging and increasing the number of blocks in spatial by dividing the region into number of blocks, extracting
feature representation generally increases the estimation features from these blocks and concatenating them. The age
accuracy of the facial regions. estimation accuracies of the facial regions are evaluated
separately and the experiments on FGNET and PAL databases
have shown that the most of the aging information is
contained in the eye region. Moreover the age estimation
accuracy of the eye region is close to the whole face. As the
estimation of the whole face is better than the regions alone,
determining the weights of these regions in age estimation and
thus achieving better estimation accuracy is our future work.
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Detection of Rail Switch Passages Through Image

Processing on Railway Line and Use of Condition-
Monitoring Approach
Mehmet Karakose *, Orhan Yaman*, Erhan Akin*
*Computer Engineering Department
Firat University Elazig, Turkey
{mkarakose, orhanyaman, eakin }@.firat.edu.tr
Abstract— Today, railway transportation is one of the transport for this transportation. The switch has been developed for
modes commonly used. Compared to other transport modes, more than one train can use the same railway line. Trains can
railway traffic is highly critical. Multiple railway vehicles run change their direction, give way to another train or proceed to
constantly on one or two lines. Rail switch passages are used to the standby points at the station due to the switch system. The
prevent locomotives from colliding with one another and avoid
development of the switch system has made the railway line
traffic disruptions. Through switch passages, locomotives pass
from one line to another. Friction between rail and wheels on quite utilizable. Therefore, the switch system has a great
switch passages is considerably high. This friction leads to importance for the railway transportation. Excessive friction
failures on switch passages. Unless these failures are diagnosed and wear occur during switching [4]. Such undesirable
early and remedied, significant accidents emerge. situations lead to major wear on the rail in time. Major
In this study, a new approach based on image processing has accidents may occur in the event of failure in the early
been presented for detection of rail switch passages on railway diagnosis of these wears. The accidents that may occur can
lines. A test vehicle has been created in order to test the proposed cause loss of life and injury for passengers. However, the
approach and apply it on a real-time system. Railway line is railway line hinders the traffic for a while during the accident,
monitored by digital cameras fixed on this test vehicle. Image-
and major financial losses are formed. Today, the railway line
processing approach is developed on the real-time images
captured from the railway line and the switch passages on the is inspected at regular intervals, and the faults which may
line are detected. The image-processing approach consists of arise are diagnosed early. There are many literature studies
three main parts including pre-processing, feature extraction and related to switch system. Johansson et al. [5] conducted a
processing of the features obtained. At the pre-processing stage, study for the detection of the corrosion faults caused by
the basic image processing methods are used. At the feature friction and wear during switching. In the study, Switches &
extraction stage, Canny edge extraction algorithm is used and Crossings components are monitored. They modeled the
hence the edges in the image are detected. Hough transform contact of the wheel with the rail by simulation during
method is used at the stage of processing of the extracted switching. As a result of modeling, observation was made
features. Following Hough transform stage, straight lines and
according to the loads that may occur on the rails. Bocciolone
angles of these lines are obtained on the image. Taking into
account the angle of each straight line, the junction points of the et all.[6] proposed a signal processing-based method for the
lines are calculated. Thus, rail switch passage and switch types detection of the faults that occur on the rail surface. In the
are detected. The proposed image-processing approach is highly proposed method, the vibration signals made by the train
fast and real time-based. Compared to the existing studies in the while going on the railway line were used. Fault detection is
literature, it is seen that the proposed method gives fast and performed by improving the signal processing methods
successful results. This study intends to diagnose the failures on through vibration signals. Palsson [7] completed a thesis study
switch passages early and prevent potential accidents. on optimization in the Switches and Crossing sections on the
railways. In this thesis study, Switches and Crossing
Keywords— Railway, Condition Monitoring, Fault Detection, components were monitored and the faults that occurred in
Image Processing, Railroad Switches. these components were examined. The changes in the
Switches and Crossing areas were observed during switch
transitions. The load distribution from one rail to another rail
I. INTRODUCTION was examined. In addition to these studies, many studies have
Railway transportation is commonly used in the freight and been conducted for the detection of the faults occurring on the
passenger transport. Railway vehicles provide transportation rail surface and in its components. Quingyong et al. [8] an
using a particular rail line [1,2]. These vehicles are preferred image processing based contactless method is proposed and
by people because they can carry quite heavy loads and large detected faults on rails in real-time. Rail surface is extracted
number of passengers. It is very important for rails to be by using railway images. Surface faults are determined by
robust because railway vehicles provide transportation on the contrast stretching of the obtained surface. This method, is
rails [3]. The railway lines are the most critical components used only railway surface to detect faults. Limin et al. [9],
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proposed a method that detects faults on the surface by using Point (Switch) Stock Rails Crossing Running Rails
machine vision techniques. The roughness and cracks are Blades Stretcher Check Rails
determined with image processing algorithms. Edge detection
Wing Rails
and feature extraction methods are used.
Ying et al. [10] proposed an automatic monitoring approach Running Rails
to detect and evaluate the railway components. The proposed Toe Heel
method is working on a train with 16km/h speed. Ray
component detection is carried out by applying Sobel edge
detection and Hough transform methods. Status and positions
of the components are observed and analysis of them is Fig. 2 Example of a switch crossing system and components
carried out. The general architecture of the proposed railway
inspection system is presented in Figure 1. As it is seen in Figure 2, the switch crossing system has
Track Ling-term
many components. The components of Switch Blades, Toe,
Rail
Exeption Predictive Stretcher and Heel serve as a switching. The components of
Detection and Assessment
Data Component
Temporal Crossing, Check Rails and Wing Rails allow train to switch to
Acquisition Detection and
Optimization
Condition another rail in a secure way. The components of Check Rails
Analysis
and Wing Rails are the most important components that
Maintenance
prevent the derailment of the train. The switch crossings are
Backend
Planning and
Database
very important on the railway line. Major faults may occur as
Scheduling
a result of the failures of the components on the switch
crossings. Therefore, the railway line especially the switch
Fig. 1 General architecture of the railway inspection system proposed in the crossings should consistently be inspected. It is required to
literature [10]
make the necessary maintenance even considering the small
faults. On switch crossings, to which direction the train will
In this study, an image processing-based method was go is determined using the components of Switch Blades, Toe,
proposed for the detection of the crossing points on the Stretcher and Heel. The changes that occur on the switch
railways. Images were taken for different types of switches crossings when a train goes straight or to the right direction on
using a camera fixed on the train. The switch crossings were an example railway line are seen in Figure 3.
determined using image processing algorithms on the images
taken. X Y
II. TYPES OF RAILWAY SWITCHES

The apparatus for changing the way that allow railway Z
vehicles moving on the rail to pass from one rail to another a)
rail are called "switch". In switch systems, the change of way
of railway vehicles is carried out by ensuring the movement of X Y
the Switch part of the junctions with human or electric power
[11]. Each switch has a right track and a diverted track. The
sleepers of the switches on conventional lines are wooden.
The radius of the curve located on the diverted track that
provides transition to secondary roads is R=300 m, the Z
maximum length standard of single turnout is 34.20 m. The b)
sleepers of the switches on high-speed trains are concrete, the Fig. 3 The changes that occur on the switch crossings when a train goes
radius of the curve located on the diverted track that provides straight or to the right direction on the railway line a) The state of the train
transition to secondary roads is R=1500 m, the maximum going straight b) The state of the train turning right
length standard of single turnout is 72 m.
Railways have switch crossings for the control of the traffic In the sample images given in Figure 3, a train coming
and a line to be used by more than one trains. A train moving from X direction in Figure 3.a goes straight ahead, namely to
on a line can easily switch to the other line due to switch the Y direction. In Figure 3.b, a train coming from X direction
crossings [12]. An example of a switch crossing system and turns right, namely to the Z direction. There are many types of
components is given in Figure 2. switch crossings which are commonly used on the railways.
These types of switches vary depending on the number and
position of the railway line. The types of switch crossings and
their sample images are given in Figure 4.
The sample images of the switch crossing types given in
Figure 4 are presented in Figure 5.
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III. THE METHOD PROPOSED FOR SWITCH DETECTION

In this study, an image processing-based method was
developed for detecting the switch crossings on the railway
line. In the proposed method, feature extraction was
performed by performing pre-processing on the image. The
lines on the image are obtained as a result of feature extraction.
The intersection points are calculated by considering the start
a) b)
and end positions and slopes of the lines obtained. The
calculated intersection points are called switch crossing zone.
The flow chart showing the main stages of the proposed
method is presented in Figure 6.
Temal görütünün alınması ve R,G,B

Get the image and convert to gray format
formatlarına ayrıştırılması
c) d)
Get edge of the image with Canny edge

method
Get lines with Hough conversion
e) f)
Fig. 4 Railway switch types a) Single left switch b) Single right switch c)
Symmetric switch d) Compound switch e) Cross switch (full cross) f) Determine rails with angle limitation
crossover [13-15]
Determine switch transition with

comparing lines which represents rails.
Fig. 6 Flow chart of the proposed method
In the proposed method, images are taken from a camera

a) b)
placed on the locomotive. The colorful images taken from the
camera are primarily converted into gray format.
Canny edge extraction is performed using the gray image
obtained. The edges on an image are defined as the sudden
change of the pixel values on the edge zones. The edge
extraction methods are very important for feature extraction in
image processing applications [16,17]. Canny edge extraction
algorithm is an edge extraction algorithm which is realized as
multi-staged. The general steps of Canny edge extraction
algorithm are as follows;
c) d)
• Performing smoothing by applying Gauss filter to the image
• Performing edge extraction in the X and Y directions
• Calculation of gradient magnitude and angle
• Elimination of undesirable details and obtaining image
In Equation 1, f (i, j ) represents the gray level image

matrix, R(i, j ) represents the red image matrix, G(i, j )
represents the green image matrix and B(i, j ) represents
e) f) blue image matrix. The image smoothing process is performed
Fig. 5 Sample images of the railway switch types a) Single left switch b) by applying gauss filter to the image in gray format obtained.
Single right switch c) Symmetric switch d) Compound switch e) Cross switch A gauss mask in 5x5 size is used in the Gauss filter.
(full cross) f) crossover [13-15]
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After the gauss masking process, edge extraction is the angle values of the lines obtained and the start and end
performed by using the canny masking matrix of the image points of the line. The method of the slope of a line two points
from X and Y direction. The image is formed according to of which are known was used in obtaining these lines. The
certain angle limits by calculating the gradient magnitude on lines representing the rails are detected by considering the
the image matrices obtained. slope ranges of the lines on the railway image. The slope of a
The edge extraction process is achieved more successfully line two points of which are known is given in equation 3.
because Canny edge extraction algorithm uses the Gauss filter
before performing edge extraction on the image. Canny edge B y  Ay
extraction algorithm gives better results compared to other m (3)
Bx  Ax
edge extraction algorithms.
Hough transform is used to obtain the lines on the image
after the edge extraction process [18]. Hough transform is In equation 3, m represents the slope, ( Ax , Ay ) represents
generally used in detecting geometric models on the image in the location information of the A point and ( Bx , B y ) represents
combination with the edge extraction methods. Hough
the location information of the B point. The switch crossings
transform is applied onto the images, the edge information of
on the railway line are detected according to the slope value
which are obtained. The method transforms the problem of
obtained by applying this equation on the gray image. Two
finding a shape into a problem of finding a density by
points of each line are known. These two lines intersect and
transferring the information in the image space to the
give the switch crossing zone. For the calculation of the
parameter space [19-21]. Hough transform does not require
crossing point, the required calculations were made for the
that the points on the image are side-by-side or connected to
junction point of the line two points of which are known. First
detect an image. The pseudo code of Hough transform used in
of all, the points of the line taken from the normal image are A,
the proposed method is given in Figure 7.
B, C and D. The junction point of these two lines is E. The
Image  Edge detection image in binary format
Column  Width of Image junction point of two lines two points of which are given is
Row  Height of Image shown in the analytical plane as in Figure 8.
for i=1:Column
for j=1:Row
if (Image(i,j) is an edge detected image)
for θ=0:
.
A(x,y)
y
incline = m1
r = Column*cos(θ) + Row*sin(θ)
r = round(r)
H(θ,r) =H(θ,r)+1
F(x,y)
. incline = m2
D(x,y)
.
E(x,y)
end
end
end incline = m3
.
.
end
Fig. 7 Pseudo code for Hough transform [20]

C(x,y)
.
G(x,y)
A binary-based image obtained as a result of edge

extraction is primarily used in the pseudo code of Hough .
B(x,y)
x
transform given in Figure 7. The straight lines are expressed

as in equation 1.
Fig. 8 Representation of the junction point of two lines two points of which
are known in the analytical plane
y  mx  n (1)
This equation has two parameters to specify any straight In order to calculate the values of the E point given in Figure
right. These parameters are slope ( m ) and junction point ( n ).A 8, another line passing from E,F and G point is drawn. The
point in the straight lines parameter space is shown as equation of the line the slope of which is m3 is given in
( m, n ).The straight lines are transformed into coordinate equation 4.
system and shown in equation 2.
G y  Fy (4)
m3 
r  x cos( )  y sin( ) (2) G x  Fx
In this equation, the nearest vector from the origin is By calculating the location information of F and G given in
represented by a pair of ( r , ).All lines with angles ranging equation 4, the final state of the equation 4 is given in
between 60 and 150 on the detected lines are taken into equation 5.
account. The junction points of the lines are calculated using
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(( Dy  C y ) * (Cx  Ax ))  ((C y  Ay ) * ( Dx  Cx ))
m3  (5)
(( Dy  C y ) * ( Bx  Ax ))  (( By  Ay ) * ( Dx  Cx ))
By using m3 value given in equation 5, E x and E y values are

calculated in equation 6.
E x  Ax  ( Bx  Ax ) * m3
(6)
E y  Ay  ( B y  Ay ) * m3
c) d)
The switch crossing zone is detected on the image using E x

and E y values obtained in equation 6.
IV. EXPERIMENTAL RESULTS

In this study, an image taking environment was created to
take sample images on the railway line. The images of the
railway are taken by the camera installed on the train as in
Figure 9. e) f)
Camera Fig. 10 The images belonging to different types of switch crossings taken
Neighbour from the railway
Railway
Train
Main Railway
Fig. 9 The test vehicle used to take image
In the proposed method, the switch crossings were detected

by taking images in different situations on the railway line.
The dimensions of the images taken are 640 x 480 pixels. The a) b)
color image was firstly transformed into gray image, and then
edge extraction was performed. The lines are obtained by
Hough transform on the image obtained. The images used
during realization of the proposed method are given in Figure
10. The results were obtained by performing edge extraction
on the image given in Figure 10. These results are presented in
Figure 11.
c) d)
a) b)
e) f)
Fig. 11 Performing feature extraction by applying edge extraction on the
image
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The edge extraction results of different images are TABLE I

THE IMPLEMENTATION OF THE PROPOSED METHOD FOR THE IMAGES
presented in Figure 11. After the edge extraction process,
Hough transform was used in order to detect the lines on the Railway switch Number Number of Number of Success
image. The lines were detected by taking into account the types of Test Successful Failed rate (%)
Image Image Image
angle value and the positions of the line during Hough
Single left 29 24 5 82,7
transform. The switch crossings are detected by improving a switch
method on the lines detected. The result of detecting the Single right 26 23 3 88,4
switch crossings on the sample images is presented in Figure switch
12. Symmetric 17 11 6 64,7
switch
Compound 13 9 4 69,2
switch
Cross switch 9 6 3 66,6
Crossover 6 4 2 66,6
As it is seen in Table 1, the proposed method is highly

successful in the images belonging to the types of single left
and right switch. The success ratios of other types of switch
are not very good because they are a little more complicated
a) b) and due to the clarity of the image.
V. CONSLUSIONS
An image processing based method for the detection of

railway switch crossings was proposed in this study. In the
proposed method, the switch crossings were detected by
image processing methods using railway images. Canny edge
extraction and Hough transform were used as the image
processing methods. When the studies in the literature are
c) d)
analyzed, it is seen that there is not a study on the detection of
switch crossings and condition monitoring by using image
processing based methods. It is seen that the proposed method
is successful when its results are taken into account. However,
different methods will be used in future studies to make study
more qualified and successful. In addition, the detection of the
faults occurring in the components on the switch crossings
and the detection of the rail surfaces on the switch crossings
are aimed in future studies.
e) f) ACKNOWLEDGMENT
Fig. 12 Detection of the switch crossings on the railway line by Hough This work was supported by the TUBITAK (The
transform Scientific and Technological Research Council of Turkey)
under Grant No: 114E202.
The switch crossings in Figure 12 were detected. The REFERENCES
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Trust in Wireless Sensor Networks

Gulustan Dogan∗ , Koksal Avincan∗
∗ Yildiz Technical University
Istanbul, Turkey
{gulustan, kavincan}@yildiz.edu.tr
Abstract— Wireless sensor networks are used widely in daily II. D EFINITIONS : T RUST, T RUSTWORTHINESS , R ISK ,
life. With that increase the problems faced in WSN usage R EPUTATION
have become more interesting for the research community.
The problems that outstand the most are related to the trust Josang et al. [20] define trust and trustworthiness based
and energy issues. As wireless sensor networks have limited on the definitions of Gambetta [16]. Solhaug et al. [39]
energy and computing power, cryptographic algorithms are not define trustworthiness as objective probability that the trustee
suitable for these type of networks. Along with that line, in this
work we explore trust models developed for wireless sensor
performs a particular action on which interests of the trustor
networks. depend. Trust is a subjective probability varying from 1
KeywordsWireless Sensor Networks, Trust, Trust Models (complete trust) to 0 (complete distrust) [20].
As trust is the believed probability and trustworthiness is the
actual probability, there can be a difference between them.
I. I NTRODUCTION This difference introduces the risk factor [12]. Risk increases
if the trust is misplaced.
Trust is quite important for self-configurable and autonomous
Reputation is also a concept that is very related to trust.
systems such as WSNs [15]. WSNs are very vulnerable
Sometimes reputation and trust is used in the same context
environments due to computational limitations, energy con-
however they have different meanings. Reputation is the
straints and network attacks. In addition, WSNs are very
opinion of an entity about the other entity. However trust
open to physical world effects such as a person walking
is derivation of reputation of an entity.
on a field can step on a sensor and make it dysfunctional.
A trust management scheme can make a WSN tolerant to A. Information Trust
node failures and misbehavior by assisting decision making
process. For example, a node can decide to cooperate with There are different types of trust such as social trust,
a node or not based on the feedback it will receive from the cognitive trust, and communication trust. In this work, we
trust model. Trust research on WSN is very new, few systems are assessing the information trust of data items and sensor
have considered it [17], [45]. More research has been done on nodes.
Trust in Ad-hoc and P2P networks. Although these network Information trust or data trust refers to the trust placed on
types have many similarities to WSN, still a separate trust data produced by objects or processes. Information trust in a
management system has to be developed for WSN because of network is important because it can prevent erroneous data
their specific characteristics such as energy and computation to accumulate in the network. In a network, a node can (i)
constraints. create data (ii) process the data such as fusion (iii) pass the
Data collection is very important in the process of designing data along. The trust of data depends on the trust of the node
a trust management system. The system should be history that creates the data and the trust of the nodes the data has
aware, past behaviors should be taken into consideration visited. Information trust in a network can be categorized
[15].WSNs should be history aware as the trust calculation into three: (i) creator node’s subjective view of the trust (ii)
is considering past behaviors. Moreover, every node keeps objective trust assessment of the data by the neighboring
their past behavior statistics regarding the data they produce nodes (iii) changes in information trust as the data travels
such as average error of the created data in the past time along the network.
intervals. One of the biggest constraints is the overhead that B. Properties of Trust
can be caused by the trust model. Trust model should be as
lightweight as possible [15]. Cho et al. [12] list characteristics of trust as follows in their
There are many different data that can be used as input of survey paper.
the trust model. For example, a node that is not alive for a • dynamicity : Due to node failures and mobility, sen-
long time or a node that appears or disappears randomly may sor network is highly dynamic hence trust should be
not be trusted. On the communication layer, a node which is dynamic too.
misreporting will not be trusted. For instance, a node which • subjectivity : Nodes might decide to put different levels
is giving a fire alarm when conditions are calm should be of trust on same nodes due to dynamicity of the network
given a low trust value [15]. [1].
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• transitivity : Trust is not necessarily transitive. For of peers. The resurrecting duckling model in [40] and its
transitivity, we need two types of trust, trust in a trustee descendants [6] use out-of-band channels to authenticate key
and trust in recommendations of the trustee. exchange. The established trust between the nodes is binary,
• asymmetry : Trust is not necessarily transitive. A node either secure or not secure.
may trust a node however the trustee node may not trust There are other trust models for peer-to-peer systems which
the trustor. we do not want to go into details of as we are interested in
• context-dependency : Trust is context-dependent [7]. trust models for sensor networks. Other trust mechanisms
For instance, a node may trust the image data coming surveyed by Momani and Challa[27] are SECURE[11],
from a node but may not trust the audio data coming Distributed Trust Model[2], Bayesian Network Model [43],
from the same node. UniTec[22], BambooTrust[23], B-trust model[34].
III. T RUST AND R EPUTATION IN D IFFERENT D OMAINS C. Trust in Ad-hoc Networks

Below we give information about trust literature in social In ad-hoc networks, nodes join to networks or move networks
science, e-commerce, distributed systems and ad-hoc net- very often. There are no trusted nodes to support the network
works based on the survey of Momani and Challa [27]. functionality. Trust relationship between the nodes is also
dynamic as the network is constantly changing [46].
A. Trust in Social Science and E-Commerce A majority of the trust mechanisms in ad-hoc networks
Trust is very related to social sciences because it is use game theory and bayesian network approaches. Two
a part of human life [38]. It has a very big impact on examples of these systems are CONFIDANT [10] and CORE
human relationships such as making friends, sharing secrets, [26].
selling/buying things, working together. It eases the everyday IV. T RUST IN WSN
life by helping in the decision making process, delegation,
certification, resource access [36]. There are some surveys done on trust in WSNs [5], [15].
One of the motivating domains for trust research is e- WSNs face different kinds of attacks such as eavesdropping,
commerce. In internet, buyers and sellers have a trust re- fabrication, injection, modification of packets, node capturing
lationship. Buyers will buy from sellers that they trust. The and many others [27]. These attacks raise issues such as
trust will be formed based on the reputation of the seller. privacy, accountability, data integrity, data authentication and
Seller gains a reputation based on past behavior. E-commerce data freshness. Some research has been done on security
systems such as eBay [35], Yahoo [35], Keynote [8], [9] keep of WSN as surveyed by Momani and Challa [42], [30],
a centralized trust authority to maintain the reputation and [46], [41], [28], [48], [31], [40], [47], [33]. Cryptographic
trust values. mechanisms do not completely solve the problems. System
Abdul-Rahman and Hailes designed a trust model based faults, erroneous data, bad routing by malicious nodes can
on sociological characteristics of trust [3]. In their model, cause network breakdowns. Cryptography is not sufficient to
entities are given trust based on their reputation (indirect) solve the security problems, cryptographic approaches should
and their direct experiences. They also consider the word-of- be integrated with tools from domains such as statistics, e-
mouth mechanism. Agents put different importance (weights) commerce, social sciences. Some nodes can behave mali-
to opinions of different agents. ciously or selfishlessly. Trust architectures have to discover
Josang and Ismail developed a reputation system for elec- and isolate these nodes. There are different approaches
tronic markets [21]. Most reputation systems are intuitive followed by researchers [46].
and ad-hoc however they have built their reputation systems • Maintain a trust and reputation table for all nodes in a
on beta probability density function in statistics. The beta sub-network

distribution is mapped to an opinion, which is a belief about • Use a watchdog mechanism to monitor the behavior of
the truth of statements. the nodes

• Discover faulty nodes and exclude them from the net-
B. Trust in Distributed and Peer-to-Peer Systems work
In distributed systems, there is no central authority for • Reward nodes so that they comply with protocol rules
assessing the trust of entities. Hence entities form their • Use of low-cost cryptography to protect the integrity of
own opinions of trust by exchanging information with their the data

peers. Generally methods from game theory [44], bayesian Trust has been researched for a long time [25]. It has been
networks [43] are used for trust calculation distributedly. studied by many disciplines such as social sciences [37],
Aberer and Despotovis were one of the first researchers to economy [13]. Yet we cannot say that there is a formal
propose a reputation management system for P2P systems definition of trust. Trust establishment between the nodes is
[4]. They employ algorithms and data structures that require a security approach that is very effective in WSNs. As nodes
no knowledge from a central authority. The trust model work cooperatively, trust relationship between them improve
is based on the past interactions between the nodes. One the security of WSN.
drawback of their method is that only the negative feedbacks Security and trust are very related concepts and sometimes
are considered and the system is sensitive to misbehavior they are used interchangeably [32]. However security is
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different than trust. It is broader than trust and overhead is F. Granularity

higher in security. Nodes in a wireless sensor network might have different
Trust is used in restructuring WSNs such as omitting nodes, actions such as sensing, routing. Different trust values should
adding nodes, merging clusters. Trust establishment is a must be assigned to different actions of a sensor node.
because WSN depends on cooperative and trusting nature of
its nodes. However due to limited resources in WSN, it is not G. Updating and Aging
possible to use the traditional cryptographic approaches [14]. Trust should build overtime. When trust of a node is
Different trust mechanisms are needed for wireless sensor updated, the past trust values should not be overwritten. The
networks. Trust in WSNs is still an open and challenging previous trust state of the network should be remembered.
field. If bad behaviors are not remembered, the network will be
vulnerable to on-off attacks [29].
A. Best Practices of Trust in WSNs
ACKNOWLEDGMENT
Lopez et al. describe the best practices of trust management
This research was sponsored by the Technological Re-
in WSNs in their survey [24] based on the other surveys
search Council of Turkey and was accomplished under
[15], [19], [18].
Project Number TUBITAK 2232 114C143. The views and
B. Trust and Reputation conclusions contained in this document are those of the au-
thors and should not be interpreted as representing the official
Reputation and trust should be maintained separately in polices, either expressed or implied, of the Technological
a WSN. Reputation builds in time. To make an accurate Research Council of Turkey or the Turkish Government.
decision, trust should be calculated based on reputation.
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A Review of Automatic Text Summarization

Ercan BAYDAR*, Rıdvan SARAÇOĞLU
Electrical and Electronics Engineering Department, Yüzüncü Yıl University, Van, Turkey
ercanbaydar@gmail.com
ridvansaracoglu@yyu.edu.tr
Abstract — Giant information is available on the digital of success. Another aim is the awareness of scientists who are
environments. Due to it has hard to get the information what you to study on this subject.
want to achieve it, fast and most efficiently. For example, if a This review consists of 3 parts. The definition of
researcher has a summary of the literature about a topic, this summarization and what kinds of strategies have been used
will be much shorter than the duration of the research. From this
will be explained in the first part. Information will be
perspective, automatically occurring the summary of any text, it
is very important for those who want to be informed. Text provided about summarising strategies in the second part.
summarization is the compression of large document. This paper Some strategies will be provided about how summarising
presents a review of automatic text summarizations’ approaches, affects the evaluation of success in third part.
studies, software, algorithms, and methods which is written by
English, Turkish and some other language in the last decades. II. SUMMARIZATION AND APPLICATIONS HELPFUL TO
Automatic text summarization is generally divided into two SUMMARISING
systems. There are extraction based summarizations and
abstraction based summarizations. Firstly, extractions A. Summarization
summarization approach involves selecting sentences of high Text summarization can be defined as a process, which
score from the document based on word and sentence features.
takes a text as input, includes the most important context and
In short, finding the most important sentences from text is
performed. Secondly, it is examined the semantic relationships replaces the original and is shorter [1]. One or more textual
between words and sentences in abstraction approaches. The equipment which are desired to be summarised as an input for
most important difference from the first approach, made system are provided and in the end a comparatively shorter
semantic analysis of words and sentences afterward new words text is provided as the summary. With this transaction a text is
are obtained. Mostly, optimization algorithms, genetic given to the computer programme and a summarily text which
algorithms, fuzzy logic systems, machine learning, graph trees, belongs to the input and includes its most important content as
statistics and probability techniques are used in automatic text the output.
summarization systems.. The emphasis of only the crucial content of a text to be
summarised is called summarization process. What should be
Keywords—Semantic analysis, text Summarization, natural paid attention here is to determine what the content is. The
language processing content which is relevant to the topic is regarded important.
I. INTRODUCTION Majority of the researchers dealing with text summarization
have focused on summarising the texts in English language.
The development of technology with increasing speed has Therefore these studies which have been done according to
brought about textual data in digital cases. Under these grammatical structures of English language cannot be directly
circumstances attaining the desired information in textual data applied to Turkish summarization methods due to the latter’s
has become in terms of time. The desired textual data will be grammatical and structural differences from of the former. For
regarded as successful in terms of time expense if it includes instance some structural methods where there are strong
fewer sentences alongside with useful information. This meanings of the text are free from language. Semantic
subject is crucial as for the usage of effective time consuming, analyse methods in which methods such as parsing and natural
has led to studies about the solution of the problem. language operation are employed however cannot be used in
The fact that a sentence has been cleared off unnecessary Turkish text summarization.
words and sentences can be possible by means of a successful A number of distinctions have been done in literature for
summary of that text. The aim of this review is to provide text summarization. For example, choosing the important
information about strategies developed and studies conducted sentences and translating them without making any difference
for successful summarization. What I paid importance to and evaluating this under another title is called summarising
while informing has been putting more emphasis on the based on extractive. Another one is to comment the content
studies carried on after 2000s. While technology and from a text and rewrite it in shorter and new sentences and this
communication tools are improving rapidly, researches have method is called summarising based on abstractive.
come to the point of communicating more easily has been the Summarising studies based on abstractive require the
reason for this. And at the end of this some standards about employment of natural language operations and detailed
summarising studies are being developed. They have examination of the equipments. In abstractive based methods
employed success measurement softwares and summary of various parsing algorithms are used. In Turkish the by adding
data sets so that they can be of help in evaluation and increase derivational affix to a word a parsing word is formed and by
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eliminating the inflection from a word and thus finding the summarization studies is of rather high importance as an
main word is called stemming [2]. In order to help the assistant. Researches use Porter Stemmer algorithms [5] to
methods used in summarization there are a great number of decode words in English texts.
other applications. Some of these are dividing a full sentence
2) Wordnet: For those researches who want to use the
into its components, analysis and morphologic analysis
semantic relation between words, Wordnet [6] synonym
(finding the stem of word, suffixes or prefixes) [3]. For
dictionary, which define the correlation between words is a
instance words can be eliminated to their stems and therefore
significant tool. Wordnet came about in 80s, was developed to
now words can be formed.
3.0 in 2006 and includes 155,287 words in English. For the
Researchers have developed softwares so as to determine
researches working on summarization subject of Wordnet, it is
the adaptive relations between words and division of words. In
of great importance that it includes a word group consisting of
this part brief information about some these softwares will be
synonyms. The synonyms are correlated in the dictionary.
provided.
Birant, in his study [7], has developed software which does
B. Species of Summarization summarization on its own for Turkish language as well as a
dictionary of the semantic relation which he employed in his
Contrary to the abstractive based summarization, extractive
study and he has also argued that he has improved some
based summarizations are handier and more common.
natural language transaction tools. The two dictionaries;
Summarising without being bound to any particular word and
synonym and close-meaning dictionary and opposite meaning
just using some key words is called general summarization
dictionary that he has provided in his study, have been
system. Summarizations limited to questioning the content is
approved by Turkish language constitution. The text
called inquiry based summary system. There are
summarization system based on rules which he has developed
classifications based on the number of the sources of the text.
has given out results similar to those of others. In another
In this case summarization is divided into two groups as either
study [8] in which sentence purification for Turkish text
one document source or multiple documents. Single document
summarization techniques were used, methods of finding the
based summarization, is the one whose input is a single
stem of word were used as well. In this rule-based study in
textual data, whereas the multiple documents based
which syntax features are used rather than structural features,
summarization is the one which gets multiple documents as
omitting letters from the end of words technique has been
input, evaluates them, deals with the important parts and
successfully used. In the same study the success of techniques
brings together the similar information in them and eventually
which shorten sentences and divide sentences into shorter and
summarises them on a single document. Alongside with all
multi-meaning sentences.
these groupings the document to be translated might be
written in one or more different languages. Some of these III. STUDIES ON SUMMARIZATION
approaches, represent documents to be translated with both
The majority of studies on summarization are in English
semantic features and some structural features which enable
language. The first studies regarding textual summarization
sentences to be stated through sentence scores functions
was around 50 years ago and for English texts. Although
belonging sentences’ importance level.
numerous newer techniques for various problems have been
1) Zemberek: Zemberek is open coded NLP (natural developed, still the traditional techniques are employed in the
language processing) libraries which can basic NLP such as present and most of the problems. The reasons for them to be
decoding, spell checking, back formation written for Turkish used are their being simple, successful, efficient and low cost.
and other Turkish based languages. Due to its being open- The methods requiring abstractive and natural language
coded and unignorable feat it possesses an important position processing, cannot enable the methods developed for English
among the natural language transactions. Many researches being employed for Turkish too due to Turkish language’s
have employed Zemberek while studying Turkish suffixes structure. We can list the studies done on
summarization methods [4]. Researches have quite often used summarization under two general headings [9].
Zemberek in their studies on decoding which reveal the Extractive summarization (summarization with sentence
parsing and stem of words. In terms of structure Zemberek, selection) approaches are to select sentences from a text
consists of two parts as detailed language transactions and according to various techniques and combining them into a
language structure information. The library mainly includes meaningful text so as to get the summarization. These
the softwares necessary for detailed language transactions as methods are also called extractive methods. Another approach
well as structures including stem and additions. It also is abstractive summarization. In which parsing, natural
contains XML libraries, which have extra information about language transaction techniques are used and analysing words
other Turkish based languages for extra information. The in details, brand new words are emerged contrary to sentence
additional function specially in accordance with algorithms selection method. For example instead of this sentence “Selim
those are sensitive for special cases. There is also a unit which checked the menu, asked for his meal and ate" the following
controls voice cases such as sound falls, softening and sentence can be used as "Selim enjoyed his meal". A rich
assimilation. To enable these graphs tree algorithms are used. symbolic list of words is necessary for this method to be used
Zemberek has the ability of processing 12000 words [10].
simultaneously [4]. Zemberek, used as a tool in Turkish
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A. Extractive summarization Studies Suanmali et al. [20], Babar and Patil [21], Kyoomarsi et al.
The main focus of sentence selection technique [22], Binwahlan et al. [23] used fuzzy logic technique for
summarization is the presence of the sentence which is combine these methods. Silla et al. [24], Witte et al.[25],
regarded of vital importance. How will be the decision of Berker and Güngör [26], Filatova et al. [27] and Mcdonald [28]
whether a sentence is important? The answer to this question have rated the important sentences with heuristic, genetic and
is significant in determining the success rate of the sentence Swarm-based optimization algorithms in their studies.
selection summarization technique. In studies prior to 2000s, Alguliev et al. [29] have tried to solve summarize problem
it has been decided that some sentences were far more with nonlinear programming method. Svore et al. [30], Wong
important than others and thus be secluded from others et al. [31] have used to learning machine, Bayesian classifier,
according to a grading key. In these techniques simple but support vector machines, artificial neural networks techniques.
effective deductions are present. The thing that is desired to be Agrawal and Gupta [32] have used the similarity of sentences
emphasised is used more often. For example if the innovations to each other. For this, the K-means method is used. In the
in the field of technology are mentioned, the word technology work of Seinberger et al. [33] and Orasan [34], utilizing the
will be used more often and the sentences in which it is semantic relationships between words cohesion-based
present need to be present in summarization. Here, the point techniques are used. They have benefited from the Wordnet.
which should be kept in mind is that the conjunctions such as - D'avanzo [35] has carried out a study that knows the name of
and- or – but - which are used in daily life conversations, don't the entity and finds multiple words and based on supervised
in fact represent a content. This method called word frequency learning in his study.
was used by Luhn in his study [11]. We have also seen event-based methods in summarization
The name of this method is frequency of the word. Luhn studies. Liu et al. [36], Filotova et al.[37] examine the events
used this method in his study. In addition that, Edmundson in the text with the help of causality techniques. An event-
claimed in his study [12] that a summary must contain term graph is obtained. The same event terms are grouped.
sentences which included some words such as "as a result", Uzundere et al. [38] have examined 13 different features in
"in summary" etc. Edmundson gives more points sentences their study. According to this;
like these. This method is known as clue words phrases. His  Head: The words are listed in the titles and subtitles.
other idea is that give more point sentences that contains Sentences are checked whether they have these words.
introduction and conclusion paragraphs. This method is called  High Frequency: Holding the number of repetition of all
as sentences location. Also, sentences that contain the words words in the text is created. List is sorted in
in a title and subtitle are important according of Edmundson’s descending direction. Would not include frequently
thought. The name of this method is title method. used words in everyday like "and", "but", "or" etc. in
Knowledge of date ,history, arithmetic ,numeric character, this list. Words are included in summary according to
location, titles words, positive and negative words phrase are determined by a percentage. Percentage is determined
show importance of a sentences. Yeh et al. [13], Hernandez by the genetic algorithm or heuristic methods.
and Ledeneva [14] and Quyang et al. [15] have used this  Location: Paragraphs of sentences is determined like
feature in their studies. which sentence in the introductory paragraph or
Study of Altan [16] is the first study on Turkish texts. He conclusion paragraph.
has used for data sets which written 50 document in financial  Key Words: Important words for the user entered
issues. Firstly, he has separated heading and paragraphs using previously. Sentences that contain these words are
by HTML tags. Then, he examined word frequency, sentences important. For example, rebound is important word
location, words in a title, positive and negative words phrase about a sport text.
techniques in his study.  Uppercase: Special names are pure information. It
Kılcı et al. [17] have examined date words, key words should be included in the summary.
phrases, punctuation marks and proper nouns as addition to  Positive Words: More points are given to sentence
working Altan. Weighting of the sentence has already been which contains some word phrase like "as a result”, "at
entered in their study. last" etc. in the text.
Pembe [18] has carried out query based summarization  Negative Words: Sentences containing details are given
system for using web search. Then, she has given score to less points.
sentence and chapter.  Collocation: Words that reinforce the meaning is
Distinguishes the work of alien Çığır et al. [19], scoring considered important.
was normalized. The position in the sentence of the text has  Numbers: The score of sentences containing the
been examined in this study. It was also examined according numerical is high.
to central position of sentence.120 document is used as text  Quotation Mark: Sentences including quote is important.
data set.  Ending Mark: Punctuation mark at the end indicates the
We have explained structural feature of language up to now. importance of a sentence.
We have seen methods of finding some most important  Average Length: The mean number of words in the text
sentences in a text. Then found sentences are rated. There are is calculated. Nearest to average sentences is considered
techniques combined these methods in the literature. important.
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 Day-Month: Sentences including knowledge of day and In a thesis published in 2014, Attokurov [43] has claimed
month are important. that the main purpose of text summarization systems is to
In this study firstly text is divided into sentences and prevent the repetition of information. Optimal Tree Pruning
paragraphs. Zemberek is used in the separation process. Then algorithm and HAC (Hierarchical Agglomerative Clustering)
allocated structures examined designated by 13 features. algorithm are used together to prevent the repeat of
Heuristic method has been used for scoring. Weighting of information.HAC was used for extraction to repetition.
sentences are shown in Table I. Optimal tree pruning algorithm has also been used to reduce
repetition.
TABLE I
To solve the problem of summarization have also been used
WEIGHTING OF FEATURE optimization algorithms. In a study [44], ant colony
optimization algorithms, particle Swarm optimization,
Features Weighting artificial bee colony algorithms and genetic algorithms are
Head 20 used to extract more effective summary.
High Frequency 10
Introduction 20 B. Abstractive Summarization Studies
Conclusion 2 To good determine the relationship of word-event and
Uppercase 3 grouping of terms in the event tag is very important to
Positive Words 15 emergence of the meaning in a text. Based on this idea,
Negative Words -20 success of summarization was attempted to increase with
Collocation 4 linear algebra methods. This method is briefly performed in
Numbers 3 the following;
Quotation Mark 2 Primarily text is divided into words and sentences. Then a
Ending Mark 2 matrix of term-sentence is obtained. Matrix is factorized.
Average Length 10 After that words and phrases are converted into linearly
Day-Month 5 independent vectors. Words and phrases are grouped as
Key Phrase 8 semantic by these vectors. Important words and phrases are
selected grouped with semantic matrix factorization. After this
For example, a sentence has two key words and three process, semantic analysis of texts is performed by methods of
numerical characters in text. Total score of the sentence is Latent semantic analysis or probabilistic semantic analysis.
( 2*8) + (3*3) = 25.Each sentence score is calculated. A rate Murray et al. [45], Steinberger et al. [46], Yeh et al. [13]
is asked by users. This is called summarization percentage rate. have used latent semantic analysis in their studies. Lee et al.
Sentences are select according to this rate. For example, if [47], Mashechkin et al. [48] and Güran et al. [49] have also
summarization rate select 35 percent, 35 percent of the used non-negative matrix factorization (NMF) algorithms.
sentences of highest scores would select. Then, have been Güran, in her study [50] has determined sequential words
tried at different rate. They have taken an average and with the help of Turkish Wikipedia links. In Güran's study
measured to success 55 percent in their study. [50], structural and semantic features are used together.
In another study [39], summary of Turkish web pages has A hybrid system that combines structural and semantic
been being studied. Sentence selection is determined by 12 feature has been proposed in order to determine important
different features. Heuristic method has been used for sentences. The results of hybrid systems have been more
weighting. Success rate was measured as %59 in this web- successful than each individual system. The new techniques
based study. used in stage of creating term-sentences matrix have been
In a study [40] that used a combination of text and sentence explained. These techniques are based on location the words
clustering techniques, similar words and documents are and importance of words in sentences to which they belong.
clustered. The highest frequency sentences have been selected Study has also produced to use two new data sets for next
in this cluster. studies on Turkish language. The first one is 130 news
Pointed out that in another study [41], the information in document, second corpora is 20 shorter text news.
the text is obtained in two stages. In the first stage, tagged Bhandari et al. [51] Chris, H. and Ding, Q. [52] have used
sentences are separated according to certain rules. Word probabilistic latent semantic analysis in these studies.
phrases, word frequency, and location methods were used In another study [53], Non-negative Matrix Factorization
with modal verbs in the second stage. This study was carried methods were used to determine the relationship between
out for English texts. It has benefited from the tense of the sentences. Clustering and clustering methods were used in text
sentence to filter the information. pre-processing. The study has also been highlighted to
Extractions summarization approach was used in a study increase quality of summarization of clustering methods.
carried out in 2014. Güran at al.[42] have argued that adding a We continue to examine studies that using method of
new criteria for Extractions summarization system. Name semantic analysis. Gong and Lui [54] have divided text to
entity recognition method was used for the first time. topic and they have chosen sentences from each topic. In
contrast, Murray et al. [45] has chosen multiple sentences
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113
_____________________________________________________________________________________________________________
from each topic. Özsoy et al. [55], have proposed to eliminate algorithms were used. Sentences are determined with the help
the noise. They have also chosen all topics in text. of similarities between sentences. Success was measured by
Özsoy et al. [55] have proposed two new methods in Rouge assessment package. Successful results were obtained.
studies of semantic analysis named as Cross and topics. Dependency grammars has been used some problems that
Topics method was used to separate main subjects from sub- finding similarities between sentences. The usage of
subjects and make sentence selections from main subjects. dependency grammars to compute sentence similarity has
Cross method was also used for observe whether sentences are been proposed in a study [62]. This study have been achieved
important. Cross-method has produced more successful results. that dependency grammar representations of sentences find
There is a method that shows the interconnectedness of out to better results in finding the similarities between
words named as word chains method in the literature. Berker sentences. Details can be reached on [62].
[56] has benefited relationship between words in her study. Most studies in the literature have been made for
Word chains were formed in this study. Then this deep summarization of English language. Studies for other
knowledge was combined with a higher level analysis. Finally, languages are less. Therefore, minority of studies for written
this information at different levels is combined with the help on Arabic language have been emphasized in a study [63]. It
of genetic algorithms. has also talked about the lack of Arabic language
In a study conducted in 2010 [57], a software has been summarization standards. It has been mentioned that Arabic
developed named as FRESA (Framework for Evaluating was included in TAC 2011 MultiLing Pilot and ACL 2013
Summaries Automatically).This software is content-based and MultiLing Workshop. Other methods of extraction
it make summary assessment. A system which generic single- summarization studied on Arabic in the literature has been
document summarization in French and Spanish and focus- presented and grouped on a table.
based multi-document summarization in English was
introduced in study. System performance is measured by IV. MEASURING SUCCESS
assessment package ROUGE. ROUGE Package will be In order to test the success must be we should have ideally
discussed later. summary. In study by Rath et al. [64], people have been
In another study called ARTEX (AnotheR TEXt requested to select sentences which could be important
summarizer) [58], document vectors and lexical vector are according to them from different at different times. Güran [50]
kept. In order to rank sentences, a simple inner product is has asked to select important sentences from some people.
calculated between each sentence, a document vector (text Thus Ideal summary was obtained. In another study [65]
topic) and a lexical vector. Highest ranked were combined. No Morris, Kasper and Adams have suggested a method named as
ruled-based linguistic post-processing and based in sentences GMAT (Graduate Management Admission Test). A technique
extraction on of answering questions which exercise of reading
Vector Space Model (VSM) techniques have used. Ranking comprehension is recommended.
were normalized. Each sentence is calculated in the feature Success is evaluated by various methods. To compare Ideal
matrix format. The most important aspect of this study is not summary with the summary created by the system is the most
requires linguistic knowledge or resources. Study is tested on known method. In order to measure success such as
French and Spanish document and it has produced successful information retrieval, text categorization and question
results. answering are used. The most common methods in the
In another project [59] that using latent semantic analysis literature are precision/recall/F-score, value of relative benefit,
techniques have presented it presented to comparison of cosine similarity and ROUGE.
different vector space model. Success was measured by
Ngram assessment methods. Study has proved binary models A. Value of Precision-Recall-F-Score(PRF)
more successful than complex term frequency models. The purpose of this method is to find the number of
Looking at statistical distribution of words as semantically, common sentences between ideal summary and measured
language processing problems can be solution. In a study [60] summary. The number of common sentences is divided to
carried out in this thought, firstly meaning the relationship number of measured sentences. This is called precision (P).
between words was measured. Meaning of integrity and key Recall value (R) is found by dividing number of common
phrase extraction using lexical chains has been used. This sentences to number of measured sentences. The harmonic
method requires more prior knowledge. In study, has been mean of P and R is F-score (F). Formulas are shown below.
investigated the effect of the use of lexical cohesion features
in key phrase extraction, with a supervised machine learning | ∩ | | ∩ | 2
= = =
algorithm. Studies have shown that lexical cohesion based | | | | +
features improve key phrase extraction . Achieved good
results, compared to some other lexical cohesion based B. Value of Relative Benefit
algorithms. This method has been proposed to correct deficiencies in
M. Cakir and E.Çelebi have presented a method that PRF method. In Dragomir's study [66], sentences are rated
includes all languages to summarize their works [61]. C3M heuristically. This is called utility score. Each sentence is
(Cover Coefficient-Based Clustering Methodology) rated. People are rated the sentences. "N" is number of people
____________________________________________________________________________________________________________
114
_____________________________________________________________________________________________________________
and n is number of sentences in the following formula. "i" is (EMNLP), pages 702-706, Doha, Qatar, October, 2014. Association for
Computational Linguistics.
shown i-th assessor and j is shown number of sentences."U" is
[9] http://people.dsv.su.se/~hercules/papers/FarsiSum.pdf
shown score of utility. Can be accessed for details of study [10] Gündoğdu Ö.E., Duru N. “Türkçe Metin Özetlemede Kullanılan
here [66]. Yöntemler", 2016 Akademik Bilişim.
∑ δ ∑ [11] Luhn, H.R., (1958). “The automatic creation of literature abstracts.”,
= IBM Journal of Research Development, 2(2):159–165.
2∑ ∈ j∑ [12] Edmundson, H.P., (1969). “New methods in automatic extracting.”,
Journal of the Association for Computing Machinery, 16(2): 264–285.
[13] Yeh, J.Y., Ke, H.R., Yang, W.P. and Meng, I.H., (2005). “Text
C. Cosine Similarity Summarization using a Trainable Summarizer and Latent Semantic
Formula of another measurement method is given Analysis”, Journal of Information Processing and Management, 41:75–
below.” ” is word frequency value at ideal summary.” y ” is 95, 2005.
[14] Hernandez, R.A.G and Ledeneva, Y., (2009). “Word Sequence Models
also word frequency value at measured summary. Can be for Single Text Summarization”, In Proceeding of Second International
accessed for details of study here [67]. confererence on Advances in Computer-Human Interactions, 1-7 Feb.
2009, Mexico.
∑ [15] Quyang, Y., Li, W., Lu, Q. and Zhang, R., (2010). “A study on
cos( , ) = Position Information in Document Summarization”, In Procceding of
∑( ) ∑ (y ) Coling 2010, Poster Volume, August 2010, Beijing.
[16] Altan, Z., (2004). "A Turkish Automatic Text Summarization System",
D. Ngram Statistics IASTED International Conference on AIA, 16-18 February 2004,
Innsbruck, Austria.
Rouge (Recall- Oriented Understudy for Gisting Evaluation) [17] Kılcı, Y. and Diri, B., (2008). Turkish Text Summarization System,
software which a Ngram based technique was proposed in Senior Project, Yıldız Technical University, Turkey.
2004 by Chin-Yew Lin [68].It is produced by the Perl [18] Pembe, C. (2011). Automated Query-Biased and Structure-Preserving
programming language and was used in DUC [69] (Document Document Summarization for Web Search Tasks, PhD Thesis,
Boğaziçi University, Turkey.
Understanding Conference) firstly. It is a method that based [19] Çığır, C., Kutlu, M. and Cicekli, I., (2009). “Generic Text
on comparison of the number of common words. There are Summarization for Turkish”, the Computer Journal, 53(8):1315-1323.
five different measurement methods. There are ROUGE-N, [20] Suanmali, L., Salim, N. and Binwahlan, M.S., (2009). “Fuzzy Logic
ROUGE-L, ROUGE-S, ROUGE-W, ROUGE-SU and Based Method for Improving Text Summarization”, International
Journal of Computer Science and Information Security, 2(1): 65-70.
ROUGE-N. Ngram is number of 5-length sequential word [21] S.A.Babar ,Pallavi D.Patil , "Improving Performance of Text
group. ROUGE-N is number of common Ngrams between Summarization" International Conference on Information and
ideal summary and measured summary. It is calculated by the Communication Technologies (ICICT 2014) GA–GP.”, In IEEE
following formula. Can be accessed for details here [68]. international conference on fuzzy systems, 16–21 July. Vancouver,
Canada.
∑ ∑ ( ) [22] Kyoomarsi, F., Khosravi, H., Eslami, E. and Dehkordy, P.K, (2009).
∈{ } ∈
“Optimizing Machine Learning Approach Based on Fuzzy Logic in
∑ ∈{ } ∑ ∈
( ) Text Summarization”, International Journal of Hybrid Information
Technology, 2(2): 105-116.
IV. CONCLUSIONS [23] Binwahlan, M.S., Salim N. and Suanmali, L., (2010). “Fuzzy Swarm
Diversity Hybrid Model for Text Summarization”, Information
In This review, we have presented definitions, methods, Processing and Management, 46(5):571-588.
[24] Silla C.N., Pappa, G.L., Freitas, A.A. and Celso A.A., (2004).
approaches and studies about of Automatic Text “Automatic Text Summarization with Genetic Algorithm-Based
Summarization. We have detected that studies was focused on Attribute Selection”, 9th Ibero-American Conference on AL, Lecture
English language. We have seen the success of Turkish Notes in Computer Science, 3315 (2004):305–314.
studies around 50%.We have concluded that combination of [25] Witte, R., Krestel, R. and Bergler, S., (2007). “Generating Update
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A Review of Multi Objective Optimization

Huseyin Ahmetoglu*, Ridvan Saracoglu+
*
Computer Technologies Department
Vocational Higher School of Midyat
Mardin Artuklu University, Mardin, Turkey
huseyinahmetoglu@artuklu.edu.tr
+
Electrical-Electronics Engineering,
Engineering Faculty, Yuzuncu Yil University, Van, Turkey
Abstract— Merging systems, enhancing inter-disciplinary In this study, articles included in the literature in the last 15
relations and increasing needs require multi objectives rather years and referred more than other articles written in the same
than a single objective in the optimization problems nowadays. year are analysed in terms of subjects, methodologies and
However, the objectives are frequently conflicting. When an results for Multiobjective optimization. These concepts in the
objective is improved, the other objective(s) may deteriorate. In
literature are handled under separate headings. Multiobjective
the multi-objective optimization problems (MOOPs), the aim is
to come up with the best solutions that can be an alternative for optimization methods can be divided into two groups as
each other in terms of objective function values under the classical and heuristic methods. In this study, we explain the
constraints caused by various reasons. During the last two methods mostly used or referred in the articles. Each article is
decades, MOOPs and solution methods have been studied with analysed in terms of its methodology under the relevant
great interest. It is possible to come across a MOOP in almost heading. Other unexplained methods and new approaches
every discipline in the literature. MOOPs have been modelled related to multiobjective optimization are analysed under the
and solved not only in the fields with more applications such as same heading. Methods chosen in the articles are analysed
production, management, business administration, marketing, along with the reasons in the conclusion part. Success criteria
transportation and finance but also in the basic sciences such as
of the studies conducted in special areas are mentioned.
chemistry, maths and statistics. Solution of MOOPs requires the
simultaneous optimization of conflicting multi objectives. In Subjects are suggested for future studies to obtain more solid
MOOPs, an optimal solution set on which a compromise is results from multiobjective optimization.
reached among the conflicting objectives is obtained. In this
study, the articles on multi-objective optimization written in 2015 II. MULTIOBJECTIVE OPTIMIZATION
and later are analysed and 61 articles are chosen among them. The main difference between single objective problems and
Classical and heuristic methods implemented for the solution of multiobjective problems is that; there is a single optimal
MOOPs presented in these articles are mentioned. The articles solution or alternative optimal solutions in single objective
are classified according to their subject areas. The methodology
problems while there is not any solution simultaneously
used in each article is identified. According to their
implementation areas, the multi-objective optimization methods
delivering the best value for each objective in multiobjective
and the areas they are implemented the most are discussed. The problems. Since all objectives are important in these problems,
areas to be focused on in the future studies to obtain more robust looking for a solution only for one objective is wrong.
results in the optimization are identified. Improvements in an objective cause deterioration in at least
one of the other objectives due to conflicting objectives.
Keywords— multi-objective optimization, Pareto optimal set, Tradeoff amounts are obtained among identified solutions
genetic algorithm methods, particle swarm optimization depending on their function values because of conflicting
objectives. Acceptable tradeoff amounts depend on decision
I. INTRODUCTION makers. In this case, there is generally not a certain optimal
Optimization can be described as obtaining the best solution in multiobjective problems. Some of the solutions
solution in line with the constraints identified for objective(s) obtained and tradedoff are presented to the decision maker as
desired to be reached. First, decision variable is identified and the best solutions.
then, objective function of the problem is formed in the A general multiobjective optimization problem includes n
solution of an optimization problem. Constraint function of parameters (decision variable), k objective functions and a
the problem, if available, is described and the appropriate group of m constraints. Objective functions and constraints
solution method to be chosen is applied according to are written as the function of decision variables. Optimization
optimization classification. Although the majority of studies process can be formulated as
on optimization focus on a single objective, optimization min = ( )= ( ), ( ), … , ( )
problems we come across in practice are based on multi ( )= ( ), ( ), … , ( ) ≤ 0
objective optimization.
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= ( , ,…, ) ∈ (1) provide the best immediate aid possible in postearthquake

= ( , ,…, ) ∈ response. Ehrgott et al [79] presented Minmax Robustness
. Here it is appropriate to describe y as the decision vector, y approach to obtain more robust results in classical
as the objective vector, X as the decision space and Y as the optimization methods. They tried their approach on many
objective space. Constraints e(x)≤0 show accessible solution linear and quadratic programming. NarimanZadeh et al [45]
set for the described problem. [1]. suggested a new multiobjective uniformdiversity genetic
algorithm (MUGA) procedure based on developed ε
A. Concept of Domination elimination for vehicle vibration systems.
Let a, b X be two separate solution vectors of a multi
objective optimization. In a problem with maximization type A. Weighted-Sum
objective functions, solution a dominates solution b if ( ) > In this method, objectives are given weights, these weights
( ) j ∈ (1,2, … ) is the case for each i ( ) ≥ ( ) are added together and a single weighted objective function is
∈ (1,2, … ) and at least one j. In the cases without obtained. Weights are determined according to the importance
dominance, a and b solutions cannot dominate each other for attached to the objective by the decision maker. Optimal result
at least one i ( ) < ( ) and at least one j ( ) > ( ).[2] can be obtained using the function composed of weighted
objectives. Determining the weights can be difficult due to the
B. Pareto Optimality lack of information on the problem during implementation of
the method. If the problem is convex and the weights are
A solution can be the best, the worst or equal to other
positive, Pareto optimal solution is obtained [4]. In the other
solutions depending on its objective values. The best solution
cases, in other words; if the problem is concave and the
means a solution which is not the worst solution in any
weights are not positive, it is wrong to look for a solution
objective and is better than the other solutions in at least one
using this method.
objective. ParetoOptimal solution is the solution not
Considering the studies using weightsum; Altiparmak et al
dominated by another solution in the search space [2].
[29] developed the weightsum approach in the design of
Considering all objective functions, the set of all dominant
supply chains network and a procedure finding Pareto optimal
solutions is called Pareto Front. The real aim of multi
solutions. An experimental study using actual data from a
objective optimization is to find or approximate to the Pareto
company, which is a producer of plastic products in Turkey,
front and enable a fair distribution over this front.
was carried out. Xiang et al [44] came up with the multi
III. CLASSICAL METHODS FOR MULTIOBJECTIVE PROBLEMS objective optimization (MOO) formulation for human lifting
simulation with weightedsum approach. They observed that
These methods are effective if the structure of multi
the results are more sensitive compared to single objective
objective decision making problem aimed to be solved is
optimization. Marler and Arora [46] investigated the impacts
appropriate and finding the best solution is possible if
of weight selection in the solution stages of weightedsum
available. Regarding the studies using classical optimization
method and tried to solve the problem without knowing the
techniques in general, Diakaki et al [38] evaluated the success
weights in advance. Devarajan et al [61] presented an
of classical optimization methods in energy efficiency of
optimization modelling using weightedsum in order to reduce
buildings. They analysed the suitability of multiobjective
the cost of wireless communication. They observed the results
optimization techniques in the solution of problems related to
of the approach on simulation. Gjorgiev and Cepin [62]
energy efficiency of buildings. They observed it in the
suggested an optimization approach using weightedsum
practices of a simple example. Ren et al [48] designed a
method for the combined economicenvironmental power
modelling for the distributed energy resource (DER) using
dispatch problem. They tried the algorithm in different power
multiobjective linear programming (MOLP). This modelling
systems and they compared the results with multiobjective
was implemented within the scope of a case study in a eco
differential evolution (MODE) and NSGA II. Sun et al [83]
campus in Japan. Giarola et al [53] realized biorefineries
presented optimization modellings for patient and resource
spatial design with Mixed Integer Linear Programming
allocation among hospitals during a pandemic influenza
framework. In this way, they succeeded in simultaneously
outbreak. Weightedsum was used in mathematical
optimizing economic and environmental performances. Asadi
modellings.
et al [56] presented a multiobjective optimization model with
Thebycheff formulation in order to reduce energy cost of IV. MULTIOBJECTIVE DECISION MAKING PROBLEMS BEYOND
buildings. They applied the model on a house by conducting CLASSICAL METHODS AND GENETIC ALGORITHM
required renovations and showed the feasibility of these
For the majority of multiobjective decisionmaking
approaches. Karande and Chakraborty [60] introduced a new
problems, it is almost impossible to obtain Pareto optimal
approach for material selection problems in product designs.
solution set with classical methods. The reason is that most of
They developed a multiobjective optimization on the basis of
the multiobjective problems are NPhard. [6].
ratio analysis (MOORA) independent from weights of
Problems with integers are generally quite complicated and
selection criteria and normalization procedures of decision
have a concave search space and it its hard to find the best
matrices. Najafi et al [63] suggested a source optimization
solution set. Convergence to Pareto optimal solutions is quite
model using classical optimization methods in order to
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slow in classical methods. Searching for the optimal solutions objectives. It is know that using genetic and evolutionary
for these is only possible with heuristic methods [7]. algorithms for the solution of multiobjective optimization
Genetic algorithm (GA) is the application of genetic related problems is advantageous.
mechanisms in optimization problems as an algorithm.
Reproduction in genetic generally occurs through mutation A. Multi-Objective Genetic Algorithm
and crossover. These are GA operators. The obtained Multiobjective Genetic Algorithm (MOGA) was
individual (solution) should have a good fitness value to developed by Fonseca and Fleming [13]. Groups are formed
maintain its participation. In this way, strong individuals starting with the nondominated solutions in the first group
succeed in survival and can transfer their genes to the next and solutions dominated for once in the second group. In each
generations. Therefore, better solutions can be achieved by group, only the proximity of solutions to each other in the
transferring the information on the solutions with good results same group is calculated. Following the calculation of
to the next solutions [8]. proximities, fitness parameter ( ) which should be a
To be able to use GA in a computer, the most compatible small number depending on the problem is identified. It is
coding method for the problems should be used. The mostly easy to calculate fitness values of the solutions in MOGA
used methods are binary coding, permutation coding and real method. Furthermore, MOGA can be applied in various
number coding. optimization problems with fitness parameter . However,
Selection of the solutions to be used in the next generation in this technique, giving the same fitness value to different
is one of the important steps in GA operation. Various solutions on the same front may cause the algorithm to look
selection methods were suggested as a result of research for the solutions on the wrong front. In practice, it has been
studies. Selection methods commonly used in practice include proved that MOGA is quite sensitive to the type of concerned
roulette wheel [9], selection sort [10] and tournament solution area. Besides, the algorithm does not guarantee that a
selection [11]. The common feature of these methods is that solution has always a better fitness value than a worse solution
solutions obtained are probabilistically selected according to [14].
their compatibility value. Probability of the solutions with Considering the studies using MOGA, Wang et al [25]
good compatibility value to be included in the next generation optimized the conflicting economic and environmental
is always high. objectives in environment friendly building designs with
Crossover and mutation are used to obtain new solutions MOGA. They presented a case study and demonstrated the
using the selected solutions. Crossover is more commonly effectiveness of their approach for identifying a number of
used compared to mutation operator. There are onepoint, Pareto optimal solutions for green building design. Tahara et
twopoint and multipoint crossover techniques. It is observed al [30] optimized various objective values in ship design with
that onepoint and twopoint crossover techniques are used the Sequential quadratic programming (SQP) and MOGA. They
most. Mutation is an operator applied on solutions obtained formulated a multiobjective optimization problem where
after crossover operation. It is applied on the solutions with a ship propulsion and maneuverability performances are
small mutation probability identified beforehand and various considered. Pierobon et al [72] realized Rankine cycles
solutions are obtained in this operation. Mutation operator optimization for waste heat recovery using MOGA. They
provides diversity in the formation of next generations. It is observed in the results that they could prevent heat loss.
possible to obtain bad results as well as good ones with
crossover and mutation; however, these solutions are B. Non-dominated Sorting Genetic Algorithm
eliminated during selection. In GA, population extent should Nondominated Sorting Genetic Algorithm (NSGA) was
also be determined in addition to crossover and mutation developed by Srivas and Deb [15]. The method starts with
control parameters. Most of the problems are quite sensitive to sorting the solutions obtained randomly according to their
these three parameters and the best solution is obtained only dominance. As in MOGA method, proximity among the
with the right selection of parameters [6] . solutions in each subpopulation is calculated. Solutions are
Considering the studies using GA, Rao and Patel [66] selected with roulette wheel method. In this method, the
presented a new approach for heat exchangers optimization chance of the solutions in the nondominated 1st sub
using modified teachinglearningbased optimization population ( ) to be selected is higher. New solutions are
algorithm. They compared the results obtained with GA obtained by applying crossover and mutation on the selected
results. Omkar et al [50] compared the results of the system solutions and the algorithm keeps looking for solutions until
designed for Vector Evaluated Artificial Bee Colony (VEABC) stopping criterion is formed. NSGA method classifies
and its multiobjective optimization with PSO, Artificial solutions according to their dominance and assigns fitness
Immune System (AIS) and GA. values. Various practices have shown that the algorithm is
especially sensitive to its parameter [15].
V. MULTIOBJECTIVE GENETIC ALGORITHMS
Considering the studies using NSGA, Ahmadi et al [70]
There may not be a single best solution for all objectives in aimed to obtain maximized power, thermal efficiency and
multiobjective cases. In this case, the decision maker is asked minimized pressure loss using NSGA in Stirling heat engine
to select a solution from a compromised finite set. Appropriate design. They observed the results using experimental data.
solution should perform at an acceptable level for all
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C. Elitist Non-dominated Sorting Genetic Algorithm from NSGAII and MOEA/D with the results obtained from
Elitist Nondominated Sorting Genetic Algorithm (NSGA two classical methods. Ahmadi et al [78] presented a new
II) was developed by Deb and Goel [18],[19]. This algorithm approach by using NSGAII in order to optimize each stage of
is similar to NSGA method; however, parameters used in biomass energy. They showed the Pareto front and observed
the results with statistical analyses. Song et al [80] suggested a
NSGA are not used in NSGA II. NSGA II does not
semiactive battery/supercapacitor (SC) hybrid energy storage
need the fitness parameter. The algorithm gives more chance
system (HESS) for electric vehicles. They realized parameter
to the prominent results and it is almost impossible to lose
optimization using NSGAII in their studies.
these solutions. Therefore, the algorithm never loses the
Pareto optimal solution found until the current step. Solution D. Strength Pareto Evolutionary Algorithm
selection mechanism is used to limit the population size;
however, in this case, the algorithm may lose its feature of Strength Pareto Evolutionary Algorithm (SPEA) was
proximity to the optimal solution. Since the number of developed by Zitzler and Thiele [20]. In this algorithm,
solutions in the subset where first nondominated solutions diversity in the selection of Pareto optimal solutions is
exist is not higher than the number of main population, all ensured with clustering analysis. Calculation of proximities is
solutions in this set are selected. Therefore, diversity among easy and additional parameters are not required. In the
the selected solutions is not ensured. algorithm, parameter , which is the size of populations
In the studies using NSGAII, Sarkar and Modak [23] where prominent solutions will be tracked, should be
developed a solution method for fedbatch bioreactors with identified. Furthermore, balance between the main population
NSGAII. They applied this method on two problems included size and should be ensured in order to obtain good results
in the literature and solved with many methods previously. from the algorithm. should be neither too big nor too small.
Atashkari et al [26] found out Pareto fronts of conflicting If it is too big, the algorithm loses much time with prominent
objective functions in the thermodynamic cycle of turbojet solutions and may not generate other solutions and converge
engines using εelimination and NSGA II. Further, they to optimal solutions. If it is too small, solutions in the
observed some interesting and important relationships among prominent set are not used enough and it may cause the
optimal objective functions and decision variables involved in algorithm to excessively look for the solutions outside the area
the thermodynamic cycle of turbojet engines. Deb et al [31] where optimal solutions exist. A criticised feature of the
developed a new robustness procedure in order to obtain more algorithm is that it gives a fitness value for dominance
realistic results instead of a general pareto front. They used criterion to the solutions in the main population during the
NSGA II to compare global and robust pareto fronts. They formation of populations. Furthermore, the power values
developed many limited and unlimited test problems to show obtained sometimes cannot keep the nondominated solutions
the obtained results through simulation. Goel et al [32] of the same importance at the same value [2].
realized approximations on the Pareto Front obtained with Considering the studies using SPEA, Farmani et al [24]
NSGA II. They showed that the approximated Pareto optimal focused on certain objectives such as capital, operation, life
front (POF) can help visualize balances and quantify values cycle, maintenance costs, system reliability and water quality
among objectives to select compromise designs. Mandal et al which should be simultaneously optimized in the design of
[34] obtained Pareto set by modelling electrical discharge water systems. Two examples related to design of water
machining (EDM) with NSGA II. They carried out systems were applied on each of MOGA, NSGA and SPEA
experiments over a wide range of machining conditions for algorithms and their Pareto fronts were compared. Ali et al
training and verification of the model. Testing results [57] amended Differential Evolution (DE) algorithm and
demonstrated that the model is suitable for predicting the transformed it into MultiObjective Differential Evolution
response parameters. Jia et al [40] worked on the optimization Algorithm (MODEA). They introduced new approaches to
of energy, cost and scope parameters in the use of wireless mutation and selection mechanisms in the meanwhile. The
network with NSGA II. Numerical and simulation results new approach obtained was applied on different multi
validate that the procedure to find the optimal balance point objective problems and the results were compared with
among the maximum coverage rate, the least energy algorithms NSGAII, SPEA and Pareto Archived
consumption, as well as the minimum number of active nodes Evolutionary Strategy (PAES) developed by Knowles ve
is fast and effective. Shokri et al [67] suggested a new method Corne [21].
by combining NSGAII and artificial neural networks (ANN)
in order to reduce time spent for the solution of multi
E. Strength Pareto Evolutionary Algorithm 2
objective optimization problems with evolutionary algorithms Strength Pareto Evolutionary Algorithm 2 (SPEA2) was
(EAs). The suggested method was applied on three standard developed by Zitzler et al. [22]. It is the developed version of
problems and one reallife problem. They were able to SPEA method. SPEA2 introduces a better scoring mechanism,
considerably reduce the time required to find Pareto optimal an intensity estimation technique and a developed archive
front compared to NSGAII solutions used without ANN. (secondary community) management compared to SPEA
CampomanesÁlvarez et al [74] realized surface method. SPEA2 uses finegrained fitness assignment strategy
simplification optimization for a 3D open model mesh using intensity information. Furthermore, size of the archive
simplification problem. They compared the results obtained externally storing the nondominated individuals is stable. If
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the number of nondominated individuals is lower than the flexible jobshop scheduling problem using particle swarm
previously identified archive size, the archive is filled with optimization and local search. They compared the efficiency
nondominated individuals. Additionally; the clustering of the approach presented with other algorithms in the
technique used when nondominated surface is over the literature. Qasem and Shamsuddin [51] applied TVMOPSO
archive size was replaced with an alternative downsizing on radial basis function (RBF) used in the diagnosis of
method that has similar features but does not lose front points. medical disorders. They compared the results with MOPSO
Finally, another difference from SPEA is that only the archive and NSGA II. Yildiz and Solanki [59] presented a new
members are used in selection process. method for the multiobjective optimization of
Considering the studies using SPEAII, Durillo and Nebro crashworthiness of vehicles. The PSObased method was
[54] designed a developed optimization practice with NSGA applied on two optimization problems in the literature.
II and SPEA2. In this way, they realized metaheuristic and KhaliliDamghani et al [64] suggested dynamic selfadaptive
experimental practices in the solution of multiobjective multiobjective particles warm optimization (DSAMOPSO)
optimization applications. Xue et al [75] realized a feature for the solution of multiobjective reliability redundancy
selection optimization using PSO with the aim of reducing allocation problems (MORAPs). They compared the results
surplus and unnecessary features in the data sets and obtain obtained from test problems with TVMOPSO and NSGAII
more accurate results in a shorter time in classification. They results. Garg and Sharma [65] reformulated multiobjective
compared the results obtained with NSGAII, SPEAII and reliabilityredundancy allocation problem with fuzzy multi
PAES. objective optimization problem (FMOOP). They solved the
fuzzy MOOP obtained using PSO. The approach has been
VI. PARTICLE SWARM OPTIMIZATION demonstrated through the case study of a pharmaceutical plant
Particle Swarm Optimization is a swarmbased algorithm situated in the northern part of India. Zhang et al [68] realized
developed by Kennedy and Eberhart in 1995 with the an uncertain orbit optimization using risk and orbit distance
inspiration from fish schools and bird flocks in the nature [12]. parameters in the problems related to orbit planning for robots.
The algorithm was built on the behaviours of flock animals In their studies, they used PSO and observed the results from
practices in order to meet essential needs. Particle concept simulation. Taormina and Chau [82] created a multiobjective
used in PSO algorithm represents each individual in the problem using crossvalidation for PSOtrained neural
swarm. Each individual in the swarm has position information network river forecasting (NNRF). They solved this problem
indicating the position of the individual in dsize solution with multi objective fully informed particle swarm (MOFIPS)
space and speed information indicating its movement in dsize approach using actual data.
solution space. PSO is a repetitive algorithm. Therefore, speed
and position information of the particle is updated during each VII. OTHER METHODS AND NEW APPROACHES
repetition. While speed information of the particle is updated, New approaches presented for the solution of MOOPs and
not only the heuristic speed information from the previous methods developed for special systems are handled.
step but also cognitive and social experiences are used. For Mahapatra and Roy [27] developed a new fuzzy multi
the updated position information of the particle, position objective optimization method in order to increase system
information and updated speed information of the particle reliability. The main aim was to increase reliability while
from the previous step are used. [12, 16]. reducing the cost. Huang et al [28] developed a special
Considering the studies using PSO; Wang and Singh [35] interactive fuzzy multiobjective optimization model for
suggested fuzzified multiobjective particle swarm engineering designs. In this model, balance matrix was used
optimization (FMOPSO) for the compromising economic and and weight coefficients of objective functions were identified
environmental objectives in electricity transmission. The depending on preference. Igel et al [33] transformed
performance of the suggested approach was compared with covariance matrix adaptation evolution strategy (CMAES)
Weighted Clustering (WA) and evolutionary multiobjective delivering quite good results in singleobjective optimization
optimization algorithms. Tripathi et al [36] developed Time for multiobjective (MOCMAES) and elitists problems.
Variant MultiObjective Particle Swarm Optimization (TV Obtained results were compared with NSGA II. Jaeggi et al
MOPSO) procedure based on PSO multi objective [37] adapted Tabu Search algorithm for the solution of
optimization approaches and measured the performance by MOOPs. All results were compared with MOTS (Multi
comparing with algorithms such as NSGA II and PESA II. Objective Tabu Search), PRMOTS (Path Relinking Multi
Zhang and Liu [39] presented a new formulation with fuzzy Objective Tabu Search) and NSGA II. Thiele et al [41]
adaptive PSO (FAPSO) for multiobjective reactive power elaborated the obtained pareto optimal set with the
and voltage control. The proposed approach has been instantaneous preferences of the user in each repetition using
examined and tested with promising numerical results of the multiobjective evolutionary algorithm (MOEA). In this way,
IEEE 30bus and IEEE 118bus power systems. Zhang and they managed to include ignored but essential solutions in the
Xing [47] developed a construction method with PSO for the pareto optimal set. Kim et al [42] designed multiobjective
time–cost–quality tradeoff problem. They applied the populationbased incremental learning (MOPBIL) for the
suggested method with computerized analyses and verified. fuzzy path planning of robots. Simulation and experiment
Moslehi and Mahnam [49] presented a new approach for results show the effectiveness of the proposed MOPBIL from
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the viewpoint of the proximity to the Paretooptimal set, size be more precise, the more the problem is complicated and
of the dominated space, coverage of two sets and diversity unknown, the more the probability of selecting heuristic
metric. Chaudhuri and Deb [43] developed a procedure to methods increases. Classical methods are chosen when
assist users to select a specific solution on the obtained pareto complete and certain results are desired to be obtained. In the
optimal set with multiobjective evolutionary optimization operations where solution performance is low due to the
(EMO). Huang et al [52] developed a new online multi complexity of the problem, pareto optimal set which can
objective optimization algorithm for membrane computing. satisfy the operator and show the approximate results is
They prevented the formation of undesired and wrong obtained. In the articles, finding the algorithms that can
solutions with online controls in this dynamic algorithm. Yang present the pareto optimal set most accurately and in the
[55] developed the multiobjective bat algorithm (MOBA). He shortest notice becomes prominent as the main aim.
applied the algorithm on the problems related to welded beam Another outstanding subject in the articles is NSGAII
design and observed its success in the results of simulation. which is one of the multiobjective genetic algorithm types
Fesanghary et al [58] presented a model based on harmony among heuristic methods. It was observed this algorithm
search algorithm (HS) in order to minimize life cycle cost delivers the most diversity in the solution of problems. This
(LCC) and carbon dioxide equivalent (CO2eq) and maximize algorithm either serves as the main method of many
energy efficiency of the buildings. To measure the efficiency operations or the developers use a variant of this algorithm.
of the proposed approach, they tested the performance of the The abundance of NSGAII use in the measurement of special
model on a typical single family house. Jiménez et al [69] algorithms developed is outstanding. In the studies using PSO,
conducted an optimization study on production planning using the most remarkable feature of PSO is its easy practice in
fuzzy multiobjective evolutionary algorithm. They compared most of the systems. Developers have experimented many
the results with NSGA II. Sindhya et al [71] attempted to variants of PSO on the same problem and compared the
eliminate the problems arising in optimization process with results.
multiobjective evolutionary algorithms (MOEA) using new Considering the studies in the special areas, it is observed
hybrid systems. NSGAII and MOEA types were transformed that multiobjective optimization methods in the literature are
into hybrid systems and the results were compared. Niu et al either used in the same way or their variants are applied. The
[73] developed a new multiobjective Bacterial Foraging success of algorithms developed in the studies are measured
Optimization (MBFO) algorithm and compared the obtained with the comparison of results from many methods applied on
results with NSGAII and MOPSO. Wang et al [76] presented the same problem.
an approach for costenergy optimization in the coalfired One of the biggest problems arisen during the studies is the
thermal power plants. In their approach, they used multi ignorance of essential solutions for users while finding the
objective differential evolution (MODE) and showed the pareto optimal front. All these observations bring this question
results with simulation. Huang [77] developed a design to the mind: Is it possible to develop a multiobjective
optimization for design exploration of threedimensional optimization method that can be applied on optimization
transverse jet in a supersonic crossflow and observed the problems in each area and provide the maximum performance
results with simulation. Wang et al [81] presented a multi in the solution? For the answer of this question, it is observed
objective optimization for combined cooling, heating and that studies on the performance of multiobjective
power system (CCHP). In the experiments conducted, it was optimization among the articles are quite important. The
found out that a more comprehensive solution set is required outstanding point in these studies is the interaction between
to obtain more successful results from optimization. application and user. If the future studies focus on increasing
the performance and robustness of multiobjective
VIII. CONCLUSIONS optimization, methods delivering results where most
In this study, 61 articles published in the last 15 years are approximate values to the solution are found in the shortest
selected and analysed. Each article is handled under separate notice and essential solutions for the operators are not ignored
headings in terms of their subjects, methodology and results. can be developed.
As a results of the analysis, it is observed that operations using
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Long Range Wireless Point to Point Link Network

on 5 GHz Frequency Band with VoIP
Rida Khan*, Arslan Ayoub+, Rumsha Ansari+
*
Department of Electronics and Communication Engineering, Istanbul Technical University
Istanbul, Turkey
rida.khanoct@yahoo.com
+
Department of Telecommunication Engineering, Mehran University of Engineering and Technology
Jamshoro, Pakistan
Abstract— 802.11 Wi-Fi technology is commonly used for expensive and resources are wasted as well. Satellites
creating wireless access networks with a maximum range of one technologies are very efficient for broadcast traffic, but when
hundred meters. With careful planning and proper antennas, it comes to bidirectional internet and intranet access and
this same technology can also be used to make point to point interactive communications, they tend to be severely limited
links up to several kilometres. Since, it is not always feasible in throughput and costly. Traditional microwave links can
and wise to run cables over long distances to connect different scale in throughput but generally require licensing and hence
networks, therefore, wireless links may turn out to be cost
effective alternative to their counterpart wired links while
are expensive to be utilized. Networks with base station model
creating long distance networks and providing network such as Worldwide Interoperability for Microwave Access
scalability. Wi-Fi-based point to point links can therefore be (WiMAX) and cellular networks like General Packet Radio
used to connect two local area network (LAN) segments, which Service (GPRS) and Code Division Multiple Access (CDMA)
besides being cost-effective, provides network scalability and consist of expensive base stations, which do not cover enough
other advantages such as high speed, centralized and easier users in low-density regions and hence lead to the waste of
management and high throughput for line of sight (LOS) resources [2].
applications. A Wi-Fi-based point to point link can extend the
range of wireless LAN by a few hundred feet to few miles which Wireless mesh networks are generally established using the
can further be increased by using highly directional antennas 802.11 Wi-Fi technology and serve to provide internet access
for point to point links, while serving as a backup network in in high user density environments. These wireless mesh
different organizations. So, we have designed a soft private networks provide full coverage of the region using Omni-
branch exchange (PBX) system for a university campus or directional Access Points (APs) over a range of about one
organization, facilitating voice over internet protocol (VoIP) hundred meters. But mesh networks suffer from two major
calls and instant messaging, employing the idea of Wi-Fi- based
short comings when scaled to larger areas. First, an increase in
point to point links. Moreover, we have also analysed the
quality of service (QOS) of the given setup in terms of data rate number of APs in the growing network with Omni-directional
and connectivity using bandwidth test and ping test respectively, antennas leads to increased interference in over-lapping cells.
for both transmission control protocol (TCP) and user Second, the use of low gain Omni-directional antennas
datagram protocol (UDP) scenarios. increases the hop length, resulting in a decrease in throughput
[2]. Thus, it can be implied that for low density of users,
Keywords— Wireless Point to Point Bridge Link, LAN traditional approaches that provide full coverage or require
segments, Soft PBX, VoIP, Instant Messaging, QOS. wiring of sites are not feasible. The alternative is to cover only
those few places where connectivity is required, by employing
I. INTRODUCTION long distance wireless point to point links. Such links can be
Many rural regions in developing and developed countries employed using Wi-Fi for low cost and ease of configurability.
with low user densities do not have good connectivity Hence, the best solution for internet access and intranet
solutions with a low budget. In low density environments, communications in low density environments and some
people are usually clustered around small localities, with large organizations is using Wi-Fi in bridge mode providing point
distances among these clusters. The example of such to point and point to multipoint links [1].
environments is a large enterprise situated in premises, with Wi-Fi-based point to point links have proved to be the cost
different departments or buildings at a distance or possibly effective alternative to their counterpart wired networks to
villages or sub-urban areas. In such cases, traditional options provide communication over long distances, especially in
to provide connectivity are not economically viable [1]. rural areas and within an enterprise or premises. Wi-Fi-based
Fibre optics can be a very good choice for long distance point to point links are relatively cheap and provide a number
backbone networks. It provides good reliability but it is not of advantages such as network scalability, high speed,
suitable for network scalability. Besides its installation and centralized and easier management and high throughput for
maintenance costs are quite high. So in case of low density Line of sight (LOS) applications. Wi-Fi-based point to point
environments and intranet connectivity, they turn out to be links can extend the range of wireless local area network
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(WLAN) by a few hundred feet to a few miles, by segmenting wireless bridge is much more cost effective than the
it, using highly directional antenna and adequate planning for installation and maintenance of a wired network whether it
these point to point links. They can also serve as a backup is fiber optics or copper, for the same purpose. Wireless
network in different organizations. bridges provide connectivity when it is difficult to wire the
Therefore, in this paper, we propose the idea of Wi-Fi-based sites. Moreover, with wireless bridges, network scalability
point to point links for any type of low density environment can be performed very easily by just providing another AP
with voice over internet protocol (VoIP) and instant working in the bridge mode at the place of interest [4].
messaging services in a soft private branch exchange (PBX)
system. We setup a server to enable these applications at one B. Wireless APs
end of the soft PBX system and configure the APs to enable Wireless access points (APs or WAPs) are specially con-
Wi-Fi-based point to point links for providing services at the figured nodes on WLANs. These are the network devices
other end of the soft PBX system. Furthermore, we also used to connect multiple wireless devices to wired LAN,
analyse the quality of service (QOS) of the given setup in
for accessing internet. APs act as a central transmitter and
terms of data rate and connectivity using bandwidth test and
receiver of WLAN radio signals. APs used in home or
ping test respectively, for both transmission control protocol
small business networks are generally small, dedicated
(TCP) and user datagram protocol (UDP) scenarios.
hardware devices featuring a built-in network adapter,
The rest of the paper is organized as follows. In Section II,
related terminology used in this paper is discussed and Section antenna, and radio transmitter. APs support 802.11 wireless
III puts light on the system model. Section IV explains the soft communication standards. Usually, WAPs operate in "root
PBX system and Section V presents observations. Section VI mode", a point to multipoint configuration in which the
finally concludes the paper. AP relays frames between many 802.11 stations and an
adjacent Ethernet LAN. However, WAPs also have
II. RELATED TERMINOLOGY bridging mode that can be configured for connecting LAN
A. Wireless Bridges segments in point to point link configuration. Wireless
bridges relay frames between LAN segments using the
We use wireless bridges in our system to connect network
same 802.11 wireless communication standards [4].
segments using point to point links. LAN would be flooded
with unnecessary traffic if the messages are broadcasted to C. 2.1 FCC Rules for 802.11 Standards
every destination in that network thus bridges are usually
Since, Wi-Fi 802.11 standard operates in an unlicensed
used for the segmentation of LAN and interconnection of
Industrial scientific and medical (ISM) band therefore, the
LAN segments. A bridge network solution does not
signals operating over that band can interfere with each
necessitate difficult configurations, like IP routing. The
other. So, there are some rules defined by FCC to cope up
bridge network manages LAN segments and creates a single
with it that put some limitations on the power or Effective
subnet for the entire network. Bridges work at the data link
Isotropic Radiated Power (EIRP) of the signals radiated on
layer of the Open System Interconnection (OSI) model.
this band. These rules are different for 2.4 GHz and 5 GHz
Bridges learn which addresses are on which network
operating frequencies of ISM bands as well as for point to
segment and develop a forwarding table so that subsequent
point and point to multipoint topologies. In this project, a
messages can be forwarded to the right network segment.
point to point link is established between LAN segments
Bridges examine the incoming packets and look up the
operating on the 5 GHz band within the limitations defined
forwarding table for their destination m e d i a a c c e s s
by FCC, which state that. “For maximum transmitted power
c o n t r o l ( MAC) address. If the destination MAC address is
of 30dBm, a directional antenna gain of 23dBi can be used
found in the forwarding table, the packet is forwarded to the
with no reduction of transmitter power output in point to
corresponding port and if the destination MAC address is not
point links. However, if directional antenna gain increases
found in the same segment, the bridge restricts the
greater than 23dBi, a 1dB reduction in peak transmitter
transmission [3].
power is required for each 1dBi increase in antenna gain
Wireless bridges are same in functionality and used to greater than 23dBi” [5].
connect two LAN segments via a wireless interface such as
a radio link, to facilitate connectivity and data transfer D. Fresnel Zone Clearance in Point to Point Links
between them. Wireless bridges are commonly used to We use 5 GHz ISM band to establish point to point link
interconnect wired network segments such as an Ethernet in our system that falls in the microwave region of
network via wireless link. In simple terms a wireless bridge electromagnetic spectrum. Microwave links are generally
is a device that allows two network segments of users to used for LOS communications as microwaves are highly
transparently communicate to one another over long directional and travel in straight lines. But the energy of
distances without wires. They can be used to connect microwaves is not pencil thin. They spread out the farther
areas that are geographically apart like a remote building to they get from the antenna. The area that the signal spreads
the main building up to 30 miles, using proper antennas out is called Fresnel Zone. If there is an obstacle in the
and LOS. Connecting two locations wirelessly through a Fresnel zone, part of the radio signal will bent away from
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the straight line path which will result in the reduction of the enable the use of MIMO feature of 802.11n standard used in
amount of radio frequency (RF) energy reaching the the device. With HT chains 0 and 1 enabled at the
receiving antenna. Fresnel zones can also be viewed as the transmitter and receiver sides, 2 by 2 antenna diversity and
concentric ellipsoids surrounding the transmitter, receiver spatial multiplexing can be achieved which significantly
and the LOS between them. The first Fresnel zone is the increases the throughput of the device. With “HT guard
region where the microwave transmission energy is the most interval” option, the length of guard interval can be adjusted
intense and it is the closest to the direct line between to minimize the inter symbol interference while maintaining
transmitter and receiver, as shown in Fig. 1. the desired throughput [9].
III. SYSTEM MODEL

The point to point microwave bridge link is established to
connect the LAN segments in the two buildings that are
1km apart in the campus. For proper transmissions the two
antennas should be properly aligned and should have a
clear LOS with 60 percent of the Fresnel zone
unobstructed. From the site survey, it was observed that
there are obstructions between the two departments so the
Fig. 1 Fresnel Zones antennas are needed to be mounted at a considerable
height to get an unhindered path. The system model in
The obstruction in the first Fresnel zone can even lead to Fig. 2 shows how different devices are connected to
link failures. Therefore, the Fresnel zone clearance is the establish the point to point link between LAN segments
most crucial phenomenon while designing the microwave and provide intranet connectivity as well as internet access.
point to point link. In order to provide a lossless The AP at one side of the link is configured as the bridge or
communication via point to point microwave link, the radius AP while on the other side, it acts as the client. The client is
of the first Fresnel zone should be 60 per cent clear of any connected to a switch/router to which wired device (such as
obstruction. This Fresnel zone clearance can be achieved by PCs) as well as wireless devices (like laptops, phones) can
adjusting the antenna heights at both the transmission and connect and use the wireless link. The AP at the other end
reception ends [6]. is also connected to a switch/router to which the IP PBX
E. Devices for Point to Point Link sever is attached for VoIP communication and instant
We use MikroTik SXT 5HnD devices to connect LAN messaging. Other wired or wireless devices can also
segments with a point to point bridge link. These are low connect to it for intranet communication. The
cost, versatile and high speed devices, operating at 5 GHz switches/routers transfer the VoIP calls/instant messages
frequency of ISM band. The devices include many important within a LAN segment and the APs (configured in AP or
features such as support for 802.11a/n wireless standard, bridge mode) transfer the VoIP calls/instant messages to the
transmitter power of 26dBm, built-in 16dBi dual chain other LAN segment. Ethernet cables and Power over
antenna, 10/100 Ethernet port and others. These devices Ethernet (POE) adapter are used for interface and power.
have their own proprietary wireless protocol, named as Nv2
for use with 802.11 wireless chips. Nv2 protocol is
specifically based on Time Division Multiple Access
(TDMA) technology for long range point to point links
instead of Carrier Sense Multiple Access (CSMA)
technology for 802.11 devices. Nv2 protocol in AP enables
to control media access by dividing time in fixed size slots.
These slots are dynamically allocated in downlink (data sent
from AP to clients) and uplink (data sent from clients to AP)
portions, based on queue state on AP and clients. Nv2 is
different from 802.11 as the media access is scheduled Fig. 2 System Model for Wireless Point to Point Bridge link
by AP. AP controls that how much time is used by every
A. Configuration of Devices
client and time is assigned to clients according to some
We use two RouterBoard SXT G-5HnD access points to
policy not according to contention based methods like in
establish the link. One of them is configured as a bridge (AP)
802.11 standards. Also propagation delay is reduced in Nv2
and other as a station bridge (client). The devices are
as there are no per frame acknowledgements. Nv2 graphically configured using Winbox software/ application.
implements frame aggregation and fragmentation to After logging into the devices at both AP/client end, both
maximize the assigned media usage and reduce per frame MAC and IP addresses are configured first and then their
overhead. The devices also include high throughput (HT) to identities are defined as AP or client.
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Wireless point to point link is created at both AP and client (SIP) address, very much like extensions in conventional
by defining different interfaces with address resolution PBX, with the soft PBX server, which maintains a
protocol (ARP) enabled. The wireless characteristics of the database of all its users and their corresponding SIP
point to point link such as band, channel width, frequency addresses. The VoIP telephone calls are established modified
and wireless protocol are set to be 5 GHz, 20 MHz, 5180 and terminated using the IP telephony protocol SIP. To make
MHz and Nv2 respectively at both AP and client end of the a call, the server is requested to establish a connection.
LAN segment. The manual transmit power is set to 30dBi When the called party’s number is dialed, the IP address of
as per FCC rules requirement at the client end. All HT the phone is mapped to the corresponding SIP address and
chains are enabled at both AP and client ends to provide then it is sent to the destination. The calls to and from
MIMO feature and the guard interval is kept 800ns to avoid PSTN are routed via VoIP gateway. If the call is to be made
inter symbol interference and get a more stable link. After outside the soft PBX network, the server directs it to the
setting the wireless point to point link, it is necessary to gateways from where it is sent towards the PSTN. Similarly
make bridge configurations at both ends of the LAN the calls from PSTN are directed to the server via the
segment. At both AP and client side, rapid spanning tree gateway and the server then sends them to the appropriate
protocol (RSTP) is used to prevent bridging loops and two destination [8].
interfaces are defined, one for the point to point bridge link
and the other for connecting to the particular LAN segment. A. For VoIP calls
We use Dynamic host configuration protocol (DHCP) to For VoIP calls, we use Asterisk which is open source soft
provide automatic IP address to the devices, connected to PBX software that can use both traditional Time Division
each LAN segment for soft PBX call and instant messaging. multiplexing (TDM) technology and packet voice protocols
The configuration is made on AP device that is connected to (VoIP and Voice over Frame relay). Asterisk acts as a full
the soft PBX server. A static IP is defined for the gateway featured PBX, supporting virtually all conventional call
DHCP and the rest of the IP addresses are allocated features on SIP phones like Caller ID, Call waiting, Call
dynamically from the DHCP pool for a maximum lease time forward/busy, Call forward/no answer, Voice mail, Least
of 3 days. cost routing, Call conferencing and many more. Asterisk
supports three VoIP protocols, two industry standards and
IV. SOFT PBX one specifically for Asterisk. Inter-Asterisk exchange (IAX)
PBX is a telephone switching system owned by a is the de-facto standard for Asterisk networking. The other
company that manages incoming and outgoing calls for the protocol used by Asterisk is Session initiation Protocol (SIP)
company’s internal users. Companies lease only one line and which is an Internet Engineering Task Force (IETF) standard
have many people using it, with each one having a phone at for VoIP. The last one is H.323 which is an International
the desk with different number, called extension. PBX Telecommunication Unit (ITU) standard for VoIP. Asterisk
automatically sends incoming calls to the required provides seamless and transparent translation among so
extensions. A PBX hence can switch calls within the many codecs and file formats such as A-law, u-law, GSM
organization and can also connect to the Public switched 6.10, MP3, PCM, VOX and LCP-10 [9]. In order to
Telephone Network (PSTN) for calling outside the configure soft PBX, we download and install Asterisk10
organization. A conventional PBX can be costly as it along with its packages on Ubuntu Linux operating system.
requires copper wires and other hardware equipment. Soft SIP file is edited to define SIP clients, codecs used, mailbox
PBX (also called IP or virtual PBX) is a telephone system addresses and other options. We set different extensions for
used for the sending voice over the internet protocol (IP) each SIP client or user under the context of phones
network and is same in application as the conventional PBX and a shared password is used to authenticate each phone.
but functions differently. It is based on a computer PBX The user reachability checks are performed every 60seconds.
software and voice over internet protocol (VoIP) instead of Out of all codes available, we use only u-law, A-law and
relying on the traditional telephone hardware and copper GSM codes in our soft PBX system. Mailbox is used for the
circuits. A soft PBX system uses a single network for data voice mail messages such that the voice mails for the user
traffic and voice calls, both encapsulated in IP packets and having extension 101 will be saved at 101@default. Dial
then transferred over the network, unlike conventional PBX. plan file is created to handle incoming and outgoing calls
The major part of the soft PBX is handled by the software so such that the commands are executed in the following order:
they are relatively inexpensive. A soft PBX system consists when there is a call for some extension, direct the call to that
of three components; phones, soft PBX server and an extension. After 20s the called party is asked to leave their
optional VoIP gateway. Phones should capable of supporting message which will be saved at extension@phones. The
VoIP. Soft PBX software installed in PC can serve the server is then directed to play an audio file and then hang-up
purpose of a soft PBX server. VoIP gateways are optional the call. A separate file for voicemail is made with a separate
and are used to connect to the external land line PSTN. The extension such that the called party is directed to the main
users in soft PBX register their session initiation protocol voice mail system to check the voice mails if there are any.
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All files are reloaded after their configuration. A. Bandwidth Test
B. For Instant Messaging Bandwidth test is done to get the bandwidth and data rate
of the link in both directions that is transmit and receive, at
Open fire version 3.8.0 server is used in the project to
both AP and the client. Bandwidth test also gives the packet
facilitate instant messaging which uses the only widely
loss at an instant when some particular number of packets
adopted open protocol for instant messaging; that is
is sent. Bandwidth test is done in two different scenarios of
Extensible Messaging and Presence Protocol (XMPP) (also
TCP and UDP as they provide different results in terms of
called Jabber). Jabber is an open, Extensible Mark-up
data rate and packet loss. Bandwidth test performed at the
Language (XML)-based protocol for instant messaging
AP device gives the results shown in Fig. 3. Results are
written in Java. Open fire can support Instant Messaging
taken for UDP as well as TCP in both directions when the
Transports that provides connectivity to external Instant
transmitted and received packet sizes are 1500 bits. The
Messaging services such as Yahoo Instant Messaging,
QOS analysis for UDP shows that the data rate at the
Microsoft Network (MSN)/Windows Live Messaging and
transmission is 45 Mbps and at the reception is 54.5 Mbps
Google talk Messaging. The server is also compatible with
giving the total data rate of about 99.5 Mbps in both
the Asterisk 10 server used for VoIP calls in the system.
directions that can adequately make several voice calls and
Concisely, open fire is a freeware open source server that
data transmissions simultaneously. For a packet size of 1500
provides instant messaging, broadcast messaging, offline
bits per packet, almost 66,333 packets are transmitted per
messaging and group chat. Open fire also provides a higher
second in both directions at a bidirectional data rate of
degree of security to the end user as the clients are connected
99.5 Mbps, out of which 554 packets are lost at an instant.
to the server using the Secured Sockets Layer (SSL) secured
Therefore, the packet loss is never exceeding 1 percent
connection so; the traffic streams in both directions are
which is optimum for voice calls and data transmission. For
encrypted. The server also provides a way of authentication
TCP, it can be clearly seen that the packet loss is 0 since
to its clients for improved security using a different user ID
TCP is a connection oriented reliable protocol in which each
and password for each client. Whenever a client is registered
transmitted packet is acknowledged and none of the packet is
to the server, the user ID and password for that instant
lost. However, due to multiple acknowledgements, the data
messaging service are stored in encrypted form on the server
rate is significantly reduced to 9.1 Mbps at the transmission
and are used for client authentication. Open fire is based on
side, 24.3 Mbps at the reception side and a total data rate of
the protocol that runs on Java so open fire requires Java Run
39.4 Mbps in both directions. But the data rate is still enough
time Environment (JRE) and Java development Kit (JDK) to
to send multiple voice calls and data files simultaneously.
operate. Open fire also requires MySQL server to make its
Bandwidth test performed at the client device gives the
user accounts database [10]. Therefore, first the latest
results presented in Fig. 4. The results for UDP show that the
versions of Oracle JRE/JDK are installed on the Linux
data rate at the transmission side is 61.5 Mbps and at the
server and then MySQL database server and client packages
reception is 32 Mbps, giving a total data rate of 93.5 Mbps in
are installed. When the MySQL server and client packages
both directions that is optimum for making several voice
are installed, the database or user accounts are ready to be
calls at the same time and the packet loss is seen to be zero
set. MySQL has its own user accounts which are not related
even for UDP protocol. The results for TCP protocol at the
to the user accounts on the Linux machine for VoIP calls. By
client side show that the effective data rate is reduced to
default, the root account of MySQL server is empty so, root
25.8 Mbps at the transmission side and 11.3 Mbps at the
accounts along with the passwords are defined. A new
reception side summing up to a total data rate of 37.1 Mbps
MySQL database is created for Open fire with a new
in both directions. The packet loss is zero for the same
username and password. After that Open fire 3.8.0 is
reason of reliability.
downloaded, installed and configured. For the configuration
of Open fire, first administrator account is setup with email B. Ping Test
and password and then the administrator account is used to Ping is an acronym for the word “Packet internet gofer”.
create users/clients with their corresponding usernames, Ping works over Internet Control Message (ICMP) protocol
email addresses and passwords. that checks for the relative connectivity in the network. So,
ping test is performed to check the connectivity of the link
V. OBSERVATIONS
and an average delay that it takes for a packet to be sent
Once the point to point bridge link is established and it is to a destination and receive a packet in response from the
working properly, it becomes important to analyze the QOS destination. Ping test is performed at both the AP and client
provided by the link for the VoIP calls and instant messaging devices to check connectivity and delay at both ends. Ping
services. The key parameters to estimate the QOS of any test is performed at AP to check its connectivity with the
network are its delay, bandwidth or data rate and packet loss. client. Ping test performed at the AP device gives the
These parameters are tested one by one over the link to results, as depicted in Fig. 5. As seen from the ping
observe the QOS by the link for each service. statistics of the packets sent and ping replies, it is clear that
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the average delay is not exceeding above 7ms that is quite

appropriate for making several voice calls and data
transmissions simultaneously. The continuity in ping
replies also assures the reliability of the link for making
voice calls. Ping test at the client is performed to check its
connectivity with the AP client and delay in packet
transmission and reception. Ping test made at the client
device gives the results, as shown in the Fig. 6. The results
show that the minimum delay of the link for transmission
and reception of packets is 3ms and average delay is 18ms.
This delay is a little greater than the delay observed in the
ping test performed at the AP device but still satisfies the
QOS requirements for voice calls and instant messaging. Fig. 5 Ping test at AP
Fig. 6 Ping test at client
VI. CONCLUSION
In this work, we have used wireless point to point bridge
link to connect LAN segments located separated 1km apart
and provide VoIP and instant messaging service using soft
PBX in both LAN segments. Although wireless bridge link
operating in an unlicensed band and can suffer from
Fig. 3. Bandwidth Test at AP for UDP and TCP interference and lack of reliability, but these shortcomings can
be adjusted with proper planning of the link. Wireless bridge
link can offer outstanding advantages such as cost
effectiveness, suitable data rate, easier installation, easier
trouble shooting and scalability for low density environments.
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[Online].Available: http://www.economist.com/node/9080024.
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[8] IP PBX. (2016) IP PBX on Asterisk Applications. [Online].Available:

http://www.asterisk.org/get-started/applications/pbx.
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https://www.igniterealtime.org/projects/openfire.
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Condition Monitoring Approach Using 3D-

Modelling of Railway Tracks With Laser Cameras
Yunus Santur, Mehmet Karaköse, Erhan Akın
{ysantur, mkarakose, eakin}@firat.edu.tr
Computer Engineering, Fırat University
Elazığ, Turkey
Abstract— Detecting the rail surface faults is one of the most Today, the rail inspection operation is basically divided into
important components of railway inspection process which should two groups as contact and contactless methods. The simplest
be performed periodically. Today, the railway inspection process method of inspecting is that an expert visually inspects the rail
is commonly performed using computer vision. Performing line with mechanical measuring instruments. This method is
railway inspection based on image processing can lead to false- limited by very slow, low accuracy specialized knowledge
positive results. The fact that the oil and dust residues occurring inspecting the rail line [4].
on railway surfaces can be detected as an error by the image
processing software can lead to loss of time and additional costs in
the railway maintenance process.
In this study, a hardware and software architecture are
presented to perform railway surface inspection using three-
dimensional laser cameras. In addition two-dimensional data that
Ccd/cmos cameras have on the x-y plane, laser cameras have
three-dimensional input data as they include precise distance
information on the z plane. Generally, three-dimensional data
acquiring processing is very commonly used in machine vision
applications such as mobile robots, image enhancement, medical
and fault diagnosis. The use of three-dimensional laser cameras in
railway inspection process provides high accuracy rates. The
reading rate of laser cameras to read 10,000-30,000 profiles per
second is another important advantage provided in real time
railway inspection.
Consequently, a computer vision-based approach in which
three-dimensional laser cameras that could allow for contactless
and fast detection of the railway surface defects such as fracture,
scouring and wear with high accuracy are used in the railway
inspection process was proposed in the study.
Fig. 1 Rail inspection with ultrasonic devices [5]
Keywords— Railway Inspection, Anomaly Detect, Computer
Vision, Laser Camera, Machine Learning
Another one of the contact methods is performing the rail
I. INTRODUCTION inspection with ultrasonic devices. Fault detection is conducted
In industrial applications, it is necessary to conduct activities by analyzing the data and graphics obtained by the friction of
such as maintenance, condition monitoring and fault detection the mechanical device which is moved along the rail line to the
as well as production and R & D activities. In recent years, railway rail line [4]. The inspection process is slow in this
these operations are commonly conducted using computer method shown in Fig. 1. Its most important disadvantage is that
vision [1]. Computer vision ensures that these operations are the mechanical device can increase the existing fault on the rail
conducted fast with high accuracy and without human line or new faults may occur because of the device's necessity
dependence. Due to all these advantages offered by it, the of friction to the rail line during inspection.
maintenance, monitoring and fault detection conducted using Although contact methods are low-cost, they have
computer vision are also commonly used in railway rail significant disadvantages because they do not have high
inspection as in other fields of the industry [2]. accuracy ratios and the inspection process is long. Today, rail
Rail transportation systems are widely used all around the inspection operation can be performed rapidly as contactless
world. The anomalies that could occur or are present on railway and with high accuracy using computer vision. The general
can lead to both troubles and financial losses and accidents in components of a computer vision-based rail inspection
the transportation system. Therefore, the rail line should be operation are seen in Fig. 2 [6].
checked periodically [3].
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Preprocessing: It includes the steps of preprocessing the

camera data that constitute the input of the system for noise
removal and similar purposes.
Feature Extraction: It includes the processes of obtaining
eigenvalue from large-scale camera data by feature extraction
methods to operate real-timely.
Learning: It includes the step of training the data obtained in
the previous step by machine learning algorithms.
Fig. 2 Rail inspection via computer vision Test: It includes the step of classifying the new data according
to values learned by the system during training and generating
The long rail lines can be inspected real-timely in the diagnostic results during test or real-time inspection.
contactless rail inspection operation that uses the computer Other: It includes the operations such as the evaluation of other
vision. The inspection operation consists of the steps of sensor data such as accelerometer, gyroscop and encoder to be
determining the components of the rail line and the deficiency used in the system, and recording all data for system confusion
(such as missing traverse and bolt) or anomaly conditions in matrix extraction.
these components [7-13]. A study that includes the steps of calibrating the cameras,
The rail inspection applications in which light source and extracting three-dimensional rail profiles by taking data from
high resolution cameras are used may lead to the generation of cameras, obtaining eigenvalue on these profiles by feature
false positive results by detecting the stains formed by oil and extraction methods, and training and testing of the system by
dust particles on the rail line as anomaly in addition to high machine learning for a rail inspection application in which 2
accuracy ratios and real-time operating speeds [8]. three-dimensional laser cameras are used for the left and right
When three-dimensional laser cameras are compared with surfaces of the rail line is presented in this paper.
normal cameras, they involve both rgb data and precise distance
II. 3D LASER CAMERAS AND GETTING 3D DATA
information on the two-dimensional plane. Because of these
features, they are widely used with the aim of finding faults in The standard cameras operating with sensors such as Ccd
industrial products including rail inspection [9-12]. Although and Cmos give two-dimensional image on x-y plane. This
the cost rail inspection with 3-d cameras is higher, it is the most image is called as three-dimensional if it includes the depth
advantageous method in terms of accuracy rate and operating information on the z plane. The methods of stereovision, time
speed. The rail inspection methods are comparatively presented of flight and laser triangulation are used in obtaining three-
with their specific advantages and disadvantages in Table I [4]. dimensional image [14].
Stereo vision technique is the same as the principle of human
vision. It is based on the principle of finding the pixel distance
TABLE I
by measuring the projections of each pixel on two separate
RAIL INSPECTIONS METHODS cameras by geometric methods because the distance and angle
Methods Advantages Disadvantages
between cameras are known in imaging which is performed
Mechanic  Cheap  Very slow using two separate calibrated cameras. Although it is low cost,
Contacted Methods
devices  Unsafe the accuracy performances depend on calibration and the

 Low sensitivity of camera parameters [15].
accuary Time of flight cameras containing both rgb camera and an
Ultrasonic  Fast  Slow infrared sensor get depth information as well as rgb information
devices  Increase by measuring the flight time of the infrared waves. They are
existing particularly used in applications such as game consoles, virtual
damage reality and three-dimensional modeling. They have cost
Computer  Safe  Expensive effective and low accuracy solutions [14, 15].
Non-Contacted Meth.
vision  Fast  False Another method used in obtaining three-dimensional image

 High positive is the use of laser cameras. Laser cameras consist of a calibrated
accuary results camera, laser line source, light source and encoder as shown in
Fig. 3. These components are usually integrated products. The
Computer  Safe  Expensive
system builds up the three-dimensional profile of the object by
vision with  Very fast
3d-laser benefiting from the profile change in the laser line via
 Very high
camera accuary
constantly taking pictures. The object needs to move in a
controlled manner while performing the profiling process in
A typical rail inspection application running based on moving objects with laser cameras. How much the object has
computer vision includes the following steps respectively [7]. moved is determined by means of an encoder.
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Fig. 3 3-D profiling with laser camera [16]

a)
The simple mathematical provision of the process of
obtaining three-dimensional profile matrix by reading the rail
profile can be given as in (1). “xcam,ycam” gives the coordinate
information of the laser camera in the matrix, “xi,yi” gives the
real coordinate information of the scanned rail surface “p,i”
gives the information of the total number of profiles to be read
and the sequence information coming from the encoder,
respectively. The typical features of 3d-laser cameras by taking
the sick presented in the study as a reference are presented in
Table II [16].
∑ =∑ ( − ) +( − ) (1)
TABLE I I
3-D LAZER CAMERA FEATURES
Feature Value
Performance 10.000-35.000 Prof le/Second
Resolut on 1536 x 512 P xel
F eld of V ew 250 x1200 mm
3d resolut ons 0.2 mm
Interface G gab t ethernet b)
Encoder frequency 2Mhz
Fig. 4 a) Experimental setup, b) Block diagram of the proposed method
Other H gh-pass f lter, v vrat on reduct on
III. PROPOSED METHOD IV. EXPERIMENTAL RESULTS

The test device and the block diagram of the proposed In rail inspection operations conducted using three-
method conducted for the system are given in Fig. 4. dimensional laser cameras, the experimental results include the
The proposed system works in four steps. In the first step, a steps of calibrating the laser cameras and obtaining rail profiles
test device that could carry the laser camera and the computer by preprocessing the three-dimensional data obtained from the
and move on the railway was developed. In the second step, a calibrated cameras. The obtained three-dimensional rail
software providing the calibration of the camera and laser line profiles will constitute the input data of the machine learning-
source constituting the laser camera system was used with the based fault diagnosis algorithm.
purpose of obtaining three-dimensional profile. In the third step, In the next step, the eigenvalue was obtained on the rail
pre-processing was performed on three-dimensional images profiles by feature extraction methods, and it was labeled as
obtained from the railway track; and three-dimensional railway faulty and healthy to be used in training algorithm. The system
profiles were obtained in the fourth step. The obtained three- was trained by using Random Forest (RF) which is a
dimensional railway profiles will constitute the input data of classification method using multiple decision trees [17].
fault diagnosis algorithm. It is one of the most suitable classification algorithms to be
used in fault diagnosis since it functions rapidly even in large
data sets, provides good results on lost data and generates high
accuracy results.
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The second criterion expected in rail inspection applications

is the high operating speed. Today, laser cameras are suitable
for real-time operation on a real transportation device by their
profile generation speed of 10.000-35.000 per second.
The third success criterion expected in rail inspection
applications is the cost of the system. High speed and accuracy
rates can be obtained in applications using 3-d laser cameras,
but their costs are higher. It is thought that this disadvantage is
eliminated by their other advantages.
a) b) ACKNOWLEDGMENT
Fig. 5. a) 3-D view of healty rail, b) 3-D view of faulty rail This work was supported by the TUBITAK (The Scientific
and Technological Research Council of Turkey) under Grant
No: 114E202.
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operating speed and the cost of the system. applications”, John Wiley & Sons, 2006.
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Different Apple Varieties Classification Using kNN

and MLP Algorithms
Kadir SABANCI*, Muhammed Fahri ÜNLERŞEN+
*Karamanoglu Mehmetbey University, Faculty of Engineering, Department of Electrical and Electronics Engineering,
Karaman, Turkey
kadirsabanci@kmu.edu.tr
+
Necmettin Erbakan University, Faculty of Engineering, Department of Electrical and Electronics Engineering, Konya, Turkey
unlersen@yandex.com
Abstract— In this study, three different apple varieties grown in Wu et al. (2016) proposed a novel fuzzy clustering model,
Karaman province are classified using kNN and MLP algorithms. called fuzzy discriminant c-means (FDCM) clustering, to
90 apples in total, 30 Golden Delicious, 30 Granny Smith and 30 classify apple varieties couple with near infrared spectroscopy.
Starking Delicious have been used in the study. DFK 23U445 USB The 200 apple samples of four apple varieties were made
3.0 (with Fujinon C Mount Lens) industrial camera has been used
experiments to collect the near infrared reflectance (NIR)
to capture apple images. 4 size properties (diameter, area,
perimeter and fullness) and 3 color properties (red, green, blue) spectra. The clustering accuracy of FDCM achieved 97%
have been decided using image processing techniques through which was higher than FCM, possibilistic c-means and
analysing each apple image. A data set which contains 7 physical Gustafson–Kessel (GK) clustering [3].
features for each apple has been obtained. Classification success Shahin et al. (2013) have proposed to detect bruises in apples
rates and error rates have been decided changing the neuron by using line–scan x–ray imaging method. Spatial and
numbers in the hidden layers in the classification using MLP transform features were evaluated for their discriminating
model and in different neighbour values in the classification made contributions to fruit classification based on bruise defects. Red
using kNN algorithm. It is seen that the classification using MLP delicious (RD) and golden delicious (GD) apples have been
model is much higher. While the success rate of classification made
used in this study. Separate artificial neural network (ANN)
according to apple type is 98.8889%.
classifiers were developed for old (one month) and new (24
hour) bruises. When an ANN classifier was used to sort apples
Keywords— Image processing, Apple classification, kNN, MLP
based on old bruises, it achieved an accuracy of 90% for RD
I. INTRODUCTION apples and 83% (93% after threshold adjustment) for GD
apples. For new bruises, the accuracy was approximately 60%
Apple production is an important economic activity in
for both RD and GD apples. New bruises were not adequately
Karaman. The dominant apple varieties produced in Karaman,
separated using this methodology [4].
are Golden Delicious, Granny Smith and Starking Delicious.
In this study, 90 apples grown in Karaman have been used.
During marketing these apples, the product is wanted to be
7 morphological attributes have been obtained from their
consisted of just one species of apples. The mixture rate of other
images by using image processing techniques. The apples have
apple varieties in the product is wanted to be at minimum level.
been classified into 3 group (Golden Delicious, Granny Smith
For this purpose many selection system have been proposed in
and Starking Delicious) with kNN and MLP algorithms by
the literature.
using the obtained attributes.
He Yong et al. (2007) have evaluated the potential of
visible/near-infrared (Vis/NIR) spectroscopy for its ability to II. MATERIALS AND METHODS
non-destructively differentiate apple varieties. The chemo
An interface presented in Figure 1, have been designed by
metrics procedures applied to the Vis/NIR data were principal
using GUIDE (Graphical User Interface Design) in MATLAB.
component analysis (PCA), wavelet transform (WT), and
The image of the apple under the camera is taken when the Take
artificial neural network (ANN). The highest level of correct
Button pressed on the GUI.
classification (100%) of the apple varieties have been achieved
The mean of R (red), G (green) and B (blue) pixel values of
with WT-ANN model [1].
the area where the apple is in the image have been calculated.
Ronald et al. (2016) have proposed to investigate the
These values have been used for classification of the apples for
applicability and performance of Naive Bayes algorithm in the
their colors. Then the colored images have been converted to
classification of apple fruit varieties. Apple classification
grey level image by using image processing techniques.
system prototype was built using MATLAB R2015a
Morphological operations have been applied onto bitwise
development platform environment. The results showed that
images. The image processing steps have been presented in
the averaged values of the estimated accuracy, sensitivity,
Figure 2.
precision and specificity were 91%, 77%, 100% and 80%
respectively [2].
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Fig. 1 Graphical user interface designed in MATLAB GUIDE.
cluster either directly or by calling via Java code [6,7]. They are
also suitable for developing new machine learning algorithms.
1) Multilayer Perceptron: It is a feed forward type
artificial neural network model which maps input sets
onto appropriate output sets. A multilayer perceptron
(MLP) is composed of multiple layers of nodes where
each layer is connected to the next. Each node is a
processing element or a neuron that has a nonlinear
activation function except the input nodes. It uses a
supervised learning technique named back propagation
and it is used for training the network. The alteration of
the standard linear perceptron, MLP is capable of
distinguishing data which are not linearly separable [7].
2) K-Nearest Neighbour Algorithm: The k-NN is a
supervised learning algorithm that solves classification
problems. Classification is the examination of the
attributes of an image and the designation of this image
to a predefined class. The important point is the
determination of the features of each category in
advance [8]. According to the kNN algorithm used in
the classification, based on the attributes drawn from the
Fig. 2 The image processing steps
classification stage, the distance of the new individual
The physical properties of the apple like radius, perimeter, that is wanted to be classified to all previous individuals
area, volume, mass and eccentricity have been extracted. So is considered and the nearest k class is used. As a result
that creates 7 attributes by gathering 4 morphological and 3 of this process, test data belongs to the k-nearest
colour. neighbour category that has more members in a certain
class. The most important optimization problems in the
A. Software-WEKA kNN method are the identification of the number of
Developed by Waikato University in New Zealand, WEKA neighbours and the method of distance calculation
is an open-source data mining software with a functional algorithm. In the study, the identification of the
graphical interface which incorporates machine learning optimum k number is performed with experiments, and
algorithms [5]. WEKA includes various data pre-processing, the Euclidean Distance Calculations method is used as
classification, regression, clustering, association rules, and a distance calculation method.
visualization tools. The algorithms can be applied on the data Euclidean calculation method [9]:
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In classification procedure, inputs are diameter, perimeter,

area, fullness, mean red, mean green and mean blue values. The
outputs are Golden Delicious, Granny Smith and Starking
xi and xj are two different points, and we need distance Delicious. The whole classification system have been presented
calculation process in between. in Figure 3.
Fig. 3 The block diagram of the classification process
TABLE I
III. RESULTS AND DISCUSSION THE SUCCESS RATE AND ERROR VALUES OBTAINED BY USING KNN
In the study, WEKA software was used in order to classify CLASSIFIER
apples by species (Golden Delicious, Granny Smith and
Starking Delicious). Using the kNN algorithm, the Neighbourliness Classification
MAE RMSE
classification success rates, mean absolute error (MAE) and Number (k) accuracy (%)
root mean square error (RMSE) were obtained for various k- 1 93.3333 0.0414 0.1886
neighbour values. The classification success rates obtained with
2 96.6667 0.2296 0.2854
kNN algorithm, and MAE and RMSE values can be seen in
Table 1. The success rate change versus number of neighbours 3 97.7778 0.0364 0.1283
for kNN method is presented in Figure 4. 4 90.0000 0.0512 0.1537
5 94.4444 0.0543 0.1541
6 93.3333 0.0539 0.1500
7 95.5556 0.0546 0.1503
8 94.4444 0.0644 0.1573
9 94.4444 0.0728 0.1670
10 91.1111 0.0803 0.1735
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Fig. 4 Success rate versus number of neighbours.

Fig. 5 Success rates versus number of neurons in the hidden layer
The data in the same dataset were processed using the
multilayer perceptron model, and the classification success
The model of MLP whose hidden layer consists of 5 neurons
rates, MAE and RMSE error values were obtained for various
which creates the highest classification success rate is shown in
number of neurons in the hidden layer. In the multilayer
Figure 6.
perceptron model, the training was performed by taking the
learning rate value as 0.3, momentum value as 0.2 and iteration
number as 500. The classification success rates, and MAE and
RMSE values obtained using the multilayer perceptron model
can be seen in Table 2.
TABLE III
THE SUCCESS RATE AND ERROR VALUES OBTAINED BY USING MLP
CLASSIFIER
The number of
Classification
neurons in the MAE RMSE
accuracy (%)
hidden layer
1 94.4444 0.1975 0.2513
2 97.7778 0.033 0.0985
3 95.5556 0.0375 0.1350
4 96.6667 0.0352 0.1152
5 98.8889 0.1698 0.2225
6 97.7778 0.0355 0.1089 Fig. 6 The structure of Multilayer Perceptron
7 97.7778 0.0269 0.1049
IV. CONCLUSIONS
8 97.7778 0.0223 0.1073 In this study, classification of apples as Golden Delicious,
9 96.6667 0.0479 0.1234 Granny Smith and Starking Delicious have been proposed by
10 96.6667 0.0441 0.1214 using machine learning algorithms. The classification success
rates and error values of data mining algorithms were
20 95.5556 0.0746 0.1476
calculated for kNN and MLP. It was observed that the success
rate was higher for the classifications performed using the MLP
The diagram demonstrating the changes in classification algorithm. The highest classification success rate was achieved
success rate based on the number of neuron in the hidden layer when the number of neighborhood was 3 and the success rate
is demonstrated in Figure 5. was 97.7778 %. The MAE and RMSE error value were 0.0364
and 0.1283 respectively. For the classification success rates
obtained using MLP algorithm, the highest classification
success rate and minimum MAE error value was achieved for
5 neurons in the hidden layer and it was 98.8889%. For this
MLP structure, the MAE and RMSE error values were 0.1698
and 0.2225 respectively.
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ACKNOWLEDGMENT [4] Shahin, M.A., Tollner, E.W., McClendon, R.W., Arabnia, H.R. Apple
Classification Based on Surface Bruises Using Image Processing and
This study was supported by Karamanoglu Mehmetbey Neural Networks, Transactions of the ASAE, 2013, Vol. 45(5): 1619–
University scientific research project coordination with 01-M- 1627.
15 project number. [5] Witten I.H., Frank E., Hall M.A. (2011). Data mining: practical machine
learning tools and techniques. Elsevier, London.
[6] Patterson, D., Liu, F., Turner, D., Concepcion, A., Lynch, R., (2008).
Performance Comparison of the Data Reduction System. Proceedings of
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Vis/NIR Spectroscopy, Volume 10, Issue 1, 2007, pages 9-18. [7] Hall, M., Frank, E., Holmes, G., Pfahringer, B., Reutemann, P. & Witten,
[2] Ronald, M., Evans, M. Classification of Selected Apple Fruit Varieties I. H. (2009). The WEKA Data Mining Software: An Update, SIGKDD
Using Naive Bayes, Indian Journal of Computer Science and Explorations, Volume 11, Issue 1, pp. 10-18.
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Clustering Model, Journal of Food Process Engineering, doi: [9] Zhou, Y., Li, Y. & Xia, S., (2009). An improved KNN text classification
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Role of Ethics in Information Security

Tunç Aşuroğlu, Cemal Gemci
Computer Engineering Department, Başkent University
Ankara, Turkey
{tuncasuroglu, cgemci}@baskent.edu.tr
Abstract—Information is power. Nowadays, main concern of light of a group’s cultural customs. But as in laws it’s different,
cyber community is to protect this valuable asset. Technical and many laws are universal across the world.
technological security measures are sometimes insufficient to Laws are the rules that all of the people must oblige to
protect an information system. Because there is a human factor follow. If they don’t follow, they will be punished. That’s not
in information system. Ethics are set of moral rules that guide
the case in ethics; in ethics all people have their own will.
people. With the help of ethics a better and robust security can
be achieved. In this paper role of ethics in information security is They can choose to follow or not follow code of ethics. In
discussed. First of all law, ethics and information security ethics, it depends on a moral decision, many people agree
concepts are briefly introduced. Later, some ethical concerns and upon ethical behaviors but some people can disagree on these.
perspectives in information security are given. To emphasize role Ethics can be seen from different approaches. These
of ethics in information security, several studies are reviewed. approaches are consequentialism and deontological [3].
Finally, mechanisms to make ethical rules effective in an Consequentialism claims that if actions have bad
organization/community are discussed with several case studies. consequences they are bad after all. Deontological approaches
don’t think like that. They assume that actions of people have
Keywords— Ethics, Ethical Issues, Information Security, Cyber neither good nor bad consequences they have only moral
Security, Information Systems. duties independent of their actions.
There exists a blurriness of ethics in individual’s mind but
I. INTRODUCTION
with the help of the laws and regulations security and safety
With the advance of Information Technology, new threats can be achieved. In a cyber world, law and ethics work
and unauthorized actions arise each day. To be able to protect together to form a security layer. Ethics can fill the void where
information assets against these threats and actions is one of laws cannot be applied.
the most important issues nowadays. But sometimes technical
and technological measures are not enough to protect an III. INFORMATION SECURITY
information asset. Additional measures must be employed Rapid growing of information technology enables many
because there are a lot of parameters when it comes to organizations, government and civilians exchange important
information security. One of these parameters is people. These information every day. So security issues arise when sharing
people can be system administrators, security professionals, information [4]. Nowadays relationship of organizations
employees and users. These are the people that interact with depends on computer and information systems, many
information system. In order to secure people parameter in an organizations are concerned about information security
information system, a measure that employs moral judgment because they use technologies like e-commerce, mobile and
must be introduced. Computer and information ethics are virtual private networks. With the increase of involvement of
studied by many researchers, scholars and practitioners [1]. To these technologies, number of threats to organization’s
include ethical layer to information security is very important valuable assets also increases [4]. Information security
because it can fill the gap that people create. protects confidentiality, integrity, and availability of
In this paper role of ethics in information security is information assets against various threats. Technical
discussed. First of all law, ethics and information security protection measures are not enough to provide information
concepts are briefly introduced. Some ethical concerns and security. There must be other measures. To develop a robust
perspectives of several researchers in information security are and good information security; in addition to technical
given. To emphasize role of ethics in information security, measures; operational, ethical, sociological and legal measures
several studies are reviewed. Mechanisms to make ethical must be considered [5].
rules effective in an organization/community are discussed. Organizations depend on processes, technology and people.
Finally, paper finishes with conclusions and references. Even if we have top of the line information systems and
security, there are people operating these information systems
II. LAW & ETHICS
[4]. They control daily activities and thus the entire
Laws are a form rules that prevent certain behavior and information system. They need to have moral and ethical
actions happen. They are created from ethical structures. The conducts, if they don’t have these conducts they will make
major difference between law and ethics is: law needs an information system vulnerable to threats. There is no efficient
authority to process and ethics don’t [2]. Ethical behavior technical protection of information security because people
comes from individual’s conscience. Ethics are defined in the are involved [4]. People are critical on ensuring a robust
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information security. So there comes ethics to rescue. People  There is a control gap in information systems and
that act with ethical conscience in information systems ensure it is getting wider with every new technology. This
information security. control gap can cause problems in retaining
security in information systems.
IV. SOME ETHICAL CONCERNS OF INFORMATION SECURITY  Ethics must be a common language among
A. Hacking and Computer Crime individuals from different expertise. Ethics should
Computer security mainly interested in protection of also understandable by individuals from other
computer assets and important data against leaks and communities besides computer society.
unauthorized access. These leaks and unauthorized actions are  Nowadays information systems are getting so
called hacking. Hackers are computer users that gain large that it is getting harder to manage with only
unauthorized access to a system and share knowledge to other technological control mechanisms. So control
users or hackers in the process. As it sounds a negative action, mechanisms should be built on individuals control
hacking can be beneficial in some ways [3]. White hat hackers mechanism that can be achieved by ethical
or self-identified hackers suggest that their actions cause no frameworks.
harm to community. On the contrary they claim that they help
development of a better security system. Because they think If these problems don’t answered right there can be an
hacking can be used to release data to benefit all in a opening that leads to information security issues.
community [3]. They’ve even developed a code of ethics for As seen from given perspectives complete security of
hackers. They are suggesting that hackers should use a code of information can only be achieved by the help of ethics and
ethics when hacking. There is a gray area in this manner some ethical frameworks.
researchers think hacking can’t be ethical, some claim VI. FRAMEWORKS FOR ESTABLISHING AN ETHICAL BASELINE
otherwise [6]. This is an ethical issue that information security IN DIFFERENT ENVIRONMENTS
researchers argue on.
Many researchers stated that information security is lacking
B. Privacy & Ethics without an ethical concept. So in order to establish a better
security, they proposed frameworks that include ethical
There is no precise definition for privacy but privacy term principles. These frameworks exist in many information
mainly refers to “right to be left alone” [7]. Privacy doesn’t environments like biomedical, e-banking and health and etc.
only apply to personal data. It also concerns with human Example frameworks will be discussed in this chapter to
relationships, private belongings, actions and even our homes. emphasize the importance of ethical principles in information
Ethical issues arise in many areas of privacy including security.
surveillance, medical privacy, internet privacy and work France [10] discussed ethical violations in biomedical area
privacy [3]. that leads to violation of patient privacy and medical records.
He also stated some ethical codes and suggestions to
V. DIFFERENT ETHICAL PERSPECTIVES IN INFORMATION overcome this security issue. These ethical codes include
SECURITY doctor and hospital staff jurisdictions, patient record storage,
There are different ethical views in information security. etc.
Researchers proposed several models to achieve better Abreu and co-workers [11] discusses fraud (phishing) in e-
information security. banking services. They point out several threats,
Hartmann [8] stated that security levels couldn’t consist of vulnerabilities, incidents and impact of threats on e-banking
only a technical layer. It consists of technical, technological, services. Researchers suggested ethical rules and trainings on
organizational, legal, social and ecological levels. In addition clients and bank personnel to overcome frauds in e-banking
to these levels Hartmann suggests ethical scope must be services. They also stated that Public discussion on incidents
included in information security. The researcher also suggests will develop awareness and creates a security behavior among
that ethics is a so large question that developers, users and e-banking service users.
system admins cannot answer separately. Entire community Kluge [12] developed a code of ethics for health
should answer this question by discussing together. So information professionals. He discussed several problems in
Hartmann suggests that ethics should span an entire health informatics domain and proposed code of ethics for
community and ethical rules should be prepared with a several information security problems. He suggested that in
mixture of individuals from different areas. addition to technical security layer in a health information
Another ethical view in information security is proposed by system there must be an ethical layer that protects privacy of
Kowalski [9]. Kowalski stated several ethical problems and patients. He created this ethical layer on health information
also stated that information security is threatened if these professionals.
problems occur in information technology systems. These
problems are as follows; VII. MAKING ETHICAL RULES EFFECTIVE IN COMMUNITY
Making ethical rules effective in a community plays an
important role in security of information. Being able to give
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individuals a set of ethical rules to follow and provide an a standard there is a need for collaborative effort [16].
awareness of ethics will surely establish a better security layer Awareness training helps to establish this collaborative effort.
in organizations. To provide a better and robust security of
information, there are two ways: Developing a code of B. Awareness Training
conduct/ethics and provide trainings to individuals so they can
gain awareness in security and ethics. Awareness training and security training takes a major part
in establishing security. In order to provide security there must
A. Code of Conduct be awareness among individuals. This awareness spans to a
large definition including; ethics, threats and how to deal with
Nowadays many organizations and communities develop them, security incidents and so on.
code of conduct for its members to follow [13], [14]. Without Awareness training must provide an appropriate security
the development of these codes information security will have and ethics behavior to all individual in an organization in
gaps because of laws couldn’t fill some gaps and ethics can. order to full commitment to security policies [17]. There are
For example; in order to fill these gaps, computer ethics some research that focuses on awareness training and how it is
institute developed Ten Commandments of Computer Ethics effective in providing security. Stephanou and Dadaga [17]
[15]: have asked the question “to what extent does information
security awareness training influence information security
1. Thou Shalt Not Use A Computer To Harm Other behavior?” and they discuss existing awareness training
People. research and proposed a model to examine the impact of
training on security behavior among individuals.
2. Thou Shalt Not Interfere With Other People’s Aliyu and co-workers [18] conducted a study that inspects
Computer Work. security and ethics behavior among students. They conducted
several experiments among students to find out that is
3. Thou Shalt Not Snoop Around In Other People’s awareness actually affects security. The experiments showed
Computer Files. that the awareness training created a conscience of security
among students. Because of security awareness trainings and
4. Thou Shalt Not Use A Computer To Steal. ethics courses students are more aware of security concerns
and ethics than the students who receive no training.
5. Thou Shalt Not Use A Computer To Bear False So according to these studies that we mentioned above, we
Witness. can say that awareness training actually can affect the security
behavior of individuals. Also they are crucial in making
6. Thou Shalt Not Copy or Use Proprietary Software for ethical rules effective in community. Because this training
Which You have Not Paid. also gives a conscience of ethics to individuals and in our
opinion is crucial to establish information security.
7. Thou Shalt Not Use Other People’s Computer
Resources without Authorization or Proper Compensation. VIII. CONCLUSIONS
Ethics play an important role in our lives and also in cyber
8. Thou Shalt Not Appropriate Other People’s Intellectual technology domain. Ethics fill gaps in an information system
Output. that laws can’t be able to fill. In this paper the importance of
ethical principles in information security has discussed.
9. Thou Shalt Think About The Social Consequences Of Different ethical perspectives in literature are inspected to
The Program You Are Writing Or The System You Are show how ethical layer can be built on security layer. Also in
Designing. this paper, to provide a solid proof that ethics complete
information security, several ethical frameworks are inspected.
10. Thou Shalt Always Use A Computer In Ways That Finally, methods to make ethical rules effective in a
Insure Consideration And Respect For Your Fellow Humans. community are given. Several examined studies showed that
awareness training and code of conducts are effective in this
This code of ethics guides individuals when interacting manner.
with an information system. Code of ethics is applied to all of
the members in an information system including system REFERENCES
administrators, developers, users and security professionals. [1] H. Taherdoost , S. Sahibuddin, M. Namayandeh and N. Jalaliyoon,”
Instead of applying general code of ethics, organizations can Computer and Information Security Ethics’ Models”, International
Conference on Advanced Computer Science Applications and
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prove to be most effective because to target and fill specific [2] M. E. Whitmann and H. J. Mattord, Principles of Information Security,
gaps in information security, specific ethical codes must be 4th edition, Course Technology Cengage Technology, 2012.
defined. But in order to make users abide code of ethics and to [3] P. Brey, “Ethical Aspects of Information Security and Privacy”, in:
Security, Privacy, and Trust in Modern Data Management, M.
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Petković and W. Jonker (Eds.), Springer Berlin Heidelberg, pp. 21-36,

2007.
[4] E. W. Wildauer and F. B. H. da Silva, “Ethical, Social, Privacy,
Security and Moral Issues in an E-Society”, 8th Iberian Conference on
Information Systems and Technologies (CISTI), pp. 1-6, 2013.
[5] J. Leiwo and S. Heikkuri, ”An analysis of ethics as foundation of
information security in distributed systems”, Proceedings of the Thirty-
First Hawaii International Conference on System Sciences, vol.6, pp.
213 – 222, 1998.
[6] H. T. Tavani, Ethics and Technology: Ethical Issues in an Age of
Information and Communication Technology, 4th Edition, Wiley, 2012.
[7] B. C. Stahl, “Privacy and security as ideology”, IEEE Technology and
Society Magazine, Vol.26, pp. 35-45, March 2007.
[8] A. Hartmann. “Comprehensive information technology security: A new
approach to respond ethical and social issues surrounding information
security in the 21st century”, 11th International Conference of
Information Systems Security, pp. 580-602, 1995.
[9] S. Kowalski. “Computer ethics and computer abuse: A Longitudinal
study of Swedish university students”, 6th International Conference on
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[10] F. H. R. France, “Ethics and biomedical information”, International
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[11] R. Abreau, et al., “Ethics and Fraud in E-Banking Services”, 10th
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[12] E. H. W. Kluge, “Fostering a security culture: a model code of ethics
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[13] ACM Code of Ethics
https://www.acm.org/about-acm/acm-code-of-ethics-and-professional-
conduct
Last accessed: 23.5.2016
[14] IEEE Code of Ethics
http://www.ieee.org/about/corporate/governance/p7-8.html
[15] CEI Ten Commandments of Computer Ethics
http://computerethicsinstitute.org/publications/tencommandments.html
[16] A. R. Philip, “The Legal System and Ethics in Information Security”,
SANS Institute, pp. 1-14, 2002.
[17] T. Stephanou and R. Dagada, “The Impact of Information Security
Awareness Training on Information Security Behavior: The Case for
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[18] M. Aliyu, et al., “Computer Security and Ethics awareness among
IIUM Students: An Empirical Study”, International Conference on
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Knowledge Mining Approach For Healthy

Monitoring From Pregnancy Data With Big
Volumes
Sinem Güven Santur, Yunus Santur
ysinemguven@gmail.com
Papatyasoft, Fırat Teknopark
Elazığ, Turkey
ysantur@firat.edu.tr
Computer Engineering, Firat University
Elazığ, Turkey
Abstract— The process for obtaining information that will The analysis and interpretation of large-scale data and
create value on a large-scale data stack is called data mining by its uncovering the relationships between data are difficult and long
general name. Data mining is commonly used in sales and processes by human labour and talent. Today, performing
marketing departments, in determining strategies and making knowledge retrieval using data mining is commonly used in
critical decisions for the future in many sectors. Similarly, data many fields such as marketing, banking, stock market,
mining is used in the determination of health policies, more
communication systems, education, health and engineering.
effective implementation of health services and in the management
of resources and institutions in the health sector. In the marketing field, an attempt to bring out user patterns
In this study, it was aimed to create a software architecture of using data mining was made by Ünal et al. in order to determine
data mining that will help the personal monitoring of the the customer portfolio and to describe the user's shopping
pregnancy process in a more effective way in the health sector. behaviors by using data of an internet retailer [3].
Many different types of data such as age, gender, location, In the banking field, Tosun et al. tried to determine the
education, physical characteristics, lifestyle habits and medical customer losses and the reasons of the losses by constructing
history of the people that could be used for this purpose are stored the profile of the 30,000 customers of Yapı Kredi Bank [4].
online by health institutions. The machine learning algorithms Between the years 2007-2013, Öcal et al. used data mining
have been created to determine classification, clustering and
to make a qualitative classification according to the financial
association rule on these data.
success or failure of the companies and the capacity situations
Keywords— Data Mining, Knowledge Mining, Healty of the companies by using the data of Borsa İstanbul [5].
Monitoring, Classification, Clustering, Machine Learning, A large telecommunication company's customers who
Association Rule showed a tendency to leave were determine by Gürsoy in 2010,
and new campaigns for these customers and marketing
I. INTRODUCTION strategies for the customer profile were developed by
classification method [6].
The data generated by the computer systems do not make a
In the research carried out by Gülen at al. on gifted children
sense by themselves, and their conventional analysis by human
aged 7 years and older in Ankara science and art center, the
intervention is also impossible. Today, the diversity of data
education for the children's individual needs was differentiated
generated in fields such as stock market, trade, education,
through educational data mining and the course schedules were
communication and e-commerce in addition to the fact that
organized according to children's field of interest [7].
these data are large by volume and continue to increase are the
In the engineering field, Kaya et al. compared the open
main reasons of this.
source data mining softwares Keel, Knime, Orange, R,
In today's world, obtaining valuable information by
RapidMiner (Yale) and Weka. In the study, which data mining
interpreting these data by means of intelligent algorithms is
method and which software would be more effective on which
called data mining. In other words, data mining is the discovery
data set was investigated [8].
and interpretation of the significant relationships through
Tantuğ et al. examined the techniques used in data mining
computer programs that could be effective in providing future
and especially investigated the clustering techniques. An
predictions from among large data stacks [1, 2].
efficient software architecture to reduce memory complexity
Data mining has a great importance in many aspects from
was designed in the study. An efficient system with a lower
sales strategy of businesses to determination of Research and
complexity capable of clustering on large-scale data was
Development activities.
developed by the software architecture designed [9].
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The healthcare field is among the extensive areas of usage of

data mining. Ertuğrul et al. constructed the patient profiles by
processing and using the data in the patient information
management system of Pamukkale University Hospital. Based
on the patient profile information, healthcare professionals
established a decision support system to provide taking most
objective and effective decisions about the patient by reaching
up-to-date information about the patient [10].
Irmak et al. processed the patients' information in the
database of a hospital continuing to provide services via data
mining techniques and developed an application for estimating
the patient density of the hospital in the future [11].
By descending to particulars, in the applications in the field
of health, Yıldız et al. developed an application that classifies Fig. 1 Data mining process
the breast cancer types by using gene algorithm and data mining
about breast cancer [12].
In this study, it was aimed to build software architecture of TABLE I
data mining for the effective personal follow-up of women DATA MINING PROCESS
during their pregnancy period. Stage Explanation
Many different types of data such as the age, gender, location, Data Cleaning The bad and inconsistent data found in the
education, physical characteristics, lifestyle habits and medical database are called noise. These data can exit
history of the pregnant could be collected and processed with the process or the processing can be
data mining techniques. performed by setting a fixed value instead of
Thus, the control frequency could be determined according them. This is called data cleaning.
to the personalized care, nutrition content, situations that Data Integration It is the process of combining different types
require education and risk status during pregnancy by the of data taken from different databases by
expectant mothers' data interpreted. Consequently, an approach converting into a single data type.
Data Reduction The number of data or variable can be reduced
that uses data mining in following the pregnancy process was
by numerous data reduction methods such as
proposed in the study. data compression, merging, sampling and
generalization.
II. DATA MINING
Data Conversion It is the process of changing the format of the
As a general definition, data mining is the process of mining data by protecting its content according to the
information by reaching the information from among large- algorithm model to be used.
scale data. With another definition, it is to search for the
connections that could allow us to make predictions for the Application of It includes the processes of applying machine
future from among the large-scale data stacks using computer Data Mining learning algorithms on data which were made
programs [13]. Algorithms ready through the above processes for
classification, clustering or determining the
In almost every stages of our life, electronic recording
association rule..
systems such as mobile phones, sensors and computers provide
convenience for recording and storing information and Interpretation and The data on which algorithm was applied are
reaching them where necessary along with the technological Verification verified by bringing out certain significance
developments. To be able to make sense out of these data which relationships.
are rapidly increasing by volume, to establish relationships by
them and to finalize data by a decision or conclusion have led There are three main methods of data mining to make
researchers to carry out much more investigations in the field interpretation and verification [15, 16]. These methods are
of data mining. called as classification, clustering and determining the
Several processes and some techniques are used while association rule,
performing data mining studies independently of the problem
[13, 14]. These processes involve the use of data cleaning, data 1) Classification: It is one of the fields where data mining
integration, data reduction, data conversion and data mining is commonly used. People often adopt this method because they
algorithms and ultimately the interpretation of the obtained always classify, categorize or grade the data. Rules are
results and the steps of verifying these results, respectively [15]. determined by keeping some of the data found in the database
In general, the steps of retrieving significant knowledge on a separate for education, and how to decide when a new situation
purpose-specific data set are presented in Fig. 1. Data mining arises is determined by this rule.
processes consisting of six steps are presented in Table I. 2) Clustering: It is the process of grouping data by taking
into account the similarities between them. By this method,
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146
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clusters and sub-clusters are generated based on the similarities  Other: The personal data such as the person's income
and differences between variabilities. level and nutritional habit apart from these were used by
being converted into integer values by grouping once
3) Determining the Association Rule: It is a data mining
again.
method which is applied on the possibility of which situations
can occur simultaneously by identifying the relationships of the TABLE III
TRAINING SET DATA TYPES AND THEIR NORMALIZATION
data included in the database with each other.
Data Data Normalized Data Sample Data
III. PROPOSED METHOD Type 1 2 … N
In this study, expectant mothers' information shown in Fig. Age [17] Integer 0-19: Adolescent
2 were used and the process of knowledge retrieval was [0-2] 19-35: Adult 0 1 2
performed using data mining on these data. >35: Menopause
The software architecture of the proposed method, the block Body Float <18.4:
diagram of which is given in Fig. 2, works in four stages. In the mass [0-3] Underweight 1 1 2
index [17] 18.5-24.9: Normal
first step, a no-sql based database was created for storing data.
25-29.9:
In the second step, preprocessing was performed to extract Overweight
information on data set. In the third step, classification, >30-34.9: Obesity
clustering and association rule were identified by running three Number Integer
separate data extraction algorithms. In the fourth and final step, of babies [0,n] 2 1 2
estimation on new data, identifying the cluster to which it Number Integer
belongs and the process of finding the other data to which it is of [0,n] 1 0 … 1
related were performed. abortions
Number Integer
of natural [0,n] 0 0 2
birth
Number Integer
of [0,n] 2 1 0
cesarean
Prosperity Integer 50 25 60
Index [0,100]
Disease Boolean
{0,1} 0 1 0
…
Fig. 2 Block diagram of the proposed system Dietary String
[0,n] 2 1 3
In the study, expectant mothers' information shown in Fig. 2
were used and the process of knowledge retrieval was Matlab and python (scikit library) are mostly used for data
performed using data mining on these data. The sample training mining studies in computer environment. In addition to these,
set, main data types and the normalization of the data type into there are also various tools which are free and open source and
a certain range if necessary are given in Table II. also include sample data-sets [8, 19]. However, a data-set was
All values shown in Table II were converted to integer generated in a synthetic dataset matlab environment in
numbers by normalization, if needed, depending on the primary accordance with Table II because there was not any dataset
data types. The values of the sets obtained after normalization specific to this study, and it was saved in json format as no-sql
constituted the input data of the training algorithm. According based.
to what some values are normalized is explained as follows. In the sample application scenario, random forest for
classification and k-means for clustering were used [18]. The
 Body mass index: It is a value calculated based on height
target class labels chosen for classification in the training
and weight, and it is divided into 3 groups in practice [17].
algorithm were identified as “healthy pregnancy” and “risky
 Age: It is normalized to 3 different groups by considering
pregnancy”. In the test phase, the results were analyzed by
the fertility criteria [17].
achieving classification accuracy according to "1" based on the
 Disease: Whether the person has a disease is discussed as confusion matrix given in Table III.
a Boolean value.
 Pregnancy History: It includes the statistics of the
TABLE III
person's pregnancy history, if available. They are
EXPERIMENTAL RESULTS
numerical data such as the number of children if she had
a baby, whether the previous pregnancies were Actual Class
concluded with healthy results, cesarean and the number Prediction P N
of normal delivery. Class P TP FP
N FN TN
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+ [6] U.T.Ş. Gürsoy, “Customer Churn Analysis in Telecommunication

= (1) Sector”, İstanbul University Journal of the School of Business
Administration, Cilt 39, No 1, 35-49, 2010.
[7] Ö. GÜLEN and S. Özdemir, “Veri Madenciliği Teknikleri İle Üstün
Yetenekli Öğrencilerin İlgi Alanlarının Analizi”, Üstün Yetenekliler
Eğitimi ve Araştırmaları Dergisi (UYAD), 1(3), 2013.
IV. EXPERIMENTAL RESULTS [8] M. Kaya and S. A. Özel, “Açık Kaynak Kodlu Veri Madenciliği
Yazılımlarının Karşılaştırılması”, Akademik Bilişim, 2014.
In the study, classification was performed on the synthetic [9] A. C. Tantuğ, “Veri Madenciliğin Ve Demetleme”, Doctoral
dataset generated in matlab environment by random forest dissertation, Fen Bilimleri Enstitüsü, 2015.
method. 75% of the dataset was used in training. The remaining [10] İ. Ertuğrul, A. Organ and A. Şavlı, “The Determination of Patient Profile
at Pamukkale Unv. as Relater to the Application of Data Mining”, 2013.
25% was used for testing purposes, and the results were [11] S. Irmak, C. D. Köksal and Ö. Asilkan, “Hastanelerin Gelecekteki Hasta
compared on confusion matrix by comparing with actual values. Yoğunluklarının Veri Madenciliği Yöntemleriile Tahmin
The classification accuracy performance was above 80% in the Edilmesi”. Uluslararası Alanya İşletme Fakültesi Dergisi, 4(1), 2012.
scenario chosen for the sample classification application. [12] O. Yıldız, M. Tez, H. Ş. Bilge, M. A. Akcayol and İ. Güler, “Meme
kanseri Sınıflandırması İçin Veri Füzyonu Ve Genetik Algoritma
Tabanlı Gen Seçimi”, Journal of the Faculty of Engineering &
TABLE IV Architecture of Gazi University, 27(3), 2012.
EXPERIMENTAL RESULTS [13] S. Sharma, K. M. Osei-Bryson and G. M. Kasper, “Evaluation of an
integrated Knowledge Discovery and Data Mining process
Actual model”, Expert Systems with Applications, 39(13), 11335-11348, 2012.
Predicted P N [14] D. Braha, “Data mining for design and manufacturing: methods and
P 210 55 applications”, (Vol. 3). Springer Science & Business Media, 2013.
[15] K. J. Cios, W. Pedrycz and R. W Swiniarski, “Data mining methods for
N 45 190 knowledge discovery”, 458, Springer Science & Business Media, 2012.
[16] D. T. Larose, Discovering knowledge in data: an introduction to data
mining”, John Wiley & Sons, 2014.
[17] L.A Schieve, M. E. Cogswell, K. S. Scanlon, G. Perry, C. Ferre and C.
V. CONCLUSIONS AND FUTURE WORK Blackmore-Prince, “Prepregnancy body mass index and pregnancy
weight gain: associations with preterm delivery”, Obstetrics &
Today, data mining is commonly used with the purpose of Gynecology, 96(2), pp.194-200, NMIHS Coll. Working Group, 2000.
obtaining valuable information in fields such as banking, [18] I. H. Witten and E. Frank, ”Data Mining: Practical machine learning
education, sales, stock market and health. The information tools and techniques”, Morgan Kaufmann, 2005.
obtained as a result of data mining are effective in making [19] The New Stack (2016) [Online]. Available: http://thenewstack.io/six-of-
the-best-open-source-data-mining-tools.
strategic decisions.
In this study, it was aimed to perform pregnancy follow-up
process using data mining in the follow-up process of
pregnancy and retrieve information related to this process.
Thanks to the proposed method, it was aimed to use these
information in the pregnancy periods of new expectant mothers.
The classification application was performed by creating a
sample scenario for the study.
In addition to the study, it is aimed to create other similar
scenarios in the future and make comparison with other open
source tools used for performing data mining.
ACKNOWLEDGMENT
This work was supported by the TUBITAK 1512 Programme (The
Scientific and Technological Research Council of Turkey) under
Grant No: 2150160.
REFERENCES
[1] S. Savaş, N. Topaloğlu and M. Yılmaz, “Veri madenciliği ve
Türkiye’deki uygulama örnekleri”, 2012.
[2] X. Wu, X. Zhu, G. Q. Wu and W. Ding, “Data mining with big data”,
IEEE transactions on knowledge and data eng., 26(1), 97-107, 2014.
[3] O. O. Ünal, “Internet Kullanım Analizi Ve Kullanıcı Betimleme
Konularında Veri Madenciliği Uygulamaları”, Doctoral dissertation,
Fen Bilimleri Enstitüsü, 2015.
[4] T. Tosun, “Veri Madenciliği Teknikleriyle Kredi Kartlarında Müşteri
Kaybetme Analizi”, Doctoral dissertation, Fen Bilimleri Enstitüsü, 2015.
[5] N. Ocal, M. K. Ercan and E. Kadioglu, “Predicting Financial Failure
Using Decision Tree Algorithms: An Empirical Test on the
Manufacturing Industry at Borsa Istanbul”. International Journal of
Economics and Finance,7(7), 189, 2015.
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Energy Efficient Random Selected Constant

Clustering Approach for Wireless Sensor Networks
Korhan Cengiz
Trakya University
Edirne, Turkey
korhancengiz@trakya.edu.tr
Abstract — Nowadays, extending the lifetime of WSNs through The traditional infrastructure based protocols cannot be used
energy efficient mechanisms has become a challenging research for WSNs because of the limited storage and power of the
area. Previous studies have shown that instead of implementing sensor nodes. Because WSNs often use broadcast based radio
direct transmission or multi-hop routing, clustering is a kind of communication.
fundamental technique used to decrease energy consumption.
Limited energy availability in sensor nodes makes network
Clustering can increase the scalability, decrease the energy
consumption and prolong the lifetime of the network. In lifetime an important issue in WSN applications. To extend the
literature, LEACH and its variants aim to use clustering network lifetime, energy efficient wireless sensor network
mechanisms to provide energy-efficiency. However, most of the protocols and algorithms have been devised in the literature.
LEACH variants aim to form clusters in each round by changing Node clustering, in-network data processing, data fusion and
CHs randomly. These formations cause to consume large amount network coding are some of the measures taken to reduce the
of energy and bring additional network costs. Also, in some rounds amount of data that is processed, sensed or transmitted.
of LEACH variants none cluster formations may occur because of Minimization of energy spent in processing, sensing and
the probabilistic CH selection process of these protocols. In this transmission of data allows sensor nodes to save energy. Such
paper, an energy-efficient random selected constant clustering
energy savings help to extend the lifetime of WSN applications.
approach is proposed to solve the problems of LEACH based
protocols. The proposed approach uses constant clusters which The main goal of cluster-based routing protocol is to
are formed only once at the beginning of the algorithm. The efficiently maintain the energy consumption of sensor nodes by
formed clusters remain fixed until all nodes are dead in the involving them in multi-hop communication within a cluster
network. Proposed approach aims to select CHs in each cluster and by performing data fusion in order to decrease the number
randomly without changing the cluster formations. It aims to of transmitted packets to the base station (BS) and transmission
reduce cluster formation packet overhead in the network. In distance of sensor nodes.
addition, proposed approach aims to provide energy-efficiency by Low energy adaptive clustering hierarchy (LEACH) [1-2] is
using fixed clustering. The results of the simulations show that, one of the most popular distributed cluster-based routing
constant clustering approach saves extra energy and prolongs
protocols in WSNs. LEACH randomly selects a few nodes as
lifetime of the WSN when compared to LEACH and ModLEACH.
CHs which aggregate data arriving from nodes and forward the
aggregated data to BS and rotates this role to balance the energy
Keywords— Energy Efficient Routing, Fixed Clustering, Wireless
consumption of the sensor nodes in the network.
Sensor Networks.
In LEACH protocol, the time is divided into parts called a
I. INTRODUCTION round. Each round consists of two phases. The first phase is set-
up phase which is the phase of node formation. The second
A WSN contains sensor nodes and corresponding protocols
phase is related to the normal function of the network and is
for routing messages in this network. A typical wireless sensor
called the Steady-State phase. In the first phase, the CHs are
node includes a sensory unit, a communication unit, a power
elected based on a probability function. This election is as
unit and a processing unit. Sensory unit consists of a data
follows: each sensor node selects itself to be CH at any given
acquisition component and ADC (converts the sensed real
time with a certain probability. Any node in the network
world data to the digital form). Communication unit has a radio
chooses a random number between 0 and 1. Then this number
transceiver and the power is backed by a battery source. The
is compared with threshold limit, if the number is less than a
WSN node can be equipped with a limited power source (0.5
threshold, the node becomes a CH for the current round. This
Ah, 1.2 V). The node remains active as long as the battery is
probability function is designed in such a way that within a
alive and hence power saving is a crucial criterion in this
specific number of rounds each sensor becomes a CH only once
domain of applications. Energy consumption happens in three
and thus the energy consumption is distributed over the whole
domains: sensing, data processing and communications. The
network. After the set up phase of the round, where the CHs are
sensing, signal processing parts operate at low sequential and
elected, each CH announces its election to other nodes and each
consume less than 1mW. This is over an order of extent less
node chooses a suitable (nearest) CH for itself; and then it
than the energy consumption of the communication part.
announces this decision to the related CH and thus the clusters
are formed and the network comes into the steady-state
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149
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operation i.e data transmission. Then each CH creates a TDMA networking and set-up costs of LEACH based protocols. The
schedule in each cluster to organize the communication among nodes in the network are static, thus transmission of position
cluster members. When the non CH nodes receive the TDMA information is realized only once.
scheme, nodes send their data to the CH once per frame during When the CHs are selected, they broadcast CH notification
their allocated transmission TDMA slots. This allows the radio messages to the WSN. Each cluster member joins nearest
components of each non-cluster-head node to put the sleep cluster. After this joining process, the clusters are formed. In
mode at all times except during its transmit time, thus each cluster, CH is responsible for receiving data from its
minimizing the energy dissipated in the individual sensors. members. When data collection is completed, each CH delivers
After a certain amount of frames i.e. a TDMA round, the collected data to the BS which is placed outside of the sensor
network re-elects CHs and re-form clusters. Then CH, after field. In EERCCA, each CH node selects randomly new CH
combining all the received data, will send the results to the BS. node from alive members in the cluster for every round. After
Besides, to prevent the interaction of the transmissions which this selection, new elected CH starts to collect data from cluster
occur in clusters at the same time, LEACH uses different members. Then this new selected CH transmits the collected
CDMA codes. Existing CH chooses randomly a unique code data to the BS.
from a list of spreading codes. The CH filters all received
energy using this spreading code. Consequently, the radio III. SIMULATION ENVIRONMENT AND PARAMETERS
signals of the neighbouring nodes are filtered out hence The simulations are conducted in MATLAB. 100 sensor
interference of the transmission of the nodes is minimized. nodes are randomly deployed in a 100 m x 100 m field as shown
In some studies, authors have tried to improve the in Fig. 1 and BS is placed outside of the sensor field which have
performance of LEACH. They have designed some protocols coordinates of (150,50). Same simulation parameters of
which made extensions to LEACH.
LEACH are used for all simulations in this paper. Each
Modified LEACH (ModLEACH) [3] includes an efficient
simulation is realized for 100 independent iterations to obtain
CH replacement scheme and dual transmitting power levels.
The amplification energy is set to be the same for all kinds of more scalable results. Table I summarizes the simulation
transmissions in LEACH. But with ModLEACH, low energy environment parameters used for simulations.
level is used for intra cluster communications. Multi power
levels are used to reduce the packet drop ratio, collisions and
interference from other signals. When a node becomes a CH,
the routing protocol in ModLEACH informs it to use high
power amplification and when a node becomes a regular cluster
member, the mode of that node becomes low level power
amplification mode. Threshold based CH changing mechanism
is used in ModLEACH to provide more efficient CH
replacement. If the energy of the existing CH is higher than the
threshold it continues to act as a CH if not a new CH for that
cluster is elected and the cluster is formed again. Simulations
of ModLEACH show that, ModLEACH outperforms LEACH
in terms of throughput, network lifetime and CH formation.
In this paper, Energy Efficient Random Selected Constant
Clustering Approach (EERCCA) is presented. It aims to use
fixed clustering approach. It determines CHs randomly at the
beginning of the algorithm. The formed clusters remain Fig. 1. The randomly deployed sensor nodes in a WSN.
constant until the batteries of all sensor nodes are drained. In
each round, the CHs are changed randomly but the clusters TABLE I. SIMULATION ENVIRONMENT PARAMETERS
remain fixed. EERCCA aims to solve the network cost issues
which occur in new cluster formations of LEACH based
Parameters Values
protocols. The performance of EERCCA algorithm is
Network area 100 m x 100 m
compared with LEACH and ModLEACH in terms of lifetime,
residual energy and throughput. Number of nodes 100
Base station coordinates (150,50)
II. EERCCA ALGORITHM Initial energy per node 2J
At the beginning of EERCCA algorithm, the sensor nodes Data packet size 6400 bits
are randomly deployed in a field as shown in Fig. 1. EERCCA Control Packet Size 200 bits
algorithm starts with the CH selection process. The CHs are Transceiver Energy (Eelec) 50 nJ/bit
selected randomly at the beginning of the algorithm. The Aggregation Energy per Bit (EDA) 5 nJ/bit/signal
clusters are formed only once in the clustering phase. The fixed Free Space Amplifier Energy (εfs) 10 pJ/bit/m2
clustering approach of EERCCA provides to decrease the Multipath Amplifier Energy (εmp) 0.0013 pJ/bit/m4
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IV. SIMULATION RESULTS

In this section, the performance comparisons of LEACH,
ModLEACH and EERCCA protocols are made for residual
energy, number of alive nodes, lifetime and throughput. To
obtain more scalable results, 100 iterations are realized. For
each iteration, the average values of the results are collected.
A. Residual Energy
Fig. 2 illustrates the total residual energy of the nodes in
terms of rounds. With fixed clustering, it can be observed that
EERCCA provides significant energy savings when compared
to LEACH and ModLEACH. After 2500 rounds, while
LEACH holds 5% of its initial total energy, EERCCA holds
approximately 20% of their initial total energy. When the
network lifetime ends under LEACH, EERCCA still saves Fig. 3. Round Number vs Alive Nodes
approximately 5% of its total initial energy. EERCCA also
outperforms ModLEACH in terms of energy-efficiency. C. Network Lifetime
For each algorithm, the simulations are repeated 100 times

for different topologies and the maximum and average
observed lifetimes are presented in Table II as well as the initial
network energies. DEEC’s conservative energy consumption
ratio increases the lifetime of a WSN significantly. DEEC
outperforms LEACH and SEP.
TABLE II. NETWORK LIFETIME COMPARISON

Average Maximum
Algorithms Lifetime Lifetime Initial Energy
EERCCA 4112 4471 200 J
ModLEACH 3742 4123 200 J
LEACH 3478 4216 200 J
Fig. 2. Comparison of Total Residual Energy
B. Number of Alive Nodes D. Throughput

The cumulative number of packets transmitted to the BS per
Fig. 3 shows the number of alive nodes for LEACH, round is plotted in Fig. 4. With fixed clustering, EERCCA can
ModLEACH and EERCCA. In EERCCA network, the network continuously collect data for every round to send to the BS. On
lifetime increases from 3000 rounds to 4500 rounds, the other hand, due to the probabilistic CH selection mechanism,
approximately 50% improvement compared to LEACH. LEACH based algorithms cannot form clusters for some rounds.
EERCCA algorithm provides longer lifetime when compared As a result, the throughput of EERCCA is significantly better
to LEACH and ModLEACH because it does not change cluster than the compared protocols. This exact cluster formation
formations for every round. It gets rid of transmitting of cluster structure of EERCCA provides to collect information from any
formation messages in the network. It does not consume energy part of the network at any time.
for broadcasting cluster joining messages in the network.
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_____________________________________________________________________________________________________________
Fig. 4. Comparison of Throughput
V. CONCLUSIONS
Nowadays, providing energy-efficiency, prolonging battery
life span of the sensor nodes and designing green network
components [4, 5] for WSNs has become a promising research
area. By using constant cluster formations, EERCCA
minimizes the cluster formation overhead. When compared
with LEACH and other protocols significant improvements are
achieved in terms of energy usage, network lifetime and
throughput. EERCCA prolongs the lifetime of the WSN, while
reducing the energy usage. Also, the throughput performance
of EERCCA makes it more possible candidate to be used in
critical applications such as fire resque, eartquake
measurements and disaster relief.
References
[1] W. Heinzelman, C. Anantha, and B. Hari, “An application-specific

protocol architecture for wireless microsensor networks,” IEEE
Transactions on Wireless Communications, vol. 1, no. 4, pp. 660-670,
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[2] W. Heinzelman, C. Anantha, and B. Hari, “Energy-efficient
communication protocol for wireless microsensor networks,”, 33rd IEEE
annual Hawaii international conference on System sciences, Hawaii,
USA, 2000, pp. 1-10.
[3] Mahmood D, et al. “MODLEACH: A Variant of LEACH for
WSNs,” IEEE International Conference on Broadband and Wireless
Computing, Communication and Applications (BWCCA), Compeigne,
FRANCE, 2013, pp. 158-163.
[4] S. Saleh, M. Ahmed, et al, “A survey on energy awareness mechanisms
in routing protocols for wireless sensor networks using optimization
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[5] V. Mor and H. Kumar, “Energy efficient wireless mobile networks: A
review,” IEEE International Conference on Optimization, Reliabilty,
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285.
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Network Traffic Classification by Kernel Based

Extreme Learning Machine
Fatih Ertam*, Engin Avcı+
#
Informatics Department, Firat University,
University Boulevard, Elazig, Turkey
faith.ertam@firat.edu.tr
+
Software Engineering of Technology Faculty, Firat University
University Boulevard, Elazig, Turkey
enginavci@firat.edu.tr
Abstract— The classification of data on the internet in order to for telnet traffic. Especially with the widespread use of point to
make internet use more efficient has an important place especially point (P2P) applications, this method has started to lose his
for network administrators managing corporate networks. functionality as some applications use non-standard port
Studies for the classification of internet traffic have increased numbers to escape from firewall and network security tools and
recently. By these studies, it is aimed to increase the quality of
some use port hiding and dynamic port methods [10-13].
service on the network, use the network efficiently, create the
service packages and offer them to the users. The first Payload based classification is based on the principle of
classification method used for the classification of the internet Internet traffic classification by analysing TCP/UDP packet
traffic was the classification for the use of port numbers. This loads. The analysis of loads is performed by determining
classification method has already lost its validity although it was whether the known applications contain characteristic
an effective and quick method of classification for the first usage signatures [10, 14].
times of the internet. Another classification method used for the When the packets are not encrypted, it works quite
classification of network traffic is called as load-based successfully. However, because of the following reasons, this
classification or deep packet analysis. This approach is based on classification technique is not much preferred today:
the principle of classification by identifying signatures on packets
• It causes privacy and security concerns,
flowing on the network. Another method of classification of the
internet traffic which is commonly used in our day and has been • Some applications communicate by using encrypted
also selected for this study is the kernel based on extreme learning packets,
machine based approaches. In this study, over 95% was achieved • It can only make assessment based on the signatures
accuracies using different activation functions. which are experienced by the previous classification methods,
• As it requires high processing and storage capacity, it
Keywords— machine learning, classification, extreme learning is not suitable for real-time classification [11-13].
machine, network classification, kernel activation function The network classification method via machine learning
algorithms is the most popular traffic classification method at
I. INTRODUCTION the present time. In the studies, the classification is usually
Traffic classification methods are used to provide the performed using supervised and unsupervised learning
efficient realization of the data traffic on network resources, to algorithms. Supervised learning algorithms perform
do user analysis by using network data, to manage and plan classification by using the classification analysis methods in
network resources, to detect the attacks and the abnormalities data mining; and unsupervised learning algorithms perform
on the network [1, 2]. Recently, the network traffic classification by using the clustering analysis methods.
classification has been frequently used in order to improve Machine learning algorithms perform the process of network
service quality in big networks [3, 4], use the network traffic classification in two steps. In the first step, it forms a
effectively, develop new service packets and perform internet classification model; and in the second step, it performs the
traffic analysis [5]. Internet traffic analysis can be done both classification. Statistical methods and calculations are usually
on-line and offline. In the on-line traffic analysis, each data utilized when performing the classification process.
packet on the network are captured and analysed [6, 7]. In the Machine learning based classification method uses the
offline traffic analysis, network traffic flow is firstly captured following TCP and UDP statistical attributes of the flow during
and stored; then the stored flow is analysed and classified [8]. the flow-based classification:
In this paper, offline traffic analysis was performed. In the • Total size statistics,
literature, three kind of classification technique, including port, • Total number of forward and backward packets,
payload and machine learning based, have been used. • Total amount of forward and backward byte,
Port based classification is performed by comparing the port • The transit time between packets,
information retrieved from flow data with the port numbers of • And flow time.
protocols determined by Internet Assigned Numbers Authority There are many studies on the field of Internet traffic
(IANA) [9]. For instance; port 80 is used for http, and port 23 classification by using machine learning. In their study, L.
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Yingqiu et al. tried to classify network traffic on the original

and log-transformed data set by using K-means algorithm [13].
In J. Erman’s study, clustering algorithms of Autoclass, K-
means and DBSCAN, were used [15]. S. Zander performed
network classifications by applying Exception Maximization
(EM) algorithm and method of attribute selection on WAND
Research Group’s open data sets and different data sets [16]. S.
Zander et al. and S. Agrawal et al. made comprehensive
comparisons about classification algorithms by using
algorithms and attribute selection methods like C4.5, Bayes Net,
Naïve Bayes [16-20]. Apart from port, payload, and machine
learning based classifications in the literature, T. Karagiannis
et al. developed an important classification method by using
host service providers instead of TCP and UDP protocols [21].
L. Bernaille et al.’s classification technique which was
performed by using unsupervised learning method and
checking only the first few TCP packets is among the important Fig. 1. Single-Hidden layer feed forward network architecture
studies in the literature [22]. Recently, ELM pattern recognition,
which was suggested by Huang et al., has aroused great interest Given N arbitrary training examples x , t 
j j
N
j 1
 R d XR m ,
in the fields of machine learning and data mining; and a lot of
applications have been performed regarding the issue [23- the output of the generalized SLFNs with L hidden nodes can
25,35]. ELM was suggested as a newly learning algorithm for be obtained as:
Single-hidden Layer Feedforward Neural Networks (SLFNs)
L
[23, 27]. During the learning process, SLFNs refreshes network
loads based on the gradient. However, in ELM, input sizes and f ( x j )   i gi (x j ) (1)
biases are random selected, and output sizes are calculated with i 1
an analytical method contrary to SLFNs. In this case, ELM

L
gains the advantages of a fast learning process, a good
generalization performance and a low computational load [27- f ( x j )    i G(ai , bi , x j )  o j , j  1,, N (2)
29]. A higher accuracy percentage was obtained with Tangent i 1
sigmoid and triangular basis among activation functions which

If the SLFNs can proximate all the N samples without error,
were used for the classic ELM algorithms in this paper. With
kernel based extreme learning machine algorithm, which used that is
Radial basis and polynomial activation functions rather than
L
classic ELM, the accuracy percentage was observed to be even
higher. In this paper, Internet traffic classification process has  || o
j 1
j  t j || 0 (3)
been shown using KELM faster and high accuracy.
In the second part of this paper, working principles of ELM
algorithms were mentioned. The third part of the paper There exist pairs of ( , ) and such that:
mentioned how the data was obtained and which data were used
for the classification in experimental studies. In addition, L
different classification algorithms were compared.   G (a , b , x )  t
i 1
i i i i j , j  1,, N (4)
II. EXTREME LEARNING MACHINE
Extreme Learning Machine was recommended in The above N equations can also be equivalently expressed in
G.B.Huang et al. [28-31]. ELM used from 2004 onwards for the compact matrix form
training the Single-hidden Layer Feedforward Neural
Networks (SLFNs) [23, 24]. Dissimilar from the extensive H  T (5)
understanding of training SLFNs, ELM employs randomize
computational nodes in the hidden layer and computes its Where
output weights analytically by solving a general linear system
equation. Later, ELM theory was extended to the “generalized”  G (a1 , b1 , x1 )  G (a L , bL , x1 ) 
SLFNs, where the hidden nodes need not be neuron alike. Fig.- H      
 (6)
1 shows the generic architecture SLFNs.
G (a1 , b1 , x N )  G (a L , bL , x N ) NxL
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154
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 1T  t1T  M  HH T : mij  h ( xi ) h ( x j )  k ( xi , x j ), (13)

   
    ,T   (7)
  LT  t NT  Thus, the output function f (x) of the kernel based ELM can
  Lxm   Nxm be written compactly as
H is called the hidden-layer output matrix of the SLFN.  is 1 

1
represents the output weight matrix, T is the matrix that f ( x)  k ( x, x1 ),  , k ( x, x N )  M  T (14)
consists of output labels for the N data samples.
C 
To train a SLFNs as mentioned in (2), it is equivalent to finding T
Where M  HH and k ( x, y ) is the kernel function of
the least-square solution of linear system (5), that is:
hidden neurons of single hidden layer feed-forward neural
networks. There are many kernel functions satisfying the
|| Hˆ  T || min  || H  T || (8) Mercer’s condition available from the existing literature, such
as linear kernel, polynomial kernel, Gaussian kernel, and
In the case that the number of hidden nodes is coequal to the exponential kernel. In this paper, we use Radial Basis (RBF)
number of different training samples N , it is possible to find a and Polynomial kernel function for performance analysis.
̂ such that the training error reaches zero. The hidden layer III. EXPERIMENTAL STUDIES
output H is an invertible square matrix. Hence the solution of Moore et al [34] used the data received from the Cambridge
the linear system can be given as: University campus in this study. The most important factor in
this selection is to enable to make comparison of studies
previously carried out by using these data with the methods
ˆ  H 1T (9)
used in this study. One of the important factors is the use of data
having flows belonging to different classes. In addition, the use
In the case that the number of hidden nodes is less than the of existing data that everyone can reach will provide a basis to
number of distinct training samples N , to achieve the smallest get more reliable results.
training error || H  T || , the solution of the linear system (5) 12 features were chosen from output data. The chosen
features and their explanations are illustrated in Table 1.
can be obtained as:
TABLE I
FEATURES AND EXPLANATION
ˆ  H T †
(10)
No Explanation
1 Server port
Where H † is called the Moore-Penrose universalized inverse
[32]. 2 Client port
3 Actual data packets (from client to server)
The least squares solution of (8) based on Karush-Kuhn-Tucker 4 Pushed data packets (from client to server)
(KKT) conditions can be written as
5 Pushed data packets (from server to client)
1 6 Min segment size (from client to server)
1 
ˆ  H †   HH T  T (11) 7 Average segment size (from server to client)
C  8 Initial windows bytes (from client to server)
9 Initial windows bytes (from server to client)
where H is the hidden layer output matrix, C is the regulation
10 RTT samples (from client to server)
coefficient, and T is the expected output matrix of samples.
11 Median data IP(from client to server)
Then, the output function of the ELM learning algorithm is
12 Variable data wire (from server to client)
1
1 
f ( x )  h( x ) H T   HH T  T (12) Among the classes belonging to the flows, 7 most
C  commonly used ones were chosen; and 1000 learning processes
and 750 tests were applied to each classes. Totally, 7000 classes
If the feature mapping h(x) is unknown and the kernel matrix
were chosen for the learning process and 5250 for the test.
of ELM based on Mercer’s conditions can be defined as follows Chosen classes are illustrated in Table 2.
[33]:
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155
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TABLE II
CLASSES AND DATA SETS
TABLE IV
No Class Explanation Training Test KERNEL POLYNOMIAL FUNCTION
1 Attack worm, virus 1000 750 Parameter1 Parameter2 Accuracy (%)
2 P2p bittorrent, 1000 750 1 1 75.14
3 Mail pop3,smtp 1000 750 0.1 0.1 64.88
4 Www http, https 1000 750 1 0.1 31.79
5 Services dns, ntp 1000 750 0.1 1 75.09
6 Bulk ftp, ssh 1000 750 0.01 0.1 60.84
7 Database mysql, 1000 750 0.001 1 75.45
10 10 92.69
The success measurement of classification by machine 100 100 18.63
learning algorithms can be examined according to the 1 100 21.14
evaluation table -in Fig. 2- including confusion matrix for
1 10 93.07
classification algorithms, and the evaluation metrics [7].
1 100 26.06
100 100 21.31
IV. CONCLUSIONS
The classification of data on the internet in order to make
Fig. 2. Evaluation Metrics internet use more efficient has an important place especially for
network administrators managing corporate networks. Studies
In Figure 6, lines indicate the actual value of the example;
for the classification of internet traffic have increased recently.
and columns of matrix indicate estimated values which were Machine learning methods of classification of the internet
classified or clustered. Accordingly, above-mentioned metrics traffic which is commonly used in our day and has been also
can be defined as follows: selected for this study is the kernel based on extreme learning
 True Positive (TP): The number of examples which machine based approaches. In this study, over 95% was
actually belong to class X and are correctly estimated to be achieved accuracies using different activation functions. In this
in class X. study, the kernel based ELM function; Radial Basis and
 False Positive (FP): The number of examples which don’t Polynomial functions are used. Functions classification
belong to class X but estimated to be in Class X. performance by changing the parameters used were observed.
 True Negative (TN): The number of examples which RBF is used for the first parameter value. Polynomial function
actually don’t belong to class X and estimated not to be in for changing the classification is made and 2 parameter values.
class X. With a decrease of the parameter value used for RBF was found
 False Negative (FN): The number of examples which that the accuracy increases. This parameter value is 0.01 and
belong to class X but estimated not to be in class X reached a value of 95.10% accuracy. With 0,001 of these
parameters have reached a value of 96.27% accuracy. But the
increase has been observed that a lot of work time. 2 parameter
TP + TN value for Polynomial function is used. The value of 1 and 10
Accuracy = (17) Accuracy rate of 93.07% was observed with the election.
TP + TN + FP + FN
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Hybrid Biometric System Using Iris and Speaker

Recognition
Gökçen ÇETİNEL*, LLukman ÇERKEZI*, Doğukan Uzuner*, Barış Yazar*
Electrical and Electronics Engineering Dept., Sakarya Unıversity, Turkey
#
gcetinel@sakarya.edu.tr, {llukmancerkezi, barisyazar1994}@.gmail.com, duzuner@yandex.com
Abstract—In this study, a hybrid security system is proposed. verification and identification. Verification refers the case
The proposed system is composed of two subsystems namely iris where the user desires to be recognized by using an identity
recognition system (IRS) and speaker recognition system (SRS). such as personal identification number (PIN), login name,
Pre-processing, feature extraction and feature matching are the smart card; and the system makes one-to-one comparison to
main steps of these systems. determine whether this claim is true or not. The main goal is
In IRS subsystem, Gaussian filter, Canny edge detector, Hough to prevent multiple people using the same identity.
transform, and histogram equalization is performed for pre- Identification refers the case where the system makes one-to-
processing, respectively. After that, by applying 4-level Discrete
many comparison of user to determine who is exactly the user.
Wavelet Transform (DWT) to pure iris image, the iris image is
decomposed into four sub-bands (LL4, LH4, HL4 and HH4). In The main goal is to prevent a single person from using
order to extract the feature vector from iris pattern, the LH4, multiple identities. One of the key advantages of biometrics
HL4 and HH4 sub-bands (matrices) are merged into one matrix. over the traditional methods such as knowledge based systems
Finally the matrix is transformed in vector to obtain the feature is that biometrics cannot be lost or forgotten; they are difficult
vector of iris image. For SRS subsystem, the pre-processing step for attackers to forge and for user to repudiate [6].
includes spectral arrangement, silence part removing and band Among biometric systems, iris recognition system is very
limitation operations. After pre-processing, frame blocking and popular due to significant reasons such as, uniqueness, non-
windowing are applied to the long-term speech samples and then invasiveness and high stability. Iris is part of human eye
Fast Fourier Transform (FFT) is performed for the each short-
which lies between pupil and sclera. Iris cannot be copied so
term speech segments (frames). Finally, the Mel Frequency
Cepstral Coefficients (MFCC) technique is performed in order to iris recognition system is the most reliable system in
obtain feature vector of the speech. comparison with other biometric systems [2].
The feature matching step of both IRS and SRS is implemented In recent years, speaker recognition also gained increased
with Dynamic Time Warping (DTW) which is an efficient significance. Searching or controlling based on speaker
algorithm to measure the distance between two vectors. identity is a growing interest in today’s technologies. Speaker
According to the DTW results, the false acceptance rate (FAR) is recognition is commonly used in the applications of personal
zero and false rejecting rate (FRR) is about 4 % for the proposed authentication, national security and general forensics. In this
hybrid system. study, speech analysis and decision process is performed by
computer analysis automatically. The main goal of the
Keywords— Biometric systems, iris recognition, speaker proposed speaker recognition system is to increase the
recognition, DTW, security. security of entire hybrid system [5].
I. INTRODUCTION Speaker recognition consists of two main tasks:
identification and verification. In speaker identification we
intend to identify a speaker from a closed or open set of
Nowadays, with the emerging of information technology speakers. For speaker verification, the objective is to verify
the security of digital data has gained a great importance. One the claim of an unknown speaker is true or not. This
way to protect the digital data from unauthorized persons is to verification is performed by comparing the speech samples of
use identification and access control mechanisms. In order to claimer and other speaker’s speech samples available in
provide these mechanisms one emerging technology that database. The characteristic of each speaker voice is typical
becomes more widespread is biometrics. and secret in her/his voice box. So, speaker recognition
Biometric systems are designed based on people’s systems are the reliable biometric systems, too.
physiological or behavioural characteristics. These systems In this study, by connecting iris and speaker recognition
can be defined as a pattern-recognition system which tries to systems in sequence, a hybrid high security biometric system
recognize a person based on feature vector derived from is obtained. Both IRS and SRS are designed by applying pre-
her/his specific physiological or behavioural characteristics. processing, feature extracting and feature matching (decision)
The physiological characteristics include fingerprint, face, steps. Used techniques in order to achieve these steps are
iris, DNA, hand geometry whether the behavioural explained in the corresponding sections. By performing
characteristics include gait, voice. Depending on application, computer simulations, it is shown that the proposed hybrid
a biometric system can operate for two main purposes:
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158
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biometric system (HBS) is more robust against to the intruders the maximum energy of the signal, one more times until we
than separate biometric system. To evaluate the performance get the desired level of decomposition. The middle and high
of the system FAR and FRR values are also calculated in the frequency (LH1, HL1, and HH1) sub-bands represent the
simulations. According to the results, we can say that the details of image such as edges, outline and texture.
proposed systems ensure security requirements. In our study, we used 4-level DWT in order to extract the
The paper is organized as follows. In Section II, IRS and correct features from iris texture. By performing 4-level DWT
SRS are explained with all steps, respectively. A brief we get LL4, LH4, HL4 and HH4 sub-bands. Since the
information about used techniques in these steps are also distinctive features of iris are hidden in the high- frequency
given in Section II. HBS which consist of IRS and SRS is components, we constitute the feature matrix by merging LH4,
introduced in Section III. To evaluate the performance of the HL4, and HH4 sub-bands in one matrix. Finally the matrix is
system, simulation results are given in Section IV. Finally, transformed into a vector to obtain the feature vector of iris
discussion and conclusion part is stated in Section V. image.
II. SUBSYSTEMS
In this section, two subsystems of the HBS are explained in
details. Pre-processing, feature extraction and feature
matching are the main phases of both subsystems.
A. Iris Recognition System (IRS)
Pre-processing: In pre-processing, eye image is transformed
into an appropriate model to extract the distinctive features for
recognition. Iris localization and normalization are two basic (a) (c)
processes in pre-processing. In our study, before localization
and normalization 2-D Gaussian filter is applied for noise
reduction. Then, the edges are detected with Canny edge
detector.
Iris localization is crucial for iris recognition systems. As we
see, there are two contours in an eye. The first one is inner
contour separating the iris andpupil; second one is the outer
contour separating the iris and sclera. By using Circular
Hough Transform (CHT), we obtain the inner and outer
boundaries of iris. In other words, we estimate the centre and (b) (d)
Fig. 1 Pre-processing operations: (a) Original iris image, (b) inner and
radius of contours. outer boundaries of iris (c) Canny edge detector applied to iris image, (d) iris
Iris normalization is an operation converting iris region from template in polar form.
Cartesian coordinates to polar coordinates. Thus, circular
image turns into a rectangular form and now is suitable for
feature extraction. As a last step, histogram equalization is B. Speaker Recognition System (SRS)
used for enhancing the contrast of iris pattern. In Figure 1, In SRS, at the beginning we record the speech of the users
pre-processing is illustrated. under same conditions. Since the SRS is text dependent
Feature Extraction: In order to use iris signature for recognition system, the users say the same words for database.
recognition systems, the representing of iris in an appropriate The block diagram of the proposed SRS system is given in
way is very important. To extract the specific features from Figure 2. The steps of SRS can be explained as follows.
iris, Discrete Wavelet Transform (DWT) is used. DWT is an Pre-processing: In order to process a digital signal, first we
efficient tool, which transforms the signal from time domain must sample the analog signal by Nyquist frequency rate.
into frequency domain without losing time information. Then, pre-processing step including spectral arrangement,
In general, by performing DWT to 1-D signal, the original silence part removing and band limitation operations is
signal is divided in low and high frequency parts. This process applied to the digitized signal.
is called as decomposition and it is provided through special For spectral arrangement, to enhance the high-frequency
analysis filters. The outputs of filter are referred as DWT energy of the signal, we use a high-pass finite impulse
coefficients and the original signal can be reconstructed from response pre-emphasize filter. The transfer function of this
these coefficients by using appropriate synthesis filters filter is given as follows,
(inverse DWT, IDWT). For 2-D signal case, after performing
DWT, image will be divided into four sub-bands 𝐻(𝑧) = 1 − 𝜇𝑧 −1 , 0.95 ≤ 𝜇 ≤ 0.97 (1)
corresponding to low frequency (LL1), middle-frequency (LH1,
HL1) and high frequency (HH1) components, respectively. In silence part removing differentiation operation is
DWT can be applied to the LL1 sub-band which concentrates performed on speech samples from left-to-right and right-to-
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159
_____________________________________________________________________________________________________________
left to eliminate the non-variant (silence) parts. Then The HBS is designed by connecting IRS and SRS
accordance with the human audio system, frequency subsystems as demonstrated in Figure 4. The HBS works as
components outside of 1KHz-5KHz band is stopped. This can follows; at first the user tries to pass through IRS. If IRS
be referred as band limitation. denies his/her access, the system will automatically reject this
attempt. On the other hand, if the user passes through IRS
successfully, SRS is put into use. With the acceptance of SRS,
the user will be able to enter.
Fig. 2 Block diagram of SRS. Fig. 4 Hybrid Biometric System (HBS)
Feature extraction: In general speaker recognition system,

the critical step is feature extraction step. To achieve high B. Feature Matching
recognition performance, it is known that the features should
be extracted form short-time (20-25ms) speech segments. One In this study, we use Dynamic Time Warping (DTW)
of the most commonly used short-time features are Mel technique to implement feature matching process. DTW is
Frequency Cepstral Coefficients (MFCC). To calculate MFCC applied to feature vector which is constituted by combining
values, speech signals are divided into short overlapping iris image feature vector and MFCC. This technique is very
frames. Then each frame is multiplied by a window function. efficient to find optimal distance between two vectors that
In our study, we use Hamming window given as, may differ both in phase and length. The first step in
algorithm is to determine local cost measure c(x, y) between
2πn each element of the X and Y vectors by calculating Manhattan
w(n) = 0.56 − 0.46 cos ( ) (2)
N−1 distance. If c(x, y) is small, the similarity between X and Y is
high and vice versa. In the second step, the cost matrix is
where N is the length of the window. Then with Fast Fourier obtained by evaluating the local cost for each pair of elements
Transform (FFT), Fourier power spectrum is obtained. In the in X and Y feature vectors.
next step, the logarithm of the spectrum is calculated a Algorithm tries to find a warping path p= (p1,...,pu) which
nonlinearly spaced triangular band-pass Mel-space filter-bank satisfies the following three conditions:
(illustrated in Figure 3) analysis is performed. With filter-bank i) Boundary condition: p1=(1,1) and pu=(N,M),
analysis, spectrum energy for each channel i.e. filter-bank ii) Monotonicity condition: n1<n2<....<nu and
energy coefficients are obtained. By performing Discrete m1<m2<.....<mu
Cosine Transform (DCT) on filter-bank energy coefficients iii) Step size condition: pu+1 – pu ϵ {(1,0),(0,1),(1,1)}
we attain to MFCC. for u ϵ [1:=L-1]
The total cost cp(X,Y) of a warping path between X and Y

with respect to the local measure c is defined by
cp(X,Y) := ∑𝑈
𝑢=1 𝑐(𝑥𝑛𝑢 , 𝑦𝑚𝑢 ) (3)
An optimal warping path between X and Y is a warping

path p* having minimal total cost among all possible warping
paths. The DTW distance DTW(X,Y) between X and Y is
then defined as total cost p*:
DTW(X, Y):= cp*(X,Y)= min {cp(X,Y) │ p is an (N,M)-
warping path} [7]. (4)
Fig. 3 Mel Filter Bank DTW algorithm is widely used in speech processing
applications due to the nature of speech waves. As far as we
III. PROPOSED SYSTEM know, DTW algorithm is not applied for iris recognition
In this section, we explain how the hybrid system is systems. In our study, we used DTW both IRS and SRS and
designed. In addition, the last step of both IRS and SRS we obtained very promising results.
referred as feature matching step is discussed.
A. Hybrid Biometric System (HBS)
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IV. EXPERIMENTAL RESULTS V. CONCLUSION

In this section, the simulation results are given for IRS, In this study a novel Hybrid Biometric System (HBS) is
SRS and HBS systems respectively. Simulations are proposed. First, the Iris Recognition System (IRS) and
performed by using MATLAB computer program. The Speaker Recognition System (SRS) are designed and tested
performance of system is evaluated by calculating two rates separately. The performances of sub-systems are evaluated by
defined as follows: calculating FAR and FRR rates. Then, we connected two sub-
i) False Acceptance Rate (FAR): the probability of systems to obtain the HBS system. The purpose of proposed
identifying an intruder as an enrolled user, HBS is to ensure high reliability. By means of the proposed
ii) False Rejection Rate (FRR): the probability of HBS, to cheat system by spoof attacks is almost impossible.
rejecting an enrolled user as if he was an intruder
ACKNOWLEDGMENT
Since the aim of HBS system is to ensure high security This paper was written thanks senior project “High security
especially in a house, the database of our system is modelled system using Iris and Speaker Recognition” which is
for 10 people. For each user, 10 images of right iris and 10 supported by TUBITAK 2209/A program. We would like to
sample voices are recorded.Two iris images and two sample thank deeply to TUBITAK for their support.
voices are used for training among them.The iris images are
provided by Casia- Iris V4- Interval-R database. The size of References
iris images is 280x320. After applying pre-processing and [1] L.V. Birgale, M. Kokare, “Iris Recognition Using Discrete Wavelet
feature extraction processes to the iris images we get a feature Transform”, International Conference on Digital Image Processing,
2009, Bangkok
vector of size 1x84 for each image. [2] J.G. Daugman,” High Confidence Visual Recognition of Persons by a
As discussed before, since our SRS sub-system is text Test of analysis of Statistical Independence ”, IEEE Trans. On Pattern
dependent, the sentence “open the door” in Turkish is used as Analysis and Machine Learning, Vol. 15, No. 11, pp1148-1161, Nov
a password. The recording time is two seconds and the 1993
[3] Zh. Lin, B. Lu, “Iris Recognition Method Based on the Imaginary
sampling frequency is 16kHz. After pre-processing and Coefficients of Morlet Walelet Tranform ”,2010 Seventh International
feature extraction we obtain a feature vector of size 1x40. Conference on Fuzzy Systems and Knowledge Discovery (FSDK),
Finally, we form feature vector for whole system by 2010 Yantai, Shandong
combining the feature vectors of IRS and SRS subsystems. [4] S.D. Thepade, P. Bidwai, “Iris Recognition Using Fractional
Coefficients of Transforms, Wavelet Transforms and Hybrid Wavelet
The resulting vector’s size is 1x40. Transform”, 2013 International Conference on Control Computing
After applying DTW algorithm to obtained feature vector Cammunication & Materials (ICCCCM), Allahabad 2013
we calculate the FAR and FRR values. These values are given [5] J. Hansen, T. Hasan, “Speaker Recognition by Machines and Humans:
in Table 1 for two subsystems and hybrid system. As can be A Tutorial Review”, IEEE Signal Processing Magazine, Vol.2, pp 74-
99, Nov 2015
seen from Table 1, the FAR vales for these systems are zero. [6] S. Prabhakar, S. Pankanti, A. Jain, “Biometric Recognition: Security
On the other hand FRR values are different in each system. By and Privacy Concerns”, IEEE Security & Privacy, Published by IEEE
connecting IRS and SRS sub-systems we increase the security Computer Society, 2003
with HBS. A user must pass through both sub-systems in [7] M. Müller, “Information Retrieval for Music and Motion”, Springer, pp
69-84,2007,Available:
order to enter so it is almost impossible to cheat the system. http://www.springer.com/gp/book/9783540740476
The FRR value of HBS is evaluated by using total [8] A. Sukhwal, M. Kumar, “Comperative Study of Different Classifiers
probability theorem as given in the following equation Based Speaker Recognition System Using Modified MFCC for Noisy
Environment” 2015 International Conference on Green Computing and
Internet of Things (ICGCIoT), Noida 2015
FRR(HBS) = FRR(IRS) + FRRC(IRS)* FRR(SRS│ IRS= [9] K. S. Ahmad, A. S. Thosar, J. H. Nirmal, V. S. Pende, “A Unique
accepted) = 0.0125 + 0.9875x0.025= 0.037 (5) Approach in Text Independent Speaker Recognition Using MFCC
feature Sets and Probabilistic Neural Network” 2015 Eighth
International Conference on Advances in Pattern Recognition (ICAPR),
where FRR is false rejecting rate for HBS and FRRC(IRS) is Kolkata 2015
the probability oftrue decision in IRS. [10] H. B. Kekre, V. A. Bharadi, A. R. Sawant, O. Kadam, P. Lanke,
It can be seen from Equation (5) that the FRR (HBS) value R .Lodhija, “Speaker Recognition Using Vector Quantization by
is smaller than FRR(SRS) value. Thus, by using HBS we can MFCC and KMCG Clustering Algorithm”, 2012 International
Conference on Communication, Information & Computing Technology
provide small FRR value and increase the robustness of (ICCICT), Oct. 19-20, Mumbai, India,2012
system against fake biometric attack [11] J. Martinez, H. Perez, E. Escamilla, M. M. Suzuki, “Speaker
Recognition Using Mel Frequency Cepstral Coefficients (MFCC) and
TABLE I Vector Quantization (VQ) Techniques”, 22nd International Conference
FAR and FRR values for IRS, SRS and HBS systems on Electrical Communications and Computers (CONIELECOMP),
FAR FRR Cholula, Puebla, 2012
IRS 0 0.0125
SRS 0 0.05
SRS│ IRS accepted 0 0.025
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Mobile Application of Drug Follow-up

Information System with Data Matrix Reader
Hamza Yaraş1, Kübra Uyar2
1, 2
Selçuk University, Technology Faculty, Computer Engineering Department, Konya, TURKEY
1
hamza.yaras@kuveytturk.com.tr,2kubrauyar@selcuk.edu.tr
Abstract— The number of products that simplify people’s lives are Until 2030, health spending is expected to absorb %15 of the
increasing with the enormous development of the technology. gross domestic product of developed countries. These countries
Mobile devices have a great importance for the provision of such as Brazil, Russia, India and China anticipate that 175-200
communication which is one of the most significant need of human billion dollars will be saved in the management of chronic
beings. Mobile devices have gone beyond to be used originally as a
diseases using mobile health applications actively. This means
mobile phone purposes and they have begun to be used as
smartphones by taking in charge of computers. They are not only that the area of the mobile health will gain more importance in
used for communication but also they are used like camera, photo the future.
camera, notebook, television and reminder. Google's Android There are some systems for tracking up chronic illnesses
platform is a widely anticipated open source operating system for developed by mobile operators such as “Turkcell Health
mobile phones. Google’s Android Operating System (AOS) in mobile Monitoring Service” and “Avea Patient Status Tracking System
phones are still relatively new, however, AOS has been progressing with Chronic illnesses” in Turkey.
quite rapidly. The increasing number of smartphone users has In literature, there are numerous examples of mobile
prepared the ground for the emergence of new ideas to make life applications to make people’s life easier. Hacer and Kürşat[2]
easier. Recently, especially some applications in health sector reflect
developed a web based mobile application of child tracking
one of the most important samples for making life easier. Some of
mobile applications in this field used by humans are about hearing system. In their study, GPS (Global Positioning System)
test, vision test, diabetes, pregnancy, and doctor appointment. This technology was used to provide location data. Another mobile
paper focuses on following of drugs, taken by patients, through application developed by Yuce et. al [3] focused on asthma, a
mobile phones. The application running on the AOS provides the use chronic disease which can be control with patient-doctor
of drugs on time with the alarm system. In addition to this, the cooperation involving frequent medical review and regular
application gives information (time, dosage, name) about drugs by self-monitoring by basic indicators. In their study, they
reading data matrix located on the medicine box. Thanks to visual proposed to help patients keep their asthma under control and
and understandable interface and easy usage, many difficulties enable doctors reach patients. Finally, Kato and Tan[4]
experienced in drug receiption can be eliminated with this
reviewed the six 2D barcodes and then use an extra metric - a
application. Finally, the percentage of receiption of drugs on time
can be increased in the future. first-read rate - to quantitatively verify our earlier results and
better gauge reading reliability.
Keywords— Android, data matrix, web service, drug alarm,
prospectus, smartphones, mobile programming.
II. BARCODE AND DATA MATRIX TECHNOLOGIES
AND STANDARDS
I. INTRODUCTION Barcode technology is one of the information coding
standard. Barcodes are interface elements that provide access
Providing access to health records with the communication
to encoded data via the optical reader. As seen Fig. 1, barcodes,
networks and mobile devices from the desired location has been
consisting of vertical lines and spaces of different thicknesses,
suggested as a growing business value in the health field[1].
is a method used to transfer data automatically and error-free
The drug which is one of the most important thing in the field
manner to another environment.
of health disorder is one of the most effective methods used for
immunity. For this purpose, following of medicine becomes
more difficult and it reveals a dangerous situation in terms of
health for patients. All these problems have emerged the idea
of mobile drug tracking application. The main purpose of drug
tracking is to prevent disease by providing medicine taking in
the right time.
Positive impacts of the market of mobile applications in the
health sector are increasing day by day. Elderly population has Fig. 1 Sample barcode labels
led to increase the health expenditures in a remarkable way.
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The use of barcode system has provided great advantages in provide easy way of moving SQL Server databases to Azure.
daily life and business. This technology provides fast and The database is designed to be moved to cloud in the future.
accurate data reading. In addition to this, it provides time saving SQL Server serves the majority of the database and
in the processes such as data update. management tasks. Because of such facilities SQL Server has
There are many types of barcode which have the serious been the preferred database server for our application.
areas and development process past to present. Generally, the
basic characteristic that distinguish species from each other are B. WCF Service
the amount of information that the code can hold. Fig. 2
demonstrates the types of barcode used in literature. The main objective of WCF is to enable the communication
In this paper, data matrix is preferred because of its use in between applications on the network or internet.
the pharmaceutical industry. Some basic information about data Representational State Transfer (REST) is an architecture to
matrix is given as follows: provide the data transfer between client and server via Hyper-
Text Transfer Protocol (HTTP). Since REST services are
Platform-independent, language-independent an easy to scale,
REST architecture is preferred in our system. The return types
BARCODES of REST Services can be used as Extensible Mark-up Language
(XML), JavaScript Object Notation (JSON), etc. based on the
need. JSON is preferred in our application because it can
2D BARCODES transfer smaller pieces of information while transferring data in
1D BARCODES
the application, and it is easier to use on the mobile platforms.
As an example, the barcode number and drug information
which is sent to the service is illustrated in Fig. 3 in JSON
ShotCode
Code 49 Visual Code format. Likewise the database system, the service is also
Code 11 Code 93 Code 16K Color Code designed to be moved to the cloud.
Code 25 Code Data matrix QR Code
Code 39 128/A/B/C Maxicode vs
Onecode EAN 2/5/8/13
MSI
Fig. 2 Some barcode types[5]
A. Data Matrix
Data matrix code is a two-dimensional matrix barcode
consisting of black and white "cells" structured in either a
square or rectangular pattern. Encoded information on the data
matrix can be text or numeric. Data matrix which can save 3116
numerical or 2335 character can hold more data than one-
dimensional barcode. On data matrix, while each black cell
refers “1”, each white cell refers “0” mathematically.
III. SYSTEM ARCHITECTURE

In this study; we proposed a system which consists of an Fig. 3 JSON Format
application to be installed on the mobile device with Android
operating system, a database where the drug information is
stored, and a Windows Communication Foundation (WCF)
service which provides the data exchange between them. C. Mobil Application of System
A. Database For the mobile application, the open source operating system,
Android, is used, and Android Studio is preferred as an editor.
SQL Server Express is a database system, developed and The purpose of this mobile application is to let the users doing
distributed by Microsoft, which can be used to provide a basis medication tracking via Android mobile devices. One of the
for the applications running on desktop and small servers. most important features of the application is to notify the user
Microsoft's Azure cloud infrastructure and application platform, when it is medication time and to let the medication is taken on
time. The medication alarm can be set manually as well as via
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the QR code on the drug. In addition to this, multiple alarms

can be set.
The QR code on the drug was created to enable drug tracking.
The QR code consists of the barcode number for the drug
(GTIN: Global Trade Item Number) and a Serial Number (SN).
By integrating the Batch Number (BN) and the Expiration Date
(XD) to this unified record system, the obtained information is
written on the drug.
In this mobile application, information about drugs can be
gathered not only by their names but also by their barcode
number. For this solution, application needs a barcode scanner.
There is a library for barcode scanning on mobile devices called
Zebra Crossing (ZXing). In order to read the QR code, ZXing
library is used. ZXing is an open source, multi-format 1D/2D
barcode image processing library implemented in Java. This
library enables users to scan and read the QR code on the drug,
utilizing the camera on the mobile devices.
On the opening screen of the mobile application, the list of
tracked medications takes place, as shown in Fig. 4. To add a
new record to this list, we open the record screen in Fig. 5, via
the “Plus” button. In this screen, a drug reminder can be set
through entering the activeness, title, hour, repeating days of
the medication reminder, the ring tone, and whether the
vibration is on or off, or by reading the QR code in Fig. 6, and Fig. 5 Drug Adding Screen
clicking the “SAVE” icon. After this stage, the application is
redirected to the screen in Fig. 4.
Fig. 6 DataMatrix Reading
Fig. 4 Home Screen

In case the of drug is wanted to be deleted or the drug
information is wanted to be updated, the deletion or update can
be accomplished by selecting the item from the list in the
opening screen and using the screen in Fig. 5. In order to delete
the record easily, the item is pressed and hold for a while in the
opening screen.
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Either by clicking the “DRUG” icon on the opening screen REFERENCES

or through the QR code reading screen shown in Fig. 6, the [1] Unalır, E., Unalır, M.O., Şengonca H., V.Fadıl, The National
information about the drug can be seen as demonstrated in Fig. Vaccine Information System: A case approach to assessment and
7. recommendation. Academic Informatics, Muğla, in turkish, 2010.
[2]. Bayıroglu, H., Ayan, K., Web based child tracking system on
android. Sakarya University Journal of Science and Technology, in turkish,
2014. 18: p. 87-91.
[3]. Yuce, K.Y., Bilge, U., Saka, O., Mobile Asthma Follow-up and
Evaluation System. 2. National Medical Informatics, in turkish., 2005: p. 26-
32.
[4]. Kato, H. and K.T. Tan, Pervasive 2D barcodes for camera phone
applications. Ieee Pervasive Computing, 2007. 6(4): p. 76-85.
[5]. Cakir, A., Kaygısız, H., Wireless Student Attendance Control
System. 6.International Advanced Technologies Symposium, Fırat University,
Elazig, in turkish., 2011.
Fig. 7 Drug Information Screen
IV. CONCLUSION
With the increased use of mobile devices, mobile
applications have made a quick entry into our lives in many
areas such as education and health. Health applications attract
the interest of both health workers and patients.
In this application that users can use on smart phones and
tablet computers, follow the prescription section, taking drugs
time and amount of dosage reminders for informative system.
Application makes possible to add up to the required
medication reminder record. The reminder of each drug is
shown separately and when desired a reminder notification can
be added for each drug. The most important benefit of this
application is that nearly almost problems about drug intake
(dosage, time interval …etc.) will disappear. As a result,
receiving time of the overall drug percentage will be raised by
this application.
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A Hybrid Algorithm for Automated Guided Vehicle

Routing Problem
Cansu Soyleyici1 , Sinem Bozkurt Keser2 , Ahmet Yazici2 ,
1
Department of Electrical and Electronics Engineering, Eskisehir Osmangazi University, Eskisehir, Turkey
cansusoyleyici@gmail.com,
2
Department of Computer Engineering, Eskisehir Osmangazi University, Eskisehir, Turkey
{sbozkurt,ayazici}@ogu.edu.tr
Abstract— Nowadays, automatic systems become a crucial in either online or offline. While offline planning requires prior
many factories to achieve some tasks such as minimizing cost, knowledge related to tasks (it can be nodes, duties and so on),
maximizing efficiency, quality, and reliability. The planning is
important for manufacturing systems to adopt changing online planning enable to give new tasks [2].
conditions. Also, manufacturers want to obtain fast, reliable, Actually, AGV scheduling and routing problems are very
qualified and economic products. Flexible Manufacturing complex in reality. However, this problem will be solved in
S ystems (FMS s) are used to meet this need. FMS s make this paper by simplifying and ignoring some conditions.
production fast, qualified, reliable and economic by using Details related conditions, assumptions and constraints will
computer-controlled structure that includes robots and be given in following parts.
transportation systems. Automated Guided Vehicle s (AGVs) and
The paper is organized as the follows. Related works in
FMS are thought to be integrated because FMS uses AGV as a
part of transportation in the factory. AGVs are used to carry literature for AGV routing is given in section 2. Section 3
loads, in other words products, in production areas, warehouses, focuses on problem statement, in other words, assumptions,
factories that use magnets, landmarks, laser sensors, lines to constraints and information about used algorithms. Test
know where they are. AGV scheduling and routing is NP-hard results for proposed algorithm are given in section 4. Finally,
and open-ended problems. In the literature, there are many conclusion part summarizes all written things in the paper
algorithms and methods are proposed to solve these problems. with short paragraph in section 5.
In this study, we present a hybrid algorithm that is composed of
simulated annealing (S A) and Dijkstra’s algorithm to solve the II. LIT ERAT URE REVIEW
routing problem. The hybrid algorithm is compared with S A
algorithm in terms of distance cost using benchmark problems As mentioned before, scheduling and routing of AGVs is
in the literature. NP-hard problem. Therefore, there are so many researches
and solutions in literature and also researchers have been still
Keywords— Automated Guided Vehicle, Flexible Manufacturing trying to deal with it. There are so many methods to solve
S ystems, S imulated Annealing Algorithm, Dijkstra, Routing, AGV or vehicle routing problem such as simulated annealing
Vehicle Route Planning, Automatic S ystems. algorithm, genetic algorithm, tabu search and so on. Also,
some hybrid algorithms that are composed of two or more
I. INT RODUCT ION
algorithms are available in the literature.
Nowadays, there are many factories that use automated Liu and Fu [3] dynamically solve the vehicle routing,
systems to improve quality while minimizing cost to meet scheduling and planning problem by using A* algorithm,
demands of customers in competitive market. There can be minimax criterion and some heuristic rules. They model the
uncertainties and changes due to this competition. The result problem as optimal routing assignment of „p‟ AGVs among
of these uncertainties and changes is decreasing performance „m‟ workstations in order to accomplish „n‟ tasks by using
and flexibility. Therefore, routing and scheduling is important AGV in FMS. Czech and Czarnas [4] investigate the vehicle
to prevent such an undesired condition. Flexible routing problem with time windows. Parallel-simulated
Manufacturing Systems are used to meet this need. FMSs annealing algorithm is proposed to solve routing problem
make production fast, reliable, qualified and economic by assuming that there is a central depot of cargo and n
using computer-controlled structure that includes robots and customers a particular distance far away from the depot. The
transportation systems. Coordination in FMSs is important effectiveness of the method is tested on some well-known
for production and transportation because it is required to instances of the problem. Lin et al. [5] apply an algorithm
schedule limited resources in industry. If FMSs are well- combining simulated annealing with local search approach to
planned, coming jobs are done on time. Therefore, production handle capacitated vehicle routing problem (CVRP) and test
and transportation is carried out smoothly. AGVs are the algorithm on fourteen benchmark problems having
indispensable parts of FMSs. Here, AGVs are responsible for different settings. Onoyama et al. [6] propose an algorith m to
transportation in FMSs. solve vehicle routing problem for a cooperative logistics
AGV control includes duty assignment, routing and network by using genetic algorithm. They use multistage GA
scheduling [1]. AGV routing and scheduling can be done and a method of multistage point evaluation to satisfy the
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optimization of a cooperative logistics network. Here, they A. Simulated Annealing Algorithm

claim that the method of multistage GA gives a chance to Simulated annealing algorithm is a metaheuristic method
obtain accurate solution under various conditions. The paper that is used to find maximum or minimum of a function
of Morihiro et al. [7] is about an online „Tasks Assignment without trapping local maximums or minimums. Algorithm
and Routing Problem‟ as called TARP. Their method is for an starts with an initial solution and tries to find better solution
initial task assignment of autonomous distributed vehicle by randomly changing some neighbors. However, some high-
systems that uses finite buffer capacity. Also, the purpose of cost solutions are selected if the probability of it is greater
the method is to decrease the computation time of route than a probabilistic value [12].
planning by using initial task assignment. In other words, the Actually, this method can be associated with cooling
importance of selecting initial task in a right way is process of metal. In thermodynamics, metals should be
emphasized. Wu and Zhou [8] propose an algorithm to find cooled carefully and slowly. When the metals are abruptly
shortest time routes by controlling deadlock and blocking in cooled, they will have fragile structure that is undesired. At
AGV systems because they are undesired. Bouhafs et al. [9] the same way, if there are abrupt changes in simulated
propose a hybrid algorithm that uses tabu search and ant annealing algorithm, it may trap local values. Therefore,
colony algorithm to solve „Capacitated Location-Routing small changes are preferred for both.
Problem‟ that is composed of „Facility Location Problem‟ and Simulated annealing method is used in electronic circuit
„Vehicle Routing Problem‟. The purpose of using tabu search design, image processing, path finding problem, travelling
is to find distribution centers with reasonable configuration. salesman problems, scheduling problems [13]. In this paper,
Also, the purpose of using ant colony algorithm is finding a SA is used for routing of AGVs.
route for configuration founding in tabu search step. Another
tabu search method is proposed by Guan and Shi [10] for B. Dijkstra’s Algorithm
vehicle routing problem. They suggest that their approach is Dijkstra‟s algorithm is used to find shortest path between
more intuitive and easy to understand client-direct- nodes in a graph by using open list and closed list logic
arrangement solution method coded with C language. Li et al. proposed by Edsger W. Dijkstra in 1956 [14]. In this paper,
[11] improve the tabu search for the vehicle routing with Dijkstra‟s algorithm is used to make the distance found by SA
fuzzy demands. The purpose is to minimize total distance. shorter.
Traditional tabu search is compared with the proposed Pseudo codes of SA and hybrid SA are given in algorithm
improved tabu search to see the effectiveness of the 1 and algorithm 2, respectively to show the difference
algorithm. between them.
In this work, SA algorithm is combined with Dijkstra‟s
algorithm to improve the performance of SA algorithm. Then,
Algorithm 1: Simulated Annealing Algorithm
SA and hybrid SA are compared in a table to show
(1) Generate an Initial solution, S
effectiveness of new algorithm. Details of the algorithm are
(2) Select a value for initial temperature, T
given in the following parts.
(3) Select a value for minimum temperature, Tmin
(4) while (T <Tmin )
III. IMPLEMENT ED A LGORIT HM Generate a neighborhood solution S’ of S
Δ=DistanceCost(S’) -- DistanceCost(S)
Implemented hybrid algorithm consists of both SA and If Δ<0, S=S’
Dijkstra. SA gives a route for each AGV and Dijkstra Generate a number r between 0 and 1.
enhance the routes by shortening them. So, performance of End if
the SA algorithm is increased by Dijkstra. If Δ≥0, S=S’ with exp (-Δ/T) > r
Before the implementation of algorithm, assumptions and T=α*T
constraints should be determined because of ease of coding. End if
Assumptions and constraints are given as the following: (5) end while
 All nodes are connected with each other.
 There is one depot and more than one distribution Initial solution in (1) of Algorithm 1 is found using nearest
center. neighbor strategy. Each service node is firstly ordered
 All AGVs are capacitated and total demand must be minimum to maximum according to distance to depot. Then,
smaller than or equal to the total capacity of AGVs. each service node is assigned to each AGV respectively. This
 Collision between AGVs does not take into account, or step continues until no service node is left.
in other words, there is a sufficient gap for passing
through more than one AGV at the same time. Algorithm 2: Hybrid Simulated Annealing Algorithm
After the assumptions and constraints, giving information
about SA and Dijkstra‟s algorithm can be useful to (1) Generate an Initial solution, S
understand hybrid algorithm. (2) Select a value for initial temperature, T
(3) Select a value for minimum temperature, Tmin
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(4) while (T <Tmin ) A23 63 10 100 1387,56 1349,23

Generate a neighborhood solution S’ of S A24 64 9 100 1513,06 1506,20
DijkstraOrder(S’) A25 65 10 100 1298,62 1268,69
Δ=DistanceCost(S’) -- DistanceCost(S) A26 69 10 100 1307,63 1298,90
If Δ<0, S=S’ A27 80 10 100 1936,23 1921,28
Generate a number r between 0 and 1.
End if Some parameter settings are required to run simulated
If Δ≥0, S=S‟ with exp (-Δ/T) > r annealing algorithm and values of them are crucial.
T=α*T Parameters, expressions and corresponding values are given
End if in Table 2.
(5) end while
T ABLE 2
PARAMET ERS USED IN HYBRID SA
The “DijkstraOrder” function is applied each route of Parameters Expression Value

AGV in neighborhood solution S’. This function is ordered
the route of each vehicle considering the shortest path cost. T temperature 100
T min M inimum temperature 1
IV. EXPERIMENT AL RESULT S
r Annealing ratio 0.2
The algorithms are coded in C#. The tests for hybrid
algorithm are done on a laptop with Windows 7, Intel Core i7 α Cooling parameter 0.9999
CPU and 8 GB Ram.
Simulated Annealing (SA) and hybrid SA algorithms are
compared in terms of best distance costs using problem set by As seen in Table 1, hybrid SA gives better results except
Augerat et al [15]. The instances range from 32 to 80 service for three of 27 results in terms of distance. Visualization of
nodes. Number of AGVs is changed from 5 to 10 according first data set A1 is made with simulated annealing in Fig. 1
to problem set. In addition, the capacity of each vehicle for all and with hybrid simulated annealing in Fig. 2 for better
problem set is 100. The problem set description and best understanding.
distance cost results obtained using SA and hybrid SA are
given in Table I.
T ABLE I
PROBLEM SET DESCRIPT ION
Problem Number Number Capacity Best Best

Set of of AGV Cost Cost
Name Service with with
Nodes SA Hybrid
SA
A1 32 5 100 808,55 803,66
A2 33 5 100 662,00 675,70
A3 33 6 100 746,80 743,44
A4 34 5 100 788,72 791,86
A5 36 5 100 831,32 835,09
A6 37 5 100 694,91 694,26
A7 37 6 100 990,06 979,92
A8 38 6 100 765,41 764,68
A9 39 5 100 854,89 853,15
A10 39 6 100 848,94 838,32
A11 44 6 100 965,61 952,21 Fig.1 VRP solution for SA using problem set A1.
A12 45 7 100 992,47 982,79
A13 45 7 100 1182,3 1173,58
A14 46 7 100 985,58 928,00
A15 48 7 100 1150,04 1128,41
A16 53 7 100 1082,72 1075,01
A17 54 8 100 1259,40 1223,16
A18 55 9 100 1144,63 1133,11
A19 60 9 100 1439,17 1412,75
A20 61 10 100 1124,03 1113,16
A21 62 8 100 1387,27 1357,39
A22 63 10 100 1736,10 1717,60
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REFERENCES
[1] Kalinovcic, L., Petrovic, T., Bogdan, S., Bobanac, V. , “ Modified
Banker‟s Algorithm for Scheduling in Multi-AGV Systems”,
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Engineering, pp.351-356, 2011
[2] Bobanac, V., Bogdan, S., “Routing and Scheduling in Multi-
AGV Systems Based on Dynamic Banker Algorithm”, 16th
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[3] Liu, P., Fu, L., “Planning and Scheduling in a Flexible
Manufacturing System Using a Dynamic Routing Method for
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[4] Czech, Z.J., Czarnas, P., “Parallel Simulated Annealing for
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Fig. 2 VRP solution for hybrid SA using problem set A1. based Processing, pp. 1-8, 2002
[5] Lin, S.-W., Ying, K.C., Lee, Z.-J., Hsi F.-H., “ Applying
Fig. 1 gives the route of the AGVs as the following: Simulated Annealing Approach for Capacitated Vehicle Routing
Problems”, 2006 IEEE International Conference on Systems, Man
Route for AGV 1: 1-21-6-26-11-16-23-10-9-19-30-1 and Cybernetics, pp. 639-644, 2006
Route for AGV 2: 1-28-25-1 [6] Onoyama, T .,Maekawa, T ., Kubota, S., Komoda, N., “ GA
Route for AGV 3: 1-15-29-12-5-24-3-4-7-27-1
Applied VRP Solving Method for a Cooperative Logistics
Route for AGV 4: 1-8-14-18-20-32-22-1
Network”, 2006 IEEE, pp. 1101-1106, 2006
Route for AGV 5: 1-31-17-2-13-1
[7] Morihiro, Y., Miyamoto, T ., Kumagai, S., “An Initial T ask
Assignment Method for Autonomous Distributed Vehicle
Figure 2 gives the route of the AGVs as the following:
Systems with Finite Buffer Capacity”, 2006 IEEE, pp. 805-812,
Route for AGV 1: 1-21-6-26-11-16-10-23-30-1 2006
Route for AGV 2: 1-28-25-1 [8] Wu, N., Zhou, M., “Shortest Routing of Bidirectional Automated
Route for AGV 3: 1-19-9-12-5-29-24-3-4-27-1 Guided Vehicles Avoiding Deadlock and Blocking”, IEEE/ASME
Route for AGV 4: 1-15-7-18-20-32-22-14-1 TRANSACTION ON MECHATRONICS, VOL. 12, NO. 1, pp. 63-
Route for AGV 5: 1-31-17-8-2-13-1 72, 2007
[9] Bouhafs, L., Hajjam, A., Koukam, A., “A T abu Search and Ant
As seen above, routes for AGVs are generally different in Colony System Approach for the Capacitated Location-Routing
Fig. 1 and Fig. 2 but it is not important because algorithm is Problem”, Ninth ACIS International Conference on Software
probabilistic and can give different results at each run. It is Engineering, Artificial Intelligence, Networking, and
required to control whether total distance is getting smaller o r Parallel/Distributed Computing, pp. 46-50, 2008
not. Distance can be controlled with Table I and it can be said [10] Guan, C., Cao, Y., Shi, J., “T abu Search Algorithm for Solving
that SA is improved by using Dijkstra‟s algorithm. the Vehicle Routing Problem”, Third International Symposium on
Information Processing, pp. 74-77, 2010
[11] Li, H., Xu, Z., Zhou F., “A Study on Vehicle Routing Problem
V. CONCLUSION
with Fuzzy Demands Based on Improved T abu Search ”, 2012
So many factories use automatic systems due to developing Fourth International Conference on Computational and
technology to minimize cost and maximize efficiency, Information Sciences, pp. 73-76, 2012
quality, and reliability. FMSs are used to meet this need. [12] Zhu, C., T ang, L., Zhang, W., “Multi-vehicle Coordination and
AGVs play big role in this for the duty of transportation. It is Flexible Scheduling based on Simulated Annealing Algorithm”,
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effectively due to costs. SA algorithm is the one of the
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common methods in literature to solve the routing problem of
[13] Alcan, P., Başligil, H., “A literature Review for the Simulated
AGVs. In this study, it is combined with Dijkstra‟s algorithm
Annealing Method on the Parallel Machines Since 2003 ”, 14th
that is another common method in literature. Hybrid
International Research/Expert Conference, pp. 289-292, 2010
algorithm is tried on problem set by Augerat et al as
mentioned before. Obtained results show that the hybrid [14] Dijkstra, E. W. (1959). "A note on two problems in connexion
approach gives better distance results . In the future work, the with graphs" (PDF). Numerische Mathematik 1: 269 –271.
algorithms are planned to handle the problem for the doi:10.1007/BF01386390.
autonomous AGVs. [15] (2016) Vehicle Routing Dataset. [Online].http://www.coin-
or.org/SYMPHONY/branchandcut/VRP/data/index.htm.old#A
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The Use of Intelligent Water Drops (IWD) for

B-Spline Curve Fitting
Kübra Uyar1, Erkan Ülker2, Ahmet Arslan3
1,2
Computer Engineering, Selcuk University, Konya, Turkey
3
Konya Food and Agriculture University, Konya, Turkey
1
kubrauyar@selcuk.edu.tr,2eulker@selcuk.edu.tr, 3ahmet.arslan@gidatarim.edu.tr
Abstract— The use of B-spline curves has spreaded too many fields using B-spline curves. In this work, dominant points on the
such as computer aided design (CAD), data visualization, surface borders of the object calculated by Local Curvature Maximum
modeling, signal processing and statistics. The flexible and powerful (LCM) and control points are calculated by least square method.
mathematical properties of B-spline are the cause of being one of the Consequently, similar characters are determined by utilizing
most preferred curve in literature. They can represent a large variety
data set of sample characters. Valenzuela and Pasadas[2] used
of shapes efficiently. The curve behind of the model can be obtained
by doing approximation of control points, approximation of knot simulated annealing method for cubic spline approximation for
points or parameterization.. It is obvious that the selection of knot knot adjustment. Discrete curvature of data points was
points in B-spline curve approximation has an important and smoothed by low pass filters. Artificial immune system is used
considerable effect on the behavior of final approximation. In for optimization of the knots. Gálvez and Iglesias[3] calculated
addition to this, an unreasonable knot vector may introduce positions of the optimal knots using particle swarm
unpredictable and unacceptable shape. Recently, in literature, there optimization algorithm which was one of the most important
has been a considerable attention on the algorithms inspired from metaheuristic approach in literature. They highlighted that
natural processes or events to solve optimization problems such as parameters of the algorithm had an significiant effect on the
simulated annealing, ant colony optimization, particle swarm
performance of the curve fitting problem. Finally, Gálvez et
optimization, artificial bee colony optimization, and genetic
algorithms. This paper implements and analyzes a solution to al.[4] studied elistist clonal selection algorithm for selecting
approximate B-spline curves using Intelligent Water Drops (IWD) optimal free knots. In their study, the focused on artificial
algorithm. This algorithm is a swarm based optimization algorithm immune system for the problem of knot adjustment. They
inspired from the processes that happen in the natural river systems. mentioned that adjustment of computation time and parameters
The algorithm is based on the actions and reactions that take place were basic limitation of the method but it was a matter of tuning
between water drops in the river and the changes that happen in the parameters based on metaheuristic technical problems and they
environment that the river is flowing. Some basic properties of emphasized that this problem was inevitable. Standart
natural water drops are adopted in the algorithm here to solve B- problems solved by IWD algorithm are well known in literature
spline curve fitting problem. Optimal knots are selected through
such as vehicle routing problem, travelling salesman problem
IWD algorithm. The IWD algorithm was experimented by some
benchmark functions. The proposed algorithm convergences and robot routing problem. Differently, Dadaneh et.al[5]
optimal solutions and finds good and promising results. applied IWD algorithm to tackle the graph coloring problem.
This study focuses on the swarm based IWD algorithm
Keywords— Intelligent water drops, natural water drops, which is inspired from natural colonizing behaviour of water
evolutionary algorithms, B-Spline curves, knot points, optimization, drops in nature. Optimal knot points for drawing the curve are
reverse engineering. determined by applying proposed algorithm. We demonstrated
the effectiveness of the proposed method using numerical
studies on multiple representative functions.
I. INTRODUCTION
B-spline curves are usually used in computer aided design
(CAD), data visualization, surface modeling and many other II. B-SPLINE CURVES
fields. B-spline curve data fitting is a challenging problem
encountered in reverse engineering. However, B-spline curves B-spline curves can be determined for a collection of + 1
are most preferred approximation curve because they are very control points. The first and the last control points intersect with
flexible and have powerful mathematical characteristics. curve. The degree of the curve is and must be satisfy the
Because of this feature, they can offer a large variety of shapes equation 1 ≤ ≤ . B-spline curves use blending functions
efficiently. In literature, many approaches and methods have which have local domain areas to overcome restrictions and
been developed for B-spline curve approximation. Tirandaz et disadvantages. These functions are equal to zero outside of own
al.[1] studied on curve matching and character recognition
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parts. The mathematical definition of the B-spline curve is

formulated as follows: (9)
(1)
5. The error value is calculated by using data estimated
and data obtained . This approach is called Euclidean
where is the control points, is the curve degree, + 1 is the error sum which is expressed as follows:
number of control points and , is the blending function
which is calculated as follows:
(10)
(2)
III. INTELLIGENT WATER DROPS

(3)
IWD is a swarm based numerical optimization algorithm
inspired from natural colonizing behaviour of natural water
where is the elements of knot vector. The main framework of drops in river. This algorithm contains a few essential elements
the B-Spline curve drawing is demonstrated as follows[6]: of natural water drops and actions and reactions that occur
between river's bed and the water drops that flow within. This
1. When a point cloud ( , = 0, … , _ ) is given, IWD has two important attributes:
some points , = 0, … , ≤ _ ) are
selected and Centripetal knots are calculated with a. The amount of soil it carries now,
these points. Here shows each Centripetal knot: b. The velocity that it is moving now,
The values of the both properties may change as the IWD

(4) flows in its environment. This environment depends on the
problem at hand. The goal of the problem is to find the best path
from the source to the destination. One of the most important
mechanism that exists in the behavior of an IWD is that it
(5) prefers the path with low soils on its bed. In this point, the
probability of the next path to choose inversely proportional to
the soils of the available paths. As a result; the lower the soil of
the path, the more chance it has for being selected by the IWD.
(6)
In the following, we will discuss the algorithm rules in details.
Path selecting rule: For each IWD, the probability

2. Approximate B-Spline knots can be found by using ( (, ; )) of the choosing next location is given by Eqs.
calculated Centripetal knots. At this step, the 11, 12 and 13 respectively[7]:
following equation is used:
(7) (11)
(8) (12)
(, )
3. Control points can be obtained by using the equation (, ) (, ) ≥0 (13)
= which is the B-spline curve formula. In this =
(, ) − (, )
equivalance, in order to obtain (control points)
matrix, at first, matrix should be obtained by using
blending functions. Matrix operations are applied over where the set ( ) represents the locations that the IWD
the equation = to left alone. Accordingly, should not visit to keep satisfied the constraints of the problem,
matrix is calculated using the equation = is a small positive number to prevent possible zero division,
4. As a result, B-spline curve can be drawn.
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the function min(. ) returns the minimum value of its 2.

( , ) = (1 − ). ( , )+ . ∀( , )∈
arguments. ( − 1) (19)
Velocity updating rule: For each IWD that moves from

current location i to next location j, the velocity of IWD is
updated as follows[7]: where is the number of city that IWD visits on its path.
According to obtained best solutions, total best solution is
updated.
( + 1) = (14) Taking into account four key rules described above, the steps
( )+
+ . (, ) of implementing standard IWD algorithm can be summarized
as follows[7]:
1. The initialization of static parameter values.
a. Representation of the problem in a graph format.
( )
where ( + 1) shows the updated velocity of an IWD b. Setting values for static parameters.
at the location j, ( , ) is the soil on the path joining the 2. The initialization of dynamic parameter values.
current location (i) and the next location (j), , and are 3. Distribution of IWDs on the problem’s graph.
constant velocity parameters. 4. Updating the list of visited cities for each IWD.
5. Following of steps a-d for partial solutions:
Local soil updating rule: For each IWDs moving, the amount a. Selecting the next city for each IWDs.
of soil ( ( , )) and the soil that each IWD carries ( ) b. Velocity updating of each the IWD which moves
are updated with the Eqs. 15, 16, 17 and 18 respectively[7]: from location i to j.
c. Calculation of soil.
d. Updating of soil.
6. Finding the best of the solutions obtained by IWDs in
(15) the respective iteration.
7. Updating of soil amount of the edges which is on the
best solution.
8. Updating of best solution.
(16)
= +∆ (, 9. Increasing the number of iteration.
10. Returning the best solution when the termination
criterian is satisfied.
∆ (, )=
+ . (, ; ) (17)
There are some improved versions of IWD method in
literature. These adaptive IWD, improved IWD, modified IWD
‖ () ( )‖ and neural IWD are examples.
t (, ; )=
( , ) (18)
IV. B-SPLINE CURVE FITTING WITH IWD
where ∆ ( , ) is the soil which removes from the This paper focuses on the problem of selecting optimal knots
path between i and j and is a small positive number generated for the best B-spline curve fitting. Data points have been
from the interval [0,1]. In addition , and are constant soil accepted as a cities and all water drops start from the same point.
parameters and is a small positive number to prevent When a water drop reaches predetermined point, it is accepted
possible zero division (According to original algorithm for that this water drop completed its tour. At the end of the
finding the best tour we calculate the path with minimum length, algorithm, the cities on the best path are accepted optimal
however sometimes depending on the problem different points to fit data. Fig. 2 shows the optimal data points for the
measures can be used. For this study, we use error value B-spline curve fiiting.
between original curve and fitted curve instead of Euclidean In this study, some modifications have been made on the
error.) IWD method. The selection of some unnecessary points has
been prevented by adding the concept of the radius of curvature.
Global soil updating rule: At the end of the each iteration, the Neighborhood-based local search increases the probability of
amount of soil on the edges of the best tour (solution) ( ) is selecting better ways. Another concept that has been added to
updated via Eq. 19[7]: the steps of the algorithm is the diversity rate used in local
search step. In this way, paths that water drops may follow are
gone up. Experimental studies demonstrate that diversity rate
prevents hanging out the local minimum. In the following
section, some experimental studies were represented to
demonstrate the effectiveness of the proposed algorithm
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V. EXPERIMENTAL STUDIES
(22)
In this section, numerous numerical simulations are
performed to demonstrate the effectiveness of the proposed
optimization algorithm. The scope of B-spline curve fitting,
where is the number of data used in the approximation by
IWD algorithm is coded. On the knot prediction of curve in
cubic spline, is the number of interior knots used for
question, mentioned reverse engineering approaches and
construction of B-spline, is the order of the spline to be fitted
optimization process steps have been combined. Some
for the given data, and is sum of squared error.
parameters and values used in the problem are given in the
The reason why we used AIC and BIC as a fitness
following table:
function is that they do not use subjective parameters such as
Table 1 Algorithm parameters (*:all values in the range used in simulations ) error limits and smoothing functions. Therefore, these
functions provide simple and straightforward procedure for
Parameter Value identifying the best result[3]. According to these functions,
Number of knot >6 lower values denote better fitness values.
Proposed method is compared with the elitist clonal
Curve degree 3
selection algorithm. In that study, Galvez et. al[4] introduced
Number of iteration < 20 an adopted elitist clonal selection algorithm for automatic knot
adjustment of B-spline curves. In their study artificial immune
Number of IWD [3,10]∗
system paradigm was applied to solve knot adjustment problem
Tolerance error 0,0001 for B-spline curves. In this section, performance of the methods
The number of neighbors [1,10]∗ was compared by calculating AIC and BIC.
Our algorithm for B-spline curve fitting has been applied to
Diversity rate [10,100]∗ several test functions and we consider here three of them,
displayed in Fig. 1.
Static parameter values used in the proposed algorithm for
the solution of B-spline curve fitting problem are listed as
follows:
Table 2 Static parameters of the proposed algorithm

Parameter
Value 1000 0.01 1 1000 0.01
Parameter
Value 1 1000 100 [0.7-0.9]* 0.01 0.0001 Fig. 1 Test functions used in this paper
All experiments in this paper have been performed on a 2.4 Table 3 shows their corresponding mathematical definitions
GHz. Intel Core i7 processor with 12 GB. Of RAM. The source and associated domains. Each function is evaluated at
code has been implemented by the authors in the programming uniformly distributed values of t in its domain to generate a
language of the popular scientific program Matlab, version collection of 201 data points on the interval [0,1].
R2015a. The reason for selection of Matlab is that it is very
suitable tool for this task. Because it is fast, and it provides Table 3 Test functions used in this paper: mathematical definition[3]
reliable, well tested routines for efficient matrix manipulations. Equation Domain
For this study we compute two fitness functions: Akaike
Information Criterian (AIC) and Bayesian Information
Criterian (BIC). AIC and BIC which are used to measure
performance are defined as follows:
= + 2(2 + ) (20)
= + ( )(2 + ) (21)
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Fig. 2 Selected data points of functions f1, f2 and f3 respectively. The red dots represent data points(true function);blue circles represent selected data points
for B-spline curve approximaton
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Fig. 3 Approximated results of f1, f2 and f3 respectively. The green dashed line represent data points(true function);blue dashed line is the approximaton.
Table 4 Comparison of methods. Best results highlighted in bold.

Authors, year and Method Number of Test Number of AIC BIC
references iterations functions interior knots
( ) 4 1117 1157
Galvez et al.(2015)[4] Artificial immune 100 ( ) 8 1078 1144
systems ( ) 5 1075 1121
Our method (2016) Intelligent water 12 ( ) 4 1086 1146

drops (IWD) ( ) 7 1021 1100.8
( ) 7 1014 1093
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Table 4 summarizes our simulation results of B-spline 3. Galvez, A. and A. Iglesias, Efficient particle
curve fitting. Here, best results are highlighted in bold. Fig. swarm optimization approach for data fitting with
3 demonstrates the approximated results of all function that free knot B-splines. Computer-Aided Design,
we tested for the best solutions visually. Fig. 4 shows the 2011. 43(12): p. 1683-1692.
effect of the diversity rate on the AIC and BIC values of the 4. Galvez, A., et al., Elitist clonal selection
experimental result for function as an example. algorithm for optimal choice of free knots in B-
Our comperative results reported in Table 4 confirm that spline data fitting. Applied Soft Computing, 2015.
our method outperforms in terms of the fitting errors for the 26: p. 90-106.
knot selection problem. The number of iterations used to 5. Dadaneh, B.Z., H.Y. Markid, and A.
obtain best fitting is nearly ten times lower than other Zakerolhosseini, Graph coloring using intelligent
method. By using the AIC and BIC error functions we also water drops algorithm. Iranian Conference on
provide efficient procedure to determine the optimal Electrical Engineering, 2015: p. 595-600.
number of interior knots. 6. Ulker, E., Surface Modeling Using Artificial
Intelligence Techniques. Selcuk University–
Electronic Electrical Engineering Department,
VI. CONCLUSION 2007: p. 142.
7. Shah-Hosseini, H., Problem solving by intelligent
We proposed the use of this algorithm for solving curve water drops. 2007 Ieee Congress on Evolutionary
fitting problem. The points have been accepted as cities and Computation, Vols 1-10, Proceedings, 2007: p.
a number of IWDs were placed on the cities randomly. At 3226-3231.
the end of the algorithm, the best path followed by IWD was
determined. In this study, the points on the path were
accepted the best points that represent the curve optimally.
Metaheuristic approaches frequently used in optimization
problems are very strong but the convergence slows down
when the generations approach to optimal solutions.
Because of this, the cost of the problem rises up. Proposed
method solves this problem in the local search step of the
algorithm. In this step, diversity rate is used to prevent
hanging out the local minimum.
In this paper, performance of IWD algorithm is
demonstrated by representing numerous test functions and
simulations. As a result, the proposed algorithm converges
fast to optimal solutions and finds good, efficient and
satisfactory results.
ACKNOWLEDGEMENT
This study was funded by OYP with Project 2015-OYP-

075. Kübra UYAR received financial support from
TUBITAK BIDEB 2210A: National Graduate Funding
Program. In addition, this paper work was summerized from
master’s thesis study.
REFERENCES
1. Tirandaz, H., A. Nasrabadi, and J. Haddadnia,

Curve Matching and Character Recognition by
Using B-Spline Curves. IACSIT International
Journal of Engineering and Technology, 2011.
3(2).
2. Valenzuela, O. and M. Pasadas. Using Simulated
Annealing for knot placement for cubic spline
approximation. in International Conference on
Mathematical Models for Engineering Science -
Proceedings. 2010.
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Monitoring of Anxiety-Like Behaviors on Rats with

Video Tracking Technology
Ayşen KARDEŞLERa,1, Meriç ÇETİNb, Selami BEYHANc

#
Pamukkale University
a
Medicine Faculty, Department of Medical Biochemistry, Kınıklı, 20040, Denizli, Turkey.
b
Engineering Faculty, Computer Engineering, Kınıklı, 20040, Denizli, Turkey.
c
Engineering Faculty, Electrical and Electronics Engineering, Kınıklı, 20040, Denizli, Turkey.
aysencetin@yahoo.com, {mcetin, sbeyhan}@pau.edu.tr
Abstract—Artificial sweeteners like MSG (MonoSodium Glutamate) The video tracking systems in open field tests (including
model has been used anxiety-like behaviors on rats. The tracking of mazes) has become a very popular technique for monitoring of
rat’s movements has broad applicability to questions in anxiety-like anxiety-like behaviors on rats. The automated observation
behaviors with different doses MSG injections (50 mg/kg/day, 100 systems, which always work in the same way therefore
mg/kg/day and 200 mg/kg/day) to rats. In this paper, in order to
behaviors are recorded more reliably, provide to researchers
measure three types locomotor activity (line crossing, rearing,
grooming), a video tracking software is used. The advantage of this many behavioural information about animals. In literature,
type of tracking software is that it provides to give locomotor activity various types of the techniques can be found, including infrared
of rats in real-time. The experimental results obtained in this study photobeam detectors [10], [11], [12], [13], vibration detection
have shown that learning and memorial functions negatively [14], radio telemetry [15], radar [16] and computerized video
affected in the brains of the rats an anxiety-like model. In addition, analysis [17], [18]. However, video-based tracking systems
the visual tracking results demonstrate that video tracking system using video cameras are currently the most common approach
provides an accurate monitoring of rat’s behavior. to achieve the task [19]. As video-camera technology has
preferred to obtain the desired outputs, many automated video
Keywords—Rat, locomotor activity, anxiety-like behaviors, MSG, tracking methods have been developed [20]. In those methods,
computerized video tracking, animal tracking. analog video signals are sent to video processing unit which
detects peaks of the signal. The detected signals indicate
contrast between the tracked animal and the background. Then
I. INTRODUCTION the coordinates of the tracked animal are determined. Modern
The etiology of the behavioral disorders might be genetic, video tracking systems generally digitize analog video signals
physical, developmental and also psychological or social as using frame grabbers. The digitized video frames is composed
well. Neurological disorder appears mostly with anxiety of pixels and each pixel has gray scale value [21]. The tracking
disorder and depression. In animals, behaviors likely to anxiety procedure analyzes digitized frame in order to pick out the
can be identified through experimental open field test, animal from the background. Then, the desired calculations are
light/dark test, elevated plus maze test, tail suspension test, performed in order to explain the meaning of animal’s
forced swim test, social interaction task [1]. Open field test behaviour.
enables the evaluation of parameters such as line crossing, In this study, the anxiety-like behaviors are investigated
rearing, grooming and the defecation number in rats [2]. using pharmacological activation model with MSG. The
Studies in rodents have shown that the administration of objective of this study is to evaluate the effects of neonatal
MSG at the neonatal stage alterations in locomotor activity exposure to MSG on locomotor activity with video tracking
have been shown [3], [4]. Grooming duration and rearing system.
counts can be used to assess anxiety-like and exploratory This paper is organized as follows: In Section 2, material
behaviors in rodents [5]-[7]. Following acute MSG and method, which are designed here, are explained in detail.
administration, locomotor activity reduced, grooming Section 3 presents the numerical results of the monitoring
increased, while rearing activity reduced at MSG doses [8]. behaviors on rats with video tracking technique. The discussion
Reduced locomotor activity can be considered a form of and conclusions about the observation results are given in
anxiety-like behavior [9]. Section 4.
1 Corresponding author
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II. MATERIAL AND METHOD scaling is the fastest. The threshold values of the video signals,
In this study, in order to measure various locomotor activity which are used to subtract rat’s image from the background, are
(such as line crossing, rearing and grooming) an automated set manually. Then, the coordinates of the animal are
video tracking mechanism is designed. determined and recorded. Then, the monitoring of animal
behavior is achieved in the open field maze.
A. Testing Procedure
B. Experimental Animal Group
The open field test setup consists of a square field with a
dimension of 45 × 45 cm and it is lightened by 3 fluorescent Rats that are included in the study, are subject to 8 sessions
bulbs. The top of the field is open to the ambient and the square of MSG injections in total, in the order of 50 mg/kg/day (group
field is bordered by white stripes each of 1 cm width, on a black number = 6), 100 mg/kg/day (group number = 6) and 200
colored background. Each of the experimental animals are mg/kg/day (group number = 6). Rats that are selected as the
brought to the center of the open field setup and released to control group (group number = 6), are subject to the
move freely. Duration of the test is determined as 3 minutes intraperitoneal serum physiologic.
during which the rats are observed closely and any of their
behaviors are recorded as line crossing, rearing and grooming.
Figure 1 shows the open field test area and the used video
C. Hardware and software equipment
tracking mechanism is illustrated in Figure 2. Video data were processed with a PC (Windows 10 Pro
platform, Intel Core i7-4600U CPU @ 2.10GHz 2.70 GHz
processor). Video frames were obtained by Flaxes FC 1604
camera (30fbs/15fbs). The data processing algorithms were
developed using MATLAB 2014b and Image Processing,
Computer Vision toolboxes.
D. Data Analysis
To analyze the data, we used an analysis of variance
(ANOVA) for multiple groups. More complex designs, such as
one-way ANOVA with repeated measures or n-way ANOVA
(additional factors: time, treatment, genotype, stress, etc), can
also be used on behavioral studies of rats.
Fig. 1 Open field test area
III. OBSERVATION RESULTS
In this section, the observed rat’s movements are illustrated
separately in certain moments as shown in Figure 3. In addition,
comparative tables related to locomotor activity are shown to
discuss the behaviors of rats.
Fig. 2 Video tracking mechanism of the open field test.
The video camera records the open field setup from the top
where the rats are free in this area. Then, the camera signals
synchronously are sent to a PC. The signals are digitized by
frame grabbers. The video processing software analyzes each (a) 5th second
frame in order to distinguish the tracked objects from the
background on the basis of their gray scale since the gray
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activities such as rearing and grooming. The numerical results

related to rearing are presented in Table 2.
Table 2. ANOVA values of rearing and descriptive statistics, referred to

the open field test values of the rats, pre and post injections of MSG
Control MSG Dose Groups

Group MSG50 MSG100 MSG200
p-value
(n=6) (n=6) (n=6) (n=6)
Pi
Rearing
11.0±1.43 8.8±1.24 13.1±2.4 0.021*
time 5.5±1.02
(sec.)
Poi
Rearing
3.1±1.04 4.0±1.09 2.6±0.4 3.1±0.6 0.740
time
(sec.)
pi: pre injection, poi: post injection.
(b) 20th second *p<0.05 (p-value is statistically significant).
As shown in Table 2, following acute MSG administration

rearing activity reduced at higher MSG doses. However,
grooming values (Table 3) of the rats are increased on the
contrary, by statistically reasonable figures (p<0.05).
Table 3. ANOVA values of grooming and descriptive statistics, referred

to the open field test values of the rats, pre and post injections of MSG

p-value
(n=6) (n=6) (n=6) (n=6)
Pi
Grooming 19.1±9.41 26.0±12.11 42.1±9.51 0.218
16.5±1.78
time (sec.)
Poi
Grooming 14.0±1.78 52.0±12.07 49.6±9.82 39.5±9.28 0.030*
time (sec.)
(c) 160th second
pi: pre injection, poi: post injection.
Fig. 3 Observed rat’s movements for several moments *p<0.05 (p-value is statistically significant).
Following the MSG injections, when the characteristics of
Following post injection of MSG, grooming is increased
anxiety resembling behaviors of the rats are monitored, a
significantly at doses of 50 mg/kg/day and 100 mg/kg/day,
statistically considerable decrease is observed (p<0.05) in the
respectively. It is known that the following acute MSG
line crossing of the animals in the open field (Table 1).
administration, locomotor activity reduced, grooming
Table 1. ANOVA values of line crossing and descriptive statistics, referred increased, while rearing activity reduced at MSG doses.
to the open field test values of the rats, pre and post injections of MSG Reduced locomotor activity is considered a form of anxiety-like
behavior.
(n=6) (n=6) (n=6) (n=6)
p-value IV. DISCUSSION AND CONCLUSION
Pi In the literature, studies based on the anxiety model are
Line
crossing 51.5±3.21 53.8±9.54 60.0±5.06 0.043* achieved on animals through injections of artificial sweeteners
32.83±7.277
time such as MSG [22], [23], [24]. In the present study,
(sec.)
characteristics of anxiety like behaviors of rats are determined
Poi through the injections of MSG at repetitive dosages. Following
Line to the MSG injections, when we monitored the behavioral
crossing 30.83±7.068 23.5±4.11 18.1±3.99 23.8±2.96 0.343
time characteristics of rats resembling to anxiety, we determined a
(sec.) statistically considerable decrease in the roaming time of the
pi: pre injection, poi: post injection. animals in the open field and a decrease in the number of
*p<0.05 (p-value is statistically significant).
rearing behavior. However, the number of grooming is
increased in a statistically considerable scale. Similar results is
Descriptive statistics are point out Mean ± standard error in
provided that a decrease in the motor activity is argued in [25],
Table 1. In addition to online tracking of the rat, designed video
[26].
tracking software can automatically detect the other locomotor
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179
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As an overall result, we have observed that in the anxiety

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A New Approach Based on Image Processing for

Detection of Wear of Guide-Rail Surface in Elevator
Systems
Orhan Yaman *, Mehmet Baygin*, Mehmet Karakose*
*
Computer Engineering Department
Firat University Elazig, Turkey
{orhanyaman, mbaygin, mkarakose}@.firat.edu.tr
Abstract— In this study, a system based on image processing has failures in elevators are usually seen in the components such
been developed in order to prevent wear on guide-rail surface in as elevator guide-rail system, ropes and motors.
elevators. In the proposed method, real-time condition Today, when we take multi-storey buildings as an example,
monitoring is performed by cameras using built-in system. The the fact that the elevator becomes out of service negatively
images of elevator guide-rail surface are captured via four digital
affects the life of users and reduces the quality of life. In this
cameras fixed onto elevator cab. The image-processing methods
are applied on the images captured by cameras and hence the study, it is aimed to repair the small failures that may occur in
wears on the surface of guide-rails are detected. The surface of the elevator line without causing major failures through early
guide-rail is firstly detected in the proposed method. Then, image detection. Thus, elevator companies will bring quality service
segmentation and mathematical morphology are applied on the to the elevator systems by gaining customer satisfaction. A
image of guide-rail surface and the wears on the surface of rail elevator company with such a system will be preferred more
are detected. The failure extent of the wear failures detected are by its customers. In this way, the fact that users are stuck in
calculated. By processing the images captured by four cameras the elevator cages and the system becomes out of service will
during movement of elevator, the results for surface of guide- be prevented by eliminating the failures that may occur
rails are obtained. Using these results, reporting is performed.
suddenly in elevators.
An elevator prototype has been created in order to carry out
tests for development of the proposed method. The tests have Today, most of the multi-storey buildings have elevator
been conducted by fixing the built-in system and cameras onto systems. Elevator systems are excessively used in the daily
this elevator prototype. It is considerably advantageous to detect life. Elevators are used not only in buildings but also in
the failures on elevator guide-rails through image-processing dangerous places such as mines. In this study, a system has
methods. Following a literature review, it is seen that the been proposed for the early detection of failures that may
proposed method is a new approach. occur in the rail line, which is the most important component
of the elevator. In the proposed system, it is aimed to produce
Keywords— Elevator Systems, Fault Detection, Image accurate results by using digital cameras with image
Processing, Image Segmentation processing techniques without being affected by the
environmental conditions. Elevator rail is fixed to the elevator
shaft and is a unit which facilitates movement of the elevator.
I. INTRODUCTION In the elevator system, the guide rails are used for the
Elevators ensure transportation of people inside buildings purposes of guiding the cage and counter weight separately in
and increase their life quality. High-rise buildings whose the vertical movements, minimizing its horizontal movements,
number is increasingly going up today has one or more protecting the vertical directions of the cage and counter
elevator cabs to provide vertical transportation. A great weight and preventing its rotation. In this study, methods have
number of people use elevators in many buildings such as been developed for the early detection of failures that may
business centres, hotels, hospitals and shopping centres daily. occur in the rails during the movement of the elevator cage.
It is highly essential for the elevators used by many people The general structure showing the sample elevator system
daily to operate constantly. In the event of sudden failure of is given in Figure 1.
elevators during operation, people inside them face with a It is seen that similar studies are not available when a
tough situation. Also, people have difficulty during the literature review is performed for the proposed method. When
maintenance-repair period of elevators. Elevator system has national theses are analyzed, we see how important the
counterweight system in order to balance the weight of elevator guide rails are [1-4]. In the master's thesis, Serhat [1]
elevator cab. A guide-rail system has been developed to limit carried out a thesis study about the stress analysis of guide rail
the movements of elevator cab and counterweights on consoles by mentioning the importance of the elevator guide
horizontal axis. When an elevator system is operational, cab rails. When we analyze the studies which have been carried
and counterweight system move reversely. The common out until today, studies have usually been carried out by
elevator control and elevator component analysis [5].
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When the existing studies in the literature are analyzed it is

Counterweight
rope seen that the failure detection, control and condition
monitoring methods are very important in the elevator systems.
Counterweight In this study, failure detection is performed by image
rails processing techniques by developing much more different
methods than the literature.
Elevator
rope
II. PROPOSED METHOD
In the studies carried out in recent years, about 152
thousand elevators have been inspected and nearly 63% of
Guide rails these elevators could not pass the quality level. These types of
elevators often fail while using, endanger the life of users and
lead to the disruption of their daily life. In the elevators used
Electric Elevator in hospitals, the lives of emergency patients are put at risk as a
cable cabin
result of the failures that may occur while handling emergency
patients. Besides, the failure of the elevators used in large
businesses such as mines leads to disruption of the works and
the people's lives are put at risk [16,17]. Early detection of the
Fig. 1 The general structure showing the elevator system
failures that occur in the elevators is very important to avoid
such problems. In the proposed method, it is aimed to reduce
Landaluze et al. [6] proposed the active noise control the maintenance and repair costs by condition monitoring
application for the elevator cages. They received results from system, to prevent the major failures that may occur and to
the proposed algorithms by creating a sample experimental eliminate the user victimization. In addition, it is aimed to
environment. Peiliang et al. [7] proposed wavelet packet ensure energy saving by preventing the frictions that may
algorithm and fuzzy neural network based methods for the occur in the rails as a result of monitoring the rails structures
elevator brake systems. The proposed algorithms were applied in the elevator lines by cameras. Sample images for the
for the different failures that occur in elevators. As a result of elevators rails are presented in Figure 2.
the experimental studies, successful results were achieved for
the detection of the elevator braking failures. Zhang et al.[8]
proposed a method based on failure detection in elevators.
They created an information system for the failure events by
explaining the elevator door failures. Zeng et al. [9] developed
a elevator door control algorithm based on image processing.
They created a system with a micro processor having camera
on it, and they used it in the control operations of the elevator
doors. Zhao et al. [10] carried out a study for detecting the
a) b)
failure in the elevator systems. They proposed a method for
the detection of the failures by explaining the failures
occurring in the elevator systems and the reasons for the
emergence of these failures. Jiancan et al. [11] proposed a
signal processing-based failure detection method for the
detection of the failures in elevator machines. They performed
failure detection by applying spectrum-based methods to the
signals received from the elevator system. Hu et al. [12]
developed a real-time knowledge-based detection system by
using PLC controlled production systems. In the thesis study, c) d)
Yimou [13] conducted elevator inspection and market Fig. 2 Sample elevator rail images a) Robust rail image b) Curved rail image c)
research. Yimou developed a system for measuring the Rusty rail image d) Worn rail image
inspection and quality of the elevators in Deyang, China. In
addition, various studies have been carried out in the elevator
The robust, curved, rusty and worn rail image samples are
systems such as quality control, failure detection, inspection
presented in Figure 2. In this study, the detection of the failed
and condition monitoring. [14,15].
parts of the worn ray images is performed. A sample elevator
When the websites of the major elevator companies such as
prototype was formed to detect the failed parts by image
ThyssenKrıpp, Kleemann, Otis, Kone and Schindler as well as
processing. The cameras were fixed on the elevator cage to
the scientific studies in the literature were analyzed, it was
monitor the rails on this prototype. The cameras fixed on the
seen that studies similar business idea were not available.
elevator cage are seen in Figure 3.
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The images were taken by placing 4 cameras on the 

X  B  p  Z 2 : p  x  b, x  X , b  B (dilation ) (1)
elevator cage as in Figure 3. The wear failures that occur on 
XB  p  Z 2 : p  b  X , b  B (erosion ) (2)
the elevator rails are detected by applying the proposed X  B  ( XB)  B(opening ) (3)
method on the image taken. A general flow chart of the X  B  ( X  B)B(clo sin g ) (4)
proposed method is presented in Figure 4.
The opening operation is obtained as a result of applying
the dilation processing right after the erosion processing on
Guide rails the image. The objects within the image and the gaps between
objects are cleaned according to the size of the structural
element. The mask matrix used for the opening operation in
the proposed method is presented in equation 5 [20].
0 0 1 0 0
1 1 1 1 1
Cameras 
1 1 1 1 1 (5)
 
1 1 1 1 1
0 0 1 0 0
The opening operation was performed using equation 5.

Fig. 3 Cameras fixed on the elevator cage The realization of the opening operation on a sample elevator
rail image is presented in Figure 5.
Get
Temal
the image
görütünün
and take
alınması
out rail
ve R,G,B
surface
formatlarına
from image
ayrıştırılması
Convert rail surface from binary format
Implement mathematical morpolohgy on

image
Determine fault pixels on image
Determine fault size

a) b)
Fig. 5 Application of the opening operation on the sample image a) Normal
Fig. 4 Flow chart of the Proposed Method image b) The image administered with opening operation
The flow chart of the proposed method is seen in Figure 4. The image in Figure 5.b was obtained by applying the
Firstly, the rail surface is extracted as preprocessing on the opening operation to the normal image in Figure 5.a. In Figure
image taken from the camera. A section with a size of 5.b, it is seen that small asperities on the rail surface were
480x200 is taken from the image taken in 480x640 size. This disappeared and the real failures appeared more clearly. After
section taken involves the rail surface image. The rail surfaces the opening operation, the failure detection and the size of the
represent the same pixels on the continuous image because the failure are estimated by taking into account the number of
cameras are fixed over the elevator cage. Therefore, the pixels white pixels on the image. The code particle given in Figure 6
belonging to rail surface are extracted in 480x200 size from is used for the estimation of the failure detection and the size
the image. The obtained RGB rail surface image is of the failure.
transformed into gray format and then binary format [18,19].
The image was transformed into binary format by using a
specific threshold value. This threshold value was determined
through the tests performed. The opening operation was
performed as the mathematical morphology operation on the
binary image. The mathematical expressions of the basic Fig. 6 The code particle used for failure detection and the size of the failure
binary morphological operations are defined in equations
1,2,3 and 4 [20].
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III. EXPERIMENTAL RESULTS

Raspbbery pi card having the features of “Broadcom
BCM2836 ARMv7 Quad Core SOC (Quad-Core), 900 MHz
Elevator
processor speed and 1 GB RAM” was used in this study. The rope
image processing was performed with "OpenCV" libraries by
using “python” programming language on the Raspberry pi
card. In addition, 4 cameras with 24 FPS speed were used to
take the images. First of all, an experimental setup was
developed to take the images and perform the test procedure. Guide rails
The developed experimental setup is presented in Figure 7.
Induction
motor
Camera 2 Camera 3
Elevator
rope
Camera 1 Camera 4
Control panel
Elevator cabin
Raspberry pi
Guide rails Fig. 8 Fixing of the cameras and the preparation of the test environment
As it is seen in Figure 8, the images are taken from the

cameras fixed over the elevator cage. The erosion failures that
occur on the rail surface are detected by applying the proposed
Counterweight
system
method on the images taken. Two rail surface images
including robust and failed are presented in Figure 9.
Fig. 7 Development of the experimental setup
A system which was similar to a normal elevator structure

was developed in Figure 7. This elevator structure has rails,
ropes, elevator cage, counter weight system, control panel,
asynchronous motor and sensors. The cameras were fixed
over the elevator cage to take the images in the developed
experimental setup as shown in Figure 8. a) b)
Fig. 9 Sample rail surface image a) Robust rail surface image b) Failed rail
surface image
The robust and failed rail surface images are presented in

Figure 9. The proposed method was applied to the robust rail
surface image in Figure 9.a, and the obtained result is
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_____________________________________________________________________________________________________________
presented in Figure 10.a. The proposed method was applied to IV. CONCLUSIONS
the failed rail surface image in Figure 9.b, and the obtained Elevator systems have become an indispensable part of
result is presented in Figure 10.b. people in our day. Elevators are the means of transport which
are beneficial to people regarding the transportation of loads
and people. The fact that elevators are failed while working is
one of the undesirable events. In particular, the fact that
elevators are failed while people are using them reduces the
quality of life. A new image processing-based method for the
prevention of the elevator failures has been proposed in this
study. The rail surface erosion failures that may occur on the
rails, one of the critical components in the elevator systems,
are detected. In this study, a sample elevator system was
created and 4 cameras were fixed on the elevator cage.
Whether the rail surface was robust or failed was detected and
a) b) the size of the failure was estimated if it was failed, by
Fig. 10 Application of the proposed method to the rail surface image a)
applying the proposed method on the images taken from the
Robust rail surface image b) Failed rail surface image cameras. When the proposed method is compared with the
studies in the literature, it is seen that it is a new study and it
can operate in real time. This study provides a basis for the
In Figure 10.a, it is seen that the rail surface is robust and future studies, and it is aimed to detect the erosion, cracking,
there is not any erosion failure. In Figure 10.b, it is seen that warping and corrosion on the elevator rails in the future
there is an erosion failure. The proposed method was tested studies.
for 4 cameras and the erosion failures on the rail surface were
detected. The speed of the developed elevator prototype is ACKNOWLEDGMENT
about 0.60 m/sec. When the speed of the elevator was taken This study was supported under the Teknogirisim project of
into account, the real time operation of the proposed method the Ministry of Science, Industry and Technology. Project No:
was evaluated as appropriate and it was seen that it was 0684.TGSD.2015.
working successfully as a result of the tests performed. The
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on Systems, Man, and Cybernetics, Part B (Cybernetics), 35(6), 1225- Oluşan Lekelerin Tespiti,” 2011.
1240, 2005. [21] P. Soille, “Morphological image analysis: principles and applications,”.
[16] M. Baygin, M. Karakose, “Immunity-based optimal estimation Springer Science & Business Media, 2013.
approach for a new real time group elevator dynamic control
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Chemical Analysis Program for the Time of Flight

Mass Spectrometry System
Abdullah Kepceoğlu* and Hamdi Şükür Kilic*,#
*
Selçuk University, Faculty of Science, Department of Physics, Konya, TURKEY
abdullahkepceoglu@gmail.com
#
Selçuk University, Directorate of High Technology Research and Application Center, Konya, TURKEY
hamdisukurkilic@selcuk.edu.tr
Abstract— In this work, we present a computer program that repetitions for each experiment. Thus, dimension reduction
reads, manipulates, analyses and stores the mass spectra and selection of the data analysis methods (PCA, LDA, kNN
obtained by using Laser Time of Flight Mass Spectrometry (L- etc.) became an important problem. In order to overcome
TOF-MS) system described elsewhere. This program allows these problems, new software tools was created similar to
users to record the characteristic parameters of experimental
MCR-ALS (Multivariate Curve Resolution-Alternating Least
data such as vacuum pressure, voltages, laser power, sample
name etc. both manually and automatically. Also, the obtained Squares) toolbox programmed in MATLAB environment [16].
mass spectra can be used to investigate chemical substances A similar program (FlavonQ) was developed to
(NOx, SOx, organic molecules etc.) or can be used to real time simultaneously analyse ultra-high-performance liquid
identification of the sample differences for given material chromatography (UHPLC) high-resolution accurate mass
database (metal oxides, alloys, paintings, healthy and cancerous spectrometry −mass spectrometry (HRAM-MS) data and UV-
tissues etc.) by using different mathematical and statistical VIS spectrometry data in order to profile the flavonoids [17].
procedures (PCA, LDA, kNN etc.). We have recently presented a Recently, a user-friendly program (SIM-XL) was developed
simple chemical analysis procedure by starting from reading raw for structural protein characterization by using peptide cross-
MS data from oscilloscope using TCP/IP protocol and following
linking analysis method for tandem mass spectrometric data
data processing steps. We have a great success to reduce the
numbers of steps and time duration consumed for the following [18]. In proteomics studies, a GUI program (IPeak) also
procedure. presented for identification of the peptides data obtained from
LC-MS/MS method [19]. To identify TLC (Thin Layer
Chromatography) information from MSI (Mass Spectrometry
Keywords— Mass Spectrometry, Data Acquisition, Data
Imaging) data sets, a program (DetectTLC) was developed
Processing, Statistical Analysis, GUI, MATLAB
[20]. Homemade software or package programs were used for
biological tissue identification [21] or cancer detection [22] by
using mass spectrometry data.
I. INTRODUCTION
Mass spectrometry is an analytical method and has a wide III. EXPERIMENTAL SETUP
applications including; industrial quality control [1-3], Experimental setup consists of laser systems, time of flight
pharmacology [4-7], isotope ratio determination [7-10] and mass spectrometer and electronics. In our experiments, we
space exploration researches [11-13]. Mass spectrometers are using high-intensity femtosecond/nanosecond lasers. In
consist of three units, which are an ionisation unit, separation the scope of this work, we have used a femtosecond laser
unit and detector. The obtaining and interpretation of the system (Quantronix, Integra-C-3.5, NY, USA) as an ionisation
mass spectral data have a great importance to reveal the source. TOF-MS system was designed and built by our group;
molecular structure and laser ionisation/dissociation processes background pressure of the vacuum chamber can be pumped
[14, 15]. down to 10-8 mbar. Ion signals were collected by using an
Data analysis is the most time-consuming processes and MCP detector (El-Mul Technologies LTD., Israel). The
manual data processing can cause the unintended human error, details of the experimental setup were presented elsewhere [23,
such as, reading or writing ion intensities, workspace (time – 24].
mass to charge ratio) conversion errors. In this work, we have Mass spectra were recorded remotely via TCP-IP protocol
presented the reducing the numbers of steps and time duration and real time by using a four-channel oscilloscope (LeCroy
spend for the mass spectral analysis procedure. Corporation, WaveRunner 64 Xi, NY, USA).
II. BACKGROUND AND THEORY IV. RESULTS AND DISCUSSION
Recent years, multivariate data analysis methods have GUI of the mass spectrometry program consists of the
attracted great attention due to the large experimental data sets subpages that are Experiment, Setup, Connection, Laser
obtained from different experimental methods, especially in Diagnostics and Database Control, as shown in Fig. 1. In the
mass spectrometry, researchers obtain thousands of ion peaks experiment section, the user can write sample name, number
(mass to charge ratio) in different intensities for multiple of sampling and perform plotting mass spectra. Setup section
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(given as an inset in Fig. 1) provides the user to recording MATLAB .mat file. After selecting and opening database file,
experimental parameters such as electrode voltages, vacuum the program record raw experimental data that contain mass
pressure and laser power. In the connection section, the user spectra as an ion intensity (intensity corresponds to voltage
defines IP number of the oscilloscope to connect using TCP- value read by the oscilloscope) versus the time of flight of the
IP protocol. In laser diagnostics section, the user can obtain corresponding ion peak. The user has to calibrate the system
real-time UV-VIS spectrum of the laser pulses (Fig. 2.) by by using equation ((m/z)=at2+b) to transform time of flight
using UV-VIS-NIR portable fiber-optic USB spectrometer spectrum to mass spectrum to use m/z ratio for further spectral
(0.1 nm FWHM optical resolution, USB 2000+, Ocean analysis [25]. For calibration, the user has to select two
Optics). In database control section, the user can load a known peaks (H+ and C+ or CH3+ peaks) to calculate constant
database file for given directory from local drivers. The user a and b to convert all time points to m/z ratio. The peak
can control and plot mass spectra for desired rows and each selection on the mass spectrum is shown in Fig. 4. The user
row corresponds to a mass spectrum (Fig. 3). select first hydrogen ion peak and then carbon ion peak in Fig.
4 by using mouse cursor (appearing crosshair).
Fig. 1 GUI of the MS spectrometry program and subpages; Experiment, Setup,

Connection, Laser Diagnostics, Database Control. Setup section presented as
Fig. 3 Database control section consists MS viewer button and a statistical
an inset.
analysis button to perform PCA.
Fig. 2 In laser diagnostic section the user can read UV-VIS spectrometer for
desired integration time in ms time scale and spectra are plotting real time in
the optical spectrum figure area.
Fig. 4 Reference peak selection on the read MS spectra to perform time of
In the database control section, the user firstly uses “Load flight to mass spectrum transformation.
Database” button to and then select database file stored as a
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188
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Following the time of flight spectrum transformation to time of flight space first and after calibration, spectra were
mass spectrum, the user can view all collected mass spectra by transformed into mass space.
using “MS Viewer” button, the opening window seen in Fig. 5. We have got a great success to reduce the numbers of steps
On the other hand, the user can investigate statistical results and time duration spend for the manual data processing
by using PCA visualization tool as seen in Fig. 6. procedures of the mass spectra analysis from weeks to
seconds. Thus, we can eliminate the possibility of the
unintended human errors appears in these manual procedures.
Within the context of this work, we built a backbone of the
flexible program, which can be manipulated by customs needs,
changing experimental setup and/or new unused statistical
procedures in laser TOF-MS.
Analysing fs-TOF-MS data using multivariate statistical
method, which suggests a new opportunity to use this program
in real-time cancer detection research.
ACKNOWLEDGMENT
This work was supported by the; Scientific and Technical
Research Council of Turkey (TUBITAK) under Grant No.
1649B031405880 and Scientific Research Projects
Coordination Unit of Selçuk University, Project No.
Fig. 5 MS Viewer window opens when the user clicks MS Viewer button seen 14201085. Program presented in this article was developed as
in Fig. 3. The user can select desired peaks to build a marker list into the left- a part of the PhD thesis being written by Abdullah Kepcoğlu.
hand side section.
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A modified cuckoo search using different search

strategies
Hüseyin HAKLI*
*
Department of Computer Engineering,
Abstract— Cuckoo search (CS) is one of the recent population- the ability of applying the existing knowledge to look for
based algorithms used for solving continuous optimization better solutions [16]. In other words, exploration represents
problems. The most known problem for optimization techniques global search and the exploitation stands for local search. CS
is balancing between exploration and exploitation. CS uses two has two search techniques and uses Levy flight rather than
search strategies to updating the nest: local and global search.
standard random walks for the global search. Thus, CS can
Although cuckoo search are adequate for the exploration, it is
not well enough the exploitation. Only one search equation is explore the search space efficiently [17]. Although CS has
used for local search, this equation remains incapable and causes local and global search capabilities, it opens to improvement
some deficiencies about the exploitation. To enhance the ability about balancing between exploitation and exploration. In
of exploitation and to balance between global search and local addition, due to some deficiencies about exploitation,
search, different search strategies were implemented in CS strengthening the local search is more important for the CS.
algorithm. The proposed method was compared with basic CS on Many studies were performed to improve performance of
well-known unimodal and multimodal benchmark functions. cuckoo search. The cuckoo search parameters were properly
Experimental results show that the proposed method is more tuned by Valian et al. [18] to enhance accuracy and
successful than the basic CS in terms of solution quality.
convergence rate of the cuckoo search. Walton et al. [19]
proposed modified cuckoo search which involves the addition
Keywords— Cuckoo search, continuous optimization, search of information exchange between the top eggs, or best
strategies
solution. To improve refining ability and convergence rate of
I. INTRODUCTION cuckoo search, Zhang and Chen [20] proposed the cuckoo
search with adaptive method. This adaptive method was used
In the recent years, many novel nature inspired algorithm
to control the scaling factor and find probability to enhance
have been proposed to solve continuous optimization
the population diversity. A new cuckoo search algorithm
problems, alongside mostly known swarm intelligence
based on the idea of opposition (OCS) algorithm is proposed
algorithms such as particle swarm optimization [1], artificial
by Zhao and Li [21] to increase the exploration efficiency of
bee colony [2], ant colony optimization [3] etc. The recent
solution space. They merged the opposition-based learning in
nature inspired algorithm was inspired by behaviours of
the CS and the proposed algorithm fully used beneficial
animals in the nature. To illustrate, the firefly algorithm [4]
information of the best solutions. In order to balance the
was developed by flashing characteristic of fireflies, the bat
exploitation and exploration of the cuckoo search algorithm,
algorithm [5] was proposed by being inspired behaviour of
Li and Yin [22] proposed a new approach which uses two new
echolocation of bats. Yang and Deb [6] proposed the cuckoo
mutation rules based on the rand and best individuals among
search by being inspired breeding behaviour of some cuckoo
the entire population. In addition, this new rules were
species.
combined through a linear decreasing probability rule. CS was
Cuckoo search (CS) is based on the obligate brood
used in hybridization with the other algorithm such as fuzzy c
parasitism of some cuckoo species in combination with Levy
means [23], NEH heuristic algorithm [24].
flight random walk. Cuckoo search has been very popular in a
To improve and enhance the performance of cuckoo search,
short time and started to apply many engineering fields and
we focus on ability of exploitation and some deficiencies of
optimization with promising efficiency and few control
local search. CS uses only one search equation for the local
parameter settings. Due to these advantages, CS was used for
search and this equation remains incapable and causes some
clustering of web search results [7], hydrothermal scheduling
deficiencies about the exploitation. To overcome this problem
[8,9], economic dispatch [10], multilevel thresholding [11],
and balance between global and local search, different search
parameter estimation and optimization [12, 13] , redundancy
strategies were implemented in the CS. Modified cuckoo
allocation problems [14], forecasting solar radiation [15] and
search with the different search strategies (CSDSS) were
so on.
compared with the basic CS on twelve benchmark functions.
The main problem of the optimization techniques is
Experimental results show that the proposed method was more
balancing between exploration and exploitation. The
successful than the basic CS algorithm for both unimodal and
exploration is concerned the ability of autonomously seeking
multimodal functions. By virtue of different search strategies,
for the global optimum, whereas the exploitation is related to
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the CSDSS enhanced the efficiency of local search and III. MODIFIED CUCKOO SEARCH WITH DIFFERENT SEARCH
improved the balance between exploration and exploitation. STRATEGIES (CSDSS)
The rest of the paper is divided as follows. In Section 2, the The CS can explore the search space efficiently thanks to
basic CS algorithm is presented. The proposed algorithm is Levy flights random walk. But one solution search equation is
detailed in Section 3. Section 4 gives the experimental results used for the local search and the best solution of nest is
and comparison of the methods. As a final, the paper is ignored by this equation. This causes lack of the exploitation.
concluded with the future works. To strengthen and increase the efficiency of local search
without losing the ability of exploration, different search
II. CUCKOO SEARCH
strategies are implemented in the local random walk phase of
Cuckoo search was inspired by the interesting breeding the cuckoo search.
behaviour such as brood parasitism of certain species of
cuckoos by laying their eggs in the nests of host birds [6]. In xit 1  xit  rand  (xrt  xkt ) i  1,2,..., N, i  k  r (4)
the CS algorithm, there are mainly three principle rules as
t 1 t t t
follows [6, 17]: x  x  ( x  x ) i  1,2,..., N, i  k  r
i r i k (5)
t 1 t t j
x  x  (x  x )
i i i best i  1,2,..., N, (6)
– Each cuckoo lays one egg at a time, and dumps it in a t 1 t t t
randomly chosen nest; x x
i best   ( x  x ) i  1,2,..., N , i  k  r
k r (7)
– The best nests with high-quality eggs will be carried over
to the next generations; Equation (4) is the same as local search update rule of the
– The number of available host nests is fixed, and the egg basic CS algorithm [17].In (4), (5) [25] and (7) [26], xrt and
laid by a cuckoo is discovered by the host bird with a
probability pa ϵ (0, 1). In this case, the host bird can either xkt are solutions randomly selected from the population at
get rid of the egg, or simply abandon the nest and build a time step t, and k and r are not equal to each other and i. In (6)
completely new nest. t
and (7), xbest in the equations is the best solution obtained by
For convenience, this last rules can be approximated by the the population so far. Also,  is a random number in range
fraction pa of the n nests are replaced by new nests (with new of [-1,1] and produced for each cuckoo which is updated at the
random solutions) [6]. Each egg in a nest stands for a solution time step t. To increase and protect the efficiency of
and each cuckoo can lay only one egg. For the simplest exploration, the random neighbours are used in Eq. (4) and Eq.
approach of algorithm, each nest has only one egg. Thus, there (5). Also, Eq. (6) and Eq. (7) are implemented to support the
is no difference between egg, nest and cuckoo. All of them local search around the global best solution of population and
represent one solution. enhance the ability of exploitation. The important point is how
The CS uses two search strategies and two solution search these equations are used together to obtain new solutions.
equation to generate new solutions. One of them is local Usage of these equations is explained by Fig.1.
random walk and other one is global random walk. The global
random walk is performed by the using Levy flights [17] for i=1:number of cuckoo
if rand < ls_rate
if( rand < 0.5)
xit 1  xit   L( s,  ), (1) Generate new cuckoo with Eq. (7)
else
( ) sin( / 2) 1 Generate new cuckoo with Eq. (6)
L( s,  )  , (s s0  0) (2) end
 s1  else
if( rand < 0.5)
where α > 0 is the step size of scaling factor and it is generally Generate new cuckoo with Eq. (5)
determined with α=O(L/10), where L is characteristic scale of else
the problem of interest. On the other hand, the local random Generate new cuckoo with Eq. (4)
walk can be written as [17]: end
end
end
xit 1  xit   s  H ( pa   )  ( xtj  xkt ) (3) Fig.1 Usage of equations for the proposed method
t t
where x and x are two different solution selected by
j k In Fig.1, ls_rate is the constant parameter in range of [0,1]
randomly, H(u) is Heaviside function,  represents random that controls the level of local search for the proposed method.
number drawn from a uniform distribution, pa stands for If the ls_rate is high, the proposed method searches the
switching parameter of controlling the balance between local around of global best solution and makes more local search.
and global random walk and s is the step size. The new nests The proposed method uses the algorithm in Fig.1 instead of
are generated by the both of Eq.(1) and Eq.(3) in the every the Eq. (3) in the basic CS to generate new solutions.
iteration. Detailed information about the cuckoo search, please
refer to [6, 17].
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In this study, all the experiments were run on a machine Table 2 contains a comparison of the original CS and the
with Intel Core i7 2.40 GHz CPU, 8 GB RAM and the proposed method for the 12 benchmark functions listed in
Windows 8 operating system and the codes were implemented Table 1. Table 2 shows the mean result of 30 runs with 2500
in Matlab 2014 (8.3). iterations and dimension 30. The information about the mean
To examine the performance and accuracy of the CSDSS optimum solution, standard deviation, minimum and
algorithm, the CS and CSDSS are applied to optimize 12 maximum value and Wilcoxon test result by CS and CSDSS
benchmark functions. The dimension is set 30 for all in 30 runs over benchmark functions are given in Table 2. The
benchmark functions. Experiments are implemented with the best mean result and the best standard deviations of the
population size of 40 for both algorithms. As a stopping benchmark functions obtained by the algorithms are shown in
criterion is used the maximum number of iteration and it is bold. In the Table 2, in case Wilcoxon test was at 0.05
determined as 2500 in each run for each test function. While significance level, + mark was used, otherwise, − mark was
pa parameter is set 0.25 for basic CS algorithm, it is used; NA was used in case all results showed the same value
determined as 0 for the proposed method. In addition, ls_rate or optimum value.
TABLE II
is determined as 0.3 for the CSDSS as a result of the trials. RESULTS FOR BENCHMARK FUNCTIONS (OPT:OPTIMUM STD:STANDARD
The determined benchmark functions are numbered f1 to f12 DEVIATION,MIN:MINIMUM,MAX:MAXIMUM, SIGN: STATISTICAL TEST SIGN)
given in Table 1. All the functions are to be minimized. Table
1 shows characteristic (C), search range (Range), and Func. Opt. CS CSDSS Sign
formulation of the functions. The cuckoos are initialized in the f1 0 Mean 1.14E-15 2.87E-110 +
search range. The functions f1, f2, f3, f4, f9, f10 and f11 are STD 8.17E-16 1.34E-109
unimodal and f5, f6, f7, f8 and f12 are multimodal. Min 1.71E-16 2.64E-129
Max 3.22E-15 7.33E-109
TABLE I f2 0 Mean 2.75E-05 1.10E-49 +
BENCHMARK FUNCTIONS (C: CHARACTERISTIC, U: UNIMODAL, M: STD 1.59E-05 6.04E-49
MULTIMODAL)
Min 7.55E-06 5.53E-62
Range C Function Formulation Max 7.39E-05 3.31E-48
n
[-100, 2 f3 0 Mean 2.00E+01 2.53E+01 +
U Sphere f1   x i
100] STD 1.69E+00 8.21E-01
i 1
n n Min 1.60E+01 2.27E+01
[-10,
10]
U Schwefel2.22 f2   i 1
xi   i 1
xi Max 2.27E+01 2.67E+01
f4 0 Mean 1.42E-02 6.84E-03 +
[-10,
10]
U Rosenbrock
n 1

f 3   100 xi 1  x
i 1
 i
2 2
  x 1  i
2 STD
Min
5.01E-03
5.70E-03
9.79E-03
1.03E-04
n Max 2.78E-02 3.53E-02
[-1.28,
1.28]
U QuarticWN f 4   ixi4  random[0,1) f5 0 Mean 5.23E+01 3.04E+01 +
i 1
n
STD 8.18E+00 1.35E+01
[-5.12, 2
5.12]
M Rastrigin f5    x i  10 cos(2 xi )  10  Min 3.81E+01 0.00E+00
i 1 Max 6.84E+01 5.48E+01
[-32,  1 D  1 D  f6 0 Mean 2.01E-01 3.55E-15 +
M Ackley f6 20exp0.2 xi2 exp cos(2xi ) 20e
32]  D i1  D i1  STD 5.23E-01 0.00E+00
n n Min 2.84E-05 3.55E-15
[-600, 1  x 
M Griewank f7   xi2   cos  i   1 Max 2.33E+00 3.55E-15
600] 4000 i 1 i 1  i
f7 0 Mean 1.79E-05 0.00E+00 +
n1
1
f8  {sin2(x1) (xi 1)2[1sin2(3xi1)] STD 6.85E-05 0.00E+00
[-50, 10 i1
M Penalized2 Min 3.28E-11 0.00E+00
n
50]
(xn 1)2[1sin2(2xi1)]}u(xi ,5,100,4) Max 3.67E-04 0.00E+00
i1
f8 0 Mean 7.62E-11 3.88E-01 +
n
[-100, 2 STD 9.92E-11 2.95E-01
100]
U Step f9     x
i 1
i  0 .5  
Min 4.52E-12 1.73E-02
n Max 4.58E-10 1.33E+00
[-100, 6
U Elliptic f10   (1 0 ) ( i  1) ( n  1)
x i2 f9 0 Mean 0.00E+00 0.00E+00 NA
100] i 1
STD 0.00E+00 0.00E+00
n
[-10, 2 Min 0.00E+00 0.00E+00
10]
U SumSquare f11   ix i
Max
i 1 0.00E+00 0.00E+00
n f10 0 Mean 6.76E-10 9.11E-107 +
[-10,
10]
M Alpine f12   xi  sin( xi )  0.1  xi STD 3.93E-10 3.20E-106
i 1 Min 1.39E-10 3.47E-123
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193
_____________________________________________________________________________________________________________
Max 1.66E-09 1.43E-105

f11 0 Mean 6.14E-14 1.04E-106 +
STD 4.03E-14 5.71E-106
Min 7.11E-15 2.17E-131
Max 1.37E-13 3.13E-105
f12 0 Mean 4.04E+00 5.70E-02 +
STD 8.46E-01 1.54E-01
Min 1.90E+00 3.66E-63
Max 5.54E+00 8.15E-01
When examines Table 2, CSDSS algorithm acquires better

results compared to CS algorithm for the all benchmark Fig.3 Convergence graph of Rastrigin function
functions except f3 and f8 in terms of solutions. The proposed
method is more successful for the all unimodal functions. When examines Fig.4, the CSDSS outperforms the CS
While ability of local search of CS algorithm remains algorithm and reaches the optimum result very quickly. So,
incapable on the unimodal functions, the proposed algorithm with respect to overall assessment of convergence graphs, we
makes more sufficient local search and obtains the better can say that the proposed method converges quickly and
result than the CS. The CS algorithm is better than proposed accurately towards the optimum solution.
method for f3 and f8 functions. But, the CSDSS gives the
optimum results for the function f7. Experimental results show
that not only the CSDSS enhances the ability of local search
but also improves the balance between exploration and
exploitation. The proposed method outperforms the basic CS
on the unimodal functions, at the same time it obtains better
results the most known multimodal functions such as
Rastrigin, Griewank and Ackley.
Non-parametric statistical test has been implemented for
statistically significant of between CS and the CSDSS. From
the results in Table 2, it can be observed that the CSDSS
algorithm’s performance is significantly better compared to
CS algorithm for all benchmark functions.
Fig.4 Convergence graph of Griewank function
V. CONCLUSIONS
In the basic CS, one solution search equation is used for the
local search and the best solution of nest is ignored by this
equation. This causes lack of the local search. In order to
overcome these deficiencies of the CS algorithm in local
search, this paper proposed the CSDSS algorithm using the
different search strategies. Not only the proposed algorithm
strengthens the ability of local search but also it improves the
balance between exploration and exploitation. The proposed
algorithm was compared with the basic CS on twelve
benchmark functions. The CSDSS performs better results than
Fig.2 Convergence graph of Schwefel2.22 function
the basic CS for all benchmark functions except f3 and f8. The
proposed method is more efficient and more effective than the
In order to compare convergence rates of the methods, basic CS algorithm especially on the unimodal and some of
convergence graphs for CS and CSDSS algorithms are given multimodal functions.
in Fig. 2, Fig. 3 and Fig. 4 for Schwefel2.22, Rastrigin and As future work, the proposed method will be implemented
Griewank functions. The convergence graphs show that the
to optimization problems and different search strategies will
proposed method has rapidly convergence and also obtains
be used for the other nature-inspired algorithms. Furthermore,
successful results. Examining Fig.2, while the CS converges different search strategies can be increased and varied to
slowly, the CSDSS continues the improving solutions thanks improve the success of the proposed algorithm.
to ability of local search. For the Rastrigin function, the
proposed method has early convergence and then gets stuck ACKNOWLEDGMENT
the local minima in Fig.3. Although its early convergence, it
This study has been supported by No. 15611818 Scientific
obtains better result than the basic CS.
Research Project of Selcuk University.
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Video Stream With Websocket On Raspberry Pi

Osman Demirci*, Gökhan Kayhan+
#
Ondokuz Mayıs University, Department of Computer Engineering
Kurupelit, Samsun, Turkey
osman.demirci@bil.omu.edu.tr
+
Computer Engineering, Ondokuz Mayıs University
Kurupelit, Samsun, Turkey
gokhan.kayhan@bil.omu.edu.tr
Abstract— Internet of Things (IOT) and communication  micro sd card slot,

between machines (M2M), has emerged as an important concept  45 gr weight,
in conjunction with the use of Internet technology in embedded  csi camera link ports,
systems. Thus, programmable remote control and the need for  dsi display connector,
people with microcontrollers, it becomes possible to use the
 general purpose input and output 40 pins,
system are minimized. Given this device's web server hardware
capabilities, also allows the use of technologies such as web  micro usb power input.
sockets. In this study, a mini computer featuring Raspberry Pi 2
moving images received through the attached camera on,
transmitting in real time with clients via the web browser and the
ability to monitor the place where you have displayed to clients
at the same time is designed as a system. The goal of this system,
image processing and artificial intelligence methods using a
remote place / region to create a hardware and software
infrastructure for monitoring or monitoring. The target for the
operating system that offers performance from the device with
the use of minimal resources, non-graphical interface and
development environment ARM-supported Debian Linux as the
Node.js installation is preferred. Socket servers and HTTP server
software made by users of a particular program without the need
for mobile phone environment is installed the device in any
environment with a computer or web browser to monitor in real-
time, data retrieval, and has obtained the ability to check.
Created this is the system to be monitored spaces regardless of
the number of users, thanks to the web connector technology in
the software encoded on the device in real time without requiring Fig. 1 Raspberry Pi 2
an additional operation in the browser monitoring displays alerts
(voice, text, etc.) situation can be produced.
Raspberry Pi founded on the route that the operating system
capabilities of the card and depending on the desired
Keywords— Raspberry Pi, IoT, M2M, Embedded Linux,
programming engine performance can be created. Thus,
Windows 10 IoT, Tomcat 8, Spring Framework, JSF, Primefcaes.
microcontroller’s language dependency, and programing
language is a dynamic development environment which
I. INTRODUCTION removes the version dependency is obtained. Therefore, the
Embedded systems, machines and the Internet of objects performance of the operating system to be installed on the
(IOT) communication (M2M) systems in the exercise, one of card the Raspberry Pi card directly. Card will be selected
the problems is the ability of hardware and software of the according to the work to be done on the programming
card used. The card will be developed, based on powerful language of the work performed is a direct impact on the
hardware of software capabilities and data directly to the success and performance. Similarly in this study; Raspberry Pi
success. Unlike the device used to this point Iot Raspberry Pi 1 used to monitor traffic [3]. Raspberry Pi 1 Model B used for
2 stands out. Raspberry Pi 2 reminds of a small computer with home automation system in another work [4].
its specifications [1],[2]. The features of the card: II. OPERATING SYSTEM AND NODE JS
 900 mhz broadcom bcm2836 armv7 quad core cpu,
 1 gb sdram, A. Operating System Selection and Installation
 10/100 ethernet rj45 jack, Raspberry Pi cards use ARM architecture processors. ARM
 4 usb connector, processors are compatible with all operating systems can run
 hdmi video output, on Raspberry Pi. But running compatible with hardware, card
 audio and video output, produced for Raspberry Pi operating systems is used more
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performance of the card. According to their intended use these in the Java Spring Framework, STOMP protocol support with
operating systems, you will need to the shaped and user SockJs library. In this study , it has been the preferred socket
programs have been included in the operating system. In IO library.
addition, 17 December 2012 Raspberry Pi Foundation, in
cooperation with IndieCity and Velocix companies open Pi A. Socket IO
Store for users download application programs. Users located The socket IO's with almost every browser in real time
in the official distribution operating system an application (including mobile devices) in spite of different
using it is possible to download various categories of communication protocols to communicate study is preferred.
applications. In addition, users can also be installed on the On servers that have been created on the node Js platform
application developed and can be made available to other Socket IO is used with ease. The socket IO library created
users after approval. Apart from these operating systems that from object is set to the specified port on the server is made
are not developed by the Foundation, Raspberry Pi Raspberry ready for use by the rest.
Pi announced operating systems are also available. Raspberry
Pi cards that can be installed on these operating systems is B. Real Time Event Model
mostly Linux-based operating systems. On the Windows The Socket IO creates web socket objects. Sockets are
platform is Windows 10 has started to be supported by Pi card created when request by client to the web server-side on the
IoT version of Raspberry. In this study; Raspberry Pi used port opens a channel between the client and service (Fig 2).
highly efficient and compatible running Debian Linux
[5]. Selected operating system is written directly using the
appropriate SD card program. Raspberry Pi 2 version does not
contain any key to open and close power is transferred to the
device SD card operating system searches for and finds the
bootloader want to run. The card slot SD card prepared with
Raspberry Pi is used.
B. Node Js
Node Js in 2009 Joyent company by Google's V8 Javascript
engine is produced with a typical run-time environment to be
run by the server. Node Js is scalable, event-driven event-
driven asynchronous, non-blocking I/O uses working model
[6]. This also allows you to run with high
performance. LinkedIn mobile server side after passing to
Node Js Server dropped the number from 3 to 30 and up to 20
times faster in some operations in masterminding. Node Js are Fig. 2 The socket IO client/server connection model
modular. As a module each Node Js library and shrink the size Connecting to a socket request pop-up web posted by all
of the nucleus so that it allows applications to run faster clients through data communications same channel (Fig 3).
[7]. Downloaded the file from the official website of Node Js
platform is easy to install. According to other programming
languages is the biggest advantage is the package manager
Node Js NPM. Ask if you want to do what you want probably
as module. NPM is located and easily the desired with the
search over the package is used by adding to the project. This
package is one of the Socket IO this work was used in the
acquisition of data with the web socket.
III. WEB SOCKET

When the HTTP protocol, web browser (client) from the
server (web-server) an HttpRequest, HttpResponse from the
server in return gets, the connection is closed. Again, for a
new data exchange, a new connection must be created and a
new request. HTML5 browsers that support Java Script
language is created with the "WebSocket" objects with which
to initialize the client-to-server, server-to-client-sided with a Fig. 3 The socket IO client/server data exchange model
low-cost, persistent connections are created. In Java Script
Depending on the socket, exchanging data between clients
web socket technology used with a very available in the
and the server, you can open the channel room
library [8]. One of them; "Socket IO" and "SockJs"
performed. Data communication materializes “Unicast”,
libraries. In enterprise applications, has become widely used
“Multicast” or “Broadcast” in channel (Fig 4).
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197
_____________________________________________________________________________________________________________
1) Multicast: The message to be sent to clients only is Led used on pertinax plate gives information about web
desired. socket communications.
2) Unicast: Exchange of messages between client-
server only point-to-point.
3) Broadcast. The message is sent to all clients in the
channel.
Fig. 6 Fritzing diagram which is used leds

Fig. 4 The socket IO client/server data exchange model 2
The program is controling open and closed status of leds
IV. IMPLEMENTATION OF WEBSOCKET RASPBERRY PI 2 VIDEO used on the plate coded in Node Js platform . The means of
STREAM types and colors of leds :
The prepared implementation of the model split into two 1) Infrared led: Use to capture at night.
layers. Layers named “Hardware” and “Software” (Fig. 5).
Raspberry Pi 2 Card and Raspberry Pi Pi Noir Camera used in 2) Rgb led blue light: Use to display light’s purple and
hardware layer. Debian Linux OS, Node Js, Socket Io and other rays
Html 5 used in software layer. 3) Rgb led green light: Websocket and informs that it
expects clients in the operational position of the camera.
4) Rgb led red lights: It announces the formation of
defects in the system
Debian Linux operating system boot (bootable) was written
on an SD card that is compatible with the Raspberry as Pi
card. Pi Noir camera installed on hardware layer by Raspberry
card’s CSI port ( Fig. 6 and Fig. 7).
Fig. 5 Application Model
Pi Noir camera is different from a normally camera with

some features. Pi Noir camera has not got infrared filter. Thus,
light in different wavelengths of light environments detected
by the camera [9]. Electronic pertinax card established
consisting of infrared and rgb led for using features of Pi Noir
Fig. 7 Hardware Implementation
camera (Fig. 6). Leds manage with Raspberry Pi gpio pins.
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phone. Installed system image acquisition with the provision

of day and night as well as used to monitor simultaneously
zoology, science fields such as biochemistry. Adding to the
installed system software image processing algorithms;
scientific studies, in an environment that needs to be
constantly monitored in everyday, the formation of unwanted
alarm conditions occur. In our system operation of the infrared
LED for darkness use of sunrise and sunset is the negative
aspects of the work . This problem is solved by adding a light
sensor in system. It offers flexibility improvements made on
each layer of the work. The written application-layer
architecture coding module provides convenience as the
expansion of software. Image data obtained from this will be
Fig. 8 Hardware Implementation is running used in real-time face detection and identification operation
Made and the installation of the card Node Js platform REFERENCES

Raspberry Pi software development process was completed on [1] (2016) The Element14 ommunity website. [Online]. Available:
the card. Images from a camera with software developed the https://www.element14.com/community/community/raspberry-
web socket objects that were communicated to clients that pi/raspberrypi2
[2] (2016) The Raspberry Pi Foundations website. [Online]. Available:
connect to the so called html using (Fig. 9). https://www.raspberrypi.org/products/raspberry-pi-2-model-b/
[3] Michal Kochláň, Michal Hodoň, Lukáš Čechovič, Ján Kapitulík and
Matúš Jurečka, “WSN for traffic monitoring using Raspberry Pi board,”
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[5] (2016) Node Js Developer Platform website. [Online]. Avilable:
https://wiki.debian.org/WhyDebian
[6] (2016) DebianWiki website. [Online]. Avilable:
https://nodejs.org/en/about/
[7] (2016) High Scalability website. [Online]. Avilable:
http://highscalability.com/blog/2012/10/4/linkedin-moved-from-rails-
to-node-27-servers-cut-and-up-to-2.html
[8] Malte Ubl and Eiji Kitamura. (2010) The Html5rocks website. [Online].
Avilable: http://www.html5rocks.com/en/tutorials/websockets/basics/
[9] (2016) The Raspberry Pi Foundations website. [Online]. Available:
https://www.raspberrypi.org/products/pi-noir-camera/
[10] (2016) W3Schools website. [Online]. Available:
http://www.w3schools.com/
Fig. 9 Video stream
Written applications are listening for requests from port

8080. To access the application Raspberry Pi card is assigned
a static "192.168.1.10" ip address. When you want to access
the generated web application: between the client browser and
the server establish socket connection called from a channel
called "/jsws". The images from the camera push
simultaneously to all clients. When the number of connections
in the channel 0 application automatically adjusts the
camera standby position. In night vision position by turning
infrared leds provides image acquisition on the basis of
sunrise and sunset times.
V. CONCLUSIONS
Raspberry Pi this system based on device that in terms of
cost cheap and simple founded, without need for any
additional software development ,it offers real-time video
which can be monitored from any web browser or your mobile
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COMPARISON OF SIMULATED ANNEALING

AND GENETIC ALGORITHM APPROACHES ON
INTEGRATED PROCESS ROUTING AND
SCHEDULING PROBLEM
Ahmet Reha Botsalı
Necmettin Erbakan University, TURKEY
Department of Industrial Engineering
rbotsali@konya.edu.tr
Abstract— Today flexible manufacturing systems are highly  Any operation j (j∈Oi) of job i (i∈N) can be processed by
popular due to their capability of quick response to customer a machine k of machine set Mij with process time tijk,
needs. Although the advantages of flexible manufacturing systems  One machine can only process one operation of a job at a
cannot be denied, these systems also bring new issues on
production planning side. Especially assigning machines to
time and no preemption is allowed,
production operations and scheduling these operations with  The precedence relationship between the operations of a
respect to machine constraints turn out to be an NP-Hard job should be satisfied.
problem. In this study, the integrated process routing and  The objective is minimizing the completion time of the last
scheduling problem is explained, and the performance of two operation (makespan) of the schedule.
different meta-heuristic techniques, which are genetic algorithms By introducing the following additional variables and
and simulated annealing, are compared in terms of solution time parameters, this problem can be modeled as below:
and quality.
∶ ℎ
Keywords— Optimization, Integrated Process Planning and : ℎ
Scheduling, Job Scheduling, Simulated Annealing, Genetic ( ∈ , ∈ , ⊂ )
Algorithms 1, if operation j of job i is processed
= by machine k (i ∈ N, j ∈ O , k ∈ M , M ∈ Q
I. INTRODUCTION
0 otherwise.
Today, as the flexible manufacturing systems get more 1, if operation j of job i starts before
popular, scheduling production activities becomes more = operation of job ( , ∈ N, j ∈ O , m ∈
complex. The production managers have to make decisions 0 otherwise.
such as: “Identifying the production operations that the jobs ` ∶
should go through”, “Assigning machines to job operations”, ∈ , ∈ , ≥0
and “Identifying the sequence job operations on the machines”. ∶
Some of these decisions are related to the routing of the jobs on
( ∈ , ∈ , > 0)
the shop floor and some of them are related to machine
scheduling. These multiple aspects of production planning : ( > 0)
make the decision making much harder. Although it is possible ∶
make decisions sequentially, this approach leads to a sub
optimal solution. In order to find the best solution that Objective function:
minimizes the completion time of all jobs (makespan), the (1) Minimize
solution algorithm should take into account all aspects of the Subject to:
problem. This integrated production planning problem is (2) ∑ ∈ =1 ∀ ∈ ,∀ ∈
referred as integrated process routing and scheduling problem (3) = +∑ ∈ ∀ ∈ ,∀ ∈
in the literature. (4) ≥ ∀ ∈ ,∀ ∈ ,∀ ∈
It is possible to solve integrated process routing and (5) − ≥ −1 × ∀ ∈ , , ∈ N, j ∈
scheduling problem optimally using the following
O ,m ∈ : ∈ ∩
mathematical programming model given by Botsalı and Şeker
[1]. The model is described as follows: (6) + =1 ∀ ∈ , , ∈ N,
j ∈ O ,m ∈ : ∈ ∩
 There is a set of jobs N and each job i∈ N has a set of (7) + − − ≤ 1 ∀ ∈ , , ∈ N, j∈
operations Oi to be completed, O ,m ∈ : ∈ ∩
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(8) ≥ ∀ ∈ ,∀ ∈ The simulated annealing algorithm uses a data structure that

is similar to the one used in the genetic algorithms. Also the
In the above model, the objective is minimizing the modification of the solution during the simulated annealing
makespan that equals to the finish time of the operation algorithm’s iterations are similar to the mutation operations of
completed latest as stated by constraint set (8). Constraint set the genetic algorithm. During iterations, any new solution with
(2) ensures that each operation is assigned to a machine. a shorter makespan is accepted. However, a new solution with
Constraint set (3) defines that the completion time of an a longer makespan is accepted with probability e ((makespan old-
operation is equal to the sum of its start time and processing makespan new)/T), where makespan old and new are the makespan
time. Constraint set (4) states the precedence relationships. values of old and new solutions, respectively. T shows the
Finally constraint sets (5), (6), and (7) guarantee that operations temperature parameter of simulated annealing algorithm and it
processed by the same machine cannot be processed gets smaller as more iterations are done.
simultaneously. The algorithms are tested on a data set provided by Kim et
This problem is NP-Hard and it becomes more and more al. [2]. However, there is an assumption we made which is
difficult to solve the problem at the optimal level as the problem different than the work done by Kim et al. [2]. We assume that
size gets larger. Due to this fact, in the literature there are two or more operations belonging to a specific job can be
various studies ([2], [3], [4], [5], [6], [7], [8]) to find a good processed at the same time by different machines as long as
solution in a short time for this problem using heuristic methods. there is no precedence constraint between these operations. By
In this study, we compare the performance of two different this way, integrated process routing and scheduling problem
heuristics based on genetic algorithms and simulated annealing analysed in this study contains some characteristics of the
algorithm using the data instances provided by [2]. In the next assembly line scheduling problem. Yet, it is still possible to
section, details of these heuristics are provided. cancel this assumption and apply our algorithms to the original
problem by just modifying the fitness/objective value
II. HEURISTIC ALGORITHMS calculation functions in the coding. Our computational results
The genetic algorithm used in this study was developed by are given in the next section.
Botsalı and Şeker [1]. Basically, this algorithm assigns a gene
for each of the job operations that will be processed on the job III. COMPUTATIONAL RESULTS
floor. If there are n jobs and each job i has oi operations to be The genetic algorithm population size and the number of
completed on a production scenario, then the total number of iterations is set to 100 and 150, respectively. Tournament size
genes that is carried by the chromosome of the respective is taken as 3 and at each generation of the genetic algorithm 20%
individual in the population is equal to ∑ . of the population is replaced by new individuals. For the
Each gene in the chromosome has nine fields and each of simulated annealing algorithm, the maximum and minimum
these fields carries specific information as given below: temperatures are set to 300 and 0.001, respectively. The cooling
 Field 1: Order of the gene in the chromosome, rate is set to 0.9 and at each temperature 10 iterations are done.
 Field 2: Job id that contain the corresponding operation Both algorithms are run on a computer with Intel Core i5-
 Field 3: Order of the corresponding operation in the job 5200U CPU@2.20 Ghz with 8GB Memory. For each instance,
id’s schedule the algorithms are run 10 times and 10 different solutions are
 Field 4: Id of the corresponding operation obtained. In Table I, the best solution values and the average of
all solution values are provided for each algorithm and instance
 Field 5: Machine id assigned to the corresponding
scenario.
operation
As seen in Table I, the simulated annealing algorithm
 Field 6: Order of the previous gene in the chromosome
outperforms the genetic algorithm both in terms of solution
which has the same job id in its Field 2
quality and solution time when best solutions are analysed. Out
 Field 7: Order of the previous gene in the chromosome of 24 instances, only for instance 11, the best solution of the
which has the same machine id in its Field 5 simulated annealing algorithm is %0.1 higher than the genetic
 Field 8: Start time of the corresponding operation algorithm solution. In two instances, best solutions of the
 Field 9: End time of the corresponding operation simulated annealing and the genetic algorithm are same and for
the rest of the instance runs, the simulated annealing algorithm
If two individuals in the population have some jobs in solutions are better than genetic algorithm solutions.
common that share the same assigned operation sequence then When the algorithms are compared in terms of average
these individuals can be crossed over. During crossover, the solution quality, except three instances, again solutions of the
genes of these individuals are exchanged while keeping the simulated annealing algorithm are better than solutions of the
location of the genes that carry the information belonging to genetic algorithm. For those three instances, the average of
common jobs. Other than the crossover operation, there are two simulated annealing solutions are at most 1.8% larger than the
types of mutation operation which are: average of genetic algorithm solutions. However, for the
1. Changing the machine of a specific operation with an remaining instances, the average of the solutions given by the
alternative machine (Change of field 5 in the gene) simulated annealing algorithm can be up to 7.1% better than the
2. Changing the order of genes in the chromosome. average of the solutions given by the genetic algorithm.
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Finally when two algorithms are compared in terms of the genetic algorithm a little bit by reducing the number of
solution time, the simulated annealing algorithm’s solution generation parameter value from 150 to a lower value. Yet, still
time is in general 90% shorter than the solution time of the it is not possible for the genetic algorithm to be as effective as
genetic algorithm. In fact this is something expected since the the simulated annealing algorithm in terms of computation time.
number of computations is higher in the genetic algorithm. TABLE III
TABLE I COMPARISON OF COMPUTATION TIME
COMPARISON OF MAKESPAN SOLUTIONS
GA Average Time (Seconds)

SA Average Time (Seconds)
% Improvement in Genetic
Algorithm Solution Time
%
Simulated
Genetic Improvement in
Annealing
Instance No
Algorithm Genetic
Algorithm
Algorithm
% Difference in Average
Instance No
% Difference in Best
Makespan Value
Makespan Value
Avg. Makespan
Avg. Makespan
Best Makespan
Best Makespan
1 10,02 92,37 89,2%

2 10,40 102,12 89,8%
3 12,05 107,74 88,8%
4 10,18 92,98 89,0%
1 209 224,9 228 239,4 8,3% 6,1%
5 10,42 96,09 89,2%
2 244 250,2 244 245,8 0,0% -1,8%
6 11,08 108,12 89,8%
3 207 218,8 213 223,4 2,8% 2,1%
7 10,80 101,79 89,4%
4 247 256,2 247 253,8 0,0% -0,9%
8 11,53 101,76 88,7%
5 208 215,5 214 219,7 2,8% 1,9%
9 10,24 94,26 89,1%
6 200 216 216 228,5 7,4% 5,5%
10 11,64 147,94 92,1%
7 244 249 244 246,2 0,0% -1,1%
11 14,97 159,36 90,6%
8 204 209,9 207 215,3 1,4% 2,5%
12 11,75 143,21 91,8%
9 209 218,8 222 229 5,9% 4,5%
13 12,09 159,58 92,4%
10 267 284,7 291 300,2 8,2% 5,2%
14 13,24 158,37 91,6%
11 259 273,6 257 273,9 -0,8% 0,1%
15 12,33 146,56 91,6%
12 273 285 287 298,3 4,9% 4,5%
16 14,04 202,80 93,1%
13 264 276,1 285 294 7,4% 6,1%
17 16,50 215,61 92,3%
14 267 290 285 299,4 6,3% 3,1%
18 14,12 202,91 93,0%
15 252 266,3 273 281,9 7,7% 5,5%
19 15,91 208,58 92,4%
16 332 349 347 360,2 4,3% 3,1%
20 15,86 209,66 92,4%
17 322 334,9 327 344,1 1,5% 2,7%
21 15,67 203,74 92,3%
18 298 318,6 325 335,8 8,3% 5,1%
22 18,44 262,17 93,0%
19 340 347,7 348 364,8 2,3% 4,7%
23 19,96 263,44 92,4%
20 325 340,2 336 356 3,3% 4,4%
24 21,19 314,25 93,3%
21 315 330,9 339 350,8 7,1% 5,7%
22 379 402,4 410 433,2 7,6% 7,1% Although both algorithms used in this study are heuristic
23 376 392,1 398 409,9 5,5% 4,3% algorithms and they do not guarantee the optimal solution in the
end, it is interesting to see that the simulated annealing
24 450 472,9 472 487,1 4,7% 2,9% algorithm gives better results compared to the genetic algorithm
in general. There may be several reasons behind this. The
During genetic algorithm computations, it is observed that author thinks that one of these reasons may be the size of the
the population converges to final solution before the 150th solution space. Since the number of the variables is very large
generation, so it may be possible to shorten the solution time of in an integrated process routing and scheduling problem, it is
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difficult for a heuristic algorithm to explore the whole space.

For this reason, the quality of the final solutions highly depend
on the initial solution(s) that the heuristic algorithms start from.
As stated in the previous section, the genetic algorithm starts
with a set of solutions which contain 100 different solutions
(initial population). These 100 solutions are at different quality
levels. The tournament selection procedure of the genetic
algorithm gives higher chance to good quality solutions to be
involved in crossover process. However, it seems like this is
not enough to explore the parts of the solution space containing
good quality solutions. On the other hand, the simulated
annealing algorithm, starts with the best solution chosen out of
an initial solution set of 100 solutions. It is seen that searching
the solution space starting with a good solution and putting all
the computational effort on one promising solution lead the
simulated annealing algorithm to be superior to the genetic
algorithm.
IV. CONCLUSION
In this study, two different algorithms are compared for the
integrated process routing and scheduling problem. These two
algorithms are based on genetic algorithm and simulated
annealing algorithm techniques. The algorithms are tested over
the problem instances provided by Kim et. al. [2]. It is observed
that the simulated annealing algorithm has better performance
than the genetic algorithm in general.
It is possible to extend this study in various directions.
Different assumptions such as the allowance of pre-emption on
shop floor can be considered. Also the performance of different
heuristic algorithms such as particle swarm optimization or
tabu search can be compared.
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[1] A. R. Botsalı And A. Şeker, “A Scheduling and Rescheduling Algorithm
for Integrated Process Planning and Scheduling Problem”, Necmettin
Erbakan University, Konya, Turkey, Working paper, 2016.
[2] Y. K. Kim, K. Park, and J. Ko, “A symbiotic evolutionary algorithm for
the integration of process planning and job shop scheduling”, Computers
& Operations Research, vol. 30, pp 1151–1171, 2003.
[3] H. Lee and S. Kim, “Integration of process planning and scheduling
using simulation based genetic algorithms”, International Journal of
Advanced Manufacturing Technology, vol. 18, pp 586–590, 2001.
[4] C. W. Leung, T. N. Wong, K. L. Mak, and R. Y. K. Fung, “Integrated

process planning and scheduling by an agent-based ant colony
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180, 2010.
[5] S. Lv and Q. Lihong “Process planning and scheduling integration with
optimal rescheduling strategies”, International Journal of Computer
Integrated Manufacturing, vol. 27, pp 638–655, 2014.
[6] P. Mohapatra, L. Benyoucef, and M. K. Tiwari, “Integration of process
planning and scheduling through adaptive setup planning: A multi-
objective approach.” International Journal of Production Research, vol.
51, pp 7190–7208, 2013.
[7] C. Moon, J. Kim, and S. Hur, “Integrated process planning and
scheduling with minimizing total tardiness in multi-plants supply chain”,
Computers and Industrial Engineering, vol. 43, pp 331–349, 2002.
[8] A. Seker, S. Erol, and R. Botsali, “A neuro-fuzzy model for a new hybrid
integrated Process Planning and Scheduling system”, Expert Systems
with Applications, vol. 40. pp 5341-5351, 2013.
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Transmit Power Control (TPC) Algorithm for LTE-A

Femtocell Networks
Sajjad A. KHAN Adnan KAVAK Muhammad ASSHAD Fıdan KAYA
sajjad.khan@kocaeli.edu.tr akavak@kocaeli.edu.tr muhammad.asshad@kocaeli.edu.tr fidan.kaya@kocaeli.edu.tr
Department of Computer Engineering, Kocaeli University, Umuttepe, Izmit, 41380 Turkey
Abstract— 3GPP LTE-Advanced release-13 is now supporting to improve the broadband user experience but also increase the
the deployment of femtocells (HeNBs), which provide better coverage and capacity of the cell in cost effective manner [3].
connectivity to the users (UEs) at home, offices, shopping malls,
and dense urban areas, where the macrocell (eNB) has weak
signals strength or no signal. These femtocells cover short
distance (10 ~ 20 m) with high throughput and increased
capacity, while on the other hand the deployment of huge
MME / S-GW MME / S-GW MME / S-GW
number of femtocells create co-tier and cross-tier interference
S1
issues. To mitigate the co-tier interference problem we propose a S1 S1
Transmit Power Control (TPC) Algorithm, which will establish
and control the connection between femtocell and the users. In
S1
S1
S1
case of downlink and uplink scenarios the transmit power of
S1
S5
S1
S1
femtocells and UEs will be monitored accordingly. As a result HeNB GW
this data will help to manage the switching of users among X2 X2
eNB eNB X2 GW E-UTRAN
femtocells, macrocells to femtocells and vice versa. In the end we X2
S1
show the simulation results to compare the SIR and Throughput
S1
X2
X2
X2
of users.
X2
X2
eNB HeNB X2
Keywords— 3GPP, LTE-A, Femtocell, Macrocell, RRM, UE, X2
X2
eNB, HeNB, SIR, Throughput
HeNB HeNB
I. INTRODUCTION
Fig. 1. Source: 3GPP Release 13 [6]
3GPP LTE-A is a very promising 4G technology for the
thirsty mobile cellular network. With the advancement of Small cells can support wireless applications for homes and
mobile communication and technology, the expectations for enterprises as well as metropolitan and rural public spaces. Due
high data rates are also increased. Due to the huge growth of to the smaller coverage area, the same licensed frequency band
smart phones, tablets, and notebook etc. the quality of service can be efficiently reused multiple times within the small cells
(QoS) and ubiquitous connections are required. On the other in a HetNet (Figure 1), thus improving the spectral efficiency
hand the number of subscribers increasing every year per unit area (and hence the capacity) of the network. In a
dramatically. According to [1] Global LTE passed 1 billion HetNet, small cells are envisioned as traffic off-loading spots
subscriptions in 2015 and will reach up to 3.62 until 2020. Due in the Radio Access Network (RAN) to decrease the
to the explosive growth of users and multimedia services the congestion in macrocells, and enhance the users’ QoS
main challenge for next generation cellular networks is to experience [7].
oblige mobile data traffic by improving the capacity of the
networks [2]. The present LTE-A system is based on There are different types of small cells included like
homogeneous network, where every single eNB cover the femtocells, picocells, and microcells, in this paper we focus
whole cell, and each eNB use similar transmission power only on femtocells, which are denoted by Home evolved Node
levels, modulation techniques, access schemes, antenna Base-Station (HeNB) in LTE-A, this low power device can be
patterns to offer QoS to the UEs across cell [3, 4]. However, installed at Homes, Shopping Malls and Congested Urban
such deployment degrades the coverage and capacity of the Areas and managed by the user himself. It covers up to 20 to
cell-edge users. 30 meters distance of space; it is very useful for indoor
communication where macrocell (eNB) coverage is not enough
One approach to solve the above mentioned problem is to for customers. The main advantages of using HeNBs are low
shrink the cells, it provide the high data throughput and can cost, IP backhauling and frequency reuse; provide high
fulfil the increasing demand of cellular systems, which will capacity, Low battery usage and seamless transition between
also improve the interference and signal to noise ratio (SNR), wired and wireless connecting devices [8]. However, in order
but this approach is not economical and as a result its need lot to successfully deploy the femtocell architecture several
of expenses [5]. Therefore, the deployment of heterogeneous challenges need to be addressed. Interference management
network (HetNet) is more scalable and beneficial for both remains one of the major issues: femtocells which operate in
operators as well as users. This approach is expected not only the same spectrum of macrocell users produce a cross-tier
interference which degrades their transmissions. Moreover,
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neighbour femtocells which belong to same operators, which III. EXISTING NETWORK AND ITS PROBLEM
may interfere each other. The latter interference is known as According to [06], the users can install femtocells under a
co-tier interference [9]. In this article we propose an algorithm macrocell and share the same spectrum. In this paper, we
for co-tier interference management to avoid the interference studied the downlink and uplink co-channel interference when
between neighbour HeNBs and UEs. macrocell and femtocell share the same spectrum. The
In the preceding sections we discuss different approaches deployment configurations are CSG and co-channel.
and techniques use for RRM; in Section III we proposed an Specifically, the downlink transmissions from the femtocell
algorithm, in Section IV we have simulation results and will cause strong interference at a nearby macrocell’s UE and
Section V is the conclusion. may cause the received macrocell signal at the macrocell’s UE
degraded and become unacceptable. Hence, the co-channel
II. RELATED WORK interference is one of the major barriers for the successful co-
existence of macrocell and femtocell. We address the downlink
These days the Radio Interference Management (RRM) in and uplink interference problem by considering the transmit
LTE-A femtocell is the most challenging issue for cellular power at both the macrocell’s UEs and the femtocell’s UEs in
network operators. This is also a very hot topic for wireless terms of their received SINR.
communication researchers. Some of the works done by
researchers are discussed below.
IV. PROPOSED ALGORITHM
The authors of the article [11] explained the orthogonal and As we discussed in above section many techniques are
co-channel frequency allocation schemes, compared them and implemented in LTE-A femtocell networks to mitigate the
also show the simulations results. According to the distance interference problem, all these techniques are working very
between HeNB and eNBs which are two coverage areas, where good but they have some limitations as well. In this paper we
the spectrum of eNBs is different from the HeNBs. The [12] proposed Transmit Power Control (TPC) Algorithm, which
use the hybrid approach for both uplink and downlink would reduce the co-tier interference for uplink and downlink
interferences, in this article the use of shared spectrum is of the LTE-A femtocell system. The “Interference Avoidance”
exploited only when this approach is favourable both to eNB is used to reduce the system interference. Our proposed
and HeNB users; otherwise, the partitioned approach is chosen. algorithm will avoid the interference based on the threshold
A power control method are proposed in [13], the author value of Transmit Power of User Equipment (PTUE) and Home
explain the uplink and downlink scenario, which limits the co- evolved Node Base-station (HeNB). PTUE represents Transmit
tier interference in, while the encroachment of co-tier Power of UE while PTHeNB represents Transmit Power of
interference is ignored. In [14] two possible solutions are HeNB and their values are pre-calculated. The PTUE of one
highlighted, the first-one is to use the separate spectrum for specific HeNB is changing by the other HeNB which are
HeNB and eNB, this technique is said to be Dedicated Channel deployed near to it, and these power levels are expressed in
deployment, while the other approach is to use the same dbm. The uplink interference could be controlled and
spectrum for HeNB and NBs, this is kwon as Co-Chennel maintained by the HeNB Gateway Server, the UE under the
deployment technique. These solutions are good to sufficiently particular HeNB should transmit the assign power as soon as
increase the overall capacity of the system, but the Co-Channel possible, because the HeNB will connect on First Come First
interference issue remains the same, and the deployment is Serve (FCFS) basis. The HeNB uses pilot signal to detect the
costly for operators. Whenever HeNB and eNB share the same UE in its coverage area and set the Pilot bit (Pbit) to 1. After
part of spectrum, they will interrupt each other. Article [15] successfully established the connection the HeNB will instruct
proposed a systematic way to optimize the resource allocation the UE to communicate at assigned transmit power level. In
for public femtocell networks, including three schemes of case of downlink, the HeNB power levels are registered on
different stages: (1) long-term resource management, which is start-up in femtocell gateway (FG) center and the power within
to allocate spectrum resource between eNB and HeNB the power level assigned to each downlink channels of the
networks; (2) medium-term resource management, which is to particular HeNB it handles.
allocate radio resources to each HeNB; (3) fast resource
management, which is to further enable multiple HeNBs to
cooperate to improve the network’s coverage and capacity. As V. FLOW CHART
we know that cross-tier interference can also be minimize by The backhaul of LTE-A femtocell and connections are
interference cancellation, and this method is by [16] as the explained in [19], the HeNB is initially connected with FG
class of techniques that demodulate/decode desired Server through ADSL or fiber optic and then it will further
information, and then use this information along with channel connect to ISP. The figure 2, explaining the algorithm how it
estimates to cancel received interference from the received works.
signal. The key technique for interference avoidance is
Transmit Power Control, especially when many HeNBs are Step 1: When the femtocell (HeNB) is Switch ON. It will
installed very close to each other. One such approach is refresh/update its database and all values will set to “0”. At the
discussed in [17], where the transmit power of a HeNB can be same time the HeNB will be registered in FG, which will
utilized accordingly, while the outdoor eNB’s UE can be assign a unique identification number (ID) to the particular
protected sufficiently. In article [18], the authors use a simple HeNB to recognize with its Transmit Power (PTHeNB).
power control method to avoid the interference cause nearby The HeNB will adjust the UE to set the specific transmit
eNB’s users. power level.
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Step 2: The HeNB will set PTHeNB to 1, while in FG the interference of the signals. To avoid the co-tier interference
(PTHeNB) will set on First Come First Serve (FCFS) basis. problem, we proposed an algorithm and can see the result of
UEs and HeNB which are using different level of transmission
Step 3: For Uplink there are many UEs i.e i=1,2,3,…,N and power. There are four different users (UE 1, UE 2, UE 3 and
single HeNB. If the set value of PTHeNB is less than PTUEi, UE 4) and they are using different transmission power. In the
the connection will establish, otherwise the PTHeNB will be simulation we also use three different groups according to
set according to new PTUE. populations of the UEs, which are served by macrocell i.e
Step 4: If the new PTUEj is greater than PTUEi, then the (eNB). The three different groups are divided by Dense
PTHeNB will set according to new value, otherwise rejected. Populated (DP Group), Medium Populated (MP Group), and
Less Populated (LP Group).
Step 5: Downlink side, the FG will set the threshold value of
HeNB in its database. If the PTHeNB is less than the threshold
PTTH value, the connection will establish, otherwise rejected.
Fig. 3. Main Topology of HeNBs
As for the HeNB-2 scenario is concerned, we have given

high transmit power to UE 2 and low transmit power to UE 1,
UE 3 and UE 4. In figure 4, the overall throughput is shown;
where we can see the UE 2 throughput is higher than the rest of
the other UEs. Which means the higher transmit power has
high throughput and low transmit power has low throughput.
On the other hand if there is less population then the
throughput will be high, and vice versa. In the delay case, if the
Fig. 2. Proposed algorithm for Co-Tier Interference transmit power is high and population is less, then delay will
also be less, and vice versa.
Step 6: We consider many HeNBs i.e (i=1,2,3,…,N) while
single UE. If the new PTHeNBj is greater than PTHeNBi, then
the database of FG will update according to new value,
otherwise its value will remain the same.
Step 7: If the HeNB is Switched OFF, all the data will clear,
otherwise it will repeat step 5.
VI. SIMULATION RESULTS

As for the 3GPP Release 13, we used LTE System Toolbox
functions to generate a downlink Reference Measurement
Channel (RMC) R.12. [20], to estimate the performance of the
near and far femtocells UEs. The UEs which are near to HeNB
receive high throughput while the far UEs receive low
throughput in LTE femtocell system. To see the simulation
results we assumed two different scenarios according to the
transmitting power of the HeNBs. Fig. 4. HeNB 2, Throughput and Delay
The topology of the LTE-A femtocell system is shown in
As for the HeNB-3 scenario is concerned, we have given
Figure 3. There are two femtocells (HeNB 2 and HeNB 3)
less transmit power to UE 2 while on the other hand we have
under the range of one macrocell (eNB). These two HeNBs are
given high transmit power to UE 1, UE 3 and UE 4. Figure 5
very close to each other, which can be disturbed due to
showing the throughput result of the UEs of HeNB-3. We can
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see in this figure, that the UE 1, UE 3 and UE 4 have high [4] HetNets with cognitive small cells: User offloading and distributed
throughputs, while the UE 2 has low throughput. From these channel allocation techniques by H. ElSawy, E. Hossain, and D. I. Kim.
results we can say, that high transmit power has high [5] Achieving High Capacity with Small Cells in LTE-A by Yufei W.
Blankenship, Member, IEEE Research In Motion - Advanced
throughput; while low transmit power has low throughput. Technology.
Similarly DP Group has low throughput, while LP Group has [6] 3rd Generation Partnership Project; Technical Specification Group
high throughput. On the other hand if there is high transmit Radio Access Network; Evolved Universal Terrestrial Radio Access (E-
power and LP Group the delay would be quite low, and vice UTRA) and Evolved Universal Terrestrial Radio Access Network (E-
versa. UTRAN); Overall description; Stage 2 (Release 13). 3GPP TS 36.300
[7] Channel Assignment and Opportunistic Spectrum Access in Two-tier
Cellular Networks with Cognitive Small Cells by Hesham ElSawy and
Ekram Hossain Published by Globecom 2013 - Wireless Networking
Symposium.
[8] Enhanced Cognitive Radio Resource Management for LTE Systems by
Ismail AlQerm, Basem Shihada, and Kang G. Shin Dept. of Electrical
Engineering and Computer Science, University of Michigan, USA.
[9] A Radio Resource Management Scheduling Algorithm for Self-
Organizing Femtocells by Antonio De Domenico and Emilio Calvanese
Strinati, Published 2010 IEEE 21st International Symposium on
Personal, Indoor and Mobile Radio Communications Workshops.
[10] WiMAX Femtocell, Requirements, challenges and solutions by Ronny
YK and Jin Sam Kwak, Kamran E
[11] Resource allocation for orthogonal and co-channel femtocells in a
hierarchical cell structure Kyongkuk Cho , Wooju Lee , Dongweon
Yoon , Kwangmin Hyun , and Yun-Sung Choi, Published in The 13th
IEEE International Symposium on Consumer Electronics (ISCE2009.
[12] Hybrid spectrum sharing for coexistence of macrocell and femtocell by
Y. Bai, J. Zhou, and L. Chen, Published in IEEE International
Fig. 5. HeNB-3, Throughput and Delay Conference on Communications Technology and Applications, 2009.
[13] Performance of Macro and Co-Channel Femtocells in a Hierarchical
From the above simulation we can describe, that transmit Cell Structure by Holger Claussen Bell Laboratories, Alcatel-Lucent,
power of femtocell (HeNB) is very important and will decide Published in the 18th Annual IEEE International Symposium on
the commucation between HeNB to HeNB and UEs. The Personal, Indoor and Mobile Radio Communications.
transmit power of both UE and HeNB will decide the [14] Interference Management and Performance Analysis of UMTS/HSPA+
connections between them. In our proposed algorithm, we use Femtocells by Mehmet Yavuz, Farhad Meshkati, and Sanjiv Nanda,
the transmit power of femtocell (HeNB) as a decider for both Qualcomm Inc. Akhilesh Pokhariyal and Nick ohnson, ip.access Ltd.
Balaji Raghothaman and Andy Richardson, Airvana Inc. White Paper.
Uplink and Downlink scenarios. Higher the tranmit power has
[15] Radio resource management for public femtocell networks by Yizhe Li,
higher chance of connectivity; lower transmit power will be Zhiyong Feng, Shi Chen, Yami Chen, Ding Xu, Ping Zhang and Qixun
rejected. Zhang, Published in EURASIP Journal on Wireless Communications
and Networking 2011
VII. CONCLUSION [16] Interference cancellation for cellular systems: A contemporary overview
by J. G. Andrews, White Paper, IEEE Wireless Commun., vol. 2, no. 3,
The evolution in LTE-A, the deployment of femtocells pp. 19–29, April. 2005.
(HeNBs) is of great improvement due its efficiency and low [17] Optimization of femtocell network configuration under interference
power consumption. In this article we proposed a Transmit constraints Kwanghun Han, Youngkyu Choi, Dongmyoung Kim,
Power Control (TPC) algorithm, which can work very Minsoo Na, Sunghyun Choi, and Kiyoung Han.
intelligently to decide the connection between HeNB and UEs. [18] A downlink power control scheme for interference avoidance in
femtocells by Talha Zahir, Kamran Arshad, Youngwook Ko and Klaus
Using this algorithm the co-tier interferences will eliminate and Moessner
provide better performance. In the simulation section we
[19] A Power Control Algorithm for 3G WCDMA System by Loutfi Nuaymi,
discussed the importance of transmitting power of UEs and Xavier Lagrange, Philippe Godlewski
HeNBs in LTE-A femtocell networks; if the power is high the [20] Copyright 2009-2013 The MathWorks, Inc.
throughput is also good. In future we can propose some
techniques (algorithms) for cross-tier interference which also
affect the performance of femtocell network.
REFERENCES
[1] Source: AVUM, Reported by Mark Newman 27th January 2016
http://www.ovum.com/press_releases/global-lte-subscriptions-pass-1-
billion.
[2] Book: Radio Resource Management in Multi-Tier Cellular Wireless
Networks by Ekram Hossain, Long Bao Le and Dusit Niyato.
[3] On Cognitive Small Cells in Two-Tier Heterogeneous Networks by
Hesham ElSawy and Ekram Hossain Published in 9th International
Workshop on Spatial Stochastic Models for Wireless Networks 2013,
May 13, 2013.
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CUSTOMER SATISFACTION USING DATA

MINING APPROACH
Burcu ORALHAN#, Kumru UYAR+, Zeki ORALHAN*
#
Department of Economy and Administrative Science
Nuh Naci Yazgan University, Kayseri, Turkey
boralhan@nny.edu.tr
+
Department of Economy and Administrative Science
Nuh Naci Yazgan University, Kayseri, Turkey
kuyar@nny.edu.tr
*
Department of Electrical & Electronics Engineering
Erciyes University, Kayseri, Turkey
4011340803@erciyes.edu.tr
Abstract— Customers and products are the main assets for every way that an operator can react (including ‘do nothing’) in
business. Companies make their best to satisfy customers terms of retention [1]. Previous studies have indicated that the
because of coming back to their companies. After sales service cost of gaining new customers is much expensive than the cost
related to different steps that make customers are satisfied with of retention the existing customers [1], [2], [3], [4], [5], [6]
the company service and products. After sales service covers
Loss of customer causes negative effects on firms reputations
different many activities to investigate whether the customer is
satisfied with the service, products or not? Hence, after sales and income reduction [7]. Companies are increasingly focused
service is acting very crucial role for customer satisfaction, on accurate customer churn forecasting models. These models
retention and loyalty. If the after sales service customer and should be enhanced to identify the factors to churn and the
services data is saved by companies, this data is the key for developed needs to retain customers. Churn of customer is
growing companies. Companies can add value their brand value defined as the tendency of customers to interrupt doing
with the managing of this data. In this study, we aim to business with a firm in the time process. Customer churn has
investigate effect of 6 factors on customer churn prediction via become a significant problem today. In worldwide, one of the
data mining methods. After sale service software database is the main challenges is determined to propensity of churn of
source of our data. Our data source variables are Customer
customers. Geppert (2003) suggest another list of causes of
Type, Usage Type, Churn Reason, Subscriber Period and Tariff
The data is examined by data mining program. Data are churn: Price, Service quality, Fraud, Lack of carrier
compared 8 classification algorithm and clustered by simple K responsiveness, Brand disloyalty, Privacy concerns, Lack of
means method. We will determine the most effective variables on features, New technology introduced by competitor, New
customer churn prediction. As a result of this research we can competitor enter the market, Billing or service disputes [8] .
extract knowledge from international firms marketing data. High customer churn risk is one of the stringent challenges
Keywords— Data Mining, Customer Churn Prediction, Customer in telecommunication companies. Pareek has classified
Satisfaction, Knowledge Discovery in Database telecommunication industry challenges in four groups;
Consolidation, Competition, Commoditization, Customer
I. INTRODUCTION
service. Telecommunication data which is very complex has
Telecommunication companies maintain and store needed many prepocessing for analyse. Data mining which is
tremendous amount of data about the customer information, a useful tool, is extracting and exploring information from
phone calls and the operations of their networks. Due to the data. In this paper, we will provide an application to
improvement of computer systems and telecommunication telecommunication companies. We want to have knowledge
technologies, this industry has expanded rapidly. Data mining about customers that who are existing and loyal to company,
helps to improve quality of service, detect the customer who are going to leave or quitting from company
communication type, determine deceitfulness activities and products/services.
make better use of resource in telecommunication industry. Customer churn probability is predicted by data mining
One of the widely applied areas of data mining is Customer algorithms analysing historical data. Data mining techniques
Relationship Management. Customer Relationship used for this purposes typically utilize the average number of
Management approach is focuses on retention, relationship calls, billing data, the change in the average number of calls,
development and increase satisfaction. From a business call detail data, subscription and customer information [10].
intelligence perspective, churn management process under the In this paper, we investigate features of applying the data
customer relationship management (CRM) framework mining in customer churn prediction of a telecommunication
consists of two major analytical modelling efforts: predicting data. First, we identify the variable of effecting customer
those who are about to churn and assessing the most effective
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churn prediction of a telecommunication system. These Data sampling randomly selects a set of customers with the
variables are examined in data mining algorithms. Data required information, according the definition of churn in
mining algorithms are compared with each other. Proposed designated telecommunication company.
algorithm is also discussed and we conclude the paper with Evaluate factors and sub factors distribution as shown in
conclusions. Fig. 1.
II. MATERIAL AND METHOD
Telecommunication data consist lot of interesting issues for

analysing in data mining. Telecommunication databases
include huge amount of data in worldwide. But raw data is not
usually suitable for direct usage for data mining. For this
reason researchers should examine data effectiveness and
apply some of pre-processing operations to be usable. Our
study include of data sampling, pre-processing, model
construction, and model evaluation phases.
We have used open-source data mining tool Weka (version
3.8) for this study. We analyse our dataset performance of a
comprehensive set of classification algorithms (classifiers).
A. Data Set
The dataset that we used obtained from a Turkey’s one of
the biggest telecommunication company. Real time data was
obtain on May 2016. Untreated data consisted of 6 factors, 66
sub factors and 498,866 instances. 38,36% of data were
churners.
Evaluate factors is following;
TABLE I
FACTORS
Variable Code Variable Code

Fig. 1 Distribution of the data
Customer Active 0-5
Type Churn Subscriber 6-10 Data pre-processing eliminates the unrelated information
Usage H Period 11-15 which consists missing values, incorrect words, wrong
Type B 16- mathematical symbols, duplicated information, and like that
errors [2]. Major data pre-processing tasks and techniques are
1 1
shown in Fig. 2.
2 3
5 4
Churn 6 7
Tariff
Reason 9 8
17 14
25 other
other
Fig. 2 Major data pre-processing tasks and techniques [12]
According to (Acker, et al., 2013), data pre-processing can In the study we used some of pre-processing techniques. In
be up to 80% of the total analysis work and analyzing the data, data cleaning step we clean some of the data, which are
once joined, cleaned and transformed consumes just about identifying incorrect information or incorrect. At the end of
20%. The raw world data is usually noisy, inconsistent and this step, we have 498.356 data. Ordered sub factors are
incomplete due to their typically large size and their likely converted to numeric values. We create some of groups of
origin from multiple and heterogeneous sources. Dimensions subscribe period for subscriber time.
of data quality; Accuracy, Completeness, Consistency
Timeliness, Believability, Value added, Interpretability B. Data Mining Techniques in WEKA
Accessibility. Data mining technique in CRM is usually apply in real
world case because CRM on data mining have attracted both
the practitioners and academicians. In CRM there are several
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different functionalities, techniques and applications. as The results from TABLE III have been analyzed the
shown in TABLE II. classifiers work better. The classifiers J48, Random Forest and
PART have performed better in data set (up to %78). Errors
TABLE II
and Kappa statistic seem to be same among 3 classifiers and
DATA MINING FUNCTIONALITY, TECHNIQUE AND APPLICATION are based on the accuracy of the prediction.
Customer clustering is very important issues in data mining
Functionality Technique Application
Set Theory
methodologies for customer relationship management (CRM).
Association Statistics Cross Sell To segment customers by Customer Type, Usage Type,
Bayesian Classification Churn Reason, Subscriber Period and Tariff as variables and
Neural network used K-Means to model the customers into five clusters. To
Estimation Statistics Exchange rate estimation generate roughly the same number of subscribers in each of
Time series
the seven clusters. Table IV is summarized the clustering
Decision Tree
Fuzzy Credit embezzle results. Simple K-Means method is a common and effective
Classification method for clustering.
Neural network Market segmentation
Genetic Algorithm
TABLE IIIV
Regression
Churn Prediction CLUSTER OF CUSTOMER SEGMENTATION
Prediction Neural network
Fraudster prediction
Decision Tree Full
Cluster 0 1 2 3 4 5 6
Neural network Data
Statistics
Segmentation Market segmentation Attribute 498356 85008 109671 65748 86170 67292 62389 22078
Genetic Algorithm
Decision Tree % 100 17% 22% 13% 17% 14% 13% 4%
Active_
Active Active Active Churn Churn Active Active Churn
For churn prediction is used most popular ones are: Churn
• Decision trees H_B H H H B H H H B
• Artificial Neural networks Period 6-10 0-5 6-10 6-10 6-10 16- 11-15 0-5
• Regression.
Weka (Waikato Environment for Knowledge Analysis) Tariff 7 4 14 1 14 7 7 3
includes some of classifier algorithm such as Bayes, MISC, Churn_

25 25 25 1 5 25 25 2
Reason
Functions, Rules, Decision Tree, Lazy etc. A good mix of
algorithms have been chosen from these groups that include
Naive Bayes and Bayes net from Bayes Classifier, Multilayer From this result, it is possible to generate some customer
Perceptron from functions, JRip, PART, OneR from Rules management strategies. Simple algorithm K means the results
Classifier and Random Forest and J48 from Trees. can be interpreted as follows.
•Cluster 0: Include %17 of all customers and these
customers are active in system 0-5 year period. They use
III. RESULTS AND DISCUSSION 4.tariff in telecommunication systems for their home.
A total of 8 classification algorithms have been analysed in •Cluster 1: Include %22 of all customers and these
this study. We evaluate the features with 10-fold cross customers are active in system 6-10 year period. They use
validation. In the classification process, we perform 10 times 14.tariff in telecommunication systems for their home.
for training and testing. •Cluster 2: Include %13 of all customers and these
customers are churned in system 6-10 year period. They used
TABLE IIII 1.tariff in telecommunication systems for their business.
COMPARISON OF DIFFERENT CLASSIFIERS USING TELECOM DATA SET
Churn reason is 1 coded.
Time •Cluster 3: Include %17 of all customers and these
Root
taken Correctly Mean Relative
Classifier to classified
Kappa
absolute
mean
absolute
customers are churned in system 6-10 year period. They use
statistic squared 14.tariff in telecommunication systems for their home. Churn
build instances error error
error
model reason is 5 coded.
J48 0,25 78.24 % 0.628 0.0662 0.182 44.68 % •Cluster 4: Include %14 of all customers and these
Naive
0,06 77.92 % 0.6229 0.0653 0.1849 44.0 % customers are active in system 16- year period. They use
Bayes 7.tariff in telecommunication systems for their home.
JRIP 9,72 65.22 % 0.1386 0.1362 0.261 91.91 % •Cluster 5: Include %13 of all customers and these
PART 0,8 78.23 % 0.6279 0.0662 0.1819 44.64 %
customers are active in system 11-15 year period. They use
Random
Forest
14,75 78.23 % 0.628 0.066 0.1817 44.52 % 7.tariff in telecommunication systems for their home.
MultiLayer
•Cluster 6: Include %4 of all customers and these
26,06 77.93 % 0.6232 0.0669 0.1826 45.15 % customers are churned in system 0-5 year period. They used
Perceptron
BayesNet 2,07 77.92 % 0.6229 0.0653 0.1849 44.08 % 3.tariff in telecommunication systems for their business.
OneR 0,11 72.50 % 0.5247 0.0687 0.2622 46.36 % Churn reason is 2 coded.
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IV. CONCLUSIONS [10] G.M. Weiss. “Data Mining in Telecommunications’, Data Mining and
Knowledge Discovery”, Springer Science, New York, 2005, pp.1189-
1201
With the strongly development of telecommunication [11] O. Acker,., Blockus, A. and Pötscher, F., 2013. Benefiting from Big
industry, the service providers needs more knowledge of the Data: A New Approach for the Telecom Industry, s.l.: Booz &
Company.
subscriber. In today’s very hard competitive environment, [12] R.I. Jony, Preprocessing Solutions for Telecommunication Specific Big
holding of existing customers has become an enormous Data Use Cases, AALTO UNIVERSITY School of Electrical
challenge. Churn analysis is used to predict of customer Engineering Department of Communications and Networking, Master's
behaviours that are most likely to change provided service and Thesis.
to compose special marketing tools for them.
Churn prediction in customer relationship management is
critical issues in telecommunication industry. For the purpose
of competitive in this industry, service providers must be able
to predict probability of churners and take proactive approach
to retain existing customers. In this research, we use WEKA
data mining algorithms for purpose of different classification
techniques and clustering for churn prediction.
This study is inspected determinants of customer churn in
the Turkish telecommunications industry service market using
a sample of have 498.357 actual and churn customer data. The
efficiency and the performance is compared of Naive Bayes
and Bayes net from Bayes Classifier, Multilayer Perceptron
from functions, JRip, PART, OneR from Rules Classifier and
Random Forest and J48 from Trees.
The goal of the paper is define and explain the related
factors in active and churn prediction modelling. On the other
hand this study aims to cluster the application data with data
mining simple k means clustered technique. Classified and
clustered that uses for churn prediction in Data Mining.
ACKNOWLEDGMENT
The dataset were obtained one of the biggest
telecommunication companies in Kayseri, Turkey.
REFERENCES
[1] S.Y. Hung, D.C. Yen and H.Y. Wang, “Applying data mining to
telecom churn management”. Expert Systems with Applications, vol. 31,
pp.515–524, 2006.
[2] C. Kirui, L. Hong, C. Wilson, H. Kirui, “Predicting Customer Churn in
Mobile Telephony Industry Using Probabilistic Classifiers in Data”
Mining. IJCS, 10, 2013.
[3] R. Mattison, The Telco Churn Management Handbook, Oakwood Hills,
Illinois: XiT Press, 2005.
[4] C. P. Wei and I.-T. Chiu, "Turning telecommunication calls details to
churn prediction: a data mining approach," Expert Systems with
Applications, vol. 31, pp. 103-112, 2002.
[5] B. Huang, M. T. Kechadi and B. Buckley, "Customer churn prediction
in telecommunications," Expert Systems with Applications, vol. 39, p.
1414–1425, 2012.
[6] Basiri, Taghiyareh and Moshiri. A Hybrid Approach to Predict Churn.
Services Computing Conference (APSCC), 2010 IEEE Asia-Pacific,
2010, pp.485 – 491
[7] Saradh and Palshikar. Employees churn prediction. Expert Systems
with Applications, vol. 38,2011, pp. 1999-2006
[8] K. Geppert. Customers churn management. KPMG International, A
SWISS Association, 2002.
[9] H. Edelstein. Building Profitable Customer Relationships with Data
Mining, Two Crows Corporations, 2000. [Online].Available:
https://books.google.com.tr/
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A Fast Detection Approach for Road Defects Using

Image Processing
Busra AKARSU, Koray Sener PARLAK, Mehmet KARAKOSE
busra.akarsu@hotmail.com, ksparlak@firat.edu.tr, mkarakose@firat.edu.tr
Firat University, Computer Engineering Department, Elazig
Abstract— Road defect is one of the most important factor for The crack in the image taken and the contrast between the
traffic accident. Therefore, this defects should be corrected as road are reduced due to the light on the road surface and the
soon as possible. It usually occurs cracks, rutting, and potholes changes in weather conditions [3]. It is difficult to perform
in road surface. There are various methods in the literature for feature extraction from the road surfaces using image
the road defect detection. Traditionally these defects is tried to processing methods and to detect feature due to the plurality
detected by the human eye are performed using image processing of the colour changes of the road surfaces [4]. Edge detection
in recent years. However, there are deficiencies such as inability methods are very efficient for feature extraction in the other
of real time application, slow work, and inability to identify with
detection problems [5-7] ,but performing feature extraction
high accuracy in addition to being shortage of studies using
image processing. from the road surface is not only edge detection or texture
analysis problem [8]. Color changes and noise in received
Aim of this study is defect detection at road by using image image make difficult to defect detection. In this case,
processing algorithm with images taken from a camera on a improvement of the image becomes an important duty in order
vehicle. In first step of this study, preprocessing is performed by
to make an accurate prediction [9]. The road cracks constitute
utilizing median filter algorithm. Then, in second step essentially
threshold values to detection process are obtained by performing the continuous and darkest region of the image [10]. In the
feature extraction with mathematically morphological study carried out, the cracked structure was brought to the
techniques. In final step whether road defect exist or not, and forefront to improve the image by using a median filter and
which level of defect are obtained by being classified in real time. collecting with an image on which no processing was
To reveal the accuracy and performance of the proposed performed. In the literature, productive results were also
approach, comparative results are given by examining images obtained by using median filter [12,13] to improve image. In
obtained as experimentally. addition to median filter, histogram equalization [8], calculate
the threshold value [10], etc. were used for image improving.
Keywords— Road defect detection, image processing, Feature extraction defines the relevant shape information
morphological operation, decision tree, median filter in the image [11]. In the literature, edge control [14] and
various parameters such as slope, inertia [10] which can be
removed through image were used for feature extraction. For
I. INTRODUCTİON instance, Guanqun Bao [12], proposed feature mapping
method. This method was based on from vertical histogram
and horizontal histogram values.
Roads are the transportation method which is most widely
used around the world at the present time. One of the most The usability of road defect detection applications depends
important causes of accidents on the roads is the road surface on being able to achieve fast and good results. In accordance
faults. The improper operations in the construction phase and with this purpose, an attempt to achieve faster and better
the reasons such as pressure caused by heavy vehicles on the results was made in the study carried out. If deep cracks on
roads and weather condition lead to the deformations on the the road are not repaired in a short time, the damage on the
road surfaces over time. These deformations on the road road is further increased. Therefore, it is necessary to make
surfaces are called Alligator Cracking, Block cracks, Linear the distinction of superficial and deep cracks. In the study
Cracking, Transverse Cracking, Joint Reflection Cracks etc. carried out, roads were classified as without crack, superficial
crack, crocodile cracking, transverse cracking and longitudinal
The elimination of the road defects is both a big work load (linear) cracking.
and an organizational operation [1]. Today, road defect
detection based on the fact that people see these defects. This
method prevents the elimination of defects in a short time.
Many researchers have proposed different methods about how II. PROPOSED METHOD
to detect the defects in a faster way. The features such as
being cheap, being fast and and applicable determine the The proposed method is based on feature extraction and
effectiveness of a method [2]. Among these methods, one of classification through the image obtained by bringing cracked
the cheapest and fastest method is the algorithms developed structure into the forefront. The flow chart of the study carried
using image processing methods. out is presented in Fig. 1.
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(a) (b)
(c)
Figure.2. Imput image(a), Image obtained with Median filter(b), Image

obtained with collecting process (c)
Morphological operations were carried out in order to

correct the sections which were seen as if they were
Figure 1. Flow diagram for road defect detection with image processing disconnected on the image and to get rid of some undesired
defects. The image was transformed into binary image in
It is difficult to extract data through the obtained images.
order to perform mathematical morphological operations and
Because the received image may be nois, low contrast etc. The
to achieve the cracked structure in a more accurate way.
road cracks constitute the continuous and darkest region of the
image [10]. The operations required for the detection of the
darkest region of the image are obtained more comfortably
through the gray scale image. Median filter can be generally
used to minimize the angular blurred degradations, soften the
flat region and protect the edges [15]. Along with the
synchronization algorithm, Median filtering can be used to
improve the image contrast with the effects of the impulsive
noise and white noise [12, 16]. Median filter is based on the
recalculation of all pixel values in the image according to the
neighboring pixels. Pre-processing with median filter is often
used for preserving edge while removing noise. For the
operations to be performed, median filter was used because it
gives better results. The crack should be further brought into Figure 3. Binary image
the forefront in order to find out whether there is a crack in the
road images. Operation on rgb image leads to loss of time for Mathematical morphological operations are the commonly
road defect detection and it is more difficult than operation on used methods in the operations of the geometrical structures.
grayscale image. Therefore, it is converted into a gray scale Morphological medians are hierarchically represented in
image for next steps as shown in Fig. 2.(b), the blurred image similar dimensions among spatial areas [17]. Morphological
was obtained by applying the median filter. The cracked operations are frequently exposed to scientific thinking and
structure was brought to the forefront by collecting the blurred researches like morphological profiles, because
image and the gray scale image on which no processing was Morphological operations are known to be useful for the
performed. Both fracture parts in the image obtained were classification of panchromatic and hyperspectral images with
brought to the forefront and noisy sections were reduced in the very high spatial resolution [18]. Erosion, dilation, opening
image obtained after the collecting process as shown in Fig. and closing are the basic morphological operations. The input
2.(c). image and output image are generated in the same dimension.
The pixel values in the processed image calculated by the
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neighboring pixels. The mathematical morphological

The Number of Total Pixels
operations of erosion and dilation were applied in order to
improve the images of the cracks. In erosion, it is performed
by giving the smallest of the neighboring pixels. If the pixel is Without Crack
Y Total Pixel Count <150
equal to ‘0’, it remains as is. In dilation, the biggest of the Area
neighboring pixel values is given. If the pixel is equal to ‘1’, it N
remains as is. The results of morphological operations such as
erosion and dilation operations are facilitated the detection of Superficial
N Solidity Value < 0.8
Crack
thin fractures in the image.
Y
Total Object Count > 15 Y Crocodile Crack
Transverse
Y -45 < Gradient of Crack < 45 N Linear Crack
Crack
Figure 5. The flowchart of decision tree algorithm

Figure 4. Image obtained with Mathematical Morphological Operations The study was carried out on a computer with Intel(R)
Core(TM) i5 CPU, 2.4 GHz, 3 GB RAM and 64-bit operating
system. After the detection and classification algorithm of
Feature extraction process is based on performing operation
road surface defects was coded in Matlab on the computer, for
over pixels through the image. The total number of pixels in
the testing operation of the study carried out, the performance
the image is small because the surfaces without crack are the
of the algorithm was evaluated using the required images
points which are independent of each other. Therefore, the
which were obtained from both web environment and the
images below a defined value were accepted as without cracks.
camera with CMOS 13.0 MP resolution. The images were
In the images with cracks, it was detected that there was a
obtained by being positioned to be about 1 m above the road
superficial crack if the value which was obtained by the
surface and 90° to the surface. Some examples of the study
division of the area of the cracked region to the entire area
carried out and information about how long the operation was
was below a certain value. For crocodile cracking in the
performed are given in Table I.
images, whethet there was crocodile image was detected by
calculating the number of objects because more than one After the image was obtained, it was transformed into gray
objects were obtained. Whether the crack was extended scale image. The gray scale image was dimensioned and
horizontally or vertically was found by detecting its direction. prepared for the mathematical operations to be performed later.
It was accepted horizontal if the obtained value was between - The cracked structure was brought to the forefront after
45 and 45, and it was accepted vertical in the other case. blurring the image by median filter and the addition operation.
As it is described in the proposed method, the image was
The classification process was carried out with decision
transformed into binary image for the mathematical
trees. Decision tree is performed by the hierarchical
morphological operations after obtaining the cracked structure
fragmentation of the object feature space [19]. A Decision
in the image. Mathematical morphological operations were
Tree provides open relationship between input features and
used to improve the obtained image. An attempt to achieve
estimates [20]. Obtained of multiple data in feature extarction
better results was made by defining two different matrices for
has made it’s possible to use decision tree for classification
the morphological operations performed. In the feature
process. So road surface is usually without cracked structure.
extraction operation, the classification was performed by
in the study carried out, whether the road surface is cracked in
calculating the total number of pixels obtained through the
the root node is detected. If the path is faulty, whether there is
image, solidity value, total number of objects and the slope of
a crack in the child node is detected. If the fault is deep crack,
the object for the images consisting of single object. In
whether there is crocodile cracking is detected. If it is not
classification, we found without crack structure because road
crocodile cracking, whether it is linear or transverse cracking
surface is without craked in generally. This stuation gain time
is detected. The operation steps in classification are given in
for find craked structure.
Fig. 5.
Within the context of the application, to which of the five
classes including without crack, superficial, crocodile
cracking, linear cracking and transverse cracking the obtained
image was belonged was detected. It was applied on various
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types of roads. The performance of the algorithm was IV. CONCLUSİONS

evaluated by developing the algorithm developed on Matlab.
The system can also detect the cracks about 1 mm in thickness. The proposed algorithm is a new method used to perform
The success of the system decreases on poor quality roads the detection and classification of the road surface defects by
and in superficial cracks. image processing methods. In the first stage, operations were
performed to bring the cracked structure into the forefront.
The cracked structure has further come to the forefront by the
TABLE I. EXAMPLES OF EXPERIMENTAL RESULTS
mathematical operation performed because it constitutes the
darkest part of the image. The roads were divided into five
classes as without crack, superficial, crocodile cracking, linear
cracking and transverse cracking. For these operations, in
Crocodail
feature extraction, they were subjected to classification
Elapsed
time:
process according to the total number of pixels, solidity value,
0.904033
the number of objects in the image and the continuation angles
of the cracks. The decision trees were used for the
classification process.
The proposed method can also be used for the
Transverse detection of very fine cracks. However, its performance
cracking decreases in the color changes that occur due to various
Elapsed reasons on the roads. The image taken by the camera should
time:
be obtained under appropriate lighting conditions in order to
0.66124
increase the efficiency of the algorithm.
The algorithm developed performs the classification
operation between 0.940736 - 0.632034 sec. It has an average
success rate of 80%. This also indicates that it is a system that
Crocodail
can be used in real life.
Elapsed
time:
0.806747 REFERENCES
[1] P. Aksamit, and M. Szmechta, “Distributed, mobile, social system for
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A Vision Based Detection Approach for Level

Crossing and Switch in Railway
Canan Tastimur1 , Mehmet Karakose2 and Erhan Akin3
1,2,3 Firat University, Departure of Computer Engineering, Elazig, Turkey
{ctastimur1 , mkarakose2 , eakin 3 }@firat.edu.tr
the safest means of transportation. Accidents still often happen

Abstract— Railroad transportation is considered one of the due to driver’s tiredness, bad weather conditions or other
safest means of transportation. Important components of factors. Safety can be enhanced using intelligent systems that
this transportation are tracks, level crossing, turnout, and supply additional information about the exact location of the
so forth. Detection of these component is critical for train, its speed and upcoming obstacles [1]. Manual inspection
realizing centralized supervision, comprehens i ve of rails is slow and contact inspection methods harm the rails ,
evaluation, and accident prevention. Safety of railroad can rail analysis is performed with machine vision via non-contact,
be developed using intelligent systems which suppl y high accuracy and high speed methods [2]. Besides, manual
additional information about the exact location of the train, inspection is expensive and cause to temporarily disable of
its speed and upcoming obstacles. Level crossings in railway [3].
railroad are significant safety points. Because there is the
Railway turnout systems are one of the most critical pieces
risk of collisions between motor vehicles and trains.
Therefore it is necessary first to detection level crossings for of equipment in railway infrastructure. A turnout is used to
detection of obstacles in level crossings. In this paper a transfer vehicles from one track to another track. As an
important part of railway system, the turnouts have a strong
vision based approach is presented that detects to level
crossings and turnouts in railway. In the images of a camera relation to the comfort of the railway vehicles and severe
that observes the area in front of a railroad vehicle the rail turnout defects can lead to accidents [4]. Therefore, it is
important to detect turnout defects timely. Switch is one of the
tracks are detected in real-time. These images are converted
to HSV color format in first step of the proposed method. three outdoor railway equipment [5]. It has many characteristics
Then image normalization and gradient computing are such as large quantity, complex structure, short using life,
limiting the train speed, low driving safety, big investment for
performed. In the next step, the effect of illumination on the
appearance of the image is removed with ratio of gradient maintenance etc. [5]. It is also one of the three majo r
magnitude and gradient the average of the gradients of all weaknesses in rail.
pixels in the image. Then to suppress the effects of pixels To locate railway vehicles exact and reliably in railroad
with large gradients, and noisy pixels, during illuminati on network, collision avoidance systems are required. In this
normalization, weights are calculated. In the next step the systems it is vital to determine the direction a railroad vehicle
computation of the weighted average of V values of the turns at switches. Most of common driver assistant systems
pixels inside the rectangular windows with varied sizes is work on unstructured environments for detection of obstacles
time consuming. Therefore to speed up the computati o n, [6]. These environments include many non-planar surfaces
Integral image which is an elegant technique for efficiently which pose a big challenge for vision systems [6]. Alike
carrying out an averaging operation is applied to result problems exist for railroad environments which frequently
image in the final step. In this way turnout detection is contain complex shapes and surfaces like hills and vegetation
realized. While preprocessing, feature extraction, and along railroad tracks [6]. In railroad transportation, main task of
image processing techniques is used in level crossing train driver is carefully to focus on rail track. Therefore vision
detection process. area of train driver is area between two rails in front of train and
right and left sides of these rails.
Index Terms— Railroad S witch Detection; Level Crossing
Detection; Integral Image; Image Processing; Image Three important component of railway can be expressed as
Normalization rails, switches and level crossings. Detection of switches and
level crossings can be seen as possible accidentals prevention
I. INT RODUCT ION tool and driver assistance system. The developed methods
related with based contactless image processing switch
The importance of railway transportation has been increasing detection are available in literature. Li et al. [7], enhanced line
in the world. As the railway traffic are developing at a detection method for railway switch machine monitoring
dramatically speed all over the world, the safety and comfort of system. This method was based on image processing
the railway system are paid more attention than ever before. It techniques. It was used to Canny edge detection, Zhang Suen
is required that the railways are examined in more detail with Thinning method to reduce the thickness of the edges and
the enhanced railroad technology. Trains are considered one of Probabilistic Hough Transform to detect the lines in this study
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network. Turnouts are not only placed in the infrastructure to

connect different lines, but also to connect parallel tracks of the
same line [13]. So, this process give flexibility to track. The
operational effect reasoned by a case on track is directly related
to the number of crossover in the line [13]. Moreover turnouts
offer a singular point in the track. When compared to plain
track, switches have higher track toughness considering that
Figure. 1. Block diagram of switch detection in literature [7] they are supplied with altered sleepers dimensions and
arrangements, additional rail elements, etc. Besides, according
[7]. This approach significantly improved the performance of to adjacent rail track, the conditions of the wheel-rail interface
the line detection. Block diagram of switch detection in change significantly given the rail geometry interruption of
literature is shown in Fig. 1. switch [13]. Components on the railway line should be
Espino et al. [1] offered a method that detects railway track and monitored at regular intervals to ensure continuous transport
turnout. And this method was not based on an empirical threshold. security [14].
Railway track extraction was not based on an edge detection using the Switches must be kept in good condition in order to
width of the rolling pads. This edge detection scheme was then used guarantee an enough running of the train through switch. If this
as an input to the RANSAC algorithm to determine the model of the situation is not properly maintained, the wheel-rail interface
rails. The turnout detection scheme was based on the Histogram of will be negatively affected. Because of safety and operational
Oriented Gradient (HOG) and Template Matching (TM) [1]. To detect issues, switches are intensively examined and protected. In
railway turnout, Support Vector Machine (SVM) was also used. Qi et spite of high investment on maintenance, switches have a lesser
al. [8] presented a novel railway tracks detection and turnouts existence than plain track be considering that they suffer higher
recognition method by using HOG (Histogram of Oriented Gradien ts) stress. The switch consist of the pair of linked rails. There are a
features. Firstly, this method computes HOG features and defines number of standard layouts or types of turnouts [15]. These
integral images, and then extracts railway tracks by region-gro wing types are Left Hand Turnout, Y Turnout, Diamond Crossing, 3-
algorithm [8]. By recognizing the open direction of switch, this method Way Turnout, Single Slip and Double Slip, as shown in
finds path where the train will travel [8]. following diagrams.
Wohlfeil [9] recommended a vision-based method that The term level crossing is also called are railroad crossing,
provides to determine the direction a railroad vehicle turns at railway crossing, road through railroad, train crossing or grade
switches. A camera observed area in front of railroad vehicle crossing. The level crossing is a crossing on one level of a
and images of this area were used to detect rail tracks in real- railway line by a road, path, or another railroad [16]. Level
time. Switches were detected by tracking rail tracks in these crossings are high risk areas where rail traffic crosses paths with
images. It was shown that the followed track can be determined road and pedestrian traffic at the same level. In many countries,
at branching switches [9]. Kaleli and Akgun [10] offered an level crossings on less important roads and railway lines are
algorithm to extract railroad track area in front of the train by often open or uncontrolled [16]. An example of level crossing
utilizing Dynamic Programming. They utilized dynamic is shown in Fig. 8.
programming to compute the optimal path which gives the
minimum cost to extract the railroad track space. This algorith m
extracted the left and right rails through utilizing dynamic
programming simultaneously.
Figure 2. Left hand turnout type [15] Figure 3. Y turnout type [15]
Espino and Stanciulescu [11] improved a vision based
algorithm which detects railway track and turnout and classifies
turnout. In this algorithm, railway track detection was
performed with edge detection using the width of rolling pads
[11]. Then this edge detection scheme was used as an input to Figure 4. Diamond turnout type [15] Figure 5. 3-Way turnout type [15]
the RANSAC algorithm to determine model of rails knowing
their gauge. Turnout detection process was based on Histogram
of Oriented Gradient (HOG) and Template Matching (TM) in
this study. The turnout classification process was based on
Figure 6. Single slip turnout type [15] Figure 7. Double slip turnout type [15]
Histogram of Oriented Gradient (HOG) in this study [11]. Ross
[12] proposed the utilization of a monofocal video camera to
enhance the localization quality. Ross’s algorithm estimated the
track recursively in camera images.
II. RAILROAD SWIT CHES A ND LEVEL CROSSINGS

Switches, also called turnouts or points, are an important part
of railroad. This component enable trains to orient from one
track to another. Switches are a fundamental part of the railway
infrastructure, given that they enable the creation of a real Figure 8. An example of level crossing [17]
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III. THE PROPOSED M ET HOD

The rail tracks, switches and level crossings are vital
components in railway. To be safety transportation in railroad ,
these components s hould be controlled and be examined
whether defects or not. Determination of these components with
contactless image processing techniques provides additional
information such as exact location of train, its speed and
upcoming obstacles.
A contactless vision based image processing algorithm is
recommended in order to detect rail track, switch and level
crossing. Block diagram of switch detection algorithm is as
shown in Fig. 8. Steps of this algorithm are respectively
acquiring the railway images, determining the region of interest
with ROI segmentation, rail track extraction, and determination
of switch crossing. Acquiring the images, first of these steps, is
process of taking images from the camera that is placed on top
of the train. Determining the region of interest is performed
with ROI segmentation. Region of interest consists of rail track Figure 9. T he flowchart of ROI Segmentation
area in front of train. Using ROI segmentation has led to easier value T. In the next step, a binary image Binary(i,j) is
detection of the track. The next step is rail track extraction . constituted from gradient image Gradient(i,j) by Equation 1.
Result image of this extraction process includes only rail track
and small amount of noisy pixels . Switches in image are 𝑖𝑓 𝐺𝑟𝑎𝑑𝑖𝑒𝑛𝑡 (𝑖, 𝑗) > 𝑇
1
detected in final step. 𝐵𝑖𝑛𝑎𝑟𝑦 (𝑖, 𝑗) = {
0 𝑜𝑡ℎ𝑒𝑟𝑤𝑖𝑠𝑒 (1)
Railway Images
ROI Rail Track Switch In the next step, Hough transform is carried out to binary
Segmentation Extraction Detection image Binary(i,j) in order to detect rail lines. Hough transform
returns lines that have different lengths. Hough transform is
Figure 8. Block diagram of switch detection algorithm very helpful in order to detect straight lines. Lines returned
include their end-point coordinates without line length
A. ROI Segmentation Method information. The length of a straight line between its two end
The flowchart of ROI segmentation algorithm is shown in points (𝑥 1 , 𝑦1 ) and ( 𝑥 2 , 𝑦2 ) is computed by Equation 2.
Fig. 9. To extract region of interest area, we compute to the
𝑙𝑒𝑛𝑔𝑡ℎ = √ ( 𝑥 2 − 𝑥 1 )2 + ( 𝑦2 − 𝑦1 ) 2 (2)
railroad vanishing point p and track width parameter 𝑊𝑚𝑎𝑥
from an input image. Rail tracks are aligned parallel to each This operation specifies many lines including rail track lines.
other and their width decrease linearly in the image from bottom But the lines expect for rail track lines are also available. Thus
to up. Vanishing point term refers to the intersection of the track we extract the rail lines which are the longest lines on the left
lines defined as in Liang [18]. It is firstly performed color and right. Then the longest line on the left and right can be
conversion from RGB to HSV color space in this algorith m. founded by calculating line lengths by Equation 3.
HSV color space consists of 3 channels. These channels are Hue
(H), Saturation (S), and Value (V). Hue channel defines the 𝑦 = 𝑚𝑥 + 𝑐 (3)
dominant wavelength of the color such as green, blue, yellow, After rail track lines are detected by using Hough transform
and etc. And this channel has a value between 0-360 angular. [19, 20], the intersection of two straight rail lines in the image
Saturation channel identifies the vividness of the color. High can be computed. To compute vanishing point, common form
saturation reasons to vivid colors and low saturation ensures of a linear equation can be used. This equation is described in
that the color approaches to shades of gray. While value channel Equation 3. This equation is slope-intercept form, where m is
defines white rate of within color. So it identifies the bright of the slope and c is the y-intercept of the line. The slope equation
color. In this study, ROI segmentation steps are performed on of a line which passes through two different points 𝑃1 (𝑥1 , 𝑦1 )
V channel image. and 𝑃2 (𝑥 2 , 𝑦2 ). This equation is shown in Equation 4.
In gradient computing step, the gradient of input image is 𝑚 = (𝑦2 − 𝑦1 )/(𝑥 2 − 𝑥 1 ) (4)
computed by using Sobel operator and thereby gradient
magnitude image Gradient(i,j) is obtained. Then a given The y intercept of a line which passes through two different
threshold value is applied to the bottom 1/3 of the gradient points 𝑃1 (𝑥 1 , 𝑦1 ) and 𝑃2 (𝑥 2 , 𝑦2 ). This equation is shown in
image due to the fact that this part of the image includes Equation 5.
sufficient information to extract the features. Furthermore rail 𝑐 = (𝑥 2 𝑦1 − 𝑥1 𝑦2 )/(𝑥 2 − 𝑥1 ) (5)
tracks are straight and their gradient magnitudes are high in the
bottom of the image. This threshold process eliminates the The y coordinate of vanishing point p is computed by
points that have lower gradient magnitude from the threshold Equation 6.
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𝑃𝑜𝑖𝑛𝑡 𝑦 = (𝑚1 𝑐2 − 𝑚2 𝑐1 )/(𝑚1 − 𝑚2 ) (6) 1 0 −1

𝐺𝑥 = 𝐼𝑁 × 2 0 −2
In Equation 6, 𝑃𝑜𝑖𝑛𝑡𝑦 is the y coordinate of the intersection 1 0 −1
of lines. 𝑊𝑚𝑎𝑥 can be computed by subtracting x coordinates of
the rail lines at bottom of the image. So region of interest area 1 2 1
in image is detected with 𝑊𝑚𝑎𝑥 and 𝑃𝑜𝑖𝑛𝑡𝑦 obtained. And then 𝐺𝑦 = 𝐼𝑁 × 0 0 0
this area is extracted from image by cropping. So ROI process −1 −2 −1 (8)
facilitates in order to detect of rail track in image.
𝐼𝑁 ( 𝑖, 𝑗) 𝑖𝑓 𝑖 = 0 𝑜𝑟 𝑗 = 0
B. Rail Track Extraction Method 𝐼𝐼 ( 𝑖, 𝑗) = { 𝐼𝐼( 𝑖 − 1, 𝑗) + 𝐼𝐼( 𝑖, 𝑗 − 1)

𝑜𝑡ℎ𝑒𝑟𝑤𝑖𝑠𝑒 (9)
To determine of rail track in ROI area extracted from image, −𝐼𝐼 ( 𝑖 − 1, 𝑗 − 1) + 𝐼𝑁 ( 𝑖, 𝑗)
the flowchart of algorithm used is shown in Fig. 10. The rail
track extraction algorithm consists of a few steps. These steps In the Equation 8, 𝐺𝑥 is x-axis gradient image and 𝐺𝑦 is y-
are respectively HSV color transform [37], V channel axis gradient image. II(i,j) is integral image in the Equation 9.
normalization, gradient image computing, and Integral image
computing. V channel normalization is firstly applied within a C. Switch Detection Method
range between 0 and 255, because RGB-HSV color transform
Tracking algorithm is used to detect whether there are switch
was previously applied to ROI image in an earlier chapter. x
and y axis gradients of image are computed. In the last step crossings in image extracted rail track. To identify connection
points of rail track in the rail image, tracking algorithm is
Integral image is computed and rail track image is extracted.
applied to the rail image. Visual tracking is hot topic in the
And finally rail track is extracted from rail image by applying
some morphological operations . research areas of computer vision and multimedia processing
[22]. In the past decades, there have been diverse visual tracking
algorithms proposed for object tracking in video sequences in
ROI Image tracking conditions such as strong occlusion, complex
background, quick movement, etc. [23, 24].
The object tracking is performed in two stages. First, the
V Channel algorithm must seek in image for a known object of interest.
Gradient Image Integral Image
Normalization The other, the algorithm can search the whole image again for
the object movement [25]. In the field of Unmanned Aerial
Vehicle (UAV) there are a few attempts on tracking landing
Rail Track Image pad. Most of them include of finding an ellipse using
thresholding technique couple with finding connected
Figure 10. T he flowchart of rail track extraction method components [26, 27, 28].
The proposed switch detection algorithm is shown in Fig. 11.
In the normalization step range of pixel values is exchanged.
The connection points of rail track is detected by using tracking
Normalization is expressed as histogram stretching or contrast
algorithm in order to determine switches. Hence, rail object is
stretching. The normalization returns a grayscale image and
followed by analyzing image from the bottom-up and
returns new values within range newMin and newMax with
connection points have been founded. With number and
intensity values between Min and Max. Linear normalization of
location of these points, direction of switch crossing is
grayscale digital image is performed according to followin g
determined. Detected connected points are shown in Fig. 12 as
formulation [21].
an example.
𝑛𝑒𝑤𝑀𝑎𝑥 − 𝑛𝑒𝑤𝑀𝑖𝑛
𝐼𝑁 = (𝐼 − 𝑀𝑖𝑛) × + 𝑛𝑒𝑤𝑀𝑖𝑛
𝑀𝑎𝑥 − 𝑀𝑖𝑛 (7)
Algorithm: Switch Detection
1 G Rail track image
In the Equation 7, 𝐼𝑁 is normalization image, 𝑀𝑖𝑛 is
minimum value of pixels, 𝑀𝑎𝑥 is maximu m value of pixels , 2 T Processed rail track image
𝑛𝑒𝑤𝑀𝑖𝑛 is minimum value of new range values, and 𝑛𝑒𝑤𝑀𝑎𝑥 3 k Connection point array of rail track
is maximu m value of new range values. 4 R, C The number of row and columns
5 For all i such that i<C
Gradient image is calculated using Sobel operator. The
obtained gradient image is used to get Integral image. Gradien t 6 For all j such that j<R
image is obtained with Equation 8 and Integral Image is 7 T (i,j) Being applied Tracking algorithm to G (i,j)
obtained with Equation 9. 8 k Connection points being detected from T (i,j)
9 endFor
10 endFor
Figure 11. T he algorithm of switch detection
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In the next step, edge detection process is made on image.

Prewitt edge detection algorithm is used to this. Prewitt mask is
a discrete differentiation operator. This operator uses two 3×3
masks for calculating approximate derivative values in
horizontal and vertical directions [32, 33]. Prewitt masks are
shown in Fig. 14.
1 0 -1 1 1 1
1 0 -1 0 0 0
Figure 12. Sample representation of connection points in rail track
1 0 -1 -1 -1 -1
D. Level-Crossing Detection Method (a) X direction mask (b) Y direction mask

Figure 14. Prewitt masks [33, 34, 35]
Level crossings that are located between the rails in a vertical
position are horizontal position. To determine level crossings The Prewitt edge detection mask gives equal weightage to
some of image processing techniques such as preprocessing, all pixels when averaging [35]. As seen in the mask the
feature extraction, Hough transform, etc. are applied to image. coefficients in the matrix kernel are all 1 [35]. The key idea is
The pseudo code of level crossing detection algorithm is shown that of central differences. This mask when convolved with an
in Fig. 13. image, it performs a two dimensional spatial gradient [35].
In the first step of level crossing detection algorithm, the After done edge detection step, two different images are
image in RGB color space is convert to XYZ color space. XYZ obtained by applying two filter which 0 and 90 degrees in terms
color space is expressed such that all visible colors can be of size. And difference process is performed by subtracting
defined using only positive values. And the Y value is these images obtained from each other. In this way the level
luminance [29]. Red, green, and blue values are to be unwanted crossing that is horizontal position in the image, has become
for creating a standardized color model that is suitable for all sharper. Then Hough transform is applied to detect line in
devices [29]. Because of this reason XYZ is used a image. The Hough transform is utilized in order to determine
mathematical formula to convert the RGB data. X, Y, and Z the straight lines and parametric curves in an image [36]. The
values can be obtained as shown in the following Equation 10. pseudo code of Hough transform algorithm is shown in Fig. 15.
𝑋 0.41 0.35 0.18 𝑅 1 B ← Input image

|𝑌 | = | 0.21 0.71 0.07| × |𝐺 | (10) 2 W ← The width of B image
3 H ← The height of B image
𝑍 0.01 0.11 0.95 𝐵
4 θ ← theta is the angle
5 i ← 1 , j ← 1, θ ←0
In the next step of level crossing detection algorithm, Y 6 for all i such that i < W
channel image is obtained and this channel image is utilized in 7 for all j such that j < H
later stages of proposed algorithm. The reason for using this 8 if (B(i,j) is an edge)
channel in later stages of the proposed algorithm, is to express 9 for all θ such that θ < θmax
luminance value in image. Then, gradient magnitude and x and 10 r ← x*cos(θ) + y*sin(θ)
y direction gradients of this image are calculated [30, 31, 32]. 11 r ← round (r)
12 H(θ,r) ← H(θ,r) + 1
Algorithm: Level Crossing Detection 13 endfor
14 endif
1 L Level crossing image
15 endfor
2 XYZ_Image Obtained XYZ image 16 endfor
3 Y Obtained Y channel image
4 G Obtained gradient image Figure 15. T he algorithm of Hough transform [36]
5 k T he number of detected line on image
6 R, C T he number of row and columns IV. EXPERIMENT AL RESULT S
7 For all i such that i<C A computer which has Intel (R) Core (TM) i7-2400 M CPU,
8 For all j such that j<R 2.5 GHz, 6.00 GB RAM under Windows seven 64 bits is used
9 XYZ_Image (i,j) Converting L(i,j) from RGB to XYZ to perform the proposed method. The proposed methods are
10 Y(i,j) Getting Y channel image written in Matlab R2014b. In this study, switch and level
11 G(i,j) Applying edge detection method to G(i,j) crossing detection in railway are developed through using
12 k Finding lines in G(i,j) image with Hough transform
contactless image processing techniques.
13 endFor ROI segmentation is made in the proposed algorithm to
14 endFor detect region of interest in the image i.e. rail track area. Images
which are given to proposed ROI method as input and results of
Figure 13. T he algorithm of level crossing detection
the proposed ROI method are respectively shown in Fig. 16.
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Level crossing detection has been made in the railway image.

And edge detection algorithms such as Sobel, Canny, Roberts,
and Prewitt have been tried to detect level crossing. It has been
observed that Prewitt edge detection algorithm has produced
better results than other edge detection algorithms . Images
which are given to proposed level crossing detection method as
input and results of the proposed level crossing detection
method are respectively shown in Fig. 19 and Fig. 20.
Experimental result of level crossing detection algorithm is
shown in Table III.
(a) (b)
Figure 16. (a) Example railway input image (b) output image for
ROI segmentation method
As seen in Fig. 16, with ROI segmentation process railway

image is reduced to rail track image. And thus rail track has
been identified more easily. In addition to this, success rate of
rail track detection has been increased. Experimental result of
ROI segmentation is shown in Table I.
Rail track extraction is performed in the proposed algorithm Figure 19. An railway input image of level crossing detection method
to extract rail track in the image. Rail track is identified in the
image that is taken from ROI segmentation algorithm as an
output image. Input and output images of Rail Track Extractio n
Figure 20. Detected level crossing image
algorithm are given in Fig.17. And in addition to this,
experimental result of Rail Track Extraction algorithm is shown T ABLE III. EXAMPLE RESULT OF LEVEL CROSSING
in Table II.
Elapsed Time Accuracy Rate
Image Size
As seen in Fig. 17, white pixels in the output image have been (Sec) (%)
represented as rail track. Then rail track is extracted by applying 230 x 380 pixels 0.42 87
mathematical morphological operations. After the rail track
detection has been done, switch crossing has been identified V. CONCLUSIONS
with switch detection process. To detect switches elapsed time An algorithm based contactless image processing has been
is 0.08 seconds and success rate of switch detection algorithm suggested to detect switches and level crossings in railway. The
is 87%. switch detection has been performed by using ROI
segmentation, rail track extraction and switch detection
algorithm. With being performed ROI segmentation, both rail
track has been extracted more easily and accurate rate of switch
detection has been increased. So expressed step is very
important for switch detection process. And also image used for
switch detection is free of foreign objects such as trees,
buildings, etc. by applying this step. To perform ROI
segmentation, the image has been converted to HSV color
space. V channel of this image has been used during the
(a) (b) proposed method. With used this channel image, rail object
Figure 17. (a) Input and (b) output images of Rail T rack Extraction
could appear in clearer way and that has facilitated other image
processing steps. Hough transform has been used to detect rail
T ABLE I. EXAMPLE RESULT OF ROI SEGMENT AT ION
track line. The use of Hough transform has played an important
Elapsed Time Accuracy Rate role in determining the rail line. The Integral Image has
Image Siz e
(Sec) (%) simplified rail track detection. In the switch detection step,
280 x 230 pixels 0.24 92
connection points of switches have been determined with
tracking algorithm. The proposed methods have been written in
T ABLE II. EXAMPLE RESULT OF RAIL T RACK EXT RACT ION Matlab 2014b. Avarage elapsed time of the proposed switch
detection method has been 0.40 seconds and accuracy rate of
Elapsed Time Accuracy Rate
Image Siz e the proposed switch detection method has been 89.66 %.
(Sec) (%)
65 x 145 pixels 0.12 90 Thanks to level crossing detection, while train travel it can be
found that whether there are obstacles on level crossing. And
thus train accidents can be prevented. With detection of level
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A Hybrid Approach for Indoor Positioning

Sinem BOZKURT KESER*, Uğur YAYAN+, Ahmet YAZICI*
*
Department of Computer Engineering, Eskisehir Osmangazi University, Eskisehir, Turkiye
{sbozkurt, ayazici}@ogu.edu.tr
+
R&D Department, Inovasyon Muhendislik Ltd. Sti., Eskisehir, Turkiye
ugur.yayan@inovasyonmuhendislik.com
Abstract— Positioning systems have wide range of applications computational cost and also cause deterioration in the
with the developing technology. Global Positioning Systems accuracy of position. For this purpose, the redundant APs are
(GPS) is an efficient solution for outdoor applications but it gives eliminated using feature selection methods. During the online
poor accuracy in indoor environment. And, various methods are phase, the radio map is used to estimate the location of a
proposed in the literature such as geometric-based, WiFi
mobile device using a new RSS measurement using machine
fingerprint-based, etc. In this study, a hybrid approach that uses
both clustering and classification is developed for Wi-Fi learning algorithms such as Decision Tree (DT), K-nearest
fingerprint-based. Information gain based feature selection neighbour (KNN), or Expectation Maximization (EM) etc. [4]
method is used for selection of the most appropriate features In this study, a hybrid approach that combines clustering
from the WiFi fingerprint dataset in the initial step of this and classification algorithms is applied. InfoGain based
approach. Then, Expectation Maximization (EM) algorithm is feature selection is firstly used to removed redundant APs in
applied for clustering purpose. Then, decision tree algorithm is the radio map. Then, EM clustering algorithm is utilized to
used as a classification task for each cluster. Experimental results divide radio map into distinct groups or clusters. Finally, after
indicate that applied algorithms lead to a substantial assigning each test data to correct cluster, DT classier
improvement on localization accuracy.
algorithm is used as a classification task. In the experiments,
DT and applied hybrid approach is compared in terms of
Keywords— WiFi fingerprint-based, indoor positioning, access positioning accuracy. In the experiments, WEKA open source
point selection, clustering, classification, feature selection,
machine learning toolbox and RFKON database [5] are used.
expectation maximization, decision tree, received signal strength,
WLAN. The paper is organized as the follows. Related works in
literature for fingerprinting based indoor positioning is given
I. INTRODUCTION in section 2. Section 3 focuses on applied hybrid approach
Positioning systems are becoming very important with the introducing the algorithms using in this approach.
developing technology. These systems are used to determine Experimental area is given in section 4. Test results for
the position of the mobile device and it is used by location- proposed algorithm are given in section 5. As a result of this
based services for navigating, or tracking etc. They are paper, conclusion part summarizes all written things in the
classified as outdoor and indoor positioning systems. Global paper with a short paragraph including future works in section
Positioning System (GPS) is used for outdoor in our daily life. 6.
But, it cannot be used for indoor environment due to lack of
GPS signals including multipath and signal blockage [1]. II. RELATED WORKS
Therefore, different kinds of indoor positioning systems (IPSs) A large number of studies that adopt fingerprinting as the
have been developed. WiFi-based indoor positioning systems position estimation method are proposed in the literature.
have become an attractive solution in indoor area since WiFi Fingerprint-based positioning algorithms can be categorized
access points (APs) can be found widely in indoor buildings into two groups: deterministic algorithms [2, 6-8] and
such as airports, shopping malls, or office buildings, etc. probabilistic algorithms [9-13].
WiFi-based indoor positioning is an inexpensive solution Deterministic algorithms are used to find the minimum
because they have not need any additional installation cost [2]. signal distance between the newly measured RSS vector and
Fingerprinting technique is the most accurate technique that pre-measured fingerprints which are vectors of RSSs from
is based on Received Signal Strength (RSS) in WiFi-based detectable APs in the region (radio map). Each fingerprint in
indoor positioning systems [3]. In this technique, the RSS the radio map is associated with a known RP. In [2], KNN is
obtained from WiFi APs is used to determine the position of a used to estimate the position of a mobile WiFi-enabled device.
mobile device. It contains two phases named as offline and A feature scaling based KNN (FS-kNN) algorithm is proposed
online phases. In offline phase, RSS values are collected at in [6] to improve localization accuracy. In FS-kNN, different
known reference points (RPs) in the experimental area and weights are assigned to signal differences at different RSS
then are used to construct radio map. The dimension of the levels when estimating the similarity between two RSS vector.
radio map is grown while including all the detectable APs in Artificial neural network (ANN) classifier is utilized to
the region. But all these APs are not contributed positively to classify link quality patterns for each location in [7]. In [8],
the accuracy of position. Therefore, the redundant APs will be DT algorithm is used as the classification algorithm.
removed from the radio map, since they increase the
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In probabilistic algorithms, the probability of the mobile of expectation iteratively. In this study, EM algorithm in
device position to be each reference point is calculated and WEKA is used for clustering purpose.
then maximum probability is returned as a mobile device
position. In [9], particle filter, a Bayesian based method, is C. Decision Tree Classifier Algorithm
employed. Observed signal strengths are obtained using Decision Tree predicts an output by tracking the decisions
Bayesian inference in [10] and the estimated position is in the tree from the root node down to a leaf node according to
determined as the highest probability in the resulting the outcome of the tests along the path [19]. In this study,
distribution. An extended Kalman filter based approach is C4.5 that is a benchmark tree (J48 in WEKA) is applied in the
presented in [11], where the intra cell position of a cellular classification step.
device is estimated using RSS readings from base stations.
This estimate, movement pattern data and velocity vectors are IV. EXPERIMENT
combined in order to predict the next cell crossing. In [12], a Data were collected to construct our database for Eskisehir
Bayesian filter based approach is proposed. In this study, a Osmangazi University Teknopark. It has two floors of area of
posterior probability distribution over the target’s location is 800 . This area was broken into grid squares (each of size
obtained by inverting Bayesian belief network. In [13], subset 2.4 × 2.4 ). We collect the data from the first floor of
of the strongest APs is considered instead of all APs and Teknopark and the center of each grid square was noted as
target location is predicted using Bayesian estimate. seen in Fig. 1.
There are also various algorithms are proposed in the
literature to reduce the computational cost by eliminating
redundant APs in the radio map. In [14], according to strength
of the signal a weight is assigned to each AP and then the APs
with minimum weights are dropped from each fingerprint.
Various AP significance measures such as average RSS,
entropy, variance, maximum RSS are examined in [15]. Fast
Orthogonal Search (FOS) and modified FOS (mFOS)
algorithms are implemented in [16] in order to reduce the
dimensionality of the radio map in an IPS.
III. APPLIED HYBRID APPROACH

In this study, a hybrid approach that combines clustering
and classification algorithms is applied. Information gain Fig. 1 Experimental environment of floor 1.
based feature selection is firstly used to remove redundant
APs in the radio map. Then, EM clustering algorithm is As seen in Fig. 1, red stars represent the reference points
utilized to divide radio map into distinct groups or clusters. that are used for collecting sensor values from the APs and red
Finally, after assigning each test data to correct cluster, DT squares represent sensor nodes in the test area. The database
classier algorithm is used as a classification task. These and the experimental area are briefly described in [5]. There
algorithms are described in the following subsections. are 5 sensor nodes and 20 reference points in the original
RFKON database. And, WiFi RSS values of 80 are obtained
A. InfoGain-based Feature Selection from per reference point (RP). There are 1600 instances in the
Information gain is the most commonly used feature train data and 1600 instances in the test data. In experiments,
selection method in the machine learning field that is based on we use mobile-based WiFi RFKON database that is obtained
the entropy [16]. Information gain of each feature is calculated using Sony Xperia mobile device.
using Eq. (1).
V. EXPERIMENTAL RESULTS
( )=− ( ) log( ) + ( ) ( \ ) log ( \ ) (1)
, ̅ , ̅ , ̅ In experiments, we first apply “InfoGainAttributeEval”
where f is the feature and c is the class. function in WEKA to determine the number of most important
APs using both train and test data with Decision Tree
B. Expectation Maximization(EM) Clustering Algorithm classifier. These results are given in Fig. 2.
Clustering algorithms assign similar data to same cluster
without the prior knowledge about the data’s characteristics.
Since the data’s labels’ are not known, these algorithms are
also called as unsupervised learning algorithms [17]. EM
algorithm is a clustering algorithm that assigns data to
particular clusters by computing one or more probability
distributions. It then maximizes the overall probability of the
data belonging to a certain cluster [18]. EM algorithm consists
of two steps: determination of expectation and maximization
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reduced the total computational time of classification process

while increasing the accuracy results. The comparison of the
applied hybrid algorithm with DT algorithm is given in Table
II.
TABLE III
COMPARISON OF ACCURACY RESULTS
Algorithm Number of APs Accuracy Results (%)

DT 19 42.25
DT 8 42.375
Hybrid
Approach 8 66.42
Fig. 2 Number of APs determination using both train and test database with (EM-DT)
InfoGainAttributeEval.
The accuracy result of DT classifier using all APs in the
There are 19 APs in the database before applying Information database is 42.25. However, we obtain nearly same result
gain based feature selection algorithm. As seen in Fig. 2, we (42.375) when we select 8 APs after applying Information
obtain best accuracy results after selecting 8 APs using gain based feature selection algorithm. As a result of Table II,
Information gain based feature selection algorithm. This is an the hybrid approach increases the accuracy (66.42) about 25
important improvement of reducing computational time. percent using 8 APs. To demonstrate the applied hybrid
In the clustering phase, EM algorithm is applied. In algorithm improvement on the decision tree size, Table III is
experiment, different number of clusters are tried to select the constructed.
best number of clusters. 5 clusters give best accuracy results
among the attempted cluster numbers. The RPs are numbered TABLE IIIII
as seen in Fig. 3 to illustrate the cluster assignments clearly. DECISION TREE SIZE
Train Database Number of Leaves Size of the Tree

All APs 34 67
8 APs 35 69
Cluster0 3 5
Cluster1 8 15
Cluster2 6 11
Cluster3 2 3
Cluster4 5 9
As seen in Table III, when decreasing the number of APSs

to 8 after applying Information gain based feature selection
algorithm, number of leaves and size of the tree are increased.
So, feature selection does not make an improvement on the
tree size solely. Since, same instances are grouped together
Fig. 3 The representation of each reference point. when applying EM clustering algorithm, the size of the
decision tree is dramatically reduced. This causes lower
Each RP that illustrated with numbers in Fig. 3 is assigned to computational time in the classification step in addition to
a cluster using EM algorithm as seen in Table I. improvement on the accuracy results as seen in Table II.
TABLE I
EM CLUSTERING ASSIGNMENTS VI. CONCLUSIONS
In this study, a hybrid approach that uses both clustering
Cluster Name RP number
and classification is applied in WiFi fingerprint-based method.
Cluster0 7, 8, 9, 10
Cluster1 19, 20
Redundant APs are eliminated from the WiFi fingerprint
Cluster2 11, 12, 13 dataset using Information gain based feature selection method
Cluster3 14, 15, 16, 17, 18 in the initial step of this hybrid approach. In the clustering step,
Cluster4 1, 2, 3, 4, 5, 6 Expectation Maximization (EM) algorithm is applied. In the
last step named as classification step, decision tree models are
Finally, DT classifier is applied for each cluster. In this step, constructed for each cluster. Experimental results indicate that
cluster specific DT models are constructed. This step is applied algorithms lead to a substantial improvement on
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localization accuracy. In addition to this, by the help of the [17] A. G.Karegowda, A. S. Manjunath, and M. A. Jayaram, “ Comparative
study of attribute selection using gain ratio and correlation based
clustering phase of the applied approach and constructing
feature selection”, International Journal of Information Technology and
cluster specific DT models reduce the size of the tree Knowledge Management, vol. 2,pp. 271-277, Dec. 2010.
significantly. [18] I.H. Witten, E Frank, MA Hall. Data Mining: Practical Machine
In a future work, different clustering and classification Learning Tools and Techniques: Practical Machine Learning Tools and
Techniques. Elsevier, 2011.
algorithms will be evaluated in a hybrid approach to get better
[19] L. Rokach, O. Maimon, Decision Trees. In The Data Mining and
results in terms of accuracy and computational time. Knowledge Discovery Handbook. Springer, pp. 165–192, 2005.
ACKNOWLEDGMENT
This work is supported by The Scientific and Technological
Research Council of Turkey (TUBITAK) under grant number
1130024.
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A New Real Time Control Approach for Time

Efficiency in Group Elevator Control System
Mehmet BAYGIN*, Dilbirin ORHAN+, Orhan YAMAN*, Mehmet KARAKOSE*
*
Computer Engineering Department, Firat University
Elazig, Turkey
{mbaygin, orhanyaman, mkarakose}@firat.edu.tr
+
Dimuh Software, Firat Technopark
Elazig, Turkey
dilbirinorhan47@gmail.com
Abstract— In parallel with the increase seen in the number of a system of 16 floors and 4 cabins was preferred. Average
high-rise buildings, vertical transport systems are progressing. waiting period, long waiting percent and process time was
One of the results of this progress is the emergence of group taken into account in the study. Proposed approach overcame
elevator systems and their primary aim is to transport its the deficiencies of particle batch optimization algorithm and
passengers to the target floor the fastest way possible. Studies on
offered a new solution for timing group elevator systems [9].
this field are generally simulation and optimization based and
they have an aim of minimizing the passengers’ waiting and In another study on group elevator systems, three different
traveling periods. In this study, a real time group elevator optimization techniques were used for process of timing.
experimental setup was created and an optimization algorithm Genetic algorithm, artificial immune algorithm and DNA
was applied on the setup. Genetic algorithm was chosen as algorithm were used in this study and an estimation algorithm
optimization algorithm and this method was tested in an elevator was proposed. In simulation processes, a 20 floor and 5 cabin
prototype of 10 floors and 5 cabins. The results obtained revealed system was considered and approximately 500 directional
efficiency, performance and accuracy of proposed method. calls were created. In the system in which all methods are
tested in line with these calls, a decrease in people’s average
Keywords— group elevator systems, optimization, genetic waiting periods was observed [10]. In another study for
algorithm, average waiting time, real time control average waiting time, a simulation environment consisting of
16 floors and 4 floors was created. In this study, a numeric
keypad was used for people to enter their destination floors.
I. INTRODUCTION Therefore target floors could be known beforehand. In
Elevator systems are of utmost importance in our daily addition to this, an artificial immune optimization algorithm
lives. These systems are used in nearly all fields and they was used in the study in order to for the cabins to detect the
provide ease especially in vertical transport [1, 2]. In addition optimal way [11]. In another study on the same field, a fuzzy
to this, when we take rising number of high-rise buildings of group elevator control algorithm was proposed. In this study,
today’s world into account, importance of elevator systems there are five different control algorithms based on FPGA. An
increases [3]. example of block diagram summarizing this structure which
In parallel with increasing number of floors in buildings, consists of four different modules is as seen in Fig. 1 [12].
the population in the buildings also increases and single cabin
elevator systems fail to meet the needs of this population [4-6].
Traffic Module Fuzzy Module
Group elevator systems, which have emerged for satisfying
this needs, are seen in many buildings and are in active use Traffic Current Suitable
today. In general sense, group elevator systems are active Characteristics Traffic Elevator
usage of two or more elevator systems in the same building.
Main aim of these systems is to ensure that people’s average Measure Module Mapping Module
waiting and traveling period is reduced [5-7].
In one of the studies in line with these objectives, group
elevator systems are optimized using genetic algorithms. In Suitable Algorithm
the study, a system of 20 floors and 4 cabins were created and Calls Status of Elevator Selection
Each
reducing people’s average waiting and traveling period is Elevator
aimed. Directional calls were used and these calls were
previously uploaded into the system. Obtained simulation Fig. 1 The proposed approach in literature [12]
results show efficiency of the proposed approach [8]. In In another study which proposes a different point of view to
another study on the same subject, hybrid optimization analyse group elevators, the aim was to create double cabin
technique was proposed. In the study in which particle batch elevator systems. In this approach, which was applied on
optimization and simulated annealing algorithms are used and group elevator systems, genetic network programming
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228
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technique was used and it was revealed that the proposed II. GENETIC ALGORITHM FOR ELEVATOR CONTROL SYSTEM
approach diminished waiting and traveling periods in different Control and optimization of a group elevator system is an
building traffics. The block diagram to summarize the system important issue. Using optimization techniques in these
used in this study is given in Fig. 2 [13]. Another issue to take systems for usage of elevator cabins ideally and for the
into account in group elevator systems is energy efficiency. In elevator to provide its services to the people is a must. In the
another study, in addition to minimizing cabins’ average study performed with this objective, genetic algorithm was
waiting and traveling times, an adaptive control system with used and minimizing people’s waiting period was aimed.
the aim of diminishing energy use was proposed. In this Genetic algorithm is an optimization technique which is
approach, genetic algorithm, clonal selection algorithm, DNA commonly used in literature and applied in many fields [15,
algorithm and estimating algorithm was used. Besides, in this 16]. Pseudo code of this approach which aims best ideal
system, a fuzzy structure was created to make effective use of solution in big solution space is shown step by step in Fig. 4.
these algorithms. The proposed system calculates average
waiting and traveling periods and energy amounts to be used
by the cabins to detect the optimal solution. An example block Genetic Algorithm Pseudo Code
diagram of this paper is presented in Fig. 3 [14]. Initial population of randomly generated sequences of
Step 1:
In this study, a genetic algorithm was used for time binary numbers
efficiency optimization of group elevator systems. Within the
scope of the study, an experimental setup of 10 floors and 5 Step 2: A certain amount of element is selected for the solution
cabins was established and optimization algorithm was tested
on this system. On the established experimental setup, people Step 3: Crossing is applied to new population
could enter their destination floors thanks to numeric keypad.
Directional floor call keys were also used. Also, optimization
Step 4: Mutation process is applied for the same population
algorithm was applied on both call types and system
behaviour was studied. In line with these objectives, details of
the optimization algorithm was given in part two. In part three, Step 5: Affinity values of elements of these populations are found
work patterns of the elevator control system was referred to
2. step is repeated until it reaches the maximum number of
and in part four, experimental results were included. In the Step 6:
transactions
fifth and the last parts of the study, results were presented.
Fig. 4 Genetic algorithm pseudo code
Top
Floors One of the most important difficulties encountered in
organization methods is specifying objective function.
Objective function, which is of utmost importance in problem
solving, is seen as in Equation 1 for group elevator system.
(1)
Base
Floors
Fig. 2 Proposed method in literature [13]
• Generate hall calls and positions

• Generate cars positions and directions
Determine traffic times Genetic algorithms are one of the most frequently used
• Up-peak, Down-peak, Inter-floor optimization techniques. One of the principal reasons for this
is that genetic algorithms are able to offer really fast and
Optimization Module effective solutions in big solution spaces. Therefore, this
• AIS, GA, DNA, EA method was chosen for the study and used for control and
optimization of group elevators.
Fuzzy Module
Optimal Path
Fig. 3 The proposed approach in literature [14]
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III. PROPOSED ELEVATOR CONTROL APPROACH system with the outer world is established with an RS-232
In order to put the proposed approach into practice, an port via serial communication systems. Data is both
elevator prototype was developed which worked in line with transferred and read through this network. Various data polls
the real elevators. This system has 10 floors and 5 cabins. Dial were created on main computer line for measuring
calls are designed both as directional and as in a way which performance of the system and these calls are transferred to
destination floor can be entered. For this purpose, a numeric the processor controlling the elevator. Therefore performance
keypad is integrated onto the system. An example block tests could be made and statistical information could be
diagram on the designed system can be seen in Fig. 5. obtained.
On the system, the tests are made through three different
ways. These are elevator control approach using classical
directional floor call, elevator control approach based on
10cm
1
2,5cm
7cm directional floor call based on optimization and elevator

control approach using numeric keypad. The system receives
15cm
calls from call pool, floor and cabin numbers, cabin position
17cm
1 2 3
4 5 6
7 8 9
* 0 #
and direction information as an entry. Then it applies the

chosen one of the 3 proposed methods onto the system. When
this frame is considered, diagram for the proposed approach is
1 2 3
9cm 13cm
4
7
*
5
8
0
6
9
#
13cm 13cm 9cm as seen in Fig. 6. In addition to this, a block diagram to
summarize the way the system works is shown in Fig. 7.
Randomly
Directions
Positions
Numbers
1 2 3
4 5 6
7 8
Floor,
9
Cabin
Cabin
Cabin
0 #
Calls
*
1 2 3
4 5 6
7 8 9
* 0 #
1 2 3
Genetic Algorithm
180cm
4 5 6
7 8 9
* 0 #
Optimal Path
1 2 3
4 5 6
7 8 9
* 0 #
Microcontroller
1 2 3
Average Journey Average Waiting
Time Time
4 5 6
7 8 9
* 0 #
PC
1 2 3
4 5 6
7 8 9
* 0 #
Fig. 6 The flowchart of proposed approach
1 2 3
4 5 6
1 2 3
7 8 9
Microcontroler
* 0 #
4 5 6
1 2 3
4 5 6
7 8 9
7 8 9
* 0 #
Elevator
Control
110cm * 0 #
Fig. 5 Designed group elevator system
In the designed system there are seven segment displays on PC

each cabin and these displays show the floor the cabin is on. (Reporting)
There is also a 2x16 LCD screen placed on top of the system.
In this group elevator system of 10 floors and 5 cabins, Can Fig. 7 The system with numerical keypad
Bus communication standard is used. Communication of the
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230
_____________________________________________________________________________________________________________

In this study, group elevator systems’ control and
optimization were performed. For this purpose, an elevator
system of 10 floors and 5 cabins was established and
optimization of incoming floor calls was performed using
genetic algorithms. With this optimization process,
minimizing people’s waiting period was aimed. Three
different situations were taken into account in tests. First of
them is the system using classical methods and directional
buttons. In this application, the system works in line with the
logic of closest floor. In other words, the cabin which stands
closest to the floor from which the call is made is transferred Fig. 9 The cabins, display and numerical keypad
to the floor. In the second scenario, optimization of these
directional calls is managed with genetic algorithms. A call There are basically three different traffic periods in elevator
pool of random directions and these calls are optimized with systems. These are respectively up-peak, down-peak and
genetic algorithm. In the third and last scenario, a numeric interfloor. Up-peak is the period which is encountered usually
keypad integrated onto elevator prototype was used. This in the mornings, when people are keen to travel upstairs.
allowed people to enter the destination floor they want to be Down-peak is the period encountered at the end of the shift,
on. The most important advantage of this method is that the when people are keen to travel downstairs. Interfloor traffic is
capacity to know of destination floors beforehand. An image the type of traffic encountered between floors during the day.
of experimental setup established within this framework is Interfloor traffic was taken into account in this study. In calls
shown in Fig. 8 and 9. with random directions created in line with this situation, the
number of downward and upward calls are approximately the
same. Details of the building and the cabins are given on
Table 1. In addition, starting locations of cabins are kept fixed
and cabins’ location and direction information is given on
Table 2.
TABLE I
BUILDING AND ELEVATOR FEATURES
Element Values
Number of floors 10
Number of elevators 5
Floor height (cm) 17
Speed (cm/s) 5
Number of calls 500
Number of up direction calls 289
Number of down direction calls 211
TABLE III
FLOOR AND DIRECTION OF CABINS
Cabin No Floor Directions

1 5 Up
2 9 Down
3 1 Up
4 8 Down
5 6 Up
As reported in the very beginning of the report, three

different applications were developed on the system. Random
calls created in the beginning phase are tested and system
behavior was examined. In this process, average waiting
Fig. 8 The experimental setup periods were consistently measured and a graphic indicating
the results of this change can be seen in Fig. 10.
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Average Waiting Time Changing ACKNOWLEDGEMENT

24
With Optimization This study was supported under the Teknogirisim project of
22 With Keypad+Optimization the Ministry of Science, Industry and Technology. Project No:
Classical Method
0648.TGSD.2015.
Average Waiting Time (s)
20
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18
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“Distributed approach to group control of elevator systems using fuzzy
V. CONCLUSIONS logic and FPGA implementation of dispatching algorithms,”
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this new approach, a 20% more efficiency could be get and a 5th International Conference on Manufacturing Engineering and
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which only optimization techniques were used.
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DEEP BELIEF NETWORK BASED BRAIN

ACTIVITY CLASSIFICATION USING EEG
FROM SLOW CORTICAL POTENTIALS IN
STROKE
Gokhan ALTAN *, Yakup KUTLU +, Novruz ALLAHVERDI#
*
Mustafa Kemal University, Hatay, TURKEY
gokhan_altan@hotmail.com
+
Iskenderun Technical University, Hatay, TURKEY
yakupkutlu@gmail.com
#
KTO Karatay University, Konya, TURKEY
novruz.allahverdi@karatay.edu.tr
Abstract— An electroencephalogram (EEG) is an electrical patterns using the peaks and valleys on the EEG for all age
activity which is recorded from the scalp over the sensorimotor groups. Seizure disorders (such as epilepsy), a head injury,
cortex during vigilance or sleeping conditions of subjects. It can encephalitis, a brain tumour, encephalopathy, memory
be used to detect potential problems associated with brain problems, sleep disorders, stroke, dementia, and etc. are the
disorders. The aim of this study is assessing the clinical
diagnosable brain disorders using an EEG. The normal
usefulness of EEG which is recorded from slow cortical
potentials (SCP) training in stroke patients using Deep belief electrical activity of the brain is disrupted in many
network (DBN) which has a greedy layer wise training using neurological disorders and brain potentials [2]. The kind of the
Restricted Boltzmann Machines based unsupervised weight and disorder can be stated by evaluating the shape and the interval
bias evaluation and neural network based supervised training. of the disruptions on the EEG. EEG carries characteristic
EEGs are recorded during eight SCP neurofeedback sessions features that are helpful in the early diagnosis and early
from two stroke patients with a sampling rate of 256 Hz. All treatment processes of psycho-physiological and neurological
EEGs are filtered with a low pass filter. Hilbert-Huang disorders [11].
Transform is applied to the trails and various numbers of
Instinct Mode Functions (IMFs) are obtained. High order
statistics and standard statistics are extracted from IMFs to
create the dataset. The proposed DBN-based brain activity
classification has discriminated positivity and negativity tasks in
stroke patients and has achieved high rates of 90.30%, 96.58%,
and 91.15%, for sensitivity, selectivity, and accuracy,
respectively.
Keywords— Deep Belief Networks, SCP, Slow Cortical potentials,

Hilbert-Huang Transform, EEG
I. INTRODUCTION
An electroencephalogram (EEG) is a biomedical signal that
records the electrical activity in the brain [1]. The neurons Fig. 1 EEG electrode placements on head
connect to each other by the dendrites and axons in the brain.
The communication between the neurons is provided by the Slow cortical potential (SCP) is gradual changes in the
electrical impulses over the dendrites and axons. The cortical layer and the regulation of cortical excitability in
electrical activity in the brain can be recorded and monitored cortical neuronal networks [12]. The SCP has a duration that
placing the electrodes to specific areas on the head [2]. The varies between 300ms and 10s [13]. The SCP is a low-
placement of the electrodes and the channel names are seen in frequency EEG component and a non-invasive method. The
Figure 1. The EEG is used in several areas such as providing electrodes are placed on the top center of the head and
the interaction between human and machine [3], [4], conditioned responses method used in giving feedback. Due to
determining the response of the brain to the visual and these characteristics, the SCP may include the contingent
auditory signals [5], [6], allowing the diagnosis of psycho- negative variation, readiness potential, movement-related
physiological and neurological disorders [7]–[11], and helping potentials, P300 and N400 potentials [1]. Negative SCP is
doctors to make a quick assessment of normal and abnormal assumed to depolarization of cortical neuronal cells and
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positive SCP shows neuronal complication [13]. The SCP has In this section, the SCP training database, the pre-
been correlated with a large number of cognitive processes in processing of the database, Hilbert-Huang Transform, and
a systematic and topographically ways and has been statistical feature extraction methods would be explained.
determinately utilized in psychophysiological experiments to
dissociate cognitive functions and motor performance of the A. Database
brain [14], [15]. Ergenoglu et al. worked on determining the The EEG is an electrical activity which is recorded from
relationship between SCP and P300 amplitude [12], Khader et the scalp over the sensorimotor cortex during vigilance or
al. analysed the relations between the SCP and Blood-oxygen- sleeping conditions of subjects. It can be used to detect
level dependent (BOLD) signal changes [16], Devrim et al. potential problems associated with brain disorders. EEG data
investigated the detection of visual stimuli at sensory were recorded during eight SCP neurofeedback sessions from
threshold using the SCP [6], Kotchoubey et al. used the SCP two chronic stroke patients [21]. Neurofeedback sessions were
training in the research on epilepsy with analysis of conducted with an approximate interval of one week between
influencing factors [7], [8]. Strehl et al. used functional sessions.
magnetic resonance imaging and the BOLD signal in the SCP The EEG was recorded with a sampling rate of 256 Hz
to reduce epileptic seizure frequency [17], Siniatchkin et al. from channel Cz using a Nexus-10 MKII DC amplifier
evaluated the analysis of migraine [9], Schneider et al. (Mindmedia, Herten, The Netherlands). Each neurofeedback
determined the efficiency of the SCP training in psychiatric session included trials in which cortical positivity had to be
patients with alcohol dependency[10], Cosch et al. associated increased and trials in which cortical negativity had to be
the SCP with the event-related potentials such as object, increased. The durational presentation of the trials is 8s and is
spatial, and verbal information [4], Hinterberger et al. seen in Figure 2. The feedback includes a circle with the
suggested a robust and steady communication method different size and colour related with the subject set
between computer and brain for amyotrophic lateral sclerosis successfully to baseline activity. The brain activities are
patients using the SCP and studied on developing a tough labelled successful as positivity, and success indicated to the
translation device [3], Pham et al. developed an auditory participant as negativity, if the trials are evaluated according
brain-computer stimuli for paralysed patients using the SCP to the task correctly, or not, respectively.
[5].
Stroke is a brain disorder that causes when the blood supply Baseline (0-2s) Active Phase (2s-8s)
of brain cells is either cut off or reduced and the cells began to
die. The abilities controlled by dead cells such as memory and
muscle control are lost. The disorder affects the EEG and can Fig. 2 Timeline of a trial from neurofeedback session
be declared from the SCP and more potential.
Deep Learning (DL) is an invasive, effective and machine All EEGs were filtered with a low pass filter (10 Hz). The
learning algorithm that has a growing popularity and attempts negativity trials in SCP training sessions more frequent than
to model high-level abstractions [18]. In recent years, the DL the positivity trials. A total number of 8000 trials (500 trials
is a new method of Machine Learning researches, which has for each session and each patient) with 2400 data points were
been recognized with image processing, character recognition, segmented from 2 of EEGs. Distribution of the trials
speech recognition, frequently. Convolutional Neural according to positivity and negativity situation in the database
Networks, Stacked Auto-encoders, Deep Boltzmann Machines is given in Table I.
and Deep Belief Networks (DBN) are the most effective DL TABLE I
algorithms [19]. The biggest advantage of the DL is STIMULI TRIAL DISTRIBUTION OF EACH STROKE PATIENT
representing handcrafted features with the efficient algorithms
for unsupervised or supervised feature learning and # #
Sessions Negativity Positivity
hierarchical feature extraction [20]. In this study, the DBN Trials Trials
algorithm is utilized as the classifier. The DBN is a robust and Session 1-3 250 250
simple type of the DL algorithms which is comprised of both Session 4-8 375 125
supervised and unsupervised learning stages. The Total 2625 1375
experimental results that are obtained with the same number
of hidden units and same structure of the DBN are compared
with artificial neural network (ANN). B. Hilbert-Huang Transform
In the following section, the SCP training database, Hilbert- Hilbert-Huang Transform is a method that has a frequently
Huang Transform (HHT), the HHT-based statistical feature use for feature extraction, filtering the signals, and similar
extraction processes, and the DBN classifier are described in processes on nonlinear and non-stationary signals. The
detail. The proposed SCP training classification system is growing trend on analysis of non-stationary and non-linear has
explained. The experimental results that are obtained using the led to opportunities of the analysis to expand the technical
DBN classifier are presented. requirements [22]. The HHT is one of the adaptive and
extensive methods that can be considered as relatively recent.
II. MATERIAL AND METHODS
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The HHT has been applied to lots of fields such as biomedical 2) Hilbert Transform: The foremost characteristic feature
signal processing and geophysics [23]. of the non-linear signals is the internal wave frequency
Due to the flexibility of the stoppage criteria of the HHT modulation that shows the instantaneous frequency oscillation
algorithm, mathematical description of the HHT algorithm in a single period. The signal characteristics are indicated
could not be defined precisely and clearly [24]. The HHT has straightforwardly by the instantaneous frequency distribution.
a two-step analysis. The first step is Empirical Mode The HT is a decomposition which determines the amplitude-
Decomposition (EMD), and the second step is Hilbert frequency-time distribution of the signal [23], [26]. The HT of
Transform (HT), respectively. The EMD is pre-treatment of a signal is defined as:
the original data and extracts n number of Intrinsic Mode
Functions (IMF) and a residual signal. Each IMF is a signal ( )
which is based on a frequency modulation of the original data.
( )=ℜ ( )
The HT performs to obtain instantaneous frequency and
amplitude values of each IMFs in the time-frequency domain
[11], [24]. The HHT can perform more precise, distinctive and indicates the amplitude function of the signal,
clear results than other methods in the presentation of time- represents for the instantaneous frequency function. The
frequency-energy for non-stationary and nonlinear signals frequency-time distribution of the amplitude is called as
[25]. Hilbert Spectrum and is shown as ( , ).
1) Empirical Mode Decomposition: The EMD is a flexible ℎ( ) = ( , )
analysis method which is used for extracting characteristic
information obtained from non-linear and non-stationary The above equations show each IMF is amplitude and
processes. The most important characteristic of the EMD that frequency modulated signals. The EMD proves its impact by
is separated from other transformation algorithms is producing analysing the non-stationary signals in the variable amplitude
self-distinct oscillation of the original data by assuming that and frequency scales.
the signal consists of self-oscillations modes at the different
frequency bands [26]. Each oscillation is symmetrical relative C. Deep Belief Networks
to local mean of local extrema. Each different oscillation in The DBN is a generative DL algorithm that consists of both
the signal is indicated by an IMF. The IMFs are extracted unsupervised training and supervised training phases. The
from the signal by following two basic conditions[24], [25]: most important feature of the DBN is the idea of pre-training
 The number of the local extremas and zero-crossing the weights, biases, and the other parameters using an
must be either same or difference must be equal to one unsupervised training algorithm such as Sparse Autoencoder
 The mean of the upper and lower envelopes which are or Restricted Boltzmann Machines (RBM) [18], [27]. In this
obtained by the combination of the local maximum and study, the RBM is selected as pre-training algorithm in
local minimum must be equal at any t time unsupervised training phase. The RBM is a stochastic ANN
The stated IMF extraction conditions are used for type that calculates the weights of the units according to the
preventing negative frequency and keeping the instantaneous probability distribution over a set of inputs. The stacking of
frequency of narrow-band signals in the frequency band while the RBMs can build up the DBN with gradient descent
calculating the instantaneous frequency information [11]. algorithm or contrastive divergence algorithms [28]. In the
The local mean is calculated taking the average of the RBM, visible units that represent input data are connected to
lower envelope defined by local minimums and the upper hidden units that learn to represent features using undirected
envelope defined by local maximums. The local mean is weighted connections [19], [28].Considering the RBM with
subtracted from the original signal and the new form of the input layer activations (for visible units) and hidden layer
signal is controlled verifying if it is an IMF. If the new form activations ℎ (hidden units), bias of the visible unit , bias of
of the signal does not satisfy the IMF extraction conditions, the hidden unit :
the local mean is recalculated using the local maximums and
local minimums of new signal. This calculation is performed ( , ℎ) = −ℎ − − ℎ
until an IMF is extracted. The residual signal is obtained
subtracting the IMFs from last form of the residual signal. ( , )
When the residual signal is a monotonic function or the ( , ℎ) = ( , )
∑
residual signal has only one local extreme, it is not possible to
extract another IMF and the EMD process ends [11], [23], ( , ℎ) indicates the joint distribution of the RBM and
[24]. ( ) represents for the last residual signal, ( ) indicates ( , ℎ) represents for the energy function of the distribution.
the original signal, and is the number of the IMF. The DBN used latent variables in the deepest layer easy to
understand the deepest features using at least two hidden
( )= ( )+ ( ) layers in network. Each adjacent two layers have a connection
to evaluate the greedily layer-wise pre-training [18]. The
parameters such as the weights and the biases obtained in
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unsupervised learning phase are unfolded to a neural network and the importance of the SCP training and classification of
structure. The pre-trained parameters are updated and fine- the brain activities from the SCP training such as negativity
tuned in supervising training phase. The whole network can be trials or positivity trials in stroke patients.
optimized by gradient descent algorithm in this learning phase. The HHT is an effective method on non-linear and non-
The detailed formulation about the DBN is presented in [18], stationary EEG signals. Huang et al. [25] proposed a
[29]. communication between human and computer. They used the
HHT and wavelet transform for extracting the features from
III. EXPERIMENTAL RESULTS the steady-state visual evoked potential and indicated the HHT
The brain computer interfaces allow setting a connection is more accurately expressing the time and frequency
between the machines and the brain to control devices with characteristics ability than the wavelet transform. Li et al. [30]
the SCP and more. The SCP training neurofeedback sessions proposed a sleep stage classification method using the EEG.
are used to make a quick assessment of normal and abnormal They achieved a classification mean accuracy of 81.7% using
patterns in the diagnosis of psycho-physiological and the HHT, Fourier transform and wavelet transform features
neurological disorders using the peaks and valleys from the and discussed that the HHT is more successful and faster
EEG. The aim of this study is classifying the brain activities response for extracting the EEG features and tracking the
from the SCP training in stroke patients and pointing out the rapid changes. Ozdemir et al. [11] and Oweis et al [22]
negativity and positivity trails in the neurofeedback. applied the HHT to EEG and used intra wave frequency
The SCP training trials have been related with a large modulation on the different frequency bands to diagnose
number of cognitive functions, motor performance of the epileptic seizure prediction and classification and achieved
brain and many neurological disorders in literature. Ergenoglu accuracy rates of 89.66% and 94%, respectively. Considering
et al. worked with the positivity and negativity SCP trials to these achievements of the HHT on EEG, we decided to utilize
getting a connection between the SCP trainings and P300 the HHT in the feature extraction of the brain activity
amplitude and experienced the P300 amplitudes of trials with classification from the SCP training in stroke.
the negative SCPs are significantly higher in comparison with The proposed method consists of preparing EEG signal,
the positive SCPs at Cz, Pz, Fz, P3, and P4 channels under analysing EEG using the HHT and the HHT-based statistical
normal and abnormal conditions of the brain [12], Khader et feature extraction stage and the DBN-based brain activity
al. investigated the relations between the SCP and Blood- classification stage. To provide the different definitive and
oxygen-level dependent (BOLD) signal changes and proposed descriptive situations in patient and recording process of the
the similar topographical specificity of the SCP trials and the SCP training, the dataset with eight of the SCP neurofeedback
BOLD signal under cognitive experiments [16], Devrim et al. sessions that were conducted with an approximate interval of
investigated the detection of visual stimuli at sensory one week from two chronic stroke patients is selected. A low
threshold using the SCP and the negative SCP trials have a pass filter is applied to remove the potential noises and peaks
better separation ability than the positive SCP trials at Oz, Pz, in the EEG. 8000 of the SCP trials with 2400 data points were
Cz, and Fz channels [6]. Kotchoubey et al. analysed the extracted from the stroke patient EEGs. The extracted EEG
influencing factors in epilepsy using twenty sessions SCP trials are labelled as cortical negativity and positivity in the
training and detected the positive trials are more important dataset.
than the negative trials [7], [8]. Strehl et al. used functional The EMD is applied to extracted trials with 2400 of data
magnetic resonance imaging and the BOLD signal in the SCP points. IMFs were obtained vary in the number from 5 to 8.
and reduced epileptic seizure frequency [17], Siniatchkin et al. Figure 3 depicts a random trial and the IMFs decomposed
evaluated the analysis of individual differences in migraine from the random trial. HT is applied to each IMF. The
and experienced the negative trials from the SCP differed amplitude-frequency-time distribution of each IMF is
significantly between the individual habitat [9], Schneider et determined. Statistical features such as standard deviation,
al. determined the efficiency of the SCP training with self- correlation co-efficient, skewness, kurtosis, minimum,
regulation task utilizing biofeedback and instrumental maximum, covariance, mode and mean, energy based features,
conditioning in psychiatric patients with alcohol dependency high order statistical features such as moment and cumulants
[10], Hinterberger et al. developed a tough translation device were calculated for the each HT applied IMF and the feature
for ALS patients using the SCP trials [3], Pham et al. set is created.
developed an auditory brain-computer stimuli for paralysed The half of the trials (1750 of the positivity trials and 2250
patients using the SCP and discussed auditory stimuli of the negativity trials) from all sessions of the neurofeedback
characteristics may have to be adapted to optimize brain- is used for training of the DBN classifier model and the
computer interface performances [5]. The studies based on remaining trials are reserved for testing the proposed DBN
cognitive functions, motor performance of the brain and many system.
neurological disorders in literature are indicated the efficiency
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Fig. 3 A random EEG trial and extracted IMFs
and the softmax output function was utilized in the DBN.

The sigmoid activation function is selected in the all
validations and training sessions. The DBN has 3 hidden
layers with 350-100-260 hidden units, respectively. The
confusion matrix of the proposed classifier is seen in Table
II.
TABLE II
CONFUSION MATRIX OF THE DBN CLASSIFIER
Predicted Trials
Labels
Positivity Negativity
Truly Positivity 953 257

Classified
Trials Negativity 97 2743
Fig. 4 The structure of the proposed DBN classifier (v represents for
visible layer, h represents for hidden layer)
The classification performances are statistical valuation
The proposed DBN has 2 brain activities in SCP functions: Specificity, Sensitivity, and Accuracy which are
(Positivity, Negativity) as outputs. Figure 4 indicates the obtained from confusion matrix of the classification. The
structure of the proposed DBN classifier with visible and 3 formulation of the performance measurements are
hidden layers. The RBM based greedy layer-wise pre- described in detail by Allahverdi et al. [29]. The achieved
training is used in this model at the unsupervised learning classification performances using both the DBN classifier
stages of the DBN with 100 epochs. The optimization and the ANN with same number of hidden units in 2 or 3
parameters such as learning rate, activation function of the hidden layers are presented in Table III. The DBN and the
supervised learning phase, output function of the DBN, and ANN classifiers used same optimized learning rate, epochs,
the number of the hidden units of the RBM were denoted activation and output functions and hidden layer structures.
by iterations. The models were tested with a limited The DBN structure with 3 hidden layers presented the
number of the parameters and the highest classification highest accuracy of almost 91.15% using features from all
performances are given. The learning rate of the model is 2 sessions in neurofeedback.
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TABLE III pp. 47–47, 2001.

THE CLASSIFICATION PERFORMANCES ACCORDING TO CLASSIFIER [2] S. Sanei and J. a. Chambers, EEG Signal Processing, vol. 1, no. 11.
STRUCTURES 2007.
[3] T. Hinterberger, S. Schmidt, N. Neumann, J. Mellinger, B.
Blankertz, G. Curio, and N. Birbaumer, “Brain-computer
Structure Classification Performances communication and slow cortical potentials,” IEEE Trans. Biomed.
Eng., vol. 51, no. 6, pp. 1011–1018, 2004.
Hidden [4] V. Bosch, A. Mecklinger, and A. D. Friederici, “Slow cortical
Classifier Selectivity Sensitivity Accuracy
Units potentials during retention of object, spatial, and verbal
120-250 DBN information,” Cogn. Brain Res., vol. 10, no. 3, pp. 219–237, 2001.
77.00% 58.60% 49.30% [5] M. Pham, T. Hinterberger, N. Neumann, A. Kübler, N. Hofmayer,
units A. Grether, B. Wilhelm, J.-J. Vatine, and N. Birbaumer, “An
120-250 ANN auditory brain-computer interface based on the self-regulation of
79.93% 64.20% 51.70%
units slow cortical potentials.,” Neurorehabil. Neural Repair, vol. 19, no.
190-100 DBN 3, pp. 206–218, 2005.
94.75% 87.60% 77.85% [6] M. Devrim, T. Demiralp, A. Kurt, and I. Yücesir, “Slow cortical
units
potential shifts modulate the sensory threshold in human visual
190-100 ANN system,” Neurosci. Lett., vol. 270, no. 1, pp. 17–20, 1999.
89.51% 76.50% 69.27%
units [7] B. Kotchoubey, D. Schneider, H. Schleichert, U. Strehl, C.
30-60-45 DBN Uhlmann, V. Blankenhorn, W. Fr??scher, and N. Birbaumer, “Self-
84.79% 64.80% 65.28% regulation of slow cortical potentials in epilepsy: A retrial with
units
analysis of influencing factors,” Epilepsy Res., vol. 25, no. 3, pp.
30-60-45 ANN 269–276, 1996.
78.50% 60.90% 50.93%
units [8] B. Kotchoubey, U. Strehl, C. Uhlmann, S. Holzapfel, M. König, W.
350-100- ANN Fröscher, V. Blankenhorn, and N. Birbaumer, “Modification of
93.46% 83.00% 81.52% slow cortical potentials in patients with refractory epilepsy: a
260 units
controlled outcome study.,” Epilepsia, vol. 42, no. 3, pp. 406–16,
350-100- DBN 2001.
96.58% 90.30% 91.15%
260 units [9] M. Siniatchkin, E. Kirsch, P. Kropp, U. Stephani, and W. D.
Gerber, “Slow cortical potentials in migraine families,”
It is hard to compare the success of the proposed system Cephalalgia, vol. 20, no. 10, pp. 881–892, 2000.
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[16] P. Khader, T. Schicke, B. Röder, and F. Rösler, “On the
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ARRHYTHMIA CLASSIFICATION USING

WAVEFORM ECG SIGNALS
Yakup KUTLU*, Gokhan ALTAN+, Novruz ALLAHVERDI#
*
Iskenderun Technical University, Hatay, TURKEY
yakupkutlu@gmail.com
+
Mustafa Kemal University, Hatay, TURKEY
gokhan_altan@hotmail.com
#
KTO Karatay University, Konya, TURKEY
novruz.allahverdi@karatay.edu.tr
Abstract— An electrocardiogram (ECG) is a non-linear and non- Arrhythmia is a problem concerning the abnormal rhythm
stationary diagnostic biomedical signal that has a great and rate of heartbeats. The heart can beat too fast, too slowly,
importance for cardiac disorders. The computer-assisted analysis or inconsistently in different types of arrhythmias, which may
of biomedical signals has become an essential tool in recent years. feel like antagonism affection or fluttering. Arrhythmia may
This study introduces a deep learning application in automatic
be classified by rate of heartbeats, mechanism (automaticity,
arrhythmia classification. The proposed model consists of a
multi-stage classification system in raw ECG using a Deep belief re-entry, triggered) or duration of the heartbeats [4]. Several
network (DBN) which has a greedy layer wise training phase. types of arrhythmia are harmless, but some of them refer the
The multistage DBN model classified the MIT-BIH Arrhythmia cardiac disorders that may cause death. The ECG is a popular
Database heartbeats into 5 main groups defined by ANSI/AAMI diagnosis tool which is of the primary importance for
standards. All ECGs are filtered with median filters to remove cardiologists [5].
the baseline wander. ECG waveforms were segmented from There are many studies that are used for detecting
long-term ECGs using a window with a length of 501 data points arrhythmias, classifying them and diagnosing cardiac diseases
(R peak of the wave is located at the centre of the window). The that occur as a result of arrhythmias. These studies can be
proposed DBN-based multistage arrhythmia classification has
incorporated into two basic feature extractions: fiducial and
discriminated five types of heartbeats with a high accuracy rate
of 95.05%. non-fiducial methods. The fiducial methods contain the local
features such as temporal, morphological, amplitude, duration,
interval and segments between two selected waves which are
Keywords— Arrhythmia, Deep Belief Networks, Deep Learning, extracted from ECG waveforms. These methods are based on
AAMI, Raw ECG Waveform the time-domain features on the ECG [6]. The non-fiducial
methods are based on the frequency-domain features such as
wavelet transformations, and the other digital signal
processing techniques that extract new signal forms, sub-
I. INTRODUCTION bands and coefficients from ECG waveforms [7].
According to the World Health Organization surveys [1], Deep learning (DL) is an effective and high-performance
heart diseases are one of the most important reasons which machine learning algorithm which is gaining popularity.
cause death. Heart disease symptoms depend on what type of Frequently used analyses of the DL are used in image
heart disease you have. An electrocardiogram (ECG) is a non- processing, speech and natural language processing processes.
linear and non-stationary diagnostic signal that is important Actually, DL is a neural network structure which addresses
for cardiac disorders [2]. It is hard to assess a cardiac disorder the deeper feature levels using more hidden layers [8]. In this
using ECG because of long processes that need a control in study, Deep Belief Networks (DBN), which is an adaptable
detail and infrequent arrhythmias. In order to overcome these DL algorithm, is utilized to classify the heartbeats from
challenges, the computer-assisted analysis of biomedical different classes of arrhythmia using ECG waveform as input
signals has become an essential method in recent years. The of the structure.
computer assisted diagnosis and analysis systems achieve The remainder of the paper is structured in the following
rapid and advanced assessments in long, and hard to identify manner. The database and the arrhythmia types are defined by
processes. Arrhythmia and many cardiac disorders usually AAMI standards, pre-processing, and feature extraction from
need to use long-term ECG in inspection controls [3]. arrhythmia heartbeats are described in detail. The proposed
Therefore, computer-based methods and diagnosis systems multistage classification system is explained. The
provide major simplicity and reliability in the diagnosis and experimental results that are obtained using the DBN classifier
treatment of the diseases for cardiologists. are presented.
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II. MATERIALS AND METHODS baseline wander [11]. 6077 short-term ECGs were segmented
The general management of medical treatment and from long-term ECGs using a window with a length of 501
assessment systems has become effective and convenient data points (R peak of the wave is located at the center of
processes because of the recent technological developments in window). All data points are normalized to a [0, 1] range.
integrated circuit systems and computer-aided intelligent B. ECG Waveform
monitoring and diagnosis systems. In this section,
information about ECG waveforms and the DBN classifier are The ECG is a method that finds out the regularity or
described in detail. irregularity of heart beats and heart rates using the electrical
activity of the heart. The recorded electrical activities of the
A. Database heart represent for a waveform on the clinical assessments.
There are several arrhythmia databases in the literature. In These waveforms may have different forms according to the
this study, the MIT-BIH arrhythmia database (MADB) is lead of the ECG [11], [12]. The use of the ECG in medical
utilized [9]. This database has been used for evaluating assessment processes is very important in detecting the
arrhythmia detection and classifying the arrhythmia types. different waveforms and various cardiovascular heart diseases.
MADB contains 48 long-term ECGs from 25 men aged 32–89 In the entire body only the heart muscle has the ability to
years, and 22 women aged 23–89 years; each has 11-bit contract spontaneously. Polarity is the event of discharge of
resolution with 360 Hz sampling frequency. The heartbeats electrical charge of heart tissue. Depolarization is the positive
are labelled as five main arrhythmia types defined by the charging case of electrical activation in heart tissue [13].
Association for the Advancement of Medical Instruments The ECG has 0 mV to 5 mV amplitude and a frequency
(AAMI) standard. AAMI standardizations provide an band between 0.5 Hz and 100 Hz [2], [13]. P, Q, R, S, T and
objective, understanding, and dividual assessments and U waves appear over the baseline in the signal, respectively. If
monitoring processes of the arrhythmia types for clinical the amplitude of Q, R and S waves is less than 5 mV, the
treatments and an increased capability of testing and training wave is referred to using small capitals (q, r, and s). The
abilities for supervised learning phases [10]. AAMI classifies remaining portion between the waves is a segment; the
heartbeats into normal beats (N), supraventricular ectopic distance between the waves is an interval [12].
heartbeats (S), ventricular ectopic heartbeats (V), fusion
heartbeats (F), and unknown heartbeats (Q). The testing and
training dispersions of the heartbeats from the MADB are
seen in Table I.
TABLE I
DISPERSION OF MADB ACCORDING TO AAMI STANDARDS AND
QUANTITIES OF TEST AND TRAINING SETS
AAMI Train Test

MIT-BIH heartbeat classes
classes Set Set Fig. 1 ECG waveform with P, Q, R, S, and T waves
Normal beat 350 250
Left bundle branch block beat 350 250
N Right bundle branch block beat 350 250 A P wave occurs as the result of the depolarization of the
Nodal escape beat 114 113 atrium. First, the right atrium then the left atrium depolarizes.
Atrial escape beat 8 8 Therefore, the first part of the P wave occurs when the right
Aberrated atrial premature beat
74 74 atrium depolarizes; second part of the P wave occurs when the
Premature or ectopic
1 1 left atrium depolarizes. Although it depends on the time of the
S supraventricular
350 250 year, the duration of the P wave is about 0.11 seconds; the
Atrial premature contraction beat
42 41 amplitude of the P wave is between 0.18 mV and 0.22 mV on
Nodal premature beat
Ventricular flutter wave beat a normal lead [2].
236 236
V
Ventricular escape beat
53 53
The QRS complex occurs as the result of the depolarization
Premature ventricular contraction of the ventricles. One of the waves (R) forming the QRS
350 250
beat complex is positive; the other two waves (Q and S) are
Fusion of ventricular and normal negative. The Q wave represents the first negative wave after
F 350 350
beat
the P wave; the R wave represents the first positive wave after
Paced beat 350 250
Q Unclassifiable beat 17 16 the P wave and the S wave represents the next negative wave
Fusion of paced and normal beat 350 250 after the R wave. The QRS monitored complex varied in
different leads. The QRS samples show significant differences
Long-term ECG signals can be contaminated by several even among normal individuals. R and S waves refer to the
types of noise, such as motion during ECG recording, contraction of the myocardium. The QRS complex indicates
electromyogram noise, contact noise, clinician artefacts, the current causing the left and right ventricle contraction [14].
coughing, position of patient, baseline wandering, etc. All The QRS complex has the maximum amplitude between the
ECGs are filtered with two median filters to remove the ECG forms. The duration of the QRS complex does not
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exceed 0.11 seconds and has an amplitude value up to 2-3 mV classification of the arrhythmia types, a computer-aided
[2]. classification of the 5 arrhythmia types is implemented using a
The T-wave occurs as a result of ventricular re-polarization. DBN-based multistage classification. Figure 2 depicts the
The T-wave may have a pointed or flat view and positive, structure of the arrhythmia classification model.
negative or biphasic value on various leads. The duration of
the T wave that belongs to a normal subject is between 0.10
and 0.25 seconds. It takes place after about 300ms from the
QRS complex. The positions of these waves vary according to
the heart rhythm. The T wave is closer to the QRS complex
when the heart rhythm accelerates [14].
C. Deep Belief Networks
This study introduces a deep learning (DL) application for
automatic arrhythmia classification. The proposed model
consists of a multi-stage classification system of raw ECG
using DL algorithms. The DBN is one of the most effective
DL algorithms which has a greedy layer wise training phase
[15]. The DBN is composed of both Restricted Boltzmann
Machines (RBM) or an autoencoder based layer-by-layer
unsupervised pre-training procedure and neural network based
supervised training [8], [16]. Considering RBM with input
layer activations (for visible units) and hidden layer
activations ℎ (hidden units), bias of the visible unit , bias of Fig. 2 Structure of proposed Arrhythmia Classification Method
hidden unit :
Two median filters are applied to remove the noise and the
( , ℎ) = −ℎ baseline wanders to raw ECGs. Analysis of the long-term
− − ℎ (1)
ECGs is a demanding process for clinicians and also for
( , ) computer-aided systems. Considering this situation, ECG
( , ℎ) = ( , ) (2) waveforms were extracted from long-term ECGs using the
∑
moving window analysis technique. The R peak centred
( , ℎ) represents the joint distribution of the RBM and window with 501 data points was moved to extract ECG
( , ℎ) represents the energy function of the distribution. waveforms. 6077 of ECG waveforms were obtained from
RBM is used for calculating the conditional distribution of the long-term ECGs. ECG waveforms with 501 data points were
visible and hidden units. Each adjacent two layers create an directly used as features. Having a great number of the feature
RBM. The first visible unit is the input feature vector and the dimensionality causes long and deceiving training processes
other RBM parameters = ( , , ) are denoted by for the supervised machine learning algorithms. Feature
depending on the first visible unit [17]. dimensionality reduction for the provides for the extraction of
In the unsupervised training phase, the sub-network's more meaningful classification rules, the elimination of the
hidden layer serves as the visible layer for the next adjacent pointless feature vector for machine learning algorithms, the
layer applying contrastive divergence and the probabilistically improvement of generalization capabilities using fewer
reconstruction of the shared weights is implemented [8]. In the parameters and reduced complexity and run-time and for the
supervised training phase of the DBN, the calculated shared evaluation and prediction of accuracy for classifiers [18]. The
weights and the structure of the DBN are unfolded to a neural sequential forward feature selection algorithm is utilized in the
network structure for fine-tuning all the parameters of the proposed method to reduce feature dimensionality [19]. The
deep structure such as the weights and the biases [15]. The algorithm selects a subset of features which are not yet
DBN consists of at least two hidden layers (latent variables) in selected from 501 data points and the best predict the
the neural network. The number of the hidden layers is related arrhythmia types by sequentially selecting features until there
to the deep analysis of the input features in detail [15], [17]. is no improvement in the prediction. The highest accuracy is
achieved using 106 features from the ECG waveforms. The
III. EXPERIMENTAL RESULTS reduced feature vector is normalized to 0-1. The proposed
The morphological features are the ones most used in DBN-based multistage classifier was trained using 106 data
clinical trials for the diagnosis of the arrhythmia types. The points. Selected data points on the ECG waveform are seen in
robust and steady detection of arrhythmia is a common need Figure 3 with the red asterisk.
for all the cardiac diseases. Each arrhythmia type can be
related to different types of cardiac and pulmoner diseases.
That’s why detection and classification of the arrhythmia
types are so important in the early diagnosis and early
treatment processes. Considering the importance of the
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99.16% [21]. Thomas et al. extracted wavelet based

coefficients from 4th and 5th scale of Wavelet transform, high
order statistics and fiducial features using the QRS complex
from the ECG with ANN and presented an accuracy rate of
94.64% and a sensitivity rate of 94.60% for 5 classes of
arrhythmia types [22]. Batra et al. utilized invariant features
and Principle Component Analysis features using the SVM
classifier with the cross validation technique and achieved an
accuracy rate of 84.82% for 11 classes of arrhythmia types
[23]. Leutheuser et al. compared the Naive Bayes and k-NN
Fig. 3 Selected data points from ECG waveforms after feature
dimensionality reduction (Red asterisk) classifier algorithms using statistical and high order statistical
features, heartbeat features and template based features from
The proposed multistage DBN model separates N, S, V, F, segmented ECGs for the real-time classification of 2 types of
and Q types of arrhythmias, respectively. 4 of the DBN arrhythmias on android-based mobile devices with reported
models are used in the proposed system. The RBM based accuracies of 93.30% and 56.10% for k-NN and Naive Bayes
greedy layer-wise pre-training is used in this model at the classifiers, respectively [24]. Alajlan et al. extracted
unsupervised learning stages of all DBNs with 5 epochs. The morphological features, high order statistical features and non-
parameters of the RBM were denoted by iterations. The fiducial features applying the Discrete wavelet transform, S
models were tested with a limited number of the parameters transform and classified arrhythmia types into 2 classes using
and the highest classification performances are given. The the SVM machine learning algorithm with high performances
learning rate of the model is 3 and the softmax output function of 93.49%, and 93.14% for accuracy, and sensitivity,
was utilized constantly. The proposed multistage arrhythmia respectively [25].
classification model consists of 4 DBN structures with various DL algorithms, especially the DBN, are being effectively
numbers of hidden units. The DBN1 has 2 hidden layers with used in ECG analysis. The DBN is utilized at both feature
100-260 hidden units; the DBN2 has 3 hidden layers with extraction [26], [27] and classification stages [16], [28].
230-520-210 hidden units; the DBN3 has 2 hidden layers with Huanhuan et al. used the DBN-based learning features from
120-240 hidden units; and the DBN4 has 2 hidden layers with complete waveforms and R-R timing interval features with a
70-190 hidden units. The four DBN structures are connected multi-stage (5 stages) SVM classifier model. They achieved
sequentially and have the ability to separate five classes of an accuracy rate of 98.82% for 6 classes of arrhythmia types
arrhythmia types defined by ANSI/AAMI. [27]. Rahhal et al. extracted temporal features, morphological
The training set of the DBN-based automatic arrhythmia features and DBN-based features using stacked denoising
classification model includes 4,077 of ECG waveforms from autoencoders. They fed the all features to the SVM for
various types of heartbeat classes distributed homogeneously. training and classification. They classified 2 classes of
The DBN-based multistage model is tested using 2,000 of arrhythmia types defined by ANSI/AAMI with an overall
ECG waveforms. The confusion matrix of the classifier is accuracy rate of 98.49% [26]. Yan et al. utilized R-R interval
seen in Table II. features, beat features and raw ECG signals from multi-lead to
TABLE II feed the DBN classifier and achieved a high accuracy rate of
CONFUSION MATRIX OF MULTISTAGE CLASSIFIER 98.82% for 12 classes of arrhythmia types [16]. There are lots
Predicted heartbeats
of studies based on different types of arrhythmia classification.
Labels
N S V F Q
We focused on the arrhythmia types defined by ANSI/AAMI
and the considerable studies are compared in Table 3.
N 489 2 8 9 3
TABLE III
True heartbeats
S 0 290 7 3 8 COMPARISON OF THE RELATED WORKS FOCUSED ON

ARHYTHMIA DETECTION DEFINED BY AAMI
V 2 0 472 2 5
Related Features Classifier Accuracy
F 4 5 9 179 13
Works
Q 5 3 4 7 471 Owis et al. Correlation dimension, k-NN 86.67%
[29] Lyapunov exponents
Martis et al. DWT, LDA, PCA PNN 99.28%
Zhang et al. used inter-beat features, amplitude morphology [30]
and morphological distance features for separating 4 types of Kim et al. CWT, Morphological ELM 97.94%
[31] feature, DWT, PCA, LDA
arrhythmia by the Support Vector Machines (SVM) Morphological features, SVM 97.82%
Tadejko et
classification algorithm with 86.66%, 93.81%, and 98.98% for al. [32] Wavelet Transform
accuracy, sensitivity, and selectivity, respectively [20]. Melin Llamedo et Wavelet Transform, LD 78.00%
et al. utilized cycle features and fiducial features with an al. [33] Morphological features
Alvarado et Pulse based features LD 93.60%
Artificial Neural Network (ANN) and Learning Vector
al. [34]
Quantization based multistage classification algorithm and Ye et al. [35] Interval Features, Wavelet SVM 86.40%
classified 15 types of arrhythmia with an accuracy rate of Transform, ICA, PCA
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243
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EFFECTS OF SPECTRAL CLUSTERING ON DOCUMENT

CATEGORIZATION USING DISTRIBUTED TOOLS
Evren Pala∗ , Guray Yilmaz∗
∗ Department of Computer Engineering, Turkish Air Force Academy, Yesilkoy, Istanbul, Turkey
{epala, gyilmaz}@.hho.edu.tr
Abstract— Amount of text data being generated each day is Leading motivation behind collecting and analysing data
so huge that it is impossible to keep track of. Clustering text is reaching a higher level of profit. Effective analysis of pro-
documents is an important task to make use of information duced data enables marketing products in a more proactive
carried by plain text. In many text document collections,
clusters do not form easily separable compact shapes. Spectral way and governing customers effectively. Another purpose
clustering is an efficient when clustering such datasets because of analysis of data is enhancing performance of system.
algorithm considers connectedness of clusters rather than For example, in a search application, it is important to
assuming a specific statistical model and optimizing parameters reduce search space and prevent search operation in whole
of that model. On the other hand, distributed data processing data store. Many search engines crawl and index whole
tools have been becoming more and more widespread. Running
clustering algorithms with distributed tools is getting essential pages existing in world wide web. Performing a user search
in big data environments. In this research, spectral clustering operation on a related subset of web document collection
is executed on text data using big data analysis tools. Effects can provide a quicker search to user and less overhead to the
of algorithm on document clustering is discussed with respect vendor. This concern gets apparent in most of applications
to cluster quality measures. Moreover, existing works about providing services using big data.
scalability of spectral clustering is investigated. Results show
that spectral clustering algorithm categorizes documents more Recently, users of the software applications tend to search
accurately than k-means. In experiments, text documents in specific information with several keywords. They expect
20-newsgroups are used as dataset, Apache Mahout is used search system to be intelligent enough to examine requested
as distributed machine learning library, Rand Index and information and fetch relevant results even data entities are
Mutual Information measures are used to evaluate clustering not free text documents. Moreover, important part of the
performance.
Keywords: Text mining, document clustering, distributed data produced by world consist of text documents such as
systems, spectral clustering, big data news, blog posts, comments, product descriptions, and so on.
Mining text data is important because of these facts.
I. I NTRODUCTION In text mining, there are several issues where discussions
As information technologies become more widespread are focused. First of all, converting text documents into
in many aspects of the life, amount of data produced is vectors. It is necessary to express instances in dataset to
growing gradually. Applications producing data includes run learning algorithms in data mining. Data contained by
both enterprise and public applications. Stock management, text documents consists of terms and number of terms in
enterprise resource planning, customer relationship manage- common text data sets are so high that they can be expressed
ment applications are examples of enterprise applications. with tens of thousands. Second issue is distance / similarity
Social network applications, forums, news portals and blogs measure to use. It is important to choose distance best fitting
are examples of public applications. One of the most impor- to data domain in order to get better results. Another issue is
tant common characteristics of these two separate software algorithm to classify / cluster dataset. Characteristics of data
application groups is the fact that data produced using these domain and shape of data are important factors to determine
applications should be stored and analysed. Storing data algorithm.
is important when auditing and tracking past transactions. This study focuses on clustering of text documents using
Unless these are required, storing data without analysing is spectral clustering algorithm [1], which is one of the
nothing other than wasting storage units of machines. effective methods for clusters that can hardly be separated
Most of content & service providers analyse data gener- linearly. It regards affinity matrix of data. Entries of this
ated by users of systems they provide. For example, CRM matrix are pairwise affinities between data instances. Algo-
application logs are analysed for segmentation or labelling of rithm is composed around eigenvectors of this matrix and
customer, user actions in an e-commerce application will be has successful applications in image segmentation, that is
logged for promoting right product to right customer, social another domain where clusters frequently do not seem in
network application logs are analysed for providing people linearly separable compact shapes [2]. Moreover, in big data
and content that are closely related to users, search engine environments distribution of computation is usually required.
logs are analysed for listing web pages relevant to search Therefore, when clustering big datasets, accuracy of the
terms in an acceptable time amount. used method is not sufficient alone. It must also scalable in
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order to be applied for such datasets. Therefore, distributed calculations are mentioned in this paper. The article prepared
tools are used in the work in scope of this study. Methods by Datta et. al. provides an overview of distributed data
and algorithms are evaluated based parallel and distributed mining algorithms and applications in peer-to-peer networks
execution. [16].
In section 2, previous work on spectral clustering and
text mining is introduced. Then, in the 3rd section, spectral III. S PECTRAL C LUSTERING O N T EXT DATA
clustering algorithm is described in detail and some issues
about how to apply algorithm are discussed. In section 4, ex- A. Representing text data
periments are explained including methods, used tools, data
Data instances are required to be expressed in vectors in
set and experimental results. Then, final remarks, concluding
learning applications. In text documents, data information
words and possible future work are expressed in section 5.
is carried by terms. Therefore, as well as size of document
II. R ELATED W ORK vectors, algebraic value of entries in document vectors is
determined by terms that occurs in documents. Basically,
Text document clustering is a main branch of data mining
document x can be converted to vectors as follows:
so there exist some surveys about it. M. W. Berry published
an extensive survey of text clustering [3]. In that study, effec-
x = {t1 : tf1 , t2 : tf2 ..., td : tfd } (1)
tive vectorization of text passages, dimensionality reduction
methods and term-to-term similarities are mentioned. In the and where x is vector representation of document, ti s are
survey prepared by Sathiyakumari et al. [4], pros and cons of terms falling into document x, and tfi s are the frequency
several clustering algorithms on text data are revealed and (number of occurrence) of ti in x. This vector is called term
they are compared. In the study of Anna [8], similarity frequency vectors. A more advanced and more efficiently
measures are compared using experiments on several data used vector model for text document is tf-idf model:
sets. Aggarwal and Zhao made a comprehensive study about
issues that should be overcome in text clustering [10]. In x = {t1 : w1 , t2 : w2 ..., td : wd } (2)
that study, feature selection, dimensionality reduction and
algorithm choice are discussed topics. and
Spectral clustering algorithm is based on spectral graph
theory. The theory includes analysis of graphs using eigen- |S|
wi = tfi · (3)
vectors of the matrix representing pairwise similarities of |{xj ∈ S|ti ∈ xj }|
vertices in the graph. Spielman’s lecture notes are one of
where S is data set, xi s are documents in data set. This
the resources explaining theory well [15]. On the usage of
model is called tf-idf model. In this model, lower scores
spectral clustering for text data, Vempala and Wang assert
are assigned to terms that are not distinctive for document.
spectral projection enhances clustering results on document
This model is one of the most common techniques used
collections [5]. Their assertion is based on experimental
to transform text documents into vectors. Derivation of tf-
results. Chen et al. address scalability problem of spectral
idf vectors from plain text is done by Apache Mahout’s
clustering [11]. They offer methods for approximating dense
seq2sparse utility tool [7].
similarity matrix and parallelize computations in spectral
clustering. Chennubhotla and Jepson proposes a hierarchical Learning algorithm executions require a distance/similarity
algorithm for efficiently compute largest eigenvectrs of large measure to cluster dataset into groups. When deciding dis-
matrices [12]. A parallel eigensolver algorithm is proposed tance measure characteristics of the dataset domain is an
by Bientinesi et al. [13] and empirical success of their important factor. There is no global right distance measure
algorithm is expressed by comparing with other well-known but there are effective distance measures for data type. Cosine
eigensolver algorithms. Strakova and Gansterer introduce a distance measure is one of the best fitting ones when working
distributed eigensolver [14]. Their proposed method con- on text data so it is used in experiments of this study. With
siders only nearest neighbour similarities and is efficient in this measure, distance between two data instances xi and xj
loosely coupled networks that are distributed arbitrarily. is calculated in following way :
As the notion of ”big data” become more widespread, x~i · x~j
more studies about distributed tools and algorithms to pro- dij = (4)
|xi | · |xj |
cess big datasets are being done. Judith and Jayakumari
prepared a review about recent work on distributed document As the name implies, cosine distance dij is equals to the
clustering algorithms [17]. In this study, existing distributed cosine of the angel between two data vectors xi and xj . Cal-
solutions are compared in terms of speed, accuracy, cluster culating affinity from distance is another issue. Calculation
quality and scalability. In another work done by Li et al. of cosine similarity between text documents is as follows:
[18], distributed k-means algorithm executing on MapReduce
model is evaluated. Possible enhancements approaches like aij = 1 − dij (5)
partitioning dataset with an effective hashing algorithm, ef-
fective center initialization and pruning unnecessary distance where dij is cosine distance.
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B. Spectral Clustering Algorithm approach when creating affinity matrix is using a graph
Spectral clustering algorithm is an effective way of data construction method. In that way, many weak connections
clustering because it considers pairwise affinities of data between instances are pruned in order to relax calculation
instances without making any statistical model assumptions. and promote strong local neighbourhoods. Two techniques
When dataset is composed of complex-shaped connected are used for graph construction:
clusters rather than compact clusters, ordinary clustering • -neighbourhood graph : Affinity dij between xi
algorithms like k-means are hard to perform well. and xj is considered only if its value is higher than
a predefined constant value . Choosing parameter is
important to determine which connections will exist and
which will be pruned.
• k-nearest neighbourhood graph : For each data
instance, connections to only k-nearest neighbours are
considered. Other connections are ignored. Affinity ma-
trix is created using k highest affinity values for each
xi .
Another issue in spectral clustering algorithm is calcula-
tion of graph Laplacian. When calculating Laplacian matrix,
degree matrix is used besides affinity matrix. In fact, it is
derived using affinity matrix. Degree matrix is a diagonal
matrix whose ith diagonal entry is the sum of affinities
Fig. 1 Example of compact and connected clusters calculated for instance i.
In Figure 1, dataset represented in the left hand side is 

D11 0 ... ... 0

composed of compact clusters. Most intra-cluster pairwise  0 D22 ... ... 0 
distances in between instances of this dataset is lower than Dn×n =
 ...
 (7)
... ... ... ... 
inter-cluster pairwise distances. Clusters seem like compact 0 0 ... ... Dnn
structures and instance density increases towards cluster cen-
ter . However, in the dataset visualized in the left hand side, where
n
clusters are connected but not compact. They are formed X
with instances that are successively close to each other. In Dii = aij (8)
j=1
this case, data instances in same cluster are not necessarily
closer to the each other than instances from different clusters. There are two types of graph laplacians:
However, they are connected to each other with a chain • Unnormalized Laplacian :
of close instances falling into the same cluster. This two
L=D−A (9)
nested circular clusters are just for exemplifying but clusters
may have more complex shapes than circles. In such cases, • Normalized Laplacian :
clustering algorithms that assume some model and try to
optimize parameters of that model may easily fail to group L = D−1/2 · A · D−1/2 (10)
data into clusters. In our study, no graph construction method is used.
Spectral clustering algorithm considers only data instead Data is handled as fully connected graph. Then, spectral
of making assumptions based on some statistical models. It clustering algorithm is executed using normalized form of
takes affinity matrix A of the dataset as input and operates on graph Laplacian matrix. Pseudocode is provided in algorithm
top eigenvectors of the Laplacian matrix L of affinity matrix 1 and [1] can be checked out for a more detailed explanation
A . Affinity matrix is as follows: of spectral clustering.
 
a11 a12 ... ... a1n
 a21 a22 ... ... a2n  Algorithm 1 Spectral Clustering
An×n =   ...
 (6)
... ... ... ...  1: procedure CLUSTER - SPECTRAL(S, k)
an1 an2 ... ... ann 2: An×n ← affinity matrix of dataset S
where n is number of instances in dataset S and aij is 3: Dn×n ← degree matrix of A
similarity between xi and xj . Calculation of affinity is 4: Ln×n ← D−1/2 · A · D−1/2
given in equation 5. When constructing affinity matrix, one 5: E n×k = [e~1 , e~2 , ..e~k ] (smallest k eigenvectors of L)
approach is forming it by calculating all pairwise affinities 6: Z n×k ← normalized form of E
and regarding dataset as a fully connected graph. In other 7: cluster Z into k clusters using k-means
words, each pairwise affinity is taken into consideration no 8: assign each xi to corresponding cluster of z i
matter it is strong or weak. In this case, each instance is return clusters
assumed to be connected to every other instance. Another
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TABLE I Topics in 20-newsgroups dataset 1

comp.graphics adj. rand index
rec.autos
comp.os.ms-windows.misc
rec.motorcycles
adj. mutual info
comp.sys.ibm.pc.hardware 0.8
rec.sport.baseball
comp.sys.mac.hardware
rec.sport.hockey 0.67
comp.windows.x
sci.crypt
sci.electronics
talk.politics.misc 0.6
score
talk.politics.guns
sci.med 0.48
talk.politics.mideast
sci.space
0.39
talk.religion.misc 0.4
alt.atheism misc.forsale 0.3
soc.religion.christian
0.2
IV. E XPERIMENTS
0 k-means spectral
A. Dataset algorithm
20-newsgroups dataset hosted by UCI Machine Learning Fig. 2 Adjusted Rand Index and Adjusted Mutual Informa-
Repository [6] is used in tests executions. It contains 18846 tion scores of k-means and spectral clustering algorithms
documents of 20 different groups. There are 93,560 distinct
terms in dataset. No NLP method such as stemming or
stop-word elimination is used. In other words, ”play” and
Figure 2 shows clustering results of k-means and spectral
”playing” are accepted different terms for our algorithm.
clustering algorithms. Spectral clustering apparently per-
Topics in 20-newsgroups dataset are listed in Table I.
forms better than k-means algorithm in seen in the figure.
Enhancement of score is obvious for both adjusted rand index
B. Tools Used and adjusted mutual information measures. Then, it can be
Apache Hadoops distributed file system is used for storing said that spectral clustering has a more accurate clustering
data and MapReduce is used for processing data. MapReduce result on text data than k-means.
is a distributed processing model that fits into many real V. C ONCLUSION AND F UTURE W ORK
world problems [9]. Hadoop is one of the most common
scalable MapReduce vendors and it has proven success in Clustering text documents is an important because text
many real time systems. Hadoop is run in pseudo-distributed data constitutes an important part of the data produced each
mode in our experiments. day. When running learning algorithms, data sets may not
Machine learning library used in experiments is Apache be easily separable. Text document collections usually exist
Mahout [7]. It works on top of Hadoop. Machine learning in hardly-separable forms. In scope of this study, we focus
tasks are submitted by Mahout to Hadoop and they are our effort to apply spectral clustering algorithm on text
executed as MapReduce jobs. Mahout does not only provide data. Effects of spectral clustering algorithm observed on
machine learning algorithms but also perform some utility 20-newsgroups data set. Results show that accuracy of the
tasks such as creating tf-idf vectors from plain text docu- spectral clustering algorithm is better compared to k-means.
ments or calculating distance between vectors. Solutions are prepared using distributed tools in order to
make use it in big data problems.
C. Experimental Results For future work, a dimensionality reduction technique may
As stated earlier, k-means and spectral clustering algo- be applied in order to get rid of high number of features in tf-
rithms are executed to cluster 20-newsgroup dataset in scope idf vector form. Another enhancement may be using a graph
of experiments in this research. Experiments are run 10 times construction method in order to prune unnecessary distance
consecutively using Mahout’s command line interface. Some and affinity calculations. Experiments in this study are done
parameters passed required to clustering commands are as without using any graph construction method.
follows:
• convergence delta : 0.001
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The Classification of White Wine and Red Wine

according to their Physicochemical Qualities
Yeşim ER*, Ayten ATASOY*
*
Deparment of Electrical&Electronics Engineering, Karadeniz Technical University, Turkey
yesim.er@.ktu.edu.tr
ayten@ktu.edu.tr
Abstract—The main purpose of this study is to predict wine quality physicochemical variables. Another work of wine classification
based on physicochemical data. In this study, two large separate depended on the physicochemical information. This
data sets which were taken from UC Irvine Machine Learning information involved in wine aroma chromatograms as
Repository were used. These data sets contain 1599 instances for measured with a Fast GC Analyser [6]. In the latter study, three
red wine and 4898 instances for white wine with 11 features of
classification methods such as Linear Discriminant Analysis,
physicochemical data such as alcohol, chlorides, density, total
sulfur dioxide, free sulfur dioxide, residual sugar, and pH. First, Radial Basis Function Neural Networks and Support Vector
the instances were successfully classified as red wine and white Machines (SVM) are compared according to their performance
wine with the accuracy of 99.5229% by using Random Forests in a two-staged architecture.
Algorithm. Then, the following three different data mining Some have proposed a few applications of data mining
algorithms were used to classify the quality of both red wine and techniques to wine quality assessment. Cortez et al. [1]
white wine: k-nearest-neighbourhood, random forests and proposed a taste prediction technique. Their taste prediction
support vector machines. There are 6 quality classes of red wine technique, a support vector machine, multiple regression, and a
and 7 quality classes of white wine. The most successful neural network were applied to chemical analysis of wines.
classification was obtained by using Random Forests Algorithm.
Shanmuganathan’s technique was about prediction the effects
In this study, it is also observed that the use of principal
component analysis in the feature selection increases the success of season and climate on wine yields and wine quality [7]. The
rate of classification in Random Forests Algorithm. Wineinformatics system according to Chen et al. [8] idealized
the flavor and characteristics of wine from natural-language
reviews. They used hierarchical clustering and association rules.
Keywords— Classification, Random Forests, Support Vector
Machines, k-Nearest-Neighbourhood. II. MATERIALS AND METHODS
I. INTRODUCTION A. Wine Data
Today, varied consumers enjoy wine more and more. Wine The data set is a wine quality dataset that is publicly
industry is researching new technologies for both wine making available for research purposes from
and selling processes in order to back up this growth [1]. https://archive.ics.uci.edu/ml/datasets/Wine+Quality [9]. Both
Physicochemical and sensory tests are used for evaluating dataset contains 1599 instances with 11 features for red wine
wine certification [2]. The discrimination of wines is not an and 4898 instances and the same 11 features for white wine.
easy process owing to the complexity and heterogeneity of its The inputs include objective tests (e. g. PH values) and the
headspace. The classification of wines is very important output is based on sensory data (median of at least 3 evaluations
because of different reasons. These reasons are economic value made by wine experts). Each expert graded the wine quality
of wine products, to protect and assure the quality of wines, to between 0 (very bad) and 10 (very excellent). The two datasets
forbid adulteration of wines, and to control beverage processing are related to red and white variants of the Portuguese “Vinho
[3]. Verde” wine.
Data mining technologies have been applied to classification The features include fixed acidity, volatile acidity, citric acid,
of wine quality. The aim of machine learning methods similar residual sugar, chlorides, free sulfur dioxide, total sulfur
to other applications is to create models from data to predict dioxide, density, pH, sulphates, and alcohol. pH describes how
wine quality. acidic or basic a wine is on a scale from 0 (very acidic) to 14
In the year of 1991, a “Wine” data set which contains 178 (very basic). Most wines are between 3-4 on the pH scale.
instances with measurements of 13 different chemical Chloride is the amount of salt in the wine. Alcohol is the percent
constituents such as alcohol, magnesium was donated into UCI alcohol content of the wine.
repository to classify three cultivars from Italy [4]. For new The goal of the data set is to predict the rating that an expert
data mining classifiers this data set has been majorly used as a will give to a wine sample, using a range of physicochemical
benchmark because it is very easy to discriminate. For wine properties, such as acidity and alcohol composition. Due to
classification according to geographical region; principal privacy and logistic issues, only physicochemical (inputs) and
component analysis (PCA) was carried out and reported [5]. sensory (the output) variables are available (e.g. There is no
The data they used in their study includes 33 Greek wines with data about grape types, wine brand, wine selling price, etc.).
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Table 1 and Table II present the 11 different C. Data Mining Techniques

physicochemical properties and data statistics (minimum, In the original form of this datasets, two datasets were
maximum, mean, and standard deviation values of all instances created, using red and white wine samples. The two datasets are
for each feature) of white wine and red wine sets respectively. related to red and white variants of the Portuguese “Vinho
Verde” wine.
TABLE I First, these two datasets have been combined into one dataset
THE PHYSICOCHEMICAL DATA STATISTICS OF WHITE WINE to classify wine samples as red wine and white wine. Three
Attribute (units) Min Max Mean StDev different data mining algorithms were used in our study. Those
Fixed acidity (g(tartaric acid)/dm3) 3.800 14.20 6.855 0.844 classification algorithms applied on the data set are k-nearest-
Volatile acidity (g(acetic acid)/dm3) 0.080 1.100 0.278 0.101 neighbourhood (k-NN), random forests (RF), and support
Citric acid (g/dm3) 0.000 1.660 0.334 0.121 vector machines.
Residual sugar (g/dm3) 0.600 65.80 6.391 5.072
Chlorides /g(sodium chloride)/dm3) 0.009 0.346 0.046 0.022 1) k-Nearest-Neighbourhood Classifiers: This method was
Free sulfur dioxide (mg/dm3) 2.000 289.0 35.31 17.01
Total sulfur dioxide (mg/dm3) 9.000 440.0 138.4 42.50
depicted in the beginning of 1950s. Nearest-neighbourhood
Density (g/cm3) 0.987 1.039 0.994 0.003 classifiers are depended on learning by analogy, this means a
pH 2.720 3.820 3.188 0.151 comparison between a test tuple with similar training tuples.
Sulphates (g(potassium sulphate)/dm3) 0.220 1.080 0.490 0.114 The training tuples are described by n attributes. Each tuple
Alcohol (%vol) 8.000 14.20 10.51 1.231
corresponds a point in an n-dimensional space. All the training
tuples are stocked in an n-dimensional pattern space. For an
TABLE II unknown tuple, a k-nearest-neighbourhood classifier searches
THE PHYSICOCHEMICAL DATA STATISTICS OF RED WINE the pattern space for the k training tuples that are closest to the
Attribute (units) Min Max Mean StDev unknown tuple. k training tuples are called as the k “nearest
Fixed acidity (g(tartaric acid)/dm3) 4.600 15.90 8.320 1.741 neighbours” of the unknown tuple [11].
Volatile acidity (g(acetic acid)/dm3) 0.120 1.580 0.528 0.179
Citric acid (g/dm3) 0.000 1.000 0.271 0.195 “Closeness” is a metric distance, likewise Euclidean distance.
Residual sugar (g/dm3) 0.900 15.50 2.539 1.410 The Euclidean distance between two points or tuples, say, X 1=
Chlorides /g(sodium chloride)/dm3) 0.012 0.611 0.087 0.047
(x11, x12, …, x1n) and X2= (x21, x22, …, x2n), is
Free sulfur dioxide (mg/dm3) 1.000 72.00 15.87 10.46
Total sulfur dioxide (mg/dm3) 6.000 289.0 46.47 32.89
Density (g/cm3) 0.990 1.004 0.997 0.002 𝑛
pH 2.740 4.010 3.311 0.154 𝑑𝑖𝑠𝑡(𝑋1 , 𝑋2 ) = √∑(𝑥1𝑖 − 𝑥2𝑖 )2 .
Sulphates (g(potassium sulphate)/dm3) 0.330 2.000 0.658 0.170
Alcohol (%vol) 8.400 14.90 10.42 1.066 𝑖=1
2) Random Forests: This methodology uses a combination

B. Data Mining Approach of tree predictors; each individual tree depends on a random
To evaluate performance of selected tool using the given vector. This random vector has identical and alike distribution
dataset, several experiments are conducted. For evaluation for all trees in the forest. It was described by Breiman in
purpose, two test modes are used, the k-fold cross-validation 2001[12].
(k-fold cv) mode, and percentage split (holdout method) mode. 3) Support Vector Machines: This method was derived from
The k-fold cv refers to a widely used experimental testing statistical learning theory by Vapnik and Chervonenkis, It was
procedure where the database is randomly divided into k first introduced in 1992 by Boser, Guyon, and Vapnik. This
disjoint blocks of objects, then the data mining algorithm is method is used for the classification of both linear and
trained using k-1 blocks and the remaining block is used to test nonlinear data. It uses a nonlinear mapping to transform the
the performance of the algorithm, this process repeated k times. original training data into a higher dimension. It searches for
At the end, the average value of the recorded measurement is the linear optimal separating hyperplane in this new dimension.
found [10]. It is common to choose k as 10. A hyperplane can separate data from two classes, with a
In percentage split mode, the database is randomly divided suitable nonlinear mapping to sufficiently high dimension. The
into two disjoint datasets. The first set, which the data mining SVM uses support vectors and margins to find this hyperplane
system tries to extract knowledge from called training set. The [11].
extracted knowledge may be tested against the second set
Then, the following three different data mining algorithms
which is called testing set [10].
were used to classify the quality of both red and white wine
In this study, for k-fold cross-validation mode, different k
samples: k-nearest-neighbourhood, random forests, and
values are tested for each method. The best classification results
support vector machines.
of each method are obtained when k value is chosen as 10.
Afterwards, principal component analysis in the feature
Firstly, both datasets are separated into training and testing
selection was applied to the original both red wine dataset and
set by using 10-fold cross-validation method. Afterwards, both
white wine dataset for each method. Three data mining
datasets are randomly divided into two groups called training
algorithms were used to classify the quality of both red wine
and testing set. First set involves randomly 80% of dataset, and
samples and white wine samples.
the other set involves the resting data.
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III. EXPERIMENTAL RESULTS TABLE V

PERFORMANCE RESULTS OF THE CLASSIFICATION OF RED WINE SAMPLE
In this study, firstly three classification algorithms were used QUALITIES
to classify the wine samples as red wine and white wine. A
Test Classifier Precision Recall F Measure ROC
model was built using each method and applied to the wine data Modes (%) (%) (%) (%)
set. The classification results of the three classification SVM 48.1 58.3 52.7 70.6
Cross
algorithms are evaluated both test modes which are 10-fold Validation
k-NN 64.3 64.8 64.5 72.7
cross-validation, and 80% percentage split. RF 66.8 69.6 67.8 86.4
SVM 49.7 59.1 53.9 70.8
Also, some of the standard performance measures (statistics) Percentage
k-NN 65.6 65.6 65.5 72.8
are calculated to evaluate the performance of the algorithms. Split
RF 69.6 71.9 70.5 87.2
The standard performance measures are recall, precision, F
measure, and ROC values. The most successful classification result of white wine
Table III presents the correctly classified instances results of sample qualities as 11 classes was obtained by using Random
the classification of red and white wine samples. Forest algorithm for both test modes. The accuracy of each
cross-validation and percentage split mode with this algorithm
TABLE III is 70.3757%, and 68.6735% respectively.
PERFORMANCE RESULTS OF THE CLASSIFICATION OF RED AND WHITE WINE The most successful classification result of red wine sample
SAMPLES
qualities as 11 classes was obtained by using Random Forest
Test Classifier Precision Recall F Measure ROC algorithm for both test modes. The accuracy of each cross-
Modes (%) (%) (%) (%) validation and percentage split mode with this algorithm is
SVM 99.1 99.1 99.1 98.6 69.606%, and 71.875% respectively.
Cross
k-NN 99.2 99.2 99.2 99.0
Validation Finally, for increasing of classification success in this study,
RF 99.5 99.5 99.5 99.8
SVM 99.2 99.2 99.2 98.6 the number of features was reduced by using PCA algorithm
Percentage
Split
k-NN 99.2 99.2 99.2 98.7 and the process wine quality classification was repeated by
RF 99.5 99.5 99.5 99.9 using SVM, k-NN, and RF algorithms.
Table VI and Table VII present the correctly classified
The most successful classification result of red and white instances results of the classification of white and red wine
wine samples was obtained by Random Forests Algorithm for sample qualities after applying PCA respectively.
both test modes. The accuracy of each cross-validation and
percentage split mode with this algorithm is 99.5229%, and
TABLE VI
99.4611% respectively. PERFORMANCE RESULTS OF THE CLASSIFICATION OF WHITE WINE SAMPLE
Table III clearly shows that Random Forests algorithm QUALITIES AFTER APPLYING PCA
outperforms from the other algorithms in two test modes.
Secondly, for the classification of the quality of both red and Modes (%) (%) (%) (%)
white wine samples, the classification experiment is measured SVM 39.8 52.2 44.0 66.3
Cross
by the accuracy percentage of classifying the instances Validation
k-NN 64.5 64.7 64.6 74.4
correctly into its class according to quality features which are RF 70.7 69.9 68.8 86.9
SVM 39.4 51.2 43.6 65.9
ranged between 0 (very bad) and 10 (very excellent) as 11 Percentage
k-NN 63.5 63.6 63.5 73.7
different classes and totally 22 classes. Split
RF 68.1 67.4 66.3 85.4
Table IV and Table V present the correctly classified
instances results of the classification of white and red wine
sample qualities respectively. TABLE VII
PERFORMANCE RESULTS OF THE CLASSIFICATION OF RED WINE SAMPLE
For k-nearest-neighbourhood classifiers, different k values QUALITIES AFTER APPLYING PCA
are tested for each test mode. When k value is increased, the
achievement of the classification decreases. For this reason, k Test Classifier Precision Recall F Measure ROC
Modes (%) (%) (%) (%)
value is taken as 1. SVM 47.8 58.0 52.4 69.7
Cross
k-NN 64.3 64.8 64.5 72.7
Validation
RF 68.4 71.2 69.4 86.4
TABLE IV
SVM 47.8 56.9 51.9 69.3
PERFORMANCE RESULTS OF THE CLASSIFICATION OF WHITE WINE SAMPLE Percentage
k-NN 68.0 67.8 67.8 74.4
QUALITIES Split
RF 71.4 73.4 72.1 87.8
Modes (%) (%) (%) (%) The most successful classification result of white wine
SVM 39.6 52.1 44.1 66.7
Cross
k-NN 65.1 65.4 65.2 75.0 sample qualities after applying PCA was obtained by using
Validation Random Forest algorithm for both test modes. The accuracy of
RF 71.0 70.4 69.5 87.3
SVM 39.4 51.2 43.7 65.8 each cross-validation and percentage split mode with this
Percentage
k-NN 63.0 63.3 63.0 73.1 algorithm is 69.9061%, and 67.449% respectively.
Split
RF 69.8 68.7 67.4 85.7
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The most successful classification result of red wine sample [10] J. Han, M. Kamber, and J. Pei, “Classification: Basic Concepts,” in Data
Mining Concepts and Techniques, 3rd ed., Waltham, MA, USA: Morgan
qualities after applying PCA was obtained by using Random
Kaufmann, 2012, pp. 327-393.
Forest algorithm for both test modes. The accuracy of each [11] J. Han, M. Kamber, and J. Pei, “Classification: Advanced Methods,” in
cross-validation and percentage split mode with this algorithm Data Mining Concepts and Techniques, 3rd ed., Waltham, MA, USA:
is 71.232%, and 73.4375% respectively. Morgan Kaufmann, 2012, pp. 393-443.
[12] W. L. Martinez, A. R. Martinez, “Supervised Learning” in
IV. CONCLUSIONS Computational Statistics Handbook with MATLAB, 2nd ed., Boca Raton,
FL, USA: Chapman & Hall/CRC, 2007, pp. 363-431.
For each classification model, we analyzed how the results
vary whenever test mode is changed. The study includes the
analysis of classifiers on both red and white wine data set. The
results are described in percentage of correctly classified
instances, precision, recall, F measure, and ROC after applying
the cross- validation or percentage split mode.
Different classifiers like k-nearest-neighborhood, random
forests, and support vector machines are evaluated on datasets.
Results from the experiments lead us to conclude that
Random Forests Algorithm performs better in classification
task as compared against the support vector machine, and k-
nearest neighbourhood.
After applying PCA, the success rate of quality classification
for white wine has decreased from 70.3757% to 69.9061% for
cross validation mode. The success rate of quality classification
for white wine has decreased from 68.6735% to 67.449% for
percentage split mode.
After applying PCA, the success rate of quality classification
for red wine has increased from 69.606% to 71.232% for cross
validation mode. The success rate of quality classification for
red wine samples has increased from 71.875% to 73.4375% for
percentage split mode.
REFERENCES
[1] P. Cortez, A. Cerderia, F. Almeida, T. Matos, and J. Reis, “Modelling
wine preferences by data mining from physicochemical properties,” In
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Soufleros, and E. Psarra, “Instrumental and sensory analysis of Greek
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classification according to geographical origin,” Food Chemistry, 73(4):
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and M. A. Bustos, “Chilean wine classification using volatile organic
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[8] B. Chen, C. Rhodes, A. Crawford, and L. Hambuchen,
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Establishment of Fiber Optic Cabling System In

Kirkuk City By Using Ant Colony Optimization And
Genetic Algorithm
Omer Faroq ibrahim*, Gülay Tezel+
#
Selçuk University, Faculty of Engineering, Computer Engineering
omar_faroq@hotmail.com
+
Selçuk University, Faculty of Engineering, Computer Engineering
konya-türkiye
gtezel@selcuk.edu.tr
Abstract: Connection-oriented network routing (CONR) is one of In literature, different researchers dealt with the subjects of
the NP-hard problems. In the recent years, to solve the problem of
network routing and finding the shortest route. These
CONR it was using the heuristic methods such as minimum researchers applied different kinds of heuristic algorithms and
spanning tree methods (Kruskal and Prim Algorithms) and metaheuristic algorithms to solve the problem of CONR.
shortest path methods (A Star and Dijkstra Algorithms) and also
Karakas [1] applied Dijkstra and Prim Algorithms to decrease
metaheuristic methods (Ant Colony Optimization (ACO), Genetic
Algorithm (GA) and Artificial Bee Colony (ABC)). But as the the cost of creating network across Turkey to the half. Hardi
complexity of the problem increase, the guarantee to achieve the [2] used the Genetic Algorithms (GA) to determine the
shortest route that could be followed by the mineral water
best results by heuristic algorithms decreases. Therefore, in large
scale problems metaheuristic algorithms are preferred. In this company in order to enable the distributors to get to their
destinations through the shortest distance of all available paths.
study, it was applied CONR to provide internet and telephone lines
for Kirkuk city and the near regions in Iraqi by using the fiber Mahia et al. [3] proposed new hybrid method to optimize
optical systems. Firstly, the locations of 56 fiber optic panels parameters that affect performance of the ACO algorithm
previously determined with particle swarm intelligence algorithm using Particle Swarm Optimization (PSO). PSO is preferred to
(PSO) are placed Kirkuk city. Then, it was aimed to wire all the
detect optimum values of parameters which are used for city
panels by fiber optic cables in minimum cost, to raise the data
selection operations in the ACO algorithm and determines
transfer speed, to decrease the excavation process. As a result, two
different metaheuristic algorithms (ACO and GA) were applied to significance of inter-city pheromone and distances.
achieve these targets and compared the results of them. After theExperimental results showed that the performance of proposed
experiments, the optimum distance between the panels were method by using fewer ants than the number of cities for the
obtained with ACO and GA as 366100 km and 353400 km, TSPs was better than the performance of compared methods
respectively. The results show that GA is the best optimization in most cases in terms of solution quality and robustness.
algorithm for this problem. Kuzu et al. [4] used eight of the most common kinds of
metaheuristic algorithms to solve the TSP problem which is
Keywords— Connection-oriented network routing,Ant Colony
considered one of the NP-hard problems. Dikmen et al [5]
Optimization,Genetic Algorithm,fiber optical systems,CONR applied the artificial intelligence techniques to solve the
travelling salesman problem (TSP) in order to find the
shortest ways to connect the Turkish cities. The results
showed that the ACO method is better than the GA
concerning the distance and time. Fong and Yuan [6] applied
I. INTRODUCTION
ACO to solve the TSP problem and reached the best results of
When transmitting data through a network from one source network routing solution. İşçi and Korukoğlu [7] applied
to another the data follows a special path. In its way towards heuristic algorithms (prim & kruskal) and metaheuristic
the target area the data passes through a chain of panels, this algorithm (GA) to decrease the cost of connecting network
process is called network routing [1,2]. cables. The results showed that GA is better than prim &
Whether the distribution path is reasonable, it has large kruskal concerning this issue [7]. Kaya [8] applied Minimum
impact on speed, cost and effectiveness in the logistics system, spanning tree algorithms (Floyd &kruskal) to find the shortest
so it is very important to use a reasonable method to path to provide gas pipeline to a particular area.
determine a reasonable distribution route. The exact solution In this study, it was proposed CONR to provide internet and
is very difficult to study due to the NP-Hard nature of the telephone lines for Kirkuk city and its near region in Iraqi
problem, so heuristics may well be a viable direction [1,2]. using the fiber optical systems. The CONR consists a number
One of the NP-hard problems is connection-oriented network of Panels, where each pair of panels has a definite distance.
routing (CONR). The purpose of this study is to visit all the panels such that the
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total distance will be minimized. Also, it was aimed to wire all In order to solve this problem, it was determined the
the panels by fiber optic cables in minimum cost, to raise the distances between these panels in a two-dimensional matrix as
data transfer speed and to decrease the excavation process. As shown in Table 1, firstly.
a result, two different metaheuristic algorithms, ACO and GA,
were applied to achieve these targets and compared the results TABLE. 1. DISTANCES BETWEEN THE PANELS
of them.
Merkez PanelPanel 1 Panel 2 Panel 3 Panel 4 Panel 5 Panel 6 Panel 7 Panel 8 Panel 9 Panel 10 Panel 11 Panel 12 Panel 13 Panel 14 Panel 15 Panel 16 Panel 17 Panel 18 Panel 19 Panel 20
Merkez Panel 0,0 27,7 24,6 30,2 31,7 25,6 25,3 25,8 27,4 27,0 26,7 26,2 31,8 29,8 29,4 27,8 32,6 20,7 19,0 20,7 20,8
Panel 1 29,3 0,0 4,2 3,1 4,2 4,7 4,5 2,3 2,8 2,6 2,4 3,2 4,3 5,2 2,5 2,6 5,4 9,8 11,1 10,6 9,4
Panel 2 24,8 3,2 0,0 3,5 5,0 1,6 1,6 1,0 1,5 2,5 1,8 1,7 5,1 6,0 5,7 4,3 5,9 6,7 8,0 7,5 6,3
Panel 3 31,0 2,3 4,4 0,0 1,6 6,1 5,8 3,7 5,2 1,9 6,0 5,6 1,6 2,4 4,7 5,0 2,5 10,7 12,0 11,5 10,3
II. MATERIAL AND METHODS Panel 4 29,8
Panel 5 23,3
3,3
5,5
5,4
2,3
1,9
5,8
0,0
7,3
7,1
0,0
6,8
1,0
4,7
3,6
6,2
5,2
3,6
4,8
7,0
3,4
6,6
1,5
2,6
7,4
2,3
8,3
5,7
6,1
6,0
3,9
1,7
8,2
11,7
5,2
13,0
6,5
12,5
6,0
11,3
4,7
Panel 6 24,0 5,7 1,6 5,0 6,6 1,0 0,0 2,9 4,4 4,0 2,2 1,1 6,6 7,6 5,3 3,3 7,5 5,9 7,2 6,7 5,4
Panel 7 25,6 2,3 1,0 2,7 4,2 2,8 2,6 0,0 1,0 1,7 2,1 3,3 4,3 5,2 4,9 5,1 5,1 7,5 8,8 8,3 7,1
A. Problem Description Panel 8 26,2
Panel 9 29,2
2,8
1,6
1,5
3,7
3,3
1,9
4,8
4,5
3,4
6,4
3,2
6,1
1,0
1,7
0,0
5,5
2,3
0,0
1,3
5,6
2,6
5,9
4,9
3,6
5,8
4,0
5,0
5,2
3,7
5,3
5,7
5,4
8,1
12,4
9,4
12,3
8,9
11,8
7,7
11,9
Panel 10 25,8 3,9 1,8 4,2 5,5 2,7 2,6 2,6 1,3 4,1 0,0 1,1 5,5 6,5 3,4 2,1 6,3 7,7 9,0 8,5 7,3
Panel 11 24,6 4,9 1,7 5,1 6,7 1,5 1,1 2,3 1,9 4,1 1,1 0,0 6,8 7,7 5,4 3,5 7,6 6,6 7,8 7,3 6,1
Panel 12 29,9 4,4 6,4 3,0 2,8 8,4 7,8 5,9 7,4 4,7 7,8 7,6 0,0 14,0 6,8 8,3 4,5 13,5 14,7 14,2 13,6
In this study, connection-oriented network routing application Panel 13 30,9
Panel 14 29,8
4,5
5,1
6,5
6,8
3,0
4,2
2,3
5,0
8,2
6,6
7,9
6,3
5,8
6,2
7,3
7,7
4,8
5,1
7,5
4,9
7,7
5,1
14,0
5,0
0,0
6,0
6,8
0,0
4,5
4,5
5,4
5,4
12,9
11,7
14,1
12,9
13,6
12,5
12,4
11,2
will be made in order to minimize the cost of providing Panel 15 27,7

Panel 16 30,6
4,0
4,0
5,9
6,2
4,3
2,7
5,6
1,8
5,7
7,9
5,4
7,6
5,2
5,5
6,8
7,0
4,2
4,4
5,3
7,8
4,2
7,4
5,7
3,5
6,6
3,8
2,7
5,9
0,0
7,7
6,4
0,0
9,6
12,5
10,9
13,8
10,4
13,3
9,2
12,1
Panel 17 18,7 11,2 8,0 11,5 13,0 6,6 7,8 9,3 10,9 10,5 9,1 9,5 13,1 14,0 13,3 10,6 14,6 0,0 1,1 1,0 2,3
internet and landline telephone services to 9679 sq. km of Panel 18 18,5
Panel 19 19,3
12,2
11,1
9,1
7,9
12,5
11,3
14,1
12,9
7,6
6,4
8,8
7,7
10,4
9,2
11,9
10,7
11,5
10,3
10,1
8,9
10,6
8,4
14,1
13,0
17,3
13,9
14,4
13,2
11,6
10,5
15,0
14,5
1,1
1,0
0,0
1,6
1,6
0,0
3,4
2,1
Kirkuk city and its nearby regions in Iraqi by using the fiber Panel 20 20,6 10,4 7,6 10,7 13,5 8,3 7,5 9,8 11,3 11,0 8,2 9,3 12,3 14,5 13,1 10,4 14,4 2,5 3,4 2,2 0,0
optical systems. The advantage of using fiber optical system

is to increase the speed of transmission data. The panels were B. Ant Colony Optimization Algorithm (ACO) For CONR
distributed in the city using PSO taking into consideration the
required conditions. The locations of 56 panels are shown in
Fig. 1. The ACO algorithm was developed by Dorigo et al [9].
This algorithm is inspired by the actual ant colony behaviors.
By examine behaviors of ants in real life, it is observed that
ants have the ability to find the shortest path between their
nest and food source [9]. The most important issue in finding
the shortest path is the ephemeral, chemical matter of
pheromone that ants leave on the path they use. Ants in a
colony usually choose a path where pheromone matter is
concentrated. The amount of pheromone increases on a
frequently used route [10]. The ACO algorithm suggests a
solution for the CONR problem. The solution aims to form a
closed tour of minimum length with the condition of visiting
every panel at once. In this study, it is accepted that ants
Fig. 1. Locations of panels in Kirkuk city
leave pheromones on inter-panel routes that they use and this
pheromone becomes ephemeral in a certain ration. Selection
of the panels to which ants will go is performed depending on
The (graph theory) has been used to determine the distances the distance and the amount of pheromones between panels.
between the panels .If it is assumed that each panel is a node This algorithm is operated iteratively and the shortest route
and each fiber optic cable is an edge, then all the panels found is regarded as the best solution. Selection of panel j, to
connected by fiber optical cables will form the following which an ant in panel i in iteration t will go, is made according
graph in Fig.2. Each node has its direct path with the other to Eq. (1) [3].
nodes on condition of passing once from each one. In
telecommunication science, this is called as Hamiltonian path. [𝜏(𝑖, 𝑗)]𝛼 × [𝑛(𝑖, 𝑗)]𝛽
𝑂𝑘 (𝑖, 𝑗) = { 𝑤ℎ𝑒𝑛 𝑗 ∈ 𝑌𝑘 (𝑖) (1)
Fig.2 represents the fiber optics panels in the shape of a ∑𝑚∈𝑦𝑘(𝑖)[𝜏(𝑖, 𝑚)]𝛼 × [𝑛(𝑖, 𝑚)]𝛽
completed graph.
In Eq. (3), 𝜏(𝑖, 𝑗) represents the amount of pheromones
between i and j panel, 𝑛 𝑖𝑗 represents information (1/dij)
pertaining to distancebetween i and j panel, and j display
panel where kthant can go. Anant chooses the panel with the
highest ratio of Ok (i, j) by making a greedy selection.
Parameters α and β are used for determining the importance
between amount of pheromones and distance inter-panel. kth
ant completes one total tour by using Eq. (1). The above
mentioned operation is repeated in t iteration for all ants that
are present in the colony [3]. The amount of pheromones left
Fig. 2. Fiber optics panels in the shape of a completed graph by an ant on a path that it has used is determined according to
Eq. (2).
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256
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Q Min=∑ni=1 ∑nj≠i,j=1 Cij Xij (5)

∆τijk (t, t + 1) = {lk , if(i, j)ϵroute performed by the kth ant (2)
0 otherwise
The fitness function that characterizes each chromosome
Where 𝐿𝑘 represents distance of tour, Q represents a represents the total length of the route from the center panel to
constant number and k represents kth ant in the colony. Total the last panel (gene) moving according to the order of the
amount of pheromones that ants, which are present in colony genes in the chromosome. The best chromosome is the one
and use the path between panel i and j have left, is calculated gives the minimum value of fitness [11.12].
by using Eq. (3).
𝑛
 Selection
𝑘 𝑘
∆𝜏𝑖𝑗 (𝑡, 𝑡 + 1) = ∑ ∆ 𝜏𝑖𝑗 (𝑡, 𝑡 + 1) (3)
𝑘=1 The Roulette-Wheel method is applied to select the best
parent in the CONR problem. In this method each individual
Amount of pheromones, which will be found in inter-panel is assigned a slice of a circular “roulette wheel”, the size of
routes in iteration (t+1), is determined as in Eq. (4) depending the slice being proportional to the individual’s fitness. The
on the impact of evaporation as well. wheel is spun N times, where N is number of individuals in
𝑛
the population. On each spin, the individual under the wheel’s
𝑘 (𝑡,
𝜏𝑖𝑗 (𝑡 + 1) = ∑(1 + 𝑝)𝜏𝑖𝑗 (𝑡) + ∆ 𝜏𝑖𝑗 𝑡 + 1) (4)
marker is selected to be in the pool of parents for the next
𝑘=1
generation[11.13]
In Eq. (4), Ƥ is the degree of evaporation and receives a  Crossover Operation

value at intervals [0–1]. When the maximum number of
iterations is reached, the shortest tour length obtained is Crossover is considered one of the effective elements in the
considered as the solution of the problem [3]. performance of GA. The aim of this operation is to choose
good parents (chromosomes with high-value) in order to
C. Genetic Algorithm (GA) For CONR create children chromosomes (with bigger-value). In CONR
problem, the fiber optic cables were required to pass once
 Coding and structure of a chromosome from every panel. In order to avoid repeating the passage
through the same panel, the one cut crossover type is preferred.
In this study, it was used a code of some sort of Fig. 4 represents the example of crossover operation for
permutation type. Fig. 3 was given as an example of the CONR with 8 panels[11.14]
structure of a chromosome composed for 8 panels. It explains
the idea of finding the cheapest round-trip tour a fiber optic FIRST CHROMOSOME
5.panel 2.panel 7.panel 1.panel 4.panel 9.panel 3.panel 6.panel 8.panel
has to take by starting from the center panel and visiting all
SECOND CHROMOSOME
the 8 panels. 6.panel 2.panel 8.panel 4.panel 1.panel 5.panel 9.panel 3.panel 7.panel
1.Child
structure of a chromosome for CONR 2.Child
Fig. 3.Structure of a chromosome Fig. 4. Crossover Operation
 Mutation Operator
 The initial population generation
Mutation operator is also considered of the effective
When composing the initial population generation for elements in the performance of GA. The aim of mutation
CONR problem, there are 57 genes for each chromosome and operator is maintaining the diversity within the chromosome
this number differs from one problem to another. These 5 6 that exists in the population. The mutation operator cannot be
genes represent one chromosome and each chromosome is applied on all children (chromosomes), but only on a small
considered as path for the fiber optical cable. percentage of them. In CONR problem, the mutation operator
will swap the places of the panels in a single chromosome in
random form[11.14].
 Fitness Function
 Forming New Generation

The fitness function could be applied to find optimum
solution for solving the CONR Problem according to the
following Eq.(5). According to the results on fitness function, the new
population is compared with the previous population after
selecting the initial population generation, selecting parent,
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crossover and mutation operations, respectively. If the new TABLE 5. RESULTS OBTAINED FROM (GA) ALGORITHM.
population is better than the previous one, so the new
population will take its place. But if the previous one is better Search Information Result
than the new one, the new population will be neglected[11]. Number of iteration 3000
Found route distance 353400
1-9-51-54-21-55-43-42-
III. RESULTS AND DISCUSSION 45-25-23-24-17-18-46-
19-20-40-41-39-44-5-6-
In this study, it was investigated CONR problem with
11-2-7-8-10-15-37-33-
minimum cost and excavation process and maximum speed to Shortest route
52-36-38-35-34-30-31-
provide internet and telephone lines for Kirkuk city and the 32-29-53-28-50-27-26-
near regions in Iraqi using GA and ACO algorithms and the 49-56-57-48-16-4-13-
results of these algorithms were compared. To solve the 12-3-22-14-1
Kirkuk’s CONR problem, the C#2013 platform was preferred
for programming GA and ACO. The experiments showed that ACO algorithm gave the
The number of iteration was selected as 3000 times for both most optimal performance when the number of ants was equal
GA and ACO. Other parameter values for ACO and GA were to the number of fibre optic panels. Therefore, the shortest
given in Table 2 and Table 3, respectively. route obtained as 366100 km while the number of ants was
The obtained results from GA and ACO algorithms were selected as 56. Table 4 illustrates the optimum route distance
showed in Table 4 and Table 5. and the shortest route for ACO.
TABLE 2. As for GA when applying the same number of iterations
PARAMETER VALUES FOR ACO
3000, it was seen that the results was better than ACO
algorithm and the shortest route was obtained as 353400 km.
Parameters Value
From this results its concluded that the optimum solution for
Number of ants 56
CONR problem is using the GA algorithm with value out of
Pheromone relatively importance 1
353400 km. Furthermore, the shortest route obtained with GA
Relative importance of heuristic factor 3
Pheromone evaporation coefficient 0.1
was directly drew using actual locations of panels and this
route is shown in Fig. 5 which has been taken by the fibre
TABLE 3. optical cables in Kirkuk city.
PARAMETERS VALUES FOR (GA)
Parameters Value
Population size 3000
Selection strategy Roulette Wheel Selection

Crossover percentage on population 0.7
Mutation percentage on population 0.1
TABLE 4.
RESULTS OBTAINED FROM ACO ALGORITHM. Fig. 5. Shortest Route for Fibre Optics Cables in Kirkuk City
Search Information RESULT IV. CONCLUSION

Number of iteration 3000
Found route distance 366100 Many techniques have been invented for distribution
1-19-18-20-53-42-35- because of its great role in economic life. In this study,
31-37-38-11-9-8-2-15- connection oriented network routing was applied in order to
23-10-49-48-50-51- provide internet and telephone lines for Kirkuk city and the
52-27-28-29-30-55- near regions in Iraqi by using the fiber optical systems. It was
Shortest route 54-32-33-34-36-39- aimed to wire all the panels by fiber optic cables in minimum
12-3-6-45-26-22-21- cost, to raise the data transfer speed, to decrease the
41-40-7-16-14-5-17-4- excavation process. As a result, two different meta-heuristic
13-47-56-44-43-46- algorithms (ACO and GA) were applied to achieve these
24-25-1 targets and compared the results of them. After the
experiments, the optimum distance between the panels were
obtained with ACO and GA as 366100 km and 353400 km,
respectively. The results show that GA is the best optimization
algorithm for this problem.
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Parallelization of a Hierarchical Graph-Based Image Segmentation using

OpenMP
Ali Saglam∗ , Nurdan Akhan Baykan∗
∗ Department of Computer Engineering, Faculty of Engineering
Selcuk University
42130 Konya, Turkey
{alisaglam, nurdan}@selcuk.edu.tr
Abstract— In many image-processing applications, image seg- that consider local features are mostly preferred in real-time
mentation is an essential stage. In this stage, an image is applications [2].
partitioned into several regions according to the similarity of its Graph-based methods are some of the segmentation meth-
pixels. In addition to the accuracy of the image segmentation,
the speed is also very important for real-time image processing ods. Because of their representation relevance and ease of
applications. Many computer applications take advantages retention of images, the graph theory tools are utilized
of the multi-processor architecture to up to their running as prominent tools in computer vision [2]. In graph-based
performance. However, to run an algorithm as parallel is very segmentation methods, the nodes (or vertices) of the graph
difficult in many cases. Due to using the same memory blocks, refer the pixels of the image and the edges define the
many conflicts might be happened between the processors.
Moreover, each process of one processor may depend on connections between the adjacent (or neighboring) vertices.
those of another processor. For this reason, the algorithm to Each of these edges generally has a numerical value, which
be parallelized must be suitable to parallel. In addition, the is called weight [4]. The weights of the edges are considered
processing traffic that is pursued by the processors must be the difference of the gray level values or color values (if the
controlled within some parallel directives. In this paper, we segmentation is performed on a color image) of the vertices
provide a parallel implementation to a hierarchical graph-based
image segmentation method by using its hierarchical processing that exists at the ends of the edge. The difference is generally
steps. To achieve this goal, we utilize the OpenMP (Open Multi- computed by using Euclidean distance measurement [5].
Processing) Library to run the segmentation process as parallel Spanning trees are sub-graphs of a graph; such that they
on images of different sizes from the INRIA Holidays dataset. do not contain any loop and it is easy to make process on
The experimental results show that the parallel implementation the graph via the spanning tree structure. The spanning tree
of the algorithm is more effective than the serial type according
to processing time. of a graph that has the least total edge weight among the
Keywords— Parallel programming; Image segmentation; other spanning trees of the graph is called minimum spanning
Graph; OpenMP tree (MST) [4]. Image segmentation algorithms based on
minimum spanning tree take advantage of the features of
I. I NTRODUCTION the MST, because it takes no account of most of the edges
For many image processing application, the image seg- on the image-graph. Therefore, the cost of the operation is
mentation is one of the low-level and mid-level image reduced significantly [6].
processing stages. During the image segmentation stage, The segmentation process in MST-based segmentation
the pixels of an image are grouped into regions according algorithms comes true in two ways. The first way is the
to the similarity in the regions and differences among the cutting procedure in which the edges to be cut are removed
regions. This stage is one of the most difficult stages in the on the MST that covers all of the pixels of the image. The
image processing applications [1]. The consequence of this edges to be cut represent the borders on the image. By this
stage affects all of the following stages and their results. way, a tree is separated into several sub-trees. The sub-trees
Image segmentation reduces the large amounts of data for the represent regions in the image [5], [7], [8], [9]. The second
analysis operations. In an image, the segmentation process way is the merging procedure in which the sub-trees that
inherently focuses on the homogeneous regions and the bor- satisfies a homogeneity criterion are merged [10]. If two sub-
ders between them. It performs this task by using brightness, trees do not satisfy the criterion, they are not merged, and
color, pattern (texture), or density differences, etc. [2], [3]. in this case, the border between the two regions that the two
Many pattern recognition and computer vision applications sub-trees represent occurs. In this paper, we parallelize the
take advantage of the global features of the images for more merging procedure that is performed hierarchically.
accurate segmentation. However, in this way, the processing Efficient Graph-Based Image Segmentation algorithm,
time exceeds the allocated time for the input frame periods of which is proposed by Felzenszwalb and Huttenlocher, de-
the used camera in many real-time computer visions system. fines a merging criterion [10]. The algorithm employs the
Due to the computational complexity of the methods that Kruskal’s algorithm [12], which is one of the most popular
take into account the global features of the images, those MST algorithms. In this algorithm, all of the edges of
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260
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the graph structured an image is sorted in ascending order out the similarity, the one-dimensional gray-scale values or
according to their weight. Then, the edges are added to the multi-dimensional color values of the pixels can be used,
MST structure by starting the shortest edge, such that the and to compute the difference for both ways, the Euclidean
MST is empty at first. If the trees that are at the ends of the distance measurement can be used. The edge (u, v) connects
edge to be added do not satisfy the merging criterion, the the vertices u and v, and w(u, v) is the weight value of the
edge is not added. By the way, the MST may be divided edge. Let xu be the one-level gray-scale value, and xu,i be
into more than one sub-trees. Haxhimusa and Kropatsch the ith value of the z-level color vector of the vertex u where
[13] used this merging criterion on Boruvka’s hierarchical i = {1, 2, . . . , z}. The Euclidean distance as the weight value
MST algorithm [14]. In this algorithm, each node (vertex) of (u, v) is computed as in Eq. 1.
assumed a sub-tree, and each merging process of these sub- z
1
X
trees actualizes independently from others. For this reason, w(u, v) = ( (xu,i − xv,i )2 ) 2 (1)
this makes it suitable for parallelization. i=1
Nowadays, the multi-core processors are prevalent; and
A. Boruvka’s Minimum Spanning Tree Algorithm
therefore, the parallel programming has been a very popular
issue. Scientific and engineering programs such as image- Boruvka’s MST algorithm constructs an MST structure
processing applications need to be fast to overcome the heavy from a graph, such that the graph must be a weighted,
processing load in limited times. In order to make use of undirected, and complete graph (Fig. 1). According to the
this technology, parallelization of the applications reduces algorithm, each vertex is assumed as a tree at first stage
the process load. Obtaining the same or similar results with and no one is connected to any other one. The union of
sequential execution and ensuring to not overlapping of the multiple trees is called forest. At first, all of the vertices
parallel operations is mostly important and difficult matters compose the forest F0 , because each vertex is a tree such
for parallel programming issue. In this paper, we organize that F0 = T1 ∪ T2 ∪ . . . ∪ Tn , such that n refers to the
the hierarchical graph-based image segmentation algorithm number of the vertices on the graph G. Ti refers to the ith
as appropriate for parallel execution [15]. tree (Ti equals to the ith vertex at first stage) and each tree Ti
chooses the smallest edge (u, v) where u ∈ Ti and v ∈ / Ti ,
II. T HE H IERARCHICAL G RAPH -BASED I MAGE then the edge is added to the new forest F1 that is being
S EGMENTATION composed for the next stage. At the begin of the next stage,
Let the graph G = (V, E) be the image-graph that is the number of the trees will have been reduced by at least
constructed from an image. V represents the set of the one-half, i.e., t will have been decreased by at least one-half.
vertices in the graph G, such that each vertex refers a If any edge is not added in the current stage, on the other
pixel in the image and V contains all of the pixel-vertices. words, the last forest Flast has one tree, the algorithm ends.
E represents the set of the edges that connects each ver-
tex to its neighboring vertices. In this paper, 8-connected B. The Graph-Based Segmentation Algorithm
neighborhood is used as a neighborhood system. The edges In the MST of a graph representation of an image, the
are generally weighted and undirected. The weight of each highest weighted edges represent the boundaries of the image
edge is a numerical and positive value that indicates the (Fig. 1). Felzenszwalb and Huttenlocher have segmented the
degree of similarity between two vertices at the ends of images by detecting the edges of the boundaries, which
the edge. As the degree of similarity two vertices is lower, are called boundary edges [10], [11]. For the purpose of
the weight value is higher(Ters orantllar hocam). To figure to detect the boundary edges to be excluded from the
a. b. c.
Fig. 1. (a) A simple black and white image , (b) the graph representation of the image according to 4-connection neighborhood, (c) the MST of the
image extracted from its graph representation and an example of boundary edge in the MST
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MST, Felzenszwalb and Huttenlocher have used the merging of trees t is equal to the number of vertices |V | initially.
criterion Eq. 2 in the Kruskal’s MST algorithm. According For each tree Ti , the smallest edge (u, v), where u ∈ Ti and
to the Kruskal’s algorithm, each vertex in the graph G that is v ∈/ Ti , is found. If the weight value w(u, v) satisfies the
representation of the image seems as a tree. Firstly, all of the criterion in Eq. 2, the tree Tu to which the vertex u belongs
edges in G are sorted in order to their weight in ascending and the tree Tv to which the vertex v belongs are merged,
order. The two trees at the ends of the smallest weight edge and thus, the number of tree is reduced to one. After these
in the sorted edge queue are merged if the two trees are processes are complete for each tree, this cycle is repeated
not the same tree, and the edge is removed from the queue. iteratively. If no merging is happened, the algorithm ends.
At last, only one single tree remains such that it is called
III. T HE PARALLEL I MPLEMENTATION OF T HE
MST [12]. If the merging criterion in Eq. 2 is applied on the
A LGORITHM
algorithm, more than one MSTs might remain at the end of
this process [10]., because the edges that does not satisfy the A. OpenMP
criterion are not added to the MST to be formed, and thus, Multi-core processors have become quite prevalent nowa-
the MST that covers all of the vertices might not be created. days. Scientific and engineering programs such as image-
processing applications need to be fast to overcome the
Dif f (T1 , T2 ) < min(Int(T1 ) + k/|T1 |, Int(T2 ) + k/|T2 |) high processing load in limited times. In order to make
(2) use of the multi-core processor technology, such applications
In Eq. 2, T1 and T2 are the sub-trees to be merged. need to be parallelized. Therefore, some libraries and tools,
Dif f (T1 , T2 ) defines the weight value of the shortest which are developed to take advantage of the multi-core
weighted edge that connects the trees T1 and T2 . Int(T1 ) processor architecture, should be used and the programs
and Int(T2 ) defines the internal difference of T1 and T2 that will be parallelized must be coded suitable for paral-
respectively. An internal difference of a tree is the weight lelization. OpenMP (Open Multi-Processing) is a run-time
value of the highest weighted edge in the tree. |T1 | and program library that has routines and environment variables
|T2 | defines the number of vertices in the trees T1 and T2 and includes a set of compiler directives. The directives
respectively. The constant value k refers to a threshold value can be embedded into C/C++ and Fortran programming
that controls how much greater Dif f (T1 , T2 ) must be than languages using shared-memory platforms to run codes on
the internal differences of the trees T1 and T2 . more processors [17]. On the platforms like these, OpenMP
In this paper, Eq. 2 is utilized as a merging criterion in provides an easier programming model. However, getting
the Boruvka’s algorithm, because the Boruvka’s algorithm high performance from OpenMP sometimes might be a very
progresses in a hierarchical order. Due to this reason, this difficult task. The acceleration rate of the program that
algorithm is more suitable for parallelization than the other use OpenMP directives depends on many factors, including
popular MST algorithms [16]. The hierarchical graph-based the problem how the variables are used in the code, data
image segmentation algorithm is sketched in Fig. 2. layout, workload balancing and so on. OpenMP is especially
In Fig. 2, the constructed graph G = (V, E) is obtained useful for partitioning a loop and running the iterations of
from the image used, and then it is taken to the process as an the loop on more processors simultaneously. For that, the
input data. Firstly, each vertex seems as a tree. The number loop dependencies need to be configured in accordance to
parallelism [17].
B. Implementation of The Parallel Directives
The parallel computation is put into practice in three ways:
general-purpose computing on graphics processing units, via
a message processing interface, or using shared memory
architecture (OpenMP) [18]. In a shared memory model
system, threads, which are processes such that each runs
as parallel, are communicated each other by reading and
writing directly to the same memory. Since the OpenMP
specification was introduced as a standard shared-memory
programming model in 1998, there have been many studies to
Fig. 2. The steps of the hierarchical segmentation algorithm Fig. 3. A simple presentation of a shared memory architecture
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implement the OpenMP directives to their programs to run as expression omp unset lock by the processor that has set
parallel [19]. By using the OpenMP instructions, it is easy to the lock.
solve the high processing load problems of the classic single Another problem for synchronizing the processes is the
pipeline program model, because OpenMP execute some mutual exclusion problem. In cases when two clusters
calibrations automatically, and we do not need to consider chose each other as nearest cluster on different threads
which core should run in which part of the calculation [20]. simultaneously, a crash may happen. To solve this problem,
OpenMP uses a fork-join model, which is a standard way we get the related code into a critical block by the directive
to execute a parallel program on shared-memory systems critical. By this way, only one processor employs the codes
(Fig. 3). Firstly, a parallel program begins to run on a single that are in the critical block as seen below:
thread called master thread. Once the process flow encounters
a parallel block, the process flow is separated to several #pragma omp critical
threads (known as the fork) to run on additional processor {
cores [21]. omp set lock(mylock1);
OpenMP provides several mechanisms to run the code as omp set lock(mylock2);
parallel. Additionally, OpenMP provides an extra translator }
that analyzes the parallel loop and generate executor
code before the OpenMP translation [19]. The translator There is also another directive for getting the code into
determines the number of cores to run, separates the loop a critical block, which is called atomic such that it is used
into sub-loops automatically according to the number of the for only one variable to perform faster processing [17]. For
cores, and employs each sub-loops to different threats. The example:
example of its use is as below:
#pragma omp atomic
#pragma omp parallel f or a = a − 1;
f or(i = 0; i < 1000; i + +)
{
x[i] = y[i];
}
OpenMP provides some directives as private and shared

to define how the parallel regions use the data values. In par-
allel programming, synchronization is used to impose some
order constraints and to organize to access to shared data.
OpenMP also provides several mechanisms to synchronize
the parallel threads, with critical, atomic, lock, ordered,
f lush, and barrier [15], [22].
To synchronize the parallel graph-based algorithm, we
used the lock directive. In the block for merging clusters,
if we embed the locking mechanism in the processes, the
threads that each works on a different cluster will also
wait to each other [23]. In this way, the flow would not be
parallel. Therefore, we restricted to the threads that own
the same index of lock array so that the index is the cluster
number at the same time. The example of its use is as below:
mylock = new omp lock t();

omp init lock(&(mylock));
lock array = new omp lock t[size];

f or(i = 0; i < size; i + +)
{
omp init lock(&(lock array[i]));
}
If a lock is set with the expression omp set lock by a

processor, other processors that wants to set this lock must
be waiting the processor until the lock is unset with the Fig. 4. Parallel implementation of the algorithm in Fig. 2
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The parallel implemented version of the algorithm in Fig. In Fig. 5, the original versions of some images from
2 is sketched in Fig. 4. INRIA Holidays dataset [25], their segmentation results and
which processor has performed on which segments of the
IV. E XPERIMENTAL R ESULTS AND D ISCUSSION
images in last iteration are presented.
The system that has been used for the values in Table I has
32 bit Intel i5-2400 3.10-GHz Quad Core processor with 4 We applied the algorithm on some images from INRIA
GB RAM. We used C++ programming language. To import Holidays dataset [25] in the different versions of the images
and illustrate the images, we used OpenCV (Open Source as the sizes of 128×96, 256×192, 512×384, and 1024×768.
Computer Vision) library [24]. We executed the program five times for each elapsed time
Fig. 5. Visualization of the segmentation results and the task sharing of the processors for some images
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TABLE I
T HE E LAPSED T IMES ( S ) OF S OME I MAGES FROM T HE DATASET WITH T HE D IFFERENT I MAGE S IZES AND T HE N UMBER OF C ORES
Image Sizes 128 × 96 256 × 192 512 × 384 1024 × 768

Number of Cores
Image Names 1 2 3 4 1 2 3 4 1 2 3 4 1 2 3 4
200200 0.036 0.031 0.028 0.029 0.172 0.135 0.123 0.123 0.745 0.583 0.543 0.518 3.171 2.427 2.203 2.133
203600 0.036 0.030 0.028 0.028 0.179 0.138 0.127 0.123 0.781 0.602 0.550 0.526 3.308 2.492 2.317 2.168
203900 0.035 0.029 0.027 0.029 0.179 0.137 0.128 0.123 0.776 0.572 0.519 0.510 3.074 2.337 2.118 2.099
206400 0.038 0.031 0.029 0.029 0.179 0.140 0.129 0.126 0.753 0.581 0.536 0.524 3.200 2.460 2.310 2.195
207000 0.037 0.031 0.029 0.031 0.178 0.138 0.131 0.127 0.773 0.576 0.525 0.544 3.157 2.407 2.233 2.143
207600 0.038 0.031 0.029 0.029 0.185 0.150 0.132 0.129 0.754 0.594 0.541 0.536 3.162 2.402 2.272 2.154
211100 0.036 0.031 0.029 0.029 0.186 0.146 0.132 0.131 0.723 0.584 0.519 0.535 3.152 2.408 2.210 2.154
213700 0.036 0.031 0.029 0.030 0.180 0.144 0.131 0.132 0.756 0.593 0.539 0.533 3.196 2.481 2.221 2.209
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A Performance Comparison of Graph Coloring

Algorithms
Murat Aslan*, Nurdan Akhan Baykan*
*
Department of Computer Engineering, Engineering Faculty, Selcuk University, Konya, Turkey
{murataslan, nurdan}@selcuk.edu.tr
Abstract— Graph coloring problem (GCP) is getting more vertices. Therefore, these vertices are not adjacent vertices.
popular to solve the problem of coloring the adjacent regions in a However, the other vertices in the graph are adjacent because
map with minimum different number of colors. It is used to solve there is at least one edge between each other. In the context of
a variety of real-world problems like map coloring, timetabling this study we described vertex coloring problem in graphs. If
and scheduling. Graph coloring is associated with two types of
coloring as vertex and edge coloring. The goal of the both types
an undirected 𝐺 = (𝑉, 𝐸 ) graph is examining; 𝑉 is the set of
of coloring is to color the whole graph without conflicts. vertices and 𝐸 is the set of edges. The graph which is given in
Therefore, adjacent vertices or adjacent edges must be colored Fig. 1, the set of vertices are 𝑉 = {𝑣1 , 𝑣2 , 𝑣3 , 𝑣4 } and the set
with different colors. The number of the least possible colors to of edges are 𝐸 = {𝑒1 , 𝑒2 , 𝑒3 , 𝑒4 , 𝑒5 } . In addition, R =
be used for GCP is called chromatic number. As the number of {1,2, … … … , 𝑘} is the set of colors which are used for coloring
vertices or edges in a graph increases, the complexity of the the vertices. In this case, if the whole graph colored without
problem also increases. Because of this, each algorithm can not conflicts is performed by utilizing the minimum number of
find the chromatic number of the problems and may also be different colors, it’s called “k-coloring graph” [4]. This
different in their executing times. Due to these constructions,
minimum number of different colors is known as chromatic
GCP is known an NP-hard problem. Various heuristic and
metaheuristic methods have been developed in order to solve the number. Chromatic number is indicated by χ(G) [5,6].
GCP. In this study, we described First Fit (FF), Largest Degree
Ordering (LDO), Welsh and Powell (WP), Incidence Degree
Ordering (IDO), Degrees of Saturation (DSATUR) and
Recursive Largest First (RLF) algorithms which have been
proposed in the literature for the vertex coloring problem and
these algorithms were tested on benchmark graphs provided by
DIMACS. The performances of the algorithms were compared as
their solution qualities and executing times. Experimental results
show that while RLF and DSATUR algorithms are sufficient for Figure 1. A graph with four vertex and five edge
the GCP, FF algorithm is generally deficient. WP algorithm finds
out the best solution in the shortest time on Register Allocation,
CAR, Mycielski, Stanford Miles, Book and Game graphs. On the
Graph coloring problem is mostly used for solving
other hand, RLF algorithm is quite better than the other computer based applications and problems. Graph coloring
algorithms on Leighton, Flat, Random (DSJC) and Stanford algorithms are usable for solving the many engineering
Queen graphs. applications and real-world problems [2]. Some of the these
problems are Map Coloring [7], Timetabling and Scheduling
Keywords — Chromatic number, Graph coloring algorithms. problems [8,9], Register Allocation problems [10,11], Sudoku
problem [12] and Frequency Assignment problems [13].
I. INTRODUCTION As the number of vertices or edges in a graph increases, the
Graph theory is a problem represented with vertices (nodes) complexity of the problem also increases. Because of this,
and edges (arcs) [1]. Otherwise, graph coloring problem each algorithm can not find the chromatic number of the
(GCP) is a problem where adjacent vertices or edges in graph problems and may also be different in their executing times.
must be colored by using different colors [2]. GCP was Due to these conditions, GCP is known an NP-hard problem
proposed by Francis Gutrie as the four color problem. Four [14]. Hence, for getting a better solution for GCP many
color problem has described by F. Gutrie to solve the problem hueristic and meta-huestistic algorithms are developed.
of coloring the adjacent regions in a map using the minimum Huerictic algorithms generally can be used for a problem with
number of diffrent colors [3]. fewer numbers of vertices. On the other hand, for the complex
Graph coloring is associated with two types of coloring as graphs meta-hueristic algorithms can find better solutions [15].
vertex and edge coloring [2]. The goal of the both types of Tabu Search (TS) Algorithm [16], Simulated Annealing
coloring is to color the whole graph without conflicts. (SA) Algorithm [17], Genetic Algorithm (GA) [7], Ant
Therefore, adjacent vertices or edges must be colored with Colony (ACO) Algorithm [18], Cuckoo (COA) Algorithm
different colors. If there is at least one link (edge) between [15] are some of the meta heueristic algorithms used for graph
two nodes, it is called adjacent vertices. If the Fig. 1 examines, coloring problem. When the vertices in a graph 𝐺 are colored
it can be seen that there is no edge between V2 and V4 by means of the greedy algorithms, the coloring issue is
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performed with selecting and coloring methods of algorithms. TABLE I

ADJACENCY MATRİX
These algorithms are called greedy algorithms because of the
algorithms choice the best validy selection for every operation A B C D E F G
step. The greedy algorithms generally provide effective and A 0 1 1 0 0 0 0
sufficient results for vertex coloring [15]. In this study, we B 1 0 1 0 0 0 1
described First Fit (FF) [19], Largest Degree Ordering (LDO) C 1 1 0 1 1 0 0
[19], Welsh and Powell (WP) [5], Incidence Degree Ordering D 0 0 1 0 0 1 0
(IDO) [19], Recursive Largest First (RLF) [20] and Degrees E 0 0 1 0 0 1 1
of Saturation (DSATUR) [21] algorithms which have been F 0 0 0 1 1 0 0
proposed in the literature for the vertex coloring problem and G 0 1 0 0 1 0 0
these algorithms were tested on benchmark graphs provided
by DIMACS [22]. The performances of the algorithms were
TABLE II
compared with each other in terms of their solution qualities THE DEGREES OF VERTİCES
and executing times.
Vertices A B C D E F G
II. VERTEX COLORİNG PROBLEM Deg (v ) 2 3 4 2 3 2 2
If the vertices in a graph are colored with different colors
without considering their adjacencies, this graph would be
colored utilizing the number of the different colors which are III. VERTEX COLORİNG ALGORİTHMS IN GRAPHS
equal to number of vertices. However, this is not a good At this section of the study we describe the steps of the
solution for GCP. Because, the purpose of the GCP is to find some algorithms which have been proposed in the literature
the minimum number of the colors for adjacent vertices for the vertex coloring problem. Also these algorithms will be
colored with different colors. tested on the graph in Fig. 2. Then the selecting order of the
As the number of vertices or edges in a graph increases, the vertices and the color of each vertex are given.
complexity of the graph also increases. Because of this,
coloring the entire graph is getting difficult by the least A. First Fit Algorithm (FF)
possible different colors. Therefore, we need some particular For the given G graph, the set of the vertices is described as
methods for coloring the graphs. Thanks to particular methods, 𝑉 = {𝑣1 , 𝑣2 , … . . , 𝑣𝑛 } and the set of the colors is described as
the graphs can be colored with minimal different colors. 𝑅 = {𝑟1 , 𝑟2 , … , 𝑟𝑘 }. The steps of the algorithm:
Algorithms in the literature use the adjacency matrix for
coloring the vertices of graphs. Adjacency matrix is generated Step 1: Create a color set. (initially the color set is empty).
based on the condition that whether any edge exists between Step 2: The first vertex in the set of V is selected as the
starting vertex. The selected vertex is colored with first color
vertices [1]. For a 𝐺 graph, the set of vertices are shown in
and this color is added to color set.
the set of 𝑉 = {𝑣1 , 𝑣2 , … … … . , 𝑣𝑛 }. The adjacency matrix of a
Step 3: Next vertex in the set of V is selected for coloring.
graph is generated by the equation 1. 𝐴 is represents the
Step 4: For selected vertex, find the adjacent vertices of it from
adjacency matrix.
the adjacency matrix. A color which is in the color set, but not
color of the adjacent vertices of selected vertex is given to the
1, if the exists an egde between 𝑉𝑖 𝑖𝑙𝑒 𝑉𝑗 (1) selected vertex. If the colors in the color set unsuitable for
𝐴 = { coloring the selected vertex, a new color is defined. The new
0 otherwise
color is added to the color set and appointed to the selected
Another important constraint for the selection of the vertex vertex. If the uncolored vertex exists, it is returned to the step
to be colored is vertex degrees. A degree of a vertex in an 3.
undirected and unweight graph is equal to the total number of Table III shows the result for the graph shown in Fig. 2.
edges connected to the vertex. It’s shown with 𝑑𝑒𝑔(𝑣𝑖 ) [1]. Selected order of the vertices and their colors are given in
The graph given in Fig. 2 has seven vertices and nine edges. Table III. According to Table III, the first colored vertex is 𝐴
and the color 𝑟1 is given this vertex. The last colored vertex
is 𝐺 and the color 𝑟3 is given this vertex.
TABLE III
THE RESULT OF THE COLORED GRAPH USING THE FF ALGORITHM
Figure 2. A graph with seven vertices A B C D E F G

Selected order 1 2 3 4 5 6 7
Table I shows the adjacency matrix for the graph presented Vertex color 𝑟1 𝑟2 𝑟3 𝑟1 𝑟1 𝑟2 𝑟3
in Fig. 2 and and Table II shows the degrees of vertices for
this graph.
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B. Welsh Powell Algorithm (WP) Table V shows the result for the graph shown in Fig. 2.
For the given graph 𝐺, the set of the vertices is described as Selected order of the vertices and their colors are given in
𝑉 = {𝑣1 , 𝑣2 , … . . , 𝑣𝑛 } and the set of the colors of the vertices is Table V.
described as 𝑅 = {𝑟1 , 𝑟2 , … , 𝑟𝑘 } . The steps of the WP TABLE V
algorithm: THE RESULT OF THE COLORED GRAPH USING THE LDO ALGORITHM
Step 1: The vertex degree of each vertex is calculated and the A B C D E F G

vertex degrees are added to the degree set 𝐷𝑒𝑔(𝑣𝑖 ), such that
𝑖 = 1,2, … , 𝑛.
Step 2: The uncolored vertex that has the largest degree in the Vertex color 𝑟3 𝑟2 𝑟1 𝑟2 𝑟2 𝑟1 𝑟1
degree set 𝐷𝑒𝑔(𝑣𝑖 ) is selected for coloring. Initially, the first
color in the color set is selected as the active color.
Step 3: The selected vertex is colored with active color. After D. Incidence Degree Ordering Algorithm (IDO)
that, find the uncolored vertices from adjacency matrix which For the given graph 𝐺, the set of the vertices is described as
are not adjacent vertices of the colored vertex and these 𝑉 = {𝑣1 , 𝑣2 , … . . , 𝑣𝑛 } and the set of the colors of the vertices is
vertices are added to the 𝑉′ set ( 𝑉′ = {𝑣 ′ 1 , 𝑣 ′ 2 , … . , 𝑣 ′ 𝑛 } ). described as 𝑅 = {𝑟1 , 𝑟2 , … , 𝑟𝑘 } . The steps of the IDO
 The uncolored vertex that has the largest degree in algorithm:
the 𝑉′ is selected for coloring. This vertex is colored Step 1: The vertex degree of each vertex is calculated and the
with active color. After that, the adjacent vertices of vertices degrees are added to the degree set 𝐷𝑒𝑔(𝑣𝑖 ), such that
the this vertex deleted from 𝑉′. This step is repeated 𝑖 = 1,2, … , 𝑛. Initially, there is just one color in the color set.
until all vertices colored in the set of 𝑉′. Step 2: The uncolored vertex that has the largest degree in the
Step 4: If the uncolored vertex exists, next color in the color degree set 𝐷𝑒𝑔(𝑣𝑖 ) is selected for coloring. The selected
set is selected as active color and it is returned to the step 2. vertex is colored with the first color.
Otherwise the program is terminated, because all vertices in the Step 3: The number of the colored adjacent vertices is
graph are colored. calculated for every uncolored vertices. After that, the
uncolored vertex whose colored neighboring vertices are the
Table IV shows the result for the graph shown in Fig. 2. maximum is selected. If more than one vertex provides this
Selected order of the vertices and their colors are given in condition, the vertex which has the largest degree among them
Table IV. is selected.
TABLE IV
Step 4: Firstly, the selected vertex with the colors in the color
THE RESULT OF THE COLORED GRAPH USING THE WP ALGORITHM set is tried to color. If the colors in the color set are not
appropriate to color the vertex, a new color is defined. The new
A B C D E F G color is added to the color set and appointed to the selected
Selected order 7 4 1 6 5 2 3 vertex.
Vertex color 𝑟3 𝑟2 𝑟1 𝑟2 𝑟2 𝑟1 𝑟1 Step 5: If the uncolored vertex exists, it is returned to the step
3. Otherwise, the program is terminated.
C. Largest Degree Ordering Algorithm (LDO) Table VI shows the result for the graph shown in Fig. 2.
Selected order of the vertices and their colors are given in
For the given graph 𝐺, the set of the vertices is described as
Table VI.
𝑉 = {𝑣1 , 𝑣2 , … . . , 𝑣𝑛 } and the set of the colors of the vertices is
described as 𝑅 = {𝑟1 , 𝑟2 , … , 𝑟𝑘 } . The steps of the LDO TABLE VI
algorithm: THE RESULT OF THE COLORED GRAPH USING THE IDO ALGORITHM
Step 1: Create a color set. (initially the color set is empty). A B C D E F G

The vertex degree of each vertex is calculated and the vertex Selected order 4 3 1 6 2 7 5
degrees are added to the degree set 𝐷𝑒𝑔(𝑣𝑖 ), such that 𝑖 =
1,2, … , 𝑛. Vertex color 𝑟3 𝑟2 𝑟1 𝑟2 𝑟2 𝑟1 𝑟1
Step 2: The uncolored vertex that has the largest degree in the
degree set 𝐷𝑒𝑔(𝑣𝑖 ) is selected for coloring. Firstly, the
selected vertex is tried to color with the colors in the color set. E. Degrees of Saturation Algoritması (DSATUR)
If the color set is empty or the colors in the color set are not For the given graph 𝐺, the set of the vertices is described as
appropriate (all colors int the color set used from the adjacent 𝑉 = {𝑣1 , 𝑣2 , … . . , 𝑣𝑛 } and the set of the colors of the vertices is
vertices) for color the vertex, a new color is defined. The new described as 𝑅 = {𝑟1 , 𝑟2 , … , 𝑟𝑘 } . The steps of the DSATUR
color is added to the color set and appointed to the selected algorithm:
vertex. Step 1: The vertex degree of each vertex is calculated and the
Step 3: If the uncolored vertex exists, it is returned to the step vertices degrees are added to the degree set 𝐷𝑒𝑔(𝑣𝑖 ), such that
2. Otherwise the program is terminated. 𝑖 = 1,2, … , 𝑛.
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Step 2: The uncolored vertex that has the largest degree in the the number adjacent vertices which are in the set of U
degree set 𝐷𝑒𝑔(𝑣𝑖 ) is selected for coloring. The selected for every vertex in set of V′. After that, the uncolored
vertex is colored with first color. vertex whose has maximum adjacent vertices (which
Step 3: Firstly, calculate the number adjacent vertices which are in the set of U ) in the set of 𝑉′ is selected for
are colored with different colors for every uncolored vertex. coloring. The selected vertex is colored with active
After that, the uncolored vertex whose number of adjacent color.
vertices colored with different colors is the maximum is  The colored vertex and the adjacent vertices of the
selected for coloring. If more than one vertex provide this colored vertex are deleted from 𝑉 ′ and added to the
condition, the vertex which has the largest degree among them set of U.
is selected.  If the set of V′ is not empty, it is returned to the step 2.
Step 4: Firstly, the selected vertex is tried to color with the Otherwise move to step 3.
colors in the color set. If the colors in the color set are not
appropriate to color the vertex, a new color is defined. The new Step 3: If the uncolored vertex exists, next color in the color
color is added to the color set and appointed to the selected set is selected as active color. Otherwise the program is
vertex. terminated.
Step 5: If the uncolored vertex exists, it is returned to the step Step 4: Calculate the number adjacent vertices for every
3. Otherwise the program is terminated. uncolored vertex. After that, the uncolored vertex whose has
maximum adjacent vertices is selected for coloring process.
For DSATUR algorithm; Table VII shows the result for the If more than one vertex provide this condition, the vertex
graph shown in Fig. 2. which has the largest degree among them is selected. Then, it
is returned to the step 2.
TABLE VII
THE RESULT OF THE COLORED GRAPH USING THE DSATUR ALGORITHM
For RLF algorithm; Table VIII shows the result for the
A B C D E F G graph shown in Fig. 2. Selected order of the vertices and their
colors are given in Table VIII.
Vertex color 𝑟3 𝑟2 𝑟1 𝑟2 𝑟2 𝑟1 𝑟1 TABLE VIII

THE RESULT OF THE COLORED GRAPH USING THE RLF ALGORITHM
A B C D E F G
F. Recursive Largest First Algorithm (RLF)
RLF is used a recursive structure for coloring the vertices
in graph. This recursive structure is the most important feature Vertex color 𝑟2 𝑟3 𝑟1 𝑟2 𝑟2 𝑟1 𝑟1
of the RLF algorithm [20]. According to this recursive
structure, whole graph is colored with minimum different
colors. For the given G graph, the set of the vertices is IV. EXPERIMENT RESULT
described as 𝑉 = {𝑣1 , 𝑣2 , … . . , 𝑣𝑛 } and the set of the colors is FF, LDO, WP, IDO, DSATUR and RLF algorithms were
described as 𝑅 = {𝑟1 , 𝑟2 , … , 𝑟𝑘 } . The steps of the RLF tested on benchmark graphs provided by DIMACS [22]. The
algorithm: reason of preferring the DIMACS graph, it’s given a standard
for performance comparison of the algorithms. The
Step 1: Vertex degree is calculated for each vertex and the performances of the algorithms were compared as their
degrees of vertices added to the set of 𝐷𝑒𝑔(𝑣𝑖 ). Initially, the solution quality and executing times. The edge density (D) of
first color in the color set is selected as the active color. Select the benchmark graphs which are used in this study are
the uncolored vertex which has the largest degree from set of calculated from equation 2. E represents the number of the
𝐷𝑒𝑔(𝑣𝑖 ) for coloring. edges and V represents the vertices number of the graph [23].
Step 2: The selected vertex is colored with active color.
Adjacent vertices of the selected vertex can not color with 2∗𝐸
active color. But the uncolored vertices which are not adjacent 𝐷= ( 2)
V ∗ (V − 1)
vertices of the colored vertex can be colored with active color.
So RLF uses a recursive structure for select the uncolored In this study we used Mycielski, CAR, Stanford Graph Base
vertices to color with active color. During this process the (SGB), Register Allocation, Leighton, Flat, Random (DSJC)
below steps should be followed: and Random geometric (DSJR and R250) DIMACS graphs. V
 Adjacent vertices of the selected vertex vi are found represents the number of the vertices, E is the number of the
from adjacency matrix. Adjacent vertices are added edges, Den. represents density, Best/χ(G) means chromatic
to the adjacent set U. ( 𝑈 = {𝑢1 , 𝑢2 , … … . , 𝑢𝑡 } ) number or the best known number, R represents the number of
 The vertices which are not adjacent vertices of the colors that algorithms are found, T is computation time in
selected vertex vi are found from adjacency matrix. seconds. The algorithms are written in the programming
These vertices are added to the set of 𝑉′ . Calculate language Matlab R2010a. For experiments we used a Laptop
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computer. It has Intel Core i5 2.20 GHz processor and 8 GB (anna), Homer’s Iliad (homer) and Mark Twain's Huckleberry
DDR3 RAM. Finn (huck). For miles graphs the vertices represents some of
Mycielski graphs are triangle free graphs. It’s mean that the the United States cities and if there is a road between two cities
edge connections in the graph must be free of triangle. For which provides the conditions, there is an edge generated
mycielski graph, if the vertices in the graph increases, the between them. For game graph, any vertex in the graph
number of the colors for coloring the graph increases too [24]. represents a college team. There is an edge generated between
Stanford GraphBase (SGB) graphs are created from Donald for every two teams when the teams played to each other
Knuth. SGB graph can be divided to books, miles, game and during the season. Table IX shows the results for algorithms
queen graphs [22]. For books graphs, a character in the book which are used for this study. Except the FF algorithm all other
represents a vertex. So the books graphs are created for holds algorithms find out the best/χ(G) results. In addition, FF
to relationship between characters. If the characters in the book algorithm finds out the best/χ(G) results for graphs which are
have relationship to each other, an edge is generated between used for this study except miles graphs and anna, David, homer
two vertex which characters run across in the book. These graph. On the other hand, if the algorithms compared to each
books are Charles Dicken's David Copperfield (david), Victor other about their computation times, WP algorithm is reached
Hugo's Les Misêrables (jean), Lev Tolstoy's Anna Karenina these conclusions in a quite short time.
TABLE IX
THE RESULTS AND COMPUTATION TIMES FOR MYCIELSKI AND SGB GRAPHS
RLF DSATUR WP LDO IDO FF

Graph V E Den. Best/χ(G)
R T R T R T R T R T R T
myciel3 11 20 0,33 4 4 0,0004 4 0,0023 4 0,0001 4 0,0002 4 0,0009 4 0,0001
myciel4 23 71 0,27 5 5 0,0009 5 0,0077 5 0,0002 5 0,0005 5 0,0028 5 0,0003
myciel5 47 236 0,21 6 6 0,0024 6 0,0255 6 0,0003 6 0,0010 7 0,0085 6 0,0006
myciel6 95 755 0,17 7 7 0,0075 7 0,0876 7 0,0004 7 0,0024 7 0,0309 7 0,0016
myciel7 191 2360 0,13 8 8 0,0293 8 0,3254 8 0,0006 8 0,0068 8 0,1366 8 0,0054
miles1000 128 3216 0,39 42 42 0,1065 42 1,2942 43 0,0016 43 0,0123 43 0,7013 44 0,0121
miles1500 128 5198 0,63 73 73 0,3158 73 2,6877 73 0,0024 73 0,0219 73 1,6033 76 0,0220
miles500 128 1170 0,14 20 20 0,0250 20 0,3249 20 0,0010 20 0,0055 20 0,1360 22 0,0049
miles750 128 2113 0,26 31 31 0,0522 31 0,7112 32 0,0013 32 0,0083 31 0,3443 34 0,0081
anna 138 493 0,05 11 11 0,0135 11 0,1231 11 0,0006 11 0,0037 11 0,0457 12 0,0026
david 87 406 0,11 11 11 0,0076 11 0,1026 11 0,0005 11 0,0025 11 0,0346 12 0,0017
homer 561 1629 0,01 13 13 0,3404 13 0,5412 13 0,0024 13 0,0232 13 0,2460 15 0,0183
huck 74 301 0,11 11 11 0,0062 11 0,0745 11 0,0005 11 0,0021 11 0,0244 11 0,0014
jean 80 254 0,08 10 10 0,0060 10 0,0616 10 0,0004 10 0,0020 10 0,0198 10 0,0013
games120 120 638 0,09 9 9 0,0180 9 0,1537 9 0,0006 9 0,0039 9 0,0577 9 0,0032
R: Result of the algorithm, T: Computation time (in second)
Queen graphs are 𝑛𝑥𝑛 dimensional chessboard graphs. If graphs. Experimental results show that while RLF and
two queens on the chessboard are in the same row, column, or DSATUR algorithms are sufficient for the queens graphs, but
diagonal, there is an edge generated between them. So, if two the other algorithms are generally deficient. RLF algorithm
queens placed in same row, column or diagonal, one queen can finds out just only the chromatic number of queen5_5 graph
eat the other one. Because of this, there is an edge between and also it finds out quite better results for the other queen
them for they don’t eat each other. For queens graph if only the graphs. DSATUR algorithm generally finds out good results,
graph is colored with minimum number n, two queens can but it is very slow according to the RLF.
move on chessboard. Table X shows the results for queens
TABLE X
THE RESULTS AND COMPUTATION TIMES FOR QUEEN GRAPHS

queen5_5 25 160 0,51 5 5 0,0012 5 0,0332 7 0,0003 7 0,0006 7 0,0109 8 0,0005
queen6_6 36 290 0,45 7 8 0,0028 9 0,0634 9 0,0003 9 0,0010 10 0,0218 11 0,0008
queen7_7 49 476 0,40 7 9 0,0045 11 0,1090 12 0,0005 12 0,0016 12 0,0461 10 0,0013
queen8_12 96 1368 0,30 12 13 0,0202 14 0,3851 15 0,0007 15 0,0045 15 0,1779 15 0,0041
queen8_8 64 728 0,36 9 11 0,0081 12 0,1783 13 0,0005 13 0,0024 15 0,0923 13 0,0020
queen9_9 81 1056 0,32 10 12 0,0154 13 0,2853 15 0,0007 15 0,0036 15 0,1312 16 0,0030
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queen10_10 100 2940 0,59 11 13 0,0215 14 0,4351 17 0,0009 17 0,0052 17 0,1876 16 0,0044
queen11_11 121 3960 0,54 11 14 0,0345 15 0,6300 17 0,0009 17 0,0072 18 0,2964 17 0,0063
queen12_12 144 5192 0,50 13 15 0,0550 16 0,9163 19 0,0010 19 0,0100 20 0,4604 20 0,0092
queen13_13 169 6656 0,47 13 16 0,0800 17 1,3226 23 0,0013 23 0,0134 22 0,6869 21 0,0125
queen14_14 196 8372 0,44 16 17 0,1227 19 1,8408 25 0,0015 25 0,0170 24 1,0488 23 0,0169
CAR graphs are created from inspiration of the mycielski best/χ(G) results. Furthermore the IDO algorithm generally
graphs. After the some new vertices inserted graph, the graph finds out the best/χ(G) results. But FF algorithm is generally
size increases, but the density of the graph is unchanging [25]. deficient. If the algorithms compare to each other about their
The CAR graphs are more difficult than the mycielski graphs. computation times, the best algorithm for CAR graphs is WP
Table XI shows the results for CAR graphs. According to the algorithm. Because WP algorithm reaches the best/χ(G) results
Table XI; RLF, DSATUR, WP and LDO algorithms reach the shortest computation times.
TABLE XI
THE RESULTS AND COMPUTATION TIMES FOR CAR GRAPHS

1_Fullins_4 93 593 0,14 5 5 0,0069 5 0,0869 5 0,0003 5 0,0021 6 0,0298 11 0,0016
1_Fullins_5 282 3247 0,08 6 6 0,0612 6 0,5026 6 0,0007 6 0,0104 7 0,2167 14 0,0098
1_Insertions_4 67 232 0,10 5 5 0,0058 5 0,0258 5 0,0002 5 0,0013 5 0,0090 5 0,0008
1_Insertions_5 202 1227 0,06 6 6 0,0314 6 0,1527 6 0,0005 6 0,0055 6 0,0569 6 0,0038
1_Insertions_6 607 6337 0,03 7 7 0,3575 7 1,2288 7 0,0023 7 0,0344 7 0,6011 7 0,0308
2_Fullins_3 52 201 0,15 5 5 0,0027 5 0,0237 5 0,0002 5 0,0010 5 0,0076 10 0,0008
2_Fullins_4 212 1621 0,07 6 6 0,0329 6 0,2116 6 0,0006 6 0,0060 6 0,0796 14 0,0052
2_Fullins_5 852 12201 0,03 7 7 0,8307 7 3,2494 7 0,0044 7 0,0703 7 1,8256 18 0,0763
2_Insertions_4 149 541 0,05 5 5 0,0188 5 0,0621 5 0,0004 5 0,0036 5 0,0230 5 0,0021
2_Insertions_5 597 3936 0,02 6 6 0,3721 6 0,6322 6 0,0023 6 0,0276 6 0,2985 6 0,0211
3_Fullins_3 80 346 0,11 6 6 0,0060 6 0,0380 6 0,0003 6 0,0017 6 0,0134 12 0,0012
3_Fullins_4 405 3524 0,04 7 7 0,1476 7 0,5354 7 0,0012 7 0,0157 8 0,2370 17 0,0150
3_Fullins_5 2030 33751 0,02 8 8 10,3646 8 18,3988 8 0,0254 8 0,3786 9 11,5821 22 0,4600
3_Insertions_3 56 110 0,07 4 4 0,0033 4 0,0125 4 0,0002 4 0,0010 4 0,0047 4 0,0006
3_Insertions_4 281 1046 0,03 5 5 0,0731 5 0,1288 5 0,0007 5 0,0073 5 0,0498 5 0,0048
3_Insertions_5 1406 9695 0,01 6 6 3,6966 6 2,3609 6 0,0128 6 0,1101 7 1,2766 6 0,0996
4_Fullins_3 114 541 0,08 7 7 0,0107 7 0,0610 7 0,0004 7 0,0026 7 0,0216 14 0,0020
4_Fullins_4 690 6650 0,03 8 8 0,5299 8 1,2976 8 0,0031 8 0,0386 8 0,6677 20 0,0387
4_Fullins_5 4146 77305 0,01 9 9 89,5661 9 85,9533 9 0,1131 9 1,6550 9 55,6602 26 2,0289
4_Insertions_3 79 156 0,05 4 4 0,0065 4 0,0180 4 0,0002 4 0,0015 4 0,0068 4 0,0009
4_Insertions_4 475 1795 0,02 5 5 0,2527 5 0,2467 5 0,0015 5 0,0188 5 0,1009 5 0,0103
5_Fullins_3 154 792 0,07 8 8 0,0220 8 0,0922 8 0,0005 8 0,0036 8 0,0332 16 0,0029
5_Fullins_4 1085 11395 0,02 9 9 1,8848 9 2,9627 9 0,0080 9 0,0874 9 1,6530 23 0,0923
Random (DSJ) graphs which are created from David algorithms generally find out the best/χ(G) results. For the
Johnson and R250_5 graph are difficult to solve benchmark R250_5 graph, DSATUR algorithm’s computation time is
graphs [15]. Flat graphs are created from Culberson. [26]. further than RLF’s. But DSATUR finds out quite better result
First parameter of the Flat graphs represents the number of the than RLF for R250_5 graph. On the other hand, RLF finds
vertices and the second parameter represents the chromatic out quite better results for the other graphs and RLF is faster
number. Table XII shows the results for Random and Flat than the other algorithms.
graphs. According to the Table XII, RLF and DSATUR
TABLE XII
THE RESULTS AND COMPUTATION TIMES FOR RANDOM AND FLAT GRAPHS
Eniyi/ RLF DSATUR WP LDO IDO FF

Graf V E Den.
χ(G) R T R T R T R T R T R T
DSJC125_1 125 736 0,09 5 6 0,0135 6 0,0846 7 0,0005 7 0,0032 7 0,0320 8 0,0024
DSJC125_5 125 3891 0,50 17 21 0,0468 22 0,6111 23 0,0011 23 0,0079 25 0,2966 26 0,0074
DSJC125_9 125 6961 0,89 44 49 0,1811 51 1,4215 53 0,0019 53 0,0162 54 0,7575 56 0,0154
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DSJC250_1 250 3218 0,10 8 10 0,0665 10 0,4791 11 0,0011 11 0,0142 12 0,2086 13 0,0097
DSJC250_5 250 15668 0,50 28 35 0,4661 37 4,9399 41 0,0025 41 0,0371 40 3,0145 43 0,0394
DSJR500_1 500 3555 0,03 12 12 0,2863 13 0,5829 13 0,0023 13 0,0237 13 0,2609 15 0,0199
R250_5 250 14849 0,48 65 71 0,7803 68 4,6108 70 0,0034 70 0,0439 69 2,7790 79 0,0478
flat300_20 300 21375 0,48 20 38 0,7199 42 8,5125 44 0,0032 44 0,0554 45 5,3253 47 0,0609
flat300_26 300 21633 0,48 26 39 0,8435 41 8,5990 45 0,0030 45 0,0566 48 5,5501 45 0,0610
flat300_28 300 21695 0,48 28 38 0,8624 42 8,6611 45 0,0030 45 0,0564 48 5,5324 46 0,0613
fpsol2*, inithx*, zeroin* and mulsol* graphs are computer All algorithms which are used for this study reach the χ(G)
register allocation problem graphs which are generated from results for computer register allocation graphs. If the
Gary Lewandowski [24]. These graphs are real-world algorithms compare to each other about their computation
problem’s graphs. The computer registers and the operations times, the best algorithm for register allocation graphs is WP
are defined as vertices. If a register and an operation have a algorithm and also FF algorithm reaches the χ(G) results a
relationship, there is an edge generated between them. Table quite short times. The slowest algorithm for these graphs is
XIII shows the results for computer register allocation graphs. DSATUR algorithm.
TABLE XIII
THE RESULTS AND COMPUTATION TIMES FOR REGISTER ALLOCATION GRAPHS

fpsol2_i1 496 11654 0,09 65 65 0,9869 65 3,1791 65 0,0044 65 0,0646 65 1,8096 65 0,0552
fpsol2_i2 451 8691 0,09 30 30 0,5217 30 1,9960 30 0,0024 30 0,0442 30 1,1139 30 0,0409
fpsol2_i3 425 8688 0,10 30 30 0,5184 30 1,9752 30 0,0022 30 0,0427 30 1,0739 30 0,0407
mulsol_i1 197 3925 0,20 49 49 0,1299 49 0,6347 49 0,0021 49 0,0153 49 0,2924 49 0,0137
mulsol_i2 188 3885 0,22 31 31 0,1171 31 0,6423 31 0,0015 31 0,0145 31 0,2899 31 0,0133
mulsol_i3 184 3916 0,23 31 31 0,1164 31 0,6189 31 0,0015 31 0,0143 31 0,2805 31 0,0134
mulsol_i4 185 3946 0,23 31 31 0,1243 31 0,6328 31 0,0015 31 0,0145 31 0,2994 31 0,0130
mulsol_i5 186 3973 0,23 31 31 0,1253 31 0,6286 31 0,0015 31 0,0145 31 0,2900 31 0,0128
inithx_i1 864 18707 0,05 54 54 2,7427 54 6,7614 54 0,0066 54 0,1337 54 4,2802 54 0,1266
inithx_i2 645 13979 0,07 31 31 1,4014 31 4,2319 31 0,0037 31 0,0839 31 2,5214 31 0,0800
inithx_i3 621 13969 0,07 31 31 1,3034 31 4,1724 31 0,0035 31 0,0819 31 2,5577 31 0,0780
zeroin_i1 211 4100 0,18 49 49 0,1427 49 0,6636 49 0,0020 49 0,0157 49 0,3188 49 0,0139
zeroin_i2 211 3541 0,16 30 30 0,1062 30 0,5390 30 0,0014 30 0,0136 30 0,2504 30 0,0124
zeroin_i3 206 3540 0,17 30 30 0,1150 30 0,5439 30 0,0014 30 0,0134 30 0,2530 30 0,0123
In the Leighton graphs, each graph consists of 450 vertices. algorithm finds out quite better results for Leighton graphs.
First parameter of the Leighton graphs represents the number Just for le450_25b graph, WP algorithm finds out the χ(G)
of the vertices and the second parameter represents the result the better computation time. The other algorithms are
chromatic number [20]. Table XIV shows the results for generally deficient.
Leighton graphs. Experimental results show that RLF
TABLE XIV
THE RESULTS AND COMPUTATION TIMES FOR LEIGHTON GRAPHS

Graph V E Den. Eniyi/χ(G)
le450_15b 450 8169 0,08 15 17 0,3071 16 1,7589 18 0,0025 18 0,0348 18 0,9585 22 0,0337
le450_25a 450 8260 0,08 25 25 0,3502 25 1,7952 26 0,0029 26 0,0367 25 1,0172 28 0,0355
le450_25b 450 8263 0,08 25 25 0,3583 25 1,9924 25 0,0028 25 0,0371 25 1,0341 27 0,0355
le450_25c 450 17343 0,17 25 28 0,7839 29 5,9978 29 0,0034 29 0,0626 31 3,6658 37 0,0674
le450_5c 450 9803 0,10 5 5 0,2226 10 2,4336 12 0,0020 12 0,0352 12 1,3233 17 0,0375
le450_5d 450 9757 0,10 5 6 0,2315 12 2,4073 14 0,0025 14 0,0362 13 1,2504 18 0,0382
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Stanford Miles, Book and Game graphs. On the other hand, coloring, Computing 39, 345–351, 1987.
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[18] S. H. Ahn, S. G. Lee, T. C. Chung, Modified Ant Colony System for
problems which we want solve with graph coloring algorithms
Coloring Graphs, Information, Communications and Signal
is similar to what benchmark graphs. After that, the optimum
Processing, 2003 and Fourth Pacific Rim Conference on Multimedia.
graph coloring algorithms must be applied to the problem for
Proceedings of the Joint Conference of the Fourth International
finds out the the best solution. Thus, it can be avoided to waste
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Design of an Interface for Genetic Algorithm Based

Optimization of Function
Zeynep Batik *, Erdal Buyukbicakci+
#+
Department of Compiter Programming, Karasu Vocational School,
Sakarya University, Sakarya/Turkey
zbatik@sakarya.edu.tr, erdal@sakarya.edu.tr
Abstract— Many analytical solutions for linear and nonlinear

mathematical equations and equation systems have been II. GENETIC ALGORITHM
developed and stil continues to being developed. However, in Genetic Algorithms are a part of evolutional calculation.
some cases, difficulties may be encountered to achieve the results This area is a developing branch of artificial intalligence. This
by analytical solutions. Quantitative analysis gained importance algorithm emerged as a result of adjusting the occuring
and their use has increased in parallel to developments in biological events on genes to today’s problems. John Holland
quantitative electronics especially in computer sciences. In recent
came up with genetic algoritms first, then his students and
years, the use of intuitive/evolutionary algorithms has become
very common. In this study, a user-friendly graphical interface
colleagues developed. Holland were studying on machine
programme that works genetic algorithm-based for optimization learning, and by having been effected by Darwin’s evolution
operations is designed. Optimization of many test functions is theory, he thought about performing the genetic process of the
performed by genetic algorithms, the results and properties are living in computer environment and he saw a community
presented to the user both quantitatively and graphically. could generate successful new individuals by passing
genetical processes such as proliferation, mating, mutation etc.
Keywords— Genetic Algorithm, Optimization, Simulator in such structures instead of developing the learning ability of
only one mechanical structure. He performed his studies based
I. INTRODUCTION on natural selection and genetic evolution to research and to
Various analytical methods have been developed and still find optimum; during the process, it was modelled by
are being developed for the solution of mathematical equation computer softwares in finding the optimum and machine
systems (linear and nonlinear equations). The use of learning by taking an individual adapting his/her environment
computer-based numerical methods that makes the iteration and becoming more suitable in biological system, as an
number fast which will be done many times, makes the example [7].
solution easier instead of the use of classical methods for the
solutions in the mathematical equational system. In recent Algoritma uses an initial density (population) that consists
years, computer-based genetically algorithms (GA) are used of the present solutions in research space. This initial density
commonly in areas such as every kind of solution of is developed repeatedly by natural selection and reproduction
optimization problems. processes in every generation. The most suitable it means the
most qualified individual of the last generation is the optimal
Many studies are present relative to solutions of equaations solution for the problem. This solution, may not always be the
with genetic algorithms in the literature. There are some optimum, but it is absolutely the nearest solution to optimum
applications such as simultaneous solution of linear systems of [8].
equations [1], finding the roots of algebraic equations [2], the Genetic Algorithm, is effectively used in problems which
solution of linear and nonlinear equations [3], the solution of are impossible to solve by classical optimization methods or
quadratic equations [4], finding the roots of first, second, third, in the solution of the problems whose solution time increases
fourth and fifth degree polinom equations [5], the solution of with the increase of magnitude, and its suitable structure for
Poisson equations [6]. the computers capable of parallel processing provide it to be
an attractive alternative for the solutions of time consuming
In this study, a genetic algorithm-based graphical interface problems to solve in short time. Some application areas of
programme aimed to use for education was designed for Genetic Algorithm are given below:
optimizing processes. Optimizing of the selected functions is  General Application Areas
performed with genetic algorithms whose parameters (the  Optimization Problems
number of variables, lower limit, upper limit) with  Automatical Programming and Information
designation entered. Obtained results are presented to user as Systems
both numerically (suitability value, roots etc.) and graphically  Mechanical Learning
(suitability depending on iteration or on cross rate etc.). Hence,  Economical and Social System Models
the efficiency of genetic algorithms and parameters can be
obviously seen.
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TABLE I
GENETIC ALGORITHM FLOWCHART, STEPS AND DESCRIPTION
Flowchart Steps of Algortihm Description

Step 1. In this step, it is started by
1.Initiation: A random determining the number of individuals in the
population with n chromosome. population. Generally, size of 100-300 is
suggested.
Step 2. The function which finds how good
chromosomes are, is named as suitability
function. Finding the chromosome by
2. Suitability: x-each operating this function is named as
chromosome in the population- calculation. This function is the base of
is evaluated in f (x) function. genetic algorithm. The only part that works
specifially to problem is this function in
genetic algorithm. Mostly, the success of
genetic algortihm depends on the
productivity and sensitivity of this function.
Step 3. Chromosome matching is done
according to suitability value of
chromosomes. New chromosomes are
produced after the procesesses below.
a. Selection: Two parent chromosome were
3. New Population: Selection, chosen. To make this selection, Roulette
crossing, mutation and wheel selection, tournament selection
acceptance steps are repeated methods are present.
untill the new population b. Crossing: They are matched to generate
generated. new generations with crossing possibility. If
there is no crossingover, children will be the
same as their parents.
c. Mutation: new generation in every locus
are mutated by the mutation possibility.
d. Acceptance: New generation is addes to
N new population.
4. Substitution: It is used to
Step 4. A constant population is provided by
operate new population
removing the old chromosomes.
algorithm again.
Y
5. Situation: If the new
population is enough, it stops.
This is the best solution found Step 5. The success of the new population is
ever because of saving the best found by calculating all the chromosomes.
individuals during the
calculating population.
6. Loop (circuit): Turned back to Step 6. Many populations are generated and
step 2. calculated by operating Genetic algorithm
many times.
 Common Applications in Business different problems. The steps for solutions of Genetic
 Finance Algorithms and description of them are given in Table I [9].
 Marketing
 Production
Flow of Genetic Algorithm is quite easy. Many parameters
and adjustments are accomplished in different ways for
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III. SIMULATIONS roulette, tournament), mutation function (gaussian, uniform,

In this study, a graphical interface is designed to calculate adaptive), crossingover function (distributed, single-point,
the optimization of function roots that were determined by two-point, search, heuristic, arithmetic) and crossing over rate.
using MATLAB [10]. This programme is opened from the
panel named function selection, function is chosen from the
menu and the function which will be optimized is selected.
Roots of the function and suitability value are calculated by
genetic algorithm method. The main screen of the application
is shown in Fig. 1 The first running version of the programme
is shown in Fig. 2. Also mathematical functions used in the
operation of the simulation is shown in Table II.
TABLE III
FUNCTIONS USED IN THE SIMULATION
Name of
Description
Function
Rosenbrock ∗( − ) +(1- )
Function 1 − + ∗ + ∗ ∗ + )
Function 2 ( + ∗ )+ + ∗
Fig. 1 The first working appearance
Function 3 ∗ ( ∗ )+ ∗ ( ∗ )
Function 4 ( − ) + ( − ∗ )
Function 5 ∗ +
Function 6 ∗ + ∗ − ∗ + ∗ +19
Function 7 ∗( − . ) + ∗( − . )
Function 8 ∗ + ∗ + ∗ ∗ +2
Function 9 ∗ + ∗ ∗ +
Function 10 + − ∗ − ∗ ∗ − ∗
Function 11 + ( − ) + ( − )
∗ + * ∗ − − ∗ ∗
Himmelblau
+
Function 12 ∗ + ∗ ∗ +5*
. + . ∗ +((0.1+0.1* )/ )+
Function 12
((0.1∗ .∗ + )/( ∗ ) Fig. 2 Main screen of programme
Peaks ( )∗ ( )∗ (− − ) In the first simulation Rosenbrock function

Function 14 .∗ (− − )
y=100(x2-x1^2 )^2+(1- x1)^2 (1)
In calculation with genetic algorithm, the number of optimization was occurred (Fig. 3).In the second simulation
variables, lower and upper limits of root intervals should be
entered by keyboard. Also, parameters of genetic algoritm can y= x1.*exp(-x1.^2- x2.^2) (2)
be changed and then applied. The changable parameters of
genetic algorithm are size of population, scaling the suitability roots of an exponentinal function were optimized (Fig. 3).
(fitness) function (rank, proportional, hill, linear changee), These functions have two different roots. Research space was
selection function (Stochastic uniform, increasing, uniform, formed between [1, 10] interval to find the roots.
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REFERENCES
Parameters of genetic algorithms were adjusted as below: [1] Ikotun Abiodun M, Lawal Olawale N. and Adelokun Adebowale
P. ” The Effectiveness of Genetic Algorithm in Solving
Simultaneous Equations” , International Journal of Computer
 Population size: 20
Applications 14(8):38–41, Feb. 2011
 Scaling suitability functions: Rank [2] Harsh Bhasin, Surbhi Bhatia, “Use of Genetic Algorithms for
Finding Roots ofAlgebraic Equations”, International Journal of
 Selection function: Stochastic uniform Computer Science and Information Technologies, Vol. 2 (4) , 1693-
 Mutation function: Gaussian 1696, May. 2011
[3] Punam S M. “Genetic Algorithm For Linear And Nonlinear
 Crossing-over function: Distributed Equation”, International Journal of Advanced Engineering
 Crossing-over rate: 0.8 Technology , Vol.III, Issue II, 114-118, April-June, 2012
[4] Nayak T., Dash T. “ Solution to Quadratic Equation Using Genetic
Algorithm”, Proceedings of National Conference on AIRES-2012,
The change in suitability function and roots can easily be Andhra University
detected in Simulator by changing parameters of genetic [5] Vatansever F., Batık Z., “Equation Solutions Based On Genetic
algorithm. The effect of the change in crossing-over rates on Algorithm”, International Advanced Technologies Symposium
suitability value can be seen in Fig. 3. To obtain the values (IATS’09), Karabük, Turkey, May 2009
that would give the best result, the crossing-over rates were [6] Jebari K., Madiafi M., Moujahid A.,” Solving Poisson Equation by
Genetic Algorithms”, International Journal of Computer
changed and its effects were investigated during the iteration. Applications (0975 – 8887) Volume 83 – No 5, Dec. 2013
The best individuals are in the interval of 0.7 ve 0.9 of [7] Cormen T., Leiserson C., Rivest R., Stein C., Introduction to
crossing-over rate. Algorithms, MIT Publisher, 1332, 2009
[8] MELANİE, M., An Introduction to GeneticAlgorithms, MIT
Publisher, 162, 1998
[9] ŞEN, Z., Genetik Algoritmalar ve En İyileme Yöntemleri, Su Vakfı
Publisher, 142, 2004
[10] Matlab Com Builder User’s Guide, The Mathworks Inc., Oct. 2008
Fig. 3 Application examples
IV. CONCLUSIONS
In this performed study, an interactive graphical interface

programme which can optimize the functions by genetic
algorithm was designed. With this education-aimed
programme; functions optimization operations can be
performed more easily and more effectively, effects of
parameters can be investigated, and the results can be
observed both numerically and graphically. As a next study, it
is aimed to investigate the diversity of functions and algorithm
type.
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A Hybrid Genetic Algorithm for Mobile Robot Path

Planning Problem
Eşref Boğar*, Selami Beyhan+
#
Electrical and Electronics Engineering, Muğla Sıtkı Koçman
University, 48000 Kötekli Campus, Muğla, TURKEY.
esrefbogar@mu.edu.tr
+
Electrical and Electronics Engineering, Pamukkale University,
20020 Kinikli Campus, Denizli, TURKEY.
sbeyhan@pau.edu.tr
Abstract— This paper proposes an algorithm to solve the The GA was introduced by Holland [9] in the early 1970s.
problem of path planning for a mobile robot in a static It imitates the evolutionary processes such as inheritance,
environment with obstacles. The proposed algorithm is a Hybrid mutation, selection and crossover. Also for centuries, there is
Genetic algorithm (HGA) which includes Genetic and Dijkstra a biological evolution in the world and GA simulates it by
algorithms together. The genetic algorithm (GA) is preferred
using iterative process. The GA has a wide using area in many
since the structure of robot path planning problem is very
convenient to apply genetic algorithm’s coding and operators types of problem thanks to easy adaptation and high high-
such as permutation coding, crossover and mutation. GA performance computing.
provides diversification while searching possible global solutions,
but Dijkstra algorithm makes more and more intensification in In this paper, a Hybrid Genetic algorithm (HGA) is
local solutions. The simulation results show that the mobile robot proposed to solve RYP problem. The aim is to combine the
can plan a set of optimized path with an efficient algorithm. global search capability of genetic algorithm and local exact
solution capability of the Dijkstra algorithm to get faster
Keywords— Robot path planning, genetic algorithm, Dijkstra solution for shortest path problem. In numerical simulations,
algorithm. 20x20 and 50x50 environments with obstacles are solved to
get shortest distances and, Dijkstra, genetic and proposed
I. INTRODUCTION hybrid genetic algorithms are compared in Table for iteration
Robot path planning (RPP) is a popular issue in mobile number and required time, respectively.
robotics. An intelligent robot must be able to move by itself
from a start location to a target location without collision with The paper is organized as follows. Section 2 describes the
obstacles. Therefore an important research subject in this field method of grid modeling, Dijkstra algorithm and genetic
is navigation of autonomous mobile robots, which is to find a algorithm. Section 3 describes the proposed hybrid genetic
globally optimal path from a starting point to a target in a algorithm for the robot path planning problem. Section 4
given environment and at the same time avoid collisions. presents the numerical simulations on robot path planning.
Moreover, the ”optimal” here means that the path must satisfy Section 5 presents concluding remarks.
some criterions like length of the path is the shortest, or
energy consumption of robot is the lowest or needed time to II. PRELIMINARY WORKS
reach a target is minimum etc.
A. Grid modeling
There are several search algorithms for the shortest path The method was proposed by the Howden in 1968, and its
problem such as the A* algorithm, the Dijkstra algorithm and primary task is to construct a path grid map according to the
the Bellman–Ford algorithm [1], [2], [3]. These algorithms environment. Given environment is divided into small units
ensure to find a shortest path. However, these algorithms are and a robot goes one unit with one move. Two kind of grid
not effective for large dimensioned problems because of with can be described in method which are free and obstacle grid.
low searching efficiency and high computational time. In black grid’s mean is obstacle, white grid’s mean is free
namely movable area. In real environment sizes of obstacles
In recent years, many researchers have studied the robot can be different and they can occupy lower one or more grids.
path planning on various intelligent methods, such as particle A robot cannot enter an obstacle even if the obstacle is very
swarm algorithms [4], immune algorithm [5], neural networks small.
and ant colony algorithm [6], differential evolution [7], and so
on. Additionally, genetic algorithm is one of the popular The grid can be divided into intermediate grid and
metaheuristic algorithm for RPP [8] problem. boundary grid. For intermediate grid, robot may have eight
directions for the next motion. Such as up (7), down (2), left
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(4), right (5), right-up (8), right-down (3), left-up (6) and left- Select: Select operation can select adaptable individual in
down (1). Fig. 1 shows the motion direction of the robot and current population, so that adaptable individual has the
Fig. 2 shows a 10x10 grid map. And for boundary grid, it has opportunity to breed the next generation as a parent.
to subtract inaccessible directions. Robot must avoid obstacles Crossover: Crossover operation can produce new
to select an optimization motion path moving to the target individual, the new individual combines the characteristics of
position [10]. parents.
Mutation: mutation operation can change one or a number
of genes in a fixed probability. The purpose of mutation is to
create new chromosomes for next generation.
The process of genetic algorithm: determine the encoding
rules, generate a population randomly, calculate fitness
function and selection probability, select, crossover, mutation,
loop all the operation above until it meet the terminate
conditions [11].
Fig. 1 The motion direction of the robot.
III. PROPOSED HYBRID GENETIC ALGORITHM
In this section, proposed algorithm steps are explained in
detail.
A. Problem Description
A road from starting node (S) to target node T is an (S, T)
path, the length of a path is the sum of the length of the edges
Fig. 2 10x10 grid map
(|pipi+1|) in one path. Ro bot path problem is to find the path
from S to T, where the length of the path is minimum one at
the same time avoid obstacles. A candidate path for robot path
planning is denoted by
B. Dijkstra Algorithm P= { }
Dijkstra algorithm is introduced by W. Dijkstra in 1959[1]. where pi denotes the i th node of the planned path P, n
It is one of the most common used algorithm for solving the denotes the number of without obstacle nodes in a given
shortest path problem. It is possible to find a shortest path environment and p1=S and pn=T.
from starting point to any node by Dijkstra Algorithm. If the Total length of the path can be obtained by equation (1):
performance criterion is different from distance, it is also
useful for measuring other criteria such as time, cost and
energy. Dijkstra algorithm guarantees the shortest path which ( ) ∑| | ( )
is generated. Dijkstra algorithm is a useful method for not
only robot path planning but also network optimization,
transportation, logistics, electronics and other fields. However, where | | is the length of the path segment
it takes much time while solving large problems and this is a which is computed by Euclidean distance and it can
disadvantage for this method. take value √ or 1. Additionally ( ) is objective function of
given path which we try to minimize.
C. Genetic Algorithm
Genetic algorithm combines genetics and computer science. B. Chromosome encoding and initial population generation
GA is biology inspired, population based, has memory,
stochastic and greedy algorithm. For a given graph, each node will be coded as a gene sorted
Here are a few basic concepts of genetic algorithm: by the node number. A chromosome includes path
Chromosome and Coding: In order to use genetic algorithm, information and sequence of genes. In this paper, permutation
feasible solution of the problem needs to be coded into symbol coding is used for encoding. Nodes take place as
string which have fixed structure. The string is called combinatorics in a solution if a node is visited as an example
chromosome. Each bit of the string represents a gene. shown below:
Population: the total number of chromosomes in each [1→9→16→17→…→71→79]
generation is called population. A population contains a set of
feasible solutions in current generation. The first and end nodes must be in the solution, indicating
Fitness: Each chromosome corresponds to a feasible the starting node S and target node T. There is no need to the
solution, and each solution corresponds to a function value. test chromosome if the path is connected. Producing initial
This function value is used to measure the environmental solution strategy guarantees that all the nodes which are
adaptability of a chromosome. included solution are connected. In other word, length of a
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chromosome is equal to number of passed nodes. Therefore, tournament selection for reproduction. In this work M is
there is a remarkable decreasing usage of memory for a assumed 2 for the tournament selection.
chromosome and computation time. Cross-over and mutation Crossover: For the given chromosome x1, x2 which are
operators are modified because of different length of parent, their intersected nodes (intersect(x1,x2)) are found
chromosome which are shown next subsections. except for starting and target nodes (1,79) and one of the
While generating initial solution, a node is selected (initial found nodes is selected randomly. This node is called as
gene of solution is starting node) and other neighbors are crossover point and single point crossover is used. A
found which are connected to the selected node. Randomly crossover is done at the selected node.
selected a neighbor node is added to solution. This procedure
is repeated until reached target nodes. Additionally, For example:
generating strategy checks if a node is visited before. Table 1 x1 = 1,2,9,17,18,19,27,36,44,52,61,68,76,77,78,79
shows generating a chromosome for given map in Fig. 3. x2 = 1,9,16,25,33,41,42,43,44,53,54,62,71,79
TABLE I
GENERATING A CHROMOSOME (intersect(x1,x2)) = 9,44 (except for 1,79)
For randomly selected node which is 44. The new

Candidate Randomly chromosomes (children):
Exist Solution
Nodes Selected Node
1 2,9 9 x1 = 1,2,9,17,18,19,27,36,44, 53,54,62,71,79
1, 9 2, 3, 15, 16, 17 15 x2 = 1,9,16,25,33,41,42,43,44, 52,61,68,76,77,78,79
1, 9, 15 16, 24, 25 25 Mutation: The parental chromosome is chosen according

… … … to selection method. The parents start and target nodes are not
mutated. The mutation operation is done by selecting a
1, 9, 15, 25, … ,
62, 79 79 random node in the parent according to mutation probability.
71
The two nodes which are coming before and after selected
nodes are detected. Mutation operator tries to find a different
node to connect these two nodes. If these two nodes connect
to each other directly, selected node is deleted from the
solution. An example for mutation operator can be shown as
[1,2,9,17,18,19,27,36,44,53,54,62,71,79]
where selected node is 36, node 27 is coming before and

node 44 is coming after node 36. Neighbor nodes are from 27
and 44 are:
27→19,20,26,28,34,35,36
44→34,35,36,43,52,53
where node 34 and 35 are common neighbors for nodes 27

and 44. Randomly selected one of these nodes is exchanged
with node 36. The mutated chromosome is
Fig. 3 Grid map for initial solution procedure.
[1,2,9,17,18,19,27,35,44,53,54,62,71,79].
C. Fitness function E. Dijkstra Algorithm

In this algorithm, after standard Genetic algorithm steps are
Fitness function must be calculated for each of applied in each iteration, Dijkstra algorithm is conducted to all
chromosomes. The function is the sum of the length of the individuals of current generation between two points
edges (|pipi+1|) in a path which is given equation (1). (randomly selected) which are close to each other. Thus, the
proposed algorithm is able to find rapidly a nearly optimum
path for a mobile robot without collides with static obstacles.
D. Select, Crossover and Mutation After generating initial population, selecting, crossover,
Select: For a given population X and fitness of each mutation and Dijkstra algorithm are applied to each generation
until termination criteria is achieved.
chromosome is fi(X). The number of chromosome randomly
selected in X is M and the best one is selected by using
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IV. NUMERICAL SIMULATIONS shorter time. Note that when the problem size increased, the
Computer simulation environment includes a notebook Dijkstra algorithm requires larger time to solve which is seen
computer with Intel® Core™ i7-4712 MQ CPU @ 2.30 GHz, in given Table.
8 GB RAM. The planned path is shown in Fig. 4. TABLE III
PERFORMANCES OF ALGORITHMS
The simulations are conducted with 20x20 and 50x50
Method/ 20x20 50x50
environments with random obstacles. The 20x20 grid map
Performanc Iteration Time Iteration Time
example, which includes 400 nodes and 318 of total nodes are
e number (sec) number (sec)
free and 82 nodes are obstacles. At the same time the 50x50
Dijkstra Alg. - 0.352 - 17.104
grid map example, which includes 2500 nodes and 2080 of
Genetic Alg. 102 4.097 281 11.768
total nodes are free and 420 nodes are obstacles. The resulting
paths with HGA are shown in Fig. 4 and Fig. 5, respectively. Proposed HGA 69 2.811 153 7.246
V. CONCLUSION
In this paper, RPP problem is solved with a novel Hybrid

Genetic algorithm (HGA). Simulation results show that the
proposed method provided the same solutions with lower
iteration number and required time for 50x50 environment. It
is seen that the proposed method is especially suitable for the
large dimensional RYP problems in future applications. The
algorithm is planned to be used in real-time with a laboratory
mobile robot.
REFERENCES
Fig. 4 Optimized path with HGA for 20x20.
[1] E. W. Dijkstra, “A note on two problems in connexion with graphs”,
Numerische Mathematik, vol.1, pp. 269-271, 1959.
[2] R. Bellman, “On a routing problem”, Quarterly Applied Mathematics,
vol.16, pp. 87– 90, 1958.
[3] P. E. Hart, N.J. Nilsson and B. Raphael, “A Formal Basis for the
Heuristic Determination of Minimum Cost Paths”, IEEE Transactions
on Systems Science and Cybernetics, vol.4, 2, pp. 100–107, 1968.
[4] X. Chen and Y. M. Li, “Smooth path planning of a mobile robot using
stochastic particle swarm optimization”, In Proceedings of IEEE
International Conference on Mechatronics and Automation, pp. 1722–
1727, 2006.
[5] X. Z. Hu and Q. G. Xu. “Robot path planning based on artificial
immune network”,In Proceedings of the 2007 IEEE International
Conference on Robotics and Biomimetics, pp. 1053-1058, 2007.
[6] Y. Huang, "Intelligent Technique for Robot Path planning Using
Artificial Neural Network and Adaptive Ant Colony Optimization",
JCIT, vol.7, 9, pp. 246 - 252, 2012.
[7] H. W. Mo and Z. Z. Li, “Biogeography based differential evolution for
robot path planning”, In Proceedings of International Conference on
Information and Automation, pp. 1- 6, 2012.
[8] J. C. Mohanta, D. R. Parhi and S. K. Patel “Path planning strategy for
autonomous mobile robot navigation using Petri-GA optimization”,
Fig. 5 Optimized path with HGA for 50x50. Computers&Electrical Engineering, vol.37, 6, pp. 1058-1070, 2011.
[9] J. Holland, Adaptation in Natural and Artificial Systems, Ann Arbor:
University of Michigan Press, 1975.
The performances of the algorithms are given in Table II. [10] J. Cao, ”Robot Global Path Planning Based on anImproved Ant Colony
Algorithm”, Journal of Computer and Communications, vol.4, pp. 11-
These algorithms produce same fitness value for 20x20 and 19,2006
50x50 environments as 59.8701 and 72.8112, respectively. [11] B. K. Oleiwi, H. Roth and B. I. Kazem, "Modified Genetic Algorithm
However, the iteration number and required time change with based on A* Algorithm of Multi Objective Optimization for Path
the algorithm therefore they are given in Table II. According Planning," Jounal of Automation and Control Engineering, vol. 2, no.
4, pp. 357-362, December, 2014.
to the performances, the proposed HGA is always better than
the conventional genetic algorithm. However, for small size
problem, the Dijkstra algorithm provides the solution in a
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DIFFERENT DUTY CYCLE RATIO AND

BRIGHTNESS OF VISUAL STIMULI CHANGE
TO STEADY STATE VISUAL EVOKED
POTENTIAL RESPONSE
Zeki ORALHAN#, Mahmut TOKMAKÇI+
#
4011340803@erciyes.edu.tr
+
Department of Biomedical Engineering
tokmakci@erciyes.edu.tr
Abstract— Stimuli types are very crucial for the performance of The Steady state visual evoked potential (SSVEP) is a brain
electroencephalogram (EEG) based brain computer interface response modulated by the frequency of repetitive visual
(BCI) systems. This study aims to investigate methods for stimulus [8]. SSVEP is known to be most prominent at the
obtaining higher information transfer rate (ITR) through duty occipital location over the visual cortex.
cycle and brightness variation of visual stimuli which have high
The SSVEP-based BCI has been preferred due to high
frequency for steady state visual evoked potential-based BCI.
Although previous studies were concentrated on either duty cycle signal to noise ratio and high information transfer rate (ITR)
or brightness of stimuli separately, our study focused on the according to other BCI approaches [9]. Moreover, the SSVEP
change of duty cycle ratio and brightness of stimuli at the same has a short training and response time [10].
time. Duty cycle values of 40%, 50%, and 60% were used. The term of Information transfer rate is a very significant
During the experiment, 16 flickering stimuli were used on liquid unit that has been used to evaluate overall performance of BCI
crystal display. Participants gazed to the flicker which had systems [11]. Types of stimulus have very important role for
frequency of 15 Hz. Canonical correlation analyses (CCA) was high SSVEP response that related on ITR that can be
used for channel selection and frequency detection. According to described as information transmitted in bits per minute (bpm).
the CCA, the maximum average accuracy of the experiment was
Thus, there are many studies for investigate best stimuli
92.54% when the frequency of flicker was in beta band and its
duty cycle was 40% with a brightness tuning wave. Under the type for SSVEP based BCI systems. Wu (2010) [12] proposed
same conditions stated above, average ITR was improved 16.1% that %40 duty cycle ratio when the flicker was 10 Hz, SSVEP
according to the most commonly used flicker model which is response reached highest value. Shyu et al. (2013) [13] made a
square wave and has 50% duty cycle. SSVEP-based BCI system that using FPGA, which based on
Keywords— Brain Computer Interface, EEG, Human-Computer duty cycle ratio. Manyakov et al. (2013) [14] showed that
Interaction and Systems, Steady State Visual Evoked Potential sampled sinusoidal stimulation enabled for encoding more
targets and elicited SSVEP response with a significantly better
I. INTRODUCTION phase stability. Moreover, Chen et al. (2014) [15] presented
Brain computer interface systems gives chance users to sampled sinusoidal stimuli for SSVEP response. According to
communicate with external devices without using peripheral result of this study, ITR value was reached the highest one
neuromuscular systems. There are many brain imaging when the flicker was at low and high frequencies.
methods, such as electroencephalography (EEG), functional In recent years, researchers presented many approaches to
magnetic resonance imaging(fMRI), magnetoencephalography make and develop SSVEP based BCI systems.
(MEG), and and near-IR spectroscopy (NIRS) have been In this study we aimed to investigate effect the change of
adopted BCI systems [1], [2]. In BCI systems, the commands duty cycle ratio and brightness of stimuli at the same time,
are identified by extracting Electroencephalograms (EEG) although previous studies were concentrated on either duty
which measures the electric field generated from brain. EEG cycle or brightness of stimuli separately.
based BCI systems is preferred for other BCI system because
of practical use, low cost, good response, portability [3]. II. MATERIAL AND METHOD
There are some most common approaches to EEG based Five healthy participants (males, mean age 29 years,
BCI systems that are P300 potentials, event-related corrected to normal vision) joined experiments in this study.
(de)synchronization (ERD/ERS), slow cortical potentials, Participants didn’t have any history of epilepsy and
oscillatory activity, and visual evoked potentials (VEPs) [4-7]. psychiatric disorders.
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A. Experimental Structure
In the experiments, SSVEP stimulator software was created

by C# programming language. This SSVEP stimulator
software is portable and functional. As shown in Figure 1,
according to the main menu of software, colour of flickers and
background, size of flickers, frequencies of flickers, quantity
of flickers, brightness of flickers, duty cycle ratio of flickers
could be changed by users.
Fig. 2 Type I signal: stimulation signal is at square pulse.
In this study, we presented a novel stimuli type that

variation of brightness of pulse as shown in Figure 3. During
the “on” status, flicker’s brightness was on the increase within
the equal time span of 𝑇𝑜𝑛 = 9 till it reached to the peak value
of Type I signal, after increased, it was on the decrease till it
reached to “off” status within the equal time span.
Fig. 3 Type II signal: variable brightness when the flicker is on status
C. Experimental Steps
Fig. 1 The SSVEP stimulator software setting menu
During this study, as shown in Figure 4, 16 flickering

The EEG were acquired from the scalp of the participants stimuli were showed on liquid crystal display (LCD).
via 19 Ag/Ag-Cl electrodes. EEG electrodes placed according Participants were seated 50 cm away from LCD with a refresh
to the international 10-20 system. During the study Nihon rate of 60 Hz.
Kohden Neurofax EEG-1200 EEG device was used for EEG
data acquiring.
The reference electrodes were placed over the left and
right earlobes. Ground electrode was on the intercilium point
(the space between the eyebrows). EEG data were sampled at
500 Hz.
B. Stimulation Types
In this study, we focused on the change of duty cycle ratio
and brightness of stimuli at the same time. Duty cycle values
of 40%, 50%, and 60% were used. As shown in Figure 2, we
used a square pulse that was presented as Type I signal.
𝑇𝑝𝑒𝑟𝑖𝑜𝑎𝑑 is denoted the pulse cycle duration which is total of
𝑇𝑜𝑛 and 𝑇𝑜𝑓𝑓 that are defined stimuli on and off cycle
durations respectively. 𝑅𝑑𝑢𝑡𝑦 is denoted duty cycle ratio which Fig. 4 The 16 Flickers on LCD
is presented in Equation 1. 16 stimuli were 150 pixels x 150 pixels arranged in a 4 x 4
matrix.
𝑅𝑑𝑢𝑡𝑦 =𝑇𝑜𝑛 +𝑇𝑜𝑓𝑓 (1) Participants gazed to the flicker which had frequency of 15
Hz. During the experiment, participant gazed to flicker 6
seconds, after that 4 seconds for resting time. 10 trials were
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examined by each participants for every duty cycle ratio and 𝐵𝑖𝑡𝑠 (1 − 𝑃)
signal types that include type I and type II signals. = 𝑙𝑜𝑔2 𝑁 + 𝑃𝑙𝑜𝑔2 𝑃 + (1 − 𝑃)𝑙𝑜𝑔2 [ ]
𝐶𝑜𝑚𝑚𝑎𝑛𝑑 (𝑁 − 1)
D. Data Analysis 𝐵𝑖𝑡𝑠 60
𝐼𝑇𝑅 = × (4)
Canonical correlation analysis (CCA) is a multivariate 𝐶𝑜𝑚𝑚𝑎𝑛𝑑 𝐶𝑇𝐼
analysis that presented by Lin[16]. According to the Equation
2 CCA investigates the maximum correlation between the two Where P denotes accuracy of classification, N denotes total
variables. stimuli, CTI denotes command transfer intervals.
In this study, CTI is 6 seconds because of gaze time during
𝐸[𝑥 𝑇 𝑦] in one trial.
𝑚𝑎𝑥 𝜌 (𝑥, 𝑦) =
√𝐸 [𝑥 𝑇 𝑥]𝐸[𝑦 𝑇 𝑦] III. RESEULT AND DISCUSSION
Experiments were completed without any problem. Table 2
shows that outcome of the experiment average accuracy and
𝐸[𝑊𝑋𝑇 𝑋𝑌 𝑇 𝑊𝑌 ] (2)
= the average ITR.
√𝐸[𝑊𝑋𝑇 𝑋𝑋 𝑇 𝑊𝑋 ]𝐸[𝑊𝑌𝑇 𝑌𝑌 𝑇 𝑊𝑌 ]
TABLE I
The weight vectors 𝑊𝑥 and 𝑊𝑦 to maximize the correlation RESULT OF EXPERIMENT ACCORDING TO THE CCA BASED
between, linear combinations, x and y by Equation 2. METHOD
𝑚𝑎𝑥 𝜌 (𝑥, 𝑦) denoted as the maximum canonical
correlation of the 𝑊𝑥 and 𝑊𝑦 . As shown in Figure 5, shows the Average
Duty Cycle Average ITR
CCA model was presented. According to the model, X Ratio
Signal Type Accuracy
(bpm)
denoted EEG signal, 𝑌𝑓 denoted the reference signal. (%)
40% Type I 88.03 30.04
40% Type II 92.54 32.89
50% Type I 84.98 28.32
50% Type II 90.08 31.42
60% Type I 80.68 25.24
60% Type II 83.28 26.92
Fig. 5 The CCA Model for SSVEP response analysis

Average ITR was improved 16.1% according to the most
commonly used flicker model which is square wave and has
The reference signals were artificially generated with sinus 50% duty cycle. As shown in Figure 6, the highest average
and cosines waves of the flicker’s frequency and their accuracy was reached when the flicker’s duty cycle ratio was
harmonics by Equation 3. 40% and type II signal.
sin(2𝜋𝑓𝑡)
cos(2𝜋𝑓𝑡)
1 2 𝑁𝑡 Average ITR (Bpm)
. (3)
𝑌𝑓 = , 𝑡 = , ,…, 34
. 𝐹𝑠 𝐹𝑠 𝐹𝑠
sin(2𝜋𝐻𝑓𝑡) 32
16.1% 32,89
( cos(2𝜋𝐻𝑡) )
30
Sixth-order Butterworth band pass filter with 5 and 20 Hz 28,32
28
cut-off frequencies was applied. After that CCA method was
used. 26
C𝑊𝑥 showed that brain frequency map. According to the 50% TYPE I 4 0 % TYPE II
result, 𝑂𝑧 , 𝑂1 , 𝑂2 EEG channels were used for data accuracy.
ITR is a very significant unit that has been used to evaluate Fig. 5 The difference of average ITR and improved ratio
overall performance of BCI systems. As written before, ITR is a very important metric to show
ITR can be described by following Equation. the overall performance of BCI systems. There are different
methods to find out a high ITR; (1) increasing total stimuli, (2)
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improving the accuracy, and (3) decreasing the command [10] Z. Oralhan and M. Tokmakçı. "The Effect of Duty Cycle and
Brightness Variation of Visual Stimuli on SSVEP in Brain Computer
transfer intervals. In this study, we aimed to improve ITR
Interface Systems." IETE Journal of Research (doi:
value by increasing the accuracy with a new created signal 10.1080/03772063.2016.1176543), 1-9, 2016.
type for stimuli. [11] B. Dal Seno, M. Matteucci, and L.T. Mainardi, “The utility metric: A
We applied statistical test to the results shown in Table 2 to novel method to assess the overall performance of discrete
braincomputer interfaces,” IEEE Trans. Neural Syst. Rehabil. Eng., vol.
examine whether the differences in the classification accuracy
18(1), pp. 2028, Feb. 2010.
were significant depending on the duty cycle and flicker type. [12] Z. Wu, “The difference of SSVEP resulted by different pulse duty-
A one-way analysis of variance (ANOVA) was conducted on cycle,” in Communications, Circuits and Systems ICCCAS 2009
the classification of accuracy for each flicker models, International Conference, Milpitas, CA, Jul. 2009, pp. 605607.
[13] K. K. Shyu, Y. J. Chiu, P. L. Lee, J.M. Liang, and S. H. Peng,
indicating that the difference was considered significant at the
“Adaptive SSVEP-based BCI system with frequency and pulse duty-
p-value < 0.05. cycle stimuli tuning design,” IEEE Trans. Neural Syst. Rehabil. Eng.,
vol. 21(5), pp. 697703, Sept. 2013.
CONCLUSION [14] N. V. Manyakov, N. Chumerin, A. Robben, A. Combaz, M. Van Vliet,
and M. M. Van Hulle, “Sampled sinusoidal stimulation profile and
It can be concluded that previous studies mainly focused on multichannel fuzzy logic classification for monitor-based phase-coded
the effects of either duty cycle pulses ratio or brightness of SSVEP braincomputer interfacing,” J. Neural Eng., vol. 10(3), pp. 115,
stimuli separately. But, we aimed to investigate the effects of Apr. 2013.
both parameters at the same time. We optimized signal type [15] X. Chen, Z. Chen, S. Gao, and X. Gao, “A high-ITR SSVEP-based
BCI speller,” Taylor Francis Brain-Comput. Interfaces, vol. 1(34), pp.
and duty cycle ratio. 181191, Sept. 2014.
Despite the fact that there is not enough knowledge for [16] Z. Lin, C. Zhang, W. Wu, and X. Gao, “Frequency recognition based
characteristic attitude of brightness and duty cycle parameters on canonical correlation analysis for SSVEPbased BCIs,” IEEE Trans.
which are very important for ITR and accuracy in SSVEP- Biomed. Eng., vol. 53(12), pp.26102614, Jun. 2007.
based BCI systems, in this study, for these parameters
remarkable results have been accomplished.
ACKNOWLEDGMENT
The experiments were performed according to the rules of
the Ethics Committee of Erciyes University, Kayseri, Turkey,
under registration number 2014/352.
This work is supported by Department of Scientific
Research Projects of Erciyes University, Turkey [grant
number 2014-5204 FDK].
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2010
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Topology Control in
Mobile Wireless Sensor Networks
Umut Can Çabuk*, Gökhan Dalkılıç+
*
Department of Electrical and Electronics Engineering, Erzincan University
Yalnizbag Campus, Erzincan, Turkey
umutcancabuk@hotmail.com
+
Department of Computer Engineering, Dokuz Eylul University
Tinaztepe Campus, Buca, Izmir, Turkey
dalkilic@cs.deu.edu.tr
Abstract—Topology control is a set of strategies and actions those about topology control [3] and maintenance [4] in wireless
aim to improve energy efficiency, lifetime and reliability of the sensor networks. And of course we used valuable information
networks. One of the most effective methodology is topology provided in these works. But we couldn’t find a comparative
reduction, which is a part of the overall topology control process. study to refer, which focuses directly on mobility case. For
Topology control process is usually considered under two phases:
instance, in [5] authors present a comparative study similar to
construction and maintenance. This hard work would even be
harder for mobile ad-hoc sensor networks, those consist of devices ours, however they used fixed nodes and totally excluded the
with limited capabilities and continual independent movement. In mobility case, which is our main focus. In their work, Latré et
al. [6] introduce a protocol (Cascading information retrieval by
this work, we made our efforts to find out effects of mobility of the
nodes in an ad-hoc wireless sensor network on network controlling access with distributed slot assignment - CICADA)
parameters, by using different pre-defined topology control designed for mobility cases and present a detailed analysis, but
protocols. Thus, we made simulations using an experimental their study is not comparative. Reluctantly, we could not
simulator, called Atarraya. Furthermore, we measured the include CICADA and CICADA-S (a secure version proposed
performance of each protocol and compared the outcomes in later [7]) in our work because of the limitations of the tool we
order to find the best topology control strategy. Lastly, possible
have used.
solutions to the uncovered problems are proposed.
The reason of that scarcity is that wireless sensor networks
is a quite new area, and mobility in these networks is even a
Keywords—Ad-hoc wireless sensor networks, mobility, topology
newer aspect. Most of the previous works in this area focused
control, wireless sensor Networks, simulation
on higher layer architecture, like routing and forwarding
I. INTRODUCTION protocols. Here, we worked on a lower level relationship
between nodes by reducing the number of links between them.
After conventional wide area and local area networks (LAN),
The simulator we used, namely Atarraya, was also
nowadays, personal area (PAN) and body area networks (BAN)
introduced in a previous work [8] and still under development
are becoming more and more popular in applications of
with new features. A side note: Mobility wasn’t even included
industry, commerce and science [1]. Along with their abilities
in our simulation tool Atarraya’s first version, here we used
and advantages, these networks also have their own challenges
version 1.3.
[2]. For instance, they usually include nodes on the move or at
least nodes that can be relocated. Hence, the newest solutions III. ASSUMPTIONS & DECISIONS
in the interconnecting network technologies have to deal with
the mobility cases as well. To find key points, we had to choose optimum preferences
From that starting point, in order to build the rest of the work and had to limit our angle of sight. Our very first assumption
on it, we’ve presumed a set of use cases, called as scenario. about the concept is a scenario as described in introduction.
Although the results wouldn’t be directly related to the scenario, Before going on, we assume the undetermined smallest integer
it would help us to make some decisions. Our scenario based time unit in Atarraya as milliseconds.
on an indoor working environment including unsynchronized A. Algorithms
moving people, who are representing BAN or PAN networks
by holding or even wearing wireless sensor devices. Most For the evaluation, we wanted to choose topology control
applicable realization is hospitals, but also mines, schools, and maintenance algorithms, which have different approaches
prisons, sport fields and in a wider point of view, zoos. as possible and tried to avoid similar algorithms. So, we have
Additionally, we suppose a continuous communication is chosen A3, energy efficient connected dominating set (EECDS)
required in our scenario. and Kneigh tree protocols for topology construction. Detailed
descriptions of these protocols can be found in [9, 10]. Then we
II. PREVIOUS WORKS considered dynamic global time-based topology recreation
While building our background, we found out several studies (DGTTRec), static global time-based topology rotation
(SGTTRot), and HGTTRec and rotation (HGTTRecRot) for
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topology maintenance. All these algorithms are chosen from Obviously, this connectivity metric is a function of time (and
the set that is predefined in the tool [8]. Adding custom movement), so it will also represent robustness and
protocols is not possible for end-users but the source of the tool sustainability of the protocols. By the way, this metric can be
must be edited, which could be done in another work. the most important information to determine the usefulness of
During topology maintenance evaluation we used A3 as a a topology control protocol depending on the scenario.
base construction algorithm, in order to make results
comparable. C. Movement Model
Energy efficiency is always a fundamental aim, but in We designed a movement model in order to provide mobility
mobile networks geographic distribution of nodes is dynamic, to nodes in the simulation. There are two main limitations to
this means physical link between nodes are not stable, hence it consider: First, movement model should be realistic, thus
is more accurate to use time triggered maintenance algorithms results will be useful in further works and industrial
than energy threshold triggered ones, to be sure about the applications. Second, simulation tool Atarraya is an (very
connectivity. useful but) experimental tool and has limited capabilities in this
manner [8].
B. Test Scene, Parameters & Metrics So, our movement model consists of these features: Simple
We created a 1000 x 1000 m2 observation field, but didn’t random walk mechanism for each node with sleep time 100 ms
use this entire field for initial node deployment. We placed 30 and step size 1 m, without surrounding limits (fences) on the
nodes in a 500 x 500 m2 area in the center of the observation field. This makes 10 m/s and is 5 to 10 times faster than the
field mentioned above, using Normal distribution with sigma = average human walking speed, which is around 1 to 2 m/s [12].
100. When simulation starts, nodes can leave this initial We used that increased value to see the effects of mobility more
deployment area and can move in the whole observation field, clearly. By using randomness, movement of nodes is non-
or even may leave that area. deterministic to each other and no predictions can be made
Our test field represents a surrounded area like a hospital, a besides the step size.
factory or an office environment. It can also be an open-air field Another characteristic of the model is spreading. All nodes
but we mostly focused on an indoor environment. Hence, we in a very long period of time, eventually, will leave the test field
placed 30 nodes (+1 initializer sink), which makes a sparse since there is no fence. This is not an intended behavior but due
network. This number may be increased until around 100 to program limitations, it is not possible to prevent this. Only
without distorting the test outcomes. Numbers bigger than a the simulation time can be limited at an optimal time period.
few hundred may cause the simulator to slow down, stutter or However, this behavior allows us to see what happens when
act inconsistently. some nodes leave the area, which can be a realistic scenario.
We used a realistic communication range of 100 m, which is
typical for ZigBee, Bluetooth Class 1 and Wi-Fi b/g/n [11]. We IV. RESULTS
set sensing area to 20 m but, in this work, it wasn’t important We first evaluated the topology construction protocols, by
in our point of view, so we didn’t take care of sensing range starting the simulation without a time limit. 30 Nodes and 1 sink
and sensed data. node are deployed in the field as described above. Simulation
As total simulation time for topology maintenance tests, we ended up after a successful topology creation. All values given
considered 60 seconds. It was enough to see effects of mobility, in this section are average of 10 measurements.
plus we had some limitations about our movement model (see
below). This interval theoretically provides 600 m of moving
70
range to each node (see below). Thus, we also decided re- 55,886 58,42
60
setting the topology time interval 1 s.
We assigned 1000 mJ total energy stock to each node and 50
used simple energy model of the software. We also used simple 40
26,188
communication model. Another assumption was 0 bit error rate 30
(BER) value, means communication link is perfect. Effect of 20
7,08
BER is subsequently analyzed. 10
Finally, a connectivity metric is defined to measure the 0
performance of the protocols in the sense of physical and Topology construction time (s)
logical connectivity. This metric is considered as a percentage
of nodes (directly or as multi-hop) connected to the sink node A3 EECDS KNEIGH-T CDS-K
among all the nodes in the coverage of the core network.
Basically, the nodes out of the core network coverage are Fig. 1 Durations of the initial topology construction period
excluded from that ratio. Here, core network means the network
initialized by the sink.
Fig. 1 gives the time passed until the successful creation for
# ( )−1 each protocol. Here, it is very clear that, tree based A3 and
(%) = Kneigh tree protocols are much faster than dominating set
# ℎ ( )−1
based EECDS and k-connected k-dominating set (CDS-K).
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Due to the mobility of the nodes, it would be better to use faster So, information given until here, are not enough to uncover
protocols. the effects of the mobility in that network. Because, if there
were no mobility, results would be very close, and also network
2000 1786
operating time should be much higher than construction time.
1535 Over and above, we have to check topology maintenance
1500 simulation results.
1000 4000
3362,55 3277,53
496
500 256 244 228 3000 2665,21
98 31
0 2000
A3 EECDS KNEIGH-T CDS-K
1000 542,45 716,36
Messages sent Messages received
197,23
0
Fig. 2 Total message traffics during the initial topology construction EECDS+DGTT CDS-K+DGTT A3+DGTT A3+ELP DSR A3+SGTT A3+HGTT
Energy spent (mJ)

Total message traffic can be seen in Fig. 2, which stands for
the total number of sent and received messages in the network,
Fig. 4 Total energy consumptions in the whole network during topology
between all 31 nodes. Here, A3 and Kneigh tree produce maintenance in 1 minute run (for 31 nodes)
significantly less traffic than EECDS and CDS-K. Lower
values would be preferable because sending and receiving more
messages will cost more energy, processing power and Fig. 4 represents total amount of energy consumed by all 31
bandwidth. nodes during 1 minute run of the protocols. Here we can easily
say DGTT consumes 5, 12 and 3.5 times more energy than DSR,
134,644 SGTT and HGTT respectively. Among the DGTT experiments,
150
most energy-efficient choice is A3. This result is reasonable,
90,82
because, from the previous experiments (Fig. 3) we found out
100 that A3 is more effective than EECDS and CDS Rule K,
moreover, ECDS and CDS-K were very close. Here the same.
50 36,702
4,038 120000
0 100000
A3 EECDS KNEIGH-T CDS-K
80000
Energy spent (mJ)
60000
Fig. 3 Total energy consumptions in the whole network during topology 40000
construction (for 31 nodes)
20000
0
Fig. 3 shows total energy consumed among whole network. EECDS+DGTT CDS-K+DGTT A3+DGTT A3+ELP DSR A3+SGTT A3+HGTT
These values are some of the consumptions of all 31 nodes. As
expected from the message traffic results, A3 and Kneigh tree Messages sent Messages received
consume much less energy from EECDS and CDS-K. While
Kneigh tree consumes least energy, EECDS becomes the last Fig. 5 Total message traffics during topology maintenance in 1 minute run
preferable with the highest consumption, which is 4 times more
than A3 and 30 times more than Kneigh tree.
In Fig. 5, total message traffic of the network is given. There
A very important statement; all these protocols complete is a huge difference between DGTT and the others. Actually,
their work by constructing the topology much faster than the the number of sent messages is very similar, just HGTT is
movement speed of mobile nodes. Our movement model
relatively higher. But, the number of received messages is very
proposes a 5 m step size per 500 ms. But, here the slowest
high in DGTT. It is 4 times higher than the runner-up HGTT.
protocol, CDS-K, requires 58.42 ms. Even when we change our
SGTT has the lowest total traffic in general. In fact, the reason
movement model (unless we set an unrealistic super speed like
of this big difference between the number of received and sent
100 m step size per 10 ms or so), the results are (almost) the messages is broadcast style transmission and mass reception of
same as stationary ad-hoc wireless sensor networks’ results.
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the broadcasted messages by all nodes in the range. This boundary, connectivity metric is very high; 97% to 100%. And
behavior artificially boosts the network traffic. until 10^-3 values are acceptable. But one shouldn’t forget that,
Probably the most important data is presented in Fig. 6: sensor data transfer is not included in this communication. It
connectivity metric. It shows reliability and sustainability of the just represents topology control messagings. So, for higher
protocols via 2 different time intervals. Here, all DGTT level decisions about the architecture, level of the BER should
combinations together get the highest value by %100 be maintained no lower than 10^-5 if the data sensed is time
connectivity rate in both 1-minute and 5-minutes tests. Mobility critical.
(in the coverage area of course) does not cause impairment
while using DGTT. Distinctly, if a node is in the 100%
communication range, then it will be included to the network
via DGTT. The others have relatively lower values in 1-minute 80%
test and they become much worse by the time, as can be seen
60%
in 5-minutes test. In a 10-minutes test (which is not shown in
the figure) ratios of SGTT and HGTT are below 25%. 40%
20%
100%
0%
80% 0 10^-5 10^-4 10^-3 10^-2
60% A3+DGTT CDS-K+DGTT EECDS+DGTT
40%
Fig. 7 Effect of the bit error rate on the connectivity ratio
20%
0%
EECDS+DGTT CDS-K+DGTT A3+DGTT A3+ELP DSR A3+SGTT A3+HGTT 100% 14000
12000
Connectivity in 1 min Connectivity in 5 mins 80%
10000
60% 8000
Fig. 6 Connectivity levels during topology maintenance in 1 minute and 5 6000
minutes of run 40%
4000
20%
2000
Manifestly, here, we discovered a clear tradeoff between 0% 0
energy spent plus message traffic and connectivity performance. 0,1 0,5 1 2 5 10
There is no linearity, but the correlation is clear. Before
evaluating the values given in Fig. 6, it wasn’t possible to say Connectivity Energy spent (mJ)
A3 or CDS-K or even EECDS can be a good choice. But after,
we can say, for that type of a network, DGTT has the best Fig. 8 Effect of topology recreation time interval on connectivity and energy
results and preferable with A3, from the previous results. consumption based on 1 minute run using A3 + DGTT
So-called energy efficiency and traffic emptiness of SGTT
and HGTT can be very deceptive. This is highly probable a
paralogy, caused by the low connectivity and the link loss. Less We discovered a clear correlation between connectivity and
links mean, less message receptions and less message energy consumption, but this does not mean there is nothing to
receptions lead less energy consumption. Even so, this do to save energy. Figure 8 shows the effect of topology
conjecture is valid for specific scenarios and could be different recreation interval during maintenance on both connectivity
under variety of conditions. and energy consumption. First, please note that we used 500 ms
All in all, although these values can give very valuable movement sleep time and 1 s refreshing interval in previous
information and can provide guidance for related applications, experiments. Here we kept movement model as defined, but
the optimum decision is always application dependent. For tested different time intervals. Hence, we exposed that, a
instance, in a scenario that continuous communication is not as refreshing frequency which is much higher than the movement
important as node lifetime (energy efficiency), DGTT should speed (this also means physical deployment change frequency)
be avoided, while A3 could still be preserved. causes extraordinary energy consumption and highly
We also evaluated the effect of BER on DGTT with A3, ineffective. We can also see that a frequency much lower,
CDS-K and EECDS respectively. In Fig. 7, the relation causes loss of communication links. Thus, a balance should be
between BER and connectivity is analyzed. It can be clearly preserved to save energy and to protect connectivity at the same
seen that, a higher error rate lowers the connectivity metric time. An interval 2 to 4 times longer than basic movement
significantly, but this relation is roughly logarithmical. While period looks acceptable in our case. As a final comment,
the error rate is 10^-5, which is a de facto industry standard
____________________________________________________________________________________________________________
289
_____________________________________________________________________________________________________________
statistical information about the deployment environment and [3] P. M. Wightman Rojas, “Topology Control in Wireless Sensor
Networks,” PhD thesis, Computer Science and Engineering
movement should be obtained to find a (sub-) optimal solution.
Department, University of South Florida, Tampa, Florida, USA, 2010.
[4] P. M. Wightman, M. A. Labrador, “Topology Maintenance: Extending
V. CONCLUSIONS & FUTURE WORKS the Lifetime of Wireless Sensor Networks,” IEEE Latin America
In this work, we aimed to show possible effects of the Transactions, vol. 8, no. 4, pp. 469-475, Aug. 2010.
[5] G. Pachnanda, R. Chaudhary, “Comparative Study of A3, EECDS,
mobility to ad-hoc network performance and reliability in CDS Rule K and KNEIGH Tree Protocols in a Grid Manner,” Advances
different aspects. Furthermore, we wanted to propose basic in Electronic and Electric Engineering, vol. 3, no. 4, pp. 509-514, 2013.
solutions. [6] B. Latré, et al., “A low-delay protocol for multihop wireless body area
In spite of the application dependability, we got some solid networks,” in Proc. 4th Annual International Conference on Mobile
and Ubiquitous Systems: Networking & Services, 2007, pp. 1-8.
outcomes; first, unlike DGTT, SGTT and HGTT are not [7] D. Singelée, et al., “A Secure Low-Delay Protocol for Wireless Body
suitable for that type of a mobile network. One should better Area Networks,” Ad Hoc & Sensor Wireless Networks, vol. 9, pp. 53-
prefer a dynamic protocol, at least in a similar scenario like our 72, 2010.
presumption. Because of the connectivity level provided, we [8] P. M. Wightman, M. A. Labrador, “Atarraya: A Simulation Tool to
Teach and Research Topology Control Algorithms for Wireless Sensor
are not satisfied with the performance of static and hybrid Networks,” in Proc. Simutools '09, 2009, Article No. 26.
methods. But in a different scenario, significant energy saving [9] P. M. Wightman, M. A. Labrador, “A3: A Topology Construction
(we also found out that this is deceptive and caused by physical Algorithm for Wireless Sensor Networks,” in Proc. GLOBECOM, 2008,
link loss) of these protocols can be exploited in a way. pp. 1-6.
[10] G. Pachnanda, K. Singh, L. Gangwar, “Comparative Analysis of A3,
Additionally, between the construction algorithms, A3 EECDS and KNEIGH Tree Protocols in Wireless Sensor Networks,”
provides better values from the rest apart from Kneigh tree. But International Journal of Electronics and Computer Science
in long term, we showed that this advantage gained from Engineering, vol. 2, no.3, pp. 987-991, 2013.
construction phase becomes less significant by the time. Even [11] H. Fornazier, A. Martin, S. Messner (2012) “Wireless Communication:
Wi-Fi, Bluetooth, IEEE 802.15.4, DASH7,” [Online]. Available:
so, A3 could be a reasonable choice for our scenario. http://rose.eu.org/2012/wp-content/uploads/2012/03/Wireless-
An impromptu (but predictable) observation (or solution) to communication.pdf
the “connectivity-energy efficiency” problem is also given. [12] R. C. Browning, E. A. Baker, J. A. Herron, R. Kram, "Effects of obesity
We got a strong impression about; building a cell-like and sex on the energetic cost and preferred speed of walking," Journal
of Applied Physiology, vol. 100, no. 2, pp. 390-398, Feb. 2006.
structure by placing several stationary nodes in the deployment
field could help us to reduce redundant traffic and to increase
energy efficiency without downgrading the link quality. This
hybrid network structure may give better results. This strategy
should be researched and it can be a good extension to this work.
We still have no overall optimum choices, so search for a
topology maintenance protocol that offers a better balance
between energy consumption (or message traffic) and
connectivity should go on.
Another point is super-speed mobility. We created a realistic
human-like movement model; it can also be used for animals,
or robotic structures. But super-speed mobility is not supported;
in that case it is not even possible to construct a network. And
even we deploy a cell structure, handovers would be a big
problem. However, super-speed moving objects, including
racing cars, satellites, missiles or so, rarely move randomly.
They follow a track or orbit. This feature can be exploited. So,
that aspect can also be another topic to investigate.
ACKNOWLEDGMENTS
We want to thank Dr. Qi Zhang from Aarhus University,
Department of Engineering, for her valuable guidance. Most
work is done using the simulator Atarraya and we would like to
present our sincerest respect and recognition to creators of the
program: Pedro M. Wightman and Miguel A. Labrador.
REFERENCES
[1] S. Gonzalez-Valenzuela et al., Autonomous Sensor Networks:
Collective Sensing Strategies for Analytical Purposes, D. Filippini, Ed.
Berlin, Germany: Springer-Verlag, pp. 17-38, 2012.
[2] M. A. Hanson, et al., “Body area sensor networks: Challenges and
opportunities,” Computer, vol. 42, no. 1, pp. 58-65, Jan. 2009.
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Big Bang-Big Crunch Optimization Algorithm for

Solving the Uncapacitated Facility Location Problem
İsmail Koç1
Department of Computer Engineering, Engineering Faculty, Selcuk University, Konya, Turkey1
ismailkoc@selcuk.edu.tr1
Abstract— The big bang–big crunch (BB–BC) algorithm has They do not require the assumptions as done in standard
been proposed as a new optimization method based on the big algorithm.
bang and big crunch theory, one of the theories of the evolution They do not need the change on the given problem unlike
of the universe. The BB-BC algorithm has been firstly presented the usual algorithms. They adapt themselves for solving
to solve the optimization problems with continuous solutions different types of optimization problems [2].
space. If the solution space of the problem is binary-structural, In the last decades, different swarm-based evolutionary
the algorithm must be modified to solve this kind of the algorithms have been proposed for solving this optimization
problems. Therefore, in this study, the BB-BC method, one of the
problem including Genetic Algorithms [3-6], Tabu Search
population-based optimization algorithms, is modified to deal
with binary optimization problems. The performance of the algorithm [7, 8], Ant Colony Optimization [9], Particle Swarm
proposed methods is analyzed on uncapacitated facility location Optimizer [10-12] and Artificial Bee Colony [13-15]. The
problems (UFLPs) which are one of the binary problems used in random selection process and the information attained at the
literature. The well-known small and medium twelve instances of end of each iteration (cycle) are utilized in order to discover
UFLPs are used to analyze the performances and the effects of more optimal solutions in the subsequent iterations [16].
the control parameter of the BB-BC algorithm. The obtained Big-Bang Big-Crunch (BB-BC) algorithm which is one of
results are comparatively presented. According to the the swarm intelligence algorithms has been proposed by Erol
experimental results, the binary version of the BB-BC method and Eksin in 2006 for numerical optimization problems and
achieves successful results in solving UFLP in terms of solution
was based on the big bang and big crunch theory, one of the
quality.
theories of the evolution of the universe [17]. While in the Big
Bang phase, the BB–BC method similarly produces haphazard
Keywords— Big Bang-Big Crunch Algorithm, Population-based
points in solution space, in the Big Crunch phase it shrinks all
optimization algorithms, Binary optimization, UFLP, Modulo
function of the points in the search space to a single agent point due to
a centre of mass. It has shown that The BB–BC method
I. INTRODUCTION outperformed the enhanced classical Genetic Algorithm on
Many swarm intelligence methods have been recently many benchmark problems.
proposed in order to solve compelling optimization problems According to the literature review, the basic BB-BC
by reason of their simple structures and creation of influential algorithm is a competitive algorithm in solving optimization
solutions for problems [1]. Heuristics algorithms are the problems with continuous solution space. If the solution space
algorithms that employ a simple approach to produce an of the problem is binary-structured, the basic BB-BC
acceptable solution to search and are recently becoming algorithm must be modified in order to solve this type of
powerful and getting more common. The reasons of that can optimization problems. Using modulo function that is one of
be shortly given as follows: the main mathematical operators, we propose a binary version
In case of different decision variables, objective functions of the BB-BC method for obtaining the reasonable solutions
and constraints, they provide strategies of the general solution for binary optimization problems. The proposed method is
that can be practiced to the problem. investigated on a standard binary optimization problem by
They independently operate from the type of solution utilizing the uncapacitated facility location problem (UFLP).
space, the number of decision variables and constraints. The UFLP is one of the most commonly used problems in
They utilize probabilistic random searches. They do not combinatorial optimization. In this problem, the main
need excessive computation time because their computation objective is to minimize the total cost by providing the
power is in reasonable level. demand of customers under the given conditions that are a
The processes of their transformation and adaptation for constant cost of setting up a facility and a shipping cost of
different type of problems are simple. satisfying the customer demand for the corresponding facility
They dictate fewer mathematical requirements and in [10].
addition, they do not need very well defined mathematical
models.
They present impressive solutions for the large-scale
combinatorial and non-linear problems.
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291
_____________________________________________________________________________________________________________
II. BASIC VERSION OF BIG BANG BIG CRUNCH ALGORITHM The steps of the BB-BC method are presented in Fig. 1.
(BB-BC)
The BB-BC algorithm was firstly introduced for solving Description
continuous optimization problems in 2006 by Erol and Eksin. To initialize algorithm, the size of population,
Initialization number of iteration, fitness function and error value
This method is constructed on two main steps: the first phase Stage
is the Big Bang phase in which all of the candidate solutions are determined.
are randomly distributed into the search space and the next A population which consists of N individuals in
Step 1:
phase is the Big Crunch where a centre of mass is calculated search space is randomly generated.
considering individuals in the whole population [18, 19]. The The values of all the candidate solutions (individuals)
Step 2:
initial population is randomly produced over the search space are calculated by using fitness function.
as done in the other swarm-based algorithms. All subsequent The center of mass or the fittest individual is
Step 3:
Big Bang phases are randomly distributed about the centre of determined as Big Bang point by the help of Eq. (1).
mass or the candidate with the best fitness value in a similar A new population is generated about the center of
way. The most important feature of the algorithm is that it has Step 4:
mass or the best-fit individual.
high convergence speed but low computational complexity. Go to Step 2 until the stopping criterion (number of
Step 5:
For instance, while many evolution-based algorithms in the iteration or error value) is met.
literature present near-optimal solutions at the end of too Fig. 1. The steps of the BB-BC method
much iteration, BB-BC algorithm obtains solutions very close
to the optimal solution of this problem on far less number of III. PROPOSED BINARY VERSION OF BB-BC
iterations in general.
Modulo base 2 is used to convert the continuous solutions
After the Big Bang, a contraction procedure is implemented to binary version. This conversion is presented in Eq.4.
during the Big Crunch. In this stage, the contraction operator
holds the available locations of each candidate solution in the
, = ( , , 2) (4)
population and its associated cost function value and
calculates a centre of mass. The centre of mass is presented as
follow: where, , is binary solution obtained from , , ⌊ ⌋ is
rounding operation to down, abs is a function used in order to
∑ obtain absolute value of , . When , is computed, first of
= all, rounding operator is applied to , , then absolute value of
∑ (1)
, is obtained. As for last process, the modulo base two is
,where Xc = position of the centre of mass; Xi = position of applied to the obtained value.
candidate solution; fi = value of cost function of candidate i;
and N = population size. The best fittest candidate solution , = round (| , |) mod 2
can also be utilized as the starting point instead of the position
of the centre of mass. An example of the solving Eq. (4) is presented as follows:
After the second stage completes, new individuals are once
again calculated for Big Bang stage according to the formula , = round (| − 12.24|) mod 2
below. , = round (12.24) mod 2
r , =12 mod 2
X =X + =0
k (2) ,
IV. UNCAPACITATED FACILITY LOCATION PROBLEM

where Xc, l, r and k are respectively the centroid of mass,
upper bounds of parameters, random parameter and number of In the basic formulation, UFLP consists of a set of
iteration. The value Xnew is calculated according to the customer location m that must be served, and a set of potential
following formula. facilities n in which at least a facility must be opened and has
not any capacity limitation. The main purpose (Eq. (5)) is to
∑ X find a subset f of n facilities that is supplied request of
r customers m. The objective function of the problem is to
X = + (3)
∑ k minimize sum of the transport costs. The mathematical
formulation of the UFLP can be expressed as follows:
( ) = min ∑ ∑ , , +∑ (5)
subject to :
∑ , =1 ∀ (6)
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292
_____________________________________________________________________________________________________________
0≤ , ≤1 (7) obtained by the runs are reported in Tables II-VII. The

accuracy and robustness values of the methods are compared
where i = 1...m; j = 1,...,n; xij represents the quantity in terms of the mean and standard deviation, respectively.
supplied from facility i to customer j; yj expresses whether In Table II, the experimental results obtained using center
facility j is located (yj= 1); otherwise (yj= 0). The constraint in of mass function for value l=1 is presented. The mean (Mean),
Eq. 6 ensures that demands of all customers must be satisfied standard deviation (Std), best value (Best) and worst values
by an open facility. The constraint in Eq. 7 provides the (Worst) obtained at the end of 30 times run are given for each
collectivity, as well. problem. When analyzed the mean values, any success could
The UFLP is one of the most crucial NP-hard problems in not be gained under these parameters. However, when the best
location theory [15, 20, 21]. In order to solve UFLPs, many values are examined, the optimal results were obtained for
exact methods, such as branch-and-bound [22], linear small-sized and medium-sized problems problem groups but
programming and Lagrangian relaxation [23], and dual not large-sized problems. Besides, when looked at Table II
approach [24], have been proposed. Despite the fact that these and the other tables, it is seen that as the size of the problem
methods guarantee optimal solution, the computation time of increased, the average deviation from the optimal solution
these methods may be too much. For this reason, some increased.
approximate methods have been proposed in order to solve
TABLE III
UFLPs. These methods cannot ensure the reaching of the EXPERIMENTAL RESULTS OBTAINED USING CENTER FUNCTION FOR L= 1
optimal solution, but they can attain optimum or near-
optimum solutions in a reasonable time. Mean Std Best Worst
V. EXPERIMENTAL RESULTS Cap71 934777,784 2450,409 932615,750 940250,100

The uncapacitated facility location test suite (12 test Cap72 981265,362 2794,858 977799,400 986482,638
problems) obtained from the OR-Library was used in order to Cap73 1012479,872 1927,757 1010641,450 1017426,175
examine the performance and accuracy of the proposed
Cap74 1040091,967 6159,926 1034976,975 1054295,825
binary versions of the BB-BC algorithm [25]. In the test suite,
four problems (Cap71-74) are small-sized, the four problems Cap101 802615,243 4316,150 796648,438 810221,750
are medium-sized (Cap101-104) the remaining four problems Cap102 860936,509 6430,058 854704,200 876063,950
are large-sized problems (Cap131-134) and the sizes and the
Cap103 901336,552 7078,613 893782,113 914089,925
costs of the optimal solutions for the problems are given in
Table I. Cap104 949409,698 14208,519 928941,750 982101,063
Cap131 825390,386 19827,042 794159,350 850878,038
TABLE I
DESCRIPTION OF THE TEST SUITE Cap132 907449,515 24607,298 851495,325 933883,325
Problem name Problem size Cost of the optimal solution Cap133 977059,899 17914,583 934917,063 1012152,913
Cap71 16x50 932,615.75 Cap134 1047398,447 30954,550 982799,250 1097979,288
Cap72 16x50 977,799.40
Cap73 16x50 1,010,641.45 The reporting results obtained using center of mass
Cap74 16x50 1,034,976.98 function for value l=2 are given in Table III. When examined
Cap101 25x50 796,648.44 the mean values, it could not be reached to the optimal value
Cap102 25x50 854,704.20 for any problem under the given parameters. However, when
Cap103 25x50 893,782.11
the best values are examined, the optimal results could not be
found for small and medium-sized problems problem groups
Cap104 25x50 928,941.75
except for large-sized problems. In addition, while the
Cap131 50x50 793,439.56
standard deviation values obtained from small-sized problems
Cap132 50x50 851,495.33
got lower, those of medium-sized and large-sized problem sets
Cap133 50x50 893,076.71 got higher. Therefore, it can be said that this method is more
Cap134 50x50 928,941.75 robust for small-sized problems than the other problem
groups.
In order to make a clear and consistent comparison each
other, the population size is taken as 40. For the entire
experiments, the termination condition is selected as the
maximum number of function evaluations (Max_FEs) and it is
set as 80.000 and each experimental study performed by using
center of mass and best fit individual instead of Eq. 1 and
different upper limit (l), which is one of the control parameter
of the BB-BC, is run 30 times in order to solve UFLP. The
mean, best and worst values and the standard deviations
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293
_____________________________________________________________________________________________________________
TABLE III conditions, any optimal value for any problem could not be
EXPERIMENTAL RESULTS OBTAINED USING CENTER FUNCTION FOR L= 2
found. However, when analyzed the best values, it is seen that
the proposed method reached to the optimal solution for
Mean Std Best Worst
small-sized and medium-sized problems problem groups but
Cap71 934166,882 1993,341 932615,750 939177,513 not large-sized problems. Besides, when analyzed the mean
Cap72 979944,208 2584,446 977799,400 984829,450 values in this table while this method obtained very near-
optimal results for both of small-sized and medium-sized
Cap73 1012865,261 1802,325 1010641,450 1015589,325
problems, it did not obtain good solution for large-sized
Cap74 1040141,943 5846,441 1034976,975 1053912,938 problems. Therefore, it can be specified that this method is
Cap101 804429,968 5385,079 796648,438 812834,288 relatively more effective for small-sized and medium-large
problem sets than large-sized problems.
Cap102 863982,102 6550,753 854704,200 875894,200
Cap103 904765,695 8869,370 893782,113 917587,900 TABLE V
EXPERIMENTAL RESULTS OBTAINED USING BEST FIT INDIVIDUAL FOR L= 1
Cap104 952661,198 17286,486 928941,750 976991,075
Cap131 821229,431 18868,929 795883,238 851320,750 Mean Std Best Worst
Cap132 912322,125 21859,908 854704,200 938541,638 Cap71 933189,717 1389,929 932615,750 938122,238
Cap133 980653,598 16274,168 948982,750 1006973,775 Cap72 978581,522 1488,624 977799,400 982711,600
Cap134 1056551,117 25561,281 1005104,075 1105009,113 Cap73 1011318,064 1011,356 1010641,450 1014253,438
Cap74 1036464,014 3242,674 1034976,975 1052187,150
The experimental results attained utilizing center of mass
Cap101 798149,257 1574,117 796648,438 801947,025
function for value l=3 are given in Table IV. When examined
the mean values, the optimal value could not be found for any Cap102 858319,158 2494,585 854704,200 862792,900
problem under the available parameters. However, when Cap103 897041,810 3883,140 894008,138 911215,038
examined the obtained best values, it is seen that this method
Cap104 934136,345 5617,622 928941,750 955362,300
obtained optimal results for small-sized and medium-sized
problems except for large-sized problems. In addition, while Cap131 807064,141 8882,906 794956,113 835703,763
the standard deviation values obtained from small-sized Cap132 872173,273 10397,055 857605,800 896433,588
problems got lower, those of large-sized problems groups got
higher. Therefore, it can be said that this method is relatively Cap133 924420,926 18208,083 896522,713 962142,413
more effective for small-sized problems rather than large- Cap134 996889,000 31413,774 942813,938 1058213,813
sized problems.
The final results obtained using best fit individual instead
TABLE IV of center of mass function for value l=2 are given in Table VI.
EXPERIMENTAL RESULTS OBTAINED USING CENTER FUNCTION FOR L= 3
When examined the mean values under these conditions, it
could not be reached to any optimal result for any problem.
Mean Std Best Worst
However, when examined the best values, it is seen that this
Cap71 934130,279 2157,679 932615,750 939626,575 method reached to the optimal values for small-sized and
Cap72 981160,794 3084,162 977799,400 987144,550 medium-sized problems problem groups but not large-sized
problems. Besides, when looked at the mean values while this
Cap73 1012575,554 2165,025 1010641,450 1017544,888
method obtained very near-optimal results for small-sized and
Cap74 1041407,615 5023,067 1034976,975 1048963,413 medium-sized problems problem groups, it did not obtain any
Cap101 801790,383 4102,594 796648,438 810451,925 sufficient solution for large-sized problems. Therefore, for
small-sized and medium-sized problems, it can be stated that
Cap102 863112,714 6553,889 854704,200 874035,350
this method is relatively more competitive.
Cap103 902364,675 9815,888 893782,113 922215,888
Cap104 947196,955 18341,711 928941,750 987505,475
Cap131 823123,130 18485,441 799291,000 852911,088
Cap132 910805,458 21907,858 859028,188 943963,650
Cap133 972870,255 15372,560 942524,650 1009722,438
Cap134 1055681,507 26056,078 989378,975 1103422,350
The reporting results obtained utilizing best fit individual

instead of center of mass function for value l=1 are given in
Table V. When investigated the mean values under these
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294
_____________________________________________________________________________________________________________
TABLE VI A. Comparative Analysis between Centre of Mass and Best Fit

EXPERIMENTAL RESULTS OBTAINED USING BEST FIT INDIVIDUAL FOR L= 2
Individual
Mean Std Best Worst To fulfill a fair comparison, the experimental studies have
been conducted under the equivalent parameters. In the
Cap71 933031,378 1141,122 932615,750 937364,400
process of comparison, Table II, III and IV are compared to
Cap72 978434,816 1436,766 977799,400 982711,600 Table V, VI and VII, respectively. In other words, to make a
Cap73 1011559,270 1342,588 1010641,450 1014491,400 comparison between center of mass and best fit individual, the
results of the corresponding problems have been compared
Cap74 1036038,932 1587,518 1034976,975 1039926,175 under the same l values. As seen from Tables II - VII, when
Cap101 798550,012 1842,539 796648,438 804211,238 the proposed BB-BCcenter method with Center of Mass is
Cap102 857279,872 2702,962 854704,200 865405,538 compared with BB-BCbest method with Best Fit Individual,
BB-BCbest method is quite better in terms of both of solution
Cap103 896504,491 2412,846 893782,113 901580,388 quality and robustness rather than BB-BCcenter method, in
Cap104 935326,600 6149,832 928941,750 951622,050 general. In addition, BB-BCbest method reached the very near-
Cap131 808708,475 8078,468 797635,288 833514,275 optimal solutions for the corresponding problems in all of the
different l values. Based on the standard deviations, the
Cap132 874615,404 15692,184 851670,125 903862,650 robustness of the BB-BCbest method is better than that of the
Cap133 928468,949 20240,792 895642,513 975990,875 BB-BCcenter method for all of the problems. When l values
Cap134 994036,220 40501,828 933520,538 1064880,575
were set as one, two and three, the similar results were
obtained. Therefore, for the entire problem groups (small-
sized problemss, 100s, 130s), it is observed that utilizing of
The experimental results acquired utilizing best fit
different l values does not affect the success of the algorithm.
individual instead of center of mass function for value l=3 are
given in Table VII. When examined the mean values, this VI. CONCLUSIONS
method could not reached to any optimal result for any
problem. However, when looked at the best values, it is In this paper, we studied the modification of the BB-BC
observed that this method reached to the optimal values for method for solving binary optimization problems. Modula-2
only small-sized and medium-sized problems problem groups. based binary version of the BB-BC algorithm has been
Besides, when analyzed the mean values while this method proposed and their performance has been investigated on
obtained very near-optimal results for small-sized and uncapacitated facility location problems containing small and
medium-sized problems problem groups, it did not acquire medium sized problem. The performance of the proposed
any good result for large-sized problems problem set. methods is analyzed under the different l values which are
Therefore, it can be specified that this method is relatively upper value of the BB-BC method. In addition, the
more competitive for only small-sized and medium-sized experimental results have been individually conducted using
problem sets. both of center of mass and best fit individual instead of center
of mass and in view of these results, the comparative analysis
TABLE VII between the BB-BCcenter and BB-BCbest methods has been also
EXPERIMENTAL RESULTS OBTAINED USING BEST FIT INDIVIDUAL FOR L= 3 carried out in this study. In experimental results, it is shown
that promising results are obtained by this proposed binary
Mean Std Best Worst
method. The results show that the BB-BC method proposed
Cap71 933305,228 2119,100 932615,750 943673,600 for binary optimization can be used for solving other binary
Cap72 979253,239 2580,129 977799,400 987260,213 optimization problems.
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Image Mosaicing Based Condition Monitoring

Approach for Multi Robots at Production Lines in
Industrial Autonomy Systems
Hasan Yetis*, Mehmet Karakose*
*
Department of Computer Engineering, Firat University
Elazig, Turkey
{h.yetis, mkarakose}@firat.edu.tr
Abstract— In today industry, manufacturing become big and same time. Thus the robots in the facility can be observed in
serial as it never been before thanks to the autonomy robots. one screen and machines which could lead to accidents can be
Hitches on such autonomy systems used in industrial production noticed early. The stitched image can also be used for image
may cause production delaying. In this study, it is aimed to obtain processing in cyber layer.
alive bird's eye view map of full system in order to monitor
There are studies about image mosaicing in literature [1-5].
manufacturing robots at production facilities that are big and
impossible to be monitored with only one camera. Finding the One of the studies, Divya et al. [1], implemented weighted
similar scenes of input images, estimation of homography, average method in addition to the methods used in image
warping and blending operations are applied respectively in order mosaicing such as feature extraction, cluster analysing,
to mosaic the images by twos. Thus the robots in the facility can dynamic programming to obtain wide angle panorama.
be observed in one screen. With observation of the obtained Although the study is effective for illuminated images, it is not
images, faults on cyber-physical systems that may cause damage useful for dark images. Another study about this subject is Lin’s
in machines which are not cheap can be handled beforetime. study [2]. Lin et al. use image mosaicing in order to obtain
cylindrical panoramic image. Scale Invariant Feature
Keywords— Condition monitoring, Multi robots, Production lines, Transform (SIFT) and Random Sample Consensus (RANSAC)
Image processing, Image mosaicing are used in this study. Patel et al. [3] employ Speeded-Up
Robust Features (SURF) for feature extraction and Sum of
I. INTRODUCTION
Squared Differences (SSD) for feature matching. They also
Accuracy and security of cyber-physical systems become used RANSAC to eliminate incorrect matchings. At the end of
crucial with growing up cyber-physical systems in industry. In their study, they compare Harris and SURF and decide that
today industry, manufacturing become big and serial as it never SURF is more effective for multi-imaged image mosaicing
been before thanks to the autonomy robots whose cyber and problems. Huang et al. effort to mosaic frames in videos [4].
physical layers are diverse. Monitoring physical layer from Instead of using all frames in a video, they used the frames that
cyber layer is necessary for link the layers and integrate them contain small piece of other frame to enhance video mosaicing
more tightly. Furthermore, it will ease the control of big performance. In their study, Lee et al. [5] employ SURF for
facilities. Hitches on cyber-physical systems used in industrial feature extraction and Histogram of Gradient (HoG) for
production may cause production delaying. Furthermore, these matching. They also utilize from Approximate Nearest
hitches may cause damage in hardware which are not cheap. So Neighbour (ANN), RANSAC algorithms.
observation of the system and determination of possible
accident are required for deduction the cost of delay in
production and repair. With processing the obtained image by Images that will be stitched
algorithms in cyber layer, the cyber-physical system would be
more integrated and secure.
In this study, it is aimed to obtain alive bird's eye view map Sort the images with the aid of extracted features
of full system in order to monitor manufacturing robots at
production facilities that are big and impossible to be monitored
with only one camera. With the created alive map, it will be Form the stitched image
possible to monitor positions of all robots instant and extract
more detailed information about the facility. It is need that
locate cameras each of whose angel of vision contain the small Apply methods such as noise reduction and
balancing in order to improve quality
piece of neighbour one’s. Finding the similar scenes of input
images, estimation of homography, warping and blending
operations will be applied respectively in order to mosaic the
Obtained image that has high resolution
images by twos. After all steps done, only one stitched image
will be obtained from all these images taken by cameras at the Figure 1. General Image Mosaicing Steps in Literature [6]
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Qui et al. aimed to stitch images and eliminate ghosts

occurred while stitching images [7]. In this manner they used Reference Image Target Image
SIFT and RANSAC methods. In order to obtain optimal
stitching line dynamic programming methods are employed.
Laraqui et al. [8] also employ SIFT for feature extraction. Identify Interest Points Identify Interest Points
Difference of their study is that they use voronoi diagram to
eliminate incorrect matches.
The paper continues with information about image mosaicing Extract Features Extract Features
that is given in section 2. In section 3 simulation results are Belong Interest Points Belong Interest Points
given. Conclusion is handled in section 4 and references are
listed following conclusion.
Match the Interest Points
II. IMAGE MOSAICING
Image mosaicing is the process of obtaining single image
from more than one images that contain common view with Eliminate Inconsistent Matchings
corresponding of the matching points. It helps to obtain
qualified images with not expensive cameras [9], take the
image of scenes that can not be viewed with one camera, obtain Homography Estimation
panoramic images, delete moving objects in a video. It has a
wide application area from smart systems to military systems.
Regardless the count of images that will be stitched, the Warping and Blending
images are stitched by twos as seen in figure 2. There are
stitching methods in space and frequency domains. The
methods in space domain can be grouped as area-based
Single Output Image
methods and feature-based methods [10]. In this paper, feature-
based techniques are applied because area-based techniques are
sensible for changes in size, angle and illumination. In feature- Figure 3. General steps of feature-based image mosaicing [11]
based image mosaicing methods, interest points that are
characteristic points in image and their features are found first. order to make algorithm more efficient. Interest points can be
With the help of extracted features, matching operation is edges, corners or blobs. There are several edge and corner
applied. Mismatches that may be occurred are eliminated and detection methods to identify the interest points [13,14]. In this
homography is estimated. With the found homography matrices paper, interest points are extracted by Difference of Gaussian
warping operation is actualized and blending is applied to make (DoG) method which is a blob detection method.
the stitching seamless [11]. General steps of feature-based In order to link between images, interest points are used.
image mosaicing process are given by Fig. 3. Some features must be extracted for calculating the similarity
of interest points. There are various feature extraction methods
A. Feature Extraction in literature [15]. In this study, we used Scale Invariant Feature
In order to stitch images, it is required to determine common Transform method [16].
areas / objects first. Feature based methods use characteristic
points called interest point instead of all pixels in an image in B. Matching
After extracted SIFT features, it is searched corresponding
Reference Image Target Image interest points from second image to interest points from first
image according to similarity [17]. In this stage second nearest
neighbour distance rate is used to prevent mismatches [18].
According to this method the distance between interest points
from reference and target image are calculated. The nearest 2
corresponding interest points are selected for each interest point
from reference image. If the first distance is smaller than the
multiply of distance ratio and second distance, it means there is
no confusion probably and the first one selected as matched
point. Otherwise it means there is confusion and no matching
is realized.
1, ,<.∗α
!"#$ℎ&'( =
0, 2#ℎ345&63
where A is distance of first nearest point, B is distance of

Figure 2. Stitching images after warping [12] second nearest point and α is tolerance of distance difference.
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C. Elimination of Mismatches Select N samples randomly

Although the second nearest neighbour distance method
reduce the count of mismatches, it can not completely eliminate Fit a model for selected samples
them. When we try to superpose the matched interest points,
the mismatches make a fuss. So, the count of mismatches must
be minimized before homography estimation. In this study Test the model with unselected points
RANSAC is used to eliminate the mismatches.
According to RANSAC method [19], some of the data are
İs the model
selected randomly and a model is tried to fit the samples. After provided for
all data are tested by the model respectively. If the model gives enough sample
NO
the correct result within the tolerance defined before, the datum
YES
is marked as in-liner. If in-liner data is sufficient to verify the NO
model, the model is added to solution set. This operation is Add the model to solution set
actualized pre-determined iteration times. At the end of the
iterations best model that fits the majority of data with
minimum error is selected as solution. The diagram belongs to Does iteration exceeded
RANSAC algorithm is given by Fig. 4. max iteration number
D. Homography, Warping and Blending YES
We aimed to fit a model whose input is the pixel coordinate Terminate the process and
of target interest points and output is the pixel coordinate of evaluate the models in solution set
corresponding reference interest point. The model that help us
to calculate the new position of target image pixels’ in order to Figure 4. Block Diagram of RANSAC Algorithm [22]
superpose these images is called homography matrices.
Homography matrices is 3x3 sized matrices and it is used to
move the points in homogeneous coordinate system. The III. EXPERIMENTAL RESULTS
equation for calculating new position of point and and its In this paper, the image stitching operation is implemented
extended version are given by respectively (1) and (2). on images that belongs to robots at production line. The
diagram of desired system given by Fig. 5. Although the sample
8. : = :′ (1) system shown by Fig. 5 includes 4 cameras with the same
ℎ<< ℎ<= ℎ<> ?@ ?C characteristics, the count of cameras can be increased. A
ℎ=< ℎ== ℎ=> A@ = AC (2) computer with intel i7 6020M CPU, 6 GB ram, and Windows
7 64bit home premium is used to perform the proposed
ℎ>< ℎ>= ℎ>> B@ BC
approach on the sample images belong to production
environment.
where H is homography matrices, P and P’ are former and new
coordinates of pixel in homogenous coordinate system
respectively. To transform 2 sized vector to homogenous
coordinate system, B@ is selected as 1; to transform
homogenous coordinate system to X and Y values (3) is used.
?C AC
?D = , A D = (3)
BC BC
where X’ is new value of X and Y’ is new value of Y. After

found of new coordinates of target image, target image is
transformed and coordinates of corresponding points be the
same. With the displaying transformed image and reference
image in one frame, image stitching process is done.
Stitched image may have visible colour transition because of
the cameras whose angel of vision is not illuminated as same as
the other one’s. At last, to extinguish the difference blending
operations are used [20]. In order to remove blur that may be
derived from stitching operation or derived due to the high
speed of robots at production line, some blur removal methods
in literature can be used [21]. Figure 5. Desired system for grabbing images.
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299
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(a) 1st camera of first row (b) 2st camera of first row
(h) Stitching of (a) and (b)
(c) 1st camera of second row (d) 2st camera of second row
Fig. 6. Images that are stitched
In order to test the effect of the images order, the four image
given by Fig. 6 are stitched respectively first. The result of this (i) Stitching of (c) and (d)
process is given by Fig. 7. Then the same images are subjected
to the process of stitching by twos. In Fig. 8, e is obtained by
stitching of a and b, f is obtained by stitching of c and d, and
finally g is obtained by stitching of e and f.
(j) Stitching of (h) and (i)

(e) Stitching of (a) and (b)
Fig. 8. An example of stitching by twos.
Although there is not much difference in point of the quality

between final stitched images that are obtained in Fig. 7 and
Fig. 8, we can see that the process given in Fig. 8 works faster
than the process given in Fig. 7 when we look elapsed time
given in table 2 and table 3.
Although cameras are stable and the distance between them
is nearly constant, possible changes on camera angle or shakes
make it necessary to find optimal points that are used in process
of image superposing. We suppose that cameras are positioned
as one’s visual angle contains 1/3 of the neighbor one’s visual
(f) Stitching of (e) and (c)
angle maximum, include deflection. So instead of searching
interest points whole image, we did it only in interested area.
The results with 1/5 of interest area are given by table 3. The
elapsed times in table 3 can be reduced by parallelization. The
results given by table 1 shows that there is no much difference
between matched interest points that are searched in full image
and 1/3 of the image. But when we look the elapsed time to find
interest points, the second one works faster than first.
TABLE I. ELAPSED TIME FOR INTEREST POINT EXTRACTION

Searching
Search Size Found IP Matched IP Time (ms)
Area
Full of a 336 x 189 681 84* 29
(g) Stitching of (f) and (d) 1/3 of a 111 x 189 205 87 13
Fig.7. An example of stitching by order. 1/5 of a 66 x 189 123 47 7
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WITH FULL SEARCH AREA Stitching Method Based On Multi-cameras,” The 5th Annual IEEE
International Conference on Cyber Technology in Automation, Control
Process in and Intelligent Systems, Shenyang, China, pp. 1091-1096, June 2015.
Size Time (ms)
Fig. 7. [3] A. Laraqui, A. Baataoui, A. Saaidi, A. Jarrar, M. Masrar, and K. Satori,
e 560 x 189 65 “Image mosaicing using voronoi diagram,” Multimedia Tools and
f 560 x 310 92 Applications, pp. 1-27, 2016.
[4] C. M. Huang, S. W. Lin, and J. H. Chen, “Efficient Image Stitching of
g 560 x 310 123 Continuous Image Sequence with Image and Seam Selections,” IEEE
Total 560 x 310 280 Sensors Journal, vol. 15, pp. 5910-5918, 2015.
[5] S. Lee, Y. Park, and D. Lee, “Seamless Image Stitching Using Structure
Deformation with HoG Matching,” International Conference on
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WITH LIMITED SEARCH AREA [6] R. Abraham, and P. Simon, “Review on Mosaicing Techniques in Image
Processing,” International Conference on Advanced Computing &
Process in Communication Technologies, Rohtak, India, pp. 63-68, April 2013.
Size Time (ms)
Fig. 8. [7] Z. Qui, P. Shi, X. Jiang, D. Pan, C. Feng, and Y. Sha, “Image Stitching
h 560 x 189 15 and Ghost Elimination Based on Shape-Preserving Half-Projective
i 560 x 189 16 Warps,” International Conference on Information and Automation,
Lijiang, China, pp. 2610-2615, Aug. 2015.
j 560 x 310 28 [8] A. Laraqui, A. Baataoui, A. Saaidi, A. Jarrar, M. Masrar, and K. Satori,
Total 560 x 310 59 “Image mosaicing using voronoi diagram,” Multimedia Tools and
Applications, pp. 1-27, 2016.
[9] M. Baygin, and M, Karakose, “A new image stitching approach for
resolution enhancement in camera arrays,” 9th International Conference
IV. CONCLUSION on Electrical and Electronics Engineering (ELECO), Bursa, Turkey, pp.
It is very crucial to monitor physical elements especially for 1186-1190, Nov. 2015.
[10] P. M. Jain, and V. K. Shandliya, “A Review Paper on Various
cyber-physical systems that is trend of the industry of today, Approaches for Image Mosaicing,” International Journal of
which is called industry 4.0. In this paper, it is proposed that Computational Engineering Research, vol. 3, pp. 106-109, 2013.
use image mosaicing to monitor conditions of multi robots at [11] H. Joshi, and K. Sinha, “A Survey on Image Mosaicing Techniques,”
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& Technology (IJARCET), vol. 2, pp. 365-369, 2013.
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the same science are used, and no one of them contains more Techniques,” Journal of Visual Communication and Image
than 1/3 of another one in spite of the possible deflections. With Representation, vol. 32, pp. 1-11, 2016.
the knowledge of this, only a part of image is used to search [13] I. K. Sarangi, and S. Nayak, “Image Mosaicing of Panoramic Images,”
Bachelor Thesis, National Institute of Technology, Rourkela, 2014.
interest points instead of full image. Finding interest points,
[14] M. Karakose, M. Baygin, “Image processing based analysis of moving
feature point extraction, matching, warping and blending shadow effects for reconfiguration in PV arrays,” IEEE International
operations are used respectively to stitch images. Since the Energy Conference (ENERGYCON), Cavtat, Croatia, pp. 683-687, May.
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is not required for such camera array applications. The images [15] V. K. S. Prathap, S. A. K. Jilani, and P. R. Reddy, “A Critical Review
on Image Mosaicing,” International Conference on Computer
are stitched by order and by twos respectively. The effect of Communication Informatics (ICCCI), Coimbatore, India, pp. 1-8, Jan.
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stitching by order for the camera arrays which occurred from Robust Face Recognition,” International Conference on Image Analysis
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NxN camera, N is even number. Furthermore, if N is not even
2010.
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the constraints and the operation is applied for sub array. After Algorithm Based Image Stitching Approach for Camera Arrays at
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of this approach make it possible to be used in camera array Engineering and Process (ICMEP), Istanbul, Turkey, in press, 2016.
[18] D. G. Lowe, “Distinctive Image Features from Scale-Invariant
problems. The feature-based method makes the solution more Keypoints,” International Journal of Computer Vision, vol. 60, pp. 91-
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Defining Crowd Movement as Parabola and Classifying These

Definitions
Murat Akpulat1 , Murat Ekinci2
1 Gumushane University, Kelkit Aydın Dogan Vocational School
Computer Technologies, Gumushane-Turkey
muratakpulat@gumushane.edu.tr
2 Karadeniz Technical University
Computer Engineering, Trabzon-Turkey

mekinci@ktu.edu.tr
Abstract— Smart surveillance systems developed in recent

years have made enormous contributions to providing safety
and management of crowds. The aim of this study is to observe
and try to understand how crowd movements presented in
a video sequence show behaviour. For this end, the motion
data at pixel level among the consecutive frames is obtained
using optical flow initially. Then, this motion data is associated
using the particle advection method and stable as well as
moving areas in the image are obtained. After, the moving areas
clustered using Mean-Shift method are described and classified
as parabola, in addition to the studies in the literature. At the
end of the study, the method developed was tested over UCF
as well as Pets2009 datasets and the results are presented.
Keywords Crowd Analysis, Particle Advection, Optical Flow
Fig. 1. Some images in the literature used in the study of crowd analysis
I. I NTRODUCTION
The flow of the daily life, willingly or unwillingly, in-
tegrate people in crowds. Streets, shopping malls, political (Object approach) but it was seen that tracking people in high
meetings, stadiums or concerts are centres where crowds are density videos is fairly difficult and that this is a solution
abundant. It is possible for a crowd in calm movement to that needs burdensome and excessive calculations. In the
become a crowd of people running in panic all of a sudden. following studies, it was tried to grasp the general features
Although this case would not last long, but it may cause of the crowd rather than focusing on the people in the crowd
stampede and may result in losses of lives. It is quite easy for as a whole (Holistic approach).
a person with suspicious behaviour to disguise himself in the Through the survey based publications in recent years,
crowd. These are bad incidents that have a higher percentage the topic has been handled with different issues such as
of lethal possibility and realization. Humanity has already determination of moving areas, crowd analysis, crowd be-
experienced such bad incidents. Such sorrowful incidents haviour, tracking of people, and determination of abnormal
experienced have shown the need for making studies on the conditions. Methods that are used under these topics and
analysis of crowd behaviour. Different disciplines such as success results obtained from these are being compared and
computer vision, sociology, and psychology have been doing evaluated. Moreover, there are studies from the perspective
research on this topic for many years. of different disciplines. [1][2][3][4][5][6][7]
In this respect, researches such as estimating the density of Segmentation of moving areas in crowd provides a general
the crowd and observing the flow by developing algorithms view of the image. By focusing on these moving areas,
on images obtained from surveillance systems; noticing the this process plays an important role in the solution of
generation of a dangerous crowd or predetermining the problems such as determining the abnormal conditions or
abnormal conditions in the crowd; managing the crowd in tracking of people. Insufficient or erroneous results in the
panic; designing the open public spaces; and tracking a segmentation process have a negative effect on the preceding
suspicious person or people throughout a series of images; steps. Because of this condition, studies on determining the
have been the primary topics of crowd behaviour analysis moving areas go on developing every day. [8][9][10]
studies. Some images where there are crowd scenes are Incidents, not occurring frequently except for the general
shown in Figure 1. flow of a crowd, are called Abnormal Behaviour in the liter-
Crowd analysis problems were tried to be solved by ature. Another important study in which a solution is looked
algorithms developed for object tracking in the first years for through computer vision methods is the determination
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of abnormal condition or behaviour in crowd by systems.

Using such systems in high density areas such as shopping
malls, stadiums, concerts or passenger stations presents an
alternative approach to providing the safety and management
of crowds. [11][12]
Another important issue on the crowd analysis field is the
tracking of a person or people in a crowd. It is a very difficult
thing to keep a track of people in high density crowds.
The main reasons are; I) the denser it gets, the less pixel
representing the person there will be, and this makes tracking
more difficult. II) It is difficult to differentiate people in
crowds. III) There are psychological conditions having an Fig. 2. a) Optical Flow b) Particle Advection
influence on the change of people’s direction.
Problems such as tracking of a person or moving objects
(vehicles in traffic) after being determined in the image dur- pixel at (x,y) location in t time can relocate as much as
ing a series of images are specialized fields where academic (dx,dy) in t+1 time period.
studies deal with in private and create private algorithms
(tracking algorithms). In such studies, problems are tried to dI
= 1 ⇒ I(x, y, t) = I(x + dx, y + dy, t + dt) (1)
be solved by an object based approach.[13][14] dt
Estimation of density of a crowd is an important topic When the process is proceeded using Taylor series;
in terms of providing the safety and management of the
crowd. It is crucial to make these analyses and these controls δI δI δI
dynamically at places where there are crowds and crowds I(x, y, t) = I(x, y, t) + dx + dy + dt + H.O.T (2)
δx δy δt
show variability, such as stadiums, concerts, and shopping
malls. By this way, it will be possible to prevent potential
Ixu + Iyv = −It (3)
condensations. These analyses are performed on a single
image. Conditions such as few pixels per person, the perspec- The general formula of the optical flow is obtained.(Ix =
tive, cluttering, occlusion, and low resolution are important δI/δx, Iy = δI/δy, It = δI/δt, u = dx/dt, v = dy/dt).
problems that these analyses should find a solution for. In equation (3) that is obtained as the movement data of
Our target in this study is to obtain the moving areas in a single pixel, there are known values such as lx, ly, and lt
an image using optical flow method and defining the moving values but also unknown values such as u and v values. The
areas as a parabola. Moving areas that are defined as equation aim of the optical flow is to find the u and v values.
will give us information about how the crowd behaves. We At this level, a solution was developed benefiting from the
believe that the results that are obtained from these studies method developed by Lucas-Kanade for optical flow. Lucas-
will help us understand and define the behaviour of the crowd Kanade calculated the velocity of a pixel taking into consid-
in the preceding steps. At the end of the study, the developed eration of the fact that a pixel moves at the same velocity
method was presented as ground truth by being tested on the with neighbouring pixels. That is to say, when calculating the
images from UCF and Pets2009 database. movement of a pixel that has a 3x3 neighbouring scheme,
we obtain 9 equations in order to find the two unknowns of
II. M ETHODS
u and v in equation (3), thinking that all the neighbouring
Some methods that were used in order to obtain some pixels move at the same velocity.
characteristics of the crowd and to observe how the crowd    
moves clearly will be explained in a priority order. Ix1 Iy1 −It1
Ix2 Iy2  −It2 
u 
A. Optical Flow 
 .. ..  = v  .. 
 
(4)
 . .   . 
This is a method used in order to obtain movement data
Ix9 Iy9 −It9
in a video. In this method, the direction and the speed of
object movements in consequent frames at pixel level can The neighbouring window chosen as 3x3 in the sample
be obtained. This method is usually used for obtaining the can be chosen at different sizes depending on the condition
movement data at lower speeds and at high density. It is seen of the problem.
that the method proves to return better results in videos with While preferring a smaller size of window value can
these qualifications.[15][16][17][18] help us obtain the details in an image, these details might
When we take the prerequisite that the light source does lead to image confusion and the load of the system might
not change in time and that the change is not more than 1 increase. Moreover, it may also lead to the loss of general
pixel (in relocations more than 1 pixel, the pyramid method flow data of the video. On the other hand, a larger sized
is recommended but this is not included in this article) into neighbouring window can capture the movements at larger
consideration, we can have this equation, provided that the scale and helps us obtain the general flow of the movement,
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TABLE I
B. Particle Advection
L UCAS -K ANADE O PTICAL F LOW A LGORITHM
Optical flow provides the data related to where a pixel will
Input: Set of input image frames S be heading to on the next frame. Particle Advection, on the
Output: Optical flow vectors [u,v] other hand, is a method used in order to observe (understand)
how a pixel moves throughout the video.[19][20][21]
Begin:
A= set 2x2 zero matrix At this level, particles that are located on every pixel in the
b= set 2x1 zero matrix first frame of the video are being directed by the time domain
d= set 2x1 zero matrix pixel level 3D movement data that is obtained by optical flow.
NWS= floor(Neighbor Window Size)-1
(Ix,Iy)=gradient(1th frame) At the end of the process, the time domain 3D optical flow
It=1th frame-2th frame data is obtained as 2D movement data. This process is called
particle advection and the distance covered by each particle
for i=1+NWS to X size of(1th frame)
for j=1+NWS to Y size of(1th frame) is called particle trajectories. [22][23][24][25][26][27]
A grid is located on 1th frame in video sequence, namely
A= set 2x2 zero matrix each pixel in the first frame and the particles are moved
b= set 2x1 zero matrix
according to optical flow data. Ideally, a grid is made up
for m=i-NWS to i+NWS as N=Width X Height. Particle advection can be formulized
for n=j-NWS to j+NWS according to notation expressed above.
A(1,1)=A(1,1)+Ix(m,n)*Ix(m,n)
A(1,2)=A(1,2)+Ix(m,n)*Iy(m,n) xi (t + 1) = xi (t) + u[xi (t), yi (t)] (6)
A(2,1)=A(2,1)+Iy(m,n)*Ix(m,n)
A(2,2)=A(2,2)+Iy(m,n)*Iy(m,n)
yi (t + 1) = yi (t) + v[xi (t), yi (t)] (7)
b(1,1)=b(1,1)+ Ix(m,n)*It(m,n)
b(2,1)=b(2,1)+ Iy(m,n)*It(m,n) C. Clustering
end Differentiating multiple actions on an image from each
end other successfully is directly related to the success of the
cluster process. The particles animated with the help of
d=PseudoInverse(A)*(-b)
u(i,j)=d(1,1) Particle advection process infact carry the motion data and
v(i,j)=d(2,1) at the end of the process particles representing any action
gathers at a cluster point. It is expected from the system to
end
end differentiate these clusters from each other. We can think that
each cluster represents an action. In this study, we tried to
obtain clusters using mean-shift method.[28][29]
Some places on the image might not move and therefore
yet the bottlenecks or small movements might not be noticed. the particles on these pixels do not move. In this case,
There is a trade off in question. Therefore, the size of the particles not moving or moving at a value lower than the
neighbouring window is another problem to think about. threshold value and clusters emerged under a definite number
When the equation (4) is solved using minimum least of particles are accepted as noise and they are not included
squares method: in the evaluation. By this way, only clusters that have the
capability to represent motion or define a significant motion
can be obtained.
(AT A)d = AT b
D. Define as Parabola
2x2 2x1 2x1
In this step, the moving areas in the image will be defined
as parabola. In this way, these results will be helpful in terms
ΣIxIx ΣIxIy u ΣIxIt of determining moving areas and understanding the crowd
=− (5)
ΣIxIy ΣIyIy v ΣIyIt behaviour.
There are four basic steps to be taken in obtaining optical Determining as moving parabola can be as follows; par-
flow using Lucas-Kanade method. ticles representing an action or behaviour move as a group
• Noise reduction is applied in frames with particle advection. This information can be expressed as
• Ix, Iy, and It are calculated a curve using least squares method according to the location
• u and v values are found by calculating the equation of each particle has along the motion.
(5).
• Due to the fact that optical flow values are independent f (x) = ax2 + bx + c (8)
from each other and that they might show differences
from the general flow, the resulting values (u,v) are
line if a u 0
applied a median filter. a=
circle others
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Fig. 3. Every color show different event in the image and will be defined as parabola. These results are a (8th equation) for every quadratic equation
a)blue = 0.000786, green = -0.033997 b)blue = 0.001927, green = -0.010793, red = 0.000681 c)blue = 0.013857, green = 0.040634 d)blue = 0.105957,
green = -0.092312, red = 0.032337 e)blue = -0.003065, green = 0.002836, red = -0.079450 cyan = 0.024176, magenta = 0.006983 f)blue = 0.019147,
green = 0.000424
from UCF and Pets2009 database. The results were shown

as ground truth in Figure 3.
For this study, when we express each movement as a
quadratic equation, it can be said that proximity to coefficient ACKNOWLEDGMENT
a (8th equation) shows whether this movement is a line or This research has been supported by Gumushane Univer-
circular movement. sity Scientific Research Projects Coordination Department.
Project Number: 15.B0311.02.01
III. CONCLUSION
As a result, this study is a preliminary study that can make R EFERENCES
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Vibration Analysis for Induction Motors with an

Expert System
Cuma TIPIRDAMAZ and Mehmet Resit TOLUN
Aksaray University, Faculty of Engineering, Electrical and Electronics Engineering Department, Aksaray, TURKEY
Abstract— This paper presents an expert system for induction motor increased stresses, energy losses, cause added wear, increase
fault detection based on vibration analysis by using corvid expert bearing loads, induce fatigue, create passenger discomfort in
system. Vibration signals of induction motors on four different vehicles, and absorb energy from the system.
actuating mechanism are collected with a specific vibration The amplitude of the vibration can be measured as
measuring device. The device evaluates the values with three
displacement, acceleration or velocity. Displacement is a
harmonics in frequency domain. Expert system provides the
recommendations as maintenance activity or the reason of the distance for moved object. Its measurement unit is mm
vibration by using vibration values. This system is tested and (millimeter). Acceleration is a difference the rate of the velocity
validated on four type of actuating mechanisms. Obtained results and is measured as mm/s².
show that this system can detect faults in early stages with high The amplitude of the vibration can be measured as
accuracy and reliability. Thus, it provides malfunction and failure displacement, acceleration or velocity. Displacement is a
prevention and improves overall performance and efficiency of distance for moved object. Its measurement unit is mm
industrial systems. (millimeter). Acceleration is a difference the rate of the velocity
and is measured as mm/s².
Keywords— fault detection, induction motor, vibration analysis, data
analyse, expert systems.
I. INTRODUCTION
Induction motors play an important role as prime movers in
manufacturing, process industry and transportation due to their
reliability and simplicity in construction. Although induction
motors are reliable, the possibility of unexpected faults. The
issue of robustness and reliability is very important to guarantee
the effective operational condition. Therefore, condition
monitoring of induction motors has received considerable
attention in recent years. Early fault diagnosis and condition
monitoring can reduce the consequential damage with
unexpected production stops. Faults can occur in the stator,
rotor, bearing, or the external systems connected to the
induction motor. Because of this reason, fault diagnosis of Figure 1 : Amplitude – Frequency Chart
engineering plant has increased recently.
Displacement accentuates the low frequencies. Acceleration
Expert Systems contain specialized knowledge elicited
accentuates the higher frequencies. Velocity is consistent
from a domain expert usually in the form of IF-THEN rules.
across a larger range of frequencies as presented Figure 1.
Expert systems are widely used in fault detection and diagnosis
Vibration data can be collected through the vibration sensors.
applications [1]. The knowledge engineer usually extracts rules
Vibration sensors can be classified as accelerometers, velocity
for the given domain, in this case, fault diagnosis system for
sensors, capacitive and eddy current sensors and laser
induction motors, and the inputs of expert system are the
displacement sensors. All these sensors have some advantages
measurements taken by sensitive instruments, i.e. sensors. The
and disadvantages according to the application. After the values
expert system then proceeds on to reasoning with rules and
are collected vibration analysis should take place. Vibration
infer meaningful recommendations. The present research is
analysis consist of some logical steps. These are detection,
based on using motor vibration data measured with a
analysis and correction. Detection should be implemented by
professional device and use these results obtained from the
the devices or sensors then analysis occurs by software program
device for diagnosing faults in an induction motor.
or just like ours with an expert system. The last step is the
II. VIBRATION ANALYSIS correction through the analysis. . A systematic vibration
analysis can then be carried out to identify the more common
Vibration is the cyclic or oscillating motion of a machine or machinery problems, including: Unbalance, Misalignment,
machine component from its position of rest. Vibration is a Looseness, Defective Bearings, Resonance, Eccentricity, Worn
repeated action and is continuous. Most vibrations are Gears, Motor Electrical Problems, Drive Belt Problems,
undesirable in machines and structures because they produce
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307
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Distortion (Soft-Foot & Piping Strain). Diagnostic Charts are When the IF part is true, the statements in the THEN part are
implemented to make rules for expert system. also considered true.
A sample dialog for Motor – Belt – Fan Mechanism is as
follows:
IF:
Choose the actuating mechanism: Motor – Belt – Fan
AND : Choose measuring point : Horizontal Vibration
AND : Is there any pick vibration value before the
[Vibration Value1X], Evet
AND : [Vibration Value2X] = 0
Fig. 1 : Unbalance Diagnostic Chart for Fan Mechanism AND : Vibration value3X] = 0
Mass unbalance will be in phase and steady as shown in THEN:
Figure 2. Amplitude due to unbalance will increase by the ‘’There is a misalignment at the center of motor side.
square of the speed below first rotor critical (a 3X speed Maintenance is necessary. ‘’
increase = 9X higher vibration). 1X RPM always present and
IV. EXPERIMENTS AND RESULTS
normally dominates spectrum.
Expert system for induction motor fault detection presented
III. EXPERT SYSTEM DESIGN AND IMPLEMENTATION in this paper implements all previously stated phases of the
Expert systems are computer programs that emulate the detection process. The measurements have been taken on the
interaction that a person would have asking a human expert for Motor- Belt – Fan mechanism by vibration device as presented
advice or a recommendation. Most decision-making processes in Figure 3. There is a peak value on the first harmonic as
can be broken down into many small parts. The human expert shown in Figure 4 that means there is a misalignment on motor
often makes decisions almost automatically and does not side as recommended at expert system forward chaining rule
consciously think about each small step to solve problems or structure. The system has recommended to the maintenance
reach conclusions. However, they become apparent when the team before the problem has occurred that means the system
reason for the decision is explained to someone else, or the has prevented the production loss and has guaranteed
decision process is taught to others. A decision may be based production stability.
on various facts that individually would not be conclusive, but
when combined together lead to a specific decision or diagnosis.
The kernel of an expert system has two main components.
Namely the knowledge base and the inference engine. The
knowledge base contains knowledge about the expert’s domain.
It may be represented by simple facts, or by more complex
representations like frames. There are also rules which
explicitly represent the expert’s skills or knowledge about the
domain under consideration. The expert system uses this
knowledge by exploiting the second main component, that is
the inference engine which has several roles including
determining how the system reasons using the IF-THEN rules
in the knowledge base. Once the knowledge base is built, the
ES can begin making inferences. The most common forms of
inferencing are forward and backward chaining. The process of
moving forwards from known facts to conclusions that follow Figure 3 : Motor – Belt – Fan Mechanism
them is called forward chaining. Alternatively, the process of
working backwards from an hypothesis to known facts that
support it, is called backward chaining.
Various expert system building tools or shells exist to
facilitate and speed up the development process. In the present
study, the new generation Exsys Corvid tool has been utilized
[3]. Exsys tools have traditionally been used a pure rule-based
approach to logic and this has proven to be extremely effective
with heuristic rules [2]. There are many ways of describing the
heuristics for a decision-making process, but the one that has
proven the most effective and efficient is the IF/THEN rule.
This is a rule where there is an IF part that can be tested to be
true or false based on the data for a specific case or situation. Figure 4 : Vibration Value of Motor – Belt – Fan Mechanism
____________________________________________________________________________________________________________
308
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V. CONCLUSION [5] Cornelius Scheffer, Paresh Girdhar, Practical Machinery Vibration

Analysis and Predictive Maintenance, 2004.
In this paper an expert system for induction motor fault [6] Ma Bo, Jiang Zhi-nong, Wei Zhong-qing, ‘’Devolopment of the Task-
detection is presented. Using programming software tool Exsys Based Expert System for Machine Fault Diagnosis’’, Research and
Corvid System and packages combined with appropriate Devolopment Center of Machinery and Electricity Equipment, General
Institute for Non-ferrous Metals, Beijing, China, 2012.
hardware and implementing forward chaining rules, this system [7] Zhinong Jiang, Jinjie Zhang, Menhyu Jin, Bo Ma, ‘’An Expert System
is intended to be used as a practical diagnostic tool for condition Based on Multi-Source Signal Integration for Reciprocating
monitoring and fault, malfunction and failure prevention in Compressor’’, Diagnosis and Self-recovery Engineering Research
industrial systems. The system is tested in real industrial Center, Wseas Transactions on Systems, Issue 5, Volume 12, May 2013.
[8] Ngoc-Tu Nguyen, Jeong-Min Kwon and Hong-Hee Lee, ‘’A Study on
environment and obtained results proved its accuracy and Machine Fault Diagnosis using Decision Tree’’, Journal of Electrical
efficiency. Engineering & Technology, Vol. 2, No. 4, pp. 461~467, 2007.
Further research could be conducted in several directions [9] Dipti Agrawal, Naresh Yadav, Suresh Saini, ‘’ Condition Monitoring of
with new type of vibration sensors. First of which would be to Slip-ring Induction Motor’’, International Journal of Innovative
Research in Advanced Engineering (IJIRAE) Issue 3, Volume 2 (March
extend the number of faults covered by the classification, such 2015).
as unbalance, misalignment, looseness, defective bearings, [10] Dennis H. Shreve , Introduction to Vibration Technology, November
resonance, eccentricity, worn gears, motor electrical problems, 1994
drive belt problems, distortion (Soft-Foot & Piping Strain) at [11] Željko KANOVIĆ, Boris JAKOVLJEVIĆ, Milan RAPAIĆ, Zoran
JELIČIĆ, ‘’Expert System for Induction Motor Fault Detection Based
four different actuating mechanism. This would enable more on Vibration Analysis’’, Original Scientific Paper 1821-4487 (2012) 16;
efficient fault detection based on more comprehensive feature 1; p 36-40.
sets, which would improve maintenance procedure and [12] Mehmet AKAR, Ilyas CANKAYA, ‘’Broken rotor bar fault detection in
decrease total cost in production processes. inverter-fed squirrel cage induction motors using stator current analysis
and fuzzy logic’’, Turk J Elec. Eng. & Comp. Sci., Vol.20, No.Sup.1,
2012, TUBITAK.
REFERENCES [13] Arfat Siddique, G.S.Yadava and Bhim Singh, ‘’Status Review On
[1] Giarratano J., and Riley G., Expert Systems-Principles and Neural / Fuzzy Logic Techniques for Induction Motor Condition
Programming, Fourth Edition, Course Technology, 2004. Monitoring’’, Industrial Tribology Electrical Engineering Department
[2] Awad E., Building Knowledge Automation Expert Systems with Exsys Machine Dynamics and Maintenance Engineering Centre.
Corvid, Exsys Inc., 2003.
[3] Exsys Corvid website, http://www.exsys.com/exsyscorvid.html.
[4] James I. Taylor, The Vibration Analysis Handbook, 2009.
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Security Evaluation of IOS and Android

Ahmet Hayran* , Muratcan İğdeli , Atıf Yılmaz , Cemal Gemci*
Computer Engineering , Baskent University
Baglica, Turkey
ahmethayran@gmail.com
cgemci@gmail.com
Computer Engineering , Baskent University
Baglica Turkey
Computer Science , Bilkent University
Bilkent Turkey
muratcan.igdeli@gmail.com
atif.yilmaz7@gmail.com
Abstract— In the race of smartphone operation systems, IOS and growth from 2015 [2]. Also, worldwide smartphone sales to
Android seem to have the big part of pie. Both platforms have end-users by operating system in 2014 and 2013 are shown in
grown more enterprise-friendly since about one decade. Their Table I [3].
adaptable functionalities make people' lives easy and give them a
reputation in the current competitive technology world. We all
have our personal thoughts it comes to features, usability and
design. However, what about security? Mobile devices,
smartphone operation systems run on, hold valuable, sensitive
and classified information or content. So, that increases their TABLE I
attractiveness as targets for cybercriminals. The security of these SMARTPHONE SALES IN 2014 AND 2013
devices is a growing concern and focus point for smartphone
users. Eventually, the security technology of the smartphones OS 2014 (Units) 2013 (Units)
becomes one of the prime research and these smartphone Android 1,004,675 761,288
vendors have increasingly focused on security in their design IOS 191,426 150,786
efforts. In this paper, factors that influence security within IOS Windows 35,133 30,714
and Android are studied to promote the discussion. Security BlackBerry 7,911 18,606
technologies of IOS and Android are briefly presented. And, Other OS 5,745 8,327
varies factors are considered such as methods of application Total 1,244,890 969,721
distribution, reduced attach surface, privilege separation,
permission-based access control, sandboxing, data encryption, As mobile platforms become increasingly popular, so do
data execution prevention and address space layout the incentives for attackers, especially when mobile payment
randomisation, geo-location and auto-erase. Then, brief
transactions are projected to reach almost US$630 billion by
information is given about malicious apps. Lastly, discussion is
concluded to answer that tight question in the light of security 2014. Recent security surveys describe the rapidly increasing
models investigation and evidences collected from current life. number and sophistication of mobile attacks. Mobile devices’
prevalence and mobile threats’ rapid growth have resulted in a
Keywords— mobile security, mobile device, mobile OS, IOS, shortage of mobile-security personnel [4].
Android
The storing of sensitive personal data in the smartphones
I. INTRODUCTION and the increasing popularity of smartphones, lead them to
Mobile devices are rapidly becoming the platform of choice attract the hackers' attention [5]. Cybercriminals have found
for consumers and businesses. There is a wide range of many sophisticated ways to perform malicious activities on
functionalities provided to the users by the mobile devices mobile devices. Cybercrimes such as identity theft,
such as fast connection to social platforms, personal data information theft, distribution of malwares, and financial
storing, financial processes, web browsing and tons of fraud have become a real threat to individuals, organizations,
services. Therefore, the smartphones sales achieve high and service providers. Nevertheless, there are defences that
number of records worldwide and going on to suppress other can be put in place to minimize and mitigate these threats [6].
electronic technologies like notebooks and tablets [1]. On the
other hand, while the number of mobile devices increased, the Although academic research in mobile device and
security threats such as privacy violations, malicious code and smartphone security has been conducted for several years now,
exploits in smart environment increased. According to a it’s only recently— due to the explosion of mobile device
recent report from Gartner, global smartphone sales are deployment in the enterprise environment —that those
estimated to reach 1.5 billion units in 2016, a 7 per cent
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research activities have truly focused on solving real-world minimizing the amount of code an attacker can access,
security challenges [7]. especially remotely [10].
For example, flash has a history of security vulnerabilities
In this study, Security technologies of IOS and Android are and not available on IOS. Android is still going on support it.
briefly presented and considered. Then, brief information is In addition, there are vulnerability occasions reported about
given about malicious apps and exploits. Lastly, discussion is PDF viewer on Android such as some script in PDF performs
concluded to answer that tight question in the light of security dropper functionality. But, IOS render PDF files natively,
models investigation and evidences collected from current life. only some features of it parsed. That reduces the number of
potential vulnerabilities.
II. EVALUATION OF SECURITY FACTORS Also, security problem of WebView has been studied
In this part of study, security factors that have chosen for before and still exists [11]. Interestingly, research has shown
comparison are evaluated. that the WebView technology can be further exploited to
break the sandbox protection mechanism in the underlying
A. Application Distribution mobile OS. More mobile applications that integrate WebView,
App Store is the only place to distribute apps. Therefore, the broader the attack surface will become [7]. This problem
the apps must be uploaded that official marketplace for public. is closely pursuing by these tow big companies.
Before this process, developer must register with Apple and
gets aware of license conditions. After registration, digital C. Privilege Separation
certificate can be obtained to sign app for distribution. Aim of Both IOS and Android kernel implements a privilege
digitally signing is to guaranty that both the identity of the separation model like on UNIX system. In privilege
app's developer and the app are not modified, and that app is separation model, mobile operation system requires every
belongs to intended developer. Second important step to application run with its own group and users. Thus, this
publish app is vetting process. Vetting process is process for ensures that applications have no permission to access other
checking application for privacy and security violations [8]. applications. The most important system processes run as a
That process can be taken one or more weeks. Also, some root that is most important privilege. Usually, phone
other issues that may get developer into trouble are explored manufacturer use this root right for system apps. Applications
during this process. For example, the app that works with you are downloading from store will run as mobile. An
public web site in real time needs to be confirmed its own End attacker who gets full control of the app such as the PDF
User License Agreement (EULA) by users and web site viewer will be constrained by the fact the code she is
moderator must check and decide the content that send over executing will be running as mobile.
that app to publish or not.
For Android, users need to create account on Google Play D. Permission-Based Access Control
as a publisher like Apple. But signing and vetting processes in IOS permission mechanism is quite different from Android.
Google Play are different! Android does not require the When application requires use of some other application or
applications’ developers to sign apps with Google-issued service feature at runtime, IOS asks the user about allowing
signing certificates. Actually, developers who want to post requested access to intended resources. In IOS, predefined
their apps on Google are able to create as many self-signing limited sets of permissions are given to third party apps. And,
certificates as they want without being monitored by Google accessing to many of devices’ subsystems is blocked. In that,
[9]. That leads to some security vulnerability such as attackers IOS don’t leave some important security sensitive decisions to
can use famous company name to fasten their malicious app user.
distribution. Also, vetting process in android is shallow and For Android, inside the application manifest there is a static
automatic means not checked by human beings. This situation list of permissions that is shown the user during installation
gives easy way to put malicious apps on this trusted domain process. Then, users decide to accept or deny of these
play.google.com. Also, there is more important issue here permission requests. By the way, users cannot partially select
Google Apps (APK Files) can be published over anonymous permissions, in that all or not. If users don’t allow this
web site or over e-mail. That totally leaves the decision to permission request, installing will be stopped.
consumers for installation. But, one central problem is the
inability of users to make good security choices and
awareness [7]. E. Sandboxing
IOS and Android sandboxing mechanism sometimes called
isolation almost similar where each application is separated
B. Reduced Attach Surface from other applications and system’s kernel. Isolation limits a
The attack surface is the code that processes attacker- process’s ability to access sensitive data or system resources
supplied input. If app has vulnerability in some code, and from another process. Still, there is slight difference between
either the attacker can't reach it, an attacker cannot base an them. In Android, each application is given permissions to
exploit on this vulnerability. Therefore, a key practice is access certain resources, and the isolation system prevents
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accessing resources beyond the approved permissions. In IOS, prevent data from execution. There are one way to bypass
developer himself can’t define permission mechanism. It is DEP is to use ROP (Return-Oriented Programming). In ROP,
mean that there are certain access rules defined by IOS that attackers harness existing valid code in memory to perform
takes over some responsibility from end users shoulders. IOS desired actions. However, to do this, they need to know where
isolates some apps from the in-out email boxes and the SMS the code segments they want to reuse are located. Address
of a device. For instance, apps cannot send SMS without the space layout randomization (ASLR) makes this difficult by
users' involvement. Of course, apps can still access some randomizing the location of objects in memory. Also, writing
resources on the system. Thus, an attacker can use a malicious large payloads in ROP is very time-consuming and complex.
application to steal private information such as the device's This makes exploitation of IOS more difficult than just about
unique ID, sending email spam, or performing an off service any other platform [10].
(DoS) attack on the device [8]. In Android, some ways are In Android, before version 4.0 there is not this kind of
also open for attackers. For example, app list can be retrieved special security layer. On the other hand, Android leaned on
by another app using certain permissions. And, files on SD code signing and memory management unit to restrain
(Secure Digital) card can be read and modified by an app attackers from reaching intendant memory location. But, after
without any restriction. version 4.0 android implemented DEP and ASLR in its system
core.
F. Data Encryption
The features of this dimension interest about how to protect
the user data. In IOS, generally there are two-protection H. Geo-Location and Auto-Erase
mechanisms that are hardware security and data protection. Geo-Location is very useful feature to locate your phone in
Every IOS device has a dedicated AES 256 crypto engine case of lost. Apple as a feature of its operating system and
implemented in silicon using UID and GID as key. Integrating accompanying online service provides this feature. Our
these keys into the silicon helps prevent them from being smartphones carry with them lots of sensitive data that, in the
bypassed or accessed. The UID allows data to be wrong hands, is capable of being used for identity theft and
cryptographically tied to a particular device. For example, the fraud. For this situation, auto erase come to help. If your
key hierarchy protecting the file system includes the UID, so phone is stolen or lost you can wipe your personal sensitive
the files cannot be accessed if someone moves the memory data from your phone. When this feature enabled 10-failed
chips from one device to another. In addition to the hardware passcode attempts will automatically erase all data on the
encryption features built into IOS devices, Data Protection device.
technology is used to further protect data stored in flash For Android, there is not native solution. But there is third
memory on the device. This feature use Hardware Key and party apps on market.
Passcode Key. Data Protection is automatically enables by
setting up a device passcode. In addition to unlocking the
device, a passcode provides entropy for certain encryption III. MALICIOUS APPS
keys. This means an attacker in possession of a device can’t The cybercriminal motivations behind mobile malware may
get access to data in specific protection classes without the vary from collecting confidential data to financial gain. The
passcode. Besides, IOS keychain securely store passwords and three main motivations behind mobile malware include
other short but sensitive bits of data, such as keys and login obtaining financial gain, collecting sensitive data without a
tokens. Keychain data is protected using a class structure user’s knowledge or approval, leave a security hole in the
similar to the one used in file Data Protection [12]. device and accessing private networks. Also, mobile-malware
For Android, data encryption likes IOS with a few missing. functions include activity monitoring and data retrieval,
Android encryption mechanism is not powerful and system modification, and unauthorized dialling [4].
sophisticated as IOS. Basically, there is no hardware level As given in evaluation of security factor, Android is the
encryption and for file protection it uses 128-bit AES. Also, it most susceptible OS for threats and attacks. The authors in [14]
is hard to guarantee that the file system encryption is enabled. stated three foremost explanations aspects for that: the
So, this feature selected by the user. shortage in reviewing for applications in Android official
market, the openness and the compatibility with other
smartphones Apps [5]. On the contrary, in Apps Store, there is
G. Data Execution Prevention and Address Space Layout a strict process to review and sign Apps before accepting it.
Randomization Also, IOS is less openness and less compatible with other
DEP (Data Execution Prevention) is the another layer for third parties Apps.
security in IOS where a processor can distinguish which parts Malware has significantly increased, and writers of mobile
of memory can hold executable code and which parts are data. malware are targeting mostly the Android platform. The most
In that, DEP just allow execution of the code not the data. frequently targeted mobile platform in 2013 was Android with
That hardens attacker mission. For example, when an exploit 79%, compared to 0% threats with IOS [15]. According to
tries to run a payload that is injected into the process, DEP McAfee, a 30% increase in the number of attacks targeting the
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Android operating system was detected. Moreover, out of a [2] (2016) Gartner Report Press Release. [Online]. Available: http://www.
gartner.com/newsroom/id/3270418
total of 8,000 mobile malware, Android threats make up 7,000
[3] (2015) Gartner Report Press Release. [Online]. Available: http://www.
[16]. Of course, this statistic belongs to 2013-2014 years. As gartner.com/newsroom/id/2996817
we consider the previous section, IOS and Android have been [4] P. Bhattacharya, L. Yang, M. Guo, K. Qian and M. Yang, "Learning
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no. 1, pp. 69-72, Jan.-Feb. 2014.
threats.
[5] F. Al-Qershi, M. Al-Qurishi, S. Md Mizanur Rahman and A. Al-Amri,
In sum, it can be said that most important malware attacks "Android vs. iOS: The security battle," Computer Applications and
are related with social engineering, because user does not Information Systems (WCCAIS), 2014 World Congress on,
know what is really happening when installing new software. Hammamet, 2014, pp. 1-8.
[6] I. Mohamed and D. Patel, "Android vs. IOS Security: A Comparative
For this reason, Apple is making an effort to get this risky and
Study," Information Technology - New Generations (ITNG), 2015 12th
heavy duty from user’s shoulders according to Android. International Conference on, Las Vegas, NV, 2015, pp. 725-730.
[7] Q. Li and G. Clark, "Mobile Security: A Look Ahead," in IEEE
Security & Privacy, vol. 11, no. 1, pp. 78-81, Jan.-Feb. 2013.
[8] C. Nachenberg, “A window into mobile device security,” Symantec
IV. DISCUSSION AND CONCLUSION Security Response, Symantec, 2011, pp.4-9.
[9] Z. Kazmi, F. Toni, J. A. Vila, and M. M. Marcos, “TASAM-Towards
The growing popularity and sophistication of mobile the Smart Devices App-Stores Applications Security Management
platforms have made security and privacy a major issue for Related Best Practices,” in New Technologies, Mobility and Security
(NTMS), 2012 5th International Conference on, IEEE, 2012, pp. 1-5.
everyone, since these devices welcome every need that a PC [10] C. Miller,D. Blazakis,D. DaiZovi,S. Esser,V. Iozzo and R. Weinmann,
offers. To cope with this concern, mobile operation system “iOS Hacker's Handbook,”, John Wiley & Sons, 2012.
vendors have been improving new techniques and [11] T. Luo, X. Jin, A. Ananthanarayanan, and W. Du, "Touchjacking
technologies. Majority of these are evaluated in this study. Attacks on Web in Android, iOS, and Windows Phone?", Syracuse
University, Syracuse NY, USA, 2012
Operation system of two giant technology providers Apple [12] IOS Security (2016) in Apple Docs. [Online]. Available:
and Google are almost same in case of technology. But, in https://www.apple.com/business/docs/iOS_Security_Guide.pdf
approach manner Android have a few problem. Which are [13] N. Penning, M. Hoffman, J. Nikolai and Y. Wang, "Mobile malware
signing process, permission system drawback in case of social security challenges and cloud-based detection," Collaboration
Technologies and Systems (CTS), 2014 International Conference on,
engineering and quick vetting process. For IOS, these Minneapolis, MN, 2014, pp. 181-188.
concerns are handled very well. Besides, App store is only [14] Oh, Tae, Bill Stackpole, Emily Cummins, Carlos Gonzalez, Rahul
place to download app. Ramachandran, and Shinyoung Lim "Best security practices for
In this study, frankly it is not tried to answer which android, blackberry, and iOS." In Enabling Technologies for
Smartphone and Internet of Things (ETSloT), 2012 First IEEE
platform is more secure. Main goal here is to open a Workshop on, pp. 42-47. IEEE, 2012.
discussion for future works. [15] Symantec, (2014, April), “Internet security threat report 2014,”
vol.19,[Online],Available: http://www.symantec.com/content/en/us/
enterprise/other_resources/b- istr_main_report_v19_21291018.en-
REFERENCES us.pdf.
[16] McAfee, (2013, November). “McAfee 3rd Quarter 2013 Threat
[1] (2013) Canalys Report. [Online]. Available: http://www.canalys.com/ Report,”[Online],Available: http://malwarelist.net/2013/11/20/mcafee-
newsroom/mobile-device-market-reach-26-billion-units-2016 3rd-quarter-threat-report- released/
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An Evalution of Some Instant Messaging

Applications (Signal, Telegram, Threema) in terms
of Security
Işıl Karabey∗ , Uğur Kılıç+

∗
Department of Computer Engineering, Hacettepe University, Ankara, Turkey
{isilkarabey}@cs.hacettepe.edu.tr
+
Department of Computer Engineering, Erzurum Technical University, Erzurum, Turkey
{ugur.kilic}@erzurum.edu.tr
Abstract—With the development of technology, the usage of this study we compare Signal, Telegram and Threema among
the internet via mobile devices are increasingly widespread. At some popular secure IM applications in terms of security. Our
the same time people generally use the internet to contact with main purpose is to detect which application is the most secure
their environment. So instant messaging applications operating against the MitM attack. MitM is type of an attack based on
with internet have became very popular,therefore they are in the principle of seeing unencrypted data or data capture by
competition with each other. In this paper, Signal, Threema and
entering between the victim computers and the other network
Telegram among the most popular commercial instant messaging
applications that allow users to messaging each other safely tools [7]
are handled in terms of security. Although these applications
use telephone numbers as contact list, calls and messages use II. INSTANT MESSAGING APPLICATIONS
data connection, therefore both of the two users talking to
each other must connect to internet. Thus, users can send A. Signal
messages without expose to fee of SMS or MMS. Although Signal application supported by Android and IOS operation
these applications are practice and fast, they have some security
systems is free and open source software application allows
problems arising from the usage of the internet. So unauthorized
users (attackers) can access user conversations by using fake users to send message to each other, to do encrypted calls, to
identity. To prevent this situation, some authentication techniques send photograph and video with end-to-end encryption. After
are used in these applications. In this study, these authentication the application installed from the store of the device, in first
techniques are examined and when the user’s public key changed, step the screen of registration and phone number confirmation
what changes have occured in the application are tested. Also are seen as shown in Fig. 1.
whether these applications have vulnerabilities against the MitM
(Man in the Middle) attack or not is detected, and also the
shortcomings of these applications are evaluated from an ordinary
user perspective
Keywords—instant messaging applications, Signal, Threema,
Telegram, MitM, Authentication
I. INTRODUCTION
Instant messaging (IM) is kind of an online messag-
ing which offers users to communicate each other in real-
time. IM has become very popular recently. It is used more
than SMS worldwide. The number of IM accounts were
over 3.2 bilion in 2015 [1]. It is estimated that this figure
will reach over 3.8 bilion over the next four years [1].
When the topic comes to internet, IM applications bring
some security problems. The users of IM applications don’t
want anyone to read or modify their private conversations.
There are some possible threats for these applications, the
most important are government intelligence, curious family
or friends or neighbors etc., analyzing messages for targeted
advertisements etc. So, the instant messaging applications Fig. 1: The registration screen and confirmation code in Signal
are divided into non-secure (not end-to-end) and end-to-end application
encrypted. The non-secure IM examples are Skype, Viber,
Line, Telegram (it has both non-secure and secure form) etc.
The end-to-end encrypted IM examples are Signal, Threema,
Telegram (secret chat), Whats App (recently added) etc. In
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When a phone number is entered and a button namely

“Verify this device” is pushed, SMS-OTP consists of six
digits is sent to user to confirm the phone number. After
the confirmation code is entered to shown area, the user
can start using Signal application. To use Signal as bilateral
contacts, the application has to be installed in the devices
of both sides. Encrypted and non-encrypted messaging can
also be done in Signal. When messaging with persons exist
in contact list or talking unauthenticatelly, this application
is not differ from the standard messaging application. For
encrypted messaging, QR code is scanned. In this oper-
ation, a person’s identity verificaiton is done through the
barcode system. When clicked the user name which exists
contact list,in upper right corner of the interface, “Conver-
sation Settings” is exist as shown in Fig. 2. When entering
the conversation settings, the option of “Verify identity ”
is located. Thus the user can be verified with this option.
Fig. 3: Identity information and visualization of QR code
Fig. 4: QR code reading operation done by barcod scanner
Fig. 2: The section of authentication in conversation settings

The other user confirms the opponent user’s
QR code. If a user’s QR code confirms and one
As soon as clicking on the authentication section user’s self of the other QR codes is tried to confirm, Signal
identity and identity of a person who wants to communicate application gives "Conflict" alert to the user (Fig. 5).
with this user are listed and the user can reach to QR code
from there (Fig. 3). After a user’s QR code as shown in Fig.
3 is scanned by the other user’s device, there is a unilateral
authentication operation. Likewise when user select the option
of “scan the QR code” , the QR code of the other user is
scanned via the barcod reader. An example of QR code reading
operation is shown in Fig. 4. If QR code is read turely, the
user gets a confirmation message.
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tions. The screenshot of two calls performed by two users talk-

ing mutually encrypted through the Signal is shown in Fig. 7.
Fig. 5: Confirmed QR code and conflict alert occurs in the

result of a QR code different from user’s code is scanned
After the confirmation operation, this users can mes-

saging each other as encrypted. As well as the feature Fig. 7: The encrypted conversation performed by Signal
of encrypted messaging, another feature of Signal is that
the feature of screenshot is not active as default. This
feature is opened and closed as optional. According to In an encrypted conversation, the most secure way of
us, this operation can be a security precaution against confirmation of the user’s identitiy is that co-words should be
copying (phone number, the screenshot of any user’s QR compared with a different confirmation way except from this
code etc.). Also when a user suspects from the privacy communication traffic (in other words out of the communica-
of messages, he/she can do session reset easily (Fig. 6) tion band). Also if the user can recognize the voice of opposite
person, he/she can be done this operation by reading words an
audible form through the phone.
B. Telegram
Telegram is a free application and it has both Android
and IOS support. For it is faster than other instant messaging
applications, Telegram has come to forefront when compared
with others. Because it works cloud-based it is given right of
access to last correspondences in seconds on any platform. As
well as opportunity of setting up a group with 200 person by
starting secure session, it enables to sharing videos in size of 1
GB. Telegram application has common usage because of these
features is installed in a device to test. After the installation
is completed, the user is verified with phone number and
verification code (Fig. 8).
Fig. 6: The screen of secure session reset
Besides the encrypted messaging, encrypted talks can be

done in Signal. To start an encrypted conversations with a
person, without need to pair QR codes with this person, it
is enough to click call icon located in the next of person’s
name. As soon as the call is established, a random co-words are
displayed on both sides of the call. This co-words allow users
to verify their identitiy and keys with another user. This process
is called "key authentication". Because of this feature, we think
that Signal lefts behind by other instant messaging applica-
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Fig. 10: The symmetric encrypted keys generated between two

Fig. 8: The screen of registration in Telegram users
As the other chat applications, Telegram can be used C. Threema

in authenticated and unauthenticated form. In Telegram,
secure messaging can be started as shown in Fig. 9. Threema is a paid software presented by Kasper
Systems GMBH. It has both Android and IOS
support. After the installation of this application, it is
clicked to "Set up Threema" button and the operation
fingerprint generation is started as shown in Fig. 11.
Fig. 9: The demand of secure messaging- Unauthenticated and

authenticated messaging
In Telegram, users can only verify by sending screenshot

of their symmetric encrypted keys (Fig. 10). When compared
with Signal, ensuring this verification as a manual way raises
doubts about the reliability of Telegram application.
Fig. 11: Threema ID assigned with fingerprint created by the

user
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When the application is installed, the first part of

attracting to user’s attention is orange dots existing next
to each user’s name (Fig. 12). By default, user which
hasn’t any confirmation are shown as two orange dots.
Fig. 13: A QR code generated in Threema
Fig. 12: The orange dots indicating the level of security
According to confirmation level it changes to green in

maximum security level. As in the other applications, it can be
messaging in protected and unprotected form. Threema claims
that messages between users are protected with end-to-end
encryption. In Threema, the authentication is done with QR
code identification asymmetrically. Users can see their QR
code and have to be scanned by opposite user as shown
in Fig. 13. This picture represents the QR codes of two
different users. When these QR codes are scanned accurately
by barcode scanner, the application sends user a confirmation
info. Like in Signal, when different QR code is scanned
for the same user, Threema sends user a conflict alert.
After the user’s identity is verified, the three dots
which are located next to the user’s name in contact
list are seen completely green. This view indicates
that the user communicates with other users through Fig. 14: Verification level of authenticated users in Threema
encrypted line. In the same way after the other user
performs verification, the authenticated user in his
list and unauthenticated users are shown green and
orange dots respectively. Thus the user can enabled to III. SECURITY COMPARISON ANALYSIS OF THE
distinguish authenticated and unauthenticated user (Fig. 14) APPLICATIONS
In this section we analyse these three applications in terms
of security. With the purpose of observing that how the system
reacts when one of the users changed his/her public key, one
of the users removes his application and installs again. The
opponent side doesn’t do any change. When the user (Isil)
installed again the Signal application, her public key changes
automatically. Previous encrypted conversation conducted with
Ugur via his earlier authentication are saved in both devices
of Isil and Ugur. When Isil sent message to Ugur with her
new public key, this message isn’t delivered and some warning
messages are sent to Ugur as shown in Fig. 15.
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The negatif aspects of Telegram application, when one of

the user removed application and installed again, encrypted
messages done with opponent side are deleted in both side.
This situation doesn’t requested by clients. Secure session
can be opened again without any authentication with the
desired users and messages can be transmitted to the other
side. So Telegram has not taken any precautions to prevent
the imitation the client. Although this application is quick
and practice, for there is no authentication between clients,
we evaluate Telegram as an insecure messaging application.
In Threema, when one of the users changed her/his public
key, a second user which has the same name is added to
contact list to other side. The second user’s security level
is low than the previous. The user’s old session stays as
the same and the verification level of Threema id verified
with the user’s old public key remains as green (Fig. 16).
Fig. 15: Given warning message to opponent side (Ugur) when

Isil’s public key changed
As seen in Fig. 15 the warning message about changing of

Isil’s public key is notified in Ugur’s device. But in this point
the missing part is that Isil doesn’t aware of this situation. She
sees that he sent messages to Ugur are correctly delivered.
Similarly the alert can be given to the user Isil, the opponent
side until he verified new public key, the warning in the form
of "this user hasn’t verify your public key yet" can be given.
In Signal, after mutual authentication has been done, the
same users can not do unauthenticated conversation with each
other. Therefore the messages of the user Isil changing her
public key are not delivered without authentication by Ugur.
Even except private messaging, encrypted group chat is opened
and still Ugur doesn’t see the messages of Isil. This is a
good way to prevent Man in The Middle (MitM) attacks.
After Ugur verified Isil’s identity, no longer Ugur’s mes-
sages are delivered to Isil in Signal. To be attacked by
fake users in Signal is related to user’s attention. Be-
cause the message that is about Isil’s changing public Fig. 16: While the new Threema id of Isil changing her public
key is delivered to Ugur but it is doubtful whether this key FS87P8H4 is in insecure channel, her old id 482VCAHU
user is real Isil or not. An attacker can copy the num- has still appeared as authenticated
ber of Isil and install Signal. In such a case to be sure
Ugur should send e-mail to Isil to notify this situation,
he need to confirm whether this user is really Isil or not. The senario in Fig. 16 while Isil has 482VCAHU ID, the
From the perspective of both user authentication of Sig- QR codes are scanned with Ugur mutually and the authentica-
nal and giving warning message to user when the other tion process is completed. Then when Isil changed her public
user changes her public key, Signal is a secure chat appli- key, two different record in the same name which has different
cation. Also the verification of the public key is realized IDs have been seen in Ugur’s device. Isil’s new ID has changed
by barcode scanner professionally. This is one of the supe- as FS87P8H4. When Isil wrote message to Ugur with her
rior aspects of the program. In addition, even if the user new public key, the message transmits from insecure channel
changes her/his public key (when she/he removed applica- indicated with orange. So authenticated id and unauthenticated
tion and installed again), old messages are stored in Signal. id coming from the same phone number are showed like two
In Telegram application providing secure messaging with different users in contact list of the opponent side. We think
end-to-end encryption, because there is no authentication that this application is secure against MiTM attacks because
between users, the application works with the principle of of these properties of the Threema. But for some features are
trust to server. Encryption is performed between client and not clear and due to be paid, Threema lost the feature of the
server, hence Telegram is imprudent against the MiTM at- interaction. A warning of changing the user’s public key should
tacks. Even the server has the potential to make this attack. be given even one time but it shouldn’t allowed to automatic
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verification. Another drawback is the lack of encrypted or [8] https://threema.ch/press-files/cryptography_whitepaper.pdf. Access date:
unencrypted calls. The user’s public key exchange can be 20.06.2016
done by removing the application or reset the application with [9] http://tr.androidpro.net/category/communication/threemadownload-
Delete ID option. 22785.html. Access date: 22.06.2016
[10] https://threema.ch/pressfiles/cryptography_whitepaper.pdf. Access date:
20.06.2016
IV. CONCLUSION [11] https://telegram.org/blog/crowdsourcingamoresecurefuture. Access
date: 26.06.2016
In this study, we focus on Signal, Telegram and Threema
[12] http://thoughtcrime.org/blog/telegramcryptochallenge/. Access date:
among secure instant messaging applications, we evaluate 25.06.2016
usage patterns of these applications and we also test the [13] http://www.ibtimes.co.uk/nsawhistlebloweredwardsnowdenmakespitch-
applications by secure signing in or without adding security. androidsignalprivatemessenger1526909. Access date: 28.06.2016
Also when someone’s public key changed from two people [14] http://www.tripwire.com/stateofsecurity/latestsecuritynews/snowden-
during the communication, we examine occuring changes and endorsedsignalprivatemessengerappcomestoandroid/. Access date:
make inferences about whether the application is safe against 01.07.2106
MitM attacks or not. [15] https://www.os3.nl/_media/20132014/courses/ssn/projects/threema_report.pdf.
Access date: 07.07.2016
In Signal and Threema, thanks to QR codes, imitating any
client is prevented but this precaution is not exist in Telegram.
One of the disadvantages of Telegram is that uses symmetric
key structure and any authentication is not performed between
clients. If users want to share their encrypted keys with each
other, they send the screenshot of their barcodes. The result of
changing user’s public key Signal and Threema has taken secu-
rity precaution by changing the user’s QR code. The informa-
tion of the user’s public key exchange is delivered to opponent
side in Signal, but such a warning message is not given and
the messages of the user’s changing public key are transmitted
from insecure channel in Threema. Also if the other user wants,
the user’s new public key can be verified without re-matching
QR code. Although this feature provides convenience in terms
of the user, it can create sense of danger against copies phone
numbers. For there is no such right in Threema, users need to
meet face-to-face or via e-mail to re-verification their public
keys of each other. They have to send their QR codes to each
other. Due to this feature, there is slightly lack of user inter-
active in Threema. The balance between adding security and
being user interactive is very important for such applications.
As a result, if we sort these applications according to secu-
rity level, a free software Signal is evaluated in first rank when
compared to the other two applications in terms of security
and user interaction because of it’s secure group messaging,
encrypted conversations and practice solutions presented to op-
ponent user when another user’s public key changed. Threema
is located in second rank,due to the situations of being paid
software, the lack of calling feature and not giving a warning
message to user as result of changing the public key. And
finally Telegram is located in last rank in terms of security
due to the lack of mutual authentication system and the use
of symmetric key. Although the symmetric key is much faster
than the public key, it can be broken more easily.
R EFERENCES
[1] http://www.radicati.com/, Instant Messaging Statistics Report, 2015-
2019. Access date: 15.06.2016
[2] https://telegram.org/. Access date: 15.06.2016
[3] https://threema.ch/en. Access date: 15.06.2016
[4] https://en.wikipedia.org/wiki/Signal_(software). Access date: 16.06.2016
[5] https://en.wikipedia.org/wiki/Telegram_(software). Access date:
17.06.2016
[6] https://en.wikipedia.org/wiki/Threema. Access date: 18.06.2016
[7] https://en.wikipedia.org/wiki/Maninthemiddle_attack. Access date:
10.06.2016
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Preparing Diet List Suggestion with Fuzzy Expert

System
Okan UYAR
Electric & Electronic Engineering
Selcuk University, Technology Faculty
Konya, TURKIYE
okanuyar@selcuk.edu.tr
Abstract— Proportion of disease is growing due to the system using fuzzy logic modeling method for boarding
malnutrition and sedentary life. In this work, a diet list is schools in Croatia. Daily menu price, meal preference,
proposed to the user by calculating the necessary amount of nutritional and energy value of foods considered input
calorie according to gender, weight, height, age and activity level. parameters. They take meal preference as input since nutrition
Diet list are prepared for seven days of a week as divided by six
habits are different in various places of Croatia. Their
meals. Parameter assessment of users and offering
recommendations are made via fuzzy expert system. Prepared software is suitable for planning of menu which has optimal
diet list are constituted considering calories of nutrients and cost and adequate nutrient intake. Kurozumi et al. [4]
based on the dieticians’ general diet list proposals. Developed proposed a Japanese diet evaluation system that uses Fuzzy
software also includes some functions such as nutrition advices, Markup Language and food exchange list published by Japan
calculation of ideal weight, information about benefits of several Diabetes Society. Dietary healthy level is evaluated by
nutrients and calorie evaluation of some daily activities. Thus, calculating the nutrient percentages of foods selected for menu
nutrition suggestion software carried out against for growing and proposed method according to the Japanese dietician
obesity and healthy eating problems in order that people would database. Another region specific work is presented by
educate themselves about wellness.
Şahiner et al. [5]. They examined how to prepare a sample
weekly menu for a young person who has a business
Keywords— Diet list, fuzzy expert systems, nutrition, nutritional environment that requires intensive physical activity and his
value. revenue determined by Türk-İş (Confederation of Turkish
Trade Unions) on the edge of hunger.
I. INTRODUCTION Faiz et al. [6] implemented an approach that gives diet and
European office of World Health Organization (WHO) exercise recommendations for diabetes by using Web
pointed out in ―European Food and Nutrition Action Plan Ontology Language and Semantic Web Rule Language as a
2015–2020‖ that malnutrition, obesity and unhealthy diets specific human case application. Similarly, Li et al. [7]
lead to noncommunicable diseases (NCDs). Also, these cause proposed automated food ontology for diabetes that cares
economic and social costs for individuals, families and necessary nutrient values and limitations. They used
countries. In the same report, about %57.4 of people over the Hierarchical Clustering Algorithms, Class Naming by
age of 20 are reported as overweight or obese. Action plan intersection naming and instance ranking by granular ranking
that further analyzes given in this report is about and positioning so as to construct various food groups (diet
implementation of healthy diet and controlling the food lists). Another work considers the diseases were presented by
productions with the aid of governments [1]. Besides all these, Chen et al. [8]. An diet recommendation was offered by using
diabetes, hypertension and high cholesterol are among the top Fuzzy Rules and Knapsack Method that utilizes users’ height,
10 causes of death in the world [2]. weight, activity level, renal function, hypertension, high
Every nutrition plays an important role for supporting daily cholesterol and preference data. Mamat et al. [9] proposed
activities of the people. Therefore, a balanced diet should be Fuzzy Multi-Objective Linear Programming application that
in proportion to the values of carbohydrate, protein, fat, provides an optimum diet list includes enough nutrients for a
vitamins and minerals. Values of these nutrients should be day with reasonable price. Decision Support System also used
calculated by taking into account taken and consumed energy. in this work to recognize the type of disease according to the
Nevertheless, people do not prefer allowing time to go symptoms obtained from the users.
dietitian because of their habits and busy schedule. To Main method used in the diet assessment systems is Fuzzy
overcome this problem, web or pc based expert systems that Logic and its derivatives. Lee et al. [10, 11] produced Type-2
have input parameters such as current diseases, activity level Fuzzy Ontology based on Type-2 Fuzzy Food Ontology and
and age should be used. Fuzzy Markup Languege-2(FML2). Similarly, they presents to
There are many studies which are focused on diet planning the user healthy level of the foods in diet with semantic
for humans. Some of them are focused on a specific region or expressions by developing FML2 based agent. Mamat et al.
a situation. Kljusurić et al. [3] presented a nutrition planning [12] made a balanced diet planning using Fuzzy Linear
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Programing approach. In this planning, assessment of follows this group. We should consume fat and sugar group at
carbohydrate and fat amounts in the food that eaten every day, least [14].
food prices and the amount of nutrients that required to take a We can group the animal and plant nutrients according to
day are for 30 years old sedentary woman considered. Mák et the chemical properties as follows:
al. [13] have presented an equation that define dietary and  Carbohydrates
physical activity advisory problem. Proposed equation  Proteins
expressed as ―Hierarchical Multi-Objective Dietary Menu  Fat
Planning Problem with Harmony‖ allows the formalization of  Vitamin
any diet and physical activity planning problem.  Minerals
When we interpret the proposed works we deduced that  Water
there is a necessity for a software support to the diet list There are similar or different features of each food group
preparation. Another argument is usefulness of fuzzy logic which are necessary for the body. Healthy eating achieved by
based expert system since input parameters for diet and taking these nutrient groups adequately and balanced as
outcome presentation are verbal. Also, diet is a multi- mentioned before.
parameter process should vary according to the individual and 1) Carbohydrates
cultural characteristics. In this paper, we calculated adequate Carbohydrates are used as primary energy source of body
calories in proportion to the person’s gender, weight, height, and it is important for brain functions and nervous systems.
age and activity level parameters by using fuzzy logic. After The building blocks of carbohydrates are glucoses. It can be
calorie determination software presents one diet list that divided as monosaccharaides, disaccharides and
previously prepared. This diet list arranged according to the polysaccharides. Also while the most common dietary
food culture and presence in related area. disaccharides can be divided as are maltose, lactose, and
II. NUTRITION AND BASAL METABOLISM sucrose, the most common forms of digestible polysaccharides
are amylose and amylopectin. Monosaccharaides and
A. Nutrition disaccharides are found in such food as fruits, vegetables,
Nutrition is a conscious activity, taking nutrients needed by milk, milk productions, sugar and sugar products. And, as for
the body adequately and on time, to protect the health and polysaccharides, they are found in such food as cereals, bread,
improve the quality of life. Taking every item of the energy pasta, rice and potatoes. Glucose is stored as the form of
and nutrients that essential for growing-regeneration and glycogen in the liver and mostly skeletal muscle [15, 16].
working of the body and proper use of them in the body is 2) Proteins
called ―Adequate and Balanced Nutrition‖ [14]. Proteins are related with all forms of plant and animal life
Nutrients that we need for healthy and balanced diet can be and 20 percent of our body is composed of protein. Proteins
collected in 5 main groups as shown in Fig. 1. form the structure of each cell of our body tissue, muscle,
When we examine the pyramid, we should say that grains internal organs, tendons, skin, hair and nails. And it also used
are most preferred nutrient group. Hereinafter vegetables and for energy productions as a fuel in such metabolic formation
fruits come. Milk and dairy products with meat group foods activations as growth, formation of new tissue and repairment
of tissue damaged. Besides it is necessary for the production
Fats, Oil,
Desserts
Milk, Yogurt, Meat, Giblets,
Cheese Fish, Legumes, Eggs,
2-3 Portion Nuts
2-3 Portion
Vegetables Fruits
3-5 portion 2-4 portion
Bread, Rice, Pasta
6-11 portion
Fig. 1 A healthy eating pyramid [15]
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of many enzymes, hormones (adrenaline and insulin) and element for life and it helps to control of body temperature,
neurotransmitters. In addition to that it has important role in use of
the protection of fluid balance in tissues, the transition of TABLE I
nutrients into cell sand out and making the blood. Protein is CONTENT AND CALORIES OF SOME NUTRIENTS FOR 100 GR [19]
composed of 20 amino acids and these amino acids are
grouped as essential amino acids and non-essential amino Food Calorie Protein Fat Carbohydr
ate
acids [15, 16].
Trout 168 18,3 10 0
3) Fat Perch 93 19,2 1,2 0
Fat can provide more than twice the energy by weight Beef Meat (Low 156 19,7 8 0
compared to protein and carbohydrate and it is essential Fat)
macronutrients which have most energy dense. Fat provides Sausage 452 21,4 40,8 0
energy production, insulation against the cold, transportation White Chicken 114 23,2 1,7 0
of fat-soluble vitamins in the body and making the body tissue. Broad Bean 338 25,1 1,7 58,2
Fat is grouped as saturated fat (butter, margarine), Haricot Bean 340 22,3 1,6 61,3
monounsaturated fat (olive oil, soybean oil, fish oil) and poly Lentil 340 24,7 1,1 60,1
unsaturated fat (sunflower, corn). Especially, saturated fat Chickpea 360 20,5 4,8 61
increases the amount of fat in the body. There are a lot of fat Pea 348 24,2 1 62,7
in such food as meat, fish, milk, cream, eggs, nuts, chocolate, Sunflower Seed 560 24 47,3 19,9
olive, coconut, cottonseed, corn, soybean, flax and peanut [15, Almond 598 18,6 54,2 19,5
16]. Walnut 651 14,8 64 15,8
4) Vitamins Hazelnut 634 12,6 62,4 16,7
Pumpkin seeds 610 30 50 10
Vitamins, cannot be synthesized by the body, are required
Pear 61 0,7 0,4 15,3
to support health and well-being. Vitamins are found in small
Strawberry 37 0,7 0,5 8,4
amounts in foods and are designated as nutrients. They help Fresh Figs 80 1,2 0,4 20,4
catalyzing the numerous biochemical reactions and aren’t Melon 33 0,8 0,3 7,7
used for direct source of energy. Vitamins are grouped as Banana 85 1,1 0,2 22
Water-Soluble Vitamins and Fat-Soluble Vitamins. B group Okra 36 2,4 0,3 7,6
vitamins and vitamin C are the water-soluble vitamins. Unlike Potato 76 2,1 0,1 17,1
the fat-soluble vitamins, they leave the body after completing Fat White Cheese 289 22,5 21,6 0
their task; they don’t accumulate in the body [15, 17]. Cheddar cheese 404 27 31,7 1,4
5) Minerals Whole Milk 61 3,3 3,3 4,7
Minerals, occur naturally, are inorganic solid with a Oil Yogurt 61 3,5 3,3 4,7
specific chemical composition. The properties of minerals can Egg 158 12,1 11,2 1,2
be listed as follows: Honey 315 0,3 0 78,4
 It occurs naturally. Chocolate 528 4,4 35,1 57,9
Candy 385 0 0 99,5
 It has the characteristics of any part of the whole.
Bulgur 357 10,3 1,2 78,1
 It has a specific chemical formula. Wheat Bread 276 9,1 0,8 56,4
 It is solid but rarely fluid. Macaroni 369 12,5 1,2 75,2
 Inorganic. Rice 363 6,7 0,4 80,4
The chemical compounds obtained synthetically in the Sunflower oil 884 0 100 0
laboratory do not considered as mineral with the technological Margarine 736 0,6 81 0,4
progress. These types of solid materials are named as artificial Olive oil 884 0 100 0
minerals. Each mineral have different features for the body Butter 717 9 81,1 0,1
and the features of some minerals are described. Iron is the Tomato paste 98 2,7 0,4 21,3
necessary element for the delivery of oxygen to tissues and the Black olive 207 1,8 21 1,1
use of oxygen at the cellular and subcellular levels.
Magnesium is required in a variety of cellular activities that nutrients in the body, digestion and absorption in stomach.
support diverse physiologic systems. Zinc is necessary for Fluid intake must be increased to prevent dehydrations.
more than 300 enzymes activity. Chromium is the essential Thirsty feel can be seen late in children and recommended
mineral for regulation of glucose, lipid and protein amount of fluid are as follows to avoid of fluid loss for
metabolism [17, 18]. children:
6) Water Up to 10 kg bodyweight 100 ml / kg / day
The water is abundant in the world, indispensable for life, Up to 20 kg bodyweight 50 ml (added for each kg) / kg /
odorless and tasteless compound. The amount of fluid we day
need to take daily is associated the calorie we spend. 1 ml Up to 30 kg bodyweight 25 ml (added for each kg) / kg /
water should be taken per calorie. Water is the essential day [15, 18].
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Calorie, protein, fat and carbohydrate values of some TABLE II

CALORIES BURNED DURING SOME ACTIVITIES FOR A 70 KG PERSON [21]
nutrients can be shown in Table I.
Activity Burned Calorie
B. Basal Metabolism Cycling,12-13.9 mph, moderate 563
All the chemical changes that occur in the cell to sustain Swimming butterfly 774
life is called "metabolism". Metabolism covers all cell Watering lawn or garden 106
construction and demolition events. Mandatory energy Walking 2.0 mph, slow 176
expenditure for working of the organs, keeping body heat and Carrying infant, upstairs 352
keep living in the case of complete rest is called ―Basal Playing tennis 493
Metabolism‖ [20].
Several prediction equations were presented. Harris- linguistic values from the user. Expert systems have to include
Benedict equation created in 1919 was the most known. the 3 following units:
Mifflin St Jeor equation used for our work as follows: Knowledge Database is an updatable structure which
information is obtained from experts, books and other
( ) (1) literature.
Where s is +5 for males and −161 for females, P is the total Result Inference Mechanism should reach a conclusion by
heat production at complete rest, m is the mass (kg), h is the using rules in the knowledge database, facts and other whole
height (cm) and a is the age (years). information through the instrument of both forward and
Daily energy expenditure of individual determines his/her backward chaining method.
required energy intake for a day. Energy requirements for a User Interface uses the expert system and provide
normal person should be calculated by summing of the basal interaction between the user and system. Basic structure of a
metabolism, need for daily physical activity and thermic Fuzzy Expert System is shown Fig. 2.
effects of the foods. Energy need for sportive activities should
be add this value for athletes. Thermic effect of the foods IV. PROGRAM INTERFACE AND FEATURES
means that increase in the body's metabolic rate that is Main page of our software is shown in Fig. 3. Users input
produced by the consumption, digestion, metabolism, and their personal information and desired values such as gender,
storage of food. Increase in the body's metabolic rate or workload, weight, height and age. According to this
energy consumption is about %3 for fat, %6 for carbohydrate parameters required calorie determined and diet lists
and %16-20 for protein [15]. Energy expenditure of some consonant with this value would be presented to the user.
activities can be shown in Table II. Software also includes enlightenments about several foods
and vitamins. Additionally, user can calculate his ideal weight
III. DEFINITION OF FUZZY EXPERT SYSTEM
Expert system is software that provides solutions and
suggestions by using knowledge and experience of an expert
has skill in any area. Fuzzy logic is beneficial for taking
Inputs Outputs
(Crisp Values) Fuzzy Inputs Fuzzy Outputs (Crisp Values)
Rules
Input Output Membership
Membership Functions Functions
Questions
User Knowledge Database
Fig. 2 Basic structure of Fuzzy Expert System
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REFERENCES
[1] World Health Organization. European food and nutrition action
plan 2015-2020. WHO Regional Office for Europe 2014 [cited
2016 15 July]; Available from:
http://www.euro.who.int/__data/assets/pdf_file/0008/253727/64w
d14e_FoodNutAP_140426.pdf.
[2] World Health Organization. Global Health Risks. 2009 [cited
2016 July, 15]; Available from:
http://www.who.int/healthinfo/global_burden_disease/GlobalHealt
hRisks_report_full.pdf.
[3] Kljusurić, J.G. and Ž. Kurtanjek, Fuzzy logic modelling in
nutrition planning-application on meals in boarding schools, in
Current Studies of Biotechnology, Vol. III-Food. 2003, Medicinska
naklada.
[4] Kurozumi, K., et al. FML-based Japanese diet assessment system.
in Fuzzy Systems (FUZZ), 2013 IEEE International Conference on.
2013. IEEE.
[5] ŞAHİNER, A. and G. BUZKAN, An Application of Fuzzy Goal
Programming to a Specific Diet Problem. Journal of Natural &
Applied Sciences, 2010. 14(2).
[6] Faiz, I., et al. A semantic rules & reasoning based approach for
Fig. 3 Interface of developed software Diet and Exercise management for diabetics. in Emerging
Technologies (ICET), 2014 International Conference on. 2014.
IEEE.
[7] Li, H.-C. and W.-M. Ko. Automated food ontology construction
mechanism for diabetes diet care. in 2007 International
Conference on Machine Learning and Cybernetics. 2007. IEEE.
[8] Chen, R.-C., et al. Constructing a diet recommendation system
based on fuzzy rules and knapsack method. in International
Conference on Industrial, Engineering and Other Applications of
Applied Intelligent Systems. 2013. Springer.
[9] Mamat, M., et al., Fuzzy Multi-Objective Linear Programming
Method Applied in Decision Support System to Control Chronic
Disease. Applied Mathematical Sciences, 2013. 7(2): p. 61-72.
[10] Lee, C.S., et al., Diet assessment based on type‐2 fuzzy ontology
Fig. 4 Membership functions example for height and fuzzy markup language. International Journal of Intelligent
Systems, 2010. 25(12): p. 1187-1216.
[11] Lee, C.-S., et al., Type-2 fuzzy set and fuzzy ontology for diet
and body mass index. Membership functions of female height application, in Advances in Type-2 Fuzzy Sets and Systems. 2013,
which is one of the diet system inputs is shown in Fig. 4. Springer. p. 237-256.
[12] Mamat, M., et al., Fuzzy linear programming approach in balance
Diet list are prepared for seven days of week as divided by diet planning for eating disorder and disease-related lifestyle.
six meals. Diet list that previously prepared taking into Applied Mathematical Sciences, 2012. 6(103): p. 5109-5118.
account the calorie values of the foods and these are classified [13] Mák, E., et al. A formal domain model for dietary and physical
according to the fuzzy inference outputs. After required activity counseling. in International Conference on Knowledge-
Based and Intelligent Information and Engineering Systems. 2010.
calorie calculation, relevant list proposed to the user. Springer.
[14] Hacettepe Üniversitesi Beslenme ve Diyetetik Bölümü.
V. CONCLUSION TÜRKIYE’YE ÖZGÜ BESLENME REHBERI. 2004 [cited 2016
Balanced diet should help users to prevent eating disorder July, 15]; Available from:
http://beslenme.gov.tr/content/files/yayinlar/kitaplar/diger_kitaplar
such as anorexia nervosa, diabetes, and obesity. This study /beslenme_rehberi.pdf.
shows that application of fuzzy logic can be used to represent [15] Pehlivan, A. Çocuk ve Genç Futbolcuda Beslenme. 2009 [cited
recommended energy and nutrient intake adequately, as well 2016 July, 15]; Available from:
as to present acceptable price and preferences of menu https://www.tff.org/Resources/TFF/Documents/2009DK/FGM/yay
inlar/aylik-kitapcik/Sporcuda-Beslenme(Temmuz).pdf.
selection for people in a specific region. Diet list is proposed [16] Litchford, M.D., Macronutrient recommendations: protein, carbohydrate,
to the user by calculating the necessary amount of calorie and fat, in The ASMBS Textbook of Bariatric Surgery. 2014, Springer. p.
according to gender, weight, height, age and activity level. 101-109.
[17] Lukaski, H.C., Vitamin and mineral status: effects on physical performance.
These lists are prepared for seven days as divided by six meals Nutrition, 2004. 20(7): p. 632-644.
and constituted considering calories of nutrients and based on [18] Mineral. 2016 [cited 2016 July, 15]; Available from:
the dieticians’ general diet list proposals. https://tr.wikipedia.org/wiki/Mineral.
[19] Besinlerin Değer Cetveli. 2011 [cited 2016 July, 15]; Available from:
http://www.antrenmanyap.com/tr/blog.asp?ID=6&CID=7&AID=20&do=sh
ACKNOWLEDGMENT ow.
[20] Milli Eğitim Bakanlığı. ENERJİ HESAPLAMALARI. 2011 [cited 2016
I would like to thank my undergraduate student Mustafa July,15]; Available from:
http://www.megep.meb.gov.tr/mte_program_modul/moduller_pdf/Enerji%2
Oğuzhan MUSARA because of his valuable study in this 0Hesaplamalar%C4%B1.pdf.
project. [21] Calories Burned During Exercise, Activities, Sports and Work. 2016 [cited
2016 July, 15]; Available from:
http://www.nutristrategy.com/caloriesburned.htm.
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Switching Access Points on and off for an Energy-

Efficient Wireless Communication
Mehmet Fatih Tüysüz
Harran Üniversitesi, Bilgisayar Mühendisliği
Osmanbey Kampüsü, Şanlıurfa
ftuysuz@harran.edu.tr
Abstract— IEEE 802.11 wireless network standard has become is activated according to the received signal strength (RSS),
one of the most used wireless networking technologies for smart such that stations select an AP that has the strongest RSSI. If
devices as it offers mobility support and low cost deployment. AP selection is activated only by observing the RSS, it results
However, these devices deeply rely on the energy provided by their in many stations associate with one of the APs as shown in Fig.
batteries, which results in limited running time. In addition,
1. As a result, throughput of the heavily loaded AP decreases
condensed deployment of Access Points (APs), which is essential
to handle increasing demand of performance and coverage, has due to the congestion, while there are other APs available but
also been causing rise of network-side power consumption. In this not used efficiently. Therefore, a new algorithm which balances
context, this paper proposes an energy-aware Access Point the load among APs is required to choose possibly the best AP
switching procedure for smart mobile devices to increase overall from an available AP list.
energy saving of both APs and smart devices. In the proposed
method, each channel is investigated, in terms of channel
utilization, signal quality, probability of collision and deployed
traffic types, making use of local and IEEE 802.21-based
management frames. With the help of reputation and context-
aware computations, Access Points inform the stations that are
associated with themselves to maintain their connection or to
handover to another network. The aim of the proposed scheme is
to maintain desired QoS with minimum number of APs and
optimal energy consumption. Widespread simulations have been
executed to validate the efficiency of the proposed method. The
results demonstrate that the proposed method dramatically
increases overall throughput and reduces power consumption of Figure 1. (a) Unbalanced assignment (b) Balanced assignment
stations over IEEE 802.11 WLANs.
Current energy-aware handover approaches succeed energy
Keywords— IEEE 802.11 WLANs, IEEE 802.21, Load balancing, savings either by diminishing channel scanning time or by
Energy efficiency, Handover connecting to the most energy-efficient AP according to the the
traffic type. Yet, an energy-aware handover approach must
I. INTRODUCTION contain more local and network related metrics, such as battery
Nowadays, wireless local area networks (WLAN) and smart and interface information, application-specific QoS
mobile devices have an enormous amount of usage in daily life. requirements, user preferences, number of stations connected
The IEEE 802.11 WLANs [1] are widely deployed all around to each AP, channel utilization ratio per AP, and etc. [3].
the world. However, due to design choices and requirements,
communication range of the IEEE 802.11 WLAN standard is In line with the above-mentioned clarifications, this paper
limited and large wireless network coverage is provided using addresses an energy-aware AP switching on/off procedure for
several APs [2]. smart mobile devices. In the proposed method, each channel is
investigated in terms of channel utilization, signal quality,
Since smart devices are mobile, stations on the move may probability of collision and deployed traffic types by making
lose their signals from their associated APs. In this case, use of local and IEEE 802.21-based management frames. With
stations attempt to retain their wireless connectivity by the assist of reputation and context-aware computations, APs
connecting to other APs in vicinity. Therefore, AP selection, inform stations that are associated with themselves to maintain
a.k.a. handover operation plays a key role for the optimization their connection or to handover to another network.
of the wireless connectivity over the WLAN environment. Widespread simulations have been executed to validate the
performance of the suggested method. The results demonstrate
Handover is the procedure of shifting an ongoing call or a that it dramatically increases overall throughput and reduces
data session from one AP to another. Conventionally, handover power consumption of stations over IEEE 802.11 WLANs.
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II. RELATED WORKS III. PROTOCOL DESCRIPTION

There have been some works in the literature that addresses In IEEE 802.11 WLANs, a station has the right to select an
AP selection for infrastructure based IEEE 802.11 WLANs. AP which it will associate with. However, a station does not
Some of these works are either centralized or decentralized, or know the channel utilization rate, the number of associated
even based on new network policies. For instance, authors in stations to an AP, transmission rates of other nodes etc.
[4] propose an analytical approach to regulate efficiency of Additional information is required for stations to consider the
policies that trigger APs in dense wireless environments based network utilization and to select the most appropriate AP. Since
on real consumer demands, and then measure the performance an AP is capable of having information of all the stations it has,
that is accomplished by such policies in terms of energy savings AP can transmit information to the channel to indicate its own
and QoS. conditions by installing a proper algorithm. Beacon frames or
probe response frames transmit information that contains the
In [5], authors study the issues of; What kinds of channel utilization and the number of station connected to the
information will help STAs to select the best AP? and How AP. However, a station requires more than this information to
should STAs select APs based upon the available information? select the most appropriate AP. Besides, channel utilization
To achieve effectiveness and fairness among APs, they propose information that is transmitted from an AP can be calculated
a decentralized scheme that requires some adjustments both for mistakenly in the existence of both real-time and non-real-time
mobile devices and APs. They study both dynamic selection traffic.
and one-time selection structures. They evaluate both cases
through simulations and show the improvement of total To obtain fast and energy-efficient AP selection, the
throughput and fairness. proposed scheme utilizes beacon frames and IEEE 802.21
Media Independent Information Service (MIIS). Beacon frame
Additionally, authors in [6] suggest a decentralized fair AP is one of the management frames in IEEE 802.11 based WLAN
selection approach both for recent associated mobile users and standard. It holds related information about the network and
already connected mobile users. The proposed scheme is a allows stations to initiate and maintain communications.
heuristic algorithm and realized only by adding one additional Additionally, the aim of the IEEE 802.21 standard [11] is to
field in current AP beacon and probe frames. Furthermore, progress mobile user involvement by providing a Media
authors also demonstrate steadiness of their scheme. Authors in Independent Handover (MIH) which supports both mobile-
[7] discuss potential bandwidth as a metric; mobile user is initiated and network-initiated handovers.
likely to receive connecting to a specific AP. They offer a
procedure for the computation of potential upstream and The MIIS supports the distribution of the network
downstream bandwidth between mobile users and APs information and provides as many information as possible to
depending on delay measurements experienced by beacon the APs, such as the available APs and their coordinates (or the
frames. connectivity graph), the services they can provide and channel
utilization ratios of APs [3]. Fig. 2 shows a sample of a
Authors in [8] propose another method called Virgil, a pre- distance-based connectivity graph given by the IEEE 802.21 IS.
programmed AP detection and selection scheme. Virgil scans
for all available APs in a vicinity, associates to them one by one,
and initiate a battery tests to evaluate the quality of each AP’s
connection.
Additionally, in order to increase energy efficiency of APs,

sleep mode procedure is discussed by the authors in [9]. Their
proposed scheme makes use of an auxiliary low-power radio to
carry out-of-band control information to maintain connectivity
and wake up the APs when necessary. This work also details
the software and hardware architecture as well as the
prototyping results on Wi-Fi technology.
Figure 2. Distance-based connectivity graph provided by the 802.21 IS
Authors in [10] addresses the multi-rate issue frequently
seen in WLANs. Multi-rate elasticity may result in low bit rate where r is the transmission range of each AP, di(n) is the lineal
mobile users to undesirably affect high bit rate ones and distance between the APi and APn. Using this information, users
subsequently damage whole network throughput. In this are able to scan only the channels the IS provides. Therefore,
context, authors first develop a decision metric the selection can users are also able to diminish total scanning time, reducing the
be based on. Making use of this metric, they suggest two new channels that are not in the connectivity graph.
selection mechanisms that are decentralized in the sense that
the decision is achieved by each mobile user, by given proper Decreasing total number of channels that will be scanned
status information of each AP. lets mobile users to enable fast and energy-efficient channel
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scanning. Nevertheless, throughout the handover procedure, RSSI values obtained in channel scanning are used to compute
connecting to an AP that is expected to consume the least the expected amount of power consumption of the device for
amount of energy among all APs is also as important as the fast every possible association scenario with available APs in
handover. Therefore, we also propose an energy-efficient vicinity. Subsequently, the proposed method allows mobile
handover scheme, which calculates the expected amount of devices to associate with APs that are expected to consume the
power consumption per AP, by utilizing the Channel Busy least amount of energy among all APs.
Times (CBTs) and the number of stations deployed in each AP.
Since unsaturated (e.g. UDP) delay sensitive stations have
CBT is the fraction of time that the wireless channel is busy different characteristics and requirements, E-model
within a given interval. CBT can be calculated by each mobile conversational audio quality factor R is also used to estimate
device distributedly through summing the time utilized by the the perceived voice quality for real-time VoIP applications.
transmission of all data, management, and control frames in the Association of a new station to the AP affects the voice quality
network. Consequently, CBT of a data frame that has a size of of other stations associated to the same AP. For an unsaturated
S bytes and a transmission rate R can be computed as follows, station, there are many factors that may affect the selection of
the right AP. R value, capacity utilization, transmission rate,
= + ( )( ) fairness, hidden nodes and the number of associated stations to
an AP are some of these factors. Existing beacon or probe
CBT of an ACK frame is computed as follows, response frames do not contain all of this information. A new
= + algorithm that also considers all of these factors explained
above is required for the best AP selection for unsaturated
CBT of a beacon frame is computed as follows, stations. Therefore, a few bytes of extra status information have
to be added to the beacon and probe response frames. Since it
= + is only a few bytes of information, it does not affect the
overhead significantly but it improves the voice quality and
Finally, the total channel busy time CBTTotal within a overall throughput.
specific interval t can be calculated as,
In this context, APs will transmit a beacon or probe response
( )=( ( )× )+ ( )× frame which contains three additional items; an average R value
( )
of the stations in AP, a new estimated average R value if the
+ ( )( ) station selects the same AP and the possible R value of the
station which is trying to associate with the same AP. Then, the
station will receive the enhanced beacon or probe response
where a(t), b(t) and c(t) are the numbers of ACK, beacon and frames from APs and consider the best AP selection by looking
data frames that are encountered within a specific interval t, at the RSSI value as well. Besides, an AP which has less station
respectively. Accordingly, channel utilization percentage U(t) due to different traffic types and frame sizes can be more loaded
within a specific interval t can be computed as, than other APs which have more stations. That’s why fairness is
( ) not only about the number of stations associated to the APs. The
( )= × 100 main point of this study is selecting an AP of a station to have a
higher voice quality. Improving the voice quality also means
With this computation, mobile devices can compute better throughput, load balancing and fairness.
channel utilization rates of their APs within a specific interval
distributedly. Nonetheless, this computation is impractical for In the proposed algorithm, central algorithm first checks if
devices as it requires continuous processing overhead, prevents there is a new association request from a station. If there is a
devices to be in the doze state and rises the power consumption. new request, algorithm increases its request count by 1 to
However, in the proposed method, APs are responsible for prevent hidden node effect. Then algorithm gathers MAC layer
computing the CBT values within a specific interval. For information and RTCP periodic frames to calculate channel
instance, Atheros AR5212 chipset maintains 32-bit register utilization rate and R values of VoIP flows. RTCP feedback can
counters to track the “medium busy time” and the “cycle time”. be easily acquired from RTCP sender and receiver reports [13].
These counters give the fraction of time that the wireless The proposed algorithm uses two one-second fast feedbacks.
channel is busy (CBT) per second [12]. Likewise, in the Our algorithm maintains a multi-dimensional control array that
proposed method, we assume each AP computes and updates contains caller_ID, Tdelay, Loss, R1, R2, Rmean values to assist
its CBT periodically with one-second intervals and then, rapid computations and responses. After calculations,
delivers this information with the IEEE 802.21 IS. Whenever a algorithm defines its Rk, Ravr (old) and Ravr (new) values and
device initializes its network discovery phase, the IS informs responds this additional information with beacon frames.
the station about the number of stations in available APs and
their CBTs along with the connectivity graph. The information Up until now, we have addressed energy-efficient wireless
of the CBT and the number of stations per AP along with the communication for mobile-side. In order to increase overall
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_____________________________________________________________________________________________________________
energy efficiency, we will now discuss AP switching on/off

procedure. Since dense deployment of APs, which is essential
to handle the ever-growing demand of performance and
coverage, has been causing to the rise of power consumption,
an efficient solution must reduce overall energy consumption
of both APs and smart devices. In this context, each channel is
investigated by APs, in terms of channel utilization, signal
quality, probability of collision and deployed traffic types,
making use of local and IEEE 802.21-based management
frames. With the assist of these messages, APs inform the Figure 3. IEEE 802.11 network communication scenario
stations that are associated with themselves to maintain their
connection or to handover to another network. Fig. 3 shows simulation topology. It is a static environment
that is composed of stations (TCP and VoIP stations) and APs
In this context, APs shares their channel utilization ratios connected to a wired network. The number of stations, APs and
(through CBTs) and their locations (through IEEE 802.21 channels are varied depending on scenario requirements.
MIIS). If an AP has less than a pre-defined (that is set as 3 users)
affiliations, and if it also has at least one neighboring AP that Scenario Passive Sc. Active Sc. Proposed Sc.
3 APs 1120 ms 380 ms 54 ms
has not highly loaded (that is set as higher than %70 of its 6 APs 1124 ms 423 ms 102 ms
capability), then the AP informs its associated stations to 11 APs 1122 ms 516 ms 198 ms
handover to a particular AP. If more than one AP is available, Table 3. Channel Sc. time of a station for various scanning schemes
then the AP selects different APs for stations to associate by
considering load balancing and multi-rate WLAN environment. Table 3 demonstrates comparison of passive, active and
By doing so, whenever there are more than one APs in a vicinity proposed IEEE 802.21-aided channel scanning schemes in
and they are not highly loaded, one or more than one APs can terms of the total interval spent for the scanning process. As it
be switched off and the users of these APs can be transferred to is seen on Table 3, regardless of the total number of APs in a
other APs in that vicinity. This way, energy efficiency will be vicinity, our proposed scheme lets mobile devices perform
further increased. channel scanning in much less time compared to both passive
and active channel scanning methods. It is because proposed
IV. SIMULATIONS channel scanning scheme is mainly based on unicast channel
Performance of the proposed methods has been evaluated by scanning, which means stations scan only the channels
widespread simulations using the OMNET simulator and a informed by the 802.21 MIIS protocol. Due to reduced channel
custom-made object-oriented event-driven simulator software scanning intervals, proposed scheme achieves faster and more
written in C++. Some of the parameters used to calculate energy-efficient handover operation.
formulas and implement the IEEE 802.11 MAC layer are shown
in Table 1 and Table 2. We implemented our own TCP/VoIP In order to evaluate the impact of the proposed scheme on
traffic generator and evaluation tool that creates realistic data fairness, we set different RSSI values for various APs. In that
and multimedia packet streams using the parameters in Table 1 case, when the proposed algorithm was off, stations generally
and Table 2. During the simulations, TCP frames are associated to the AP which has the highest RSSI value. When
implemented as saturated frames. Voice frames are the proposed algorithm was on, stations associated to the APs
implemented as unsaturated frames and queued in 20ms well-balanced due to the proposed algorithm checks all of R
intervals. In order to reach saturation condition, offered load has values, load balancing, hidden nodes and RSSI values.
been set greater than maximum achievable throughput [3]. Therefore, the proposed method also provides desired fairness.
Name Value Unit Throughout the simulations, we also evaluated the impact of
Transmitting state 1.3 W minimum number of AP deployment on the power
Idle state 0.74 W
Receiving state 0.9 W consumption, throughput, delay and jitter. In this context, we
MinChTime 30 ms initiated an environment that has 6 APs, each of which has one
MaxChTime 50 ms
ChSwitching 2 ms TCP and one UDP station. When the proposed algorithm was
Slot time 20 µs
Bit rate 11 Mbps off, 6 APs maintained their communications. However, when
Table 1. Timing unit and values for IEEE 802.11b
the proposed algorithm was on, each channel was investigated
in terms of channel utilization, signal quality, probability of
Name Length (bits) Bit rate (Mbps) Time (µs) collision and deployed traffic types. Afterwards, the proposed
DIFS 50 1 50 algorithm informed 8 of these 12 stations to handover. This way,
Preamble 192 1 192
Header 240 11 21,81 only two of six APs maintained their operations. Other four APs
Data (TCP) 8000 11 727,27 were switched off for the energy efficiency. In this context,
Voice (UDP) 1280 11 116,36
SIFS 10 1 10 Table 4 shows the comparison of power consumption,
ACK 112 2 56 throughput, delay, jitter and number of active APs when the
Table 2. IEEE 802.11b parameter values used at simulations proposed algorithm is on and off.
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[6] Gong, Huazhi, Kitae Nahm, and Jongwon Kim. "Distributed fair access
Description Alg. Is off Alg. Is on point selection for multi-rate IEEE 802.11 WLANs." 2008 5th IEEE
Avr. Power Consumption 1120 mw 740 mw Consumer Communications and Networking Conference. IEEE, 2008.
Avr. Throughput 2340 Kbps 2215 Kbps [7] Vasudevan, Sudarshan, et al. "Facilitating access point selection in IEEE
Avr. Delay 72 ms 77 ms 802.11 wireless networks." Proceedings of the 5th ACM SIGCOMM
Avr. Jitter 21 ms 23 ms
Nr. of active APs 6 2 conference on Internet Measurement. Usenix Association, 2005.
Table 4. Comparision of power consumption, throughput, delay, jitter and [8] Nicholson, Anthony J., et al. "Improved access point
number of active APs when the proposed algorithm is on and off selection." Proceedings of the 4th international conference on Mobile
systems, applications and services. ACM, 2006.
[9] Haratcherev, Ivaylo, Michele Fiorito, and Carine Balageas. "Low-power
As it is seen from Table 4, the proposed scheme increases sleep mode and out-of-band wake-up for indoor access
the energy efficiency dramatically by switching some of the APs points." GLOBECOM Workshops. 2009.
off. However, since the remaining APs have denser channel [10] Abusubaih, Murad, et al. "On access point selection in IEEE 802.11
utilization, average throughput is slightly decreased due to wireless local area networks." Proceedings. 2006 31st IEEE Conference
increased probability of collision. Besides, delay and jitter are on Local Computer Networks. IEEE, 2006.
increased due to frequent contention compared to the scenario [11] Taniuchi, Kenichi, et al. "IEEE 802.21: Media independent handover:
Features, applicability, and realization." IEEE Communications
of the “proposed algorithm is off”. Magazine 47.1 (2009): 112-120.
[12] Jardosh, Amit P., et al. "Understanding congestion in IEEE 802.11 b
V. CONCLUSIONS wireless networks." Proceedings of the 5th ACM SIGCOMM
In order to reduce the overall energy consumption of both conference on Internet Measurement. USENIX Association, 2005.
Access Points and smart devices, this paper proposes an [13] Tüysüz, M. F., and Mantar, H.A., "Minimizing the Effects of Multi-rate
WLANs by Adapting Link Adaptation and Call Admission Interfaces.
energy-aware Access Point switching procedure for smart "International Conference on Networked Digital Technologies. Springer
mobile devices. In the proposed method, each channel is Berlin Heidelberg, 2010.
investigated, in terms of channel utilization, signal quality,
probability of collision and deployed traffic types, making use
of local and IEEE 802.21-based management frames. With the
help of reputation, historical and context-aware computations,
Access Points inform the stations that are associated with
themselves to maintain their connection or to handover to
another network.
The aim of the proposed scheme is to maintain desired

Quality of Service with minimum number of operating Access
Points and optimal energy consumption. In this context,
widespread simulations have been executed to validate the
efficiency of the proposed method. The results demonstrate that
the proposed method dramatically increases overall throughput
and reduces power consumption of stations over IEEE 802.11
WLANs.
ACKNOWLEDGMENT
This work was supported by The Scientific and Technological
Research Council of Turkey (TÜBİTAK) under Grant No:
114E075.
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330
Clustering of Mitochondrial D-loop Sequences Using

Similarity Matrix, PCA and K-means Algorithm
Can Eyupoglu
Istanbul Commerce University
Istanbul, Turkey
ceyupoglu@ticaret.edu.tr
Abstract—In this study, mitochondrial displacement-loop (D- can be applied to nucleotide substitution in alphabet (A, C, G,
loop) sequences isolated from different hominid species are T) [14].
clustered using similarity matrix, Principal Component Analysis In data mining, the field of clustering has received
(PCA) and K-means algorithm. Firstly, the mitochondrial D-loop significant attention in recent years and has become one of the
sequence data are retrieved from the GenBank database and
important parts of machine learning research. Clustering is the
copied into MATLAB. Pairwise distances are computed using p-
distance and Jukes-Cantor methods. A phylogenetic tree is process of categorizing a finite number of objects into groups
created and then a similarity matrix is generated according to where all members have common properties. Data mining is
the pairwise distances. Furthermore, the clustering is performed the process of using clustering algorithms in order to analyse
using only K-means algorithm. After that PCA and K-means are data for patterns and relationships. K-means clustering
used together in order to cluster mitochondrial D-loop sequences. algorithm [15] is one of the most used and popular clustering
algorithms [16]. Furthermore, K-means is a simple
Keywords—clustering; p-distance; PCA; Jukes-Cantor; K-means unsupervised learning algorithm used to solve well known
algorithm; similarity matrix. clustering problems.
The rest of the paper is organized as follows. In section II,
the methods used for clustering of mitochondrial D-loop
I. INTRODUCTION sequences are explained. Section III investigates the results of
the methods used in this study. Finally, conclusions being
Mitochondrial DNA (mtDNA) sequences of mammals
under study are summarized in section IV.
evolve more rapidly than nuclear DNA sequences [1], [2].
This fast rate of evolution generates more change between
sequences. In order for research of closely related species and II. METHODS
populations, this rate is a benefit [1], [3]. In animal mtDNA,
there are four principal kinds for sequence changes. These are In this paper, in order for clustering mitochondrial D-loop
sequence rearrangements, additions, deletions and nucleotide sequences isolated from different hominid species, similarity
substitutions [4], [5]. Nucleotide substitutions are the most matrix, PCA and K-means algorithm are used. To calculate
important principal for the derivation of phylogenetic pairwise distances, p-distance and Jukes-Cantor methods are
relationships [4], [6]. The fastest evolving part of the utilized. K-means algorithm is used alone and then it is
mitochondrial genome is the mitochondrial control region utilized with PCA for clustering. Clustering of mitochondrial
(Displacement or D-loop) [4], [7]–[9]. D-loop sequences using Jukes-Cantor method is shown in Fig.
Principal Component Analysis (PCA) is a classical feature 1. As seen in the flowchart, firstly, the mitochondrial D-loop
extraction and data representation method [10], [11]. In sequence data are retrieved from the GenBank database.
addition, it can be used to reduce the dimension of similarity Secondly, retrieved sequence data are copied into MATLAB.
matrix generated according to the pairwise distances and After that pairwise distances are calculated using Jukes-
simplify the mitochondrial D-loop sequence data structure. Cantor method and then a phylogenetic tree is created. A
The main features of the mitochondrial D-loop sequences can similarity matrix is generated according to the pairwise
be extracted using PCA by means of mapping high distances. In addition, a dendrogram is drawn. Clustering is
dimensional space data into low dimensional space. performed using K-means algorithm. Finally, K-means
In phylogenetic analysis, distance measure is a significant algorithm is used after applying PCA.
matter [12]. Using p-distance and Jukes-Cantor methods, Clustering of mitochondrial D-loop sequences using p-
pairwise distances are calculated. Jukes-Cantor method is the distance method is shown in Fig. 2. As seen in the flowchart,
simplest nucleotide substitution model which estimates the unlike the first method, pairwise distances are calculated using
evolutionary distance between two sequences. Besides, it is p-distance method. Following steps are performed in the same
called one parameter model in the literature [13]. This model manner.
331
Clustering of mitochondrial D-loop sequences (Jukes-Cantor)

In this work, 5 hominid species are utilized to cluster
mitochondrial D-loop sequences. These are European Human,
Russian Neanderthal, German Neanderthal, Chimp
Retrieve sequence data from GenBank database Troglodytes and Mountain Gorilla Rwanda. When retrieving
sequence data from the GenBank database, the accession
codes for the mitochondrial D-loop sequences isolated from
Copy retrieved sequence data into MATLAB
these 5 species are used. These codes are X90314, AF254446,
AF011222, AF176766 and AF089820, respectively.
Compute pairwise distances using Jukes-Cantor method
III. RESULTS AND DISCUSSION

Create a phylogenetic tree In this study, to cluster mitochondrial D-loop sequences
isolated from different hominid species, K-means algorithm is
used and then it is used with PCA. Jukes-Cantor and p-
Generate a similarity matrix according to pairwise distances
distance methods are utilized in order to compute pairwise
distances. The applications used for clustering of
Draw a dendrogram mitochondrial D-loop sequences are implemented using
MATLAB R2014a. Phylogenetic tree created using Jukes-
Cantor method is shown in Fig. 3.
Cluster using K-means algorithm
Cluster using K-means algorithm after applying PCA
End clustering
Fig. 1. Flowchart of clustering of mitochondrial D-loop sequences using

Jukes-Cantor method.
Clustering of mitochondrial D-loop sequences (p-distance)
Retrieve sequence data from GenBank database
Copy retrieved sequence data into MATLAB
Compute pairwise distances using p-distance method

Fig. 3. Phylogenetic tree (Jukes-Cantor).
Creating the similarity matrix according to the pairwise

distances and drawing the dendrogram (Jukes-Cantor method)
Create a phylogenetic tree
are shown in Fig. 4. Converting the pairwise distances to
square form (Jukes-Cantor method) is shown in Fig. 5.
Generate a similarity matrix according to pairwise distances Clustering using K-means algorithm (Jukes-Cantor method) is
shown in Fig. 6. Performing PCA on square form (Jukes-
Cantor method) is shown in Fig. 7. Clustering using K-means
Draw a dendrogram algorithm after applying PCA (Jukes-Cantor method) is
shown in Fig. 8.
Cluster using K-means algorithm
Cluster using K-means algorithm after applying PCA
End clustering
Fig. 2. Flowchart of clustering of mitochondrial D-loop sequences using p-

distance method.
332
Fig. 4. Creating similarity matrix and drawing dendrogram (Jukes-Cantor). Fig. 7. Performing PCA on square form (Jukes-Cantor).
Fig. 5. Converting pairwise distances to square form (Jukes-Cantor). Fig. 8. Clustering using K-means algorithm after applying PCA (Jukes-
Cantor).
Phylogenetic tree created using p-distance method is shown

in Fig. 9. Creating the similarity matrix according to the
pairwise distances and drawing the dendrogram (p-distance
method) are shown in Fig. 10. Converting the pairwise
distances to square form (p-distance method) is shown in Fig.
11. Clustering using K-means algorithm (p-distance method)
is shown in Fig. 12. Performing PCA on square form (p-
distance method) is shown in Fig. 13. Clustering using K-
means algorithm after applying PCA (p-distance method) is
shown in Fig. 14.
Fig. 6. Clustering using K-means algorithm (Jukes-Cantor).
333
Fig. 9. Phylogenetic tree (p-distance). Fig. 12. Clustering using K-means algorithm (p-distance).
Fig. 10. Creating similarity matrix and drawing dendrogram (p-distance). Fig. 13. Performing PCA on square form (p-distance).
Fig. 11. Converting pairwise distances to square form (p-distance). Fig. 14. Clustering using K-means algorithm after applying PCA (p-distance).
334
As seen in Fig. 3–Fig. 14, clustering of mitochondrial D- [5] W. M. Brown, “The mitochondrial genome of animals,” MacIntyre RJ
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Texture Segmentation Based on Gabor Filters and

Neutrosophic Graph Cut
Yaman Akbulut∗ , Abdulkadir Şengür∗ , Yanhui Guo+
∗ Department of Electrical and Electronics Engineering, Technology Faculty, Fırat University
Elazığ, TURKEY
{yamanakbulut, ksengur}@firat.edu.tr
+ Department of Computer Science, University of Illinois at Springfield
Springfield, IL, USA

yguo56@uis.edu
Abstract— Image segmentation is the first step of image is associated with each edge based on some property of
processing and image analysis. Texture segmentation is a chal- the pixels that it connects. Normalized-cut, Minimal-cut and
lenging task in image segmentation applications. Neutrosophy Mean-Cut can be seen in some of popular graph cut methods
has a natural ability to handle the indeterminate information. In
this work, we investigate the texture image segmentation based [14–16]. Neutrosophic set (NS) was proposed as an extension
on Gabor filters (GFs) and neutrosophic graph cut (NGC). We of fuzzy set [17]. In NS theory, a member of a set has
proposed an image segmentation approach, which applies GFs a degree of truth, a falsity degree and an indeterminacy
to gray-level images to extract image features matrix, and it degree [18]. Therefore, it has an ability to deal with the
segments them into regions. First, color images are transformed indeterminacy information, and has attracted much attention
to gray level images as input images. Then, input parameters of
GFs are adjusted, and GFs are performed on the input images almost in all engineering communities and subsequently a
to extract features. The NGC is employed for classification of great number of works have been studied [19], [20].
input images. Finally, experiments are conducted on various In this paper, we propose a texture image segmentation
natural images to evaluate the approach. Experimental results algorithm which uses GFs, NS and graph cut method. Firstly,
show that the proposed approach achieves desired performance various GFs are considered which constructs a texture feature
of texture segmentation. However, it cannot segment the texture-
free images as well as texture images. In future works, we will volume. Constructed volume is then projected into 2d by
try to segment both texture images and texture-free images at using principal component analysis (PCA). The projected
the same time. feature image is transformed into NS domain and indeter-
Keywords— Image segmentation, texture segmentation, Ga- minacy degree is calculated accordingly. Then an indeter-
bor filters, Neutrosophic Graph Cut. minacy filter is constructed using the indeterminacy value
on feature image which is defined by combining the spatial
I. I NTRODUCTION
information and global texture feature information. The
The goal of the image segmentation considered as dividing indeterminacy filter is employed to remove the indeterminacy
an input image into several sub-images. To do this, some in the intensity and spatial information respectively. A graph
predefined criterions should be accepted where the sub- is defined on the image and the weight for each pixel is
images are disjoint, homogeneous and meaningful. Many represented using the value after indeterminacy filtering, and
researchers have been working on image segmentation, and the energy function is also redefined using the neutrosophic
a variety of works have been published [1]. Texture seg- value. Finally, the segmentation results are obtained using a
mentation is a challenging and important task in image maximum-flow algorithm on the graph.
segmentation applications. For the texture feature extraction, The organisation of the paper is as following; in Section
there exist various texture descriptors such as gray level co- 2 we give the methodology of the proposed method. In
occurence matrix, Gabor filters (GFs) and Markov random Section 3, some experimental works are conducted. Finally,
fields [2]. GFs have been successfully applied to many image we concluded the paper in Section 4.
applications such as texture segmentation [3–5], document
analysis [6], edge detection [7], retina identification [8], II. M ETHODOLOGY
fingerprint processing [9], image coding [10], and image Briefly speaking, the proposed approach composed of 3
representation [11]. main building blocks. Extracting texture features from input
Graph based methods are important for image segmen- image by using GFs is the first building block. This block
tation applications [12]. A graph G can be defined as constructs a texture feature volume according to the number
G = (V, E) where V and E are a set of vertices and edges, of considered GFs. The second block employes the NS and
respectively. On an image, vertices can be either pixels or calculates the indeterminacy degree accordingly. Then an
regions, and edges connect the neighbouring vertices [13]. indeterminacy filter is constructed using the indeterminacy
A weight, which is a non-negative measure of dissimilarity, value on feature image which is defined by combining the
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spatial information and global texture feature information.

This filter aims to remove the indeterminacy in the texture Orientslen × W aveslen (6)
feature and spatial information respectively. Finally, a graph
is defined on the image and the weight for each pixel is where Orientslen is the length of array of orientation
represented using the value after indeterminacy filtering, and Orients in Equation (1), and W aveslen is the length of
the energy function is also redefined using the neutrosophic array of wavelength W aves in Equation (5).
value. Finally, the segmentation results are obtained using a When using Gabor magnitude responses as features, some
maximum-flow algorithm on the graph. The flowchart of the post-processing is required. Feature smoothing and normal-
approach is illustrated in Fig. 1. ization is applied as post-processing. In smoothing process,
the Gaussian process and normalization is applied in order
to get zero mean and unit variance. Smoothing is important
because some local variations in each Gabor response are
not suitable for the segmentation and they can be soften
Principal
by using a low-pass filtering. In addition, spatial x and
Gabor Filters Component y axis properties of each pixel are added to the features
Images Database (GFs) Analysis
(PCA)
matrix. Spatial location information improves the segmen-
tation process to prefer groupings that are close together
spatially. After the post-processing, we apply the PCA in
Input Feature Extraction order to reduce dimension size of the feature vector. PCA, is
a procedure which uses an orthogonal transformation [22].
The transformation is carried out with the first principle
component.
After PCA, the reduced feature matrix is fed into the
Neutrosophic
Segmented
Graph Cut NS domain. A neutrosophic image IN S is interpreted using
Image
(NGC) three subsets Ts , Is and Fs . Based on the texture feature
value and local spatial information, the true membership
and indeterminacy membership are used to describe the
Output Segmentation
indeterminacy among local neighbourhood as:
Fig. 1. The flowchart of the approach. g(x, y) − gmin

Ts (x, y) = (7)
gmax − gmin
The GFs theory was described in Jain and Farrokhnia [21].
GFs should be in array form and it is designed with different Gd(x, y) − Gdmin
Is (x, y) = (8)
orientations and frequencies. The step of orientation angle Gdmax − Gdmin
can be 30, 45, etc. degrees and orientations are shown as where g(x, y) and Gd(x, y) are the gray scale texture feature
below: value and gradient values at the pixel of (x, y) on the image,
Orients = [0, a, 2 × a, · · · , 180 − a] (1) respectively. The algorithm also computes the neutrosophic
membership values based on the global texture feature value
where a is the step of orientation angle. Wavelengths have
distribution which considers the indeterminacy on texture
values in increasing powers of two start from minimum
feature value between different groups. To this end, NCM
wavelength to maximum wavelength.
is used to obtain the indeterminacy values between different
4 groups on texture feature value to be segmented [23]. Before
wmin = √ (2) calculation of the global texture feature value based NS
2
q memberships, the obtained local IN S is filtered by inde-
wmax = im2rows + im2cols (3) terminate filter based on Is . After, constructing IN S , an
energy function for graph model is determined and the IN S
where wmin is the minimum value of wavelength, wmax is is partitioned using maximum flow algorithm [24].
the maximum value of wavelength. imrows and imcols are The algorithm of the proposed method is as following:
the size of rows and columns of the input image. Step 1: Compute the GFs of input texture;

wmax
Step 2: Smoothing and normalization Gabor responses;
n = log (4) Step 3: Dimensionality reduction with PCA;
wmin
Step 4: Compute the local neutrosophic value Ts and Is ;
Step 5: Filter Ts using indeterminate filter based on Is ;
W aves = [20 , 21 , 22 , · · · , 2(n−2) ] × wmin (5)
Step 6: Employ NCM algorithm on the filtered Ts subset
The set of orientations and wavelengths are taken from [21]. to calculate Tn and In ;
Working GFs mean working with Gabor magnitude response Step 7: Filter Tn using indeterminate filter based on In ;
of each filter. The size of the magnitude response is: Step 8: Define the energy function based on the Tn0 value;
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Step 9: Partition the image using the maximum flow al-

gorithm.
III. E XPERIMENTS
Experiments are conducted on various natural images
from Berkeley Segmentation Dataset (BSD) to evaluate the
approach. Four images are selected randomly to show the
performance of the method. These images are “Cheetah”,
“Lady”, “Plane” and “Zebra”, respectively. As shown in Fig.
2, each of figure which includes these images has four types
of images. First image is original gray-level and second
image is after Gabor filtered and PCA image. Third image
is segmentation result of NGC of the first. Fourth image is
border result of NGC of the first.
Fig. 3. Top-left: Lady image, top-right: result image after GF and PCA,
bottom-left: segmentation of NGC, bottom-right: border of segmentation.
Fig. 2. Top-left: Cheetah image, top-right: result image after GF and PCA,
bottom-left: segmentation of NGC, bottom-right: border of segmentation.
GFs are applied to the input images to extract texture

features. To use GFs as features, the orientations and the
wavelengths should be selected and calculated. We consider
the “Cheetah” image in Fig. 2 to examine the process of
feature extraction. As seen in Fig. 2, the input image is
a gray-level image. Its size is 321×481 pixels. Minimum
wavelength is mentioned at upper section and it is 2.8284.
Maximum wavelength is calculated √ via size of the input Fig. 4. Top-left: Plane image, top-right: result image after GF and PCA,
image. Maximum wavelength is 3212 + 4812 = 578.2750. bottom-left: segmentation of NGC, bottom-right: border of segmentation.
The wavelengths that send to Gabor magnitude as input
parameter, start in increasing powers of two from minimum
wavelength up to maximum wavelength. For the “Cheetah” IV. C ONCLUSIONS
image, the wavelengths have six values: {2.8284, 5.6569, This paper presents a texture image segmentation using
11.3137, 22.6274, 45.2548 and 90.5097}. GFs and NGC method. Before the image is described in
Orientation angle called theta begins with 0 degree and NS domain, GFs are applied on the image to extract texture
continues with 45 degrees increase thus it has four values features. The experimental results show that the NGC method
for the “Cheetah” image: {0, 45, 90 and 135}. can segment the images properly and the proposed approach
The related illustrations are given in Figs 2-5. As can achieves desired performance of texture segmentation. The
be seen in these figures, the proposed method produced disadvantage of the proposed method is rough segmentation.
reasonable segmentation results. The objects in the input To overcome this disadvantage, in the future works, a bound-
images are well segmented from the background. However, ary preserving filtering method will be adopted.
the boundaries of the object are rough and need further post-
processing. Especially, for woman image, the head of the R EFERENCES
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Internet of Things: A Survey

Belkız Torğul*, Lütfü Şağbanşua*, Figen Balo*
*
Department of Industrial Engineering, Fırat University
Elazığ 23279, Turkey
belkistorgul@gmail.com, lsagbansua@firat.edu.tr, figenbalo@gmail.com
Abstract— Internet of Things (IoT) is a global infrastructure governmental organizations [6]. Internet of things is a new
worldwide which links objects and enables data generation and world for connecting every object of the real world with the
sharing of this data. IoT is considered as one of the most virtual space in the computer world. IoT is a type of network
important areas of future technology and gets attention that links physical objects that surround us with the virtual
considerably by researchers and practitioners in recent years.
world to perform information exchange [7].
Applications presented by IoT makes possible a large number of
developments, but very few can be used currently. With rapid When the literature is viewed, many of identification of
advances in this system technology, successful implementations internet of thing are seen;
will continue to emerge to improve the quality of life in many The Internet of Things is the connection – via the internet –
areas. In this study, IoT is examined in general terms and its of objects from the physical world that are equipped with
applications, advantages and disadvantages are reviewed. sensors, actuators and communication technology [8].
The Internet of Things is a novel paradigm that is rapidly
Keywords— Internet of Things, RFID (radio frequency gaining ground in the scenario of modern wireless
identification), Sensor, Smart objects. telecommunications. The basic idea of this concept is the
pervasive presence around us of a variety of things or objects
I. INTRODUCTION – such as Radio-Frequency Identification tags, sensors,
Internet has made a significant impact on the economy and actuators, mobile phones, etc. – which, through unique
society bringing exceptional network infrastructure and addressing schemes, are able to interact with each other and
communication. It has been more persistent with the advent of cooperate with their neighbors to reach common goals [9].
the low cost wireless connection. With emerging technologies, The Internet of things is a things connected network, where
billions of people are connected to the Internet via portable things are wirelessly connected via smart sensors; IoT is able
computers or mobile devices. After this stage, the expected to interact without human intervention [4].
big step is that interconnected computers exchange The internet of things is a network of objects equipped with
information with interconnected objects. radio frequency identification chips and similar technologies
IoT is considered as a part of the Internet of the future and so that the objects could communicate and interact with each
will comprise billions of intelligent communicating ‘things’. other [10].
You can think of all the things / objects as from cars to books, The internet of things is a common worldwide network
from electrical appliances to foods, from refrigerators to water which in a unique way addressable things / objects created by
heaters, from intelligent buildings to shoes that are connected them and the objects in the network are in contact each other
with each other will be a development waiting for us in the with a specific protocol [2].
future. Products previously consisting of only mechanical and The impact of the IoT has influence on many areas in a
electrical components will return to hardware, sensors, short time. Especially, ability of IoT which adapts to any
electronics and complex devices which are interconnected in a environment, in any conditions without restriction of place,
variety of formats via the internet and even some platforms time and object has made it popular [11]. IoT is currently
[1]-[4]. going through a phase of rapid growth. Gartner, Inc. forecasts
It is becoming more apparent, we stand on the threshold of that 6.4 billion connected things will be in use worldwide in
new computer applications era that will radically affect our 2016, 30 percent more from 2015, and will reach 20.8 billion
lives. But the oncoming wave of technological revolution will by 2020. In 2016, 5.5 million new things will get connected
affect us more from all directions; it seems that our near future every day. Gartner estimates that the Internet of Things will
will be filled with small processors which communicate with support total services spending of $235 billion in 2016, 22
each other simultaneously and these will be integrated into the percent more from 2015. Services are dominated by the
majority of everyday objects when their small sizes and low professional category (in which businesses contract with
costs are considered [5]. external providers in order to design, install and operate IoT
Internet of Things has emerged as new platforms in the systems), however connectivity services (through
Information and Communication Technologies revolution of communications service providers) and consumer services
the 21st century. This platform is used to provide (on demand) will grow at a faster pace [12]. The evolvement of IoT can be
services and resources in different domains including illustrated by several phases as shown in Fig. 1 [4].
education, commerce, healthcare, public sector and various
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The term Internet of Things was firstly coined by Kevin

Ashton in 1999 in a presentation prepared for Procter &
Gamble Company. He sorted and proposed the benefits of
application of RFID technology in the supply chain and the
concept became popular through the Auto-ID Centre at MIT
[13]-[15]. Then, scientists and researchers have gradually
accepted the concept of IoT. The formal IoT concept was
given by International Telecommunications Union (ITU) in
2005 ITU released the report on the Internet, titled “The
Internet of Things”. The academic milestones in the brief
history of IoT are illustrated in Fig. 2 [10], [16].
Atzori et al. [9] reported different visions of Internet of
Things paradigm and surveyed the most important aspects of
the IoT. Kiritsis [17] studied on intelligent products in the era
of IoT.
Gu and Liu adapted Internet of Things applications to
information management in the reverse logistics in 2013.
Ondemir and Gupta proposed a mixed integer programming
model used IoT for minimizing remanufacturing, disassembly,
recycling, disposal and storage plans in a demand driven
environment in 2014 [13].
Tsai et al. [18] reviewed studies on basic concepts,
Fig. 1 Evolution of the IoT [4]
architectures, discussions and comparisons of IoT and Future
Internet of Things (FIoT) and gived open issues and
In 1991, academics at the University of Cambridge share challenges of IoT and FIoT. Then they presented an intelligent
the one coffeepot where they work. Researchers whose offices data management framework for the FIoT. Also similar
on the lower floors of the building become uncomfortable to review studies are found in [1], [4], [10], [15], [19], [20]. Lee
find the coffeepot empty and they design a system which and Lee [21] presented essential IoT technologies and
captures three images of coffeepot in a minute and transfer to identified three categories of IoT applications (monitoring and
their computer. After writing of protocols, image capture control, big data and business analytics, information sharing
software and with a video camera, each researcher could see and collaboration). They also presented investment
the quantity of coffee in the coffee pot on the screen in real opportunities and evaluation and discussed challenges of IoT.
time and online. By 1993, this application moved web has Shrouf and Miragliotta [22] presented a framework for IoT-
been watched millions of times a day and it was terminated based energy management to support the integration of
due to department move to another building in 2001. This gathered energy data into a company's information technology
coffee pot was the first proof and example of the existence of platforms and contributed to the understanding of energy-
"Internet of Things"[2]. efficient production management practices that are enhanced
by the Internet of Things technology.
Fig. 2 Brief history of IoT [16]
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Dijkman et al. [8] presented a business model framework Internet of Things is an interplay of smart objects and smart
for Internet of Things applications. Sicari et al. [23] presented communication networks and include own system storage,
the main research challenges and the existing solutions in the computing, visualization and interpretation tools for data
field of IoT security. Tao et al. [16] introduced the concept, analytics [15], [22].
characteristics, applications of IoT and analyzed energy When objects equipped with sensors and electronic circuits,
consumption in product life cycle. Then they summarized the they begin to acquire properties "thinking", "feeling" and
existing applications of IoT in product life-cycle energy "speaking". Thus, they have access the ability to update their
management and analyzed the potential applications and own status information by contacting us [2].
challenges of IoT in product life-cycle energy management. Smart objects embedded device of IoT;
Verdouw et al. [24] analyzed concept of virtual food supply 1. It has a unique identity.
chains with Internet of Things and proposed an architecture to 2. It has the ability to communicate effectively with
implement enabling information systems. Then they verified environment.
the proposed architecture with a case study of a fish supply 3. It has obtained and storage capability data related itself.
chain. Fang et al. [25] presented an integrated three-stage 4. It deploys a language to show properties, production
model based on IoT technology for the optimization of demands etc.
procurement, production and product recovery, pricing and 5. It has capable of making decisions about its own fate
strategy of return acquisition and proposed a novel particle [27].
swarm optimization algorithm based on two heuristic methods They can communicate and interact either among
to solve the problem. themselves, building networks of interconnected objects, or
Aktaş et al. [3] suggested a system based IOT which allows with end-users or other entities in the network [20].
viewing physiological data received from hospitalized babies Think of a cup that can access the Internet. It is able to
in infant intensive care unit targeted realization within the detect what is the liquid put into it. Not only as a species; also
scope of this technology both from the hospital environment in terms of the content-forming composition. This
and outside the hospital environment, referring to the IoT information can be transferred to a desired application or
technology applications in the health field. environment on the internet. Thus, you can examine the
The aim of this study is to examine the concept of "Internet knowledge of fluid you drink throughout the day, for example
of Things" widely used in recent years and to determine the through an application on your smart phone, at the end of the
existing situation of IoT. Thus, it was strived to obtain more day. Cups, on top of that, can keep statistics. It can map your
information about IoT that is a technology revolution. liquid consumption by determining what you drank in what
Following the introduction, the main components of IoT time of day. It can suggest that you drink coffee when your
described in second section and current applications of IoT coffee time. Even it can order instead of you at a nearby
were discussed in the third section. Then the potential coffee shop [28].
difficulties beside the opportunities of IoT were mentioned in Actualization of IoT into the real world is possible by the
the fourth section. And study is terminated with conclusion integration of several effective technologies [9]. These
section. technologies are provided below.
II. FUNCTIONAL VIEW OF IOT A. Radio Frequency Identification (RFID)

Internet of Things is comprised of three main components. Radio frequency identification allows automatic
These are; identification and data capture using radio waves, a tag and
1. Assets that represent portion of "Objects" of Internet of reader. RFID is key component of IoT system and also the
Things concept, newest identification technique among all IoT technologies.
2. Networks that link these objects, RFID as a technology for IoT is used to identify and track
3. Computer systems that use data from the object [26]. items. If objects (even people or animals) are equipped by
identifiers, they can be managed and registered automatically;
therefore, it is then possible to track the full transportation
way of these objects [9], [14], [21].
Passive RFID are not battery-powered, therefore they use the
power of the reader’s interrogation signal to communicate.
Active RFID tags contain sensors and have their own battery
supply and can communicate. Although passive RFID tags are
sufficient for tracking, active RFID tags with embedded
sensors can provide a lot more information about the
usage/condition of objects. Sensor detects the changes in the
value of various measures such as temperature, pressure,
vibration and humidity and converts the signal to be recorded.
RFID tag containing static information such as serial number,
model, bill of materials, production and delivery date of the
Fig. 3 Three main components of Internet of Things [26]
product is connected to the product and can be updated after
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the operations such as each maintenance, improvement. analytics is required. Storage and calculating tools for data
Dynamic information such as environmental conditions analytics are included in middleware. The data have to be
occurring during use of the product, working time and stored and used intelligently for smart monitoring and
frequency of the product is recorded with the help of sensors actuation. Many IoT applications require massive data storage,
[13], [15], [21]. Fig. 4 shows building blocks of IoT. huge processing speed to enable real time decision making,
and high-speed broadband networks to stream data. As of
2012, Cloud based storage solutions are becoming
increasingly popular. Cloud computing provides an ideal
back-end solution for handling huge data streams and
processing them for the numerous number of IoT devices and
humans in real time [1], [15], [21].
D. Presentation
Presentation is related to visualization and interpretation
tools. These tools can be accessed on any platform and can be
designed for a large variety of applications. Presentation
allowed the interaction of the user with the object in real time
anywhere, anytime is important for IoT systems [1], [15]. For
example, IoT-enabled home appliances and devices can be
monitored and controlled outside the user’s home through a
computer, tablet, or smart phone due to presentations function
of IoT [21].
III. APPLICATIONS OF IOT

Fig. 4 Internet of Things [29] Internet of Things that is called a new industrial revolution
in the whole world finds itself in many fields of application
B. Wireless Sensor Networks (WSN) possibilities. In recent years, it has attracted great attention
Wireless network which contains vehicles working and is used in various fields by researchers and practitioners
independently and use sensors to monitor a cooperative worldwide.
manner physical or environmental conditions such as Opportunities offered by the IoT make possible the
temperature, humidity, light, sound, pressure, pollution, soil development of a large number of applications [9]. IoT have
composition, noise level, vibration, object moves in different been widely used in Transportation, Smart Home, Smart
places is called "wireless sensor network". Sensor networks Factory, Smart City, Supply chain, Lifestyle Security, Retail,
play a crucial role in the IoT. Typical Wireless Sensor Agriculture, Emergency, Health care, Culture and tourism,
Networks consist of hundreds or even thousands of sensor User interaction, Environment and Energy, Library services,
nodes that connect via a wireless environment and exchange Food and restaurant industry and many other areas (Fig. 5). In
information with each other. Improvements in hardware and the following subsections, a few typical applications examples
wireless system have enabled the production of low cost, low are given.
power consumption, multifunctional miniature sensing
devices. Ad hoc networks can be created with the help of A. Smart environments
hundreds-thousands of these devices. For example, these A smart environment can be an office, home, industrial
devices create a wireless ad hoc network distributing over a plant, city or any environment and it make our life more
wide geography. These sensors that distributed and formed the comfortable due to the intelligence of included objects [9].
network generate a sensing network system by cooperating. A Home appliances such as televisions, washing machines,
sensor network allows to access information easily at anytime, refrigerators, air conditioners and many other devices can be
anywhere. It performs this function by collecting, processing, controlled very efficiently, so, this smart system provide better
analysing and spreading data. [30]. home and energy management [1].
The integration of WSN and RFID empowers IoT and For example, rooms heating can be adjusted to our
makes possible to develop IoT applications [4]. preferences and to the weather; lighting can change according
to the time of the day; dangerous incidents can be prevented
C. Middleware with suitable monitoring and alarm systems; and energy can
Middleware is a software layer between the technological be saved by automatically switching off the electrical
and the application levels. Middleware architectures proposed equipments when not needed [9]. For communication between
in the last years for the IoT [9]. The complex distributed people and the smart environment a smart phone can be used.
platform of the IoT requires simplifying the development of So far, there are several applications available for Apple iOS,
new applications and services, so use of middleware is an Google Android and Windows Phone operating systems that
ideal option with IoT application development. More measure various parameters [15].
importantly, a centralized infrastructure to support storage and
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Fig. 5 Applications of IoT
 Prevents alteration of information enabling to store all

B. Transportation and logistics kinds of information (Eg. Production date, expiry date,
IoT really plays an increasingly important role in warranty period, after sales details) in objects and share
transportation and logistics. Intelligent transport systems that by supply chain stakeholders in real-time.
count vehicles on the road, calculate the travel time, determine  Business process optimization; smart objects used in the
the pits and calculate the using time of the parking place can framework of business processes accelerate and facilitate
be established with the help of sensors. Moreover, it is the detection of potential problems and support the
possible to realize better traffic management with data detection of a possible process optimization [32].
obtained from such a system [31].
Internet of Things means that the rich data and deep C. Health care
intelligence for all parties in the network from the Healthcare is an important application area of IoT and in
manufacturer to the end user for supply chain. this sector, a number of applications containing IoT
Real-time monitoring and object move tracking from an technologies can be found. Internet of Things offers a variety
origin to a destination will be guaranteed with objects attached of solutions at the stage of take measures, monitories and
RFID tags or sensors so that transportation and logistics can diagnose depending on the health status. Devices can help
be more efficient and accurate during the entire supply chain individuals to control their own health status such as weight,
[16]. body mass, sleep patterns and daily activity rate [31].
Some important benefits of internet of things related to the This systems include identification for reduce incidents
supply chain; harmful to patients such as wrong drug/dose/time/procedure.
 The storage can be monitored in real time. Both the Tracking for identify of a person or object in motion. Data
number of stored product and the costs can be reduced by collection and transfer for reducing form processing time and
eliminating redundant production and storage. In addition, medical inventory management. Sensing for diagnose patient
turnaround time can be shortened; needless handling, loss conditions [9].
and theft can be prevented. Patients carry medical sensors to monitor parameters such
as body temperature, blood pressure, breathing activity. All
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the healthcare-related information is collected by these A. Complexity

sensors and managed efficiently and it can be able to perform IoT is a very complex heterogeneous network included the
advanced remote monitoring and can be capable of rapid connections among different networks through several
response actions when needed. For example, fall detection communication technologies [4]. Data collected from sensors
application can help elderly or disabled people live more of IoT will become very large because of enormous amount of
independently [16], [20]. It can be foreseen that the IoT with things connected internet. Current computer systems or
intelligent medical sensors will enhance the quality of life sensors may not have enough storage to keep all this data [18].
significantly and prevent the occurrence of health problems. The amount of data that will be occurred by billions of objects
On the other hand, the rapid development of mobile devices connected to this system will increase incredibly and this large
and health applications creates a huge market for the data processing will become difficult and complex task.
application of IoT. Individual mobile health applications have
been developed to serve healthcare tasks such as the B. Security and privacy
measurement of blood pressure or recording of blood glucose The system establishes on a huge of network system bring
[4]. along the cyber security risks. Main security issues in IoT are
illustrated in Fig. 6.
D. Security and Emergency
IoT will gather and store huge amount of personal
Internet of Things can enhance security and help information due to increase in connected devices. And so, this
government in the emergencies. Devices that transfer data is attractive to hackers and other cyber criminals [1].
information between each other quickly can be built in a There are many ways IoT system could be attacked disabling
condition of natural disasters or requires medical priority. the network availability; pushing erroneous data into the
Apart from that, ambient sensors can be used to monitor the network; accessing personal information; etc [15].
presence of dangerous chemicals. Sensors monitoring the Although a number of projects have been developed for
behaviour of people can be used to assess the presence of security and privacy protection, a reliable security protection
people acting in a suspicious way [20]. mechanism for IoT is still in demand for data confidentiality,
E. Agriculture privacy, and trust [4]. This is the most important issue to
prevent the use and become widespread of IoT. Therefore,
Internet of Things allows to establishment of smart fields valid security, privacy and trust models suitable for the IoT
that each step can be observed to increase agricultural applications should be define and sensible solutions (such as
production. The atmospheric, water, soil, and other intrusion prevention systems, firewalls) should be found in
information can be collected in real time and accurately with terms of technical to ensure customer privacy and security.
IoT technology to improve the efficiency and quality of Because, the run-up and acceptance of IOT technology will
agricultural production [16]. The smart irrigation systems depend on the protection of users' privacy.
provide ease about giving information about the condition of
the soil and reducing water consumption with the aid of
sensors. The system analyzes the data collected and realizes
the irrigation process according to soil needs in the area where
the irrigation system is installed. In addition, solutions based
data offered by the Internet of things offers the option to be
able to follow even the food which they eat to consumers in
terms of food security [31].
Apart from these applications, many others may be
envisaged many other applications that are define futuristic,
because these base on some technologies that either is still
coming or whose practice is still too complex[9].
IV. PROS AND CONS OF IOT

Internet of things feed on data in the continuous flow and
composed of a variety of devices and millions of sensors is a
technology that enables to facilitate our lives with many uses
area and develop business processes. Data usability,
continuous monitoring capability, time (money) savings are
among the main advantages of the system. But, there are also
challenges alongside opportunities that this system offers us.
Although the success of IoT has confirmed the potentials, we
have to confront with the challenges of IoT soon [18]. The
disadvantages that are believed to be slowly eliminated result
of the adoption of this technology; Fig. 6 Security Challenges of IoT [23]
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An Expert System for Boring Tools Used for

Machining Holes
Atakan Ugras * and Yunus Kayir+
*
Tavsanli MYO, Dumlupınar Üniversitesi, Kütahya, atakan.ugras@dpu.edu.tr
+
Teknik Eğitim Fakültesi, Gazi Üniversitesi, Ankara, ykayir@gazi.edu.tr
Abstract—Boring is a finish operation that widely used to ES is a technique used in artificial intelligence discipline.
machine the holes on the mechanical parts in manufacturing Moreover, there are a lot of techniques such as neural
industry. The Boring also is a method that is usually preferred to networks, genetic algorithm, fuzzy logic, image processing, in
size holes that can meet the appropriate tolerance. There are artificial intelligence discipline. Especially, ES [1], [2] and
many tools for boring process in the world wide. Generally,
neural networks [3] well as various programs are used in the
Boring tools were parted two groups that are milling and
turning. The boring tools especially for milling were packed in process sequence. Also, ES is an intelligence program that
many set that include head, bars, etc. Decision of using any set in uncovers an expert thinking and behaviour for a specific area
these packed is not easy exercise. For this reason, selection [4]. ES can calculate the data and make inferences something
suitable head, bars, cutting tools and cutting conditions need long by using about information in the knowledge base. Thus, they
preparation time and good expertise for boring process in provide fast and reliable solutions for special problems. ES is
milling. Because of the quality of holes is depended by an interactive system for experts in many areas.
determining these parameters rightly Expert systems were improved with different capabilities
In this study, an expert system that is called BT_expert was for many areas since computers were invented. Especially,
developed for using the boring tools in milling. BT_expert was
these systems rapidly climbed high level in 20th century.
built up by using an expert system shell that is called Kappa PC.
Kappa PC is preferred because of programming with C++. However at present time, new expert systems have been
BT_expert has a friendly user interface that is designed visual implementing to solve problems and select optimal parameters
objects. A lot of rules about 70 are written for BT_expert. The (boring tools, material, cutting tools and cutting conditions) in
system asks a few simple questions to user about boring process. machining industry in the world. Some studies carried out in
And, BT_expert can make a decision by using forward chaining this direction are summarized below.
mechanism. Finally, BT_expert system determines the boring Tan, et al. [1] have designed a selection of cutting tools of
bars, cutting tools and ideal cutting parameters automatically. expert and have checked the accuracy of the system for CNC
As a result, BT_expert system makes easy to select boring and turning. An expert system called EXTOOL developed by D.
cutting tools, and cutting parameters correctly in many set
Mookherjee and Bhattacharyya [2]. The program stated that
without any expert. And, the system decrease the long
preparation time of boring process. the process for the customer's choice of material and types for
cutting lathes and milling enables automatic determination
Keywords—Boring, Boring tools, Milling, Expert System, Kappa based on geometry. An expert system for the selection of
PC cutting tools and turning conditions were developed by
Arezoo et al. [5]. Sapuan, et al. [6] were developed a system
I. INTRODUCTION of specialist material election for tools and components for
Nowadays, computers’ hardware and software use easily ceramic matrix composite. Er and Dias [7] were improved an
for many applications in many areas. For example, machining expert system engineering components, based on which the
is a very important area that is widely used computers and selection rule for the production of casting system. Kayir, et
programs. Computers and programs provide a lot of al. [8] were built up an expert system by using Leonardo shell
advantages, such as speed, accuracy, lower costs, etc. program for selection optimal cutting tools and operation for
Generally, computer programs have an algorithm. So, drilling holes. Poyrazoglu, et al. [9] were implemented an
solutions of these programs are not enough for all application. expert program to choose right operation from non-traditional
Because, an expert decision require for some application. In machining methods.
addition, many years need to be an expert of a person in a In this study, an expert system called BT_expert was
sector. For this reason, a lot of expert systems were developed developed for machining of various size holes. BT_expert
on the world. Expert Systems (ES) have very special selects the optimal boring tools that are commonly used for
programs. These systems solve a problem according to rules machining holes desired with geometrical tolerances. The
obtained from the knowledge of the experts. In other word, the system was built up with KAPPA-PC expert shell program.
ES evaluate knowledge, the classical programs that have BT_expert system contains 4 modules. They are database
algorithm evaluate evident data. Thus, ES provide to use module, reasoning (inference engine) module, user interface
expertise at any time without an expert person. module and knowledge base module. BT_expert makes a
decision for selecting an optimum boring cartridge, cutting
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tool (insert type and radius), cutting parameters (cutting speed, The other subject is that the length of the selected tool is
feed rate). It has user interface that includes screen pages not too longer than the hole’s length. In this study by looking
formed menus, buttons. User can input or change data on L/D rate, the determination of boring cartridge is done. L
these pages. The system can be used easily by any man shows deepness of the hole and D shows the diameter of the
(engineer, worker, etc.). BT_expert reduces planning time and final hole. Programme offers a higher level boring cartridge
improves product quality because of choice right boring when L/D rate is higher than 2,5. If this case is not paid
cartridge and the insert and cutting parameters for boring attention in Boring tool that will be used, chatters are
operations. observed over the hole surface. Abele et al., in their study,
placed a damping system to shaft of boring tool for preventing
II. BORING TOOLS chatters [11].
Boring machining can be referred as one of the difficult
process in machining. Boring process is widely performed on
the lathe and milling machine tools. Boring process is process
of completing finished final dimensions and tolerances by
upsizing parts of which first bore is drilled. The machining
process is performed as a finish work. After performing the
boring process, additional boring operations cannot be
performed on the hole. Hole is ready to use. Boring process is
similar to the hole turning on the lathe, but in this process
boring tool rotates not workpiece. Hole is machined by
performing an eccentric movement of the boring tool.
In boring process a lot of boring tools are used. Boring
tools exist in different sets that include a lot of parts in the
market. In addition to different types of boring tools in the
market, boring tools are classified according to specialities of Fig. 1 Boring tool set [14]
hole which will be processed. (rough and finish etc.).
Classified boring sets (Fig.1) are capable of machining Processing range of used boring set is given at Fig.2. If
specific diameter hole in specific circumstances. It is required given dimensions are not paid attention, surface defects and
that a boring cartridge is determined according to first hole dimension faults stemming from tool deflection are seen in
and final hole shown at Fig.1. hole surface. Apart from these, it is required to determine
One of the subjects which have to be considered is that cutting speed, feed rate and insert type and radius according to
diameter of the selected boring cartridge is not too smaller workpiece material.
than the first bore of workpiece.
Fig. 2. Boring set performance measures [13]
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So, there are a lot of parameters correctly determined for Moreover, name of the rules and task, and numbers of
successful operation in boring machining. Especially, boring each task about 72 rules written in the BT_expert rule base are
tools, insert cutting tools and cutting parameters must be shown at Table 1.
chosen correctly to get precision and desired tolerance.
Mistakes made in their selection, cause faults on machined
Table 1. Rules name and numbers included in BT_expert system
holes and used tools. In a study, Rao et al. try to estimate the
occurred vibration, the surface roughness and the tool wear Sequence Rule name Task Number
during the machining hole on AISI 316 material by using 1 Barasecimi To choose for boring tool 22
2 Baralamaoranı To determine boring cartridge 10
artificial neural networks [10]. according to rate of bore diameter
/ boring diameter
III. BT_EXPERT SYSTEM AND BORING TOOL SELECTION 3 Radyüssecimi To determine insert 3
KAPPA-PC expert shell program was used to develop a 4 Ucparametreleri To determine cutting parameters 24
for insert
system that is called BT_expert system for holes machining.
5 Uyarı To redirect user according to enter 13
BT_expert system was designed for two main objects that are data and values
boring tools, cutting tools and cutting parameters. There are Total: 72
several factors for preference the KAPPA_PC shell program
to develop BT_expert. KAPPA PC expert shell program is Rules defined in the BT_expert rule base automatically
suitable program to improve any application in field of associated with each other. For example the connection of
machining sector [12]. In addition, KAPPA-PC is an object Barasecimi 1 with other rules in the BT_expert rule base is
oriented program. In KAPPA-PC program all objects are shown at figure 5. Generally, two methods are used to
connected each other with a tree structure form (Fig. 3.). evaluate rules for solution of any problem in expert shell
programs. These are forward chaining and backward chaining
method. The BT_expert rule base was designed to use forward
chaining method. The solution of the forward chaining
method starts from condition (IF) sentence and ends
conclusion (THEN) sentence. If the conditions are satisfied,
conclusion is true in “THEN” part.
Fig. 3 The tree schema of KAPPA ES developed for boring tool selection
To get the best solution, about 72 rules were written in this

study. Generally, structure of rules consists of “IF” and
“THEN” words. The word of "IF" is used to determine the
conditions. All conditions in rules are linked with “AND”
words. The word of “THEN” leads to the conclusion. A
sample rule written in the BT_expert is given at Fig. 4.
Barasecimi 1
IF
(Bara:Soncap >= 6 ) And
(Bara:Soncap <= 8 ) And
(Bara:Delikboyu < 21 ) And
(Bara:Radius #= 0.4 );
THEN
SetValue( Bara:Baratipi, B3.06 );
Fig. 4 A sample rule used in BT_expert system Fig. 5 The connection of a rule (Barasecimi 1) with other rules
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Several pages were designed to input and output data for

BT_expert. Visual objects were used on these pages that
interact with the user. These pages are named as SESSION.
When the BT_expert runs, the first page named “Boring Tool”
is shown on the computer’s screen. Boring tool page is used to
determine boring tools (fig. 6). First holed diameter, final
holed diameter (D) and length (L) of hole have to be defined
on this page. The system determines suitable boring cartridge
from boring bar set according these data.
Fig. 7 The BT_expert system’s page of material selection
For example, when the final diameter of hole is 25 mm

and the length of hole is 64 mm (fig.6), the program
determines boring cartridge of which number is B3.22 by
using the information in figure 3. In this example L/D rate is 4
Fig. 6 The BT_expert’s page of boring cartridge definition (fig.8). BT_expert offers lower cutting speed (m/min) and
In addition, the BT_expert decides insert radius by feed rate (mm/rev) when L/D is higher than 2,5. The cutting
considering half of difference between the first diameter and speed (m/min) and the feed rate (mm/rev) by considering
the final diameter. An insert radius is determined according to material type, L/D rate and insert radius. The system gives
an experimental rule. It is known that insert radius is not different cutting speed and feed rate when the finish cut
smaller than chip thickness in machining operations. Then, the calculated for bore decreases and the material or L/D rate
“Material selection” page (fig. 7) is switched after entering change.The BT_expert system performs quickly, easily and
first diameter, final diameter (D) and length (L) on the first safely selection of required boring tools, insert, cutting tools
page. Material type is selected from this page. Finally, The and cutting parameters. According to material of which is
system automatically select a boring cartridge, an insert and bored, the system can determine optimum boring cartridge,
cutting parameters after entering hole information and cutting speed, feed rate, insert quality and insert radius.
material (fig. 7). In BT_expert, L/D rate is used in Material selection entered on the page, first and last bore
determining of cutting parameters. L/D rate are also important diameters and bore length are shown in the conclusion page of
for set of boring tools (boring cartridge). the BT expert system (fig 8)
Fig. 8 BT_expert system conclusion page
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351
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The solution of the BT_expert for user inputs is shown on REFERENCES

the solution page (fig. 8). BT_expert’s solution page has many [1] C. F. Tan, S. S. S. Ranjit and V. K. Kher, “An expert carbide
parts. And, this pages that interact user has many active cutting tools selection system for CNC lathe machine,”
buttons. In other word, user can use page’s output data (get International Review of Mechanical Engineering (I.RE.M.E.), vol.
6, n. 7, pp. 1402-1405, Nov. 2012.
solution from BT_expert) for boring machining or user can [2] R. Mookherje and B. Bhattacharyya, “Development of an expert
run BT_expert program for new solution with page’s buttons. system for turning and rotating tool selection in a dynamic
The solution output data is automatically painted with red environment,” Journal of Materials Processing Technology, vol.
colour. Red colour data is the best results. The best results that 113, pp. 306-311, 2001
[3] G. Dini, A. Najafizadeh, S.M. Monir-Vaghefi and A. Ebnonnasir,
are boring cartridge, cutting speed, feed rate, and insert type “Predicting of mechanical properties of Fe Mn–(Al, Si)
and radius are shown blow of the page. User accept these TRIP/TWIP steels using neural network modelling,”
parameters and use for hole machining. Otherwise, user runs Computational Materials Science, vol. 45, pp. 959-965, Feb. 2009.
the program by pressing “Run” button. In this case, all [4] J. Liebowitz, “Expert system: a short introduction,” Engineering
Fracture Mechanics, vol. 50, n. 5/6, pp. 601-607, 1995.
operation of BT_expert restarts. [5] B. Arezoo, K. Ridgway and A.M.A. Al-Ahmali, “Selection of
cutting tools and conditions of machining operations using an
expert system,” Computers in Industry, vol. 42, pp. 43-58, 2000.
IV. CONCLUSIONS [6] S. M. Sapuan, M.S.D. Jacob, F. Mustapha and N. Ismail, “A
For precision bore machining, BT_expert system that prototype knowledge-based system for material selection of
ceramic matrix composites of automotive engine components,”
determines the boring tool, the insert and cutting parameters, Material and Design, vol. 23, pp. 701-708, 2002.
were implemented. This study will assist technicians and [7] A. Er and R. Dias, “A rule-based expert system approach to
engineers to determine boring tool that widely used in process selection for cast components,” Knowledge- Based
precision bore machining, insert and cutting parameters. The Systems, vol. 13, pp. 225-234, 2000.
[8] Y. Kayir and M. Gülesin, “Cutting tool and operation selectıon for
system that has a simple structure can be used easily. Some drilling holes usıng expert system approach,” in Gazi University
additional studies can be done to improve this system. More Technical Faculty, Matik'97,1997, p. 90-98.
technical data and details can be added to the database. The [9] O. Poyrazoğlu, M. Gülesin and Y. Kayir, “Operation selection for
improved expert system can be evaluated in the machining non-traditional machining methods usıng expert system approach,”
in Gazi University Technical Faculty, Matik'97, 1997, p. 80-89.
sector. New boring tool, insert, material datum and cooling [10] K. V. Rao, B.S.N. Murthy and N. M. Rao, “Prediction of cutting
type (dry, coolant) can be added to the database. The user tool wear, surface roughness and vibration of work piece in boring
interface can be improved by adding new page and buttons. of AISI 316 steel with artificial neural network,” Measurement,
The tool holder manufacturing firms can develop software vol. 51, pp. 63-70, Jan. 2014.
[11] E. Abele, M. Haydn and T. Grosch, “Adaptronic approach for
similar with BT_expert system besides the catalogues. modular long projecting boring tools,” CIRP Annals -
Manufacturing Technology, vol. 65, pp. 393-396, 2016.
[12] Kappa-PC, Version 2.3, IntelliCorp. Inc., 1994.
[13] D’ANDREA TOOL HOLDERS, pp. 166, 167, 260, 2008
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Multi-Core Computing Application for Lyapunov

Exponents Analysis of Chaotic Systems
Sezgin Kaçar*, Akif Akgül*, Burak Arıcıoğlu*
*
Sakarya University, Technology Faculty, Electrical – Electronics Engineering, Sakarya, Turkey
{skacar, aakgul,baricioglu}@sakarya.edu.tr
Abstract— The Lyapunov exponents analysis is one of the In this study which differs from studies in the literature, the
stability analyses of nonlinear systems. In addition, this analysis Lyapunov exponent spectrum obtained faster via parallel
method is also used for obtaining information about chaos that is computing application in a PC with multi-core CPU. For this
a behavior of nonlinear systems. In this study, it is explained by application MATLAB Parallel Computing Toolbox was used.
an example application that the chaotic behavior analysis of a
The performance of the application was assessed according to
nonlinear chaotic system based on the Lyapunov exponents can
be performed faster by a Multi-Core CPU. For this application, speed and efficiency.
MATLAB parallel processing toolbox has been used and the
parallel computing performance of the application has been In the next section of this article, the algorithm that uses
analysed by using obtained results. Lyapunov exponent is introduced. In the third part, Lorenz
chaotic system and its Lyapunov exponent spectrum is
Keywords— Chaotic systems, Parallel processing, Lyapunov presented as an example. In the fourth part, the realized
exponents parallel computing application is mentioned. In the fifth part
the performance of the parallel computing is assessed. In the
I. INTRODUCTION last part, discussion and evaluation is given.
The models of nonlinear systems are used for modelling
and assessing the behavior of the systems that we encounter.
One of the behavior types of the nonlinear systems is the II. LYAPUNOV EXPONENTS ANALYSIS
chaotic behavior. For a nonlinear system to show chaotic
behavior, the system’s parameters and initial values must be The Lyapunov exponents are calculated analytically as in
appropriate to the chaotic behavior. The nonlinear systems Equation 1 [6].
which show chaotic behavior for the appropriate values are
called chaotic systems. With the Lyapunov exponents analysis 1 pi (t ) 
it can be determined that whether the system exhibits chaotic i  lim  ln  (1)
behavior or not for the given parameters values.
t t pi (0) 
The Lyapunov exponent analysis is used widely to explain

dynamical behavior of nonlinear systems [1-4]. The largest Trajectory2
Lyapunov exponent to be positive means the system is chaotic. pi(t)
The algorithms that calculate the Lyapunov exponents from
time series are available [5-9]. In addition to this, the pi(0)
programs or codes that use these algorithms are also available Trajectory1
[10-14]. All these algorithms, programs, or codes calculate the
Lyapunov exponents for a certain parameters values or as a Fig. 1. Divergence of two trajectories
function of a single system parameter.
Here λi and pi represents the Lyapunov exponents and the
For examining the behavior of the chaotic systems, vectors given in Fig. 1 respectively. As it can be seen in the
analyses which employ the Lyapunov exponent spectra are equation 1, the values of Lyapunov exponents depend on the
commonly used. The calculation of the Lyapunov exponents distance between chosen points that are at two infinitesimally
for a single system parameter value does not take too much close trajectories in the phase portraits of the chaotic system.
time. However to obtain the Lyapunov exponents spectrum, Moreover, the number of the Lyapunov exponents also equals
the Lyapunov exponents must be calculated for too many to the dimension of the chaotic system.
parameter values. For a precise analysis, the number of the
system parameter values must be as high as possible. This To calculate the Lyapunov exponents analytically the
makes obtaining better spectrum take much more time. values of pi must be determined. Determining the values
requires many different processes [5, 6]. As an alternative to
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353
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this, many algorithms for calculating the Lyapunov exponents In this study, faster obtainment of the Lyapunov exponents
from time series have been proposed. [5-9]. In this study, the spectrum with data parallel technique in a multi-core CPU PC
MATLAB code that is proposed by [11] which employs the was realized. The realized parallel computing application is
algorithm in [6] is used. seen in Fig. 2.
The signs of the Lyapunov exponents give information

about the dynamical behaviors of the systems. For a 3-D
system, the dynamical behaviors of the system according to
the signs of the Lyapunov exponents are given in Table 1. If
one of the Lyapunov exponent is positive, systems exhibits
chaotic behavior. In this way, the chaotic systems can be
determined with the Lyapunov exponent analysis
TABLE 1
A 3-D NONLINEAR SYSTEM BEHAVIOR ACCORDING TO THE SIGNS OF THE
LYAPUNOV EXPONENTS
Lyapunov Exponents Sign System Behavior

(+,0,-) Chaos
(0,0,-) Two-tours
(0,-,-) Limit cycle
(-,-,-) A fixed point
Another usage area of the Lyapunov exponents analysis is

calculating the chaotic dimension [5, 6]. The chaotic
dimension gives information about how chaotic the system
behavior is. The chaotic dimension is calculated as in .
Equation 2 [6].
Fig. 2. The realized multi-core computing application
j

i 1
i The parallel computing application in Fig. 2, to obtain the
df  j  (2) Lyapunov exponents spectrum n core processor is used.
 j 1 Moreover the system parameter take m number values
j between a and b. Each processor calculates Lyapunov
Here the term j is determined according to 
i 1
i  0 and exponents for m/n number of system parameter values.
j 1
After this, these results are brought together to obtain the

i 1
i 0. Lyapunov exponent spectrum. The parallel computing
application mentioned above was realized with parfor loop in
MATLAB Parallel Computing Toolbox.
III. PARALLEL COMPUTING APPLICATION OF THE
A. MATLAB Parallel computing toolbox and Parfor Loop
LYAPUNOV EXPONENT ANALYSIS
MATLAB Parallel Computing Toolbox is developed for

Nowadays most of the PCs have multi-core CPUs. To use
parallel computing problems by using multi-core processors,
this feature to its full potential in Computer-aided computation,
graphic processing units (GPUs) and computer clusters. By
parallel computing techniques are required. There are two
using parfor which executes loop iterations in parallel, special
basic approaches in the parallel computing techniques. The
series types and parallelized numerical algorithms it is
first one is task parallel technique in which the different
possible to developed parallel computing applications without
processes are done simultaneously and the other one is data
programming CUDA or MPI [15].
parallel technique in which the pieces of a huge data undergo
to the same process in parallel.
Parfor (parallel-for) in MATLAB iterates statements in the
loop over a specified range of values like standard for-loop
To obtain The Lyapunov exponents spectrum, the
but in parallel. The logic of operation of parfor is shown in
Lyapunov exponents are calculated for many different values
Fig. 3 MATLAB Client runs the parfor loop code while the
of a parameter of the nonlinear system. The graph of the
iterations are run on MATLAB Workers [15]. Each Workers
Lyapunov exponents is drawn with respect to the system
are run on different core. MATLAB parfor structure is shown
parameter. By examining this spectrum, the chaotic behavior
in Fig. 3. In this structure the parallelization can be done up to
of the system is commented on.
with twelve workers.
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As it can be seen in Fig. 4, there is no positive Lyapunov

exponent if the parameter α’s value is between 5 and 5.6 or
18.4 and 20, and for these ranges two of the Lyapunov
exponents are zero and the other one is negative(0,0,-), thus
the system shows two-tours behavior. When the parameter α’s
value is between 5.8 and 18.3 there is a positive Lyapunov
exponent, hence the system shows chaotic behavior.
The time results in Table 3 was acquired by using

sequential and parallel computing with 2, 4, 6 and 8 cores for
the obtainment of the spectrum in Fig. 4. The specifications of
the multi-core PC is given in Table 2. The performance
assessment of the parallel computing application was done in
Fig. 3. MATLAB parfor structure and data parallelization
section 3.3 by evaluating the results in Table 3.
B. Obtaining Lyapunov Exponents Spectrum with Parallel
TABLE 2. THE PC’S SPECS
Computing: Lorenz Chaotic System
CPU i7-4700HQ
In this section, the Lyapunov exponents spectrum of a Number of Cores 8
common chaotic system, Lorenz system, was obtained via CPU frequency 2.40 GHz
RAM 16 GB
parallel computing. The Lorenz system is defined as in
Operating System Win 8.1
Equation 3.
TABLE 3. LYAPUNOV EXPONENTS SPECTRUM OBTAINMENT TIMES
x   ( y  x)
Sequential 2 cores 4 cores 6 cores 8 cores
y  x(   z )  y (3) 1112.600s 654.434s 382.134s 331.741s 325.776s
z  xy   z
C. The Performance Assessment of the Parallel Computing
The parameters of the Lorenz system in Equation 3 must be
at certain values in order to the system exhibits chaotic
behavior. To determine the parameters values the Lyapunov In the parallel computing applications, the properties of the
exponents spectrum is obtained. In Fig. 4, Lorenz system’s computer, the algorithm, and computing load and complexity
Lyapunov exponents spectrum in terms of α is given. This have an impact on the performance of the application. For this
spectrum was obtained for the parameter α’s values are reason, in a parallel computing with an n-process unit, the
between 5 and 20, the parameters β is 28, λ is 8/3 and the computing speed cannot reach n times of that of non-parallel
initial values is 1,1,1 for x, y, and z respectively. computing. Hence, efficiency and cost are taken consideration,
in parallel computing. Equations 4, 5 and 6 are used in
5 assessment of the parallel computing to calculate speed,
efficiency and cost respectively [16].
0
Sp = T* / Tp (4)
Ep = S p / p (5)
-5 Cp = Tp x p (6)
Lyapunov Exponents
In these equations, p is the number of processor unit, T* is

-10
the elapsed time when single-core processor is used, Tp is the
elapsed time when p-core processor is used and Sp, Ep, and
-15 Cp are defined as speedup, efficiency and cost respectively.
In Fig. 5, the graphs of the performance analysis of Table 3

-20
is given. These graphs includes speedup, efficiency and cost
analysis for 2, 4, 6 and 8 core process units.
-25
5 10 15 20
Parameter a
Fig. 4. The Lyapunov exponents spectrum of the Lorenz system
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355
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4 REFERENCES
Speedup
2
[1] A.M. Lyapunov, Probleme general de la stabilite du mouvment,
0 Annales Mathematical Study, 17, 1947.
2 4 6 8 [2] V.I., Oseledec, A multiplicative ergodic theorem: Lyapunov
Number of cores characteristic numbers for dynamical systems, Trans. Moscow Math.
1 Soc., 19, 197-231, 1968.
Efficiency
[3] A. Wolf, Quantifying chaos with Lyapunov exponents, In: Chaos, V.

0.5 Holden (Edit.), Manchester University Press, Manchester, 273-290,
1986.
0 [4] A. Stefanski, Lyapunov Exponents of Systems With Noise and
2 4 6 8
Number of cores
Fluctuating Parameters, Journal of Theoretıcal and Applied Mechanıcs,
46, 3, pp. 665-678, Warsaw 2008.
4000
[5] J. C. Sprott, Chaos and Time-Series Analysis (Oxford University Press,
Cost(sec.)
2003), pp.116-117.
2000
[6] A. Wolf, J. B. Swift, H. L. Swinney, and J. A. Vastano, Determining
Lyapunov Exponents from a Time Series, Physica D 16, 285-317
0
2 4 6 8 (1985).
Number of cores [7] M. T. Rosenstein, J. J. Collins and C. J. De Luca, A practical method
for calculating largest Lyapunov exponents from small data sets,
Fig. 5. Graphs of speedup, efficiency and cost analysis Physica D, 1993.
[8] Hai-Feng Liu, Zheng-Hua Dai, Wei-Feng Li, Xin Gong, Zun-Hong Yu,
Noise robust estimates of the largest Lyapunov exponent,Physics
When Fig. 5 is examined, the result is obtained faster with Letters A 341, 119–127, 2005.
parallel computing. As the number of the core increases the [9] X. Zeng, R. Eykholt, and R. A. Pielke, Estimating the Lyapunov-
speed of the calculation is increased. However, as the number Exponent Spectrum from Short Time Series of Low Precision, Physical
Review Letters, Vol. 66, Number 25, 1991.
of the core increases the cost and efficiency for the obtainment [10] http://sprott.physics.wisc.edu/chaos/lespec.htm
of the Lyapunov exponents spectrum with parallel computing [11] http://www.mathworks.com/matlabcentral/fileexchange/4628-
does not improve like speedup. In fact, the efficiency calculation-lyapunov-exponents-for-ode/content/lyapunov.m
decreases dramatically and the cost increases as the number of [12] http://fmwww.bc.edu/repec/bocode/l/lyaprosen.m
[13] http://www.mpipks-dresden.mpg.de/~tisean/Tisean_3.0.1/index.html
the core increases. This situation is encountered in most of the [14] http://www.scientio.com/Products/ChaosKit
application in PCs. The reason for this the increase in the [15] S. Kaçar, Z. Ekşi, A. Akgül, F. Horasan, Computation of Shannon
parallel overhead with the number of the core used and Entropy with MATLAB Parallel Computing Toolbox, ISITES 2013,
reaching the maximum capacity of PC’s data transmission rate. 765-773.
[16] T. Rauber, G. Rünger, Parallel Programming For Multicore and
This leads to negative effect on both cost and efficiency. Cluster Systems, Springer (2010).
Another reason for low efficiency and high cost is the CPU
has not real 8 cores but virtual 8 cores. Thus, the increase in
speedup and efficiency is much more in the computing
application with 2 and 4 cores.
In this study, faster obtainment of the Lyapunov exponents

spectrum is realized. For more efficient result, more
appropriate hardware and programs should be employed.
Moreover, if the dimension of the computing program
increases the efficiency and cost will be at an acceptable level.
IV. CONCLUSIONS
In the proposed study, an application of parallel computing
for faster obtainment of Lyapunov exponents spectrum is
realized with a multi-core PC. In the application, as the
number of core used increases the speed of the computing
application increases, but the cost increases and efficiency
decreases dramatically because of the PC’s limitations such as
parallel overhead and data transmission rate .However,
employing parallel computing for obtainment of the Lyapunov
exponents spectrum is a sound approach when considering the
speed of the computing. For more complex systems, the
number of values to be calculated and the dimension of the
problem increases, hence the efficiency of the parallel
computing increases. In a future study, the Lyapunov
exponents analysis of more complex systems will be
examined.
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Estimation of Turkey Electric Energy Demand Until
Year 2035 Using TLBO Algorithm
M. Fatih TEFEK*, Harun UĞUZ+
*
Ahi Evran University,
Kırşehir/Turkey,
mftefek@ahievran.edu.tr
+
Selcuk University,
Konya/Turkey,
harun_uguz@selcuk.edu.tr

Abstract— In this study, the estimation of Turkey primary electric agreements between countries. The excessive deviation leads to
energy demand until 2035 is tried to estimate by using Teaching- the economical deficits.
Learning Based Optimization (TLBO) Algorithm. Two models are Although demand studies on energy have been studies in
proposed which are based on economic indicators TLBO algorithm Western countries for a long time, the studies have accelerated
linear energy demand (TLBOEDL) and TLBO algorithm quadratic
at the end of 1990s in our country. State Planning Organization,
energy demand (TLBOEDQ). In both of these two models the
indicators used are Gross Domestic Product (GDP), population, State Statistical Institute and Ministry of Energy and Natural
importation and exportation. After a comparison of these two Sources have been used the mathematical models for the energy
models with real values between 1979 and 2005 years, it is applied demand at the last of 1970s [4].
to the estimation of Turkey electric energy demand until 2035 by Recently, many studies on the Turkey primary energy demand
three different scenario. The estimation results are suitable with have been done. In these studies, different methods, different
the estimation of Turkey total primary energy supply of 2013 scenarios with various data and variables for many terms have
Energy Report of World Energy Council Turkish National been used [3]. Some studies on this research area are the energy
Committee (WEC-TNC ). demand by Genetic Algorithm [3-7], energy consumption
estimation by Artificial Neural Networks (ANN) [8-10], energy
Keywords— Teaching Learning Based Optimization (TLBO)
demand by Ant Colony Optimization (ACO) [11] and energy
Algorithm, Energy Demand Estimation, TLBOEDL Model,
TLBOEDQ Model, Turkey Energy Report 2013 demand estimation by hybrid Algorithm [12].
Generally, any event which is wanted to model in terms of
I. INTRODUCTION estimation by mathematically, as the numbers of variables are
getting increased, correct estimation possibility decreases [3]. In
Energy is the most important need of developed and this study, the estimation of Turkey energy demand until 2035 is
developing countries. Energy is an indispensable fact which its try to estimate by using some economical variable indicators
importance has been growing gradually. It is the most important such as Gross Domestic Product (GDP), population, importation
means in the development of countries. Energy consumption has and exportation.
been increased with the growth in world population. The
economic growth leads to energy consumption and energy II. TEACHING LEARNING BASED OPTIMIZATION (TLBO)
consumption leads to economic growth [1]. Therefore the ALGORITHM
energy demand has been increasing despite important nuclear
power plant accidents and financial crisis. Foreign energy TLBO algorithm is a social based optimization algorithm
dependency of Turkey as % 70 percentage obliges the special which depends on interaction between students and teachers in a
policies and special behavior styles as society on energy subject class. At every step of algorithm, successful students are elected
[2]. and the best students have been determined [13].
To meet the electrical energy of society economically, supply, It has three parameters which is the number of students,
demand, transmission, contribution and pricing policies should number of classes and iteration number. TLBO algorithm has
be constituted effectively. Moreover, ease of use of electrical two phases which are teacher and student phases.
energy for consumers, non-storability of electrical energy At teacher phase of the algorithm, students learn from the
increases the importance of demand studies on electrical energy teacher by imitating. Teacher is the most experienced and the
area [3]. Energy demand estimation has a critical role in energy most informed person so the best student can learn as much as
the teacher.
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1
357
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Between teacher and student’s learning capacity, there is an Table I: Energy demand, GDP, population, import and export data of Turkey
[17,18].
average difference called difference mean and it is defined as
Eq. 1, Energy GDP Population Import Export
Difference_Mean j,i = ri  X j,kbest,i -Tf M j,i  (1) Year Demand
( $109 ) ( 106 ) ( $109 ) ( $109 )
(MTOE)
where ri is a random number between 0 and 1, X j ,kbest ,i is the 1979 30,71 82,00 43,53 5,07 2,26
1980 31,97 68,00 44,44 7,91 2,91
result of teacher (the best result) and T f is teaching factor 1981 32,05 72,00 45,54 8,93 4,70
between 1 and 2. 1982 34,39 64,00 46,69 8,84 5,75
1983 35,70 60,00 47,86 9,24 5,73
T f is defined as Eq. 2,
1984 37,43 59,00 49,07 10,76 7,13
Tf = round 1+rand  0,1 1,2 (2) 1985 39,40 67,00 50,31 11,34 7,95
1986 42,47 75,00 51,43 11,10 7,46
If difference mean is better than present result, Eq. 2 is 1987 46,88 86,00 52,56 14,16 10,19
arranged as Eq. 4, the best function result is given by Eq. 3, 1988 47,91 90,00 53,72 14,34 11,66
1989 50,71 108,00 54,89 15,79 11,62
X 'j,k,i  X j,k,i  Difference _ Mean j,k,i (3) 1990 52,98 151,00 56,10 22,30 12,96
' 1991 54,27 150,00 57,19 21,05 13,59
where X j , k ,i is the best function result accepted. 1992 56,68 158,00 58,25 22,87 14,72
After teacher’s phase, all best function values are kept to use 1993 60,26 179,00 59,32 29,43 15,35
1994 59,12 132,00 60,42 23,27 18,11
at student’s phase. At this stage, students learn the knowledge by
1995 63,68 170,00 61,53 35,71 21,64
interacting and by discussing between them. If a student is 1996 69,86 184,00 62,67 43,63 23,22
more knowledgeable, the other is updating himself by 1997 73,78 192,00 63,82 48,56 26,26
interaction. 1998 74,71 207,00 65,00 45,92 26,97
P and Q are the random students are given in Eq. 4, 1999 76,77 187,00 66,43 40,67 26,59
X total  P,i  X 'total  Q,i (4)
'
2000 80,50 200,00 67,42 54,50 27,78
2001 75,40 146,00 68,37 41,40 31,33
where X 'total  P,i and X total
'
 Q ,i
are updated values of X total  P,i 2002 78,33 181,00 69,30 51,55 36,06
2003 83,84 239,00 70,23 69,34 47,25
and X total Q,i
2004 87,82 299,00 71,15 97,54 63,17
If X 'total  P,i  X 'total  Q,i X ''j,P,i is obtained as Eq. 5
The linear model proposed by TLBO algorithm as in Eq. 7,
X ''j,P,i  X 'j,P,i  ri ( X 'j,P,i  X 'j,Q,i ) (5)
and if X 'total  Q,i  X 'total  P,i X ''j,P,i is obtained as Eq. 6 ETLBOEDL =w1.X1+w2.X2 +w3.X3 +w4.X4 +w5 (7)

X ''j,P,i  X 'j,P,i  ri ( X 'j,Q,i  X 'j,P,i ) (6)
Quadratic model equation is given in Eq. 8,
X ''j , P ,i is accepted as the best function value [13]. E TLBOEDQ =w1.X1 +w 2 .X 2 +w 3 .X3 + w 4 .X 4

+w 5 . X1.X 2 +w 6 . X1.X3 +w 7 . X1
III. ESTIMATION OF TURKEY ENERGY DEMAND WITH TLBO . X 4 + w 8 . X 2 .X3 + w 9 . X 2 .X 4
(TLBOED) (8)
+w10 . X3 .X 4 +w11. X12 + w12 . X 22
Economical variable indicators such as Gross Domestic
Product (GDP), population, importation and exportation for +w13 . X32 +w14 . X 42 +w15
energy demand estimation is try to estimate by using TLBO
algorithm. TLBOEDL and TLBOEDQ models are proposed wi and X i coefficients are used in two proposed models. wi
depending on economic indicators. It is seen from the literature
coefficients are defined as design parameters. There isn’t any
that Linear and quadratic models have been studied commonly
limitation for design parameters (   wi   ).
[11, 12, 14-16].
Economic indicators of Turkey between 1979 and 2005 are X1 , X 2 , X 3 , X 4 are constants and these are defined as Gross
given in Table I [17, 18]. Domestic Product (GDP), population, import and export

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2
358
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respectively. The objective function in energy demand The teacher will try to shift the mean from M, D towards
estimating is given by Eq. 9,
W,teacher which will act as a new mean for the iteration. So,
m
min f(v)=  (Eobserved
r -E predicted
r ) 2 (9)
M_new, D =Wteacher,D (14)
r=1
where E observed and E predicted are the actual and predicted

energy demand, respectively, m is the number of observations. The difference between two means is expressed as Eq. 15,

We give the algorithm of our TLBOED method below: Difference,D =r (M_new,D -TF M,D ) (15)

Step 1. Define the optimization problem and initialize the The value of TF is selected as 1 or 2. The obtained
optimization parameters. difference is added to the current solution to update its values
Initialize the population size ( Pn ), number of generations using Eq. 16.
( G n ), number of design variables ( D n ), and limits of design Wnew,D =Wold,D + Difference,D (16)
variables ( U L , L L ).
Define the optimization problem as Eq. 10: Accept Wnew if it gives better function value.
Step 4. Learner phase.
m Learner modification is expressed as
min f(v)=  (Eobserved
r -E predicted
r )2 (10) For i = 1 : Pn
r=1
Randomly select two learners Wi and Wj , where i  j

Subject to wi  wi  1,2,. . .,D n If f (Wi ) < f (Wj )
where f(v) is the objective function, w is a vector for design Wnew,i = Wold,i + ri (Wi - Wj )

variables such that   wi   . Else
Step 2. Initialize the population. Wnew,i = Wold,i + ri (Wj - Wi )
Generate a random population according to the population
size and number of design as Eq. 11 variables. End If
End For
 w1,1 w1,2 ... w1,D 
  Accept Wnew if it gives a better function value.
 w 2,1 w 2,2 ... w 2,D 
 
. . . Step 5. Termination criterion.
population=   (11)
. . .  Stop if the maximum generation number is achieved;
  otherwise repeat from Step 3.
. . . 
w w ... w 
 Pn ,1 Pn ,2 Pn ,D  IV. EXPERIMENTAL STUDIES
TLBOED algorithm is proposed for Turkey energy demand
Step 3. Teacher phase. estimation between 1979 and 2005 years by using economic
Calculate the mean of the population column-wise, which will indicators taken from MENR. Minimum objective function is
give the mean for the particular subject as Eq. 12, obtained by calculating for TLBOEDL model. In Eq. 17,
population size ( Pn ) is taken as 25, number of design variables
M,D =[m1 , m 2 ,...,m D ] (12) ( D n ) are taken as 5 and the number of generations ( G n ) is
taken as 1000 and f (v)TLBOEDL is obtained as 41,712.
The best solution will act as a teacher for that iteration in Eq.

13,
ETLBOEDL = 0,003805955X1 +1,9122747919X2 +0,3735435225X3
Wteacher = Wf(W)=min (13) (17)
-0,4835157988X4 -55,899091016

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Minimum objective function is obtained by calculating for Table III: Energy demand estimation of TLBOED between 2006 and 2012 years

according to scenario 1.
TLBOEDQ model. In Eq. 18, population size ( Pn ) is taken as
25, number of design variables ( D n ) are taken as 15 and the Estimated energy Relative errors
number of generations ( G n ) is taken as 10.000. Minimum demand (MTOE) (%)
Observed
TLBOEDQ
TLBOEDQ
TLBOEDL
TLBOEDL
f (v)TLBOEDQ is obtained as 19,32921. energy
Years demand

(MTOE)
E TLBOEDQ =  0,01833664807X1 + 0,1271526286X 2
 0,7303814145X 3 + 1,5173167741 X 4 2006 99,59 95,96 95,19 -3,78 -4,62
+ 0,0057624768 X1X 2 + 0,0118978356X1X 3 2007 107,63 98,90 98,62 -8,83 -9,14
2008 106,34 101,94 102,21 -4,32 -4,04
 0,0079494952X1X 4  0,0013078678X 2 X 3 2009 106,14 105,09 105,97 -1 -0,16
 0,0149756126X 2 X 4 + 0,0365796927X 3X 4 (18) 2010 109 108,34 109,91 -0,61 0,83
 0,0017245010X12 + 0,0096564193X 22 2011 115 111,71 114,01 -2,95 -0,87
2012 121 115,19 118,30 -5,04 -2,28
 0,0234475391X 23  0,0197717121X 24
 2,0471885591 Table IV: Energy demand estimation of TLBOED between 2006 and 2012
years according to scenario 2.

TLBOEDL and TLBOEDQ estimation models were executed Estimated energy Relative errors
for 50 times and best results were considered by given demand (MTOE) (%)
parameters in Eq. 17 and Eq. 18.
TLBOEDQ
TLBOEDQ
Observed
TLBOEDL
TLBOEDL
TLBOEDL and TLBOEDQ models which are formed by energy

taking the data from Table II are effective and successful Years demand
according to data between 1996 and 2005 years. (MTOE)
In Table II, the biggest decrease in energy demand is in 2001. 2006 99,59 96,14 95,32 -3,59 -4,48
In Table I, a considerable decrease is seen for the same year 2007 107,63 99,29 98,91 -8,4 -8,82
2001. This situation results from the economic crisis in 2001. 2008 106,34 102,55 102,7 -3,7 -3,54
2009 106,14 105,93 106,68 -0,2 0,51
Table II: Energy demand estimation of TLBOED models between 1996 and 2010 109 109,44 110,86 0,4 1,68
2005 years.
2011 115 113,08 115,26 -1,7 0,23
Estimated energy Relative errors 2012 121 116,87 119,86 -3,53 -0,95
Observed demand (MTOE) (%)
energy
demand Table V: Energy demand estimation of TLBOED between 2006 and 2012 years
Linear Quadratic Linear Quadratic
Years (MTOE) according to scenario 3.
1996 69,86 69,71 69,85 -0,21 -0,02
Estimated energy Relative errors
1997 73,78 72,32 72,71 -1,99 -1,45
demand (MTOE) (%)
1998 74,71 73,30 74,28 -1,89 -0,58
TLBOEDQ
TLBOEDQ
Observed
TLBOEDL
TLBOEDL
1999 76,77 74,18 75,27 -3,37 -1,95 energy
2000 80,50 80,71 80,96 0,27 0,57

2001 75,40 75,71 74,79 0,42 -0,81

Years demand
(MTOE)
2002 78,33 79,13 79,68 1,02 1,72
2003 83,84 82,36 83,70 -1,76 -0,16 2006 99,59 95,45 94,53 -4,34 -5,35
2004 87,82 87,19 87,30 -0,72 -0,60 2007 107,63 97,86 97,26 -9,98 -10,66
2005 91,58 93,10 91,92 1,66 0,37 2008 106,34 100,35 100,09 -5,97 -6,24
2009 106,14 102,91 103,05 -3,14 -3
Three different scenario have been constituted for Turkey 2010 109 105,55 106,12 -3,27 -2,71
2013-2035 energy demand estimation. Scenarios are made by 2011 115 108,27 109,31 -6,22 -5,21
utilizing the data from Turkish Standards Institute [17]. 2012 121 111,07 112,63 -8,94 -7,43
Scenarios are compared to 2006-2012 demand [18] and our
estimation models in Table III, Table IV, and Table V. At later From the Tables (III-V), the estimations by TLBOED model is
stage, estimations until 2035 is obtained. close to the observed demand values. According to these tables,
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decrease in the demand in 2008-2009 years shows that the crisis In Table VII, energy demand estimations which was done in

worldwide was affected the Turkey as little. some years according to WEC-TNC Turkey Energy Report
Scenarios are compared to Turkey primary energy supply and 2013 are seen [2]. The graphics in Figures (1-3) is obtained as a
demand estimations according to World Enegy Council Turkey result of a comparison in Table VII.
National Committee.
Scenario 1: It is assumed that the average growth rate of GDP Table VII: Energy supply and demand estimations realized according to WEC-
TNC Turkey Report 2013 [2].
is 4.7%, population growth rate is 0.11%, import growth rate is
4.5%, and export growth rate is 2% during the period of 2013- Estimated energy demand
2035. The obtained results are compared to WEC-TNC Turkey Years
(MTOE)
2013 Energy Report in Table VI and Figure 1. (WEC-TNC) [2]
Scenario 2: It is assumed that the average growth rate of GDP
2015 129
is 5%, population growth rate is 0.12%, import growth rate is 2020 146
5%, and proportion of import covered by export is 2.5% during 2023 157
the period of 2013-2035. The obtained results are compared to 2025 165
Turkey 2013 Energy Report in Table VI and Figure 2. 2030 185
Scenario 3: It is assumed that the average growth rate of GDP 2035 208
is 4%, population growth rate is 0.09 %, import growth rate is
4%, and export growth rate 2% during the period of 2013-2035.
The obtained results are compared to WEC-TNC Turkey 2013
Energy Report in Table VI and Figure 3. TLBOEDL TLBOEDQ WEC-TNC

Table VI : Energy demand estimation between 2013 and 2035 years according 255
to scenarios (1-3) in MTOE. 240
225
Scenario 1 Scenario 2 Scenario 3 210
(MTOE) (MTOE) (MTOE) 195
180
TLBOEDQ
TLBOEDQ
TLBOEDQ
TLBOEDL
TLBOEDL
TLBOEDL
165
150
135
Years 120
105
2013 118,8 122,8 120,8 124,7 114 116,1 90
2014 122,5 127,4 124,9 129,7 116,9 119,6
2006
2007
2008
2009
2010
2011
2012
2015
2020
2023
2025
2030
2035
2015 126,4 132,2 129,1 135 120 123,3
2016 130,4 137,2 133,5 140,5 123,2 127,1

2017 134,5 142,4 138,1 146,1 126,5 131,1 Figure 1 : Energy demand estimations realized between 2006 and 2035 years
2018 138,8 147,7 142,9 152 129,8 135,1 according to scenario 1 in MTOE
2019 143,3 153,1 147,9 158,1 133,3 139,3
2020 147,9 158,7 153,1 164,3 136,9 143,6 TLBOEDL TLBOEDQ WEC-TNC
2021 152,6 164,5 158,5 170,7 140,7 148
2022 157,6 170,3 164,1 177,3 144,5 152,5 285
2023 162,7 176,2 169,9 183,9 148,5 157,1 270
2024 168,1 182,2 176 190,5 152,6 161,7 255
240
2025 173,6 188,1 182,4 197,2 156,8 166,5 225
2026 179,4 194,1 189 203,8 161,2 171,2 210
195
2027 185,3 200 196 210,3 165,7 176 180
2028 191,5 205,8 203,2 216,6 170,4 180,9 165
2029 198 211,4 210,7 222,5 175,3 185,7 150
135
2030 204,7 216,8 218,6 228,1 180,3 190,4 120
2031 211,6 221,8 226,8 233,1 185,5 195,1 105
90
2032 218,9 226,4 235,4 237,4 190,9 199,6
2006
2007
2008
2009
2010
2011
2012
2015
2020
2023
2025
2030
2035
2033 226,4 230,5 244,4 240,8 196,5 204

2034 234,2 233,9 253,8 243,1 202,3 208,1
2035 242,3 236,5 263,6 244,1 208,2 212 Figure 2 : Energy demand estimation realized between 2006 and 2035 years
according to scenario 2 in MTOE
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[7] H.K. Öztürk,O.E. Canyurt, A. Hepbaşlı, Z. Utlu, “Residential-commercial

TLBOEDL TLBOEDQ WEC-TNC energy input estimation based on genetic algorithm approaches: an
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225 [8] A. Sözen, E. Arcaklıoğlu, M. Özkaymak, “Turkey’s net energy
210 consumption ”, Apply Energy, vol. 8, pp. 209–21, Sep. 2004.
195 [9] Y.S. Murat, H. Ceylan , “Use of artificial neural networks for transport
180 energy demand modeling”, Energy Policy , vol. 34, pp. 3165–72, Nov.
2006.
165
[10] C. Hamzaçebi, “Forecasting of Turkey’s net electricity energy
150 consumption on sectorial bases”, Energy Policy , vol. 35, pp. 2009–16,
135 Mar. 2007.
120 [11] M.D. Toksarı, “Ant colony optimization approach to estimate energy
105 demand of Turkey”. Energy Policy, vol. 35, pp. 3984–90, Mar. 2007.
90 [12] M. S. Kıran , E. Özceylan , M.Gündüz , T. Paksoy, “A novel hybrid
2006
2007
2008
2009
2010
2011
2012
2015
2020
2023
2025
2030
2035
approach based on Particle Swarm Optimization and Ant Colony
Algorithm to forecast energy demand of Turkey”, Energy Conversion and
Manag.” ,vol. 53, pp.75–83, Sep. 2011
[13] R.V. Rao, V.J. Savsani, and D.P.Vakharia, ‘‘Teaching–learning-based
Figure 3 : Energy demand estimation realized between 2006 and 2035 years optimization: a novel method for constrained mechanical design
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V. CONCLUSION
vol. 36, pp. 1937–44, Apr. 2008.
Countries must balance the energy supply and demand. [15] M.D. Toksarı , “Estimating the net electricity energy generation and
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risen.
In this study, TLBOEDL and TLBOEDQ models make a
demand estimation in accordance with given scenarios and these
models can be useful in estimation analysis. Especially scenario
3 with its two models is consistent with WEC-TNC Turkey
Energy Report 2013.

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A Review of Automatic Author Identification

Task
Evren ŞAHİN, Rıdvan SARAÇOĞLU
Electrical and Electronic Engineering Department, Yüzüncü Yıl University, Tuşba,VAN
evrensahin@msn.com
Electrical and Electronic Engineering, Yüzüncü Yıl University Tuşba/Van, TURKEY
Abstract — Nowadays, the author of the distinguish, and made studies on the presence of the
recognition process, the development of technology and is author. language-dependent studies, language syntax
made to find solutions to some problems emerged with the structure that makes identifying the author examines
spread of knowledge. Some of these problems, author how writers use. We follow a columnist, without
unknown documents, e-mail the threat, and the author of name and even when the article was published on a
the criminal investigation is to determine the author of the different page, we can guess who wrote it in writing.
text can’t be sure who. Authors identification is the process We have become used to the author's writing style
of determining who is the author of a text written in any because we follow. We could do this to separate, we
language. This document, based on the language made the can make the computer automatically? The answer
last 15 years and regardless of the language, the author to this question is yes, of course. Every writer has a
presents a review about the identification their work. The unique style. This style is converted to a
authors recognize the language-dependent work in the
mathematical function author recognition process is
language of the syntax of specific words in the uses of the
realized. Turkish studies done on this subject is
language by the author and the word of their arrangement
limited [1]. Author identification is classified into
with the order in which to do that by paying attention to
three different research areas which include
the author of the text is the process of estimating different
authorship identification, authorship verification,
algorithms starting from here. The author of the
and authorship characterization [2]. Authorship
independent study of the language of the unknown text
with the character n-gram methods of machine learning is
attribution determines the most probable author of an
the process after the calculation of weight and estimating anonymous document by comparing it with the
Based on the text of the previous authors using artificial known available documents. Authorship
neural networks. Authors frequently used in the characterization is helpful to determine the
identification, used in the selected article, methods have characteristics like gender, age etc. [3]. Author
been investigated and their authors compared the accuracy identification of physical and electronic documents,
of the identification. Authors alone can’t fully it is close to an area of research, and many
identification the many methods used to give accurate researchers are currently working in this research
results and language used by the author using some field [4].
combination of these methods and it was emphasized that This paper consists of three parts. the first part
the words have to look at trends in the author's writings. will be released in the definition of author
identification. In the second part, the author
Keywords— Author identification, Writer Identification, identification the field, made different studies. In the
Language-Dependent Studies third part of the study measurements it is included.
I. INTRODUCTION
Document classification and verification is a II. AUTHOR IDENTIFICATION AND
matter of in natural language studies. If our goal is to AUTHOR ANALYSIS
separate the types of documents. We use properties,
properties that are used to find the author of a author identification the unknown author of the
document, may be different from each other. Author document the author is no process. This process,
identification work is a subject studied for many artwork, criminal investigation, online messages and
years, artificial neural networks, statistical methods handwritten etc. It is working in the fields. However,
and machine learning, such techniques are used for the online documentation for writing verification can
author identification. With the advancement of be used to solve various crime cases such as
technology, who written by the unknown online text, extortion and terrorist activities [9]. online messages,
author identification work has increased. The there are difficulties to implement the writer
authors identify a lead in the other study authors are identification. these challenges are; Length of Online
handwritten identification process [5]. In recent document is short, an online message, there is less
years, terrorist acts in the use of online messages, regular font style, knows the right words to be
these events may be subject to messages, to
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written, Online documentation style and structure is Found nearest feature vectors, Euclidean distance is
different from the normal text format documents. used. The vector k found that most of what class, the
The different languages spoken in the world, making class label is defined as a class of data to be sorted.
it difficult to the fight against international
cybercrime. along with the challenges mentioned, IV. STUDIES ON AUTHOR IDENTIFICATION
crime analysis of online posts by author analysis it
can be used for various applications. [2]. authorship Document classification and author
analysis has been applied to various cybercrimes. for identification studies so far, various features are
example, malware [6,7], it is used in the web spam used. Burrows [10] based on the word wealth
measures [8]. characteristics, Stamatelatos and friends [11]
The author analysis two different machine various combinations of syntactic features of style,
learning algorithm is used as the basis. they are Fürnkranz [12] n-grams, Authorship analysis is the
supervised and unsupervised machine learning. The study of linguistic and computational characteristics
supervised learning algorithms are also suitable of the written documents of individuals [14,15].
when the information of both training and testing special article features extracted from text written in
data that is the data’s label is known beforehand [3]. advance of individuals can be used to distinguish
another person [16]. writing styles can be
III. AUTHOR CLASSIFICATION categorized in five different types, these namely
lexical, syntactic, structural, content-specific, and
Today, a lot of sources of information is held in idiosyncratic features [4,13]. Authorship analysis
the form of unstructured text documents in electronic has been very successful for resolving authorship
form. In this case, users can find what they are identification disputes over literary and conventional
looking for them, an increasing number of writings [17]. online document analysis is more
documents from the documents research, analysis, difficult. [18]. There are many applications for
revealed the deal requires the grouping. plagiarism detection and similarity determination.
automatically parses documents to predetermined advancing technology, facilitate their replication and
class system being developed to find solutions to this spread [19]. Similarly, taking different user names of
situation. Recently, Support Vector Machine, Naive customers, protect the reputation of the company
Bayes, K-Nearest a machine learning method is used [20]. have developed techniques for detecting aliases
in the neighbour-hood, such as text classification in online systems (e.g., eBay) by analyzing the users’
work. Artificial Immune Systems is a method has not feedback. Abbasi et al [21]. The first approach
been tested before, and when appropriate work in conducts verification using classifica-tion; three
text classification feature vectors used in the trials, different classifiers are investigated, namely,
particularly in species recognition system has shown Adaboost.M1, Bayesian Network, and
that successful results. They are frequently used Discriminative Multinomial Naive Bayes (DMNB).
classification methods; The second approach conducts verification by
Naïve Bayes (NB). Classic Naïve Bayes regression; three different classifiers were studied in-
algorithm often used in the determination of a cluding linear regression, SVM with Sequential
document with the word class and the class of the Minimum Optimization (SMO), and SVM with RBF
joint probability [35]. kernel. The feature set was composed of 292
Support Vector Machines (SVM). Class biggest attributes, which included lexical (collected either in
margin separating from each other, aims to set a terms of characters or words), syntactic (punctuation
distinctive linear function. Linear inseparable as and function words), idiosyncratic (spelling and
examples for examples, moved to another higher- grammatical mistakes) and content-specific
dimensional space could be divided and linear (keywords commonly found in a specific domain).
classification that is done in space. Experimental evaluation of the proposed approach,
Random Forests (RO). Breiman to produce a using the Enron e-mail corpus and by analyzing200
single decision tree Instead, each trained a large e-mails per author, yielded EER ranging from 17.1%
number of different training sets, He proposed the to 22.4% [22]. Canales et al. trained a K-Nearest
merging of the multivariate decision tree. Different Neighbor (KNN) classifier with 82 stylistic features
sets of training boot (bootstrap) and random by including 49 character-based, 13word-based, and 20
selecting the feature created from the original syntactic features [23]. In addition, they combined
training set. Very variable decision trees obtained by stylometry and keystroke dynamics analysis for the
CART algorithm [36]. Before any decision tree gives purpose of authenticating online test takers. They
its decision, forest in-class maximum votes, which experimented with 40 students with sample
considered the final decision it is and incoming test document size rang-ing between 1710 and 70300
data is included in that class. characters, and obtained as performances
K-Nearest Neighboring (K-NN). class of data (FRR=20.25%, FAR=4.18%) and (FRR=93.46%,
which will feature vector value is based on the FRR=4.84%) when using separately keystroke and
principle of finding the closest feature vector k. stylometry, respectively. The combination of both
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types of features yielded EER=30%. They concluded investigator wants to precisely extract the writing
that the feature set must be extended and certain type styles of each suspect from the sample messages, use
of punctuations may not neces-sarily represent the such patterns to identify the author of the anonymous
style of students when taking online exams [23]. For message, and present such patterns as evidence to
the author analyzes explored the use of stylometry support the finding. Most of the previous works on
for online posts [24]. The technique was based on a authorship identification [4,33,34,13,27] assume
combination of supervised learning and n-gram
that every suspect has only one writing style. We
analysis. The experimental evaluation yielded an
argue that a person’s writing style may vary
EER of 14.35%for 87users for message blocks of
500 characters. The evaluation used real-life dataset depending on the recipients or the topics. For
from Enron, where the e-mails were combined to example, when a student writes an e-mail, his writing
produce a single long message per individual, and style to a professor is probably different from his
then divided into smaller blocks used for authorship writing style to a friend. The challenge is how to
verification. Advanced Information Networking and precisely identify such stylistic variations and utilize
Applications (ANE-2014) on 28 IEEE presented at the variations to further improve the accuracy of
the International Conference on the current paper, in authorship identification.
an earlier version, feature set is expanded and
Information Gain (IG) was used to rank the metric B. Authorship identification with small
good features. also used for SVM classification. training samples: Given a collection of anonymous
Corpus based on a data set used to evaluate messages from a group of suspects, a cybercrime
experimentally. Mutual information (MI) called for investigator wants to determine the author of each
an extra filter is added in the process of feature anonymous message in the collection. Unlike the
selection to take high correlation properties. SVM previous problem, this problem assumes that the
classification technique of the authors only, but also investigator has access to only a few training
L (SVM-LR) with SVM as a hybrid method that
samples written by the suspects. In real-life
combines research. The approach proposed two
investigation, the investigator can ask a suspect to
different data sets, based on a twitter feed, and other
email-based Enron 140, consisting of 280 blocks and produce a sample of his writing by listening to a
500 characters of text are evaluated using a text story or watching a movie, then reproducing the
message [25]. verbal elements extracted from a text played scene in his own writing. Clearly, the number
(word or character) consists of a series [26]. This of samples is very limited. The major challenge is
series of uppercase letters, lowercase letters, vowels, how to identify the author of the anonymous
white space, digits, including the frequency of messages when there are insufficient training data to
characters includes special characters [27]. build a classifier [4,27] or to extract any significant
automatic recognition task writer, author patterns.
attributions, and has various practical applications
for plagiarism detection. the author is a challenging C. Authorship characterization: Given a
area of recognition [28]. The structure of a document collection of anonymous text messages, a
can be easily interpreted in the machine side. Each cybercrime investigator sometimes has no clues
author's style, interpretation, natural language, is about who the potential suspects are and, therefore,
subjective general; it is more difficult to find an has no training samples of the suspects. Yet, the
explanation that allows the machine to automatically investigator would like to infer characteristics, such
tell a writer from another. Is reported in, a literature as gender, age group, and ethnic group, of the
review on modern authorship attribution methods,
author(s) based on the writing styles in the
usually coming from the fields of machine learning
anonymous messages. We assume the investigator
and statistical analysis [28,29,30,31,32]. To resolve
the problem of identifying the author, with Canadian has access to some external source of text messages
law enforcement agencies were identified in a joint such as blog postings and social network websites
project of writing analysis, three issues have been that disclose the authors’ public profiles. The
resolved [8]. challenge is how to utilize such external sources to
A. Authorship identification with large infer characteristics of the authors of the anonymous
training samples: A cybercrime investigator wants to messages.
identify the most plausible author of an anonymous Author identification studies, they often use
text message from a group of suspects. We assume the n-gram methods before learning machine. N-
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The effects of neighborhood strategies on the performance of Artificial

Bee Colony Algorithms
Gürcan Yavuz, Dogan Aydın
{gurcan.yavuz, dogan.aydin}@dpu.edu.tr
Computer Engineering Department, Dumlupinar University
43000, Kutahya
Abstract— Neighborhood topologies are extensively used in Artificial bee colony algorithm (ABC) is an another pop-
Particle Swarm Optimization (PSO). The structure of the ulation based technique [10]. ABC uses individual which
selected topology may affect the PSO algorithm behavior. is given name as food source. Neighborhood structure of
Therefore, neighborhood topology plays a crucial role on the
performance of PSO algorithms when the population moves food sources in ABC algorithm is similar to gbest or fully-
with the guidance of the best particles. However, in Artificial connected topology. It means, all food sources communicate
Bee Colony (ABC) algorithms, new population members are with each others. In this study, we have adopted PSO topol-
generated based on information exchange between the base ogy mechanism to original ABC and global-best ABC al-
food source and a selected member among all population. gorithms. We have tested fully-connected, ring, four-cluster,
From this point of view, ABC algorithms use fully-connected
neighborhood topology defined as in PSO algorithms. In this square and random topologies on the original ABC and
paper, we will investigate the contributions of some well-known global-best ABC (GABC) algorithms on the 19 benchmark
neighborhood topologies used in PSO on the performance functions suite (SOCO) from a special issue of the Soft
of ABC algorithms. We have tested fully-connected, ring, Computing journal.
four-cluster, square and random topologies on the original
ABC and global-best ABC (GABC) algorithms on the 19 II. BACKGROUND
benchmark functions suite (SOCO) from a special issue of the
Soft Computing journal. SOCO benchmark suite consists of A. ABC Algorithms
7 shifted unimodal and 4 shifted multi-modal and 8 shifted 1) Original Artificial Bee Colony: Artificial Bee Colony
hybrid functions. Experimental results reveal that population
neighborhood topologies influence the performance of ABC
Algorithm is proposed for numerical optimization. It imitates
algorithms related to the tackling problem type. smart behaviors of the real honey bee. According to pseudo-
Keywords Artificial bee colony; Particle Swarm Optimization; code of ABC which is listed in Algorithm 1, ABC has
Swarm intelligence; Single objective optimization; Neighbor- one initialization step and three repeating steps. Until a
hood topology. termination condition is met, Employed bees, onlooker bees
I. I NTRODUCTION and scout bees steps continue. Further details about this
regarding steps are given bellow.
Particle swarm optimization (PSO) which is a population ABC algorithm in initialization steps which uses equation
based algorithm for global optimization, is introduced by 1 to create uniformly randomly initial population of SN (SN
Kennedy and Eberhart [1]. It tries to find a solution with is the number of food sources) solutions where each solution
individuals called particles. xi (i = 1, 2, . . . , SN ) is a D-dimensional vector (D is the
In Standard PSO, particles communicate with each other number of parameters).
based on social network structure called topology [2], [3].
Accordingly, each particle in the swarm can exchange infor- xij = xmin + rand(0, 1)(xmax − xmin ) (1)
j j j
mation with other individuals. But some particles have infor-
mation that may be useless, or some particle of information where i = 1, 2, . . . , SN , j = 1, 2, . . . , D; i is the index of
may be more important. For instance, the best-so-far particle food source and j is the index of dimension. xij represents
which called as global best particle (gbest) communicates a solution, xmin
j is lower bound value, xmax j is upper bound
with all particles in the neighborhood structure. In literature value of the jth dimension.
several research have been proposed for topology structure In the employed bee steps, algorithm searches new
and various type of topology structure is recommended [4], promised candidate solution. By using equation 2; ABC
[5], [6], [7]. Neighborhood Topology has a significant impact generates new food source and evaluates its fitness value.
on the performance of the algorithm [3]. For example, gbest Between old and new solution, greedy selection is applied.
or fully connected topology converge more quickly but it If the new is better than the old one, the new source position
may easily trapped in a local optima [8]. On the other is memorized and old one is forgotten. If not, position of the
hand; another topology which is lbest or the ring have slow old food source is kept.
convergence speed, but it can escape from the local optima
[9]. vi,j = xi,j + φi,j (xi,j − xr1,j ), (2)
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Algorithm 1 The Pseudo-code of the Original Artificial Bee Colony Algorithm

Step 1. Initialization
while termination condition is not met do
Step 2. Employed Bees Step
Step 3. Onlooker Bees Step
Step 4. Scout Bees Step
where i = 1, 2, . . . , SN , j = 1, 2, . . . , D and r1 is a In this study, we adopt PSO neighborhood topology mech-

uniformly distributed random real number. φi,j is a real anism to ABC algorithms. We considered popular topology
number which is generated from a uniform distribution in structures: fully-connected, ring, square and random topolo-
∈ [−1, 1]. vi,j is the ith solution with jth dimension. xi,j is gies. Their peculiarities are given below:
jth dimension of the reference food source. • Ring Topology : is known as local best in PSO.
In onlooker bees step, equation 2 is used same as em- All node is connected to two immediate neighbor.
ployed bees steps to produce a new candidate solution. On Thus, every node has 2 neighbor. Structure of the ring
the other hand, selection of a solution is based on probability topology is shown in Figure 1-a.
of food source which is obtained by equation 3. • Fully-connected Topology : is also called global best.
All nodes have a link between others and get infor-
fitnessi
pi = PSN . (3) mation from them. Neighbor size of fully-connected is
n=1 fitnessn N odeSize−1. Figure 1-b illustrates the fully-connected
where pi is probability value of the food source and topology.
• Square Topology : which is a neighborhood topology
f itnessi is the fitness value of the solution xi and is
calculated by following expression : where each node has four neighbor. Figure 1-c shows
how to nodes are organized in square topology.
• Random Topology : creates random neighbor for all
(
1
, fi > 0,
f itnessi = 1+fi (4) nodes. Unlike from other topology, each node has a
1 + abs(fi ), fi < 0,
different neighborhood structure.
where fi is the objective value of ith solution.
Scout bees step is a mechanism that allows the algorithm
to escape from local optima. ABC has a parameter namely
limit which stores the value of trial counter. This parameter
determines whether food source is a promising solution or
not. If a food source cannot be improved within a limited
time, algorithm generates a random new solution by using
equation 1 and abandons the old food source.
2) Gbest-guided Artificial Bee Colony: Gbest-guided Ar-
tificial Bee Colony (GABC) is a variant of ABC which is
proposed as a result of influence of PSO [11]. In addition
to the search equation 2 of the ABC, GABC employs global
best food source. Global best solution guides the candidate
solutions in order to improve the exploitation behavior of Fig. 1. Topologies which are used in this paper.
the algorithm. GABC replace search equations of employed
bees and onlooker bees by equation 5. Rest of the algorithm III. ABC ALGORITHMS WITH N EIGHBORHOOD
is same as the ABC. M ECHANISM
In ABC algorithms, food sources communicates in em-
vi,j = xi,j + φi,j (xi,j − xr1,j ) + ψi,j (xGbest,j − xr1,j ), (5) ployed bees and onlooker bees steps. In Equation 2, a food
source xr1 is selected randomly within the entire swarm.
where ψi,j is a uniform random real in range of [O, C] However; when ABC algorithms with neighborhood topolo-
and C is nonnegative constant. xGbest,j is jth element of the gies, randomly selected food source xr1 is selected from
global best solution. neighbors of the reference food source.
GABC algorithm modifies search equation of original
B. Neighborhood Topologies ABC by adding global best information and offers Equation
In the PSO algorithm, each particle has social link between 5 [11]. All food sources is used to determine the global best
other particles. The set of link creates graph which is called position. After we have adopted neighborhood topologies, as
topology of PSO. Many researchers are proposed several in original ABC algorithm, a random neighbor is determined
topologies that have a different structure [5], [9], [3]. based on neighborhood structure.
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369
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IV. E XPERIMENTS topology and in function f 14 fully-connected achieve best

A. Benchmark Functions value. Consequently, like as the original ABC case, random
topology is superior to all other rivals for GABC.
To conduct experiments for the effect of the neighborhood
In both algorithms, Random topology gains better results
topologies on the performance of the considered algorithms,
than other topologies. According to the that obtained from
we have used test suite of Soft Computing Special Issue
experiments, random neighborhood structure provide to algo-
on ”Scalability of evolutionary algorithms and other meta-
rithms to work more effectively. The reason for this, Random
heuristics for large-scale continuous optimization problems”
neighborhood structure contributes to exploration behavior
(SOCO) [12]. The suite has 19 problems which are separated
of algorithms. Finally, the ABC and the GABC algorithm
into three categories: 1) shifted multi-modal (4 problems) 2)
are compared with each other, GABC demonstrated superior
shifted unimodal (7 problems) 3) shifted hybrid (8 problems).
performance according to ABC.
For more detailed information about SOCO is listed in Table
I. V. C ONCLUSIONS
B. Experimental Setup In this paper, four different neighborhood structures are
We investigate the contributions of some well-known adopted and test on original and global-best ABC algorithms.
neighborhood topologies used in PSO on the performance The tests have conducted on 50 dimensional SOCO test
of ABC algorithms. However, we have studied the question functions. The results show that overall performances of
of which topology to be more efficient according to SOCO ABC algorithms with random neighborhood structure is
test suite. better than others for the SOCO instances. However, for
ABC and GABC do not have too many control parameters. some functions other neighborhood strategies gives superior
Parameter setting of algorithms are presented in Table II. performance. As a conclusion, it is possible to say that
These values are taken from [13]. Experiments are carried neighborhood structures can influence the performance of
out with default parameter values of ABC and GABC. the ABC algorithms directly.
Each algorithm with every topology is run for 25 times for For the future work, several ABC algorithms will be tested
each problems. Each run is terminated after the number of on different neighborhood strategies on other benchmark
maximum function evaluations (FES) which is set as 250000. function suites such as CEC 2005, CEC 2015 and CEC 2015
The error value can be calculated as f (x) − f (x∗ ) where test suites. On the other hand, another further work about the
f (x∗ ) is the optimum value of function f . Error values lower self-adaptation of neighborhood structure will be applied to
than 10−14 is assumed as 10−14 . All results are listed are ABC algorithms to find appropriate neighborhood structure
based on the mean error values in Table III and Table IV. All for a given problem instance when the algorithm is running.
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TABLE I
D ESCRIPTION OF THE SOCO BENCHMARK FUNCTION SUITE .
Function id Function name Range Separable Uni/Multimodal
f1 Shifted Sphere Function [-100, 100] Y U

f2 Shifted Schwefels Problem 2.21 [-100, 100] N U
f3 Shifted Rosenbrocks Function [-100, 100] N M
f4 Shifted Rastrigins Function [-5, 5] Y M
f5 Shifted Griewanks Function [-600, 600] N M
f6 Shifted Ackleys Function [-32, 32] Y M
f7 Schwefels Problem 2.22 [-10, 10] Y U
f8 Schwefels Problem 1.2 [-65.536, 65.536] N U
f9 Extended f10 [-100, 100] N U
f10 Bohachevsky [-15, 15] N U
f11 Schaffer [-100, 100] N U
f12 Hybrid f9 & f1 (25%, 75%) [-100, 100] N M
f13 Hybrid f9 & f3 (25%, 75%) [-100, 100] N M
f14 Hybrid f9 & f4 (25%, 75%) [-5, 5] N M
f15 Hybrid f10 & f7 (25%, 75%) [-10, 10] N M
f16 Hybrid f9 & f1 (50%, 50%) [-100, 100] N M
f17 Hybrid f9 & f3 (75%, 25%) [-100, 100] N M
f18 Hybrid f9 & f4 (75%, 25%) [-5, 5] N M
f19 Hybrid f10 & f7 (75%, 25%) [-10, 10] N M
TABLE II
PARAMETERS SETTING OF THE ALGORITHMS
Parameters ABC GABC description

SN 62 15 Population size
lf 1 1 The limit factor
C – 1 Maximum range value which is used by GABC
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TABLE III
G IVEN ARE MEAN FUNCTION VALUES OF ABC WITH TOPOLOGY FOR EACH FUNCTIONS OF DIMENSION 50 FROM THE SOCO BENCHMARK SET
Function ID Fully-connected Random Ring Square

f1 1.400E-11 1.119E-11 1.681E-10 4.114E-11
f2 5.150E+01 5.066E+01 6.069E+01 5.320E+01
f3 7.515E+00 4.726E+00 4.291E+01 1.514E+01
f4 1.995E-02 3.907E-08 4.088E+00 6.385E-01
f5 1.195E-10 4.831E-11 2.000E-04 2.528E-08
f6 3.859E-06 4.469E-06 5.832E-05 1.248E-05
f7 1.335E-07 1.262E-07 1.706E-07 3.255E-07
f8 1.321E+04 1.274E+04 1.437E+04 1.386E+04
f9 1.449E+00 1.382E+00 3.785E+00 1.941E+00
f10 2.163E-12 1.448E-12 6.578E-12 1.585E-12
f11 1.442E+00 1.518E+00 3.541E+00 2.035E+00
f12 3.176E-01 3.170E-01 1.668E-01 3.250E-01
f13 3.945E+00 2.682E+00 1.045E+01 5.148E+00
f14 7.761E-02 5.099E-02 2.836E+00 8.221E-01
f15 1.835E-07 1.625E-07 1.401E-07 3.475E-07
f16 6.040E-01 5.314E-01 2.878E-01 4.390E-01
f17 7.067E+00 7.355E+00 1.352E+01 9.710E+00
f18 2.318E-01 2.283E-01 1.067E+00 3.205E-01
f19 4.510E-08 4.646E-08 8.534E-09 7.793E-08
Rank 2 1 4 3
[9] J. Kennedy and R. Mendes, “Population structure and particle swarm “Memetic algorithms based on local search chains for large
performance,” Proceedings of the 2002 Congress on Evolutionary scale continuous optimisation problems: MA-SSW-Chains,”
Computation, CEC 2002, vol. 2, pp. 1671–1676, 2002. Soft Computing, vol. 15, no. 11, pp. 2201–2220, nov
[10] D. Karaboga, “An idea based on honey bee swarm for numerical 2011. [Online]. Available: http://www.mitpressjournals.org/doi/
optimization,” Technical report-tr06, Erciyes university, engineering abs/10.1162/evco.2010.18.1.18102{\#}.Va48PVM-P3Ahttp://www.
faculty, computer engineering department, Tech. Rep., 2005. mitpressjournals.org/doi/abs/10.1162/evco.2010.18.1.18102http:
[11] G. Zhu and S. Kwong, “Gbest-guided artificial bee colony algorithm //link.springer.com/10.1007/s00500-010-0647-2
for numerical function optimization,” Applied Mathematics and Com- [13] T. Liao, D. Aydın, and T. Stützle, “Artificial bee colonies for contin-
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TABLE IV
G IVEN ARE MEAN FUNCTION VALUES OF GABC WITH TOPOLOGY FOR EACH FUNCTIONS OF DIMENSION 50 FROM THE SOCO BENCHMARK SET. T HE
VALUES IN PARENTHESIS ARE THE AVERAGE NUMBER OF FUNCTION EVALUATIONS TO REACH OPTIMUM VALUE .
Function ID Fully-connected Random Ring Square

f1 1.000E-14 (46839) 1.000E-14 (44842) 1.000E-14 (46014) 1.000E-14 (47702)
f2 1.369E+00 1.321E+00 1.915E+00 1.813E+00
f3 1.334E+01 1.504E+01 1.954E+01 1.004E+01
f4 1.000E-14 (68525) 1.000E-14 (69751) 1.000E-14 (70416) 1.000E-14 (97542)
f5 1.000E-14 (55521) 1.000E-14 (54351) 8.030E-05 3.980E-13
f6 1.000E-14 (80557) 1.000E-14 (79851) 1.000E-14 (76821) 1.000E-14 (82934)
f7 1.000E-14 (74263) 1.000E-14 (71561) 1.000E-14 (70475) 1.000E-14 (75666)
f8 7.092E+03 5.937E+03 7.857E+03 7.318E+03
f9 1.000E-14 (111186) 1.000E-14 (115402) 1.000E-14 (119081) 1.000E-14 (119111)
f10 1.000E-14 (45497) 1.000E-14 (43045) 1.000E-14 (43120) 1.000E-14 (46069)
f11 1.000E-14 (115099) 1.000E-14 (116214) 1.000E-14 (115062) 1.000E-14 (121992)
f12 1.000E-14 (165229) 1.000E-14 (158211) 1.000E-14 (162174) 1.000E-14 (166138)
f13 7.327E+00 3.544E+00 4.786E+00 3.133E+00
f14 1.572E-04 3.980E-02 8.958E-03 1.499E-02
f15 1.000E-14 (75873) 1.000E-14 (70288) 1.000E-14 (69858) 1.000E-14 (75658)
f16 1.000E-14 (181837) 1.000E-14 (167997) 1.000E-14 (174595) 1.000E-14 (178537)
f17 1.674E+01 5.822E+00 1.115E+01 6.510E+00
f18 3.980E-02 4.091E-02 1.387E-03 2.836E-09
f19 1.000E-14 (67794) 1.000E-14 (62255) 1.000E-14 (64912) 1.000E-14 (66865)
Rank 3 1 4 2
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A Detailed Analysis of Optical Character

Recognition Technology
Karez Abdulwahhab Hamad*, Mehmet Kaya+
*
Department of Software Engineering
Firat University, Elazig, Turkey
karez.abdulwahab@gmail.com
+
Adiyaman University, Adiyaman, Turkey
m.kaya@adiyaman.edu.tr
Abstract— In many different fields, there is a high demand for re-utilize this information, it would very difficult to read or
storing information to a computer storage disk from the data query text or other information from these image files.
available in printed or handwritten documents or images to later Therefore a technique to automatically retrieve and store
re-utilize this information by means of computers. One simple information, in particular text, from image files is needed. Of
way to store information to a computer system from these
course, this is not a very trivial task. Some major challenges
printed documents could be first to scan the documents and then
store them as image files. But to re-utilize this information, it need to be laid out and handled in order to achieve a
would very difficult to read or query text or other information successful automation. The font characteristics of the
from these image files. Therefore a technique to automatically characters in paper documents and quality of images are only
retrieve and store information, in particular text, from image some of the recent challenges. Due to these challenges,
files is needed. Optical character recognition is an active research characters sometimes may not be recognized correctly by
area that attempts to develop a computer system with the ability computer system. Thus there is a need of mechanisms of
to extract and process text from images automatically. The character recognition to perform Document Image Analysis
objective of OCR is to achieve modification or conversion of any (DIA) which overcomes these challenges and produces
form of text or text-containing documents such as handwritten
electronic format from the transformed documents in paper
text, printed or scanned text images, into an editable digital
format for deeper and further processing. Therefore, OCR format.
enables a machine to automatically recognize text in such Similarly, Optical Character Recognition (OCR) is the
documents. Some major challenges need to be recognized and process of modification or conversion of any form of text or
handled in order to achieve a successful automation. The font text-containing documents such as handwritten text, printed or
characteristics of the characters in paper documents and quality scanned text images, into an editable digital format for deeper
of images are only some of the recent challenges. Due to these and further processing. Optical character recognition
challenges, characters sometimes may not be recognized technology enables a machine to automatically recognize text
correctly by computer system. In this paper we investigate OCR in such documents. In real world example, it is like
in three different ways. We first review the general phases of an
combination of mind and eye of human body. An eye can
OCR system such as pre-processing, segmentation,
normalization, feature extraction, classification and post- detect, view and extract the text from the images but
processing. Then, we give a detailed overview of the challenges absolutely the human’s brain processes that detected or
that might emerge in these OCR stages. Finally, we highlight extracted text read by eye [1]. Of course OCR technology has
development and main applications and uses of OCR. Therefore, not advanced enough to compete with human’s ability. The
this discussion provides a very comprehensive review of the performance and accuracy of OCR is directly dependent upon
state-of-the-art of the field. the quality of input documents. Again, when we think of
human’s ability to recognize text, the performance of brain’s
Keywords— OCR; OCR Challenges; OCR Phases; OCR process directly depends upon the quality of the input read by
Applications eye.
Today, to solve the text recognition problem several
I. INTRODUCTION different types of OCR software exist such as Desktop OCR,
Optical character recognition is an active research area that Server OCR, web OCR and so on. Since the OCR research is
attempts to develop a computer system with the ability to an active and important field in general pattern recognition
extract and process text from images automatically. These problems, due to its fast progress, comprehensive reviews of
days there is a huge demand for storing information to a the field are needed on a regular basis to keep track of the new
computer storage disk from the data available in printed or advancements. One such review was published to discuss the
handwritten documents to later re-utilize this information by challenges with text recognition in scene imagery [2]. This
means of computers. One simple way to store information to paper attempts to elaborate on these kinds of studies by
computer system from these paper documents could be to first providing a comprehensive literature review of optical
scan the documents and then store them as image files. But to character recognition research. We discuss major challenges
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and main phases of optical character recognition such us pre- D. Blurring and Degradation
processing, segmentation, normalization, feature extraction, Since working over a variety of distances are intended to
classification and post processing in detail which needs to be numerous digital cameras, an important factor is the digital
considered during implementing any application related to the camera’s focusing. For the best accuracy of character
OCR, and in the last section of our paper some OCR recognition and character segmentation, character sharpness is
applications are discussed. required. At large apertures and short distances, uneven focus
II. OCR CHALLENGES can be observed when a small point of view changes. For the
most part connected with photography, there are two kinds of
For good quality and high accuracy character recognition, obscure which is: out of focus obscure and movement obscure
OCR techniques expect high quality or high resolution images [3]. At the point for catching a moving item, when the shade
with some basic structural properties such as high rate of the camera is not sufficiently high, the sensor gets
differentiating text and background. The way images are presented to a continually changing scene. Accordingly,
generated is an important and determining factor in the blurring will observed in parts in motion.
accuracy and success of OCR, since this often affects the
quality of images dramatically. Usually OCR with images E. Aspect Ratios
produced by scanners gives high accuracy and good
Text has different aspect ratios. Text may be brief such as
performance. In contrast, images produced by cameras usually
traffic signs, while other text may be much longer, such as
are not as good of an input as scanned images to be used for
video captions. Location, scale and length of text need to be
OCR due to the environmental or camera related factors.
considered with search procedure to detect text, which
Numerous errors might emerge, which are clarified as follow.
introduces high computational complexity.
A. Scene Complexity F. Tilting (Perspective Distortion)
In a regular environment, we can see large numbers of
Document images obtained by scanners is constantly
man-made objects which are included in camera taken images
parallel to the plane of sensor, but this cannot be observed all
such as paintings, buildings, and symbols. These objects have
times for recorded picture obtained by a portable camera, that
comparative structures and appearances to text which makes
may not generally be parallel to the form plane. Accordingly,
text recognition very challenging in the processed image. Text
lines of text that distant from the camera seem littler than
itself is regularly laid out to encourage decipherability. The
those that nearer to the camera which seems greater. This
challenge with scene intricacy is that the surrounding scene
situation causes tilted pictures. Observation of a perspective
makes it hard to segregate text from non-text [2].
distortion is clear if the recognizer is not perspective intolerant,
B. Conditions of Uneven Lighting which causes lower recognition rate and accuracy [4].
Cell phones have an advantage with orientation sensors.
Oftentimes, taking images in natural environments results They can recognize whether the device is tilted and when
in uneven lighting and shadows. This poses a challenge for twisting happens they can forbid clients to take pictures.
OCR as it degrades the desired characteristics of the image Permitting the user to align plane of the form with that of the
and hence causes less accurate detection, segmentation and camera is also provided by this feature. Orientation sensors
recognition results [2]. therefore may assure that produced pictures satisfy a certain
This condition with uneven lighting is what distinguishes a degree of evenness.
scanned image form one that is produced with a camera. The
lack of such disparities in lighting and shadows makes G. Fonts
scanned images preferred over camera images for their better
Italic style and script fonts of characters might overlap each
characteristics and quality. Although using an on-camera flash
other, making it difficult to perform some of the main OCR
may eliminate such problems with uneven lighting, it
processes such as segmentation. Characters of various fonts
introduces new challenges.
have large within-class variations and form many pattern sub-
C. Skewness (Rotation) spaces, making it difficult to perform accurate recognition
when the character class number is large.
For optical character recognition systems, the point of
view for the input image that taken from camera of hand-held H. Multilingual Environments
device or other gadgets that used for taken image is not fixed
Although most of the Latin languages have tens of
like a scanner input, which skewing of text lines from their
characters, languages such as Chinese, Japanese and Korean,
unique orientation might be observed. Great degree poor
have thousands of character classes. Arabic has connected
results will be observed when such a skewed image is fed to
characters, which change shape according to context. In Hindi
the OCR classifier. Many techniques available for the purpose
syllables represent by combining alphabetic letters into
of deskew the image documents, such as Projection Profile,
thousands of shapes [5]. In multilingual environments, OCR
RAST algorithm, Hough transform, methods of Fourier
in scanned documents remains as a main research problem [5],
transformation, etc.
sice text recognition in complex imagery is more difficult.
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İ. Warping Operations that have holes or surplus pixels.

Content or text on objects of varying geometries can be For an image, separating information from its
Thresholding
another challenge for OCR to be recognized when images of background.
such situation captured by hand-held cameras. A few thinning process is the Skeletonisation, which
Thinning and
circumstances may emerge with flatbed scanners, wherein the regularize the map of the text until reaches
Skeletonisation
twisted text observed when the content procured on picture, most medial one pixel width
for example the content towards the binding of an extremely
thick book. B. Segmentation Phase
For convention paper documents, a technique for image The critical and major component of an Optical Character
dewarping is proposed by Ulges et al. [6]. By expecting the Recognition (OCR) system is the segmentation of text line
way that content lines are equally separated and parallel to from images. In general, Text segmentation from a document
each other, they dewarp pictures. image merges line segmentation, word segmentation and then
character segmentation. Segmentation is the process of
isolating text component within an image from the image’s
III. OCR PHASES background. For appropriate reorganization of the editable
In this section we describe the main important phases and text lines from the recognized characters, firstly, segmenting
architecture of optical character recognition. These phases the line of text, then the words are segmented from the
include pre-processing, segmentation, normalization, future segmented line and then from that the characters are
extraction, classification and post processing. For designing segmented.
an effective application related to the OCR, we must be Document segmentation is a major pre-processing phase in
considering the difficulties that may arise in each phase to implementing an OCR system. It is the process of classifying
obtain high character recognition rate. a document image into homogeneous zones, i.e., that each
zone contains only one kind of information, such as text, a
A. Pre-processing Phase figure, a table, or a halftone image. In many cases, the
The aim of pre-processing is to eliminate undesired accuracy rate of systems related to the OCR heavily depends
characteristics or noise in an image without missing any on the accuracy of the page segmentation algorithm used.
significant information. Preprocessing techniques are needed There are three categories of Algorithms of document
on color, grey-level or binary document images containing segmentation [7] As follows:
text and/or graphics. Since processing color images is  Top-down methods,
computationally more expensive, most of the applications in  Bottom-up methods,
character recognition systems utilize binary or grey images.  Hybrid methods.
Preprocessing reduces the inconsistent data and noise. It The top-down approach in a document segments large
enhances the image and prepares it for the next phases in OCR regions into smaller sub regions recursively. When criterion is
phases. met then the document segmentation process will stop and at
Thus, since preprocessing controls the suitability of the that stage the ranges obtained constitute the results of final
input for the successive phases, a primary stage prior to segmentation. But, approaches of bottom-up start by searching
feature extraction phase is the preprocessing phase. Most of for interest pixels and then groups interest pixels. They then
the challenges we listed in OCR Challenges’ section need to manage those interest pixels into connected components that
be addressed in preprocessing stage. Some operations that we constitute characters which are then combined into words, and
may consider to carry out can be listed as follows: binarization, lines or text blocks. The integration of both top-down and
noise reduction, skew correction, morphological operations, bottom-up methods is called hybrid approaches.
slant removal, filtering, thresholding, smoothing, compression, Regarding different aspects of OCR system throughout the
and thinning. Some important preprocessing issues with short last decades many approaches have already been proposed for
description were illustrated in Table I. segmentation.
TABLE I
A novel technique for Text Segmentation based on A
SOME IMPORTANT PRE-PROCESSING OPERATIONS Hough Transform, was proposed by Satadal Saha, Subhadip
Basu, Mita Nasipuri and Dipak Kr. Basu [8].
Processes Description Extracting Text line from multi skewed handwritten
document images has been studied by S. Basu et al [9]. The
Binarization Separates image pixels as text or background. proposed technique for extraction of text lines implements a
Better improvements of image acquisition water flow technique with high rate of success.
Noise Reduction devices produced by the advancements in A. Khandelwal et al [10] proposed a technique by
technology. comparing neighborhood connected components on text line
Because of the possibility of rotation of the segmentation from unconstrained handwritten document
Skew Correction input image through captured image device, images.
document skew should be corrected.
Shinde, Archana A., and D. G. Chougule also proposed a
Morphological Adding or removing pixels to the characters segmentation technique in their paper [11]. They presented
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that utilizing the traditional vertical and horizontal projection OCR systems broadly utilize the methodologies of pattern
profile method makes text easily segmented into lines and recognition, which assigns each example to a predefined class.
words. They reported experimental results with 98% accuracy Classification is the procedure of distributing inputs with
of line and word segmentation. respect to detected information to their comparing class in
order to create groups with homogeneous qualities, while
C. Normalization Phase segregating different inputs into different classes.
As a result of segmentation process isolated characters Classification is conveyed out on the premise of put away
which are ready to move through feature extraction phase are features in the feature space, for example, structural features,
obtained, hence the isolated characters are minimized to a global features and so forth. It can be said that classification
particular size depending on the algorithms used. The isolates the feature space into several classes taking into
segmentation process is crucial as it converts the image in the account the decision rule. Choosing classifier depends on
form of m*n matrix. These matrices are then commonly several agents, such as, number of free parameters, available
normalized by minimizing the size and eliminating the training set and so forth. Various procedures for OCR are
unnecessary information from the image without missing any explored by the scientists.
influential information [12]. Techniques of OCR classification can be categorized [19]
as Statistical Techniques, Neural Networks, Template
D. Feature Extraction Phase Matching, Support Vector Machine (SVM) algorithms, and
Feature extraction is the operation of extracting the Combination of classifier.
pertinent features from objects or alphabets to build feature 1) Template matching: This is the least complex method for
vectors. These feature vectors are then utilized by classifiers character recognition, in view of matching the stored models
to identify the input unit with objective output unit. It against the word or character to be perceived. By gathering of
becomes effortless for the classifier to classify between shapes, pixels, curvature and so forth, the operation of
dissimilar classes by glancing at these features as it becomes matching decides the level of similitude between two vectors.
fairly easy to determine [13]. A gray-level or binary input character is contrasted with a
Several techniques are proposed for extracting features standard arrangement of stored models. The recognition rate
from the segmented characters in literature. U. Pal et al [14] of this strategy is extremely delicate to noise and input
have proposed directional chain code features and zoning and disfigurement.
for handwritten numeral recognition considered a feature
vector of length 100 and have presented a high level of 2) Statistical Techniques: Hypothesis of Statistical decision is
recognition accuracy. But, the feature extraction process is treating with statistical decision capacities and an arrangement
time consuming and complex [13]. of optimality criteria, which for a given model of a specific
Dinesh et al [15] have proposed end points as the potential class can amplify the likelihood of the observed pattern. The
features for recognition and used horizontal/vertical strokes main statistical methods that are performed in the area of OCR
and for handwritten Kannada numerals obtained a recognition [19] are Nearest Neighbor (NN), Likelihood or Bayes
accuracy of 90.50%. But, this method uses the thinning classifier, Clustering Analysis, Hidden Markov Modelling
process which results in some loss of features [13]. (HMM), Fuzzy Set Reasoning, and Quadratic classifier.
E. Srinivasan et al [13] for handwritten alphabets 3) Neural Networks: Character classification issue is
recognition system have proposed diagonal based feature identified with heuristic rationale as people can perceive
extraction utilizing neural network. characters and records by their learning and experience. Thus
Sharma, Om Prakash et al [16] for handwritten alphabets neural networks which are pretty much heuristic in nature are
recognition proposed an improved zone based hybrid feature greatly appropriate for this type of issue [19]. A neural
extraction model utilizing Euler number. network is an ascertaining architecture that includes
Following to Suen [17], there are two major classes of enormously parallel interconnection of flexible node
features: statistical features and structural features. In a processors. Output from one node is reinforcing to the next
character matrix statistical features are obtained from one in the network and an official choice relies on the
statistical distribution of every point such as zoning, moments, complicated collaboration of all nodes. As a result of its
crossings, fourier transforms and projection histograms [18]. similar character, it can apply calculations at a rate higher
Statistical features are also notable as global features as they contrasted with the traditional strategies. Feed-forward neural
are usually averaged and extracted in sub-images such as networks and feedback neural networks can be thought as
meshes. Initially, statistical features are supplied to recognize categorization of neural network architectures. Table II,
machine printed characters. On the other hand, structural or compares and discusses some recent proposed OCR
topological features are concern to the geometry of the applications based on Neural Network.
character set to be contemplated. Some of these features are
convexities and concavities in the characters, number of holes TABLE III
ACCURACY COMPARISON AMONG RECENT PROPOSED OCR SYSTEMS BASED
in the characters, number of end points etc. ON NEURAL NETWORK
E. Classification Phase Accuracy

Author(s) OCR Application
%
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chassis-number A. Handwriting Recognition

Shah, Parul, et al [20] recognition 95.49
Handwriting recognition is the capacity of a PC to get and
Automatic Number Plate translate intelligible handwritten data from sources, for
Zhai, Xiaojun, et al [21] Recognition ANPR 97.3
example, paper records, photos, touch-screens and different
Shamsher, Inam, et al OCR for printed Urdu gadgets.
script 98.3
[22]
B. Receipt Imaging
classification and
Yetirajam, Manas, et al Recognition of broken Receipt imaging [27] is broadly utilized as a part of
68.33
[23] characters numerous organizations applications to monitor financial
records and keep accumulation of payments from heaping up.
In government offices and autonomous organizations, OCR
simplifies information gathering and analysis, among different
4) Kernel Methods: While the most imperative kernel procedures.
strategies are support Vector Machines, techniques such as
Kernel Fisher Discriminant Analysis (KFDA) and Kernel C. Legal Industry
Principal Component Analysis (KPCA) also employ kernel Legal industry [27] is likewise one of the recipients of the
method. Support vector machines (SVM) are one of the most OCR innovation. OCR is utilized to digitize documents, and
widely used and most effective supervised learning techniques to specifically enter into PC database. Legitimate experts can
that can be used for binary or multi-class classification. In further search documents required from tremendous databases
classification techniques, by convention the data set first is by basically writing a few keywords.
partitioned into training and testing sets. The objective of
SVM is to deliver a model, which predicts the output of the D. Banking
test set [24]. Width of the edge between the classes is the Another imperative use of OCR is in banking [27], where it
enhancement rule, i.e., the unfilled zone around the decision is utilized to process cheques without human intervention. A
boundary characterized by the interval to the closest training cheque can be embedded with a machine where the
example [25]. framework filters the sum to be issued and the right measure
5) Combination Classifier: Different classification strategies of cash is exchanged. This innovation has been idealized for
have their own particular advantages and shortcomings. Thus printed cheque, and is genuinely precise for handwritten
ordinarily various classifiers are consolidated together to solve checks diminishing the hold-up time in banks.
a given classification problem. Matei, Oliviu, Petrica C. Pop, E. Healthcare
and H. Vălean [26] by utilizing neural networks and k-Nearest
Neighbor, proposed Optical character recognition in real To process printed material, medicinal services [27] have
environments such as electricity-meters and gas-meters. likewise seen an expansion in the utilization of OCR
innovation. Medicinal service experts continuously need to
F. Postprocessing Phase manage extensive volumes of documents for each patient,
It has been shown that people can read handwriting by including protection frames and in addition general health
context up to 60%. While preprocessing tries to clean the forms. To stay aware of every one of this data, it is valuable to
record in a specific sense, it might evacuate critical data, since input relevant information into an electronic database. With
the context data is not accessible at this stage. On the off OCR processing tools, we can extract data from structures and
chance that the semantic data were accessible to a specific put it into databases, so that each patient's information is
degree, it would contribute a considerable measure to the quickly recorded and retrieved when needed in future.
precision of the OCR stages. On the other hand, the whole F. Captcha
OCR issue is for deciding the context of the saved image. In
this way the incorporation of context and shape data in all the A CAPTCHA [28] is a system that can create and grade
phases of OCR frameworks is vital for meaningful upgrades tests that human can pass yet current software technology
in recognition rates. This is done in the Postprocessing stage can't. Malicious programmer can make software to misuse
with an input to the early phases of OCR. The least complex personal information on websites. Dictionary attack is assault
method for consolidating the context data is the usage of a against secret word confirmed frameworks where a
dictionary for amending the minor errors of the OCR programmer composes a system to over and over attempt
frameworks. The fundamental thought is to spell check the distinctive passwords like from dictionary of most regular
OCR yield and give a few distinct options for the yields of the passwords. In CAPTCHA, a picture comprising an
recognizer that take place in the dictionary. arrangement of letters and numbers is produced with variety
of size and textual styles, distracting backgrounds, arbitrary
IV. OCR APPLICATIONS portions, highlights and noise so that text cannot be read via
Optical character recognition has been performed in a OCR. Current OCR frameworks can be utilized to evacuate
numerous of applications. We discussed some of these the noise and portion the picture to make the picture tractable
application areas in this section. by such malicious users.
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G. Automatic Number Plate Recognition [9] Basu, Subhadip, et al. "Text line extraction from multi-skewed
handwritten documents." Pattern Recognition 40.6 (2007): 1825-1839.
Automatic number plate recognition [29] is utilized as a [10] Khandelwal, Abhishek, et al. "Text line segmentation for
mass observation method making utilization of optical unconstrained handwritten document images using neighborhood
connected component analysis." International Conference on Pattern
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registration plates. ANPR has additionally been made to store 2009.
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caught from license plate. ANPR innovation own to plate Text Segmentation for OCR." International Journal of Computer
Science Engineering and Technology (2012): 810-812.
variety from place to place as it is an area particular [12] Trier, Øivind Due, Anil K. Jain, and Torfinn Taxt. "Feature extraction
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a technique for electronic toll accumulation on pay-per-use (1996): 641-662.
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network." Electronics Computer Technology (ICECT), 2011 3rd
V. CONCLUSIONS
International Conference on. Vol. 4. IEEE, 2011.
Numerous algorithms, methods and techniques have been [14] Bishnu, Arijit, et al. "A pipeline architecture for computing the Euler
proposed to optical character recognition in scene imagery, number of a binary image." Journal of Systems Architecture 51.8
(2005): 470-487.
yet there are not enough literature surveys in this field. In this [15] Dinesh Acharya, U., and N. V. Subbareddy. "Krishnamoorthy: Isolated
paper, we have proposed an organization of these methods, Kannada Numeral Recognition Using Structural Features and K-
algorithms and techniques. It is hoped that this comprehensive Means Cluster." Proc. of IISN (2007): 125-129.
survey will provide insight into the concepts involved, and [16] Sharma, Om Prakash, M. K. Ghose, and Krishna Bikram Shah. "An
improved zone based hybrid feature extraction model for handwritten
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[4] Moravec, Kimberly. "A Grayscale Reader for Camera Images of Xerox recognition in real environments using neural networks and k-nearest
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An Analysis on the Comparison of the Performance and

Configuration Features of Big Data Tools Solr and
Elasticsearch
Mustafa Ali AKCA#, Tuncay AYDOĞAN+, Muhammer İLKUÇAR*
#
Süleyman Demirel University, Faculty of Education, Isparta, TURKEY
mustafaakca@sdu.edu.tr
+
Süleyman Demirel University, Faculty of Technology, Isparta, TURKEY
tuncayaydogan@sdu.edu.tr
*
Mehmet Akif Ersoy University, Vocational School of Technical Sciences, Burdur, TURKEY
imuammer@mehmetakif.edu.tr
Abstract— Today, every kind of text, audio and visual data, the data which can be regarded as Big Data. It was observed
which are thought to be transformed into pieces of that Big Data tools and techniques that are used in processing
information, are stored for long periods of time for processing. this data provided better performance results in comparison
The concept of Bid Data is not only associated with the data with traditional tools and techniques [3].
stored, but also with the system involving hardware and
software that collects, processes, stores, and analyzes the data. One of these tools is Solr which is an open source, Java-
As the data grows bigger, their physical storage options must based tools that uses Apache Lucene search library and it can
be provided in a distributed architecture. be used on servers such as Tomcat, Jetty, etc. [4]. According
Solr and Elasticsearch are among the most preferred tools to July, 2016 figures of DB-Engines Ranking of Search
which makes this storage process easier. As a part of Apache Engines, Solr is the second most popular search engine
Lucene project, Solr is a software which was started to be software [5]. With its 5th version, Solr has become a separate
developed in 2004 with the searching features of full text, software instead of being a Java package [6].
multiple search, dynamic clustering, database-integrated, open
source and elasticity. Similarly, Elasticsearch is a new open- Elasticsearch is one of the other tools that is used in
source tool for real-time, full-text and distributed search, analyzing and process Big Data. It is an open-source, Lucene-
which was launched in 2010 using the Lucene library. based content search and analysis tool that was developed in
Although Solr and Elasticsearch have similar features, there Java. This tool, which began to be developed in 2010, is used
are many parameters that differentiates one from the other by many domestic/foreign organizations. It is also a tool that
such as intended use, type of use, and query and indexing can be set up in Cloud servers purchased through Google For
performances. This study researches and analyzes the Works, and it is in a sense supported by Google [7].
differences between Solr and Elasticsearch with regards to According to July, 2016 figures of DB-Engines Ranking of
their query and indexing speeds, ease and difficulties of use, Search Engines, Elasticsearch is the most popular search
configuration forms, and architectures in light of the literature, engine software [5].
and the results are discussed regarding these tools’
performances. Because of the fact that both of Solr and Elasticsearch
tools are based on Apache Lucene library, and they have
Keywords— big data, elasticsearch, solr similarities between the intended use and methods, supported
protocols, and coding languages, today they are compared and
I. INTRODUCTION contrasted by users in different categories. Users try to decide
Huge amount of data stack which cannot be stored nor which one is the best tool for them based on their own needs
processed by traditional methods is called Big Data [1]. Based and system requirements.
on the fact that most of the smart devices communicate on the
Internet and the technological devices and computers will This study, therefore, collects comparative data conducted
communicate through cloud computing, it is easy to predict so far between Solr and Elasticsearch. These collections
that much bigger data is to be produced in the future [2]. It is involve technical configurations, performance tests, etc. This
impossible to store, process, and analysis this big data by study is thought to contribute to software developers in using
conventional tools. Therefore, many tools were developed for Solr and Elasticsearch.
____________________________________________________________________________________________________________
380
_____________________________________________________________________________________________________________
II. SOLR B. How to Use Solr

Solr is an open source enterprise search platform, written in After the installation of Solr, some sample data sets in
Java, from the Apache Lucene project an its major features “exampledocs” file can be used. A sample data file is as
include full-text search, hit highlighting, faceted search, real- follows:
time indexing, dynamic clustering, database integration, TABLE I
SAMPLE DOCUMENT
NoSQL features and rich document (e.g., Word, PDF)
handling [6][8]. TWINX2048-3200PRO
CORSAIR XMS 2GB (2 x 1GB) 184-Pin DDR SDRAM
A. Technical Specifications of Solr Unbuffered
Corsair Microsystems Inc.
Each data in Solr is named as Document. A simple analogy
corsair
between Solr and Java Database is as follows:
electronics
memory
Java Class = Solr Document
CAS latency 2, 2-3-3-6 timing, 2.75v
Java Class Attribute = Document Field
185
and
5
Database table = Solr Document
true
Column in the database table = Document Field
37.7752,-122.4232
2006-02-13T15:26:37Z
A Solr Document can be generated by method of creating a
electronics|6.0 memory|3.0
table in a database or building a Java class.
Data indexed by Solr provides a fast response based on query

VS1GB400C3
type through Request method on HTTP. In addition that query
CORSAIR ValueSelect 1GB 184-Pin
results can be instantly listed on the screen, one can also print
Corsair Microsystems Inc.
out in XML, JSON, CSV, etc. formats.
corsair
electronics
Solr uses Lucene library in indexing, analyzing, and searching
memory
processes, which involves filtering on existing structures,
74.99
faceting, caching, and distributed architecture support. While
7
Solr can be used as an API server similar to REST, it can also
true
operate on protocols that are supported by HTTP/XML or
37.7752,-100.0232
JSON coding languages. Additionally, it supports libraries
2006-02-13T15:26:37Z
that work independently in Java and enables specifications.
electronics|4.0 memory|2.0
Rules regarding the Documents designed in Solr are stored in
Schema.xml file. There are <field> settings in Schema file Data in Table 1 can be listed by the following methods on
which corresponds to “column” in traditional databases. These sonar browser after indexed in Solr.
settings are composed of the parameters of field name,
whether it is indexed in Solr search, whether it is stored and Request:
responds to findings, whether it is multi valued, and what type
of data it includes [9]. http://localhost:8983/solr/select?q=*:*&wt=json
A sample schema file involves the following data: - Lists all data
- wt=json Listed in JSON format
<field name="id" type="string" indexed="true"
stored="true" required="true" multiValued="false" /> Request:
<field name="sku" type="text_en_splitting_tight"
indexed="true" stored="true" omitNorms="true"/> http://localhost:8983/solr/select?q=id:VS1GB400C3&wt=json
<field name="name" type="text_general" indexed="true" &fl=id,name
stored="true"/>
<field name="manu" type="text_general" indexed="true" - Lists data with VS1GB400C3 id parameter value
stored="true" omitNorms="true"/>. - wt=json Listed in JSON format
- fl=id,name Lists only id and name information in
results page.
____________________________________________________________________________________________________________
381
_____________________________________________________________________________________________________________
III. ELASTICSEARCH TABLE II

SAMPLE OF ADDING DATA
Elasticsearch is also another distributed and open-source mustafa:~ mustafa$ curl -XPUT
analysis and search tool which was developed using Lucene localhost:9200/deneme/article/1 -d '
library. It was designed for Scalability, security, and easy >{
management. By means of its query language that indexes > title: "ElasticSearch",
structural and non-structural, and time-based data, provides > content: "ElasticSearch is developed in Java, open source,
rapid search and powerful analysis capabilities. lucene-based, scalable full-text search engine and data
analysis tool.",
A. Technical Specifications of Elasticsearch > date: "2016-07-07T12:00:00",
> author: "Mustafa Ali AKCA"
Elasticsearch is a document-based tool. Each entry in > }'
Elasticsearch is a structured JSON document. In other words, {"ok":true,"_index":"deneme","_type":"article","_id":"1","_ve
each data sent to Elasticsearch for indexing is a JSON rsion":1}
document [10]. It is necessary to know some basic concepts to
understand the structure of Elasticsearch. These are as follows: Through commands shown in Table II, type 1 id data named
“article” found in “deneme” index was added. Command and
Index: An index is like a database in a relational database. query result in order to query this command is shown in Table
Each Elasticsearch index is a structured JSON document. III.
Type: A type is like a table in a relational database. TABLE III

Elasticsearch indexes can include more than one type. QUERY SAMPLE
mustafa:~ mustafa$ curl -XGET
Mapping: This is the process of managing how the data localhost:9200/deneme/article/1?pretty=true
transferred types on indexes should be handled. It is equal to {
identification of data type (string, integer, double, boolean) "_index" : "deneme",
before adding the data in the traditional databases. "_type" : "article",
Elasticsearch automatically realizes mapping based on the "_id" : "1",
data, and however this can also be done manually. "_version" : 1,
"exists" : true, "_source" :
Shard/Sharding: It is the horizontal distributing of data to {
other machines on the network in database technologies. title: "ElasticSearch",
Thanks to sharding technology, data can be divided into content: "ElasticSearch is developed in Java, open source,
pieces based on the existing physical facilities. Elasticsearch lucene-based, scalable full-text search engine and data
divides indexes into 5 shards by default to store them. analysis tool.",
date: "2016-07-07T12:00:00",
Replica: A replica is a copy of the primary shard. It is mainly author: "Mustafa Ali AKCA"
used to prevent data loss in index documents as well as to }
distribute the load of the indexes in distributed database }
architectures. Elasticsearch indexes creates one copy of each
shard document when they are created at first. While using Elasticsearch indexes, curl library can be used in
addition to “Sense” plugin in Google Chrome.
Schema: Being schema-free, Elasticsearch automatically
realizes index, type, filed type descriptions and does not Elasticsearch provides client support for many platforms
require the users to do so. including Java, Ruby, PHP, Python, and .NET, and it can be
managed through coding languages of these platforms.
Elasticsearch can be managed by JSON commands over
HTTP with RESTful API. Thereby, it can operate on many
coding languages with no problem.
B. How to Use Elasticsearch

Elasticsearch can be used in computers with JVM installed
after downloading. It does not require configuration for first
use. Data adding/query can be conducted on curl (client URL
library) as it is for RESTful API.
____________________________________________________________________________________________________________
382
_____________________________________________________________________________________________________________
IV. TECHNICAL COMPARISON BETWEEN SOLR AND C. Data and Distributed Architecture
ELASTICSEARCH
A. Overview Data storage, data processing, and distributed architecture
Table IV provides a general overview for the features of features of Lucene-based Solr and Elasticsearch are found in
Solr and Elasticsearch tools. Table VI.
TABLE IV TABLE VI
OVERVIEW DATA AND DISTRIBUTED ARCHITECTURE
Solr Elasticsearch Solr Elasticsearch
Inital Release 2004 2010 Distributed Architecture Supports Supports
Current Release 6.1.0 June 2016 2.3.3, May 2016 Sharding Yes Yes
Licence Open Source Open Source Replication Yes Yes
Database as a Shard Splitting Yes No
No No Changing Number of Yes No
Service
SQL No No Shards
Implementation Relocating Yes Yes
language Java Java Routing Yes No
Schemaless Yes (After 4.4) Yes
All OS with a Map Reduce No No
Java VM and a Automatic Shard No Yes
Server operating All OS with a Java Rebalancing
servlet container
systems VM Distributed Group By Yes No
(Tomcat, Jetty,
etc)
Based Apache Lucene Apache Lucene
Plugin Needed D. Searching and Indexing
(Bigdesk, Kopf,
Embedded
Admin Interface ElasticHQ, Solr and Elasticsearch have different indexing and searching
Available
Paramedic, Marvel, features based on their basic structures and the plugins
etc) developed by users (see Table VII).
B. Access and Data Processing TABLE VII

SEARCHING AND INDEXING [11]
Detailed data can be found in Table V regarding the
comparison between Solr and Elasticsearch based on their Solr Elasticsearch
data processing methods and direct or indirect access.
Custom Analyzers
Yes Yes
TABLE V
and Tokenizers
ACCESS AND DATA PROCESSING Multiple Indexes Yes Yes
Solr Elasticsearch Realtime
Access RESTful http Yes Yes
RESTful http API, Java API Search/Indexing
Methods API, Java API Multiple
.Net, Erlang, document types No Yes
Clojure, Cold Fusion, Erlang,
Java, per schema
Go, Groovy, Haskell, Java,
Supported JavaScript
Javascript, kotlin, .NET, Schema Changes Yes Yes
client (XML or
Ocaml, Perl, PHP, Phyton, R,
language JSON), Perl, Field Copying Yes Yes
Ruby, Scala, Smalltalk,
PHP, Python,
Vert.x Distributed Search After 2012 Yes
RubyScala
Wikipedia, MongoDB, Term Vectors API Yes Yes
CouchDB, RabbitMQ, RSS,
Sofa, JDBC, Filesystem, Autocomplete Yes Yes
JDBC,
Dropbox, ActiveMSQ, Highlighting Yes Yes
Data MySQL, CSV,
LDAP, Amazaon SQS, St9,
Import XML, Tika, Structured Query
OAI, Twitter, DynamoDB, No Yes
URL, Flat File DSL
Git, GitHub, Hazelcast, JMS,
Kafka, neo4j, Redis, Solr,
St9, Subversion
____________________________________________________________________________________________________________
383
_____________________________________________________________________________________________________________
V. PERFORMANCE COMPARISON BETWEEN SOLR regarding Solr and Elasticsearch nodes. As seen in Figure 1, it
AND ELASTICSEARCH was found out that most of the Elasticsearch queries were
completed between 0.10 sec and 0.22 sec as a result of 1000
One of the issues that Solr and Elasticsearch tools are search inquiries sent to nodes. The same test provided the
compared most is their performance figures. Even though results of 0.12 sec and 0.54 sec for Solr tool. [13].
these tools are quite similar to one another in terms of being
Lucene-based, different figures can be obtained related to
their performance. In studies on performance comparisons, it
was found out that Solr and Elasticsearch do not greatly have
superiority over each other [12][13]. However, sometimes
Solr had better performance over Elasticsearch based on
intended use, place of use, and changes in some parameters,
and vice versa. In this part of this study, some of the
performance results conducted so far on Solr and
Elasticsearch are listed.
A. Flax.co.uk Tests
Flax.co.uk design, build and support open source powered
search applications based in Cambridge U.K. Flax has
completed many performance tests on Solr and Elasticsearch.
Cluster specifications used in a test are as follows: Fig. 1 Search Test [15]
 Two machines, each with 96GB RAM C. Search Test with Indexing Load
 Two instances of SolrCloud or Elasticsearch on each
 Each instance has 24GB JVM heap In the second test, servers were requested to operate search
 Four shards inquiries while engaged in indexing process. These tests were
 No replicas also conducted with 20 million entries on servers with similar
features. As seen in Figure 2, Elasticsearch had results varying
In the first stage of this test, a data consisting of 40 million between 0.14 sec and 0.34 sec, Solr completed search inquiry
pieces with 5 to 20 words was created. The results of Solr and between 0.24 sec and 0.68 sec. Elasticsearch was slightly
Elasticsearch indexes are listed below: better than Solr in search tests with indexing load.
 Elasticsearch indexed them in 30 minutes

 Total index size was 8.8 GB (easily cacheable)
 Solr indexed them in 43 minutes
 Total index size was 7.6 GB
Then, a data consisting of 40 million pieces with 200 to 1000

words was indexed. The results of Solr and Elasticsearch
indexes are listed below:
 Elasticsearch indexed them in 179 minutes

 Total index size was 363 GB (not completely
cacheable)
 Solr indexed them in 119 minutes
 Total index size was 226 GB
Based on these results, it can be concluded that Elasticsearch Fig. 2 Search Test with Indexing Load [15]
performs better with short documents, while Solr had better
performance with long documents.
B. Search Test with Indexing

In another study, the first test was designed for conducting a
search on servers with similar features (4 nodes, 4 index
shards, no replication, 16 GB per node) with 20 million
documents. In this process, no extra procedure was followed
____________________________________________________________________________________________________________
384
_____________________________________________________________________________________________________________
D. QPS Test
TABLE VIII
Queries per second (QPS) is a common measure of the
DB-ENGINES JULY, 2016 FIGURES
amount of search traffic an information retrieval system, such
as a search engine or a database, receives during one second Jul Jul Jul Jun Jul
DBMS
[14]. 2016 2015 2016 2016 2015
88.6
1. 2. Elasticsearch 2 +1.21 +18.46
64.6
2. 1. Solr 9 +0.63 -14.59
46.6
3. 3. Splunk 5 +1.42 +5.00
4. 4. MarkLogic 9.75 +0.19 -1.38
5. 5. Sphinx 8.05 -0.28 -1.68
Taking a look at the July 2016 figures published by most-

Fig. 3 QPS Test [15] respected DB-Engines web site by database users,
Elasticsearch use/liking has increased compared to the
In QPS test conducted between Elasticsearch and Solr, previous year, and it moved ahead of Solr (see Table VIII).
indexing was continued as a continuation of the previous test.
QPS figures were measured for both tools while indexing Considering the previous studies in literature and the technical
process was active. As seen in Figure 3, Elasticsearch reached data and performance tests of this study, it is seen that Solr
at 30 QPS speed, while Solr was remained at 15 QPS speed and Elasticsearch were better than one another on different
when sent similar search requests. tests. These comparison results obtained through this study
and the other studies conducted in literature are as follows:
In another QPS test conducted with 40 million pieces of data
(between 200 and 1000 words), it was observed that Solr had  They are similar tools in terms of technical
better performance (Figure 4) [12]. features.
 Elasticsearch supports more coding language than
Solr.
 Solr uses less disk space considering the size of
data after indexing.
 Regarding the indexing duration, Elasticsearch
had better performance in short data, while Solr
was better in long data.
 Both tools are rapid search tools.
 Close performance results were obtained in many
different studies.
 Solr and Elasticsearch may have quite different
Fig. 4 QPS Test performance characteristics in certain cases [12]
 QPS speed might vary depending on the type of
data.
VI. CONCLUSIONS  It is quite hard to predict which one will have
Solr and Elasticsearch are two similar search platforms which higher performance before the tests.
are both Lucene-based, has similar coding languages, intenden  If a choice shall be made between these two search
use and styles. Solr is one of the search tools that could engines, it is necessary to conduct a test based on
maintained its popularity even in today’s world. the purpose of work.
Elasticsearch, one the other hand, was developed as a way of

completing the deficiencies of Solr, and it had a significant
place in markets in such a short span of 6 years (2010-2016).
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385
_____________________________________________________________________________________________________________
ACKNOWLEDGMENT [7] M.A. Akca, T. Aydoğan, “Elasticsearch Yük Dengeleme Işleminin

Manuel Yapılandırılması Ve Başarım Ölçümü İçin Yazılım
We deeply send our regards and thanks to DB-Engines.com, Geliştirilmesi”, “Selcuk University, Journal of Engineering, Science &
www.solr-vs-elasticsearch.com, and ww.Flax.co.uk web sites Technology, 4/2, 121-130, 2016
for the information they shared with us regarding the [8] Solr, “http://lucene.apache.org/solr”, Last Access : 13.07.2016
[9] Solr’a Giriş ve Solarium, http://www.sonsuzdongu.com/blog/solr-a-
collection of technical data and performance tests about Solr giris-ve-solarium, Last Access : 13.07.2016
and Elasticsearch. [10] H. Akdoğan, “Elasticsearch”,
https://blog.kodcu.com/2013/08/elasticsearch/, Last Access :
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Tiruchengode, India, 2013. [13] Tom, “Elasticsearch vs Solr Performance”,
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13.07.2016
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386
_____________________________________________________________________________________________________________
Classification of Heuristic Information by Using

Machine Learning Algorithms
Murat KOKLU 1, Kadir SABANCI 2, M. Fahri ÜNLERŞEN 3
1
Selcuk University, Faculty of Technology, Computer Engineering,
Konya, TURKEY, mkoklu@selcuk.edu.tr
2
Karamanoglu Mehmetbey University, Faculty of Engineering, Department of Electrical and Electronics Engineering,
Karaman, TURKEY, kadirsabanci@kmu.edu.tr
3
Necmettin Erbakan University, Faculty of Engineering, Department of Electrical and Electronics Engineering,
Konya, TURKEY, unlersen@yandex.com
Abstract— The User Knowledge Modelling dataset in the UCI measures taken by the university, and the ‘high-risk’ students,
machine learning repository was used in this study. The students who have a high probability of failing (or dropping out). The
were classified into 4 class (very low, low, middle, and high) due to fact that the most significant variables correlated to academic
the 5 performance data in the dataset. 258 data of 403 data in the success have been provided among all the questions asked to
dataset were used for training and 145 of them were used for tests.
533 first-year university students during the month of
The Weka (Waikato Environment for Knowledge Analysis)
software was used for classification. In classification Multilayer November of academic year 2003-04. Finally, it presents the
Perceptron (MLP), k Nearest Neighbour (kNN), J48, NativeBayes, results of the application of discriminant analysis, neural
BayesNet, KStar, RBFNetwork and RBFClassifier machine networks, random forests and decision trees aimed at predicting
learning algorithms were used and success rates and error rates those students' academic success [3]. Vera et al. (2012) have
were calculated. In this study 8 different data mining algorithm proposed a genetic programming algorithm and different data
were used and the best classification success rate was obtained by mining approaches for solving these problems using real data
MLP. With Multilayer perceptron neural network model the about 670 high school students from Zacatecas, Mexico. They
classification success rates was calculated when there are different also propose to use a genetic programming model versus
number of neurons in the hidden layer of MLP. The best
different white box techniques in order to obtain both more
classification success rate was achieved as 97.2414% when there
was 8 neurons in the hidden layer. MAE and RMSE values were comprehensible and accuracy classification rules. They have
obtained for this classification success rate as 0.0242 and 0.1094 shown that some approaches such as selecting the best
respectively. attributes, cost-sensitive classification, and data balancing can
also be very useful for improving accuracy [4]. Sen et al. (2012)
Keywords— Machine learning, Weka, MLP, kNN, J48 developed models to predict secondary education placement
test results, and using sensitivity analysis on those prediction
I. INTRODUCTION models using a large and feature rich dataset from Secondary
Data mining is an interdisciplinary subfield of computer Education Transition System in Turkey. The Support Vector
science. It is the practice of automatically searching large stores Machines, Artificial Neural Networks and Logistic Regression
of data to discover patterns and trends that go beyond simple models have been used for prediction and results were
analysis. Data mining uses sophisticated mathematical presented [5].
algorithms to segment the data and evaluate the probability of In this study, the User Knowledge Modelling dataset
future events. Data mining is also known as Knowledge obtained from UCI Machine Learning Repository have been
Discovery in Data (KDD) [1]. used for classification. In this dataset, there are 5 attributes that
Educational data mining (EDM) is defined as the area of used for determining the students' educational status in 4 class
scientific inquiry centered around the development of methods as very low, low, middle, high. For classification 8 machine
for making discoveries within the unique kinds of data that learning algorithm have been used. The obtained success rates
come from educational settings, and using those methods to and error values by those algorithms, have been compared.
better understand students and the settings which they learn in
[2]. Many studies in the literature have been proposed to
explore the relationship between successes of the students and Software-WEKA
his/her culture, habits, life style, family structure etc.
Weka (Waikato Environment for Knowledge Analysis)
Superby et al. (2006) have search a relation between
written in Java, developed at the University of Waikato, New
Academic failures and increase the number of debates among
Zealand [6]. Weka supports several standard data mining tasks,
first-year university students. They aims to classify, as early in
more specifically, data pre-processing, clustering,
the academic year as possible, students into three groups: the
classification, regression, visualization, and feature selection.
‘low-risk’ students, who have a high probability of succeeding,
All techniques of Weka's software are predicated on the
the ‘medium-risk’ students, who may succeed thanks to the
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assumption that the data is available as a single flat file or Given symptoms, the network can be used to compute the
relation, where each data point is described by a fixed number probabilities of the presence of various diseases [6].
of attributes (normally, numeric or nominal attributes, but some
other attribute types are also supported) [7]. Naive Bayes
Naive Bayes classifiers are highly scalable, requiring a
K-Nearest Neighbour Algorithm number of parameters linear in the number of variables
kNN is the supervised learning algorithm, solving the (features/predictors) in a learning problem. Maximum-
classification problems. Classification is to analyse of features likelihood training can be done by evaluating a closed-form
of image, and to belong it to the class which named in advanced. expression which takes linear time, rather than by expensive
The important thing is determination the features of each iterative approximation as used for many other types of
category in advance [8]. According to kNN algorithm that was classifiers [6].
used in classification, characteristics which extracted from
classification process, viewing the entire distance among new J48
individual which should be classified and earlier individuals J48 algorithm of Weka software is a popular machine
and then the nearest k category is used. As a result of that learning algorithm based upon J.R. Quilan C4.5 algorithm. All
process test data belongs to the nearest k neighbour category data to be examined will be of the categorical type and therefore
that has more members in certain class. The most important continuous data will not be examined at this stage. The
optimization problems in kNN method are identification of algorithm will however leave room for adaption to include this
neighbour’s number and method of distance calculation capability [6, 7].
algorithm. At the study identification of the optimum k number
is done by experiments and Euclidean Distance Calculations KStar
method was used as distance calculations method. K-star or K* is an instance-based classifier. The class of a
Euclidean calculation method [9]: test instance is based on the training instances similar to it, as
determined by some similarity function. It differs from other
instance-based learners in that it uses an entropy-based distance
function. [10].
xi and xj are two different points, and need distance calculation III. RESULTS AND DISCUSSION
process in between. 403 sample data at User Knowledge Modelling dataset were
processed by using Weka program. The classification success
Multilayer Perceptron rates at different neurons numbers in the hidden layers and
A multilayer perceptron (MLP) is a feed forward artificial MAE, RMSE error rates were determined. The diagram
neural network model that maps sets of input data onto a set of demonstrating the changes in MAE and RMSE error values
appropriate outputs. A MLP consists of multiple layers of nodes based on the number of neighbours in the hidden layer is
in a directed graph, with each layer fully connected to the next demonstrated in Figure 1.
one. Except for the input nodes, each node is a neuron (or TABLE I
processing element) with a nonlinear activation function. MLP THE SUCCESS RATE AND ERROR VALUES OBTAINED BY USING MLP
utilizes a supervised learning technique called back CLASSIFIER
propagation for training the network. MLP is a modification of
the standard linear perceptron and can distinguish data that are
not linearly separable [6].
RBF Network
It is an artificial neural network that uses radial basis
functions as activation functions. The output of the network is
a linear combination of radial basis functions of the inputs and
neuron parameters. Radial basis function networks have many
uses, including function approximation, time series prediction,
classification, and system control [6].
BayesNet
It is probabilistic graphical model (a type of statistical
model) that represents a set of random variables and their Fig. 1 Variation of error rate based on the number of neurons in hidden layer
conditional dependencies via a directed acyclic graph (DAG). The classification success of the state of eye same was
For example, a Bayesian network could represent the obtained by using kNN algorithm with the same dataset.
probabilistic relationships between diseases and symptoms. Classification success for different k neighbour values with
kNN algorithm in the state of the eye to be open or closed were
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obtained. In addition, the root mean square error (RMSE) and IV. CONCLUSION
the mean absolute error (MAE) values were found. The graph In this study, students have been classified about their
showing the variation of MAE and RMSE error values success in the school as very low, low, middle and high by
depended on number of neighbourhood in the classification using their daily habits. By this intention, popular data mining
made by kNN algorithm is shown in Figure 2. algorithms like kNN, MLP, J48, NaiveBayes, RBFNetwork,
RBFClassifier, BayesNet and Kstar, have been used and
compared with each other. At obtained classification success
rates, success rates made with kNN algorithm is seen to be
higher. At classification success rates obtained with kNN
algorithm, highest classification success was obtained for 3
neighbour values and this value is 87.5862%. At this neighbour
value, MAE error value is 0.1037 and RMSE error value is
0.2324. It is seen that classification success rates obtained by
using Multilayer perceptron model is too low for kNN classifier.
While the number of neurons in the hidden layer is 8, highest
classification success was obtained and this value is 97.2414%.
At this neurons number in the hidden layer, MAE error value is
0.0242 and RMSE error value is 0.1094.
The success rates obtained using J48, NaiveBayes,
Fig. 2 Variation of error rate based on the number of neighborhood RBFNetwork, RBFClassifier, BayesNet and Kstar
classification algorithms were found as 91.0345%, 84.8276%,
Then the same data was processed using J48, NaiveBayes,
93.7931%, 71.0345%, 86.8966% and 81.37935.respectively.
RBFNetwork, RBFClassifier, BayesNet, Kstar machine
learning algorithms and classification success rates and MAE
and RMSE error values of different tree types in the forest were REFERENCES
obtained. The success and error rates obtained using 8 different
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Naïve Bayes, Bayes Net, KStar) can be seen in Table I. The [2] B., Peterson, P., Baker, E. (Eds.) International Encyclopedia of
diagram demonstrating the error values obtained based on Education (3rd edition). Oxford, UK: Elsevier.
[3] Superby J. F., Vandamme J. P., Meskens N. Determination of factors
different machine learning algorithms can be seen in Figure 3.
influencing the achievement of the first-year university students using
data mining methods. In International conference on intelligent tutoring
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kNN 87.5862 0.1037 0.2324 [7] Rohit Arora and Suman, Comparative Analysis of Classification
J48 91.0345 0.0481 0.2092 Algorithms on Different Datasets using WEKA, International Journal of
NaiveBayes 84.8276 0.1173 0.2582 Computer Applications (0975 – 8887) Volume 54– No.13, September
RBFNetwork 93.7931 0.0411 0.1567 2012.
RBFClassifier 71.0345 0.2143 0.2988 [8] J. Wang, P. Neskovic, and L. N. Cooper, “Improving nearest neighbor
rule with a simple adaptive distance measure”, Pattern Recognition
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Letters, 28(2):207-213, 2007
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[10] John G. Cleary, Leonard E. Trigg: “K*: An Instance based Learner
Using an Entropic Distance Measure”, 12th International Conference on
Machine Learning, 108-114, 1995.
Fig. 3 Variation of error rate based on the machine learning algorithms
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Estimation of Credit Card Customers Payment Status

by Using kNN and MLP
Murat KOKLU 1, Kadir SABANCI 2
1
Selcuk University, Faculty of Technology, Computer Engineering,
Konya, TURKEY, mkoklu@selcuk.edu.tr
2
Karaman, TURKEY, kadirsabanci@kmu.edu.tr
Abstract— The Default of Credit Card Clients dataset in the UCI habits of two different culture may be investigated for
machine learning repository was used in this study. The credit similarity [3].
card customers were classified if they would do payment or not Data mining methods can be divided into three groups due
(yes=1 no=0) for next month by using 23 information about them. to their function.
Totally 30000 data in the dataset’s 66% was used for training and
1. Classification and Regression
rest of them as 33% was used for tests. The Weka (Waikato
Environment for Knowledge Analysis) software was used for 2. Clustering
estimation. In estimation Multilayer Perceptron (MLP) and k 3. Association Rules
Nearest Neighbour (kNN) machine learning algorithms was used Data mining methods are used to classifying the data set. In
and success rates and error rates were calculated. With kNN classification, training examples are used to learn a model that
estimation success rates for various number of neighbourhood can classify the data samples into known classes. The
value was calculated one by one. The highest success rate was classification process involves following these steps: creating a
achieved as 80.6569% when the number of neighbour is 10. With training data set, identifying class attributes and classes,
MLP neural network model the estimation success rates was identifying useful attributes for classification, relevance
calculated when there are different number of neurons in the
analysis, learning a model using training examples in the
hidden layer of MLP. The best estimation success rate was
achieved as 81.049% when there was only one neuron in the training set and using the model to classify the unknown data
hidden layer. MAE and RMSE values were obtained for this [4].
estimation success rate as 0.3237 and 0.388 respectively. In this study, an estimation about whether the payment for
next month is going to be done or not by the credit card clients
Keywords— Data mining, Weka, MLP, kNN in the default credit card clients data set with 23 attributes
obtained from the UCI Machine Learning Repository, have
I. INTRODUCTION been done. For estimation kNN and MLP algorithms have been
Credit card is a payment card issued to users (cardholders) used. The success rates and error values have been presented
as a method of payment. It allows the cardholder to pay for and compared with each other.
goods and services based on the holder's promise to pay for
them [1]. The issuer of the card (usually a bank) creates a
revolving account and grants a line of credit to the cardholder, Dataset
from which the cardholder can borrow money for payment to a
merchant or as a cash advance. For the banks the most In this study the default of credit card clients data set
important thing during credit card marketing is the payment obtained from UCI Machine Learning Repository have been
capability of customers. In this study a payment status used. This data set have been obtained from Credit cart
estimation have been proposed for credit card customers. For customers’ default payments in Taiwan. In this data set there
this purpose data mining algorithms have been used. are 23 attributes and a binary type class. These attributes and
Data mining is a computational process that reveals patterns descriptions are as follow [5].
in data sets by using such methods like artificial intelligence, X1: Amount of the given credit (NT dollar): it includes both
machine learning, statistics etc [2]. The methods used in data the individual consumer credit and his/her family
mining are investigated in two groups as predictive and (supplementary) credit.
descriptive. In predictive methods, a model is created by using X2: Gender (1 = male; 2 = female).
a dataset whose results are known. For Example in a bank, the X3: Education (1 = graduate school; 2 = university; 3 = high
properties of customers who pay their credits back can be school; 4 = others).
revealed and a model can be created by using previous data sets X4: Marital status (1 = married; 2 = single; 3 = others).
about funding of them. Afterward this model can be used on X5: Age (year).
new customers for determining the possibility of pay their X6 - X11: History of past payment from April to September,
credits back. In descriptive methods, a relationship can be 2005. The measurement scale for the repayment status is: -1 =
searched between two data sets. For example, the shopping pay duly or number of the delayed month.
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X12-X17: Amount of bill statement (NT dollar). III. RESULTS AND DISCUSSION
X18-X23: Amount of previous payment (NT dollar).
X24: Class (0 = No; 1 = Yes) In the study, WEKA software was used in order to estimate
the payment for next month is going to be done or not by the
Software-WEKA credit card. Using the kNN algorithm, the estimation success
rates of payment were obtained for different k-neighbour values.
Developed by Waikato University in New Zealand, WEKA Also, root mean square error (RMSE) and mean absolute error
is an open-source data mining software with a functional (MAE) values were obtained. The estimation success rates
graphical interface which incorporates machine learning obtained with kNN algorithm, and MAE and RMSE values can
algorithms [6]. WEKA includes various data pre-processing, be seen in Table 1. The diagram demonstrating the changes in
classification, regression, clustering, association rules, and MAE and RMSE error values based on the number of
visualization tools. The algorithms can be applied on the data neighbours in the estimation performed with the kNN algorithm
cluster either directly or by calling via Java code [7][8]. They is shown in Figure 1.
are also suitable for developing new machine learning
algorithms.
TABLE I
THE SUCCESS RATE AND ERROR VALUES OBTAINED BY USING KNN
Machine learning algorithms CLASSIFIER
K-Nearest Neighbor Algorithm: The k-NN is a supervised Estimation

Neighborliness
learning algorithm that solves classification problems. Success MAE RMSE
Number (k)
Classification is the examination of the attributes of an image (%)
and the designation of this image to a predefined class. The 1 73.3039 0.2673 .5168
important point is the determination of the features of each 2 78.4608 0.2727 0.4525
category in advance [9]. According to the kNN algorithm used 3 77.1176 0.274 0.4285
in the classification, based on the attributes drawn from the
4 79.3824 0.2731 0.4132
classification stage, the distance of the new individual that is
wanted to be classified to all previous individuals is considered 5 78.8627 0.2727 0.4049
and the nearest k class is used. As a result of this process, test 6 80.049 0.2733 0.4002
data belongs to the k-nearest neighbour category that has more 7 79.8725 0.2735 0.3961
members in a certain class. The most important optimization 8 80.3137 0.2742 0.394
problems in the kNN method are the identification of the 9 80.2843 0.2742 0.3913
number of neighbours and the method of distance calculation 10 80.6569 0.2743 0.3897
algorithm. In the study, the identification of the optimum k
number is performed with experiments, and the Euclidean
Distance Calculations method is used as a distance calculation
method.
Euclidean calculation method [10]:
xi and xj are two different points, and we need distance

calculation process in between.
Multilayer Perceptron: It is a feed forward type artificial

neural network model which maps input sets onto appropriate
output sets. A MLP is composed of multiple layers of nodes
where each layer is connected to the next. Each node is a
processing element or a neuron that has a nonlinear activation
function except the input nodes. It uses a supervised learning
technique named back propagation and it is used for training
the network. The alteration of the standard linear perceptron,
MLP is capable of distinguishing data which are not linearly Fig. 1 Variation of error rate based on the number of neighbourhood
separable [8].
The data in the same dataset were processed using the MLP
model, and the estimation success rates of credit card payments.
The estimation success rates of different number of neurons in
the hidden layer, and MAE and RMSE error values were
obtained. In the MLP model, the training was performed by
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taking the learning rate value as 0.3, momentum value as 0.2 IV. CONCLUSION
and iteration number as 500. The estimation success rates, and In this study, credit card clients’ behaviours about payment
MAE and RMSE values obtained using the MLP model can be have been estimated. For this purpose machine learning
seen in Table 2. The diagram demonstrating the changes in algorithms like kNN and MLP have been used. The estimation
MAE and RMSE error values based on the number of success rates and error values of kNN and MLP were calculated.
neighbours in the hidden layer is demonstrated in Figure 2. It was observed that the success rate was higher for the
estimation performed by using the MLP algorithm. The highest
TABLE III estimation success rate was achieved when the number of
SUCCESS RATE OBTAINED BY USING MLP CLASSIFIER ERROR VALUES neurons in the hidden layer was 1 and the success rate was
81.049%. The MAE error value was 0.3237 and the RMSE
The number error value was 0.388 when there is only one neuron in the
Estimation
of neurons in
Success MAE RMSE hidden layer. For the estimation success rates obtained using K-
the hidden
layer
(%) Nearest Neighbour Algorithm, the highest estimation success
rate was achieved for 10 neighbourhood values, and it was
1 81.049 0.3237 0.388
80.6569%. For this neighbourhood value, the MAE error value
2 79.1961 0.2982 0.3837 was 0.2743 and the RMSE error value was 0.3897.
3 79.8137 0.2978 0.3838
REFERENCES
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ISBN 0-13-063085-3.
6 80.3137 0.3005 0.3807 [2] Chen, M. S., Han, J., & Yu, P. S., (1996). Data mining: an overview
from a database perspective. Knowledge and data Engineering, IEEE
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madenciliği modelleri ve uygulama alanları). Istanbul Ticaret
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[4] Sharma, T. C., & Jain, M. (2013). WEKA approach for comparative
10 80.3137 0.3033 0.3838 study of classification algorithm. International Journal of Advanced
Research in Computer and Communication Engineering, 2(4), 1925-
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20 80.098 0.2973 0.3881 [5] Yeh, I. C., & Lien, C. H. (2009). The comparisons of data mining
techniques for the predictive accuracy of probability of default of credit
25 80.1569 0.3107 0.386 card clients. Expert Systems with Applications, 36(2), 2473-2480.
[6] Witten I.H., Frank E., & Hall M.A. (2011). Data mining: practical
30 80.1176 0.3066 0.3853 machine learning tools and techniques. Elsevier, London.
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50 80.6961 0.2936 0.3855 the SPIE Symposium on Defense and Security, Mart, Orlando, FL, pp.
27-34.
[8] Hall, M., Frank, E., Holmes, G., Pfahringer, B., Reutemann, P., &
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ACM SIGKDD Explorations Newsletter, 11(1), 10–18.
[9] Wang, J., Neskovic, P., & Cooper, L. N., (2007). Improving nearest
neighbour rule with a simple adaptive distance measure, Pattern
Recognition Letters, 28(2):207-213.
[10] Zhou, Y., Li, Y. & Xia, S., (2009). An improved KNN text classification
algorithm based on clustering, Journal of computers, 4(3):230-237, 2009.
Fig. 2 Variation of error rate based on the number of neurons in hidden layer
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Blind Audio Source Separation Using Independent Component Analysis

and Independent Vector Analysis
AAlyaa.A. M.Alrustim∗ , Ahmet Elbir∗ , Fethullah Karabiber∗
∗ Department of Computer Engineering, Yildiz Technical University
Davutpasa-Esenler, Istanbul TURKEY
alyaaamahdi@gmail.com,aelbir@yildiz.edu.tr, fkara@yildiz.edu.tr
Abstract— Blind Source Separation (BSS) is one of the most the microphones without any delay which known as stan-
important and challenging problem for the researchers in audio dard blind source separation. Then Bell and Sejnowski in
and speech processing area. In the literature, many different 1995 developed the Independent Component Analysis (ICA)
methods have been proposed to solve BSS problem. In this
study, we have compared the performance of three popular method to solve BSS problem when the sources are mixed
BSS methods based on Independent Component Analysis (ICA) simultaneously [3]. Also some different algorithms based on
and Independent Vector Analysis Models, which are Fast-ICA, ICA such as Fast-Fixed Point ICA [4], the Jade-ICA [5], the
Kernel-ICA and Fast-IVA. We collected experimental data by EGLD-ICA, the MS-ICA [6], and the Kernel-ICA [7] were
recording speech from 13 people. Three different scenarios proposed in literature.
are proposed to compare the performance of BSS methods
effectively. Experimental results show that the Fast-IVA has As a result, BSS problem becomes more complicated for
better performance than the ICA based methods according real room environment and this speech propagation problem
to performance metrics of Source-to-Artifact Ratio, Source-to- is called convolutive blind source separation (CBSS) [8].
Distortion Ratio and Source-to-Noise Ratio. But ICA methods
give better results than Fast-IVA according to the Source-to- In the literature, some solutions were proposed in the
Interference Ratio. time domain. Due to the complicated calculation caused by
Keywords— Blind source separation, Independent component convolution, Parra et al [15] suggested another method based
analysis, Independent vector analysis on frequency domain. In frequency domain, the convolution
is replaced with multiplication to have low cost in terms
I. I NTRODUCTION of execution time. However, the frequency based methods
still have scaling and permutation ambiguities.To prevent per-
Blind Source Separation (BSS) is one of the most impor-
mutation problem, an advanced method named Independent
tant problems in speech processing area. The better descrip-
Vector Analysis (IVA) was proposed by Kim et al [9].
tion of this problem can be represented by this question: How
can we accurately determine what a particular person talks In this study we have compared the performance of two
among several speakers at the same time?. Figure 1 shows an ICA based algorithms and Fast-IVA according to perfor-
illustration of BSS problem. This problem describes the sit- mance measurement metrics commonly used for BSS prob-
uation of focusing on one speaker in case of several persons lem. This paper is organized as follow: Section II contains
talking simultaneously in same room. To separate the mixed the standard ICA method and its properties, ICA based
speech signals to obtain just a speech signal which belongs algorithms (Fast-ICA and Kernel-ICA). Section III explains
to a particular speaker is very challenging and complicated details of Fast Fixed Point IVA algorithm. Section IV gives
problem [1]. In the literature, many different methods based brief information about the commonly used performance
on signal processing and statistics were proposed to solve measurement metrics. Experimental results obtained by using
BSS problem. different proposed scenarios are represented in Section V.
Finally the conclusion is presented in the last section.
II. INDEPENDENT COMPONENT ANALYSIS
Independent Component Analysis (ICA) is one of the most

popular BSS methods. ICA was used extensively for many
applications in various field of science and engineering. ICA,
which is a statistical computational method, was employed to
find underlying hidden factors among set of random vectors.
Fig. 1. BSS Problem The main aim of ICA method is to obtain the independent
components (ICs), which are linearly independent or as
BSS was firstly addressed by Herault and Jutten in 1985 independent as possible, by finding a linear representation
[2]. In their work, the sound is directly transmitted to of non-Gaussian data.
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A. ICA MODEL Fast-ICA uses fixed-point algorithm of ICA as follow:

Suppose that we have two persons talking simultaneously
in a room and two microphones were replaced in different Algorithm Fast fixed-point ICA [4]
places for recording their talking. In this way, two speech 1: Take a random initial vector w(0) of norm 1, Consider
signals are recorded by these microphones. These signals can k = 1.
be represented as x1 (t) and x2 (t) where (t) is the time index. 2: Let w(k) = Ex(w(k − 1)T x)3 3w(k − 1), Estimete the
The signals from the speakers can also be represented as expectation using a large sample of x vectors.
s1 (t), s2 (t), so the linear combination of the speech signals 3: Divide w(k) by its norm.
can be expressed as: 4: if |(w(k)T w(k − 1)| is not close enough to 1, consider
x1 (t) = a11 s1 (t) + a12 s2 (t) k = k + 1 and go back to step 2 , otherwise return the
(1) vector w(k) as output.
x2 (t) = a21 s1 (t) + a22 s2 (t)
Where s1 and s2 are the original speech signals, a11 , a12 , a21
and a22 denote the parameters that depend on the distance C. KERNEL INDEPENDENT COMPONENT ANALYSIS
between the speakers and the microphones. Assume that M is
The Kernel Independent Component Analysis (Kernel-
the number of observed mixture signals and L is the number
ICA) is a different version of ICA model that based on
of independent source signals. Then the model will be as
the minimization of a contrast function based on kernel
follow:
XL ideas. Kernel-ICA rely on an entire function space of can-
xi = aij sj , i = 1 . . . M (2) didate nonlinearities. In particular, Kernel-ICA works with
i the functions in a reproducing kernel Hilbert space using
Since instead of summations like in (2),using vector-matrix canonical correlation based functions. The Kernel trick is
notation is more suitable to, the ICA model can be rewritten used to make the search over this space efficiently. Some new
as: modifications were proposed to make the algorithm more
x = As (3) robust and efficient to different source distributions [7]. In
where A is an unknown matrix called the mixing matrix, x is short, Kernel-ICA use optimization methods for canonical
a vector of the observed signals and s is a vector of the source correlations to reproduce kernel Hilbert space.
signals. The challenge in the ICA method is the estimation
of both A and s by using only the observed random vector III. INDEPENDENT VECTOR ANALYSIS
x. It is assumed thar the unknown mixing matrix should be Independent Vector Analysis (IVA), which is one of the
invertible or pseudo-invertible. After the matrix A estimation, most advanced method, show better performance in the field
its inverse denoted by W can be computed. As a result ICs of BSS. Theoretically this method overcomes the permuta-
denoted by y is obtained simply by using following equation. tion problem that inherent from ICA. It is designed to re-
y=Wx (4) move the dependency between different source vectors while
ICA requires some assumptions related to the sources and keeping the dependency within individual source vectors.
the mixing process. These assumptions make this method The problem is transformed into frequency domain to reduce
different from the other source separation approaches [10]. computational complexity of the time domain. The noise free
The first assumption is that the sources being considered are model in the frequency domain can be defined as follow:
statistically independent. The other one is that the sources X(k) = H(k)s(k) (5)
must have non-Gaussian distribution. The last one is to have Ŝ(k) = W(k)x(k) (6)
invertible mixing matrix [10].
Where the index k =1, 2,, K indicate the k-th frequency
Two inherent ambiguities are hold in ICA framework. One
bin, and K is the number of frequency bins, x(k) =
of them is magnitude and scaling ambiguity, and the other
[x1 (k), x2 (k), xm (k)]T represent the observed signal vector
is the permutation ambiguity [10].
in the frequency domain, s(k) = [s1 (k), s2 (k), sm (k)]T
Some preprocessing steps can be performed to improve denotes the original source vector in the frequency domain
the performance of ICA based methods. Some useful pre- and (k) = [1 (k), 2 (k), m (k)]T represents the estimated
processing techniques are Centering and Whitening[10]. source vector in the frequency domain. And (.)T is the vector
There are several kinds of algorithm based on ICA. In transpose. The number of microphones and the number of
this study we have performed two of them, which are widely sources are represented by m and n, respectively. H(k), which
used. is a mn dimension matrix, denotes the mixing matrix , and
W(k), which is a nm dimension matrix, denotes the unmixing
B. FAST FIXED-POINT ICA matrix.
The Fast Fixed-Point ICA (Fast-ICA) algorithm based In this study, we assume that the number of sources and
on mutual information utilizes higher order statistics for the number of microphones should be the same. The main
the retrieval of independent sources [4]. Fast ICA has two goal is that the sources should be estimated by using only
estimation approaches: the observed (mixed) signals.
((-i)deflation approach to estimate ICs one by one) and An objective function is defined to separate multivariate
((ii)symmetric approach to estimate ICs simultaneously)[4]. sources from multivariate observations. Kullback-Leibler di-
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vergence between two functions as the measure of depen- artifacts error terms are represented by where, sinterf , snoise
dence is employed in IVA. These two functions are the joint and sartif , respectively.
probability density function p = 1 , , n and the product of The second step involves computing the energy ratios in
probability density functions of the individual source vectors order to estimate the relative amount of each of these four
Πq(ŝi ). This function can be defined as follow: terms either on the local frames of the signal or the whole
signal duration. The way of decomposing into four terms are
J = kL(p(ŝ1 , , ŝn )||Πq(ŝi )) given in [12] in detail. Relevant energy ratios between these
K n terms are defined.
X X (7)
= const − log|det(W )| − E[logq(ŝi )] After the decomposition of j following the procedures
k=1 k=1 given in [21]. Numerical performance criteria was defined by
We can keep the dependency between the components of
computing energy ratios expressed in decibels. Definition of
each vector, and remove the dependency between the source
source-to-distortion ratio (SDR), the source-to-interference
vectors if the cost function is minimized [11].
ratio (SIR), source-to-artifact ratio(SAR) and source-to-noise
In literature, there are different version of IVA such as
ratio(SNR) are given below, respectively
NG-IVA, Fast-IVA and Aux-IVA [11]. In this study Fast-IVA
algorithm is employed for BSS. ||starget ||2
SDR := 10 log10 (12)
A. FAST FIXED-POINT INDEPENDENT VECTOR ANAL- ||einterf + enoise + eartif ||2
YSIS ||starget ||2
SIR := 10 log10 (13)
This algorithm utilizes Newtons method to update the ||einterf ||2
||starget + einterf + enoise ||2
original IVA method, which converges quadratically and SAR := 10 log10 (14)
select an efficient learning rate. In order to apply Newtons ||eartif ||2
2
method in the update rules, polynomial approximation of ||starget + einterf ||
SN R := 10 log10 (15)
a quadratic Taylor series is produced in the notations of ||enoise ||2
complex variables. In this way, it can be used for a contrast V. EXPERIMENTAL RESULTS
function of complex-valued variables [11]. The contrast The performance of Fast-ICA, Kernel-ICA and Fast-IVA
function used by Fast IVA is as follows: methods for separating mixing speech signals was compared.
n K K
X X X (K) We collected 13 speech signals recorded in real room, each
J= (E[G |ŝi (k)|2 ] λi (wi (k)wi (k) − 1) (8)
record long 10sec in Arabic language with 16 kHz. These
i=1 k=1 k=1
where, λi is the ith Lagrange multiplier, and w( i) denotes records are mixed by using random parameters.
the ith row of the unmixing matrix W, G () is the non- In our experiment, three different scenarios are proposed
linearity function, which can take on several different forms to compare performance more effectively. The first scenario
as discussed in [11]. The learning rule can be defined as includes measuring and comparing the performance of Fast-
follow with normalization: ICA, Kernel-ICA and Fast-IVA for separating mixing speech
(k) X (K) 2 X (K) 2 00 X (K) 2 signals without noise, as shown in Figure 2. Figure 3
(Wi )H ← E G |ŝi | + |ŝi | G |ŝi | illustrates the second scenario which shows the performance
K K K of these methods for separating mixed speech signals with
|ŝi |2 xK Gaussian noise added to signals before mixing. In the third
(k) (k) X (K)
x(Wi )H − E ŝi ∗ G0
K scenario, we add Gaussian noise to the signals after mixing
(9) as shown in Figure 4. Since Gaussian noise is added to
0 00
where G () and G () represent the first and second the sources or mixtures in the second and third scenarios,
derivative of G(), respectively. And if we use that for all Savitzky-Golay smoothing filter [13]] is performed to en-
sources, we can construct an unmixing matrix W(k) to be hance the signals before the separation.
decorrelated with
T −1/2
W (K) ← W (K) W (K) W (K) (10)
IV. PERFORMANCE MEASUREMENT
There are several performance measurement metrics to
Fig. 2. Illustration of Scenario 1 for the experiment
evaluate the quality of estimated signals obtained by BSS
methods. The performance of BSS algorithms can be mea-
sured by comparing each estimated source j to a given true
source j . The measuring processing includes two successive
steps [12].
The first step involves decompose j as:
ŝj = starget + einterf + enoise + eartif (11)
Where starget = f (sj ) denotes the version of sj modified Fig. 3. Illustration of Scenario 2 for the experiment
by an allowed distortion, and the interferences, noise, and
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TABLE IV
E XECUTION TIME OF THE ALGORITHMS
Algorithm Running time

Fast-ICA 24.788 s
Fast -IVA 30.006 s
Fig. 4. Illustration of Scenario 3 for the experiment Kernel-ICA 180.567 s
VI. THE CONCLUSION

In each scenario, we have created 77 different mixture
signals from 13 original sources using different mixture Blind source separation (BSS) is one of the most important
parameters. The Fast-IVA use the Short time Fourier Trans- and challenging problem for the researchers in audio and
form of length 1024, and the sampling frequencies were speech processing fields. In this study, we have implemented
16 kHz. The results of our experiment for each scenario and compared three popular BSS methods, which are Fast-
show that: the Fast-IVA has better performance comparing ICA, Kernel-ICA and Fast-IVA. Three different scenarios
with Fast-ICA and Kernel-ICA according to SAR, SDR and were proposed to measure the performance of BSS methods
SNR performance metrics. But we notice that Fast-ICA and extensively using four different commonly used performance
Kernel-ICA methods have better performance than Fast-IVA metrics. According to experimental results Fast-IVA shows
according SIR as shown in Table 1, Table 2 and Table3. better performance than the other methods according to
In this study, We have implemented Fast- SDR, SAR and SNR metrics. But Fast-ICA and Kernel-ICA
ICA algorithm in MATLAB. A different version methods have high performance than Fast-IVA according to
of Fast-ICA algorithm can be downloaded from SIR metric. In future, some advanced BSS algorithms will
http://research.ics.aalto.fi/ica/fastica/code/dlcode.shtml. be implemented and compared using different scenarios.
For the other BSS methods (Kernel-Ica and Fast-IVA), we R EFERENCES
have used the shared codes. The kernel-ICA package is
[1] S Haykin, Z Chen, The cocktail party problem” Neural Comput. 17,
Copyright (c) 2002 by Francis Bach [14], and Fast-IVA 18751902 (2005).
code by Taesu Kim , recently revised at Nov. 2, 2005 [9]. [2] J Herault, Jutten C, B Ans, Detection of primitive magnitudes in a
The experiments were performed in Matlab ver. 8.1.0.604 Message composite by a neural computing architecture unsupervised
learning, in Proc. GRETSI Vol 2 (Nice, France, 1985), pp. 1017-1022.
(R2013a). The algorithms are also compared in terms [3] Bell AJ, Sejnowski TJ, An information maximisation approach
of execution time. The time that needed for running the to blind separation and blind deconvolution. Neural Computation
algorithms was also given in Table 4. 7:11291159(1995).
[4] Aapo Hyvarien and Erkki Oja laboratory fast fixed point independent
compenent analysis this paper appear in neural computation 9 :
TABLE I 14831 492, 1997.
E XPERIMENTAL RESULTS FOR THE FIRST SCENARIO [5] Sargam Parmar, Bhuvan Unhelkar Performance Comparisions of ICA
Algorithms to DS-CDMA Detection journal of telecommunications,
Algorithm Criteria SAR SDR SIR SNR volume 1, issue 1,february 2010.
Average 6.114 6.087 29.671 -13.47 [6] HongLi, Yunlian Sun, The Study and Test of ICA Algorithms 2005
Fast-ICA IEEE.
STdev 1.084 1.087 2.3746 3.0666
Average 6.1374 6.1130 29.9469 -13.328 [7] Francis R. Bach, Michael I. Jordan, Kernel Independent Component
Kernel-ICA Analysis. Journal of Machine Learning Research 3 1-48. (2002).
STdev 1.0889 1.0904 2.03176 3.14367
Average 21.651 18.873 24.181 8.6396 [8] MS Pedersen, J Larsen, U Kjems, LC Parra. A survey of convolutive
Fast-IVA blind source separation methods, in Springer Handbook on Speech
STdev 7.6494 8.278 9.4262 8.7521
Processing and Speech Communication (Springer, New York, 2007),
pp. 134.
TABLE II [9] T Kim, I Lee, TW Lee. Independent vector analysis: definition and
E XPERIMENTAL RESULTS FOR THE SECOND SCENARIO algorithms, in Fortieth Asilomar Conference on Signals, Systems
andComputers 2006 (Asilomar, USA, 2006), pp. 13931396.
Algorithm Criteria SAR SDR SIR SNR [10] Ganesh R. Naik and Dinesh K Kumar, An Overview of Independent
Average 5.0701 5.0289 27.705 -13.660 Component Analysis and Its Applications , Informatica 35 (2011) 6381
Fast-ICA [11] Yan feng Liang n, Jack Harris, Syed Mohsen Naqvi, Gaojie Chen,
STdev 1.8008 1.7975 3.0743 2.8805
Average 4.9694 4.9435 28.9186 -14.035 Jonathon A. Chambers , Independent vector analysis with a general-
Kernel-ICA ized multivariate Gaussian source prior for frequency domain blind
STdev 1.8174 1.8199 2.61689 2.6280
Average 8.8166 6.3595 15.0365 2.0093 source separation, at Science Direct Signal Processing 28May2014.
Fast-IVA [12] Emmanuel Vincent, Rmi Gribonval, and Cdric Fvotte, Performance
STdev 3.3440 5.4436 9.9977 1.9585
Measurement in Blind Audio Source Separation, IEEE Transactions
On Audio, Speech, And Language Processing, Vol. 14, No. 4, July
TABLE III 2006.
E XPERIMENTAL RESULTS FOR THE THIRD SCENARIO [13] Manfred U.A. Bromba and Horst Ziegler, Application hint for
Savitsky-Golay digital smoothing filters, Anal. Chem. 53, 15831586
Algorithm Criteria SAR SDR SIR SNR (1981).
Average 5.0037 4.9645 27.8722 -13.745 [14] Francis R. Bach, Michael I. Jordan (2001). Kernel Independent Com-
Fast-ICA ponent Analysis, Technical Report UCB//CSD-01-1166, University of
STdev 1.8200 1.8168 3.1256 2.7637
Average 4.9694 4.9435 28.9186 -14.035 California,Berkeley.
Kernel-ICA [15] L Parra, C Spence, Convolutive blind separation of non-stationary
STdev 1.8174 1.8199 2.61689 2.6280
Average 8.8166 6.3595 15.0365 2.0093 sources, IEEE Trans. Speech Audio Process. 8, 320327 (2000).
Fast-IVA
STdev 3.3440 5.4436 9.9977 1.9585
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Note Recognition from Monophonic Musical Signals

By Using Neural Network
Mürsel ÖNDER1, Özkan İNİK2
1
Department of Mechatronic Engineering,Gaziosmanpaşa University, Tokat, Turkey
mursel.onder@gop.edu.tr
2
Department of Computer Engineering, Gaziosmanpaşa University, Tokat, Turkey
özkan.inik@gop.edu.tr
Abstract— In this work, note recognition from monophonic The last parameter is not taken into account in the existing
musical signals is studied. It is aimed to achieve a musical note systems. But making recordings with people's ideas will give
from the fundamental frequency. Artificial Neural Networks healthier and more productive results. These peoples are
(ANN) is used in order to estimate the fundamental frequency. musical instruments producers, users, recorders and listeners
Firstly, around 6-10 seconds audio recordings for each musical
The frequency content of a note is made up of a
notes are taken with the flute. Certain number of frames are
taken from these audio recordings and used for training of the fundamental frequency and its exact multiples. As in Figure 1;
ANN. After training, any parts that are played on the flute are if fundamental frequency is f0 then first harmonic is 2f0
tested. The musical notes was found correctly on the tested parts second harmonic is 3f0 and so on. [9].
that are played on the flute. Because of overlapping of fundamental frequency and
harmonic content, sound produced by a group of artists or
Keywords — Artificial neural networks (ANN), Signal instruments is percepted as same note.
processing, Monophonic music signals.
Amplitude
I. INTRODUCTION Fundamental
frequency
Music note recognition is one of the most important part of Harmonics
some music applications. This fact is emphasized on [1] and
in more specific works such as music transcription [2,3], song
retrieval[4,5] and others[6,7,8].
ANN is one the useful techniques to overcome the
drawbacks of classical signal processing and filtering
f0 2f0 3f0 4f0 Frequency
techniques. It is claimed [3] that no work that refers to ANN
for music note recognition has ever existed prior to their work Fig. 1 Frequency content of monophonic musical signals [11]
[1].
Monophonic means the production of musical signal from
The fundamental frequency relationship of two consecutive
single source in a time interval. Sound produced by a variety
notes f0 and f1 is given in Equation 1.
of sources in different time intervals does not disrupt the
monophony. Sound received in the same structure from the /
group consisting of multiples wires can be considered as = =2 ≈ 1.05946 (1)
monophonic at the stringed instrument. But as in the Turkish
instrument “bağlama”, produced sound by a thick (bam) wire A4 (440 Hz) is accepted La note other fundamental
and one or two thin wires cannot be regarded as monophonic. frequency values is calculated according to the Equation 1.
In the polyphony, multiple voices are produced in the same This means that each octave is divided into 12 equal intervals
time range [9]. [9].
Based on the physiological relationship all the sounds in
music can be handled four variables in a very simple way
[10]:
II. METARIAL AND METOD
1. Repetition rate of the audio signal is related to the
fundamental frequency. In this work, due to the simplicity of the harmonic structure
2. The amplitude of the audio signal associated with recordings from the musical instrument called "block flute” is
rotundity studied. Recordings are obtained by Sound Recorder in
3. The shape of the audio signal associated with the timbre Windows Operating System, in 21.05 kHz sampling
of musical instruments frequency and .wav format.
4. According to the sensors location of the sound source are Flut is a musical tool designed to produce sound in equal
associated with the position of the sensors different detection. order. Samples notes (do, re, mi, fa, sol, la, si, do) are taken of
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the notes that are played on the flute. For each note 6-10 to understand it. Also simple elements may be gathered to
second audio file is saved. The audio recording of file belongs produce a complex system [12]. Networks are one approach
to do note, and its zooming part around 200 samples are for achieving this. There are a large number of different types
shown in Figure 2. Periodic structure in the zoomed image can of networks, but they all are characterized by the following
be seen very clearly. Frames containing 200 samples are components: a set of nodes, and connections between nodes.
obtained from these recordings performed separately for each One type of network sees the nodes as ‘artificial neurons’.
note. Values are normalized to the range -1 to 1 and placed on These are called artificial neural networks (ANN). An
a column of the data matrix. This procedure is repeated 400 artificial neuron is a computational model inspired in the
times for each note. As a result, 200x400 sized matrix is natural neurons [13]. In other Words, Artificial neural
created for a note. For 8 notes, by concatenating these 8 networks are an attempt at modeling the information
matrices, finally 200x3200 sized data matrix is formed. processing capabilities of nervous systems [14]. As shown in
Figure 4, Biological Natural neurons receive signals through
synapses located on the dendrites or membrane of the neuron.
When the signals received are strong enough, the neuron is
activated and emits a signal though the axon. This signal
might be sent to another synapse, and might activate other
neurons [13].
Fig. 2 Recording of the Do note (below) and a section that is backed zoom for
samples in the range 58200-58400 (above)
Fig. 4 Biological Natural neurons
Figure 5 shows the structure of an artificial neural neuron

with X1, X2, X3,…Xn inputs. Each input channel i can transmit
a real value xi. The input channels have an associated weight,
which means that the incoming information xi is multiplied by
the corresponding weight W1j, W2j, W3j, ... Wnj .
Fig. 3 Data samples at 200 samples length for each note (left) and target
column vectors generated for every 200 example window (right)
Fig. 5 Structure of artificial neural neuron[15]
A. Artificial neural networks (ANN)
One efficient way of solving complex problems is The sum function netj computed according to the Equation 2.
following the lemma “divide and conquer”. A complex system
may be decomposed into simpler elements, in order to be able
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= ∗ (2) Trained ANN was tested Twinkle Twinkle Little Star song
for a second test. This song is an international song. The
melody of the song and even music are taught in basic
The output of the processing element is calculated by netj value education institutions by many people. The song notes are
passed through the activation function (Equation 3). given in Figure 9. Figure 10 shows very clearly that the values
are assigned to the notes correctly. The persons who know the
= ( )= ( ∗ ) (3) melody can see the accuracy of the results.
IV. RESULTS AND CONCLUSIONS

The task of neural cells briefly is that controlled in response
In this study 2 different tests are made after training ANN
to the output value of the input value Xn. Until obtaining the
with the flute musical notes. Firstly, estimation of the note
desired output value is updated weight Wnj. Learning neural
from melody which playing consecutive notes. The second
network takes place with updating Wnj weight.
forecast Twinkle Twinkle Little Star song notes. Accurate
III. EXPERIMENTAL STUDIES estimates were obtained in both studies.
This work describes the design of the ANN is performed
with software MATLAB R2015a. 200 neurons in the input
layer, 40 neurons in the output layer and 8 neurons in the
hidden layer is used for Multi-layer ANN. traincgf (Scaled
conjugate gradient backpropagation) is used as a training
algorithm. The neuron that has highest value is selected from
8 neuron at the output of ANN. Each note (do, re, mi, fa, sol,
la, si, do) is represented by numbers from 1 to 8 which are the
the highest value of the output of the ANN.
Fig. 9 Twinkle Twinkle Little Star song notes [8]
Designed and trained ANN is tested with consecutive
played notes by the flute. When notes are played at low
frequencies to high frequencies, it is expected as a result of Musical notes equivalent
stairs as shown Figure 5. Figure 6 illustrates of achieving the 8
expectations. Consecutive played do, re, mi, fa, sol, la, si and 6
do notes are overlapped with the corresponding numbers. 4
0
0 500 1000 1500
A sample of the song notes

1.5
1
0.5
0
Fig. 5 Consecutive sort of musical notes
-0.5
-1
-1.5
Musical notes equivalent 0 0.5 1 1.5 2 2.5 3
5
8 x 10
6
Fig. 10 The waveform for Twinkle Twinkle Little Star song (below) and ANN
4 findings (above).
2
During the creation of the data matrix for ANN training, the
0
0 100 200 300 400 500 used preprocessing methods, such as avoid repeating each
window and take into account phase information can improve
The notes played by the flute
1.5 the performance.
1 It is observed that ANN is more suitable techniques than
0.5
classical signal processing and filtering techniques [3, 9]. In
0
-0.5
future, the workings comparing classical and ANN techniques
-1
are adviced. These workings are especially meaningful for
-1.5 generally Eastern music and Turkish music and musical
0 2 4 6 8 10
instruments because of more detailed structure of their
musical temperament.
Fig. 6 The waveform for note which played by the flute(below) and ANN
findings(above)
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REFERENCES
[1] Khalid Youssef, Peng-Yung Woo, Efficient music note recognition

based on a self-organizing map tree and linear vector quantization, Soft
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[2] Cemgil A, Kappen H, Barber D (2006) A generative model for music
transcription. Audio Speech Lang Process 14(2):679–694
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of polyphonic piano music. Multimedia 6(3):439–449
[4] Park K, Yoon W, Lee K et al (2005) MRTB framework: a robust
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[6] Thornburg H, Leistikow R, Berger J (2007) Melody extraction and
musical onset detection via probabilistic models of framewise STFT
peak data. Audio Speech Lang Process 15(4):1257–1272
[7] Klapuri A, Eronen A, Astola J (2006) Analysis of the meter of acoustic
musical signals. Audio Speech Lang Process 14(1):342– 355
[8] Pikrakis A, Theodoridis S, Kamarotos D (2006) Classification of
musical patterns using variable duration hidden Markov models. Audio
Speech Lang Process 14(5):1795–1807
[9] Önder, M., 2004, Akustik İşaretlerden Tek Sesli Nota Tanıma, Thesis
(MSc), İstanbul University.
[10] Türk Mûsikîsi Web Siteleri, 2002, Rauf Yekta Bey [online].
Available:http://www.turkmusikisi.com/nazariyat/default.asp
[11] Cemgil, A.T., 1995, Automated Monophonic Music Transcription, A
Wavelet theoretical Approach [online].
Available:http://www.mbfys.kun.nl/~cemgil/papers.html
[12] Bar-Yam, Y. Dynamics of Complex Systems. Addison-Wesley (1997).
[13] Carlos Gershenson,” Artificial Neural Networks for Beginners”.
[14] Rojas, R. Neural Networks: A Systematic Introduction. Springer,
Berlin (1996).
[15] (2016) The durofy website. [online].
Available:http://durofy.com/machine-learning-introduction-to-the-
artificial-neural-network/
[16] (2016) The University of Washington web site [online].
Available:http://courses.washington.edu/matlab1/homework/homewor
k_5.html
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Applications of Fuzzy Logic in Building

Performance Evaluation
Nilüfer Kızılkaya*, Ali Murat Tanyer*, Mehmet Koray Pekeriçli*
*
Middle East Technical University
Department of Architecture
Ankara, Turkey
knilufer@metu.edu.tr, tanyer@metu.edu.tr, koray@metu.edu.tr
Abstract— The predictable and deterministic world of the past has response analysis based on the decision-maker’s intuition,
been replaced by the uncertain, random, and disorderly world of judgement, and experience. However, when the complexity of
today. Different attributes represent different dimensions of a system increases, the ability of human beings to make precise,
alternatives, which may not be easily represented on a quantitative but significant statements diminishes [4]. Therefore, the human
scale, may not be directly measurable, and may be stochastic or
reasoning usually gives results in approximate ranges [5]. In
fuzzy. Wide range applications of building performance
evaluations are based on numerical expert grading, which have addition, the decision making in real-world situations is a
been conducted for comprehensive building analysis. However, complex subject with uncertainty and vagueness [2]. In order
expert evaluation, as a nature of human knowledge, tends to be to insert human reasoning in building performance evaluation
vague or imprecise. Moreover, human decision-making needs a systems, fuzzy logic system is used as a decision making and
quick-response analysis based on the decision-maker’s intuition, evaluation method. Fuzzy logic helps to integrate uncountable,
judgement, and experience. In this study, in order to insert undefined, and uncertain information into the decision-making
uncertainty and human knowledge to building performance process by converting hidden information into workable
evaluation systems, fuzzy logic method is proposed for algorithms.
vulnerability evaluation of building characteristics. For the first
part of evaluation, fire safety performance evaluation model is II. PERFORMANCE EVALUATION OF BUILDINGS
proposed, and critical building components in terms of passive fire
safety are identified including numerical and linguistic input The evaluation methods used in traditional occupational
variables. hazards in the construction industry were mainly qualitative or
statistical approaches. In addition, construction experts tend to
Keywords— fuzzy logic, fuzzy expert system, construction project use a single crisp value during risk assessments, which may
evaluation lead to inaccurate assessment results [6]. By the time
knowledge is being transformed into their digital
I. INTRODUCTION representations in all fields, performance evaluation of building
From the earliest periods of architecture and building, parameters imported into automated code compliance checking
performance evaluations have been conditioned by rules, systems. Computerized checklist systems have advantages for
regulations, standards, and governance practices The idea of detecting building vulnerabilities faster, however, in terms of
implementing rules and regulations by architects is a reflecting the diversity of evaluation methods, they are
contradictive issue since some architects see these rules as dependent to deterministic [7]. The deterministic approach of
contradicting the creative basis of their practice [1]. On the evaluation is the disadvantage of accurate performance
other hand, new construction methods, resulting from new and evaluation in the uncertain nature of construction. Hence, the
unfamiliar materials, new organizations of functions and single-criterion evaluation prevents the integration of design
occupancy classes, new equipment in the buildings, or different objectives.
activities facilitated within building occupancy introduce new In integrated building design, architects and engineers
complex interactions. As the interactions get more complex, develop building specifications together from an early stage of
existing building performance guidelines remain too generic to the project. Therefore, various key design objectives as
understand the relationships and they become less competent in performance evaluation determinants are needed to be assessed
evaluating performance of buildings. Moreover, rapid increase to take prevention measures in preliminary design stages. The
in the complexity and embedded information in building multi-objective structure of building performance evaluation
systems drastically limits the time available for making need to be analyzed and prioritized with respect to multiple
decisions. The inherent nature of construction projects tends to attributes. The decision-making process consists activities of:
be uncertain and depends on a subjective judgment of decision ● studying the situation,
makers [2]. Therefore, the single-criterion and simple decision- ● organizing multiple criteria,
making requirements of the guidelines have given way to ● assessing multiple criteria,
highly complex decision problems involving multitudes of ● evaluating alternatives based on the assessed criteria,
variables, which may be stochastic, fuzzy, or at worst unknown ● ranking the alternatives,
[3]. On the other hand, human decision-making needs a quick- ● incorporating the judgements of multiple experts.
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In multi- attribute evaluation system attributes are referred In order to integrate the uncountable, undefined, and uncertain
to as goals; and different attributes represent different information in decision-making process, fuzzy expert systems
dimensions of evaluating the alternatives [3]. Due to the are used. Expert systems use domain specific knowledge to
dependency of evaluation system to expert opinion, the multi- simulate the reasoning of an expert in the field in order to
objective performance evaluation systems are suitable to be perform intelligent tasks [11]. Based on experts’ dependency
expressed by linguistic variables. When people are asked to do on common sense when solving problems by using vague and
subjective decision making on a subject in verbal categories ambiguous terms, the expert system is developed with five
rather than numerical categories, the consistency is improved main steps [12]:
and more accurate results are achieved [8]. Most words are ● specify the problem and define linguistic variables,
inherently vague and depend on some arbitrary qualification for ● determine fuzzy sets,
crisp application. Considering the operational and stochastic ● construct fuzzy rules,
characteristics of construction projects and the fuzziness of ● encode the fuzzy sets and fuzzy rules to perform fuzzy
multiple-objectives need to be considered for appropriate inference,
evaluation model [9]. Fuzzy logic, with less information and ● evaluate and tune the system.
workability of linguistic terms, can absorb human knowledge
without having to translate it into a complex mathematical Fuzzification Inference Defuzzification
model. In this research, the advantages and the challenges of interface engine interface
Crisp Fuzzy Fuzzy Crisp
evaluating building performance by using fuzzy logic is input input output output
discussed. The method is proposed for quick-response
performance assessment in the preliminary design phase, with Fuzzy
rule base
an intelligible model for each project member. In the following
parts of the study, the definition of fuzzy logic with fuzzy
Fig. 1. Fuzzy expert system model (Nilashi et al., 2011)
expert systems and hybrid fuzzy systems which combine other
methodologies with fuzzy logic are explained. In the fuzzification interface, the input variables are
structured and fuzzified through membership functions, and the
A. Fuzzy Logic degree of belonging of input variables is determined. In fuzzy
Fuzzy logic is developed by by Zadeh (1965), on the idea rule base module, if-then rules are set by experts by using
that all things admit of degrees. The classical (Boolean) logic linguistic values. Fuzzy if-then rules and fuzzy reasoning are
was expanded to consider the partial truth and all values the basis of fuzzy expert systems to structure the decision-
between “completely true (1)” and “completely false (0)” making system. On the other hand, the consequence of each
(Zimmermann). In general, the design of fuzzy controllers rule is computed by inference engine. Finally, in
consists of defining three parameters, the domain for the input defuzzification phase, fuzzy output is converted to crisp output
and output of linguistic variables, the set and the type of and the performance result is calculated by using membership
membership function for each linguistic value. A linguistic degree of the output value [13].
variable differs from numerical variable since its values are not On the other hand, for more complicated systems and
numbers but words or sentences in a natural or artificial decision processes fuzzy sets are combined with neural
language [2]. In the fuzzy logic system, the linguistic variables networks with learning and generalization capacity. Neural
describe the vague concept of decision-making (e.g. good networks are strong in pattern recognition and automatic
performance), while the membership functions define the shape learning while fuzzy logic are strong in modeling of
of the fuzzy set. Several input parameters with corresponding uncertainties.
subdivisions are combined with expert opinion to give an
output value [10]. III. APPLICATIONS OF FUZZY LOGIC IN BUILDING
Fuzzy systems used in many areas such as data classification, PERFORMANCE EVALUATION
imperfections detection and to support decision making. Fuzzy Performance requirements for building systems such as
systems have advantages to evaluate performances by serviceability, safety, security, comfort and functionality are
representing uncertainties. However, the extension of the often affected by various uncertainties. The definition of these
system is done through the addition of new rules, which may uncertainties can be hardly described by traditional
be the disadvantage since the rules depend on the existence of probabilistic methods. Moreover, translation of human needs,
experts. Therefore, for more complicated models, the fuzzy especially those concerning occupancy comfort to provide
systems combined with other systems such as fuzzy expert performance requirements often results in a vague and
systems, fuzzy neural network, fuzzy reasoning and fuzzy imprecise definition of the technical requirements. Thus, in
clustering to improve the decision-making capacities. addition to the natural randomness of basic variables,
performance requirements may be considerably affected by
B. Hybrid Fuzzy Systems fuzziness [14].
In construction management research, it is observed that Fuzzy techniques have been increasingly applied to the
hybrid fuzzy techniques are widely adopted since they can research area of construction management discipline over the
better solve problems that fuzzy logic alone may not solve [2]. last decade [4]. Fuzzy logic and hybrid fuzzy techniques are
____________________________________________________________________________________________________________
402
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used applications of decision making, performance, evaluation,

and modeling of building systems. In this study, fuzzy system
application areas used for building systems are explained, as a
decision support methodology to detect defects of projects in
early stages. As one of the key building objectives, passive fire
safety decision making fuzzification modules with input
parameters are expressed.
A. Performance Evaluation of Building Systems

When compared to other industries, the construction
industry is subject to more risks due to the unique features of
construction activities, such as long period projects including
complicated processes together with dynamic organizational
models [15]. Within the complicated process, in order to Fig. 2. Design objectives of architects (Park et al., 2014)
function more efficiently, the building performance systems
must be integrated together. Systems must be compatible and B. Performance Evaluation of Building Construction
share common information to eliminate multiple data entry. Parameters in Fire Safety
Based on this concept, the fuzzy expert system aims to control Fire safety, as one of the key objectives, is an important need,
the building design input variables within the acceptable limits. although it has a lower priority than other design objectives
Fuzzy logic can be adopted for building systems to develop since not generating explicit benefits such as comfort or
models and to make decisions and to evaluate the performance convenience [30]. In addition, it has low level of risk perceived
in a wide range of areas which are often viewed as complicated, from fire, however, the consequences of fire make it one of the
uncertain, and ill defined. Moreover, fuzzy systems define the most life threatening hazards that needs importance in
relationship between risk sources (input) and the consequences performance evaluation. Fire safety evaluation systems are
(output) by using knowledge base (fuzzy rules) [16]. regarded as subjective and uncertain methods even if
The studies using fuzzy systems to evaluate building experienced experts conduct them [31].
objectives have wide range of applications to support the Designing of fire prevention starts with the building design
decision making in construction field. When conducting the process. Therefore, important safety measures can be involved
performance assessments, the severity factor should be taken as in the preliminary design phase by confining fire by
close as possible to objectives at the time of assessment [16]. construction parameters. In this process, architects lead both the
Most of the fuzzy applications focused on time, cost, quality, architectural and fire safety concerns at the same time. The
and safety performance measures. Some of them are predicting evaluation process including building parameters depends on
potential cost overruns on engineering design projects [17], designing a building in such a way that it is difficult for a fire
time cost trade off model [18], time-cost optimization [9], to start and spread within. The construction parameters and
project scheduling [19], [20], safety management [21]. Other their interrelationships are described in the Figure 3.
researches considering planning and sustainability are dealing
with acceptable level of environmental impact and
socioeconomic characteristics of residential building [22], site
layout and planning [21], sustainable housing decision support
tool [23], performance of green buildings [24].
There are fuzzy systems based on building technology and
information technology disciplines related with building
thermal dynamic response [25], user acceptance and adaptation
[26], car-parking guidance [27], thermal conductivity [28],
heating control [29], however, these applications are limited.
Furthermore, building design objectives are not interrelated to
assess the comprehensive fuzzy performance assessment,
although most the building performance objectives including
fire safety, sustainability, cost effectiveness, security,
maintainability, accessibility / circulation, structural stability /
constructability and occupant activity include uncertainty with
multi-criteria (Fig. 2). Thus, the definition of membership
Fig. 3. Input parameters to provide fire safety by construction (adapted from
functions, linguistic variables and interdependency rule of input Karlsson & Larsson, 2000)
variables can be fuzzified to support acceptable building
Accordingly, the measures to prevent fire spread though
performance levels.
boundaries and through external fire spread comprise fire
reaction of interior linings, structure separation and load
bearing and door protection and closing. These common
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403
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parameters for both architectural and fire safety design can be designers and engineers, entering the project data in terms of
expanded according to performance objectives and the detail numerical and linguistic values and to detect imperfections in
level of assessment. The evaluation factors and the input the form of severity levels to take necessary precautions. For
variables for each parameter defines the database set for the multi-objective building performance evaluation model,
evaluation. The input variables of the building objectives that using hybrid fuzzy systems provides advantages with learning
are generated in categorical functions with crisp numbers, and and generalization capacity, in order to define interdependency
fuzzy membership functions with triangular membership of parameters. Moreover, further research is required to test the
functions form the database. The membership functions are applicability of method in terms of quick response assessment
need to be generated for each sub-parameter under the input analyses.
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Machine Learning Techniques for Occupational

Accident Classification in Mine Industry
Faruk Buğra Canşe*, Derya Uluğ+, Yusuf Özgün Özdemir#, Ümit Çiğdem Turhal**
*
Bilecik Şeyh Edebali University Insttitute of Science and Technology
*
farukcanse@gmail.com, +derya.ulug@bilecik.edu.tr, #yoozdemir@yahoo.com
**
Bilecik Şeyh Edebali University Engineering Faculty
Electrics and Electronics Engineering Department
ucigdem.turhal@.bilecik.edu.tr
Abstract— The mining industry is a sector that hosts on site Turkey [1]. In mining sector due to the occupational accidents
many of occupational health and safety risks from the search each year many people come to a state that can not work and
phase to the production and shipping. In case of failure to many deaths ocur. It can be seen from the accident statistics in
prevent these risks it is encountered high occupational accidents mining across the country, especially in underground coal
and diseases. In mining, the main thing is to produce according
mine methane gas explosion and uncontrolled caving are the
to constantly changing environmental conditions that’s why it
differs from other business branches. In this situation in mining major accidents [2].
sector in determination of risks and obtaining projective Source of hazards in mines can be given as methane
measures correctly, the statisticall evaluation of the previous content in coal seam, uncontrolled caving due to lack of
accidents is very important. For this purpose there can be found support, spontaneous combustion in coal seam, gas poissoning
many learning systems that learn from the past and make or gas suffocation, coal or metal dust explosion, haulage,
estimations for the future. Therefore in this paper a classification drilling and blasting, and sub-contract system [3]. In this
model is constructed that makes estimation of the sum of injured situation in mining sector it is very important to be aware of
employees in the mines according to some attributes. In this the possible risks and to take precausition because these can
estimation model the amount of production, amount of
save lifes. In determination of risks and obtaining projective
production yield, total number of employees, amount of
dynamite in kilos, amount of capsules, mast consumption and measures correctly, the statisticall evaluation of the previous
total number of injured are used as the attributions. Thus with accidents is foremost. For this purpose there can be found
this model estimation of injured employees is performed many learning systems that learn from the past and make
according to these attributions using MATLAB platform. For estimations for the future ([2],[4]-[6]).
this study the database is used obtained from Turkish Hard Coal In this paper a classification model is constructed that
Enterprise that belongs to the years between 2010-2014. As the makes estimation of the sum of injured employees in the
classification algorithms Linear Regression and Artificial Neural mines according to some attributes. In this estimation model
Netwworks (ANN) are used and the comparative results are the amount of production, amount of production yield, total
evaluated.
number of employees, amount of dynamite in kilos, amount of
capsules, mast consumption and total number of injured are
Keywords— Learning System, Classification Model, Mine used as the attributions. For this study the database is used
Industry,Machine Learning Algorithms obtained from Turkish Hard Coal Enterprise that belongs to
the years between 2010-2014. The rest of the paper is
organized as follows: In the second section hard coal mining
I. INTRODUCTION in Turkey is considered. In the third section material and
As occupational safety is a concept of engineering, all steps methods are given, in the fourth section experimental results
for prevention of occupational accidents carry within itself the are given and in the final part conclusion is given.
stages that require engineering solutions. However although
there is a rapid development of science, technology, II. HARD COAL MINING IN TURKEY
development and industrialization it can not be said these Hard Coal is a fossil fuel and it is used as a source of
developments are exactly reflected to the process of working energy for hundreds of years. As an energy source coal has
life, occupational health and safety. Within industrial sectors many advantages and is being used for electricity production.
mining industry is a sector that hosts on site many of It is one of the most abundant sources of energy, more so than
occupational health and safety risks from the search phase to oil and natural gas. According to the 2010 BP Statistical
the production and shipping. According to the data obtained Energy Survey, Turkey had end 2009 coal reserves of 1814
from Social Security Administration of Turkish Republic in million tonnes, 0.21% of the world total. The most important
2012, 11.79% of work accidents occurred in coal mining in
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406
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coal reserves of our country are located in Zonguldak Basin values are used to test the performance of the constructed
[7]. Hard coal reserves in Turkey are as given in Table 1. model.
Zonguldak Basin where deep in underground coal mining TABLE III
has been made has a complex geological structure. That’s why A SAMPLE DATABASE FOR 2010
instead of full mechanization coal production is mainly carried
out on the basis of the labor-intensive manpower. Attributes
Total injured
Mounts
Years
(Class)
Production
Production
TABLE I
Amount of
Amount of
Employee
Explosive
Mast cost
Capsule
number
Yield
Total
(kg)
COAL RESERVES IN TURKEY (TON)
Semi Coking
Jan
Noncoking
263.01 3.48 10.87 23.70 85.26 9.46 308
Coking
TTK
Total Feb 245.52 3.35 10.80 22.41 80.36 8.95 314
Mar 283.98 3.48 10.78 25.02 91.23 10.25 341
Apr 259.74 3.49 10.88 24.00 91.56 9.96 292
Reserve
Type May 231.59 3.42 10.68 21.94 78.38 9.31 245
2010
Jun 230.46 3.32 10.64 23.12 86.35 8.87 328
Armutçuk
Karadon
Üzülmez
Amasra
Kozlu
Jul 224.14 3.25 10.48 21.73 80.85 8.00 310

Aug 203.02 3.01 10.30 18.55 10.90 7.08 285
Sep 182.57 3.01 10.20 17.50 65.09 7.27 226
1.763. 3.146. 2.825. 8.657. Oct 204.93 3.12 10.19 19.49 81.21 8.27 250
Ready 400.060 52.183
675 786 324 028 Nov 166.72 2.86 10.16 15.78 56.19 7.01 205
169.268. 6.874. 64.347. 134.785. 131.194. 506.469.
Apparent Dec
317 821 317 309 211 975 229.41 3.30 10.83 21.96 76.39 9.16 279
115.052. 15.859. 40.539. 94.342. 159.162. 424.954.
Possible
000 636 000 000 000 636 1) Linear Regression: Linear regression is a predictive
121.535. 7.883. 47.975 74.020. 117.034. 368.447.
Potential analysis and it is used to obtain the relationship between one
000 164 000 000 000 164
406.255. 32.381. 156.008. 303.668. 410.215. 1.308.528.
Total
377 296 103 492 535 803
dependent (class) and one or more independent variables
(attributes). The objective of this analysis is fitting a single
line through a set of data points and finding the equation
III. MATERIAL AND METHODS representing the line [8]. Then according to the line equation
obtaining the unknown dependent variable value by putting
In this paper a classification model is constructed that
the known independent variable values. In the simplest form
makes estimation of the sum of injured employees in the
of the linear regression there are only one dependent and only
mines according to some attributes. The database is used
one independent variable. The form of the model can be given
obtained from Turkish Hard Coal Enterprise that belongs to
as in Eq.1
the years between 2010-2014. Linear Regression (LR) and
Artificial Neural Networks (ANN) are used as the
classification algorithms . (1)
A. Material where y is the dependent variable (estimated), a is the
regression coefficient, b is the constant and x is the
A database is used obtained from Turkish Hard Coal independent variable. In multivariate Linear Regression there
Enterprise that belongs to the years between 2010-2014. It are more than one independent variables as can be seen from
includes the data from Turkey Hard Coal Enterprises. The Eq. 2.
data includes eight attributes such that amount of production,
amount of production yield, total number of employees,
amount of dynamite in kilos, amount of capsules, mast (2)
consumption and total number of injured. The database
includes five years data that belongs to Turkish Hard Coal where y is the dependent variable (estimated), a is the
Enterprise. A sample of the database for 2010 is given in regression coefficient, b is the constant and xi i=1,...,k are the
Table 2. independent variables.
B. Methods 2) Artificial Neural Networks (ANN): Artifical Neural
In this paper to make estimations for the future from the Network is a learning system that can learn from data samples
data in hand a classification model is developed by using two known as training examples and then develop a system which
different algorithms. These algorithms are Linear Regression can learn from these training examples. Working of this
and Artificial Neural Networks (ANN). Classification is a process is similar to a simple simulation of the working of the
supervised machine learning algorithm. In a supervised human brain. Neuron is the basic part of ANN and its working
algorithm the database is split into two sets such as a training principal can be seen in Fig.1. The sum of the weighted inputs
set and a test set. The model is constructed according to the to a neuron is applied to an activation function then an output
training set which class values are available. Than the test set is produces according to that activation function [9].
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TABLE IIIII
ONE VARIABLE REGRESSION ANALYSIS RESULTS
Attribute
of
used
Production yield
Total Employee
Production
capsules used
amount
amount
Mast costs
Explosive
Number
(kilos)
R2
Value 0.6936 0.0858 0,0106 0,0106 0,0106 0.6192
Fig. 1 Working process of a simple neuron
IV. EXPERIMENTAL RESULTS In multivariate regression model the six attributes such that
In this study three different experimental studies are the amount of production, amount of production yield, total
performed. Two of them are regression analysis and one of number of employees, amount of dynamite in kilos, amount of
them is ANN application. Two different regression analyses capsules and mast consumption are used. Then using these
are performed. One of them is simple one variable regression attribute values as the variables multivariate regression
analysis and the other one is multivariate regression analysis. analysis is performed and according to the obtained regression
model the linear line is given in Eq. 3
A. Linear Regression
Two different regression analyses are performed such as (3)
simple one variable regression analysis and multivariate
regression analysis. In one variable regression analysis each number of injured employees are estimated. The R2 for this
attribute in the database given in Table II is related with the analysis is determined as 0.733. With respect to the regression
class information that is the total number of injured. With this equation given in Eq. 3 when there is an increase in the
analysis it is aimed to show the relationships between each amount of production, total number of employees, amount of
attribute with the total number of injured. Thus it can be seen dynamite, amount of capsules an increase is also observed in
that which attribute most affects the estimation accuracy. The the number of injured. In contrast when an increase is
MATLAB simulation of this regression analysis can be seen observed in the amount of production yield and the mast
in Fig. 2 and the results are given in Table III. consumption it is observed a decrease in the number of injured.
Residual plots help to discover errors, outliers, or
correlations in the model [10]. Among the several residual
plots the histogram plot in Fig. 3 that is the simplest one and
the probability plot in Fig. 4 are preferred.
Fig. 2 MATLAB simulation of the one variable regression analysis
According to the results given in Table III the amount of

production is the most effective factor in determining the total
number of the injured and then the mast consumption are the
second important factor. The other attributes that are amount
Fig. 3 The histogram plot of residuals for the multivariate linear regression
of production yield, total number of employees amount of model
dynamite and amount of capsules are not effective in
determining the total number of injured. According to this histogram it can be seen that production
levels, total number of employee, explosive used in kilos and
number of capsules used have peaks. Thus it can be
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408
_____________________________________________________________________________________________________________
understood that these attributes are the most effective ones in

the model.
Fig. 4 The probability plot of residuals for the multivariate linear regression
model
Fig. 6 The ANN configuration of the classification.
The placement of the data dots as shown in the graph in
Fig.4 is not a linear line but it can be approached in such a According to the results best performance is obtained
linear line shows that the model is significant and the data has during the 26 th epoch (Fig. 7).
a positive and high correlation on the total number of injured.
B. Artificial Neural Networks (ANN)
In this classification model MATLAB ANN Toolbox (Fig.
5) is used. The six attributes given in Table II are all used as
the inputs and the class is used as the output of the ANN
configuration given in Fig. 6.
Fig. 7 Mean squared error versus epochs.
The evaluation of the constructed network is as given in Fig.

8. The plot of regression is given in Fig. 9
(a)
(b)
Fig. 5 ANN toolbox MATLAB a) Training part of the toolbox, b) Validation Fig. 8 Evaluation of the network in ANN Toolbox.
and testing part of the toolbox
This configuration has three layers basically such that input

layer, hidden layer and output layer. Input layer has six
neurons, hidden layer has ten neurons and the output has one
neuron.
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409
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Sayfalar%’F2012+Y%C4%B11%C4%B1+Sekt%C3%B6r+Raporu+(T
TK).pdf
[8] J. Fox Applied regression analysis, linear models, and related methods.
Sage Publications, Inc, 1997.
[9] J.E. Dayhoff and M.D. James Artificial neural network Cancer91.S8
pp. 1615-1635, 2001.
[10] http://www.mathworks.com/help/stats/generalized-linear-
regression.html#btdanb8-1
Fig. 9 The plot of regression for the ANN configuration.
V. CONCLUSIONS
In this study using the data obtained from Turkish Hard
Coal Enterprise that belongs to the years between 2010-2014
three different classification models are constructed. The two
of them are linear regression models and the other one is the
AAN model. In each model amount of production, amount of
production yield, total number of employees, amount of
dynamite in kilos, amount of capsules, mast consumption are
used as the attributes and the total number of injured is used as
the class information (the estimated parameter).
According to the simple linear regression model results
given in Table III the amount of production is the most
effective factor in determining the total number of the injured
and then the mast consumption are the second important
factor. The other attributes that are amount of production yield,
total number of employee amount of dynamite and amount of
capsules are not effective in determining the total number of
injured.
According to the multivariate linear regression model
results when there is an increase in the amount of production,
total number of employees, amount of dynamite, amount of
capsules an increase is also observed in the number of injured.
In contrast when an increase is observed in the amount of
production yield and the mast consumption it is observed a
decrease in the number of injured. According to this
histogram it can be seen that production levels, total number
of employee, explosive used in kilos and number of capsules
used have peaks. Thus it can be understood that these
attributes are the most effective ones in the model. And also
the probability plot in Fig.4 shows that the model is
significant and the data has a positive and high correlation on
the total number of injured. The ANN classification model
results are also significant.
____________________________________________________________________________________________________________
410
Hybrid Assessment by Modified Translated

Multiplicative and McCulloch-Pitts Neurons Models
for Monk’s Problem
Ali Özdemir1, Melih İnal2
1 Kocaeli University, Graduate School of Natural and Applied Sciences, Electronics and Computer Education Department,
41380 Kocaeli, Turkey. ozdemirali@yahoo.com
2 Kocaeli University, Informatics Department, Umuttepe Campus, 41380 Kocaeli, Turkey. minal@kocaeli.edu.tr
Abstract— In this study, a solution to the Monk’s problem activation function. Since t neuron model stems from
(Monk’s 2- M2) employing a single neuron dependent on rules multiplicative neuron model, then several multiplicative
which use either modified translated multiplicative (πm) neuron neurons which have been proposed [9, 10, 11] can be
or McCulloch-Pitts neuron model, is proposed. Since M2 problem
is similar to N-bit parity problem, first N-bit parity problem is
examined to comprehend t neuron model. The model is
examined with translated multiplicative (πt) neuron. Then this defined as follows:
architecture is modified for M2 problem. Also, McCulloch-Pitts N
neuron model is used to increase classification performance. v = b  ( xi  ti ) y=fth(v) (2)
When the result of proposed only one πm neuron model that is
i 1
not required in any training stage and hidden layer is compared
with the other approaches, it shows satisfactory performance.
where, b  R and ti  R (i = 1,…,N) which are the
neuron’s adjustable parameters, are bias and weights,
Keywords— Machine learning; Translated multiplicative neuron
model; Modified translated multiplicative neuron model; N-bit respectively. The neuron’s output is y.
parity problem; Monk’s problems
The threshold activation function fth: R  {0, 1} is
I. INTRODUCTION defined as follows:
Translated multiplicative neuron (t- neuron) is primarily
1, v  0
used to the N-bit parity problem. N-bit parity problem is an f th  
approach to test neural network architectures and learning 0, v  0 (3)
algorithms. The N-bit parity problem is considered as a very
hard problem to be solved by neural networks, because a In fact, t- neuron model which is shown in Figure 1 is
single ‘flip’ of a bit in the input string requires a inspired from McCulloch-Pitts. McCulloch-Pitts neuron
complementary classification. The N-bit parity problem is a model is given by the following equation:
generalization of the ‘eXclusive-OR’ (XOR) problem. N-bit
N
 x w . y=fth(vm)
parity problem can be explained as follows. Let x =
[x1,…,xN]T is N-bit binary vector and xi  {0,1} (i = 1, …, vm = w0 + i i
N). The parity generator function which is stated as shown in i 1 (4)
Eq.1, can be determined the parity as follows:
where, w0 is bias and wi are the weights.
 N
0, if  xi is even Comparing Eq. 4 with Eq. 2, w0 is equivalent to b and wi

p ( x)   i 1 (1) are equivalent to ti parameters. The parameters of
1, otherwise. multiplicative t neuron, which uses to threshold activation
 function, are defined as:
There are many neural network architectures applied in N-
bit parity problem [1-8]. Kim et al. proposed a method of 0 < t i < 1 (i = 1,…,N), If N is even then b < 0, If N is odd
improving the learning time and convergence rate to exploit then b > 0.
the advantages of ANN and fuzzy theory to neuron structure.
Their method is applied to the XOR and N-bit parity problems If the same activation function is used in the Eq.2 and
[6]. But, Iyoda et al. make a comparison between neural Eq.4, the mathematical procedure’s complexity is equivalent
architectures for the N-bit parity problem [1]. The comparison of these two models. Table 1 and Table 2 show the solutions
result shows that t neuron model is not required any hidden of 2-bit XOR parity problem and 10x10-bit parity problem’s.
neurons and learning algorithm. t neuron model is called b and all ti parameters ([t1, ... ,tN]) are selected as constants:
translated multiplicative neuron model. It uses threshold -24 and 0.8, respectively. Iyoda et al. proved that the
411
translated multiplicative t neuron model can solve the N-bit In the following section, Monk’s problem is presented.
parity problem for  N  1 [1]. Previous studies in Monk’s problem are given in Section 3.
The πm neuron model and results obtained from the
application of either one πm neuron model or one McCulloch-
Pitts neuron model to Monk’s M2 problem are given in
Section 4.
II. DESCRIPTION OF MONK’S PROBLEM

An artificial robot named as Monk’s problem has six
attributes that is defined by [12]:
x1 : head_shape  round, square, octagon
x2 : body_shape  round, square, octagon
x3 : is_smiling  yes, no
x4 : holding  sword, balloon, flag
x5 : jacket_color  red, yellow, green, blue
x6 : has_tie  yes, no
The Monk’s Problem is classified as M1, M2 and M3
Figure 1. t- Multiplicative neuron model problems according to above attributes. These three problems
are defined by:
An N-bit Parity problem can easily be solved by only one
πt neuron using threshold activation function and parameters Problem M1: If head shape and body shape have same value
defined in certain intervals. This approach has the lowest or jacket color is red, this problem belongs to M1 (head shape
process complexity, which is presented between neural = body shape or jacket color = red).
network solutions so far [1]. Therefore, modified translated
multiplicative (πm) neuron or McCulloch-Pitts neuron model, Problem M2: If exactly two of six attributes of robot have
is proposed for solution of Monk’s M2 problem which has a their first value, this problem belongs to M2.
nonlinear relationship similar to XOR problem. In Eq. 2 and
Eq. 4, all biases and weights are chosen as constants with their Problem M3: If jacket_color is green and holding is sword or
optimum values. Since, they are chosen as constants; there is jacket_color isn’t blue and body_shape isn’t octagon, it
no need any learning stage for the both networks. The main belongs to M3 ((jacket_color = green and holding = sword) or
contribution of the study that it presents modified translated (jacket_color ≠ blue and body_shape ≠ octagon)).
multiplicative neuron model to solve Monk´s M2 problem by
expressing it as an N-bit parity problem. Data which are taken from 6 different places of the
artificial robot must be rearranged to simulate to the parity
Table 1. Solution of 2–bit XOR Parity Problem
rule. The arrangement is done by the following statements:
x1 x2 y
x1 : head_shape  1,2,3 (0000, 0001, 0010)
0 0 0 x2 : body_shape  1,2,3 (0000, 0001, 0010)
0 1 1 x3 : is_smiling  1,2 (0000, 0001)
1 0 1 x4 : holding  1,2,3 (0000, 0001, 0010)
1 1 0 x5 : jacket_color  1,2,3,4 (0000,0001,0010,0011)
x6 : has_tie  1,2 (0000, 0001)
Table 2. Solution of 10x10-bit Parity Problem
As it is seen above, decimal values are given to attributes
for each point of the robot. These decimal values are
x1 x2 x3 x4 x5 x6 x7 x8 x9 x10 y converted to 4 bit binary number system. To adjust the data
0 0 0 0 0 1 1 1 0 0 1 according to N-bit parity rule, each decimal value is decreased
1 0 0 0 1 0 1 1 0 1 1 for one, and then the decreased decimal number is converted
1 0 1 0 0 1 0 1 0 1 1 to its binary value.
0 1 1 0 0 0 0 0 1 1 0
III. OTHER STUDIES RELATED WITH MONK’S PROBLEM
1 0 1 1 1 0 0 1 1 0 0
Thurn et al., summarize the comparison of different
0 0 1 1 1 0 0 1 1 1 0
learning techniques in a report which was performed at the
1 1 1 0 0 1 0 0 1 0 1
2nd European Summer School on Machine Learning, held in
0 0 0 0 1 0 0 0 1 1 1 Belgium during summer 1991 [12]. A variety of symbolic and
1 1 0 1 1 0 1 1 0 0 0 non-symbolic learning techniques are compared on Monk’s
1 1 1 1 0 0 0 1 1 0 0 problems. In Table 4, only the comparison results of Monk’s
412
M2 problem with this study are given. One significant error. The result of the Cascade Correlation algorithm for M2
characteristic of this comparison is that it was performed by a problem: After 82 epochs, 1 hidden unit: 0 Errors on training
collection of researchers, each of whom was an advocate of set and 0 Errors on test set. Elapsed real time: 7.75 seconds.
the technique they tested. Here some algorithms that have
recognition rate more than this study are explained in this IV. MODIFIED TRANSLATED MULTIPLICATIVE (ΠM) NEURON
section. Since Thrun et al. give brief description about their MODEL
studies [12], special properties of the algorithms e.g. rules that Only M2 problem is similar to parity problem among these
are used in their algorithms or other things which are based on three Monk’s problems. So, πm neuron model that is formed
neural networks will reemphasize in the following: by the algorithm of πt is applied to M2 problem. When πm
AQ17 Algorithms. AQ17-DCI algorithm is based on AQ neuron model is used stand alone, no good classification
learning programs. Here is a brief description of the AQ performance is obtained. Therefore, πm or McCulloch-Pitts
algorithm: neuron models alternatively are used according to the rules.
1. Select a seed example from the set of training examples for Data matrix that has size of 169x7 is obtained from ftp
a given decision class. server of University of California, Irvine [13]. According to
2. Using the extend against operator, generate a set of robot’s attributes, 64 of the data produced the output 1 while
alternative most general rules (a star) that cover the seed the rest produced output 0. The first experiment is done for
example, but do not cover any negative examples of the class. examining the t neuron model using 169 data matrix. The b
3. Select the “best" rule from the star according to a multi- and ti parameters of t neuron model are chosen -1 and 0.5,
criteria rule quality function (called LEF – the respectively (b=-1, t1,...,tN = 0.5, where N=24). Since the
Lexicographical Evaluation Function), and remove the robot has 6 attributes and each of them is represented by 4-bit
examples covered by this rule from the set of positive binary number, the model has 24 inputs. For the first
examples yet to be covered. classification, 105 of the data have been correctly classified
4. If this set is not empty, select a new seed from it and go to with 62.130% success. While 115 out of 169 data are already
step 2. Otherwise, if another decision class still requires rules 0, the 62.130% system performance is not satisfying for the
to be learned, return to step 1, and perform it for the other classification given above. If all the outputs of the model are
decision class. assumed to be 0, anyway 68.047% performance is obtained.
AQ17-DCI uses 2 rules for Class 0 and 1 rule for Class1. The input data are examined to get a better solution than
Backpropagation and Backpropagation with weight above. When any of x1, x2, x4, and x5 has the value “3” in
decay. There were 17 input units, all having either value 0 or decimal number system, it is observed that t neuron model is
1 corresponding to which attribute-value was set. All input not good in classifying according to N-bit parity rule. So,
units had a connection to 2 hidden units, which itself were some changes in algorithm are made by adding rules to
fully connected to the output unit. An input was classified as multiplicative t neuron model. This neuron model is named
class member if the output, which is naturally restricted to (0; as modified translated multiplicative (m) neuron model.
1), was  0.5. Training took between ten and thirty seconds on Here, b parameter in m neuron model is chosen different
a SUN Sparc Station. On a parallel computer, namely the
from t that is used for N-bit parity problem.
Connection Machine CM-2, training time was further reduced
The following rules and threshold activation function
to less than 5 seconds for each problem. The following results
given in Eq.3 are used for both m and McCulloch-Pitts
are obtained by the plain, unmodified backpropagation
neuron models:
algorithm. After 90 training epochs, the system performance
 Rule 1: IF (x1=3 or x2=3 or x4=3 or x5=3) THEN b=2
was reached to 100% accuracy. Weight decay widely used
use Eq.2 ELSE b=-2 use Eq.4
technique often prevents backpropagation nets from
If only Rule 1 is used, the 125 of 169 data are correctly classified.
overfitting the training data and thus improves the
The system performance is 73.964%.
generalization. With weight decay α=0.01 Thrun improved the
classification accuracy on this third set for M3 problem  Rule 2: IF x5=4 THEN b=-2 use Eq.2
significantly and, moreover, the concept learned was the same If Rule 1 and Rule 2 are used together, 143 of 169 data are
for all architectures he tested (i,e, 2, 3, or 4 hidden units). correctly classified. The system performance is 84.615%.
The Cascade Correlation Algorithm. Cascade  Rule 3: IF x5=4 and ((x1 = x2 = x3 = 1 and x4 ≠ 1) or
Correlation is a supervised neural network learning (x1=3 and x2 ≠1 and x3 ≠1 and x4 ≠1 and x6 ≠ 1) or
architecture that builds a near-minimal multi-layer network (x1=2, 3 and x2 =2, 3 and x3 =2, 3 and x4 =2, 3 and
topology in the course of training. Initially the network x6=2)) THEN b=2 use Eq.2 ELSE b=-2 use Eq.2
contains only inputs, output units, and the connections If Rule 1, Rule 2 and Rule 3 are used together, 149 of 169 data
between them. This single layer of connections is trained are correctly classified. The system performance is 88.166%.
(using the Quickprop algorithm) to minimize the error. When  Rule 4: IF (x1=3 or x2=3 or x4=3 or x5=3) and ((x1=
no further improvement is seen in the level of error, the x2= x3 = x6 =1) or (x1=3 and x2 = 2,3 and x3 = 2,3
network's performance is evaluated. If the error is small and x4 = 2,3 and x5 = 2,3 and x6=2) or (x1 = 2,3 and
enough, training stage stops. Otherwise a new hidden unit is x2 ≠ 2 and x3 ≠ 2 and x4 = x5 = x6 =1) or (x1 = 2 and
added to the network in an attempt to reduce the residual x2 = 3 and x3 = 2 and x4 ≠1 and x6 ≠ 1) or (x1 ≠ 3
and x2 ≠ 2 and x3 = 1 and x4 = 1 and x6 ≠ 2) or (x1 =
413
3 and x2 = x5 = x6 = 1)) THEN b=-2 use Eq.2 ELSE In addition to performance sequence of previous studies on
b=2 use Eq.2 Monk’s problem, m and McCulloch-Pitts neuron models
proposed in this study are given in Table 4. The results
If Rule 1, Rule 2, Rule 3 and Rule 4 are used together, 154 of obtained in this paper have higher performance when
169 data are correctly classified. The system performance is compared to the some of the studies given in Table 4. Studies
91.124%. supplying 100% performance for M2 problem are already
known. This paper proposes a new approach which is called
 Rule 5: IF (x1≠3 or x2≠3 or x4 ≠3 or x5≠3) THEN m neuron model. Moreover, 6 individual rules can be defined
b=-2 use Eq.4 for the remaining 6 data, which are not correctly classified to
make system performance 100%.
If Rule 1, Rule 2, Rule 3, Rule 4 and Rule 5 are used together,
163 of 169 data are correctly classified. The system Table 4. The performance sorting for Monk’s M2 problem of different
performance is 96.45%. In the all rules, weights of the neuron methods
models are chosen as 0.5.
System
Perfor
Perfor
A study is carried out to examine the performance of m mance Method and Reference
neuron model parameters b and ti as shown in Table 3. To get mance
Sequence
the best performance, the parameters b and ti are to be chosen (%)
in M2 problem as follows: 1 AQ17-DCI / Bala et al. 100.00
2 Backpropagation / Thrun 100.00
 b: ± 1 and ti: 0.3
3 Backpropagation with weight decay / Thrun 100.00
 b: ± 2 and ti: [0.5-0.6]
 b: ± 3 and ti: [0.8-0.9] 4 Cascade Correlation / Fahlman 100.00
5 m & McC.-P. neuron models / our study 96.45
Table 3. Performances due to different b and ti values 6 AQ17-HCI / Bala et al. 93.10
Perfor Perfor 7 AQ17-FCLS / Bala et al. 92.60

b ti b ti
mance (%) mance (%) 8 AQ15-GA / Bala et al. 86.80
0.1 94.675 0.1 94.675 9 Assistant Professional /Cestnik et al. 81.30
0.2 94.083 0.2 94.675 10 AQR / Kreuziger et al. 79.70
0.3 96.450 0.3 94.675
11 Prism / Keller 72.70
0.4 93.491 0.4 94.675
12 Ecobweb l.p. & information utility / Van de Welde 71.30
±1 0.5 89.941 ±4 0.5 94.675
13 Mfoil / Dzeroski 69.20
0.6 89.941 0.6 94.675
14 ID5R / Kreuziger et al. 69.20
0.7 89.941 0.7 94.083
0.8 89.941 0.8 94.083 15 ID3, no windowing / Kreuziger et al. 69.10
0.9 89.941 0.9 93.491 16 CN2 / Kreuziger et al. 69.00

0.1 94.675 0.1 94.675 17 ID3 / Kreuziger et al. 67.90
0.2 94.675 0.2 94.675 18 Ecobweb leaf prediction / Reich et al. 67.40
0.3 94.675 0.3 94.675 19 TDIDT / Van de Welde 66.70
0.4 94.083 0.4 94.675 20 IDL / Van de Welde 66.20
±2 0.5 96.450 ±5 0.5 94.675 21 ID5R-hat / Van de Welde 65.70
0.6 96.450 0.6 94.675 22 Classweb 0.10 / Kreuziger et al. 64.80
0.7 93.491 0.7 94.675
23 ID5R / Van de Welde 61.80
0.8 93.491 0.8 94.675
24 Classweb 0.15 / Kreuziger et al. 61.60
0.9 93.491 0.9 94.083
25 Classweb 0.20 / Kreuziger et al. 57.20
0.1 94.675 0.1 94.675
0.2 94.675 0.2 94.675
V. CONCLUSIONS
0.3 94.675 0.3 94.675
0.4 94.675 0.4 94.675
Modified translated multiplicative neuron which is inspired
±3 ±6
by the architecture of translated multiplicative neuron that is
0.5 94.083 0.5 94.675
an effective ANN model in solving N-bit parity problem and
0.6 93.491 0.6 94.675
McCulloch-Pitts neuron models are applied to Monk’s M2
0.7 93.491 0.7 94.675 problem. The 100% classification performances of studies
0.8 96.450 0.8 94.675 given in Table 4 utilize hidden layer in ANN architecture such
0.9 96.450 0.9 94.675 as the Backpropagation and Cascade Correlation models. The
414
proposed model consists of only one neuron. While AQ17-

DCI algorithm uses 3 rules for obtaining 100% system
performance, unfortunately the proposed model uses 5 rules
with 96.45% performance. Six additional rules can be
individually defined for the remaining 6 data, which are not
correctly classified for accomplishing 100% performance.
Since the weights and bias are optimally selected, the
proposed model does not require learning stage.
REFERENCES
[1] Iyoda, E. M., Nobuhara, H. and Hirota, K.: A Solution for the N-bit
Parity Problem Using a Single Translated Multiplicative Neuron,
Neural Processing Letters, vol.18, pp. 213-218, 2003.
[2] Arslanov, M.Z., Ashigaliev, D.U. and Ismail, E. E.: N-bit Parity
Ordered Neural Network, Neurocomputing 48 (2002), 1053-1056
[3] Al-Rawi, M.: A Neural Network to Solve the Hybrid N-parity:
Learning with Generalization Issues, Neurocomputing, vol.68, pp. 273-
280, 2005.
[4] Hohil, M. E., Liu, D., Smith, S. H., Solving the N-bit parity problem
using neural networks, Neural Networks, vol.12, pp.1321-1323, 1999.
[5] Li, D., Hirasawa, K., Hu, J., Murata, J., Studying the effects on
multiplication neurons for parity problem, 41st Society of Instrument
and Control Engineers-SICE,2002.
[6] Kim, K., Kim, S., Joo, Y., Oh, A.S.: Enhanced fuzzy single layer
perceptron, Advances in Neural Networks, vol.3496,pp. 603-608, 2005.
[7] Setiono, R.: On the solution of the parity problem by a single hidden
layer feedforward neural network, Neurocomputing, vol.16 (3), pp.
225-235, 1997.
[8] Setiono, R., Hui, L. C. K.: Some N-bit parity problems are solvable by
feed-forward networks with less than n hidden units, Int. Joint Conf. on
Neural Networks, 1993, pp. 305-308.
[9] Schmitt, M.: On the complexity of computing and learning with
multiplicative neurons, Neural Computation, vol.14(2), pp. 241-301,
2002.
[10] Zhang, B.-T.: A Bayesian Evolutionary Approach to The Design and
Learning of Heterogeneous Neural Trees, Integrated Computer-Aided
Engineering, vol. 9(1), pp. 73-86, 2002.
[11] Bas, E., Uslu, V. R. and Egrioglu, E.: Robust learning algorithm for
multiplicative neuron model artificial neural networks, Expert Systems
with Applications, vol.56, pp. 80-88, 2016.
[12] Thrun, S.B., Bala, J., Bloedorn, E., Bratko, I., Cestnik, B., Cheng, J.,
De Jong, K., Dzeroski, S., Fahlman, S.E., Fisher, D., Hamann, R.,
Kaufman, K., Keller, S., Kononenko, I., Kreuziger, J., Michalski, R.S.,
Mitchell, T., Pachowicz, P., Reich, Y., Vafaie, H., Van de Welde, W.,
Wenzel, W., Wnek, J., and Zhang, J.: The Monk’s Problems: A
Performance Comparison of Different Learning Algorithms, A Report,
Carnegie Mellon University CMU-CS-91-197, 1991.
[13] University of California, Irvine Dataset: [Online]. Available:
ftp://ftp.ics.uci.edu/pub/machine-learning-databases/monks
problems/monks-2.train
415
_____________________________________________________________________________________________________________
A Model Proposal for Improving the Efficiency of

Facility Layout in Emergency Service in Faculty of
Medicine
Melda KOKOÇ *, Adnan AKTEPE +, Süleyman ERSÖZ*, Ahmet Kürşad TÜRKER+
#
Department of Industrial Engineering, Faculty of Engineering, Kirikkale University, Kirikkale, Turkey
meldabagbasi@gmail.com, sersoz40@hotmail.com
+
Department of Industrial Engineering, Faculty of Engineering, Kirikkale University, Kirikkale, Turkey
aaktepe@gmail.com, kturker@kku.edu.tr
Abstract— Facility layout which increases productivity and healthy come emergency department. While taking care of
provides the most effective way to run the organization, is used patients, hospital staff, materials and flow of information
both determine the location of departments, assistant services, between emergency service departments must be quick. In this
facilities and edit this sections. There are numerous studies in the
regard layout is important.
literature for the solution of facility layout’s problems. We have
In this study after receiving the necessary data from the
observed that the heuristics are preferred in some of these
solutions. We used data mining in this study. Data mining information systems department of the Emergency
continues to offer new horizons, perspectives and new methods in Department in Kirikkale University Faculty of Medicine
a new area every day. The basic objective of this study is to Hospital, data correction and data categorization work was
develop a model of the layout for the purpose of improving the done. Then the data table was converted into text file format
emergency department's functionality, the quality of patient that accepted by the apriori software format. After the data
care, the satisfaction of patient and employee. Firstly in this preparation stage , apriori algorithm was applied on the data
study data warehouse was created by using data of the past year which was categorical structure according to the
in the hospital information system. Data warehousing is the entry predetermined support and confidence value and association
of the association analysis model. Then a system will be develop
rules was obtained by using SPSS Clementine software. Then
to solve the problem using association analysis with Apriori
association analysis which is one of the methods of data mining. the desired rules were generated from large item sets and then
The application of the study is carried out in Kirikkale these association rules were used as a reference during the
University Faculty of Medicine Hospital. The goal of this study to decision-making process for developed algorithm. This
develop a model proposal through utilizing the method of algorithm was applied on apriori algorithm’s results. Finally
Facility layout techniques for emergency department which will alternative facility layout planning was created.
be designed according to way of intervention on patients. Data mining algorithms have been used in various Facility
Layout Problem in literature review. K-means clustering
algorithm is applied to evaluate supermarket’s layout Larson
Keywords— Apriori Algorithm, Association Analysis, Data
et al.[2]. Ay and Çil [3], in their study, used apriori algorithm
Mining, Emergency Department, Facility Layout Problem
and multidimensional scaling to acquire relational database.
I. INTRODUCTION Kundu and Dan [4] used genetic algorithm so as to cope up
with facility layout problems. The aim of Altuntas and Selim’s
Data mining is process that various advance data analysis
study [5] is to propose new weighted association rule-based
based on statistics and artificial intelligence are used by way
data mining approaches for facility layout problem. In Cil[6]’s
of visual programming interface in order to find out hidden
study, different weighted association rule-based data mining
patterns and relations in huge data stacks. Data mining
approaches was applied to facility layout problem. Lee [7]
algorithms include statistical algorithms, mathematical
offers an integrated model that forecasts the total walking time
algorithms and artificial intelligence algorithms (such as
of a passenger by simulation and searches for a near-optimal
neutral networks, decision trees, association rules) together.
layout by ant colony optimization. Aiello et al. [8] offers in
Emergency department where data mining technique was
their study a new multi objective genetic algorithm for dealing
applied is the first line in hospitals to face emergency patients.
with unequal area facility layout problems. In Ozcan and
As a major function of emergency department, when a patient
Esnaf’s study[9], a mathematical model is propose based on
comes to the emergency department, the emergency
association rule mining for store layout problem which
department personnel perform a triage procedure and then
involves the identification of the position of products and
transfer the patient to associated departments for treatment [1].
product categories which are shown in-store shelves. Yener
For patients waiting in the emergency services, delay in the
[10] aims to find an interior design of a warehouse that is
medical examinations decrease the quality of service and
minimizing the costs occurs while orders gathering within the
customer satisfaction. At the emergency services these factors
main distribution warehouse which is performing in retailer
are of much more importance since patients who have risky
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sector. Performances of different warehouse designs obtained Several techniques and algorithms such as Classification,
via different methods are examined with the aid of simulation Clustering, Regression, Artificial Intelligence, Neural
techniques. In the workshop, data mining techniques which Networks, Association Rules and Decision Trees are used for
have association rules are also benefited from. Gonçalves and information exploration from databases [19]. One of the
Resende [11], in their study propose a biased random key techniques is clustering which is used to describe the object of
genetic algorithm for the unequal are a facility layout problem similar classes. The clustering technique defines the classes
where a set of rectangular facilities with given are a and assigns each object to a particular class. Classification
necessities has to be placed, without aliasing, on a rectangular widely used data mining technique, to develop a class and
floor space. Arulkumar and Saravanan used to solve the layout learning. Most frequent item in the large data set is found by
problem Artificial Bee Colony algorithm and Particle Swarm association analysis. The main aim is to release interesting
Optimization algorithms in their paper [12]. In Aktepe et al.’s correlation and association between a big data set [17].
study [13], association analysis which is one of the data Regression analysis can be used to model the relationship
mining technique and VIP-Plant Optimization was used to between one or more independent variables and dependent
develop a new proposal of facility layout for a shopping center. variables. In data mining independent variables are attributes
In paper of Lin and Guan [14] a hybrid algorithm based on which is known and response variables are what we want to
variable neighborhood search and ant colony optimization is forecast. Neural network implies a set of connected input or
pro-posed to solve the single row facility layout problem. output units and each connection has a weight present with it.
Studies implemented FLP and Data mining in hospital are Neural networks have the significant ability to derive meaning
very little in literature review. The contribution of paper of from complicated or indefinite data and can be used to acquire
Yeh [15] is a new framework which is named annealed neural patterns and find trends that are too complicated to be noticed
network. Aim of framework is to find vying solutions for the by either humans or other computer techniques [18]. Decision
FLP efficiently. This framework take place the integration of tree is one of the most important classification methods.
Hopfield neural networks and simulated annealing. A Decision tree is a method used to divide data sets including
Hopfield neural network is a representation model of the more registries into smaller data sets via an array of decision
layout problem and simulated annealing is a search algorithm rules. Artificial intelligence is capability that a computer or a
for finding the optimum or near optimum solutions. In Cakar’s robot controlled by computer carries out various activities like
PhD thesis [16] genetic algorithm is used to optimize the intelligence living creature.
emergency department's layout.
In the second section, methodology which is used in this
study was mentioned. Studies which were done, developed B. Association Analysis in Data Mining
algorithm, new facility layout which was generated were
Association analysis, one of the most important and well
explained under application title that was explained in the
researched techniques of data mining, was first introduced in
third section. In the fourth section, summary of study was
study of Agrawal et al. [19]. The association rule algorithm is
explained and improvement acquired was expressed
commonly used to identify relationships between items or
numerically.
features that occur synchronously in a database. The Apriori
II. METODOLOGY algorithm [20] is widely used to mine frequent item sets and
learning association rules in a datamining field. It seeks to
generate the desired rules from large item sets and then uses
A. Data Mining these association rules as a reference during the decision-
making process. The Apriori algorithm is usually divided into
Data mining is the process of finding of information which two separate steps. First, minimum support is applied to find
is unseen from a big data. Data mining, analyzing the data all of the frequent item sets in a database. Second, these
from different source and transform it meaningful information frequent item sets and the minimum confidence constraint are
[17]. Data mining is also named as knowledge discovery used to form rules [21]. Association rules are rules presenting
process, knowledge extraction, data analysis or knowledge association or correlation between item sets.
mining from data.
C. Apriori Algorithm used for Association Analysis
Apriori algorithm the most popular algorithm which is used
for the association rules discovery. The algorithm's name
comes from the word "before (prior)".Because this algorithm
receives information from a previous step. Apriori algorithm’s
steps are given below:
 Determination of the number of minimum support
and the value of minimum confidence.
 Finding the value of support of the each element in
Fig. 1 Information discovery process [18].
the element sets.
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 Disabling elements having a lower value than the

minimum support value. III. APPLICATION
 Creation of binary association with considering the
created single associations. In application, Apriori Algorithm was applied to
 Removal of cluster elements that have low value than emergency departments’ data by SPSS Clementine with
the minimum support value. respect to SPSS model which is shown in Fig 3 and
 Elements are divided into groups of threes/fours etc. confidence coefficient between departments was found.
and the same procedure is repeated.
 Derivation of association rules after identifying the
product group according to support measures.
D. Facility Layout Planning

Aim of facility planning is to determine best plant design
by defining related work areas and material locations in
facility. It also includes supporting organization task in order
to conduct material handling, material controlling and
workshop, effective use personnel, material, area and energy, Fig. 3 SPSS Clementine Model for Apriori Algorithm
minimizing capital investment, facilitating maintenance to
provide flexibility, ensuring work satisfaction and labor safety. Utilizing present facility plan (Fig. 4), rectilinear distance
between departments was calculated via Equation 1.
Facility Layout Layout Design =| − |+| − | (1)

Facility Layout
Planning
Facility Design Structural Design
Information and
Material Handling
System Design
Fig. 2 Facility Layout Planning Hierarchy
Facility layout problem is NP-Hard problem as it has

complexity in terms of modelling and calculating [22]. It is
related to how facility locates in bounded area. Layout
decision problems are called as plant layout problem or
facility layout problem in literature. Facility Layout Planning Fig 4: Present Facility Plan
is divided into four groups as p-median, p-center, unbounded
capacitated facility layout and quadratic assignment problem Flow distance values with coefficient were acquired by
[23]. multiplying flow between departments, distance and
coefficients obtained through developed algorithm.
Facility design is coordination with stations’ activities such Alternative facility layout in Fig. 5 was generated by way of
as handling, storage, quality control etc. with regard to their minimizing flow distance values and considering emergency
physical locations. Main target of facility design is to service doctor’s advices such as:
minimize movement of entities related to production  Patients coming emergency service on foot and by
activities. The reasons why facility design is necessary are ambulance should enter emergency service from
changing in manufacture design and volume of demand, different entrances,
adding a new equipment or good, enlarging or reducing areas,  Patients coming emergency service on foot should
replacing an area, new plan for facility, increasing working not pass red area to head for green district,
accidents, worsening working conditions, minimizing  Department of Radiology should be located near red
production costs. and yellow area,
 A new emergency entrance should be opened for
patients coming emergency service on foot.
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IV. CONCLUSIONS
Speed of service is one of the most important indicators for

patient coming emergency service. Any delay can be ended
with death.
In this study applied in emergency service, flows between
the emergency departments (emergency entrance, pediatric
emergency department, pediatric emergency observation,
radiology, isolation room, minor surgery, resuscitation room,
red area, yellow area, green area, plaster room) of patients
which come to the emergency departments are examined via
SPSS Clementine and confidence rates were found in the
Fig. 5: Alternative Facility Layout relationships between departments. Considering these rates,
coefficients were appointed to interdepartmental relationships
Compared present and alternative facility layout, we noticed with the help of algorithm developed. Flow distance values
that alternative facility layout is better than other. But this is with coefficient were acquired by multiplying flow and
not optimal solution. It can be improved. distance between departments and coefficient. Alternative
Developed Algorithm Steps; facility layout was generated considering emergency service
doctor’s advices for minimizing flow distance values taking in
1. A list is created from relations whose coefficient of consideration patients flow between departments in
reliability was determined by Apriori Algorithm. If emergency service; a new facility layout was created.
there is a single relation whose reliability rate is Multiplying distance and flow was tried to reduce by only
over %60 or a mutual single relation whose decreasing distance. Departments which have the most flow
reliability rate is over %50, 7 points are given. were tried to zoom one another. Multiplying of distance and
flow decreased from 83131, 15 to 53385, 7. So, improvement
2. Single relations which have 7 points are removed acquired is %36.
from the list. For the rest, if there is a relation which
is single for one side and dual for other side and .
over %50 coefficient of reliability, 6 points are given.
REFERENCES
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from the list. For the rest, if there is a relation which Emergency Physicians Using Data Mining Analysis, Expert Systems
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[2] S. J. Larson, E.T. Bradlow, P. S. Fader, an Exploratory Look At
reliability, 5 points are given. Supermarket Shopping Paths, Intern. J. Of Research in Marketing 22,
395– 414, 2005.
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from the list. For the rest, if there is a mutual single in Migros A.Ş., Industrial Engineering Journal, 21 Vol 2, 14-29, 2008.
[4] A. Kundu, P.K. Dan, The Scope Of Genetıc Algorıthms In Dealıng
relation which is over %40 coefficient of reliability, Wıth Facılıty Layout Problems, 10.1061/(Asce)Cp.1943-5487.0000128,
4 points are given. 259-269,2010.
[5] S. Altuntas, and H. Selim, Facility Layout Using Weighted Association
5. Single relations which have 4 points are removed Rule-Based Data Mining Algorithms: Evaluation With Simulation, The
Fixed Area Layout Problems, Expert Systems With Applications 39 ,
from the list. For the rest, if there is a relation which 3–13, 2012.
is single for one side and mutual for reverse side and [6] Cil, Consumption Universes Based Supermarket Layout Through
over %40 coefficient of reliability, 3 points are given. Association Rule Mining And Multidimensional Scaling, Expert
Systems With Applications 39, 8611–8625, 2012.
[7] H. Lee, Integrating Simulation And Ant Colony Optimization To
6. Single relations which have 3 points are removed Improve The Service Facility Layout İn A Station, Journal Of
from the list. For the rest, if there is a relation which Computıng In Cıvıl Engıneerıng, 259-269,2012.
is just single for one side and over %40 coefficient of [8] G. Aiello ,A Multi Objective Genetic Algorithm For The Facility
reliability, 2 points are given. Layout Problem Based Upon Slicing Structure Encoding, Expert
Systems With Applications 39 ,3–13, 2012.
[9] T. Ozcan and S. Esnaf, A Discrete Constrained Optimization Using
7. If relations are under %40 or there is no any relation, Genetic Algorithms For A Bookstore Layout, International Journal Of
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[10] F. Yener, a Warehouse Design Using Data Mining and Optimization
Techniques: An application in retail sector, Master's thesis, Sakarya
University, Institute of Science and Technology, Department of
Industrial Engineering, 2014.
[11] J. F. Gonçalves, M.G.C.Resende, A Biased Random-Key Genetic
Algorithm For The Unequal Area Facility Layout Problem, European
Journal Of Operational Research 246 , 86–107,2015.
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[12] M. Saravanan , P.V.Arulkumar, An Artificial Bee Colony Algorithm

For Design And Optimize, The International Journal of Advanced
Manufacturing Technology , Volume 78, Issue 9, 2079-2095, 2015
[13] M. Gülbitti, B. Ayhan, Y. Ünlü, A. Aktepe, S. Ersöz, The application
of earnings management in service systems based on Associated
Analysis and Facility Layout Algorithms , YAEM, 2015
[14] J. Guan, G. Lin, Hybridizing Variable Neighborhood Search with Ant
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Vol. 1 No. 4 301-305, 2010.
[19] R. Agrawal, T. Imielinski, A. Swami, Mining Association Rules
between Sets of Items in Large Databases, Proceedings of the 1993
ACM SIGMOD Conference Washington DC, USA, May 1993.
[20] R. Agrawal and R. Srikant, Fast Algorithms for Mining Association
Rules, Proceedings of the 20th VLDB Conference Santiago, Chile,
1994.
[21] Wu et al., Application Of A Two-Step Cluster Analysis And The
Apriori Algorithm To Classify The Deformation States Of Two
Typical Colluvial Landslides İn The Three Gorges, Environ Earth Sci,
75:146, 2016.
[22] M.R.Garey, D. S. Johnson, Computers and Intractability: A Guide to
the Theory of NP-completeness. New York: WH Freeman, 1979.
[23] V. Yiğit ve O. Türkbey, Heuristic Approach for Facility Layout
Problem., Journal of the Faculty of Engineering and Architecture of
Gazi University 18 (4) ,2003.
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ANT COLONY BASED DYNAMIC

NAVIGATION FOR TRABZON CITY
Volkan Gangal*, Gökçe Hacıoğlu*
Department of Electrical Electronics Engineering
Karadeniz Technical University
61080 Trabzon, TURKEY
{volkan.gangal, gokcehacioglu}@ktu.edu.tr
Abstract—This study contains a simulation of such as traffic jams, road length, and average delay time for
dynamic road navigation system for intelligent transport ant colony algorithm. In this way, the proposed approach can
system. The proposed system uses wireless sensor easily find optimum route between two points based on
networks in roadsides. Through a vector map of Trabzon current data in Trabzon city.
and ant colony algorithm, the optimum route is calculated
in vehicles. Wireless sensor networks provide some B. ANT COLONY ALGORITHM
coefficients such as traffic jams, road length, and average
delay time for ant colony algorithm. A small area in Ants live in colonies and they make division of labor
Trabzon is considered for the proposed dynamic road between them to overcome the difficulties. When an ant finds
navigation. In literature search, it has not found any the food source, the other ants can reach the food source easily
realistic study that contains intelligent transportation by using the most convenient way. The chemical which causes
system for Trabzon city. that phenomenon known as pheromone. Ants leave pheromone
chemical on the roads which they pass. In addition, they prefer
the ways that have much pheromone. Also the pheromone
Keywords— Ant Colony Algorithm, Wireless Sensor substance has evaporation property. Therefore the amount of
Networks, Dynamic Road Navigation, Intelligent pheromone is much more where they frequently pass. Assume
Transport System that the ants have same speed and they drop pheromone with
same rate. Therefore, there will be much pheromone on the
shortest path and the ants will prefer that route to go to food
source [5,6].
I. INTRODUCTION
In recent years, there is a growing interest to navigation There are two main parameters in the Ant Colony
works. However, many of these worksdon’t contain actual Algorithm. The first one is selection possibility of the route
information about the road or roadside. The proposed method and the second one is evaporation rate of pheromone.
uses Ant Colony Algorithm and coefficients which come from
WSN to determine the reliable and short route to the target.
A. WIRELESS SENSOR NETWORKS
Wireless sensor networks (WSN), consist of multiple

sensor elements and these networks collect information from
the environment in a particular purpose. These sensors usually
work autonomously and can adapt to changing environmental
conditions. [1]. WSNs are composed of elements called nodes,
and the joint work of several units. A sensor node generally
contains four main components. These units are: power unit,
sensor unit, processing unit and communication unit.
Many studies have been made on routing for WSNs using
Ant Colony Algorithm (ACO) [2,3,4]. The majority of these
algorithms aim to extend the network lifetime [2]. In this
study, it is assumed that there were WSN nodes on the Fig.1 The foraging behavior of ants
roadsides. And these WSN nodes provide some coefficients
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“extractfield” command was used to extract road coordinates

The selection possibility of an ant from r point to s point from vector data, so that related x and y coordinates were
expressed as follows. [2]. obtained.
For this purpose the same coordinates were found to find
the intersection of two roads. Then the next point was
[T(r,s)]α [C]β
pk (r,s)= ∑ α β (1) obtained similarly. If there were two or more points which
u∉Mk [T(r,s)] [C]
have same coordinates, roulette wheel was used to determine
next point.
Where α> 0, β> 0 are the effect parameters and take the value
as ≈ ≈ 2 typically [7]. ( , ) is pheromone matrix and The coordinates of the path are the sequence shown as
indicates pheromone value related row and column. C is the figure 3 below. The first row refers x coordinates and the
cost function and it is thought as multiplication of w weights second one refers y coordinates. Column number indicates
come from WSN and path length d. the index number. As can be seen from the figure, every part
of the road separated by "NaN" statement. So the "NaN"
statement refers a part of the road.
=∑ ∗ (2)
The pheromone matrix is updated as follows [2].
Tk (r,s)=(1-ρ)Tk (r,s)+ΔTk (3) Fig. 3 The appearance of the extracted coordinates
Different routes to the target were found and then their

In the above equation indicates that the evaporation rate . In costs were calculated. Vector map of the selected area with
this study, ρ value was obtained as 0.5. lengths and weights of the paths are given in figure 4.
II. SYSTEM IMPLEMENTATION
A. Using Vector Map of Trabzon for Routing

Firstly the vector map of Trabzon was read in Matlab
program and it was selected a particular region for navigation.
The satellite image of the selected region shown in Figure 2
below.
Fig. 4 Paths lengths and their weights
B. WSN Supported ACA Based Dynamic Navigation
The amount of pheromone will be effective to determine

optimum route. Therefore the variations at the pheromone
Fig. 2 Selected region for navigation work levels are important too. Thus if there are WSN feedbacks
such as congestion, rain or slippery surfaces on the road, this
Random coefficients are assigned to the way parts in this will affect the cost function of related path. And some parts of
region initially. These weights represent feedbacks that come the path will not be preferred in generated route. In this way
from Wireless Sensor Networks. Starting point and endpoint the dynamic and shorter route that based on actual data will be
coordinates are described to make navigation work. selected.
It is necessary to obtain all possible routes between these The weights are between 0 and 1. The number 1 represents
points. To make this, it was investigated that how the roads the worst road condition. If the coefficient closer to 0, it
connected to each other. indicates that the road condition is fine.
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III. CONCLUSIONS REFERENCES

In this study, ACA-based dynamic navigation work was [1] Saleem M., Di Caro G., Farooq M., "Swarm Intelligence Based
Routing Protocol for Wireless Sensor Networks: Survey and Future
discussed. it is assumed that there were WSN nodes on the
Directions", Information Sciences, 2011, pp. 4597-4624.
roadsides. It is also assumed that these nodes provide some [2] Camilo T., Carreto C., Silva J., Boavida F., "An Energy Efficient Ant
coefficients as feedback. Using these coefficients the cost Base Routing Algorithm for Wireless Sensor Networks", Fifth
function was calculated and optimum route was obtained. International Workshop on Ant Colony Optimization and Swarm
Intelligence (ANTS 2006), 2006, pp. 49-59.
Four routes which have minimum costs are shown in figure
[3] Singh G., Das S., Gosavi S., Pujar S., "Ant Colony Algorithms for
5 below. High cost routes aren't shown in figure. Steiner Trees: An Application to Routing in Sensor Networks", Recent
Developments in Biologically Inspired Computing, de Castro, L. N.,
Von Zuben F.J., (Eds); Idea Group Publishing: Hersey, PA, USA, 2004,
pp.154-165.
[4] Zhang Y., Kuhn L., Fromherz M., "Improvements on Ant Routing for
Sensor Networks", Workshop on Ant Colony Optimization and Swarm
Intelligence (ANTS 2004), 2004, pp.154-165.
[5] Karaboğa D., Yapay Zeka Optimizasyon Algoritmaları, Nobel Yayın
Dağıtım, Ankara 2011.
[6] Yang X. S., Nature-Inspired Metaheuristic Algorithms, Luniver Press,
Frome, 2010.
[7] Dorigo M., "Optimization, Learning and Natural Algorithms", Ph.D.
Thesis, Dipertimento Elettronica, Politecnico di Milano: Milan, Italy,
1992.
Fig. 5 Four routes which have minimum costs
Table 1: Routes and their costs

Route 1 Route 2 Route 3 Route 4
Cost 207.82 286.09 161.56 188.80
Route 3 has the lowest cost as can be seen Table 1. Thus

Route 3 will be selected as optimum route. In this study all the
roads are assumed to bidirectional. This topic can be handled
in future studies.
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A Robust Hand Pose Correction Method for

Palmprint Recognition
Özkan Bingöl*, Murat Ekinci+
#Department of Software Engineering, Gümüşhane University
Gümüşhane, Turkey
bingolo@gumushane.edu.tr
+
Department of Computer Engineering, Karadeniz Technical University
Trabzon, Turkey
ekinci@ktu.edu.tr
Abstract— The selection of the appropriate pattern for palmprint cost of these methods makes difficult to apply them on the
recognition systems depends on the success of the segmentation palmprint recognition system.
techniques used. Segmentation can be difficult due to free In this study in order to eliminate alignment problems, a
movement of the hand in unrestricted environment. Also holding stereo camera device which has two webcam is used. Stereo
the hand at different angles causes perspective distortions. In
camera systems are more advantageous in terms of cost
order to correct these distortions, active scanning systems have
been proposed to find the 3D position of the hand. However, as the compared to other 3D techniques. However, the computational
cost of these systems is high, it seems that they are not possible to complexity of these systems makes it difficult to precise 3D
spread. scanning. In the proposed method rather than precise 3D
In this study, a stereo camera system which is more cost effective, scanning, it has been tried to dermine number of landmarks that
have been used. With the help of this system, 3D coordinates of the may help finding the orientation and location of the hand. Thus,
landmarks falling on hand are calculated. A new transformation factors affecting the recognition in a negative way emerged in
is defined based on the main axis of the distribution of these points. contactless systems (rotation, translation and scaling like) are
Thus perspective distortions are substantially corrected. The eliminated to a great extent. After determining hand’s pose in
success of the proposed approach has been tested on our dataset
3D space, perspective correction is performed using geometric
consisting of hand images taken from 138 people. As a result of the
experiments, recognition rate even in the cases reached over 90%. transformations. In order to evaluate the performance of the
proposed approach, a dataset that contains the stereo images of
138 different people is used. Pose corrections on the images in
Keywords— Palmprint Recognition, Stereo Camera, Pose
Correction the dataset are made and necessary patterns for recognition are
produced. Hand segmentation on the corrected images and the
I. INTRODUCTION detection of the palm area (ROI) are made using Active
In the first devices developed for palmprint validation [1, 2] Appearance Method (AAM). Feature vector is produced by
cameras which have own lighting system are used. At the time Gabor based Kernel Fisher Discriminant Analysis method
of taking image, a flat surface is used to keep the hand at the (Gabor-based KFA). Cosine Mahalanobis (cosmah) distance is
same distance. The movement hand is significantly restricted used for similarity measure between the vectors.
by the pegs in the device. Despite the successful results
obtained in these studies, it is mentioned that the pegs cause
distress for some users (especially those with physical problems A. Hand Acquisition Device
in their fingers) [3-6]. Then unrestricted systems without pegs
An open access dataset of stereo-based palm images was not
are proposed. [7-10] However, they are contact systems and
found in the literature. Therefore, in order to test the proposed
cause hygiene problems especially in a multiuser evironments
approach in this study, a new dataset was created consisting of
[11].
stereo image pairs. In the device prepared to generate this
Recent studies about hand biometric systems has focused on
dataset, two CMOS cameras having the same physical
unrestricted and contactless techniques that do not need user
properties were used (Fig. 1). The cameras were placed
cooperation. In the unrestricted and contactless systems, in
vertically in the system (up and down cameras). The camera
order to overcome alignment problems, hand’s pose and the
system has its own light source to avoid exposure of ambient
distance to the camera should be known. It is very difficult to
light sources. 12 V led strips are used for lighting. The height
obtain these informations in 2D image. For this reason, some
of the protective box was 25 cm. The distance from the central
researchers have proposed 3D hand acquation systems with
focus of the two cameras was approximately 3 cm. In the stereo
different characteristics (digital laser scanner [12], structured
camera system, the internal values and the detection of relative
ligth [13], the depth camera [4], ultrasound [14] etc.). 3D
positions of the camera used are required to be gathered the 3D
information offered by these systems raise recognition rates as
information. Thereby, pre-treatment (camera calibration) is
well as presenting some security advantages. However, extra
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available in the system. For calibration, 32 chess images The pose correction process was conducted according to the
consisting of 7x5 squares with edge length of 25 mm are used. distribution of the 3D point cloud detected on the hand. As
shown in Fig. 3a, these points are approximately in the form of
an ellipse. This ellipse (𝒆𝒆��⃗, ��⃗,
𝟏𝟏 𝒆𝒆 ��⃗)
𝟐𝟐 𝒆𝒆 𝟑𝟑 and its main axis, which are
perpendicular to each other, can be found using Principle
Component Analysis (PCA). The eigenvector
��⃗)corresponding
(𝒆𝒆 𝟏𝟏 to the maximum value detected by PCA is
the primary main axis. This axis is in line with the fingers and
′
usually falls on the middle finger. If it is assumed that 𝑃𝑃3𝐷𝐷 and
𝑃𝑃3𝐷𝐷 are new and current 3D points respectively, then the
transformation is represented as:
Fig. 1 Hand Acquisition System ′
𝑃𝑃3𝐷𝐷 = 𝑅𝑅𝑃𝑃3𝐷𝐷 (1)
B. Dataset where R is the 3 × 3 transformation matrix and is defined as
In the dataset, there were a total of 2760 images (640 × 480 follows:
pixels) taken from 138 (47 female and 91 male) individuals −1
based on 10 different scenarios (S1, S2, ..., S10). Images were 𝑒𝑒��⃗1
taken according to previously identified scenarios by giving 𝑅𝑅 = ��⃗
𝑒𝑒2 � (2)
instructions to the users, but no intervention was made during 𝑒𝑒3
��⃗
the making of the images. In six of the specified scenarios (S1,
The 3D points detected on the hand and the transformation
S2, S3, S4, S5 and S10), it has been asked from user to keep
results of their centralized coordinate values are shown in Fig
their hands parallel to cameras. In the others, it has been asked
3b. It can be seen from the figure that the center of the
from users to keep their hands in different directions with an
transformed points is O(0,0,0) and the main axis is along the X,
angle of about 30 degrees (S6, S7, S8 and S9).
Y and Z axes.
Fig. 2 Sample images of a user from the dataset
C. Pose Correction
Perspective distortions arises when the hand is not parallel (a) (b)
to the camera plane. Kanganhad et al. [3] apply Iterative
Reweighted Least Squares approaches on the point cloud Fig. 3 (a) The ellipse form of 3D points; (b) original points (black) and
obtained from digital 3D scanner to make pose corrections and transformed points (green)
have determined the normal vector of the hand plane. 3x3 In order to apply the proposed transformation to the image,
transformation matrix is defined with the help of this vector. the 𝑃𝑃2𝐷𝐷 constant matrix was created:
Another approach can be seen in [15]. In this study, the relative
𝑦𝑦1 − 𝑦𝑦𝑐𝑐 𝑦𝑦2 − 𝑦𝑦𝑐𝑐 … 𝑦𝑦𝑛𝑛 − 𝑦𝑦𝑐𝑐
coordinates of 7x5 pieces light points directed from light sourse
to the hand is calculated. Projective matrix is created with the 𝑃𝑃2𝐷𝐷 = �𝑥𝑥1 − 𝑥𝑥𝑐𝑐 𝑥𝑥2 − 𝑥𝑥𝑐𝑐 … 𝑥𝑥𝑛𝑛 − 𝑥𝑥𝑐𝑐 � (3)
help of the normal vector of the plane formed by points. 0 0 … 0
Geometric correction was performed with this transformation where 𝑥𝑥𝑖𝑖 and 𝑦𝑦𝑖𝑖 are image coordinates, 𝑥𝑥𝑐𝑐 and 𝑦𝑦𝑐𝑐 are the
matrix. On the correction step of these experiments, rather than image's center points and 𝑛𝑛 is the number of pixels in the image.
finger positions and the distance between hand and the camera, In this representation, the image coordinates are assumed as a
midpoint of the hand is taken as reference and and the point cloud along the axis of 𝑍𝑍 = 0 in 3D space. The new pose
correction process is made in that position. As the background corrected coordinates can be found with the following formula:
is monochrome, segmentation is performed without problem.
′
In our study, first landmarks on each stereo cameras are 𝑃𝑃2𝐷𝐷 = 𝑅𝑅𝑃𝑃2𝐷𝐷 (4)
detected by SURF[16] method. Depth information of these
′
points is obtained with the help of epipolar geometry 𝑃𝑃2𝐷𝐷 , represents a transformed new surface in the 3D space
′
techniques by matching. Assuming that the hand is the nearest and the 𝑍𝑍 values are different from 0. 𝑃𝑃2𝐷𝐷 points are
object to the camera plane, all points over a certain distance transformed to the homogeneous coordinates, and as in
from the plane have been eliminated. Thus, only point clouds equation 5, the perspective projection of the axis 𝑍𝑍 = 𝑑𝑑 is
falling on hand was detected. obtained.
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2
1 0 0 0 ��𝐼𝐼�𝑊𝑊(𝑥𝑥; 𝑝𝑝)� − 𝐴𝐴0 (𝑊𝑊(𝑥𝑥; Δ𝑝𝑝))� (9)
′
𝑃𝑃2𝐷𝐷 = �0 1 0 0� 𝑃𝑃2𝐷𝐷
′
ℎ
(5) 𝑥𝑥
𝑓𝑓
0 0 1� 1 where 𝐴𝐴0 is an average image, 𝑊𝑊(. ) represents the warping
𝑑𝑑
process, 𝑝𝑝 is the necessary parameter for the warp operations,
where 𝑑𝑑 is the average distance of the points on the hand to and Δ𝑝𝑝 shows the parameter change in the next iteration.
the camera plane. The new image coordinates were determined In this study, 51 points on 70 randomly selected images in
′
by adding 𝑥𝑥𝑐𝑐 and 𝑦𝑦𝑐𝑐 values to 𝑥𝑥𝑓𝑓𝑖𝑖 and 𝑦𝑦𝑓𝑓𝑖𝑖 in the matrix 𝑃𝑃2𝐷𝐷 𝐼𝐼
. the stereo database are marked for the training of AAM model
(Fig. 5). Shape and appearance models of annotated images
𝑥𝑥𝑓𝑓′ = 𝑥𝑥𝑓𝑓𝑖𝑖 + 𝑥𝑥𝑐𝑐 𝑎𝑎𝑎𝑎𝑎𝑎 𝑦𝑦𝑓𝑓′ = 𝑦𝑦𝑓𝑓𝑖𝑖 + 𝑦𝑦𝑐𝑐 (6) have been created by training with AAM. AAM points on other
𝑖𝑖 𝑖𝑖
images has been tried to be determined using this model. 3 level
Intensity values corresponding to each coordinate were image pyramid has been created to perform the search process
found by making an interpolation of the values in the original faster.
image. With the help of the transformation, the middle finger
was arranged along the Y axis in the new image. Thus, the pose
of the hand in 3D space was corrected and the fingers in the
new image were aligned to face upward (Fig. 4).
(a) (b) (c)

Fig. 5 AAM points and ROI
E. ROI Extraction
Detection of the ROI is one of the most important stages of
palmprint recognition and affects recognition performance
significantly. As AAM-based hand segmentation uses texture
(d) (e) (f) information, it provides a significant advantage in the detection
Fig. 4 Pose correction: (left column) rectified images; (middle column)
of the valley points. In this study, the ROI extraction method
resampled images obtained using pose correction method; (right column) used is similar to that proposed by Zhang et al. [1], with an
interpolated images approach allowing a wide area to be selected (Fig. 6c). The
valley points required by this method are selected from the
D. Hand Segmentation control points determined by the AAM. Here, the distance (d)
The AAM [17] is based on the philosophy of finding the model between the two valley points was via a proportional
parameters that minimize the difference between the target relationship. The selected valley points were P15 and P37 (Fig.
image and the learned average image. Training images 5). The ROI was determined to be a square with each side 1.4
previously annotated by an expert are used to create an average d and 0.2 d from the mid-point of the valleys. The obtained
image model. Points marked on each image are aligned with ROIs were scaled to 128 × 128 pixels.
Procrustes Analysis and the shape model of the AAM is created.
Variations of the shape model are determined by PCA.
According to the average shape image, each image in the
training set is subjected to a warp process. The texture model is
obtained by transforming textures within the delaunay
triangulation established between points of the warped image
to a vector [18, 19].
𝑠𝑠 = 𝑠𝑠0 − 𝜙𝜙𝑠𝑠 𝑝𝑝 𝑝𝑝 = 𝜙𝜙𝑠𝑠𝑇𝑇 (𝑠𝑠 − 𝑠𝑠0 ) (7)
(a) (b) (c)
𝑔𝑔 = 𝑔𝑔0 − 𝜙𝜙𝑡𝑡 𝑞𝑞 𝑞𝑞 = 𝜙𝜙𝑡𝑡𝑇𝑇 (𝑔𝑔 − 𝑔𝑔0 )
(8)
Fig. 6 Various RIO extraction methods: (a) Zhang et al. [1]; (b) Connie et al.
where 𝑠𝑠 and 𝑔𝑔 are the shape vector and synthesized shape- [11]; (c) proposed method. Skin color segmentation is used in (a) and (b); AAM
free texture vector; 𝑠𝑠0 and 𝑔𝑔0 are mean shape and mean texture; segmentation is used in (c).
𝜙𝜙𝑠𝑠 and 𝜙𝜙𝑡𝑡 are the eigenvectors of shape and texture; 𝑝𝑝 and 𝑞𝑞
ROI extraction approach is applied on the image before the
are shape and texture parameter vectors, respectively.
pose correction actually the importance of correction emerges
It has been recommended that the inverse compositional
clearly. Related results of the same images are shown in Fig. 7.
image alignment approach be the adapted AAM [20]. This
algorithm tries to minimize equation 9.
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The solution to this problem is provided by obtaining

eigenvalues of 𝐾𝐾𝑤𝑤−1 𝐾𝐾𝐵𝐵 . The projection of a point x to w in F
is given in (31).
𝑛𝑛
𝑤𝑤. 𝜙𝜙(𝑥𝑥) = � 𝛼𝛼𝑖𝑖 𝑘𝑘(𝑥𝑥𝑖𝑖 , 𝑥𝑥) (17)

𝑖𝑖=1
k is inner product kernel function
(a) (b) (c) 𝑘𝑘(𝑥𝑥, 𝑦𝑦) = (𝜙𝜙(𝑥𝑥). 𝜙𝜙(𝑦𝑦)) (18)
Fig. 7 a) ROI area before transformation. b) ROI area after transformation. c) In this study, Gaussian kernel function ( 𝑘𝑘(𝑥𝑥, 𝑦𝑦) =
a and b on the same image ‖𝑥𝑥−𝑦𝑦‖2
exp �− � ) was preferred. To represent the number of
2𝜎𝜎 2
F. Feature Extraction class 𝐶𝐶, a multi-class structure 𝐾𝐾𝑤𝑤 and 𝐾𝐾𝐵𝐵 can be calculated as
The Gabor-based KFDA used in the study of Ekinci and follows [49].
𝐶𝐶 𝐶𝐶
Aykut [46] was applied for palmprint feature extraction. In this 1
method, first the frequency and orientation characteristics of 𝐾𝐾𝐵𝐵 = � �(𝑚𝑚𝑖𝑖 − 𝑚𝑚𝑗𝑗 ) (𝑚𝑚𝑖𝑖 − 𝑚𝑚𝑗𝑗 )𝑇𝑇 (19)
𝐶𝐶(𝐶𝐶 − 1)
the palm pattern are extracted by Gabor wavelets [21]. Then, 𝑖𝑖=1 𝑗𝑗=1
𝑛𝑛𝑖𝑖 𝑛𝑛𝑖𝑖 𝑛𝑛𝑖𝑖 𝑇𝑇
KFDA is used for transforming low-dimensional feature space 1 1 1
in order to distinguish these properties efficiently. 𝑚𝑚𝑖𝑖 = � � 𝑘𝑘�𝑥𝑥1 , 𝑥𝑥𝑗𝑗 �, � 𝑘𝑘�𝑥𝑥2 , 𝑥𝑥𝑗𝑗 �, … , � 𝑘𝑘�𝑥𝑥𝑛𝑛 , 𝑥𝑥𝑗𝑗 �,� (20)
𝑛𝑛𝑖𝑖 𝑛𝑛𝑖𝑖 𝑛𝑛𝑖𝑖
𝑗𝑗=1 𝑗𝑗=1 𝑗𝑗=1
Gabor wavelets inspired by orientation and frequency 𝐶𝐶 𝑛𝑛𝑖𝑖
characteristic of tapered optic nerves of developed live [22] and 1 1
a filtering technique extensively used in many recognition and 𝐾𝐾𝑤𝑤 = � �(𝜁𝜁𝑖𝑖 − 𝑚𝑚𝑖𝑖 )(𝜁𝜁𝑖𝑖 − 𝑚𝑚𝑖𝑖 )𝑇𝑇 (21)
𝐶𝐶 𝑛𝑛𝑖𝑖
representation algorithms. A Gabor function is formulated as 𝑖𝑖=1 𝑗𝑗=1
𝑇𝑇
(18): 𝜁𝜁𝑖𝑖 = �𝑘𝑘�𝑥𝑥1 , 𝑥𝑥𝑗𝑗 �, 𝑘𝑘�𝑥𝑥2 , 𝑥𝑥𝑗𝑗 �, … , 𝑘𝑘�𝑥𝑥𝑛𝑛 , 𝑥𝑥𝑗𝑗 �� (22)
2 2 2
𝑥𝑥′ + 𝛾𝛾 𝑦𝑦′ 𝑥𝑥′
𝑔𝑔(𝑥𝑥, 𝑦𝑦; 𝜆𝜆, 𝜃𝜃, 𝜓𝜓, 𝜎𝜎, 𝛾𝛾) = 𝑒𝑒𝑒𝑒𝑒𝑒 �− � 𝑒𝑒𝑒𝑒𝑒𝑒 �𝑖𝑖 �2𝜋𝜋 + 𝜓𝜓�� (10)
2𝜎𝜎 2 𝜆𝜆 G. Similarity Measurement
Where x and y represent coordinates of two dimentional The cosine Mahalanobis (cosmah) distance metric [24] was
generated matrix. 𝜃𝜃 is Gabor core’s orientation angle, 𝜓𝜓 is the used for the similarity measurement between the feature vectors.
phase angle of the core matrix to be formed, 𝜆𝜆 is wave length, To be able to use this metric, first a conversion between feature
𝛾𝛾 used to calculate standart deviation of y. 𝑥𝑥′ and 𝑦𝑦′ is space and Mahalanobis space is needed. Let us assume that
calculated as (19). �⃗ and 𝑣𝑣⃗ are two vectors to measure the similarity of features in
𝑢𝑢
𝑥𝑥′ cos(𝜃𝜃) sin(𝜃𝜃) 𝑥𝑥
� �=� �� (11) the feature space, and 𝑚𝑚 ��⃗ and 𝑛𝑛�⃗ are their conversions in the
𝑦𝑦′ −sin(𝜃𝜃) cos(𝜃𝜃) 𝑦𝑦
Mahalanobis space. In this case, 𝑚𝑚 ��⃗ and ��⃗are
𝑛𝑛 represented as in
equations 23-24.
Kernel Fisher Discriminant (KFD) uses FDA in order to
𝑢𝑢1
��⃗ 𝑢𝑢𝑝𝑝
��⃗
determine non-linear features to distinguish classes in non- 𝑚𝑚
��⃗ = � , … , � (23)
linear space. Let us 𝜙𝜙 is a non-linear transformation in ℱ 𝜎𝜎1 𝜎𝜎𝑝𝑝
feature space. In this case, the objective function of KFA can
��⃗
𝑣𝑣1 ��⃗
𝑣𝑣𝑝𝑝 (24)
be written as similar to normal FDA[23]: 𝑛𝑛�⃗ = � , … , �
𝜙𝜙 𝜎𝜎1 𝜎𝜎𝑝𝑝
𝑤𝑤 𝑇𝑇 𝑆𝑆𝐵𝐵 𝑤𝑤
𝐽𝐽(𝑤𝑤) = (12)
𝜙𝜙
𝑤𝑤 𝑇𝑇 𝑆𝑆𝑤𝑤 𝑤𝑤 where 𝜎𝜎𝑖𝑖 is standard deviation of the vectors in ith dimension;
𝜙𝜙 𝜙𝜙 𝜙𝜙 𝜙𝜙 𝜙𝜙 cosmah is the cosine angle between the vectors after having
𝑆𝑆𝐵𝐵 = (𝑚𝑚1 − 𝑚𝑚2 )(𝑚𝑚1 − 𝑚𝑚2 )𝑇𝑇 (13)
𝑛𝑛𝑖𝑖 been projected to the recognition space.
𝜙𝜙 𝜙𝜙 𝜙𝜙 𝑚𝑚
��⃗. 𝑛𝑛�⃗
𝑆𝑆𝑤𝑤 = � �(𝜙𝜙(𝑥𝑥𝑗𝑗𝑖𝑖 ) − 𝑚𝑚𝑖𝑖 )(𝑥𝑥𝑗𝑗𝑖𝑖 − 𝑚𝑚𝑖𝑖 )𝑇𝑇 (14) 𝐷𝐷 = cos�𝜃𝜃𝑚𝑚,𝑛𝑛 � = − (25)
|𝑚𝑚
��⃗||𝑛𝑛�⃗|
𝑖𝑖=1,2 𝑗𝑗=1
𝑛𝑛𝑖𝑖
𝜙𝜙 1 III. EXPERIMENTAL RESULTS
𝑚𝑚𝑖𝑖 = � 𝜙𝜙(𝑥𝑥𝑗𝑗𝑖𝑖 ) (15)
𝑛𝑛𝑖𝑖 On the performance evaluations, all comparisons were made
𝑗𝑗=1
by the leave-one-out strategy, and the minimum distance
In order to formulate the problem in non-linear feature space,
between two feature vectors was regarded as the best match.
it needs to be expressed in the from of inner products of the use
First, all experiments were performed with the features taken
of training samples. After implementation of several
from uncorrected perspective images. Then, the same process
calculations, the objective function of KFA can be written as
was repeated with the features taken from the corrected images,
follows:
and finally, comparisons of the two were made.
𝛼𝛼 𝑇𝑇 𝐾𝐾𝐵𝐵 𝛼𝛼
𝐽𝐽(𝛼𝛼) = 𝑇𝑇 (16) In the evaluation stage of the study, first, the performance of
𝛼𝛼 𝐾𝐾𝑤𝑤 𝛼𝛼 the scenarios parallel to the camera plane (S1, S2 and S3) was
measured. The evaluation was made for each camera separately.
During the classification process, it was noted that the images
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427
_____________________________________________________________________________________________________________
used for training did not match with itself. The cumulative
match curves (CMCs) of the first comparisons are shown in Fig.
8, and the verification rates are given in Table 2.
(a) (b)
Fig. 8 CMCs for the unangled scenarios: (a) Up camera; (b) Down camera Fig. 9 ROC curve for the angled scenarios before and after transformation
TABLE I As seen in Table 3 and Fig. 9, the recognition rate on pose

RECOGNITION AND VERIFICATION RATES FOR THE UNANGLED SCENARIOS corrected images was improved by around 25%, while the EER
BEFORE AND AFTER TRANSFORMATION
values decreased significantly. Another important advantage
untransformed transformed was that the system was also capable of simultaneously
Recognition Rate (%) 99,336 99,457 producing two patterns of a hand. Two simple fusion models
Up were applied using these two patterns. In these models, images
EER (%) 0,154 0,127
Camera taken from two cameras were used together as a training set. In
FRR (FAR=0.001) 0,242 0,154
the first fusion model, if one of the test patterns obtained from
Recognition Rate (%) 99,336 99,396
Down the two cameras was more similar to one of the patterns in the
EER (%) 0,095 0,089
Camera training set, it was classified by its label. In the second model a
FRR (FAR=0.001) 0,121 0,060
single pattern was obtained by taking the average of the test
According to the Rank one recognition rate values success images taken from the two cameras. Here, in order to evaluate
of the system on uncorrected images is sufficiently high. the performance correctly, fusion models were applied on the
However some improvements are achieved on the corrected untransformed and transformed images, and the comparative
images. results are given in Table 5 and Fig. 10. The fusion approaches
According to the data in Table 2, the success of the system produced better results than the data in Table 3 in both the
on the image without corrected perspective was considered transformed and untransformed images. In particular, the
satisfactory. Therefore, the rest of the study focused on the Fusion 2 approach applied to the transformed images increased
performance of the proposed approach on images taken the recognition rate by 3.25% according to the down camera,
according to the scenario with an angle. In all other evaluations, which had the best value in Table 3. In addition, the EER values
S1, S2 and S3 images were used for training and the other decreased from 3.42% to 2.28%.
images were used for testing. The results are given in Table 3
and Fig. 9. All images except the training set were used as the TABLE III
RESULTS OF FUSION MODELS
test set (Training set = S1+S2+S3 and Test Set =
S4+S5+S6+S7+S8+S9+S10). Untransformed Transformed
Fusion1 Fusion2 Fusion1 Fusion2
TABLE II
RECOGNITION AND VERIFICATION RATES FOR THE ANGLED SCENARIOS Rec. Rate (%) 64.80 67.60 90.74 93.17
BEFORE AND AFTER TRANSFORMATION EER (%) 14.93 13.70 2.96 2.28
FRR (FAR=0.001) 37.53 34.16 8.85 7.14
untransformed transformed
Recognition Rate (%) 63.35 88.10
Up
EER (%) 14.82 3.51
Camera
FRR (FAR=0.001) 39.65 12.11
Recognition Rate (%) 63.46 89.92
Down
EER (%) 14.76 3.42
Camera
FRR (FAR=0.001) 38.51 10.56
(a) (b)
Fig. 10 Results of fusion models: (a) ROC curves of fusion models; (b) FAR-
FRR graph of Fusion 2.
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users are unable to completely extend their fingers, in which of Electrical and Computer Engineering. 23(5) 1-18.
case, the inner surface of the hand resembles a curved structure. [22] Lee, T. S. (1996) Image representation using 2D gabor wavelets. Ieee
This is one of the factors that negatively affected the success of Transactions on Pattern Analysis and Machine Intelligence. 18(10) 959-
the system. In the future, studies must further examine the 971.
[23] Mika, S., Ratsch, G., Weston, J., Schölkopft, B. and Müller, K.-R. (1999)
problem of correcting the curves of the palm, and develop Fisher Discriminat Analysis with Kernels. Neural Networks for Signal
techniques to improve the quality of the images. Processing. X(1) 41-48.
[24] The CSU face indentification evaluation system user’s guide: Version 5,
2003, University, C. S., Denver.
REFERENCES
[1] Zhang, D., Kong, W. K., You, J. and Wong, M. (2003) Online palmprint
identification. Ieee Transactions on Pattern Analysis and Machine
Intelligence. 25(9) 1041-1050.
[2] Han, C. C. (2004) A hand-based personal authentication using a coarse-
to-fine strategy. Image and Vision Computing. 22(11) 909-918.
[3] Kanhangad, V., Kumar, A. and Zhang, D. (2011) A Unified Framework
for Contactless Hand Verification. Ieee Transactions on Information
Forensics and Security. 6(3) 1014-1027.
[4] Wang, C., Liu, H. and Liu, X. (2014) Contact-free and pose-invariant
hand-biometric-based personal identification system using RGB and
depth data. Journal of Zhejiang University-Science C-Computers &
Electronics. 15(7) 525-536.
[5] Han, Y., Sun, Z., Wang, F. and Tan, T. (2007) Palmprint recognition
under unconstrained scenes. Computer Vision - Accv 2007, Pt Ii,
Proceedings. 4844 1-11.
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Regression Analysis of Fire Doors Resistance

and Comparative with Artificial Neural
Network Application
Mustafa Altin* Sakir Tasdemir+,
*
Higher School of Vocational and Technical Sciences
Selcuk University, 42003 Selçuklu, Konya/TURKEY
maltin@selcuk.edu.tr
+
Department of Computer Engineering, Faculty of Technology
stasdemir@selcuk.edu.tr
Abstract— Computer and technological developments are I. INTRODUCTION

positive influences every aspect of life. Parallel to the
developments in technology, artificial intelligence applications,
In buildings, fire doors are utilized commonly. These
mathematical and statistical models, are widely used in many doors entail specific fire resistance and they act as delimiters
other fields of the industry. Fire chemical is a dynamic event or fire enclosures. Nevertheless, the thermal and mechanical
and does spread very quickly if there is no barrier. Today, fire properties of materials generally change with high
doors are being used as required in all kinds of buildings. temperatures so sufficient knowledge needs to be known
Therefore, it’s vital to determine the fire resistance of different about fire behaviors of construction materials of doors to
doors for different buildings. This determination should be utilize these doors ideally [1]. Structural steel members can
monitored by the experimental studies. In single and multiple be used for the vertical and lateral support in multi-story
regression equations there is a dependent variable which affects
buildings. These members may be included inside fire-
a single or multiple independent variables. Artificial Neural
Networks (ANN) are intelligent computer software which
resistant enclosures enabling house elevators, stairs and other
mimics human brain’s neural networks, mainly connected services [2].
through networks and has the ability to discover, creating and With the aim of preventing fires spreading, structural
deriving new information by way of learning by making failure and enabling evacuation of occupants and intervention
generalizations from samples. In this study experiments were by firemen, necessities for fire resistance are given. These are
conducted to determine the resistance of the fire door. After the generally expressed for standard fires. This approach that
experiments a regression analysis (RA) and an artificial neural requires classifying products as their fire behaviors is still
network model have been developed by using data obtained used in many countries. As compared to the natural fire,
from experiments. With this regression model (RM) the internal
thermal actions from conventional fires are symbolic.
temperature of the fired room which plays an important role in
the resistance of fire, doors have been evaluated. In the
However, from conventional fires, more severe thermal
proposed system, the temperature values of the thermocouples actions are needed under some conditions [3, 6].
above the door, Top Left, Top Right, Middle Left, Middle Right, Fire chemical is a dynamic event and does spread very
Bottom Left, Bottom Right Temperature (C) and Time (minute) quickly if there is no barrier. Today, fire doors are being used
have been taken as input and In-Room Temperature (°C) as as required in all kinds of buildings. Therefore, it’s vital to
output parameters. The results improved by these two determine the fire resistance of different doors for different
approaches were evaluated in comparison with each other. buildings. This determination should be monitored by the
Regression analysis and the results obtained by the artificial experimental studies. The precautions to be taken to the fire
neural network have been compared with experimental data.
are proportional to recognizing the fire. If the burning and not
Accuracy was determined as a percentage. Correlation and
determination coefficients were calculated and the fire doors
yet burned but likely possible to be burn materials, fire loads
resistance determination ability of models have been compared. and other conditions are well-defined then the measures to be
It has been observed that the developed model of this kind can taken in fire case will be very effective [4, 5].
be safely used in the determination of the fire door resistance. With the entrance and widely use of computers actively in
human life, the usage of biological structure of the artificial
intelligence model for the solution of complex problems and
Keywords— Regression model, Artificial neural network, Fire
increased the use of statistical methods. Referring specifically
doors, In-Room temperature
to engineering research in recent years, there are lots of
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different methods like regression models, artificial There are many advantageous aspects of ANN such as being
intelligence-based (ANN, fuzzy logic, support vector able to do parallel processing, ability to learn, making
machines, etc.) used in different estimates based operations. generalizations and ease of analysis and design. One of the
In this study the ANN and RM which are the most widely most important features is that different information can be
used methods have been used. derived without requiring help from the new knowledge
In this study, at first an experimental study has been acquired through learning.
carried out to determine the fire resistance of fire doors. In this study, for the predict the in-room temperature (oC),
Thermocouples were placed at the surface of door and were an ANN structure with 7 inputs and 1 output was designed
connected to data logger to record the data. System was and application was performed using the designed structure
modeled by an artificial neural network with 7 inputs and 1 (Fig. 2). As input parameters, Top Left, Top Right, Middle
output which is an artificial intelligence techniques and RM Left, Middle Right, Bottom Left, Bottom Right Temperature
using non-linear experimental data and fire room interior (oC) and Time (minute), as output parameter In-room
temperature values were estimated. These two models were Temperature (oC) were taken. The performance of the ANN
compared with each other and the model that give the closest was presented by examining the consistency between the
result to experiments have been identified. values obtained through the ANN approach and the
experimental data [10].
II. EXPERIMENTAL SETUP

In the study, a test mechanism was prepared for one fire
and smoke control doors used as fire doors according to the
rules of TS EN 1634-1 and an experimental study was carried
out. At the same time, digital thermometers (thermocouples),
thermal camera, fire door, gas concrete wall and inflammable
wooden materials are used materials [7].
The experimental study was carried out at the laboratory of
Construction Department of Selcuk University Higher School
of Vocational and Technical Sciences. The experiment
images from fire door and mechanism and is given in Fig. 1.
Fig. 2 Structure of ANN model for this study
Feed-forward back-propagation algorithm was used in feed

forward single hidden layers. It was aimed to find the most
appropriate network model by changing certain parameters
such as the number of hidden layers, the number of neurons
used in hidden layers, epoch number, training functions and
transfer functions. The data sets selected for training and
testing were trained using Levenberg-Marquardt (trainlm)
algorithm respectively and the results were obtained. Training
Fig. 1 The experimental setup and image from fire door
algorithm and activation functions were tested using the
software developed and results were obtained in the matlab
After the experiment mechanism was prepared, all the
indicators and devices were tested in terms of working and program.
first fire was lit. Since the beginning of the fire, all data
records were beginning to be recorded. Experiment time IV. REGRESSION ANALYSIS
continued for 136 minutes and during this experiment all data
were recorded. For each one minute, data were recorded to One of the most widely used area of utilization of the
data logger from 6 thermocouples and at the end of the statistical studies is regression analysis. In case there are
experiment these data were transferred to computer [8]. more than one factor affecting a case, researching of cause-
effect relation becomes possible with regression analysis. A
regression model consists of dependent and independent
III. ANN MODELING variables. Independent variable is the variable which is not
coincidental and used to express dependent variable.
Artificial Neural Network can be defined as a
mathematical model that tries to mimic the human brain cells.
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Generally, multiple regression analysis is used to find mean In this study, modelling approach is developed with ANN
output values relating to dependent variable [9, 11]. by utilizing the data obtained experimentally [10]. Using
Functional form of simple linear regression model can be statistical analysis of the same data, the system of single and
written in the form of equation (1) for a mass [9]. multiple regression equations was created with the SPSS
Y = β0 + β1X + ε program. Temperature values were found with the estimation
(1) of in-room temperatures (°C), by using the mathematical
In this model; expressions obtained with RM. RM results were compared
Y: Value of dependent variable, separately with the values obtained by both the experiments
X: Value of independent variable, and ANN model. The descriptive statistics 136 values for the
β0: Sectional of Y for mass (constant term), in-room temperature can be seen in Table I.
β1: Slope of mass regression line,
ε: Error term
Table I
Descriptive statistics of measurements
std. error
range minimum maximum mean
of mean
Time (minute) 136.0 1.0 136.0 69.03 3.42
Top Left (°C) 284.1 3.2 387.3 163.72 9.13
Top Right (°C) 335.5 3.0 338.5 186.78 10.27
Middle Left (°C) 353.5 4.1 357.7 208.36 11.16
Middle Right (°C) 330.3 3.4 333.7 184.76 10.37
Bottom Left (°C) 275.1 3.6 278.7 134.71 9.12
Bottom Right (°C) 220.7 3.3 224.0 122.45 7.21
In-Room Temperature (°C) 944.0 17.0 961.0 720.09 25.70
RM models and temperature (°C) determines dependent way. In addition, when in-room temperature (°C) is predicted
variable In-Room Temperature (°C) and independent’s with multiple regression equation, determination coefficient
variables affecting this situation, Top Left, Top, Right, is found as (R2=0.973) (Table II-model summary). The best
Middle Left, Middle Right, Bottom Left, Bottom Right result in the regression models is seen in Table III. It
Temperatures (°C) and Time (minute) based on regression suggests that the values are meaning and compatible
equations were generated using seven parameters. The statistically. According to correlation values found, it is seen
regression equations generated by the SPSS software, the in the r column in Table II that there is a general strong
status of each variable were calculated correlation relation in the same direction between in-room temperature
coefficients obtained and determination. (°C)’s calculated with RM and in-room temperature (°C)
The highest correlation (R=0.986) is obtained by linear measured in the experiment (Table III).
multiple regression equation by using these seven variables.
And, the closest results to the experiment are obtained in this
Table II
Model Summary
Change Statistics
R (r) R Square Adjusted R Square Std. Error of the Estimate R Square Change F Change df1 df2 Sig. F Change
.986 .973 .971 50.44414 .973 662.540 7 129 .000
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Table III
Linear effects of input parameters and in-room temperature (°C) predict equation with regression analysis
Estimation Equation Unstandardized Coefficients

in-room temperature (°C)- (y) Regression Coefficients Std. Error Sig. (P)
Constant-a0 24.168ns 15.214 .115
***
Time (minute)-b1 9.699 .844 .000
Top Left (°C)-b2 12.620*** 1.657 .000
Top Right (°C)-b3 -2.687*** .712 .000
y=a0+b1x1+b2x2+b3x3+b4x4+b5x5+b6x6+b7x7
Middle Left (°C)-b4 -3.057*** .683 .000
Middle Right (°C)-b5 2.664ns 1.450 .068
Bottom Left (°C)-b6 -8.839*** .423 .000
Bottom Right (°C)-b7 -1.652ns .718 .023
*** P<0.001 ns not significant (P>0.05)
Linear multiple regression equation obtained in this way is expressed and the system is guessed (equation 2).
y=24.168+(b1*9.699)+(b2*12.62)+(b3*(-2.687))+(b4*(-3.057))+(b5*2.664)+(b6*(-8.839))+(b7*(-1.652)) (2)
V. RESULTS AND DiSCUSSIONS

This study is the determination and testing process of the
fire resistance of the fire door which would be used in a fire
that may be encountered in all living spaces. A model has
been established that can determine the fire resistance value
of the fire door in line with the regulations. The study
emerges as the application of two different methods. First
method is the ANN model using data generated in
experimental studies. The second study is the formation of
RM phase by using the same data again. The results obtained
by these two methods were compared with the experimental
data and attempts to determine the best model has been made.
As a result of ANN modelling;
In the single hidden layer network structure, number of
neurons in the hidden layer values respectively and epoch
number were used for all training and testing algorithms and
the results were observed. What is more, considering the
smallest values in Mean Square Errors (MSE) and the biggest
values in R2, their averages were calculated. Then, the best Fig. 3. The relationship between experimental and ANN
models were found according to this. Among all the prediction values
circumstances, the trainlm training algorithm and logsis
transfer function gave the best result. Also the (7-14-1 (50 When temperature is estimated with RM approach which
epochs)) model was used, which had the lowest MSE error is used as the second resolution method, it has been shown
values and the highest R2 values. The graphs that show the that the effective results can be obtained. In the estimation
comparative results are presented below. The developed process with RM, when values obtained at the end of the
ANN system (training) results and the real measured values studies using linear regression analysis (Equation 2)
were evaluated. The graph shown in Fig. 3 indicates that the compared with the experimental data, it was observed to be
correlation coefficient was 0.99992 which indicates a perfect considerably proximate. Correlation analysis between the
match between ANN estimation values and real data [9]. RM experiment values (Figure 4) yielded R as 0.986.
Correlation results of the two groups of data from the
experiment and the model, shows that the results are
interrelated and the consistency between data can be seen.
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In this study, regression analysis which is a statistical

approach and artificial neural network approach has been
performed separately using data from experimental work and
two different methods have been established to predict in-
room temperature (°C). The data obtained from the developed
model with experimental data has been compared
statistically, it is seen that the designed model gives
successful outcome. When the analysis was assessed, the in-
room temperature obtained from the ANN was very close to
the experimental results. It has been observed that the
developed models of this kind can be safely used in the
determination of the fire door resistance. In the subsequent
studies, the workspace can be expanded by adding more
number of parameters and using different models.
VI. REFERENCES
[1] J. A. Capote, D. Alvear e.g., Assessment of Physical Phenomena

Associated to Fire Doors During Standard, Tests Fire
Fig. 4. The relationship between experimental and RM Technology, 2012, DOI: 10.1007/s10694-012-0270-0.
prediction values [2] I.D., Bennetts, K.A.M., Moinuddin, C.C., Gohy, I.R., Thomas,
Testing and factors relevant to the evaluation of the structural
adequacy of steel members within fire-resistant elevator shafts,
Fire Safety Journal 40 (2005) 698–727.
[3] D., Joyeux, Experimental investigation of fire door behaviour
When comparing the improved RM and ANN test results it during a natural fire. Fire Safety J., 2002;27:605–614.
is seen that the ANN models gives closer results to [4] Tests of Various Fire Protective Coating, MATERIALS
experiment. By examining figure 5 it is seen that the SCIENCE (MEDŽIAGOTYRA). Vol. 17, No. 1. 2011.
[5] M., Kılıç, Yapılarda Yangın Güvenliği Ve Söndürme Sistemleri,
experimental results and results calculated with ANN are Uludağ Üniversitesi Mühendislik-Mimarlık Fakültesi Dergisi,
almost as an overlap. The correlation coefficient between test Cilt 8, Sayı 1, 2003.
results and the results obtained by ANN as it is in Fig. 3 (R = [6] D. A. Lucht (Chair), Making the Nation Safe from Fire, A Path
0.999) reinforces this conclusion. The correlation coefficient Forward in Research, THE NATIONAL ACADEMIES PRESS,
2003.
between test results and the results obtained by RM as it is in [7] TS EN 1634-1 (2010), Fire resistance and smoke control tests for
Fig. 3 (R = 0.986) which this value is smaller than correlation door, shutter and openable window assemblies and elements of
coefficient value of ANN so we can conclude that the ANN building hardware - Part 1: Fire resistance tests for doors, shutters
model is more efficient and can give closer results to and openable windows, Turkish Standard, Ankara.
[8] M., Altin, Determining behaviors of fire doors with thermal
experimental values. camera and traditional methods comparatively, Energy Education
Science and Technology Part A: Energy Science and Research,
2012, (Spec .Iss.1 ) pp. 465-474.
[9] Ş., Taşdemir, Yüzey Pürüzlülüğünün Yapay Sinir Ağı ve
Regresyon Modelleri İle Belirlenmesi ve Karşılaştırılması,
Journal of Technical-Online, 10,3, 215-226, 2011.
[10] S. Tasdemir, M. Altin, Applıcation of ANN Modelling of Fire
Door Resistance, International Conference on Advanced
Technology & Sciences (ICAT'15) 471-474 pp., Antalya, Turkey,
04-07 August 2015.
[11] H. Z. Abyaneh, Evaluation of multivariate linear regression and
artificial neural networks in prediction of water quality
parameters, Zare Abyaneh Journal of Environmental Health
Science & Engineering, 12-40, 2014.
Fig. 5. Comparative chart of experimental results and the

results obtained by ANN-RM.
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Mobile Accident Notification

Mevlüt İnan*, Rıdvan Saraçoğlu+
#
Mevlüt İnan, Teaching Assistant,
Yüzüncü Yıl University Başkale Vocational High School,
mevlutinan@yyu.edu.tr, Turkey
+
Rıdvan Saraçoğlu, Assoc.
Yüzüncü Yıl University Zeve Campus,
Engineering Faculty, Electric-Electronic Department,
ridvansaracoglu@yyu.edu.tr, Turkey
Abstract— Traffic accidents are one of the most important and of ambulances are examined, various causes listed below are
serious problems, our country encounters. As the percentage of observed [2].
injured and casualties in traffic accidents are huge in numbers, it
causes thousands of people injured or dead in a year. In the - Distance of the accident scene to the location of
situation of coming by a traffic accident that we face commonly ambulances
in daily life, generally people directly use their mobile phones - Ambulances receiving wrong directions
and call the related units. However, as the required, right and - Ambulance drivers not being able to locate accidents
adequate information is not given to these related units, the cases due to lack of knowledge of exact latitudes and
may sometimes end with casualties. One of the most important longitudes of accidents.
reasons of casualties in car accidents is the wrong, senseless first - Directing ambulances to false locations (pranks etc.)
aids performed to the victims of injuries by surrenders. In this - Deploying un-operational ambulances from faraway
study, the aim is to determine the exact location of the accident
centers to the accident scene, rather than nearest ones,
with its latitude and longitude that is determined automatically
via the application present in the responsive citizen who tries to
due to lack of communication
help the victims of the accident. - Inadequate number of ambulances when the accident
With this system named as “Mobile Accident Notification” occurred
the users are aimed to send accident notification in online or via - Traffic jams
sending message when there is no internet access with the help of - Ambulances not being able to pull up close to
mobile applications that process in Android Operating System. accident scenes due to irregularly parked cars on
These accident data kept in remote server are monitored on web streets and avenues.
pages or Android mobile phones. In this thesis, a web-based,
open-source accident filtration system was developed and the
The objective of this thesis is to avail responsive citizens to
accidents were provided to be monitored by the authorized
people in related units. notify accidents with an application downloaded into their
personal mobile phones and to directly locate the scene of the
accident on the map by automatically retrieving latitude and
Keywords— Mobile accident, Accident notification, Mobile
accident tracking, Android mobile accident statement longitude values of the informant. Additionally, by filling a
form included with the application, appropriate number of
ambulances and police will be diverted to the accident scene
Preventing traffic accidents is a shared concern of the since the exact number of people injured will be learned or
whole world. Since the ratio of deaths and injuries possibly life saving information will be given to healthcare
significantly high, thousands of people die and hundreds of professionals since the nature of the injuries will be identified.
thousands of people get injured in considerably high number Further objectives of this thesis are grouped under general
of accidents in each year. When an accident occurs in daily headlines below.
life, the common practice is to call relevant units and
institutions. However, since sometimes correct information is ACCIDENT NOTIFICATION
not given to relevant units, many lives are lost. Minutes after AND DETECTION SYSTEMS
the accident occurs (the time from the injury until the hospital
care) are crucial for resuscitating accident victims and Accident notification systems are usually the process of
reducing physical effects of the accident. Improving first aid calling the phone numbers of related units and informing
services is anticipated to reduce casualties up to 20% [1]. about an accident. With this notification method generally
Among the reasons of injuries in traffic accidents resulting in people either call the police and request other units to be
casualties and permanent disabilities are late arriving dispatched or call the emergency services to request an
ambulances and series of unapprised interventions of ambulance to be sent to the scene of the accident.
bystanders to accident victims. When reasons of late arrivals In case of accident detection systems, usually the detection
is realized by reading the data from sensors attached to
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435
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vehicles. Another method is a study conducted by Amin et User prefers this method if there is internet
al[3] where data from GPSs of smart phones are read in 0.1 connection and when he/she does not want to enter
second intervals and the location of the vehicle is located by too much information. When the user clicks on fast
map matching algorithms and then the previous speed values notification (GPS must be active), a record of the
collected in 0.1 second intervals are subtracted from the accident is created in the database immediately.
subsequent speed values where the difference is then The other information on the form is updated with
compared to the threshold values to determine if an accident the data entered by the user. Since the location of
occurred or not. Additionally there are other solutions such as the accident and the location where the user filled
detecting accidents without interaction with Electronic the form may significantly differ, a record is
Control Units, false positive preventions and WreckWatch immediately created when fast notification is
client-server architecture. One final distinctive study is done clicked. For that reason the record is created
by placing noise and image recording cameras on junctions immediately after the user clicked on the fast
and start recording exactly when the accident occurs by notification; other information can be updated at a
recognizing the noises from the cars involved in an accident later time.
and by not recording continuously but only when the accident
took place [4].
- Detailed Notification
The user prefers this method if there is internet

SYSTEM FLOW DIAGRAM connection and if he/she is willing to give detailed
information such as a photograph of the accident
scene, license plates of vehicles, number of vehicles
involved, estimated distance of the accident, etc.
When the user clicks to the detailed notification
(GPS must be active), a record of the accident is
created on the system database. Other information
is updated by the user entering appropriate data.
When detailed notification is clicked, the
notification is generated. The reason for creating an
immediate record is explained in Fast Notification
section.
FILTERING NOTIFICATIONS
When an accident occurs, many notifications are

sent by users. However since these notifications are
for the same accident, they have to be filtered and
Fig.1 System flow chart recorded under one singular accident. For that
purpose several constraints should be defined. These
constraints can be listed as follows;
Accident notification by the accident informant as the user
- Diameter
- Notification via text messaging
Indicates the required diameter for
It is a situation where there are no internet notifications sent by different users to be
connections and the user gives the notification without perceived as belonging to the same accident. It is
filling the form (GPS must be active). When the user a parameter used to add all informants under the
sends a notification via text message, an SMS filter same category.
application installed smart phone receives this message.
Application divides this SMS into meaningful pieces
and sends it to the database of the system through the
internet. In case where there is no internet connection,
the application writes it to its own local and safe keeps - Estimated distance
it. When there is an internet connection, it sends it
expeditiously. This is a criteria put forth to receive data from
the nearest point to the accident among many
- Fast Notification
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436
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different notifications by taking the estimated in the shortest possible time with the help of the support of a
distance of the informant to the accident scene. mobile application has been tried to be conveyed in this thesis.
With this study, automatically obtaining latitudes and
SENDING RELATED ACCIDENT MESSAGE TO longitudes of exact locations of user/users who have witnessed
RELEVANT UNIT WORKERS the accident through GPS, either via the internet connection or
when there are no internet connections, via SMS text
This is the process of sending messages according messaging method has been achieved. With numbers of
to the notifications of various informants to the closest people injured as well as other pertinent data entered in the
Police Headquarters, Health Institutions and Fire form, dispatching both adequate number of ambulances and
Department workers. diverting relevant police units to the accident scene have been
targeted. Depending on the nature of injuries, determining and
transferring probably life saving information to healthcare
M- ACCIDENT NOTIFICATION APPLICATION professionals has been proposed. At the present time when an
accident occurs, among reasons of late arrivals of relevant
With this application; it is targeted to create awareness units to the accident scene are; receiving wrong directions or
among end-users by involving latest technologies to intervene not being able to find the correct address. With this
accidents in a timely manner. This study came forth with the application, actions such as; direct determination of the exact
idea of ensuring fast and productive interference to accidents location of the accident on the map by taking the information
and with minimizing the response period during when of the closets users was targeted. In summary, with this thesis
accidents occur until first aid services reached to victims, is actions such as; contacting emergency services of nearest
developed by using many integrated web and mobile hospitals, contacting nearest Police Headquarters, totally
technologies altogether. eliminating the risk of giving wrong directions to ambulances,
dispatching ambulances to the correct location by extracting
In the thesis, two of them mobile, one of them web based, exact latitudes and longitudes of accident scenes on the map,
three different applications are developed. A single database is by collecting data from the informant such as his/her exact
used for every each application. The application is consisted latitude and longitude, number of vehicles involved, number
of three modules. These are; SMS Filtering module, of injured, and the nature of injuries, dispatching adequate
Notification Sending module and administrator follow-up number of ambulances with appropriate equipment, when tens,
module. Detailed explanations and screen shots from these sometimes hundreds of people inform an accident, giving only
modules will be given in the upcoming sections. the notification of the relevant accident will be taken. When
this mobile application is used, it is our belief that the time
CONCLUSION passed from the moment the accident occurs until the first
intervention to accident victims will be minimized, adequate
One of the major concerns of our country as well as the number of equipment and vehicles will be dispatched to the
world is traffic accidents. In the name of preventing these accident scene, assistance will arrive on the shortest time
accidents which result in hundreds of thousands of casualties possible by utilizing maps, closest relevant units will be
each year and cause many of them left with permanent dispatched to the location and many similar advantages will
disabilities, science people and researches have conducted be provided. No such study has been conducted ever before.
many widespread studies. In the light of these studies, they Therefore a study like this is believed to immensely contribute
have proposed several accident detection and accident to the literature as well.
tracking systems underlying how these accidents can be
prevented. In one of those studies, a three-step protection
method has been offered by Kraus et al[5]. The first of these REFERENCES
protection methods is the detection of causes of accidents and [1] K. Sangeetha, P. Archana, M. Ramya, and P. Ramya, “Automatic
taking necessary protections against them; the second method ambulance rescue with intelligent traffic light system, “, IOSR Journal
of Engineering(IOSRJEN), vol. 4, pp. 53-57, 2014.
is things that need to be done when an accident occurs and [2] Ch. R. Keerthi, G. Shanmukh, and R. Sivaram, “Various accident
measures that need to be taken to reduce severe effects of detection technologies and recovery systems with victim analysis,
accidents; and the final method is what needs to be done after “, International Journal of Advanced Trends in Computer Science and
accidents occur and necessary precautions to minimize effects Engineering (IJATCSE), vol. 2, pp. 07-12, 2013.
[3] MD. S. Amin, M. A. S. Bhuiyan, M. B. I. Reaz, and S. S. Nasir, “GPS
of injuries[5]. and map matching based vehicle accident detection system, “ IEEE
Student Conference on Research and Development (SCOReD),
Taking inspiration from what needs to be done when an Putrajaya, Malaysia, Dec. 2013.
accident occurs, as pointed out in the second method of the [4] P. J. Lagassey, “Advanced automobile accident detection, data
recordation and reporting system,“ U.S. Patent 7 348 895, 2008.
study by Kraus et al above, and many other similar studies, [5] J. Kraus, C. Peek-Asa, D. Vimalachandra, “Injury control: The Public
actions to be taken in order to minimize the time from the Health Approach, “ Maxcy- Rosenau-Last, Public Health&Preventive
moment the accident occurs until the first intervention to the Medicine, Wallace Robert B., MD, Msc, vol.2, pp. 1209-1210, 1998.
accident victim (the golden hour) and to treat accident victims
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Real Time Blood Type Determination by Gel Test

Method on an Embedded System
Enes Ayan*, Erdem Kamil Yıldırım*
*
Department of Computer Engineering, University of Kırıkkale, Turkey
{enesayan, erdemkamilyildirim}@.kku.edu.tr
Abstract— Determination of a blood type has a crucial importance determination of blood type is called Slide method in which
for blood transfusion. Therefore it is mandatory doing tests to three blood drops are dripped on separate lams then A, B, D
determine blood type before the transfusion. In order to prevent the antigens are dripped respectively on lams and blood type is
errors in determining blood type and to save time these tests are determined by angulation [3].
carried out by the automatic devices. However these devices are
In this study gel test method is used for determination of
very expensive and it is necessary to develop cheaper alternative
systems. In this study, we designed a basic device which will be a blood type which is widely used in Tukey. The gel card used
first step for a cheap and fast prototype. It utilizes the image in this method is shown in Fig 1. Gel card has a special gel
processing techniques and gel test method for real time blood and blood cells which don‟t agglutinate passes through this
type determination on embedded system. During the tests, fifty gel gel and accumulate at the bottom of the tuple [4].
test cards data were used and, it is found that the proposed system Looking at literature there are several studies for
can process each gel test card in 2 seconds with 99% accuracy on determination of blood type. Zarifi and co-workers used plate
average. method for detection of blood type on FPGA [5]. Feraz
developed a prototype system for emergency situations and
Keywords— Image Processing, Blood Types, Embedded Systems, used slide method in this system [6]. Fatima determined blood
OpenCv, Gel Test Method type using slide method microscope images by using image
processing technics [7]. Dolmashk and colleagues using laser
I. INTRODUCTION
light radiation and image processing techniques together have
Determination of blood type is a vital process before the shown that the detection of blood group is possible [8]. Swarp
blood transfusion. Otherwise fatal consequences may occur. and colleagues compared conventional tube method and gel
It must mandatory doing blood type determination tests to test method [9]. Toz and colleagues developed a software for
avoid this situation. International Society of Blood reading gel test cards by using image processing techniques
Transfusion (ISBT) had recognized a total number of 30 [10]. Also there are several devices for blood type
human blood group systems, with ABO and Rh as the two determination. Some of them are Technicon Auto Analyzer
most common groups [1]. The most important blood group is [11-13], Auto-Grouper [12], Technicon Auto Analyzer II
the ABO group. The ABO group system has A, B, AB and O [14,15].
blood types. Type A, B and AB have A, B and AB antigens
respectively on the surface of the red blood cells (RBCs), Gel test method needs three devices. These are gel test
whereas type O has none of these antigens [2]. The second centrifuge, gel test incubator and gel test reader. These
most significant blood-group system is the Rh system. The Rh devices are very expensive. In general, technicians in hospitals
system determines blood type from the presence or absence of are detecting blood type visually instead of gel test reader.
a „„Rhesus factor‟‟ surface on red blood cells. If Rh factor is Therefore errors in reading or interpreting cause hundreds of
present on surface of the RBC it is positive otherwise it is fatal blood transfusions over a year. Furthermore, analysing a
called negative. According to the ABO and Rh grouping large number of samples consumes a lot of time and requires
systems there are 8 blood groups. These are A Rh+, A Rh-, B special care for the sampler. In this study, our aim is to
Rh+, B Rh-, AB Rh+, AB Rh-, O Rh+, O Rh- . A, B, D (Rh) develop a cheap, fast and efficient system for gel test reader
antigens tests are carried out for determination of blood type device. For this purpose a system is designed on Beagle Bone
[3]. Black (BBB) which is a mini computer card which can run
Linux operating systems. It is useful, stronger and cheaper
Until recently different methods have been developed to alternative for image processing applications. Using an USB
determine the blood group types. Most of the techniques web cam gel card images were taken and image processing
applied today are based on the principle of interaction techniques are applied on BBB for detection of blood type.
between antigen and antibody. As a result of this interaction,
results are interpreted as positive if agglutination of RBCs
occurs and negative if otherwise. The first method used for
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II. MATERIALS AND METHODS

Designed system is consist of BBB and an USB camera
connected to it, a fix background and a moving belt. III. RESULTS
Fig 3 shows image processing algorithms used in this study.
A. Gel card test method

Gel card used for gel testing method is manufactured by
company DiaPro. Fig 1 shows an example of gel card. The
size of gel card is 5x35 cm and it has 8 tubes in total but first 5
tuples are necessary for detection. Fig 5 shows the required
area for detection. Every tube has a special gel which allows
the passage to the bottom of the tube for non-agglutinated
blood cells. If blood cells don‟t agglutinate they move to
bottom of the tube. This situation reveals a negative result
(Fig 2). 25 ul of blood was added drop wise into each tube and
centrifugation was performed for the detection of blood group.
After this process gel card image is taken. Fig 4 shows a B Rh
+ gel card, ready for determination of blood type.
Figure 1. Gel card
Figure 3. Algorithm steps
1) Detection of motion in System: Static background motion

detection algorithm is used for detection of motion in the
system. This algorithm is based on substruction of static
background image taken at the (t-1) time from the image taken
Figure 2. Gel card agglutination at (t) time principle. A threshold value is set and after
subtraction every pixel is compared with this threshold (Th)
value. If pixel value is bigger than threshold value it is
B. Image processing techniques and Embedded System counted by counter. When the counter value reached to a
predetermined value (Th2) motion is detected. The
OpenCv library and python programing language is used formulization of this process is given below.
for image processing techniques. On the hardware side BBB
minicomputer card and an USB web cam is used. USB can | It(x) – It-1(x)| > Th => c=c+1 and if c > Th2 motion is
take 640x480 resolution image. BBB has Angstrom Linux detected.
operating system. The system has been tested in closed
environment and constant intensity of light used to stop the 2) Conversion of grey level image: Fig 4 shows an example
effects of external factors. In this way, the problems of of a gel card image taken after motion detection. RGB (Red,
intensity of light and light angle have been removed. Green, Blue) image was converted grey image by using
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formula given below. Fig 5 shows grey level gel card image
example.
Y= 0.299*R + 0.587*G + 0.114*B
Figure 7. Binary image
4) Edge detection and Dilation: After the binary conversion

the Canny algorithm was applied for edge detection.
Furthermore to enhance the image dilation operation was
Figure 4. BRH + gel card example performed. Fig 8 and Fig 9 shows results respectively.
Figure 5. Grey level gel card

Figure 8. Edge detection
3) Detection of ROI (Region of Interests) and conversion

binary image: In this process ROI area was cropped from the
grey level image for detection of blood type. In this system
since each gel card has a static location in front of the camera,
ROI was obtained by cropping the gel card image from
specified points. In order to obtain binary image, the adaptive
threshold algorithm was applied on ROI
Figure 9. Dilation
5) Cropping ROI areas for detection: A, B, AB, RH1, RH2

ROI areas was cropped from the image for determination of
blood type. First white areas was detected and then this areas
was cropped from the image. FindCounters function in
OpenCv library was utilized for this purpose. Fig 10 shows
results respectively.
Figure 6. Cropping ROI area After cropping operation y coordinates of white areas was
detected and compared with each other. According to this
comparison blood type is determined and saved in a txt file
in BBB. After saving blood type, the system is ready for
another gel card. All process explained above is taken 2
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second. This time is very efficient value for a real time system [2] G. Daniels, Human Blood Groups, 2nd ed. Blackwell Science, 2002.
[3] Malomgre W, and Neumeister B, “Recent and Future Trends in Blood
[5].
Group Typing”, Anal Bioanal Chem, 393, 1443-1451, (2009)
[4] Mujahid A, Dickert F.L, “Blood Group Typing: From Classical
Strategies to the Application of Synthetic Antibodies Generated by
Molecular Imprinting”, Sensors, 16-51, 2016
[5] Zarifi T, Malek M. , ”FPGA implementation of image processing
technique for blood samples characterization”. Computers and
Electrical Engineering (2013)
[6] Ferraza, A., Carvalhoa, V., and Soaresa, F., (2010). “Development of a
Human Blood Type Detection Automatic System”, Procedia
Engineering, 5, 496–499.
[7] Fathima, S. M. N., (2013). “Classification of Blood Types by
Microscope Color Images”, International Journal of Machine Learning
and Computing, 3, 376-379.
[8] Dolmashkin, A., Dubrovskii, V. A., and Zabenkov, I. V., ”Blood
Group Typing Based on Recording the Elastic Scattering of Laser
Radiation Using the Method of Digital Imaging”, Quantum
Electronics, 42, 409-416, (2012)..
[9] Swarup, D., Dhot, P. S., Kotwal, J., and Verma A. K, (2008).
“Comparative Study of Blood Cross Matching Using Conventional
Tube and Gel Method”, Medical Journal Armed Forces India, 64, 129-
130.
[10] Toz G, Erdogmus P, Donmez K, “A Software Desıgn For Blood
IV. CONCLUSIONS AND DISCUSSIONS
Groupıng By Usıng Gel Test Method”, Journal of Advanced
The Blood type determination test is one of the most Technology Sciences Vol 2, No 3, 100-109, 2013
important test performed in hospitals, blood banks, and other [11] Blood policy and technology, congress, office of technology
assessment. Washington, DC, USA; FAS
health organizations. Gel test method is one of the blood type <http://www.fas.org/ota/reports/8505.pdf>;January 1985.
determination methods which is widely used in Turkey. In this [12] Sturgeon P.,” Automation: its introduction to the field of blood group
study our aim is to develop a cheaper and efficient alternative serology”. Immunohematol J Blood Group Serol Educ 2001;17(4)
system for blood type determination. During the tests, fifty gel [13] W. A. Coakly, Handbook of Automated Analysis, Mercel Dekker,
1981 pp. 6l.
test cards data were used and, it is found that the proposed [14] Ewing GW, Analytical instrumentation handbook 2nd ed. New York:
system can process each gel test card in 2 seconds with 99% Marcel Dekker; 1997. p. 152
accuracy on average. [15] Autoanalyzer,<http://www.sealanalytical.com/Products/AutoAnalyzerI
I/tabid/108/language/en-US/Default.aspx> ,(Accessed 2016)
[16] Dia Pro Jel Kart, ,<http://www.diapro.com.tr/tr/urunlerimiz-across-
gel.html>, (Accessed 2016).
REFERENCES [17] <http://www.gokselmedical.com/WEB/DIAMED.doc>,
[1] Lögdberg L, Reid ME, Zelinski T. , ”Human blood group genes 2010: (Accessed,2016).
Chromosomal locations and cloning strategies” revisited. Transfus
Med Rev,25:36–46,2011.
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Modeling of Compressive Strength of Different

Sizes Wood Materials by Regression Analysis
Sakir Tasdemir*, Mustafa Altin+
*
Department of Computer Engineering, Faculty of Technology
+
Higher School of Vocational and Technical Sciences
maltin@selcuk.edu.tr
Abstract— Timber is used widely in construction industry lately mechanical properties of the materials used in structures. In
due to its some advantages such as neutrality, lightness, addition, the safety of element composed from timber are
environmentally-friendly, resistant against earthquakes, determined by whether it is strong enough to withstand against
manufacturing flexibility, and having a good compatibility with internal stresses which occurs as a result of external forces [1-
other construction materials like steel, concrete, and adobe-like
2].
materials. Fire retardant materials are used in order to protect
wood from the fire. The main task of the fire retardant material is Because of the many advantages of timber such as strength
to protect timber against fire, besides it is very important to know and versatile ease of use, it has been widely used as a
whether the retardant material has any effect on the compressive construction material for many years from the past till today [3].
strength of the material or not and it would help the designer to Timber is a natural material which is used in today’s
make a choice based on material sections. Today computer construction sector and it has been widely used in the past and
technology is widely used in the construction industry as well as in will continue to be used. Moreover, timber can be renewed in
all sectors. Various mathematical and statistical methods are used terms of planting new one and can be accepted as a non-
for computer-aided models. In this study samples with different consumable resource [4]. The properties like naturalness &
dimensions and different fire-retardant material has been
temperature, lightness, being an eco-friendly and, earthquake
prepared from most commonly used wood materials in the
construction sector. The compressive strength test has been resistant material, providing manufacturing flexibility,
applied on the samples after certain operations. The data obtained compliance with other construction materials such as steel,
from experiments have been used to apply regression analysis concrete and adobe, aesthetical and acoustic properties have a
(RA) which is a statistical approach and regression models (RM) huge role in the preference of timber, in spite of increasing
have been established to predict compressive strength (CS). Data acceleration in technological developments in the construction
like wood sample weight, cross-section, volume and breaking load sector in recent years [5]. Historical structures where wooden
were used to create regression equations for estimating the material usage providing good examples in many fields, can be
tension. The data obtained from the regression model developed encountered in both our country and many other countries.
by experimental data were statistically compared, it is seen that
Because necessary measures weren’t/aren’t taken in the
the outcome of the designed model is successful. When the
correlation coefficient between predicted compressive strength past/future when wooden material is used, lots of wooden
values and generated models was calculated, it has been seen that structures catch on fire they are completely destroyed or
the methods applied can be used safely. The data obtained from substantially damaged [6].
regression models is close to experimental data and such models With the aim of protecting wooden materials from fire, fire
can be used to estimate the compressive strength wood. retardant polishes, boron-based impregnated materials, fire
retardant paints, etc. are used. An experimental study was
Keywords— Regression analysis, Species of wood, Resistance of performed about whether coating materials which are fire
wood against pressure retardant at specific rates, decrease the strength of wooden
material or not. 3 different dimensions used with different aims
I. INTRODUCTION in construction affairs, 3 different types of wood which is easily
Since ancient times, trees and timber have been used as supplied in our country and 2 different coating materials which
construction materials. In that sense, the importance and are widely used and a raw material which is coated as proof bar
preservation of the forests is crucial. The fact that wood can be are used in experimental study [7-8].
used in different fields of life, is closely related to strength of In engineering studies, statistical approaches, regression
timber-type materials in the field where it is used. Therefore, it analysis, mathematical modelling, fuzzy-set-based technical,
is important to determine the applicability of timber, namely artificial neural nets and artificial intelligence approaches etc.
mechanical properties of it should be determined. In design can be widely used to estimate one or more than one parameter
stage, it is very crucial to determine the physical and and for different modellings. Regression analysis is a linear or
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non-linear statistical field, where it is used with the aim of being III. REGRESSION ANALYSIS
able to determine the cause-effect relation between two or more One of the most widely used area of utilization of the
variables that can be used to estimate or approximate about that statistical studies is regression analysis. In case there are more
subject. Therefore, one of the most suitable methods of the than one factor affecting a case, researching of cause-effect
process of determining wooden compressive strength is to use relation becomes possible with regression analysis. A
regression model. In this process, the fact that parameters can regression model consists of dependent and independent
be included in statistical model positively affects the accuracy variables. Independent variable is the variable which is not
of result [9]. coincidental and used to express dependent variable. Generally,
In this study, samples are prepared at different dimensions multiple regression analysis is used to find mean output values
and with different fire retardant from different types of wooden relating to dependent variable [9].
materials which are widely used in the sector of construction. Functional form of simple linear regression model can be
Tension stress tests are applied to these samples after specific written in the form of equation (1) for a mass [11].
processes. Regression analyses (RA), which are a statistical Y = β0 + β1X + ε (1)
approach by using data in these experimental studies, are made In this model;
and regression models (REM), which can estimate compressive Y: Value of dependent variable,
strength (CS), are composed. Results are compared considering X: Value of independent variable,
coherence between REM and experimental results. β0: Sectional of Y for mass (constant term),
β1: Slope of mass regression line,
II. EXPERIMENTAL STUDY
ε: Error term
For the experimental studies, primarily, the types of fire For it, the specifications of wood materials are created with
retardant materials which are most frequently available in the single and multiple regression equations of the system with
markets were analysed. For wood, an imported fire retardant SPSS program by statistical analysis method by taking
which are in conformity with UNI EN ISO 14001: 2004 (ISO advantage of data obtained experimentally [8]. The values of
14001: 2004) [10] standards and boron impregnated material in compressive strength (CS) are found and compared to
conformity with (ISO 14001, 2004) standards were preferred. experimental results by estimation Tension (kgf/cm2) with
Three types of wood were chosen to use in the experimental mathematical notation obtained with RM. The descriptive
studies. One of them is Scotch Pine (Pinus silvestris L.) with statistics 27 values for compressive strength can be seen in
the density of 620-780 kg/m³ frequently preferred in the Table I.
buildings, the other is fir tree (Abies sp.) which has the density In this study, regression equations are composed using these
of 430-520 kg/m³ and poplar tree (Populus sp.) with the density four parameters by getting dependent variable Tension (Tn-
of 310-400 kg/m³ were preferred. kgf/cm2) which determines compressive strength and
For pressure tests, a computerized full automatic testing independent variables, Test Material Weight (TMW-gr),
device with the capacity of 200 tons (2000 kN) which was Material Cross-Section (MCS-mm2), Material Volume (MV-
produced by Ankara originated Yüksel Kaya Machinery in mm3) and Breaking Load (BL-kgf) which affect this situation.
accordance with the standards of ISO9001(2000) Quality With the regression equations composed in the software SPSS,
Management System and Press 5.4 version prepared by the the situation of each of the variables is calculated with
company and the experiments were conducted. The pressing correlation and determination coefficients obtained.
machine and computer program which the experiments were The best result in the regression models is seen in Table II . The
conducted are seen in Fig. 1. highest correlation (R=0.926) is obtained by linear multiple
The prepared wooden samples were located cantering the regression equation by using these four variables. And, the
pressing machine a gradually increasing pressure stress (0.3 - closest results to the experiment are obtained in this way. In
N/s) was applied from bottom and top surfaces until the addition, when Tn is guessed with multiple regression equation,
samples were broken. The pressure values applied to the determination coefficient is found as (R2=0.858). It suggests
wooden samples were automatically given by the computer that the values are meaning and compatible statistically.
program. In the experiment, the averages of each 3 samples According to correlation values found, it is seen in the r column
were taken and the 27 results were obtained [8]. in Table II that there is a general strong relation in the same
direction between Tn’s calculated with RM and Tn measured
in the experiment.
Linear multiple regression equation obtained in this way is
expressed and the system is guessed (equation 2).
= 401.929 + (0.017 ∗ TMW) + (0 ∗ MCS) +
(−0.0000936983624273154 ∗ MV) +(0.006 ∗ BL) (2)
Mathematical formula can be created without a need for
MCS variable in RM developed like Table IIIMCS.
Fig. 1 The image of the pressing machine and the computer program used in
the experiments
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Table I
Descriptive statistics of measurements
Table II
Linear effects of input parameters and Tn guess equation with regression analysis
Table III
Excluded Variables
IV. RESULTS AND CONCLUSION

It is seen that Tn is estimated with the RM approach and
effective results can be acquired in this study. When the values,
which are obtained in the end of the study by using linear
multiple regression model equation (2) in the estimation
process with RM, are compared to experimental data, it is seen
in Figure 2 that two groups of data are very close to each other.
Fig. 3 Graph of relation between Experiment-RM Tn values
In this study, regression analyses, which are statistical

approach by using data in experimental studies, are made and
regression equations, which can estimate compressive strength,
Fig. 2 Comparative graph of the experiment and RM results are composed. When experimental data and data which is
obtained from developed regression models are statistically
R is calculated as 0.926 with correlation analysis made compared, it is seen that designed models give successful
between RM-experiment data (Figure 3). Results of the results. As a result, RM shows its usability in determining Tn
correlation suggest that two groups of data among the results values with this study. RM models can transform disadvantages
obtained by models with experiment are correlated and prove in experimental studies into advantages. Furthermore, it has
that there are no differences among data in terms of meaning. such significant advantages as interpolation which is not done
in this experiment. By increasing the number of parameters in
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future studies and developing different regression models, the

field of study can be expanded.
REFERENCES
[1] Uluata A. R. (1987), Factors which affect mechanical specifications of
wooden materials, Journal of the Faculty of Agriculture, 18, 1, 113-124.
[2] Efe H., Çağatay K. (2011). Determination of Some Physical and
Mechanical Specifications of Various Massive Wooden Materials.
Politeknik Magazine, 14, 1, 55-61.
[3] Stevens R., Es van S.D., Bezemer R., Kranenbarg A., (2006), The
Structure Activity Relationship of Fire Retardant Phosphorus
Compounds in Wood, Polymer Degradation and Stability, vol. 91, 832-
841.
[4] Hunt D., (2012), Properties of wood in the conservation of historical
wooden artifacts, Journal of Cultural Heritage. vol. 13, 3, 10-15
[5] Guler S.B., (2011), Analysis of the protection and repair methods of
wood within the scope of its life cycle, İstanbul Technical University,
Graduate School Of Natural And Applied Sciences, Department of
Architecture, Master's thesis, İstanbul, 1-10.
[6] http://www.bianet.org/bianet/kent/157033-itfaiye-koskte-yangin-
cikmasi-icin-neden-yok
[7] Erol S.S., (2007), Effects of fire retardant dye primer (nanosön) on some
properties of wood and wood based materials, Süleyman Demirel
University, Graduate School Of Natural And Applied Sciences,
Department of Forest Engineering, Master's thesis, Isparta.
[8] Altin M., Tasdemir S., Pehlivan G., Erkis S., Altin S. The Experimental
and Statistical Analysis of the Wood Strength against Pressure
According to Different Wood Types, Sizes, and Coatings, 17th
International Conference on Materials Engineering and Technology
(ICMET 2015), 20602064 pp., Jeddah, Saudi Arabia, January 26-
27,2015.
[9] Taşdemir Ş., (2011). Determination and Comparison of Surface
Roughness of Artificial Neural Network and Regression Models, Journal
of Technical-Online, 10,3, 215-226.
[10] ISO 14001. (2004), Environmental management systems - Requirements
with guidance for use.
[11] Huang L., Chen J. C. A (2001). Multiple regression model to predict in-
process surface roughness in turning operation via accelerometer.
Journal of Industrial Technology, 17, 1-8.
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Wind Power Forecasting For The Province Of

Osmaniye Using Artificial Neural Network Method
Bulent YANIKTEPE1, Sakir TASDEMİR2 A.Burak GUHER3, Sultan AKCAN1
1
Osmaniye Korkut Ata University, Energy Systems Engineering, Osmaniye, Türkiye
byaniktepe@osmaniye.edu.tr, sarslan@gmail.com
2
Selçuk University, Computer Engineering, Konya, Türkiye
3
Osmaniye Korkut Ata University, Informatics Department, Osmaniye, Türkiye
burakguher@osmaniye.edu.tr
Abstract— Although wind energy at certain intervals and of radiation. While producing energy from the wind; first, the
random in nature, today it is one of the commonly utilized energy turns into kinetic energy, then into electric energy. The
alternative energy source in the world. Because of sustainability velocity of the wind is one of the most important parameters
and environmentally-friendly energy source, countries in the production of energy from the wind. For this reason, it
increasingly benefit from wind energy. Several estimation
is a must to measure both the velocity and potential of the
methods are applied in the determination of a region's wind
energy potential. Today, one of the most commonly used wind in a certain area before launching a wind power plant
prediction methods is artificial neural network (ANN) method. [2]. For this reason, the researchers developed methods to
In this study, Estimation of wind power in Osmaniye district was predict the wind potential in recent years. These prediction
investigated in method with artificial neural network (ANN) methods aim at measuring the wind power of a certain area or
using data from meteorological measurement stations from the predicting it by using certain inputs. As it is shown in (1) the
meteorological measurement device at the campus of Osmaniye power of the wind is stated as a mathematical function in
Korkut ATA University. In order to give the best values of which it equals the cube of the wind velocity [3].
prediction results, several methods increasing the impact on
output of different models for the input variables were 1
investigated. Power = ρAv3 (1)
2
Keywords— Wind Power, Prediction, Artificial Neuron Network Equation (1) according to the formula, it is seen that the
calculated or predicted value of the wind velocity grows
exponentially. Hence, the wind velocity acts as a defining
factor in power calculation more than other variables in the
I. INTRODUCTION formula. This velocity variant is taken into account in the
In recent years, the importance of the renewable energy detection of establishing wind power plant into a certain place
sources grows worldwide. The reasons of this growth are that and of the identification of their performance [3].
the sources named as fossil fuel are exhaustible, and they have When we have a look at the recent studies, it can be seen
negative effects on environment. Especially as a result of the that the methods used to predict the velocity and power of the
gradual increase in greenhouse gases like Carbon dioxide and wind are artificial intelligent based (ANN, Fuzzy Logic,
Methane which have direct impact on global warming, our Support Vector Machine) methods. The commonly used one
environment is affected negatively [1]. Although there are is the ANN method. The studied conducted by using this
some saving studies worldwide considering the issue of fossil method are indigenous to a definite area. A model can create
fuels in energy usage, these are not enough. Because the using the data chosen such as the latitude, longitude,
energy need of people and corporations increase gradually. To elevation, and average of wind velocity (yearly, monthly,
avoid from this deficiency, renewable energy sources are used daily, hourly), their minimum and maximum velocity values,
in recent years. Renewable sources are becoming one of the distance to the sea level, air pressure, density and temperature.
leading actors all around the world in the production of These chosen data are defined as input variants in the model.
electric energy. In a short time, they are foreseen to become These input variants are chosen by trying as many different
alternatives for power plants running fossil fuels, and they will methods as possible to do the best predictions. There are many
become more widespread. layers in these models. The input and output are the main
When the renewable energy types are considered, the first layers. There are one or more hidden layers between them.
ones to remember are wind and sun. They are also the energy There are a few neurons in each layer. When a model has been
sources on which the highest number of research and created, some of the data is used for education (learning)
scientific studied are conducted. The popular method to use to while some of it is used for test (prediction). The aim is to
produce electric energy by using solar energy is to make use predict the wind velocity and power belonging to a certain
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area as output. Besides, by making use of Box-Jenkins be paralleled, generalized, and as it is easy to analyze and
statistical model (ARIMA-Autoregressive Integrated Moving design. One of the most important features of it is its capacity
Average) which is used to predict seasonal or non-seasonal to derive as much information as possible without the need to
time periods, fuzzy logic methods (ANFİS-Adaptive any assistance. A mathematical model of an artificial neural
Network-Based Fuzzy Inference System), Genetic Algorithm network and its working principle are given in Fig. 2. This
based models; and by creating a hybrid or a different model structure is the process of imitating the human brain and the
with ANN, it can be used both while predicting the wind process of transferring learning to the computer based systems
potential and while comparing the predictions. [3-11]. [12].
In our study, the short term wind power prediction with
ANN is aimed using the data taken from the meteorological
station which was mounted at the Campus of University of
Osmaniye Korkut Ata. The data from the first half of 2013 is
used (between January and June). With the aim of evaluating
the prediction performances of a model created with ANN,
three different statistical indicators are used such as
coefficient of determination (R2), Mean Absolute Percentage
Error (MAPE) and Root Mean Square Error (RMSE). The
power plant potential of Osmaniye province for the first six
months has been estimated using these indicators.
Fig. 2 ANN Mathematical Model. (P) İnput Vectors, (W) Weight Matrix, (n)
II. MATERİALS AND METHODS Total Net Entry, (a) Output of Cell, (f) Activation Function.
A. The Structure of Artifical Neural Network B. Wind Data

The artificial nerve nets were discovered in the second The data used in our study has been provided from active
quarter of the 20. Century and they started to be used. It is an meteorological stations at Osmaniye Korkut Ata University.
informatics technology developed by inspiring the data The coordination of the station is 37.05 north and 36.14 east.
processing capacity of human brain. Generally it was It is 120 meters above the sea level. The distance from the sea
emerged out of the inspiration of human brain and operation is 20 kilometers. The experimental date used in the study was
of central neural system. The principle of biological neural measured by using Vantage Pro2 meteorological measuring
system is imitated with ANN. These nerve cells include device. This device has been planted in the elevation of 20 m.
neurons, and they create neural networks by binding [13].
themselves in different kinds. The created nets carry the With the aim of predicting short term wind power, Wind
potential of learning, remembering and finding relationship Velocity, Temperature And Humidity data of 2013’s first half
between data. In other words, they can find a solution to those (January-June) has been taken. The hourly averages of the
problems requiring human beings’ thinking and natural data have been measured as the station measures the data
observation abilities. The created nets were successfully used every 5 minutes. The wind power of each input variables have
in different disciplines such as mathematics, engineering, been measured by using the strength formula in (1) as a part of
medicine, meteorology, economics, computer and electronic emerging results. At the same time the normalization formula
fields [9-12]. given in (2) has been used to capture more accurate results in
models formed with ANN.
X - Xmin
 Xn =  
Xmax - Xmin
It is a fact that the using ANN models in measure values

without doing anything gives worse performance results then
using it after normalization. This situation is quite apparent in
whether forecast. Min-Max normalization method is a way
which provides linear normalization for data between 0 and 1.
It is used commonly. It defines minimum value while
Fig. 1 Biological nerve cell structure of human.
describing the maximum related data’s possible peak value
With the entrance and proliferation of computer systems [14].
into human life, the model in Fig. 1 is used for the problems
seeking for attention. A mathematical model trying to imitate C. The Generated Model and Validation Methods
human brain cell’s operation can be defined among artificial The best models have been tried to be created in order to
neural networks. It has many advantageous aspects as it can estimate the wind power with MATLAB, using input
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variables (Wind Velocity, Temperature and Humidity).

Multilayer Feed-Forward (FFMLP) Backprop Network has
used because of the best performance in the developed
model. TRAINLM is chosen as the education function, and
TRAINGDM is chosen as the learning function in this
network. As an activation function, LOGSIG is used in the
first layer, and TANSIG is used in the second one. Neurons
are recommended to use twice as much as for the input
variables at the generated hidden layer of ANN model [15].
Hence 6, 9, 12, 15, 18, 21, 24, 27, 30, 60 and 90 neurons in
the hidden layer are formed, as a result of 11, 20, 16, 19, 8, Fig. 4 Coefficient of Determination (R2) formula. y, yı and ӯ values
54, 101 and 236 epoch trying, smallest MSE (Mean Square respectively of supplied Real, Estimate and Mean Values.
Error) test error for network capable of generalization is tried
to get. Both the best performance and 30 neurons model with
high velocity are formed after 16 epoch model and is shown in III. MODELS RESULTS
Fig. 3.
In this study, 4344 data has been used between January and
June considering the hourly value. The data obtained between
January and June has been put into the system as education
(training), and it is aimed to predict the wind power data of
June. For this reason, 3624 (83.4%) rating between January
and May has been used as education, and 720 (16.6%) rating
within June has been used for testing purposes. R2, RMSE and
MAPE results of ANN model have been given below in Table
Fig. 3 3 Input 1 Output ANN model. I.
The achievement status for the developed model is
necessary to compare statistically. Literatüre bakıldığında TABLE I
When we look at the literature, the most widely used ANN MODEL PERFORMANCE VALUE
statistical error methods are Mean Absolute Percentage Error R2 RMSE MAPE
(MAPE) and Root Mean Square Error (RMSE). There are also
some other methods to use. Among the statistical error 0.999159 0.001467 13.79
methods, MAPE is the most effective one in terms of making
sense without other factors when it is compared with other At the end of the conducted studies, R2 values are seen to
methods [1, 3, 7-13]. be at 0.99 level when examining the results of Table I.
MAPE and RMSE which are the statistical error methods
Examining MAPE, results that are above 10% are accepted to
are used in this paper. At the same time, the models have been
be well in success rate. Assessing the MAPE results for a
compared by measuring the coefficient of determination (R2). prediction model or models, the values under 10% are very
MAPE, RMSE and R2 formulas are given respectively in good, values between 10% and 20% are good, values between
Equation (3), (4) and Fig. 4. 20% and 50% are acceptable level. If the result of MAPE is
over 50%, model should be considered as a wrong or failure
1
n
P -O
[16]. If the RMSE value is 0.0015, it will show us that
MAPE = *100 (3) performance success of the model is a good level.
=1 P
Regression graphic of concerned model in MATLAB
program at 16 epoc result, it is seen as in Fig. 5.
Pi, and Oi represent the calculated actual values in the
equation of (3) and (4) respectively.
n
(P - Oi )2
RMSE = (4)
Similarly, the best model is defined as a result of calculation

considering with the performance success of the model and
models, using statistical error formulas of the equation of (3)
and (4).
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Fig. 7 Comparison of 11th of June between actual and estimated ratings
As it is well understood from the Fig. 7, success rate

between estimated and actual value can be seen, it is very
close to each other and this figure also shows us that the
Fig. 5 Regression Graphics of ANN Model
prediction method gives quite good results according to the
actual value.
In these regression graphics; test, training and verification
graphics of related model is seen. Performance graphic of
developed model according to Mean Square Error (MSE) is IV. CONCLUSION
given in Fig. 6. In this conducted research to estimate potential wind power
of Osmaniye city, feedback forward neural network is utilized
by using MATLAB program. Wind power estimation of June
is calculated by educated models by means of changing a
series of parameters of model as hidden layer, learning and
education function and neuron number in order to optimize
the estimated results of created model. When estimated values
compare with the actual values statistically, R2 values of
estimated model are quite good result and it is very close to 1
shown in Table 1, and this value determines the success rate
of the estimated model substantially. Furthermore, the results
of the MAPE and RMSE shows us the power of prediction of
estimated model and the it is shown clearly in Fig. 7. By this
means, short term wind power estimation with high success
rate is made in Osmaniye.
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Performance Analysis of Spiral Neighbourhood

Topology Based Local Binary Patterns in Texture
Recognition
Nihan Kazak*, Mehmet Koç+
Department of Computer Engineering, Bilecik Şeyh Edebali University
*
nihan.kazak@bilecik.edu.tr
+
Department of Electrical and Electronics Engineering, Bilecik Şeyh Edebali University
Gulumbe Campus, Bilecik, Turkey
mehmet.koc@.bilecik.edu.tr
Abstract— In many texture recognition problems, Local Binary improved versions of original LBP. In [9], authors present
Patterns (LBP) method is used for feature extraction. This rotation invariant and uniform LBP which include
method is based on comparison of each centre pixel and its fundamental information about texture. In [10], multi-
neighbours’ intensity value in image. Due to its simplicity of dimensional LBP was proposed to using multi-dimensional
calculation, LBP has become one of the most popular feature
extraction techniques. In literature, different neighbourhood
histograms for different radii. Several versions of LBP were
topologies of LBP structure are given such as circle, square, studied in [8].
ellipse, parabola, hyperbola, and Archimedean spiral. This paper The basic LBP calculates histograms with circular
focuses on the use of uniform and basic LBP that have spiral neighbourhood topology. Using this topology is advantage for
topology in texture classification. We first derive basic and rotation invariant problem in the texture classification
uniform LBP features based on spiral topology. Then the application but anisotropic structural information may
performances of several classification methods such as linear important features for some problems. An elliptical
discriminant analysis (LDA), linear regression classifier (LRC), neighbourhood topology was used to exploit this anisotropic
support vector machines (SVM), Chi-square test, and G-test are structural information for a face recognition system in [11].
compared using these features in UIUC texture database.
Other variants of LBP are proposed by [12]. Different
shapes such as ellipse, circle, parabola, hyperbola and
Keywords— Local binary patterns, texture recognition, feature Archimedean spiral for the neighbourhood calculation are
extraction, classification methods, spiral topology.
tested. Different encodings to create LBP code are described
I. INTRODUCTION for the evaluation of the local grayscale difference. According
to this work, proposed quinary encoding and using elliptic
Texture can be defined as a repeating pattern of local
neighbourhood performs the best with the medical image
variations in image intensity. Texture contains information
databases.
about the spatial arrangement of the colours or intensities in
In the classification phase, performance of subspace based
an image. Texture classification basically means that
classification method is better than the statistical tests based
assignment of unknown image to one of known classes.
on similarity measures [13]. We employed Chi-square test, G-
Texture classification process consists of two main operations.
test, support vector machines (SVM), linear discriminant
The first operation is extracting features of the image and the
analysis (LDA) and linear regression classifier (LRC) for the
second one is classification phase.
classification. LRC is one of the subspace methods [14] that is
The best description of image is a very important step for
generally used for face recognition problems [15-17]. The
classification phase of texture classification. There are a lot of
experimental results of our study show that using LRC with
feature extraction methods in literature for the best description
SLBP features gives better results in texture recognition.
of image. In [1], Raju and Durai presents texture classification
The remainder of the paper is organized as follows. Section
techniques based on feature extraction in two categories
2 introduces the LBP operator. Our approach for computing
according the local and global features.
the LBP codes is explained in Section 3 and classification
Local Binary Pattern (LBP) is one of the methods which
methods are presented in Section 4. The experimental study
used local features. It is gray-scale invariant local descriptor
performed in this paper is given in Section 5 and finally
which was proposed by Ojala [2] and is a powerful descriptor
conclusions are presented in Section 6.
for texture recognition. The descriptor is used various fields of
image processing problems such as shape localization [3], II. LBP
interest region description [4], gender classification [5], palm-
LBP proposed by Ojala et al. is one of the most famous
print recognition [6], digital image stabilization [7] and
texture descriptor. LBP operator is the grayscale invariant
especially face recognition problems [8]. There are a lot of
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texture measure. This operator works with the gray value of bin is allocated for the all non uniform patterns so histogram
image pixels. consists of 59 bins.
For the each pixels of an image which is defined as centre
pixel, binary code is generated by comparing it and its III. CLASSIFIERS
neighbours. If the difference between compared neighbouring
pixel value and centre pixel value is higher or equal to 0, A. G-test
compared neighbouring pixel value is coded as a binary 1, in G-test is defined as the following equation:
the other case it is coded 0. Fig. 1 shows an example of LBP 𝑆𝑆𝑏𝑏
method. 𝐺𝐺(𝑆𝑆, 𝑀𝑀) = 2 ∑𝐵𝐵𝑏𝑏=1 𝑆𝑆𝑏𝑏 𝑙𝑙𝑙𝑙𝑙𝑙 (2)
𝑀𝑀𝑏𝑏
where B is the bins number of the histogram, 𝑆𝑆𝑏𝑏 and 𝑀𝑀𝑏𝑏

3 1 5 0 0 1 Binary represents probabilities of sample and model distributions at
Code bin b respectively. 𝑆𝑆𝑏𝑏 log 𝑆𝑆𝑏𝑏 is the same for each model during
9 4 2 Compare 1 0 00101101 classification and there is no effect of constant scaling factor 2
LBP on classification result so G-test can be simplified as:
0 4 7 0 1 1 Code: 45
𝐿𝐿(𝑆𝑆, 𝑀𝑀) = ∑𝐵𝐵𝑏𝑏=1 𝑆𝑆𝑏𝑏 log 𝑀𝑀𝑏𝑏 (3)
Fig. 1 Basic LBP Operator
As a result, test sample S is assigned to M model which
The limitation of the basic LBP operator is using 3x3 maximizes the L statistic.
square neighbourhoods for the description of local binary B. Chi-square (𝜒𝜒 2 ) Test
pattern. To eliminate the disadvantage, the operator was
extended to use different size of neighbourhood and Fig. 2 Assume that we have two histograms S and M for
illustrates two circularly symmetric neighbour sets for comparison. 𝜒𝜒 2 test is computed as:
different radii. (𝑠𝑠𝑖𝑖 −𝑚𝑚𝑖𝑖 )2
𝑑𝑑𝜒𝜒2 (𝑆𝑆, 𝑀𝑀) = ∑𝐵𝐵𝑖𝑖=1 (4)
𝑠𝑠𝑖𝑖 +𝑚𝑚𝑖𝑖
where B is the number of bins, 𝑠𝑠𝑖𝑖 and 𝑚𝑚𝑖𝑖 represents value of S

and M distributions at bin i, respectively. A simple nearest-
neighbour rule is used for classification.
C. Support Vector Machine (SVM)

The purpose of SVM is to select a hyperline or a
hyperplane which separates the features of two classes. If
Fig. 2 (8,1) and (16,2) LBP Operator features can be separated linearly, this procedure can be
applied otherwise, features are mapped onto higher
Let 𝐿𝐿𝐿𝐿𝐿𝐿𝑃𝑃,𝑅𝑅 denote the LBP code of a pixel’s circularly dimensional space that can separate the features linearly.
neighbourhoods, where P is the number of sample points on D. Linear Discriminant Analysis (LDA)
the circle of radius R, 𝑔𝑔𝑐𝑐 represents intensity value of centre
pixel and 𝑔𝑔𝑝𝑝 is the gray value of its pth neighbour. Then the LDA is the most commonly used as dimensionality
reduction technique and maximizes the linear separability of
𝐿𝐿𝐿𝐿𝐿𝐿𝑃𝑃,𝑅𝑅 can be calculated as follows:
the groups belonging to different classes in data.
1, 𝑥𝑥 ≥ 0 The aim of LDA is to maximize the distance between
𝐿𝐿𝐿𝐿𝐿𝐿𝑃𝑃,𝑅𝑅 = ∑𝑃𝑃−1 𝑃𝑃
𝑝𝑝=0 𝑠𝑠�𝑔𝑔𝑝𝑝 − 𝑔𝑔𝑐𝑐 �2 , 𝑠𝑠(𝑥𝑥) = � (1)
0, 𝑥𝑥 < 0 distributions of classes and to minimize variation in each class.
As a result of calculation of LBP operator, decimal number Thus it can reduce dimensionality and save the information
is assigned to each pixel of image. After this process, a that is used in classification process at the same time.
histogram is built to represent the image and used for pattern Objective function that is maximized in LDA defined as:
recognition as feature. 𝒘𝒘𝑇𝑇 𝑆𝑆𝐵𝐵 𝒘𝒘
𝐽𝐽(𝒘𝒘) = (5)
The concept of uniform patterns is to extract fewer feature 𝒘𝒘𝑇𝑇 𝑆𝑆𝑇𝑇 𝒘𝒘
of image texture. Any LBP pattern is called as uniform
where 𝑆𝑆𝐵𝐵 is between the classes scatter matrix, 𝑆𝑆𝑇𝑇 is within the
(ULBP) if the binary pattern consists of at most two bitwise class scatter matrix.
transitions from 0 to 1 or vice versa. For example, binary code
of the pattern that given in Fig. 1 is 00101101. This pattern is E. Linear Regression Classification (LRC)
not a uniform pattern because of having higher than two
Assume that we have C classes with N training images. The
bitwise transitions. It has three 0-1 transitions and two 1-0
matrix 𝑊𝑊𝑖𝑖 contains all feature vectors from ith class. Thus
transitions. A pattern having 00011000 binary codes is
𝑗𝑗
uniform pattern. If each pixel in image has 8 neighbourhoods, 𝑊𝑊𝑖𝑖 = [𝑥𝑥𝑖𝑖1 ⋮ ⋯ ⋮ 𝑥𝑥𝑖𝑖 ⋮ ⋯ ⋮ 𝑥𝑥𝑖𝑖𝑁𝑁 ] (6)
there are totally 58 uniform patterns. In histogram, only one
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𝑗𝑗
where 𝑥𝑥𝑖𝑖 represents the jth feature vector of the ith class. If y
belongs to the ith class, it should be represented as a linear
combination of the training images from the same class and
can be defined as
𝑦𝑦 = 𝑊𝑊𝑖𝑖 𝛽𝛽𝑖𝑖 + 𝜀𝜀 (7)
where 𝛽𝛽𝑖𝑖 is the vector of parameters that is estimated using
least squares estimation. Hence the estimation of 𝛽𝛽𝑖𝑖 is
𝛽𝛽�𝚤𝚤 = (𝑊𝑊𝑖𝑖𝑇𝑇 𝑊𝑊𝑖𝑖 )−1 𝑊𝑊𝑖𝑖𝑇𝑇 𝑦𝑦 (8)
The estimation of the vector y is calculated as follow:
𝑦𝑦�𝚤𝚤 = 𝑊𝑊𝑖𝑖 (𝑊𝑊𝑖𝑖𝑇𝑇 𝑊𝑊𝑖𝑖 )−1 𝑊𝑊𝑖𝑖𝑇𝑇 𝑦𝑦 (9) Fig. 3 Spiral neighbourhood topology
Calculation of LBP code is the same as basic LBP for

The minimum distance between the original vector and the
SLBP. Firstly the nearest neighbour of centre pixel is
projected vector is calculated according to the Euclidean
compared and then comparison continues towards the farthest
distance measure, i.e.,
one. Consequently binary code is generated depending on
argmin{‖𝑦𝑦 − 𝑦𝑦�𝑖𝑖 ‖}, 𝑖𝑖 = 1,2, … , 𝐶𝐶. (10) whether the central pixel is higher than or equal to neighbours.
𝑖𝑖 Obtained binary code is converted to decimal value and this
value is labelled to centre pixel. Finally histogram of decimal
IV. SPIRAL LOCAL BINARY PATTERN (SLBP) values is created.
We introduced basic encoding LBP operator with spiral Uniform spiral LBP (USLBP) is determined like uniform
topology for texture recognition in this section. The basic LBP LBP and non uniform ones correspond to only one bin in
calculates histograms with circular neighbourhood topology. histogram.
Using this topology provides rotation invariant but cannot
exploit the anisotropic structural information. This V. EXPERIMENTAL RESULTS
information may an important source in some problems. An This section describes experiments that show the
elliptical neighbourhood topology has been used to exploit efficiency of the proposed spiral neighbourhood topology for
this anisotropic structural information for a face recognition texture classification.
system in [11]. UIUC texture database which involves 40 textures from
Other variants of LBP are proposed by [12]. Different each of 25 textures is used for evaluation. Fig. 4 shows
shapes such as ellipse, circle, parabola, hyperbola and example images from each class (the resolution of the samples
Archimedean spiral for the neighbourhood calculation have is 640×480 pixels). Samples of each class have different
been tested and different encodings have been used for the viewpoint and scale differences. Furthermore, the dataset
evaluation of the local grayscale difference. According to this includes non-rigid deformations, illumination changes and
work, proposed quinary encoding and using elliptic viewpoint-dependent appearance variations.
neighbourhood gives the best accuracy with the medical To get statistically significant experimental results, 30
image databases. training images are randomly selected from each class of
UIUC database while the remaining images per class are used
The equation of the Archimedean spiral is expressed in
as the validation set.
terms of polar coordinates such as (𝑟𝑟, 𝜃𝜃). The equation of
The Archimedean spiral starts in a centre pixel and makes
Archimedean spiral can be described as follows a curve with one round (2𝜋𝜋). So 8 sampling points on a spiral
𝑟𝑟 = 𝑎𝑎 + 𝑏𝑏𝑏𝑏 (11) are computed intervals of 𝜋𝜋/4. Sampling points which do not
overlap to centre of a pixel are computed by bilinear
where a and b can be any real numbers. Changing the interpolation. In (11), b parameter is set as 0.3 for the best
parameter a turns the spiral, while b controls the distance performance of spiral neighbourhood topology.
between the turnings. Fig. 3 illustrates an example of spiral All texture images of UIUC database are represented by
neighbour which we used to extract features. LBP, ULBP, SLBP and SULBP histograms. The LBP codes
Each pixel in the image is selected as the centre point are computed using 8 sampling points on a circle of 1 radius
respectively. Black circle is the centre pixel and its eight for comparison with SLBP.
neighbours are represented as blue stars in Fig. 3. The extracted features are classified with Linear SVM,
The neighbour points are identified by choosing theta LDA, LRC, Chi-square test and G-test for measure of
intervals of 𝜋𝜋/4. If a point doesn’t overlap to the centre of the dissimilarity between features.
pixel, the intensity value of the point is interpolated by The classification algorithms are implemented ten times
bilinear interpolation. independently. The average classification accuracies obtained
with different texture databases are shown in Table I. The best
recognition result achieved is 85.64% with LRC where the
SLBP features of UIUC database is selected as shown in
Table I as bold and underlined style.
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Fig. 4 Sample images from UIUC texture dataset.
Performance of proposed SLBP is higher than the other [2] T. Ojala, M. Pietikainen ve D. Harwood, A Comparative Study of
feature extraction methods for all classification methods. The Texture Measures with Classification Based on Feature Distributions, Pattern
Recognition, vol. 29, no. 1, pp. 51-59, 1996.
statistical tests based on similarity measures perform worse [3] X. Huang, S. Li ve Y. Wang, Shape localization based on statistical
from subspace based methods. LRC is the best classification method using extended local binary pattern, Proc.Int.Conf.Image Graph.,
method in UIUC texture database as a result of experiments. 2004.
[4] M. Heikkila, M. Pietikainen ve C. Schmid, Decription of interest
TABLE I regions with local binary patterns, Pattern Recognition, vol. 42, pp. 425-436,
CLASSIFICATION ACCURACIES (%) 2009.
LBP ULBP SLBP SULBP [5] S. C., Learning local binary patterns for gender classification on real-
world face images, Pattern Recognition Letters, vol. 33, pp. 431-437, 2012.
%33.40 %33.00 %33.72 %31.04 [6] M. G. K. Ong, T. Connie ve T. A. B. Jin, Touch-less palm print
G-test
±1.98 ±1.92 ±2.73 ±3.00 biometrics: Novel design and implementation, Image and Vision Computing,
%63.24 %61.76 %63.88 %60.76 vol. 26, pp. 1551-1560, 2008.
Chi-square [7] B. Kir, M. Kurt ve O. Urhan, Local Binary Pattern Based Fast Digital
±2.35 ±3.01 ±2.81 ±2.40
Image Stabilization, IEEE Signal Processing Letters, vol. 22, pp. 341-345,
%63.24 %74.2 %80.84 %69.52 2015.
SVM
±2.35 ±3.87 ±2.55 ±3.59 [8] S.-M. Huang ve J.-F. Yang, Linear Discriminant Regression
%79.96 %80.16 %83.32 %83.72 Classification for Face Recognition, IEEE Signal Processing Letters, vol. 20,
LDA no. 1, pp. 91-94, 2013.
±3.50 ±3.20 ±2.60 ±3.04
[9] T. Ojala, M. Pietikainen ve T. Maenpaa, Multiresolution Gray-Scale
%84.44 %83.28 %85.64 %84.36
LRC and Rotation Invariant Texture Classification with Local Binary Patterns,
±2.34 ±1.45 ±1.91 ±2.19
IEEE Trans. Pattern Analysis and Machine Intelligence, vol. 24, no. 7, pp.
971-987, 2002.
VI. CONCLUSIONS [10] G. Schaefer ve N. P. Doshi, Multi-dimensional Local Binary Pattern
Descriptors for Improved Texture Analysis, 21st International Conference on
In this paper, we have presented uniform and basic Local Pattern Recognition (ICPR 2012), Tsukuba, Japan, 2012.
Binary Pattern (LBP) with Archimedean spiral neighbourhood [11] S. Liao ve A. Chung, Face recognition by using enlongated local binary
topology to texture recognition. Firstly, we derived basic and patterns with average maximum distance gradient magnitude, Computer
uniform LBP features based on spiral topology. Then the Vision – ACCV 2007. Lecture Notes in Computer Science, vol. 4844, Berlin,
Springer, 2007, p. 672–679.
performances of several classification methods such as linear [12] L. Nanni, A. Lumini ve S. Brahnam, Local binary patterns variants as
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G-test are compared using these features. Experimental results [13] N. Kazak, M. Koç, B. Benligiray ve C. Topal, A comparison of
classification methods for local binary patterns, 24th Signal Processing and
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the best recognition rate is obtained with using SLBP features [14] I. Naseem, R. Togneri ve M. Bennamoun, Linear Regression for Face
and LRC method. In the future, we plan to focus on improving Recognition, IEEE Trans. Pattern Analysis and Machine Intelligence, pp.
spiral topology to obtain more meaningful information. 2106-2112, 2010.
[15] I. Naseem, R. Togneri ve M. Bennamoun, Robust regression for face
recognition, Pattern Recognition, vol. 45, pp. 104-118, 2012.
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[1] J. Raju ve C. Durai, A Survey on Texture Classification Techniques, to Low Dimensional Datasets, Neurocomputing, vol. 131, pp. 331-335, 2014.
Information Communication and Embedded Systems (ICICES), Chennai, [17] A. Suruliandi, Local binary pattern and its derivatives for face
2013. recognition, Computer Vision, IET, vol. 6, pp. 480-488, 2012.
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AWAREHOUSE DESIGN APPLICATION WITH

VIP PLANOPT IN A MANUFACTURING
COMPANY
Süleyman ERSÖZ*, Adnan AKTEPE+, Ahmet DALGIÇ*
Kırıkkale Üniversitesi Müh. Fak. End. Böl. 71451 Yahşihan/Kırıkkale
aaktepe@gmail.com
ABSTRACT basic strategies used in the distribution of the stores/ products
If storage systems are well analyzed and if method of storage are the following; [1]
is well-known, we can save time, energy and money.  Traditional Distribution: In this type of
Therefore, a successful warehouse management is significant distribution, which is made through warehouses,
for companies. Efficient warehouse management is possible warehouses are temporary storage points for
with effective warehouse design applications. In this study, a products. In this strategy, functions like goods
warehouse design model is developed. In this model, a hybrid acceptance, arranging on shelves, storage,
heuristic algorithm is used for solution of design problem. We consummation, order collection, packing and
use VIP-Planopt for application. It is a flexible software shipment/ delivery are carried out.
program that enables us to enter specific constraints. VIP-
Planopt is optimization software that produces optimal or  Direct shipment: It is direct transmission of
near-optimal layouts. In the application, we study with eight the products from supplier to the customer.
different structured big shelves in a manufacturing company  Cross-docking: The products received from
warehouse. As a result of application, we found a new and the supplier are sent to the customer by keeping them
better warehouse design minimizing total material flows. We temporarily (less than 24 hours) without storing in
discuss application results with algorithm outputs in detail in the warehouses called cross- docking plants.
the study.
In order to carry out the production and service systems
Keywords: Plant layout, Warehouse management, VIP-Plant effectively, not only the implementation of optimum plans and
Optimization. operational policies, but also a good projection is required.
I. INTRODUCTION AND LITERATURE The optimum design of the physical layout is a crucial topic
that should be considered in the early stages of the projection.
Warehouses are temporary storage points used during the [2]. The studies on the design of the plant layout are generally
distribution of the products. Warehouses make significant required as a result of the changes in the ground requirements,
contribution to the effective implementation of the logistic people or equipments [3]. An efficient plant projection
activities and the operation of the supply chains in accordance decreases the time of delivery, increases the outputs and as a
with the target goals. Warehouses can be located in or near the result, increases the efficiency of the plants. [4]
manufacturing plants and also can be built seperate and
special complexes. Stores/products are stored in the shelves in The plant layout design is one of the most important issues
various items, the entry and exit of the products are carried out that affect the efficiency of a production system. The plant
by means of loading ramps and loading and unlodaing layout is crucial for companies and an inseperable part of
processes are made by using forklift trucks. planning process. Plan Layout Problem (PLP) is interested in
arranging the physical sectors in a plant for the efficient
In order to understand to what extent the storage takes operation of a plant. PLP has been subject to many researches
place in the supply chain, it is necessary to comprehend the because of its interdisciplinary importance. According to
basic stores/ products distribution strategies firstly. The three Jajodia vd., a good solution to the PLP contributes to all
activities. A bad layout causes the stocks to pile up, the
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455
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product transport systems to be overloaded, the time for the abovementioned program has been given in this study and
preparation to increase and product queues to be longer [5]. it has been aimed to shed light on many problems’ solutions.
Therefore, the solution to PLP is a strategical stage for all
II. PLANT LAYOUT WITH VIP-PLAN OPTIMIZATION
enteprises.
PROGRAM
Generally, two different approaches are being used to
VIP-PLANOPT is an important solution instrument for
solve PLP. One of them is the qualitative approach which tries
plant designing problems in engineering, industrial planning
to maximize the total amount of the proximity scores among
and plant designing. VIP-PLANOPT (Visually Interfaced
the sectors. Systematic Layout Planning procedure developed
Package of PLANOPT) is a package software program
by Muther [6] is one of the most important studies on this
developed to produce optimum layouts for blocked or modular
issue. The second one is the quantitative approach which tries
problems that have small, medium or large scaled unequal
to minimize the total amount of the product transport costs
rectengular dimensions. The term “optimum layouts” means
among sectors. The study made by Armour and Buffa [7] can
locating the certain number of modules in the Euclidean space
be shown as a good example fort his approach.
in the best way without any extensions out.
Many studies in the literature has used the qualitative and
A. Optimization Algorithm
the quantitative approaches seperately so as to solve the PLP.
However, many researchers questioned whether it is logical to The PlanOPT optimization algorithm is a research product.
consider only one criterion to solve the PLP. Both of the It is a robust, registered and hybrid algorithm. The Algorithm
approaches have some advantages and disadvantages [8]. occured as a result of the development of a technic that was
However, those models which are based on only one criterion producing better results and developed by two university
is not explanatory, because there are too many factors to affect professors to solve the KAP in unequal sizes in 1995.
the plant layout. In fact, PLP should include both the VIP PlanOPT 2006 has reinforced its superiority over the
qualitative and the quantitative criteria. For this reason, it is in other algorithms by making the following additions to this
the category of multifunctional plant planning projection algotihm.
problem. [9].
In order to bring the variability of the algorithm observed
According to Malakooti, the aim of the multifunctional in some circumstances, double- precision arithmetic has been
plant layout planning is to produce efficient layout plan added.
choices to be given to the decision maker. Thus, the decision
maker can prefer the best layout plan option by considering  In order to decrease the dependance on the
the conflictive aims. There are three different methods to starting point determined by the user, new technics
solve this problem. One of the is to find out the proactive has been added.
cluster of the layout plan options and to submit them to the  In order to provide the optimal layout within
decision maker. The second one is that the preferences of the boundries with complicated and mixed shapes and
decision maker are found out first and then the optimum simple rectengular shapes determined by the user,
layout plan option is indicated according to these preferences. punishment functions has been added.
The third one is to use an interactive way to find out the The user interface screen of the program is shown in
optimum layout plan option. [10]. Attach-1.
In order to solve the multifunctional plant layout B. Terms Used in the Program
planning problem, many studies have been carried out. In
many of these studies, predetermined loads has been given to Modul: The term “modul” used fort he rectengular blocks
each goal and combined and only one goal has been acquired stands for the functional units like sectors, machines, rooms
in order to indicate the optimum layout plan option. The and areas. The size of a module along with the x line stands
quadratic assignment problem formulation has been used to for its lenght and the size along with the y line stands for its
model the multifunctional plant layout planning problem. width, and they are shown with the symbols Li and Wi.
In this study, an optimal solution has been targeted by The Modul width-lenght rate: This rate is described as
using VIP-Plant Optimization program for plant layout the rate of the width of a module to its lenght. If the width-
problem. Different from the methods mentioned in the lenght rate for a i modul is shown as Ri, it can be shown as the
literature, the convenient plant layout has been found out by followig equality:
using a package program. In addition, some information about
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456
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Cost function F3: This function is used when the cost

matrix is symmetrical. This is a composit function. The
The Modul area: For an i modul, the area of the modul is
formulation of the function is:
calculated in the multiplication of the width and lenght of Ai,
and ve it can be shown as in the following equality.
AB in the formulation expresses the area of rectengular

The Modul Type: There are two basic modul types in the layout; ω expresses the weight determined by the user on this
PLANOPT software. They are described as solid and flexible. area.
The size of the solid modules is determined by the user and
these sizes cannot be changed during the optimization. The Cost function F4: This function is used for office planning
user can determine the modul type himself/ herself. The areas problems in which te cost matrix is not symmetrical. This is a
of a flexible modul are stable but its sizes can be changed composit function. The formulation of the function is:
during the optimization. The part related to the model is
shown in the Attach-2. The required features of each modul
can be entered in this part.
Surrounded area: This term is being used for the III. IMPLEMENTATION
rectengular layouts involving all modules. The user can For implementation, the optimum layout of a warehouse
indicate the width and lenght of the area in which he/ she will with 8 shelves has been chosen. The optimum layout plan has
locate the modules by means of the program. This part is been calculated by entering the different physical features of
shown in the Attach-3.The layout can be determined by the shelves. Data is shown in the Attach-5.
entering the coordinates or manually.
The flows among the shelves should be indicated for the
Flow Matrix: This matrix provides the product, hardware optimal arrangement of the shelves in the plant layout. The
and staff flow in all pairs of modules. One component of this cost will be calculated after these flows. The flow matrix is
matrix shows the flow among fij, i and j modules. This flow shown in the Figure 1.
can be explained as the unit load carried in a unit of time
between two modules.
Unit cost matrix: This matrix shows the cost of transport
of a unit load to a unit distance among all pairs of modules.
One component of this matrix shows the cost of transport of a
unit load to a unit distance among uij, i and j modules.
C. Cost Functions
PLANOPT finds out the optimal layout by minimizing the
the aim function. The program uses four different aim (cost)
functions. The cost functions are shown in the Attach-4.
Cost function F1: This function is used when the cost Figure 1. Flow Matrix
matrix is symmetrical. The formulation of the function is:
After the entry of proble data, the optimum layout plan has
been generated by a solution with 6 iterations. According to
the "F1" cost function, a cost has been calculated. The optimal
layout plan is shown in the Attach-6.
Cost function F2: This function is used for layout
The cost results about the solution has been shown in the
problems in which function cost matrix is both symmetrical
Attach-7.
and dissymetrical. The formulation of the function is:
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457
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IV. CONCLUSION AND EVALUATION [5] Jajodia, S., Minis, I., Harhalakis, G. and Proth, J.M.
CLASS: computerized layout solutions using simulated
It has been seen in the literature research and
annealing, International Journal of Production Research, 1992,
implementation that the optimum layout for the factory has
Cilt 30, No 1, 95–108.
been found with the method used, but the important points are
that the solution should be convenient for the operation of the [6] Muther, R., Systematic Layout Planning (SLP), 2nd
factory and the real life. In other words, it should be feasible. Edition, Cahners Books, Boston, 1974.
In this study, studies about the plant layout planning problem
[7] Armour, G.C. and Buffa, E.S. A heuristic algorithm
which is one of the most important and basic issues in
and simulation approach to relative allocation of facilities,
production systems has been reviewed and then an optimum
Management Science, 1963, Cilt 9, 294–309.
layout plan has been acquired through real data taken from a
real production system by using VIP-PLANOPT software. In [8] Houshyar, A. Computer aided facilities layout: an
the implementation stage, 8 shelves with different features and interactive multi-goal approach, Computers and Industrial
the relations with each other has been indicated and the Engineering, 1991, Cilt 20, No 2, 177- 186.
convenient layout plan has been emerged. [9] Chen, C.-W. and Sha, D.Y. Heuristic approach for
REFERENCES solving the multi-objective facility layout problem,
International Journal of Production Research, 2005, Cilt 43,
[1] Simchi-Levi, D., Kaminsky, P. ve Simchi-Levi, E.
No 21, 4493-4507.
Designing and Managing the Supply Chain: Concepts,
Strategies, and Case Studies. McGraw- Hill/Irwin, 2003, sayfa [10] Malakooti, B., “Multiple objective facility layout: a
133-136. heuristic to generate efficient alternatives”, International
Journal of Production Research, 1989, Cilt 27, No 7, 1225–
[2] Ertay, T., Ruan, D., Tuzyaka, U. R. Integrated Data
1238.
Envelopment Analysis and Analytic Hierarchy for the facility
layout design in manufacturing systems, Information
Sciences, 2006, 176, 237-262. ss.
[3] Baysakoğlu, A., Dereli, T., Sabuncu, I. An ant colony
algorithm for solving budget constraint and unconstraint
dynamic facility layout problems, Omega, 2006, 34, 385-396.
ss.
[4] El-Baz, M.A. A genetic algorithm for facility layout
problems of different manufacturing environments,
Computers & Industrial Engineering, 2006, 47, 233-146, ss.
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ATTACHMENTS
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459
_____________________________________________________________________________________________________________
Attach-1. The Interface Screen Of VIP-PLANOPT Software Program
Attach-2. Modul Data
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460
_____________________________________________________________________________________________________________
Attach-3. The Interface Used for Surrounded Area
Attach-4. The cost functions
Attach-5. The Features of the Shelves Determined For the Implementation
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461
_____________________________________________________________________________________________________________
Attach-6. Optimal Layout Plan
Attach-7. Cost Results
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462
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PERFORMANCE EVALUATIONS FOR OPENMP

ACCELERATED TRAINING OF SEPARABLE
IMAGE FILTER
Süleyman UZUN*, Devrim AKGÜN+
*
Information Technologies Department, Bilecik Şeyh Edebali University, Bilecik Turkey
suleyman.uzun@bilecik.edu.tr
+
Faculty of Computer and Information Sciences, Computer Engineering, Sakarya University, Sakarya, Turkey
dakgun@sakarya.edu.tr
Abstract— One of the widespread image processing applications algorithms, a fitness function is used to define the problem. In
is image filtering with two dimensional convolution. Determining the present case, fitness functions is formed according to mean
the weights of image filters are of importance for the success of squared value of original and noisy images. For the
filtering operation. Heuristic algorithms such as genetic computation of fitness function, intense multiplication and
algorithms provide an efficient way of training these types of addition operations are carried out to obtain fitness value.
filters. Due to the high computational cost of repetitive image Furthermore, computation time depends on the number of
filtering operations, this process may take hours to implement weights as well as the image size. During computations,
using single core computing. OpenMP (Open Multi Processing)
fitness function is called at each iteration of the genetic
provides an efficient library for utilizing the computing power of
multicore processors. In this study, OpenMP accelerated algorithm. This significantly slow down the process and make
training of separable filters that are a subclass of convolution the applications impractical. A method for the acceleration of
filters has been implemented based on genetic algorithms. the process is to utilize the computational power of multicore
Comparative speed-up results for various sizes of images using processor. For this purpose, OpenMP provides a useful tool
various sizes of filtering kernels were presented. Also the effect of for efficient use of the cores of a multicore processor.
population size of genetic algorithm and the number of working OpenMP helps distribute the computational load to defined
cores have been investigated. number of threads.
In the present study, OpenMP is utilized to accelerate the
Keywords— OpenMP, separable filters, image processing, computation of fitness function. Fitness function is computed
genetic algorithms for all individuals in the population and these operation can be
realized independently on processor cores. In the experiments,
an eight core computer is used and the results are obtained
I. INTRODUCTION against the number of cores to see the effect of the number of
Image filters are widespread operators in image processing cores. Also various filter kernel sizes, image sizes and the
applications such as image enhancement, image smoothing, population sizes used in the experiments to show the
edge detection and noise elimination [1]. Linear filtering using efficiency of the OpenMP based acceleration.
two dimensional convolution or correlation is one of the main
filtering operations. This is realized by applying the filtering II. SEPARABLE IMAGE FILTERS
kernel to each pixel of input image where the kernel is a Separable image filters are used in a slightly different way
matrix of weights. The size of the matrix can be 3×3 or 5×5 from the non-separable filters. An example of non-separable
larger such as 21×21. If the kernel has symmetric properties, it image filter is shown by Fig. 1 which has size 3×3. The filter
can be expressed as the multiplication of a row and column kernel has a total of 9 weights. This means that the image
vectors. This form is called as separable filter and it reduces filtering process train weights number of genetic algorithms is
the number of multiplication/addition operations. 9. When the size of the filter kernel grows, it is increasing
The values of the filter weights are determined according to training time of genetic algorithms. For instance, 25 weights
the desired behaviour of the filter. Weights can readily be for the filter kernel with 5×5, 49 weights for the filter kernel
obtained using different analytical techniques [2], [3]. In with 7×7, 81 weights for the filter kernel with 9×9, etc. The
another approach, the kernel weights can be trained using the growth of genetic algorithms filter kernel increases the
original and noisy image samples [4]–[7]. Heuristic training time. The 3×3 filter kernel used in separable image
algorithms provide an efficient way for the computation of the filter is shown in Fig 1. This filter kernel which horizontal
filter kernel weights [8]–[10]. One of the well-known heuristic and vertical vectors as shown in Fig. 2 in the separable image
algorithms is Genetic algorithm which provided its efficiency filter is used.
in various researches. Genetic algorithm is selected to train the
weights of the separable filter. In the application of genetic
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463
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IV. OPENMP (OPEN MULTI PROCESSING)

1 2 1 OpenMP is an application programming interface (API)
2 4 2 which provide opportunity parallel computing on multicore
processors. The calculations are done on multi-core processor
1 2 1 architectures OpenMP thanks to coequally distribute all core
[14].
Fig. 1 3×3 filter size which filter kernel
The product of this vector also gives the filter kernel shown in
User
Fig. 1. Application
Complier Environment
1 2 1 1 * 1 2 1 Directives Variables
2 4 2 = 2 Runtime Library
1 2 1 1
Threads in Operating System
Fig. 2 Separable image filter is used filter kernel
Separable image filtering process can be divided into two OpenMP Architecture is shown
Fig. 3 OpenMP figure 4.
architecture OpenMP, compiler
[16].
stages. The first stage is to filter noisy image using one of the
vectors. The second stage is to filter the resulting image from OpenMP Architecture is shown figure 4. OpenMP,
the first stage using the other vector. Therefore, image compiler directives, runtime library and environment variables
filtering process is completed in two stages. Separable image are comprised from. Programmers write the code to run
filter has the advantage of reduced number of weights over concurrently by putting special comments in that codes.For
non-separable filter. For example, the number of filter weights instance “#pragma omp parallel”. This study was
to be trained in separable image filter for 5×5 is 10, while it is parallelization of the fitness value calculating for “for” block.
25 for non-separable image filter.
Process 0
III. GENETIC ALGORITHMS

Genetic algorithm is a search and optimization method OpenMP
which is based on natural selection [7], [12], [13]. Genetic
algorithms randomly generate multiple solutions. Bad
solutions are eliminated in the next generation. Therefore, Thread 0 Thread 3
best solutions appear as the best solutions transferred to next
generations. Thread 1 Thread 4
Thread 2 Thread 5
Initial population
Fitness
While (termination criteria is not met) Fig. 4 OpenMP hierarchy of 2D array [15].
Selection
Crossover
Mutation OpenMP’s operation diagram is shown in Fig 5. OpenMP is
Fitness identified one of the threads as main thread. Tasks are
End while distributed in equal amounts other threads by the main thread.
Due to the fact that this study was developed with C
Fig. 3 Genetic algorithm steps programming language, to use the OpenMP function
“#include <omp.h>” as is included in the project.
Genetic algorithm involves applying selection, crossover, Fig. 6 shows the area of the genetic algorithms parallelization
mutation and Fitness calculations on candidate population process on the flow chart. This block is calculated fitness
which are initially formed randomly. A pseudo code function value. This block contains computationally intensive
illustrating the operation of genetic algorithms is shown in Fig. mathematical operations. Therefore parallelization process is
3. In the present case, computationally most intensive part is performed here.
calculating the value of the fitness function due to the image
filtering operations.
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464
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Calculate Fitness Calculate Fitness Calculate Fitness

Function Value 1 Function Value 2 Function Value N
Fig. 5 Computation of fitness functions using OpenMP
TABLE 2
V. EXPERIMENTAL RESULTS AND DISCUSSION
COMPUTATION TIMES FOR 200 POPULATION AND 3X3 FILTER KERNEL.
Experimental studies on Windows Server 2012
Essentials™ 64-bit operating system, Quad-Core AMD 200 Population, 3x3 Filter Kernel
Opteron™ 2378 2.40GHz dual processor, 18GB Ram, have Core Numbers (TIME (Minute))
been working on computer servers. The algorithm is written in Image Size
1 Core 2 Core 4 Core 6 Core 8 Core
C programming language. In the experiments, 256×256,
256×256 6.74 3.20 1.70 1.58 0.94
512×512 and 1024×1024 with a pixel size images are used
[15]. 3×3, 5×5 and 7×7 sizes filter masks are used for images 512×512 25.93 14.60 8.10 6.20 5.59
filtering process. The developed algorithm was running 10 1024×1024 107.02 55.85 34.34 24.66 23.07
times for each image and at the end of working, these 10
average MSE (Mean Squared Error) value and average TABLE 3
training time are taken. The number of population for
analysing the impact of population on training time while 100 COMPUTATION TIMES FOR 100 POPULATION AND 5X5 FILTER KERNEL.
and 200 were obtained results determined separately. The 100 Population, 5×5 Filter Kernel
number of iterations has been fixed at 400 for all calculations.
Core Numbers (TIME (Minute))
Mutation rate 0.005 and crossover rate 0.3 is defined as the Image Size
constant. Termination criteria of genetic algorithms are 1 Core 2 Core 4 Core 6 Core 8 Core
defined as the number of iterations. Noisy image used were 256×256 3.97 2.02 1.13 1.00 0.62
obtained by adding Gaussian noise on the original image. 512×512 16.16 8.79 4.86 3.61 3.03
1024×1024 68.75 34.85 19.67 14.03 12.42
TABLE 1
COMPUTATION TIMES FOR 100 POPULATION AND 3X3 FILTER KERNEL. TABLE 4
100 Population, 3×3 Filter Kernel COMPUTATION TIMES FOR 200 POPULATION AND 5X5 FILTER KERNEL.
Core Numbers (TIME (Minute)) 200 Population, 5×5 Filter Kernel

Image Size
1 Core 2 Core 4 Core 6 Core 8 Core Core Numbers (TIME (Minute))
Image Size
256×256 3.43 1.71 0.90 0.75 0.50 1 Core 2 Core 4 Core 6 Core 8 Core
512×512 14.81 7.17 4.06 3.25 2.88 256×256 8.47 4.24 2.30 1.74 1.16
1024×1024 55.52 29.11 16.28 12.83 12.27 512×512 32.46 17.08 9.33 6.96 5.80
1024×1024 138.97 69.68 38.47 27.50 23.81
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TABLE 5 Table 1 and Table 2 shows the computational times for 3×3
window using 100 and 200 populations respectively. Table 3
and Table 4 shows the computational times for 5×5 window
100 Population, 7×7 Filter Kernel using 100 and 200 populations respectively. Table 5 and Table
Core Numbers (TIME (Minute)) 6 shows the computational times for 7×7 window using 100
Image Size and 200 populations respectively. All results show that as the
number of cores increased, the computational times reduces
256×256 4.03 2.29 1.27 1.14 0.69 significantly. Figure 8a to 8f show the graphical comparison
512×512 19.27 9.65 5.68 3.86 3.00 of the results. Best acceleration rates are obtained for 256×256
1024×1024 77.81 38.79 21.85 15.63 12,29 image.
TABLE 6
200 Population, 5×5 Filter Kernel

Core Numbers (TIME (Minute))
Image Size
256×256 9.54 4.75 2.64 2.02 1.30
512×512 36.45 20.87 10.68 7.52 5.93
1024×1024 157.92 80.12 42.75 29.94 24.52
(a) (b)
(c) (d)
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(e) (f)
Fig. 6 Comparative acceleration graphs

Mach. Learn., vol. 3, no. 2, pp. 121–138, 1988.
VI. CONCLUSIONS [14] A. S. Al-Hamoudi and A. Ahmed Biyabani, “Accelerating data
In this study, OpenMP with accelerated training of mining with CUDA and OpenMP,” in 2014 IEEE/ACS 11th
separable image filter were analysed. In the experimental International Conference on Computer Systems and Applications
(AICCSA), 2014, pp. 528–535.
results, various sizes of kernels, and images and population [15] G. Weber, “USC-SIPI image database: Version 4,” 1993.
sizes were tested. According to the results, doubling the [16] “OpenMP Architecture.” .
population size has an increasing effect when the speed-up
values on the average. Increasing the kernel size doesn’t
change the results much. In general, the results show
significant accelerations over single core running durations.
For future studies the results will be obtained on a machine to
see the efficiency limit of the number of cores.
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A Preliminary Survey on the Security of

Software-Defined Networks
Muhammet Fatih Akbaş*, Enis Karaarslan+, Cengiz Güngör#
*
Information Technologies Department, İzmir Kâtip Çelebi University, İzmir, Turkey
mfatih.akbas@ikc.edu.tr
+
Computer Engineering Department, Muğla Sıtkı Koçman University, Muğla, Turkey
enis.karaarslan@mu.edu.tr
#
International Computer Institute, Ege University, İzmir, Turkey
cengiz.güngör@ege.edu.tr
Abstract—The number of devices connected to the Internet is With the rising of popularity of the IoT concept recently,
increasing, data centers are growing continuously and computer the number of devices connected to the internet increases
networks are getting more complex. Traditional network every day. IoT offers an environment that interact the objects
management approach is becoming more difficult and we use in daily life with the other objects. All of devices that
insufficient. Software-Defined Networks (SDN) is a new support networking technology such as computers, smart
generation networking approach which is expected to take place phones, tablets, air conditioners, refrigerators, cars etc.
of the traditional computer networks. SDN architecture provides continuously produce data and this data is growing each day.
effective management of the large and complex networks.
As a result, big data concept emerges that represents high-
Although SDN have benefits from the network security
perspective, it also brings new attack vectors. We believe that the volume, complex and irregular data. Big data can not be
network security problems in SDN architecture need more processed, stored and managed by traditional methods. Big
advanced solutions. In this work, a survey on the SDN security data which becomes more valuable requires meaningful
problems is presented, challenges are discussed. In this context, results. So, big data should be processed. Big data needs more
security threats and attack surfaces in SDN are described, the bandwidth for processing. Nowadays, smart cities and smart
significant SDN security solution examples in the literature are management concepts come to the fore more and SDN
given. management, security and optimization topics will need more
advanced mechanisms.
Keywords—Software-Defined Networks, SDN, SDN Security
In the second section of this study, the basic concepts of
I. INTRODUCTION SDN, the benefits of SDN architecture are explained. In the
There are many network devices in computer networks third section, security threats and attack surfaces in SDN are
such as router, switch, firewall, Intrusion Detection System described. In the fourth section, significant SDN security
(IDS) and Intrusion Prevention System (IPS). Complex and solution examples in the literature are given. In the last section,
different protocols are running on these devices. Every day, this study is summarized and future works are presented.
new technologies such as Internet of Things (IoT), smart cities
and smart management are emerging, data centers are growing II. SDN & BENEFITS
and the number of devices in computer networks is increasing. There are three planes/layers including application, control
Computer networks are getting more complex and and data and two interfaces including application-control and
heterogeneous and management of the network is becoming control-data. Control plane decides where frames/packets will
more difficult. Traditional network management approach is be forwarded/routed. The data plane forwards the traffic to the
insufficient in large-scale computer networks. There is a need destination. Routers and switches that we used in today,
for a better network management approach and new methods. includes control plane and data plane are integrated on the
Software-Defined Networks (SDN) is an emerging concept same hardware. SDN concept is based on the idea of the
that bring a new generation network management approach separation of these planes. Control plane in other words
which is expected to take place of the traditional computer network intelligence is moved to a high performance server
networks. SDN promise administrative convenience, and network management is performed with centralized
hardware-independent, dynamic, scalable and flexible controller software. The data plane is left on OpenFlow-
networking architecture. SDN provide a centralized network enabled router or switch and is responsible for forwarding of
management and a global perspective on the network. So, this packets only. SDN architecture is shown in Figure 1. This
enables effective management of the large and complex architecture provides ability to directly programming the
networks. network and enables underlying infrastructure layer to be
abstracted for network services and applications [1]. So this
provides more dynamic, flexible, scalable platform and easy
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management of the network compared to traditional network target the controller software, communication between the
infrastructures. control plane and the data plane (control-data interface) and
the communication between the control plane and the
application plane (controller-application interface). All those
threat vectors have a potential effect on the operation of the
entire network. Attacks against SDN planes and interfaces and
the targeted security services are given in Table I.
Fig. 1 Software-Defined Networks (SDN) Architecture
The control plane is also known as a network operating

system that enables the communication between network
applications and data plane. The communication between
control plane and the data plane is provided with an open
Fig. 2 SDN Security Threats & Attack Surfaces
source network protocol OpenFlow [2]. OpenFlow is
considered as a standard for SDN.
DoS and Distributed Denial of Service (DDoS) attacks
SDN architecture brings some benefits from the security against the controller and flow table flooding attacks against
perspective. SDN provides programmability and centralized the switches in the data plane target the availability principle
controller has a global view on the network. These or service of the security. One of the main features of the SDN
characteristics of SDN have an advantage against security is the logically centralized controller. Although this feature
threats. For example, when an anomaly is detected on the provides a global perspective on the network, it emerges as
network, related traffic can be sent to the controller for one of the major weaknesses in terms of security of the SDN
analyzing. After the analysis process, existing rules can be architecture. In [3], it is shown that the faked traffic flows can
updated or new rules can be created for prevent attacks. be used to make DoS attacks to OpenFlow switches and
controller sources. The attacker may expose DoS attacks to
SDN benefits are obvious. It is expected that SDN will the controller by sending too many packets to the controller.
replace the traditional computer networks in the near future. Similarly, more than one attacker or botnets may send large
SDN also have some security threats which will be discussed amount of packets to the switches in a systematic way. As not
in the next section. all of the rules are included in the flow tables of switches, this
will cause a large number of queries to be sent to the
III. SDN SECURITY THREATS & ATTACKS controller. In this case, the controller will be exposed to DDoS
SDN architecture has network programmability and attack and will become unable to respond to legitimate
centralized control advantages but these advantages can lead requests. DoS and DDoS attacks on the controller have a
to new security threats and increase of the attack surfaces. potential affect the functioning of the entire network in a
There are variety of security threats targeted to the plane and negative way. Similarly, DoS attack may be possible also for
interface of the SDN. Security threats and attack surfaces in the switches in the data plane. The flow tables of the switches
SDN are shown in Figure 2. which have limited cache will be vulnerable to flooding
attacks when the attackers send large packets which belong to
Security threats in SDN can be classified as seven different different flows. As previously stated, some of the flow rules
threat vectors, three of which are SDN-specific [3]. The are not available in the flow table so the queries are sent to the
security threats such as Denial of Service (DoS), unauthorized controller. While waiting the answer to these queries, the
access, data leakage, data modification, malicious applications cache of the switches will fill up quickly. This type of attack
which are seen in all other network architectures is also seen is also called as DoS Switch [5].
in SDN [4]. The SDN specific ones are the attacks which
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Controller hijacking or unauthorized controller access model, allows eavesdropping or modifying the traffic flow
attacks target the confidentiality principle of the security. between network resources such as server, router or switch
Vulnerabilities in the controller may have consequences and endpoint on the network. In this case, the attacker may
which can put the entire network at danger [3]. The attacker modify flows on the switches or be able to add new flow rules
can take over the management of misconfigured, vulnerable [4]. Communication channel can be made more secure by the
controller and also the management of the network. Then, the use of TLS which is a cryptographic protocol [6]. OpenFlow
attacker can programme switches in the data plane to drop the protocol supports TLS connection by default. Mutual
traffic coming to the controller can use to launch attacks on authentication can be done by exchanging certificates between
other targets [5]. controllers and switches which are responsible for the
transmission of network packets. The attacker cannot view or
In the absence of mechanisms to ensure security in the modify the contents of messages when encrypted protocols are
communication between the control plane and the application used. However, TLS/SSL and Public Key Infrastructure (PKI)
plane, malicious applications can insert fraudulent rules into has some weaknesses and these vulnerabilities could be
the flow table of switches. This will cause the conflict rules in exploited [7]. If an attacker can access control plane by
the network. Therefore, reliable connection must be benefiting the protocol vulnerabilities in communication,
established by creating authorization and authentication switches under its control can be used to launch DDoS attacks
mechanisms between controllers and applications [4]. [3].
Man-in-the-middle (MITM) attack, which occurs between Unauthorized and unauthenticated applications target
control plane and the data plane communication targets confidentiality and integrity principle of the security. There
confidentiality and integrity principle of security. Both the are many third-party applications which run at the application
control plane and data plane will be affected by this attack layer. Controller provides abstraction for the SDN
type. The data modification between the control plane and the applications and this enables the applications to read and write
data plane is one of the most important problems in SDN. network state [4]. This situation poses a problem for the
SDN architecture brings discrete planes and using control of the network. The attacker can use the applications
unencrypted protocols in the communication between these that cause unauthorized access to hide himself and access
discrete planes can cause serious consequences. MITM attack, network resources and manipulate the operation of the
which performs in the second layer of the OSI reference network [4].
TABLE I
SUMMARY OF ATTACKS AGAINST SDN
Attack Surface Attack Type Attack Definition Attack against Security

Service
Application Plane Interception, Modification Unauthorized/Unauthenticated Confidentiality, Integrity

Applications
Application-Control Fabrication Fraudulent Rule Insertion Integrity

Interface
Interruption DoS, DDoS Availability
Control Plane
Interception Controller Hijacking, Confidentiality
Unauthorized Controller Access
Control-Data Interception, Modification Man-in-the-Middle Confidentiality, Integrity

Interface
Data Plane Interruption Flow Table Flooding Availability
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Administrative computers that are directly connected to the Connection Migration module decreases the interaction
controller can cause an entry point into the network. If these between control plane and data plane. The Actuating Trigger
computers have some vulnerability the attacker can use these module provides the installation of the necessary flow rules. It
vulnerabilities to get control of the computers to access the is stated that this plug-in is also effective against network
controller easily. scanning attacks but does not provide any protection against
DoS attacks in application-level and UDP or ICMP protocols-
Additionally, not quickly detecting an error or a problem in based attacks. It is expressed that after the attack is detected,
the network and a failure to obtain a reliable recovery point of control plane should be able to respond quickly. Therefore,
the network is considered as a threat vector [3]. quick access to the statistics belonging network traffic from
data plane is of great importance. Within the scope of study,
IV. SDN SECURITY SOLUTIONS the statistics are collected from data plane and sent to the
There are some comprehensive surveys [4], [8]-[11] on control plane. Accordingly, the behaviors detected as attack
SDN and SDN security. In these papers, concept, architecture, are prevented.
core components, advantages, current challenges of SDN and
SDN specific security threats and solutions are discussed in IDS and Anomaly Detection System (ADS) are used for the
detail. purpose of providing protection against threats in traditional
network infrastructures. These security systems are generally
Despite the advantages provided by SDN architecture, it is located in Internet Service Providers (ISP) or backbone
necessary to review network security issues. In this context, devices. This approach changes in SDN. These systems can be
there have been some studies carried out in literature. In these brought to the endpoints with SDN. In a study [13], ADS is
studies, prevention and mitigation of DoS and DDoS attacks proposed for home and Small Office/Home Office (SOHO)
are mainly considered. Furthermore there are also the studies networks using OpenFlow. Accordingly, an application which
on authentication and authorization mechanisms, development runs in NOX [14] controller is developed and implementation
of network security applications such as IDS/IPS and firewall. of four anomaly detection algorithms are showed. This
In this section, some of these studies on SDN security are solution offers more efficient anomaly detection in home and
described. SOHO networks than the ISP.
Some security measures are offered in [3] where also SDN- In another study [15], usage of central controller is
specific threat vectors are discussed. In case if only one proposed for the detection of DDoS attacks. Random
controller is used and the controller is collapsed, there will not distribution of incoming packets to the network is calculated
be a fault tolerance of the network and whole network may in this method that runs on POX [16] controller. Entropy is
have collapsed which is called Single Point of Failure (SPOF). used in order to calculate this probability. There are two
To avoid this situation creation of replication of controllers components in DDoS detection. One of them is windows size
and applications is proposed. Against software bugs usage of and the other one is threshold. The window size is depended
diversity of controllers is recommended. Furthermore, it is on time period and number of packets. Entropy calculates
stated that the switches in data plane must be able to keep in random distribution of incoming packet depending on window
touch with another controller in case the controller is size. If the entropy value exceeds the predefined threshold
collapsed. In such a case, dynamic device association value, traffic is determined as an attack. The proposed method
mechanism which provides the connection of switches with can detect the attack within the first 250 packets of harmful
multiple controllers dynamically would tolerate the faults in traffic by using destination IP addresses. It is stated that attack
the network. detection rate for the predefined threshold value is %96.
Furthermore, such parameters as destination IP addresses,
Use of OpenFlow protocol leads to some security issues window size and threshold value can be set to the desired
with it. For example, an attacker may send too many values in real time according to the requirements of the
OpenFlow request and expose the control plane to DoS attack. controller. In this respect, it offers a flexible solution. Also,
This case will cause a bottleneck between control plane and tests are performed and same results are obtained for TCP and
data plane. So, the network will be unmanageable. Therefore, UDP packets. It is stated that detecting DDoS in its early
the central controller must be protected from DoS and DDoS stages is depended on tolerance of the server used as a
attacks which could affect the entire network. A framework controller and traffic properties.
which is called AVANT-GUARD [12] has been developed for
the purpose of enhancing security in OpenFlow networks. In a recent work [17], a simple DoS prevention system is
This framework is located in the data plane and consists of performed in SDN. A solution is offered against DNS DoS
two modules named Connection Migration and Actuating attacks using flow information obtained from each network
Trigger. Intelligence is added to the data plane in Connection device. Therefore, anomaly detection can be performed on
Migration and control plane is being more resistant against each switch in the local area network. Also, the advantage of
DoS attacks such as TCP SYN. This is carried out by central management which is brought by SDN architecture is
analyzing the TCP sessions opened in the data plane. discussed.
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Controller acts like a firewall in OpenFlow-based networks. packet is sent to the NOX controller for source address
The traffic is passed on the controller and analyzed. validation. If an IP spoofing is detected then controller adds a
According to its result, passing of packets is allowed or rule to the switch in order to stop incoming traffic from this
rejected. In [18], it is discussed that a design acts like a source address. VAVE provides protection against data plane
firewall of each switch in data plane and sending of packets to DoS attacks such as flow table flooding.
the controller is not necessary. A flow-based distributed
firewall prototype is developed in this work for developing a OpenFlow and sFlow is combined for anomaly detection
simple packet filtering firewall in SDN. The rule set is and mitigation in [24]. This solution consists of collector,
installed on each network device as flow entries. This firewall anomaly detection and anomaly mitigation modules. Flow
prototype creates a firewall object for each network device statistics are gathered by using OpenFlow and sFlow protocols
connected to the controller. Firewall object is connected to the in the collector module. The statistics are analyzed and
related device without any delay. Each firewall object has an anomalies are identified in anomaly detection module. Flow-
index number and stored in a list in order. The functions of entries are inserted in the flow table of switches in order to
each firewall object can be accessed through command line by neutralize malicious traffic in anomaly mitigation module.
index number in the list. Firewall can control the traffic by Flow-entries which are inserted have higher priority than any
modifying flow tables of switches in data plane. existing flow-entry in the flow table. These modules act as a
feedback control loop. This architecture supports various
In [19], more than one controller usage is suggested for the algorithms such as statistical anomaly detection, machine
purpose of protecting control plane from unauthorized access learning-based anomaly detection and data mining-based
in SDN. Each switch in data plane can be managed by more anomaly detection according to preferred design. In this study,
than one controller using byzantine fault tolerance algorithm. entropy-based algorithm is used. DDoS attacks, worm
propagation and port scan attacks are detected successfully.
A security application kernel which is called FortNOX [20]
is proposed for preventing fraudulent rule insertion that may SDN, Network Functions Virtualization (NFV) and cloud
be caused by malicious applications. FortNOX provides computing technologies will play important role to meet the
prioritizing the flow rules by performing role-based requirements of future mobile networks. In [25], multi-tier
authorization. Furthermore, it detects a new flow rule which security architecture is presented to solve the security
conflicts with an existing flow rule. problems in the future of Software-Defined Mobile Networks
(SDMN). This architecture consists of four components.
Security Enhanced Floodlight (SE-Floodlight) which is an Security is provided between the control and data plane
extension of OpenFlow controller Floodlight is introduced in communication by using Host Identity Protocol (HIP) and
[21]. SE-Floodlight which is an improvement of FortNOX IPSec tunneling techniques. Rule-based approach is used to
offers a Security Enforcement Kernel (SEK). It provides role- protect the network to unwanted access, source address
based authorization between control plane and OpenFlow spoofing and DoS attacks. Software-Defined Monitoring
applications in application plane. SE-Floodlight has a dijital (SDM) is used to detect and prevent security threats on the
signature validation for each rule insertion. OpenFlow network. SDM uses Deep Packet Inspection (DPI) and traffic
application is digitally verified by the SEK at runtime. After monitoring techniques. Synchronizing network security with
the application is signed and validity is verified, it is permitted the network traffic provides real-time information and
for the purpose of making query, modification on the network necessary flow rules are installed to the flow tables of
or creating traffic flow rule. switches in the data plane.
In [22], assignments of full priveleges for each OpenFlow V. CONCLUSION AND FUTURE WORK
application which cause unauthorized access problems are SDN bring a new generation networking approach.
discussed. In this context, an isolation mechanism is proposed. Traditional and cumbersome network architectures transform
The system which is called PermOF provides permissions into the dynamic network architecture with SDN. Although
with minimum priveleges for applications. PermOF enforce to SDN provides an open and programmable platform there are
perform these permissions in Application Programming many problems to be solved in topics such as network security,
Interface (API) entry of the controller. It is stated that this routing algorithms, virtualization and load balancing. SDN
solution protects the network from unauthorized controller must be designed in a good manner from the security
attacks. perspective.
In [23], a solution which is called Virtual Address At this stage, we believe it is too early that we can say SDN
Validation Edge (VAVE) is proposed for IP spoofing in provide a secure network infrastructure. There is much work
OpenFlow/NOX architecture. VAVE is an application that needs to be done and more effort should be spent on SDN
runs on the controller. It performs source address validation security for SDN potential.
against IP spoofing attacks. If any incoming packet does not
match a rule in the flow table of OpenFlow switch then first
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Segmentation Process on Videocapillarascopic

Images by Matched Filter
Kemal Tutuncu *, Mustafa Buber +
#
Department of Electrical and Electronic Engineering, Selcuk University
ktutuncu@selcuk.edu.tr
+
Department of Computer, Selcuk University
Doganhisar, Konya
mbuber@selcuk.edu.tr
Abstract—Bilgisayar bilimlerindeki gelişmeler ve tıp Birçok alanda kullanılan görüntü işleme segmentasyonu, tıp
dünyasındaki paradigma değişimleri sonucunda artık günümüzde alanında da yoğun bir şekilde kullanılmakta olup, birçok
bilgisayarsız tıp uygulamaları düşünülemez hale gelmiştir. hastalığın tanı ve tedavisinde büyük bir önem arz etmektedir
Bilgisayar destekli görüntüleme yöntemlerindeki gelişmeler ve (Altuntaş, 2015). Kapilleroskopi cihazı ile yapılan tetkikler de
hesaplama kapasitesindeki artışlar sayesinde organizmaya
bunlardan bir tanesidir. Kapilleroskopi, bir cihaz yardımıyla
müdahale etmeden içsel durumlar gözlenebilmekte ve ilgili
tedaviler planlanabilmektedir. Bu gözlemlemeleri yapabilmek kılcal damarların resim ya da video görüntülerinin alınması
için öncelikle sağlam, güvenilir ve hızlı bir bölütlemenin yapılması işlemidir. Alınan bu görüntülerle kılcal damarlar incelenir ve
gerekmektedir. Bölütleme, genelde görüntü işleme ve özelde de damarlardaki değişiklikler bazı hastalıkların habercisi olabilir.
tıbbi görüntü işlemede, görüntü çözümlemesi ve yorumlaması için Özellikle tırnak dibi kapilleroskopisi romatolojik hastalıkların
gerekli temel önişlemlerden biridir. Görüntülerin sağlıklı ve hızlı tanısının koyulmasında kolaylık sağlamaktadır (Elmas, 2015).
bir şekilde bölütlenebilmesi, tıbbi uygulamalarda tanı ve tedavi
planlamasının daha iyi ve hızlı yapılabilmesini sağlamaktadır. II. MATERIALS AND METHODS
Bu çalışmada matched filter (Eşleştirilmiş filtre) kullanarak
Matched filter (Eşleştirilmiş filtre) kullanarak
videocapillaroscopic görüntülerinde damarları bölütleyip ve bu
bölütlenmiş damarları bir veri tabanındaki bölütlenmiş
videocapillaroscopic görüntü damarları bölütlüyüp ve bu
damarların üzerinde karşılaştırılmıştır. Eşleştirilmiş filtre bölütlenmiş damarları bir veri tabanındaki bölütlenmiş
yöntemi ilk kez dünyada bu görüntülerin üzerinde uygulanmıştır. damarların üzerinde karşılaştırılmıştır.
Eşleştirilmiş filtre aşağıdaki denklemde gösterilmiştir.
Keywords—Görüntü bölütleme, Kapiller video, Segmentasyon,
Matched filter x2
1 (
2s2
)
f ( x, y )  e m (1)
I. INTRODUCTION 2s
Görüntüyü çeşitli öğelere ayırma işlemi olan segmentasyon
(bölütleme); görüntü analizi, örüntü tanıma ve görüntü işleme Burada s filtrenin skalasını ifade eder. m aşağıdaki
için başlıca öneme sahiptir. Segmentasyon, görüntüdeki denklemde gösterilmiştir.
ts  x2
bölgelerin belirlenmesi ya da görüntüdeki objelerin 1 ( )
2s2
kenarlarının belirlenip, görüntünün parçalara ayrılmasını m ( e dx ) /( 2ts ) (2)
sağlayan düşük seviye işlemdir. Segmentasyonun temel amacı  ts 2s
görüntüyü farklı özellikte anlamlı bölgelere ayırmaktır. Birçok
görüntü işleme uygulamaları içerisinde ilk adım Eşleştirilmiş filtre arka plana karşı kan damarlarının
segmentasyondur. Çünkü tanıma ve sorgulama sistemlerinin kontrastını arttırmak için kullanılmaktadır. İlk olarak, bir
kalitesini, segmentasyonun kalitesi belirler. Hiçbir eşleştirilmiş filtre hesaplama ardından damarları geliştirmek
segmentasyon yöntemi mükemmel değildir ve için GLCM istatistiksel bir özelliği hesaplandığı, bir eşik değer
segmentasyonlar genel-bütün görüntüler için kullanılmaz olarak hareket ederek kullanılır.
(Kızılkaya 2008).
Geçmişten günümüze kadar görüntü işlemede gri seviyeli
görüntü kullanılmıştır. Gri seviyeli görüntünün işlenme süresi
kısadır. Gelişen teknoloji ile gri seviyeli görüntü yerini yavaş
yavaş renkli görüntü işlemeye bırakmaya başlamıştır. Renkli
görüntü işleme, griye göre daha fazla bilgi aktarımı sağlar.
Renkli görüntü işlemenin, bilgilerin üç boyutlu renk uzaylarıyla
gösterimi esnasında renklerin ayırt edilememesi sonucu
segmentasyonun zor olması gibi olumsuz yönleri vardır
(Karakoç, 2012).
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Videocapillaroscopic Bölütlenme Algoritması
Videocapillaroscopic görüntüsü
Görüntünün birinci kanalını

alınır
Şekil 3. Soldaki görüntüde damarı bulmayan bölgeler ve sağdaki görüntüde

damar olmayan bölgeler yanlış bölütlenmiş.
Parlak Bölgeleri
Kaldırma Algoritma değerlendirme parametreleri
TP (Doğru Pozitif): Algoritmanın damarlara ait olduğunu
Optimum tespit ettiği piksel sayısını gösterir. Bu pikseller damarlarda
Önerilen Algoritmalar Parametrelerin bulunmaktadır.
(Eşleştirilmiş filtre) Bulunması ve FP (Yanlış Pozitif): Algoritmanın damarlara ait olduğunu
Uygulanması tespit ettiği piksel sayısını gösterir fakat aslında damarlarda
mevcut değillerdir.
TN (Doğru Negatif): Algoritmanın damarlarda
bulunmadığını tespit ettiği piksel sayısını gösterir; gerçekte de
Morfologikal yöntemleri kullanarak
bu pikseller damarın bir parçası değildir.
damarların sınırlarını belirliyoruz
FN (Yanlış Negatif): Algoritmanın arka plana ait olduğunu
tespit ettiği piksel sayısını gösterir fakat bu pikseller damarlara
aittir.
Damarlar bölütlendi
Şekil 4’te, söz konusu parametreler kısaca gösterilmiştir.
Şekil 1. Önerilen yöntemin akış diyagramı
Aşağıda eşleşme yöntemini uygulayarak sonuçlar elde

edilmiştir. Sonuçlara göre threshold (eşleşme yöntemi) çok iyi
bir sonuç vermemiştir. Mesela aşağıdaki sonuç 130 ve 150 için
elde edilmiştir. Bazı bölgeler damar olarak yanlış bulunuyor ve
bazı damarlar yanlış olarak damar bulunmamıştır.
Şekil 4. TPR ve FPR örneklemeleri;
TP, doğru biçimde pozitif olarak etiketlenen pozitif

pikselleri gösterir; FP, pozitif olarak etiketlenen negatif
pikselleri gösterir; FN, yanlışlıkla negatif olarak etiketlenen
pozitif pikselleri gösterir ve TN, doğrun biçimde negatif olarak
etiketlenen negatif pikselleri gösterir.
TPR ve FNR, sırasıyla, damarlara ait olan toplam piksel
sayısına göre doğru pozitif oran kriterini ve yanlış negatif oran
Şekil 2. Eşleşme yöntemini kullanarak elde edilen sonuçlar, sağdaki sonuç kriterini verir. FPR ve TNR, sırasıyla, damarlara ait olmayan
130 için ve soldaki sonuç 150 için. toplam piksel sayısına göre yanlış pozitif kriter ve doğru negatif
Bu çalışmada bulunamayan ve yanlış bulunan bölgeleri kriter oranını verir. Bahsedilen tanımlarla ilgili olarak,
iyileştirmeye çalıştırılmıştır. algoritma doğruluğu denklem (3)’deki gibi açıklanır.
Bu bölgeler aşağıdaki şekilde gösterilmiştir.
= (3)
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Bahsedilen kriterlere ek olarak, “Hassaslık” olarak [4] M. Wegmuller, J. P. von der Weid, P. Oberson, and N. Gisin, “High
resolution fiber distributed measurements with coherent OFDR,” in Proc.
adlandırılan diğer bir görüntü sınıflandırma kriteri vardır ve
ECOC’00, 2000, paper 11.3.4, p. 109.
denklemi şu şekildedir; [5] R. E. Sorace, V. S. Reinhardt, and S. A. Vaughn, “High-speed digital-
to-RF converter,” U.S. Patent 5 668 842, Sept. 16, 1997.
[6] (2002) The IEEE website. [Online]. Available: http://www.ieee.org/
= (4) [7] M. Shell. (2002) IEEEtran homepage on CTAN. [Online]. Available:
http://www.ctan.org/tex-
archive/macros/latex/contrib/supported/IEEEtran/
[8] FLEXChip Signal Processor (MC68175/D), Motorola, 1996.
[9] “PDCA12-70 data sheet,” Opto Speed SA, Mezzovico, Switzerland.
REFERENCES [10] A. Karnik, “Performance of TCP congestion control with rate feedback:
[1] S. M. Metev and V. P. Veiko, Laser Assisted Microtechnology, 2nd ed., TCP/ABR and rate adaptive TCP/IP,” M. Eng. thesis, Indian Institute of
R. M. Osgood, Jr., Ed. Berlin, Germany: Springer-Verlag, 1998. Science, Bangalore, India, Jan. 1999.
[2] J. Breckling, Ed., The Analysis of Directional Time Series: Applications [11] J. Padhye, V. Firoiu, and D. Towsley, “A stochastic model of TCP Reno
to Wind Speed and Direction, ser. Lecture Notes in Statistics. Berlin, congestion avoidance and control,” Univ. of Massachusetts, Amherst,
Germany: Springer, 1989, vol. 61. MA, CMPSCI Tech. Rep. 99-02, 1999.
[3] S. Zhang, C. Zhu, J. K. O. Sin, and P. K. T. Mok, “A novel ultrathin [12] Wireless LAN Medium Access Control (MAC) and Physical Layer (PHY)
elevated channel low-temperature poly-Si TFT,” IEEE Electron Device Specification, IEEE Std. 802.11, 1997.
Lett., vol. 20, pp. 569–571, Nov. 1999.
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The Detection of Gastric Cancer With Semi-Automatic Image Processing Techniques

Ali YASAR1*, Ismail SARITAS2, Hüseyin KORKMAZ3
1
Computer Programming, Guneysinir Vocational School of Higher Education Selcuk University Guneysinir, Konya, 42190,Turkey
2
Faculty of Technology, Electrical and Electronics Engineering Selcuk University , Konya, 42031,Turkey
3
Department of Gastroenterology, Faculty of Medicine, Selçuk University, Konya,42031,Turkey
* Corresponding Author: Ali YASAR Email: aliyasar@selcuk.edu.tr
Abstract— Gastric cancer is one of the most common reflections and intestinal juices cover the surface
and the most common fatal cancers in the world. In tissue with color and texture patterns, rendering
this study, our aims to detect the cancerous regions these image parts unsuited for cancer detection based
semi-automatically according to the endoscopy on color and texture analysis. The black image
images obtained. In this process, semi-automatic border and the lumen do not show any tissue, which
diagnosis of cancer is done according to the makes them irrelevant for our detection system.
endoscopic images received from the patients using Since we aim to use color and texture information for
image processing techniques and the results are the detection of early cancer, we define a region of
compared with the cancerous region determined interest for two reasons: (1) decreasing the number
from the endoscopic images by specialized doctors. of false positives that are caused by other texture-
The Gastric cancerous region obtained semi rich or color-deviating parts of the image and (2)
automatically using image processing techniques reducing the computation time by only analyzing the
and determined by the specialized doctors are relevant image area[3].
compared. 96.1641% accuracy rate is determined
II. MATERYAL VE METOTLAR
from the comparison results. Considering the results
obtained, it can be seen that the suspected region In this study, image processing techniques and
can be determined via software by the specialized Image Processing Toolbox of Matlab R2016a has
doctors. been used for this study.
Keywords— Gastric Cancer, Image Processing , Endoscopic 2.1. Digital Image Processing:
Image Image processing is a rapidly growing area of
computer science. Its growth has been fueled by
technological advances in digital imaging, computer
I. INTRODUCTION
processors and mass storage devices. Fields which
Gastric cancer is the fourth most commonly traditionally used analog imaging are now switching
diagnosed cancer and the second leading cause of to digital systems, for their flexibility and
cancer-related deaths worldwide [1]. Symptoms affordability. Important examples are medicine, film
associated with gastric cancer often seen in advanced and video production, photography, remote sensing,
stage tumors. Therefore, it is not easy to diagnose the and security monitoring. These and other sources
tumors at an early stage of the cancer. Endoscopic produce huge volumes of digital image data every
examination and biopsy is the most important tool in day, more than could ever be examined manually [4].
the diagnosis of the gastric cancer. In the
examination, all parts of the gastric can be seen and The comparison between semi-automatically
the cardia and fundus evaluation can be provided. detected cancerous region and the detected region by
The accuracy rate of diagnosis by biopsy is around specialized doctors is done in this article.
80% - 85% [2]. The detection of cancerous regions
using image processing techniques is aimed by In computer vision, image segmentation is the
benefitting from endoscopy images obtained from process of partitioning a digital image into multiple
the patients in the Selcuk University Medical Faculty segments (sets of pixels, also known as super-pixels).
Hospital Gastroenterology Unit. Endoscopic images The goal of segmentation is to simplify and/or
generally contain elements that are unsuited or change the representation of an image into
irrelevant for our analysis. For example, specular
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something that is more meaningful and easier to

analyze.[5][6] Image segmentation is typically used Fig1
to locate objects and boundaries (lines, curves, etc.)
In this application, it is required for the doctor to
in images. More precisely, image segmentation is the
click on the image to determine the predicted
process of assigning a label to every pixel in an
cancerous region due to the application being semi-
image such that pixels with the same label share
automatic. Afterwards, the software calculates the
certain characteristics.
accuracy rate by comparing the regions determined
In one kind of segmentation, the user outlines the
by the specialized doctor and determined by using
region of interest with the mouse clicks and
image processing techniques.
algorithms are applied so that the path that best fits
the edge of the image is shown.
III. RESULT AND DISCUSSION
Techniques like SIOX, Livewire, Intelligent When the software is executed, it starts the
Scissors or IT-SNAPS are used in this kind of segmentation process on the endoscopy image. Fig.2
segmentation. In an alternative kind of semi- below shows the field scanning system applied on
automatic segmentation, the algorithms return a the image. This system is created based on the
spatial-taxon (i.e. foreground, object-group, object method which combines the discrete areas.
or object-part) selected by the user or designated via
prior probabilities[7][8].
2.2. Implementation of Semi-Automatic Image

Processing Techniques to the Image Captured From
Endoscopy
In this section, the image processing software is

implemented to the endoscopy image captured in
Selcuk University Faculty of Medicine,
Gastroenterology Unit.
The endoscopy image taken from the patient

is shown in Fig.1.
Fig.2
The representation of images, which is the
combination of discrete areas, applied on the
endoscopy image is shown in Fig.3.
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478
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Fig.3
At this stage, after the segmentation process, the
specialized doctor activates the software by clicking Fig.5
on the suspected cancerous regions. During the
execution of the software, the region determined IV. CONCLUSIONS
after the segmentation process and the region
determined by the specialized doctor is compared In this study, success is obtained in the semi-
and the accuracy rate is calculated. automatic detection of gastric cancer with image
processing techniques. In our study, values such as
The cancerous region determined by the software is accuracy rate of 96.1641% and 0.8160 Area Under
shown in Fig. 4. Curve (AUC) value indicates our success rate. Roc
Analysis chart belonging to AUC is shown in Fig.6.
Fig6
Fig.4
On the other hand, the region determined as ACKNOWLEDGEMENTS
cancerous by the specialized doctor is shown in Fig.
This study is supported by Selcuk University
5.
Scientific Research Projects Unit (BAP) under the
project number of 15101020. Appreciations to
Selcuk University Scientific Research Unit (BAP)
due to its support.
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V. REFERENCES
[1] Jemal A, Center MM, DeSantis C, Ward EM. Global
patterns of cancer incidence and mortality rates and trends.
Cancer Epidemiol Biomarkers Prev 2010;19:1893-1907.
[2] Alacali M. “Gastric Cancer, Screening And Prevention

Methods” Ankara Medical Journal, 2012.
[3] F. van der Sommena at al “Supportive automatic

annotation of earlyesophageal cancer using local gabor and
color features” 0925-2312/& 2014 Elsevier
[4] Torsten Seemann “Digital Image Processing using Local

Segmentation” April,2002
[5] Linda G. Shapiro and George C. Stockman (2001):

“Computer Vision”, pp 279-325, New Jersey, Prentice-
Hall, ISBN 0-13-030796-3
[6] Barghout, Lauren, and Lawrence W. Lee. "Perceptual

information processing system." Paravue Inc. U.S. Patent
Application 10/618,543, filed July 11, 2003.
[7] Barghout, Lauren. Visual Taxometric Approach to Image

Segmentation using Fuzzy-Spatial Taxon Cut Yields
Contextually Relevant Regions. IPMU 2014, Part II. A. Laurent
et al (Eds.) CCIS 443, pp 163-173. Springer International
Publishing Switzerland
[8] Barghout, Lauren (2014). Vision: How Global Perceptual

Context Changes Local Contrast Processing (Ph.D.
Dissertation 2003). Updated to include Computer Vision
Techniques. Scholars Press. ISBN 978-3-639-70962-9.
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Decision Tree Application for Renal Calculi

Diagnosis
Murat TOPALOĞLU*, Gözde MALKOÇ+
#+
Trakya University, Kesan Yusuf Çapraz School of Applied Sciences
Hersekzade Campus, Yeni Mahalle Yusuf Çapraz Street No:16 Keşan / Edirne
murattopaloglu@trakya.edu.tr
Department of Computer Technology & Information System
gozdemalkoc@trakya.edu.tr
Abstract– Data mining is used for the extraction of secret, body and they help the disposal of waste through the urinary
valuable and usable data from the big data and to provide tract. Sometimes some of this waste might cumulate in the
strategic decision support. It created a new perspective for the kidneys. Renal calculi are the solid pieces that are formed
use of the data in healthcare in addition to finding the answers of
with the crystallization of calcium, phosphate and other
unexplored questions. It has gained wider usage as a method.
minerals in the urine.
The aim of this study is to develop a decision tree and a list of
Drinking inadequate amount of water, obesity, consuming
rules by data mining for the early diagnosis of renal calculi. A
data set including blind and retrospective data for 150 people can
too much sugar and salt might cause nephrolithiasis as well as
diagnose with 6 attributes. A decision support system analysis genetic factors. Most of the renal calculi are calcium stones
was developed for the diagnosis of the patients with suspected resulting from the accumulation of the calcium in the kidneys.
renal calculi. Based on the results obtained and the analysis In addition to the environmental factors in the formation of
developed, a decision tree and list of rules were created to renal calculi, genetic factors may be the primary cause. Not
determine the factors that affect renal calculi. Weka program having enough water is one of the biggest risk factors for renal
and J48 algorithm were used to create the decision tree and the
calculi. It is often recommended to drink about 2 liters of
list of rules and it was found to be 74.63% successful.
water daily. Besides, it is good for our well-being in general
Keywords– Data Mining, Decision Tree, Renal Calculi Diagnosis,
not to consume too much sugar and salt, to follow a balanced
J48
diet, to stay away from convenience food and not to be
overweight. Renal calculi may also stay in the kidneys without
I. INTRODUCTION
The aim of medical informatics is to use computer and showing any symptoms or doing any harm to the kidneys.
communication technologies that are interacting with other Following the general information given for renal calculi, we
sciences in order to utilize, analyze and reconstruct medical are going to talk about data mining.
information in an effective way. Medical informatics helps to Data mining is the extraction of secret, valuable and usable
obtain valid, detailed and reliable results on a global scale as it information from a big amount of data. Data mining which is
exponentially improves the data collection, process and used to provide strategical decision support aims to construct
evaluation capacities in medical centers [1]. decision making models based on analysis methods.
A renal calculus is among the most common diseases in It creates directive models for decision making techniques
Turkey. About 15% of women and 5% of men in Turkey have for medical institutions where the data is collected for
been diagnosed with nephrolithiasis. It generally occurs in analyses [2]. It is important to emphasize the difference
thirties for the first time. Kidneys are like filters in the human between flaws and misappropriations in health services, to
minimize the risks and to take necessary precautions based on
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481
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this distinction for patients’ security and well-being [3] [4]. A II. RECENT STUDIES
large amount of information can be retrieved from the various İlkuçar examined the chronic kidney disease with the help of
data sets used in daily life [5, 6]. Data mining has made life artificial neural networks in his study. He emphasized what is
easier by enabling us to access to more data in a shorter time to be done and which tests to be run for early diagnosis of
span [7]. In the simplest term, data mining is the extraction of chronic kidney disease [21]. Danacı et al. focused on the
imprecise, valid and applicable data from data stacks with a diagnosis of breast cancer cells using data mining methods
dynamic process [8, 9]. It is possible to obtain valuable [22]. In the study conducted by Yurtay et al. they did a data
information from the big data stacks using data mining and mining research for anaemia diagnosis. In a study on iron
statistical analysis techniques. This information helps doctors deficiency anaemia, the system is run with decision trees [23].
during the decision process with computer-aided diagnosis Özkan et al. tried to improve the diagnosis accuracy of the
work and contributes to the improvement of health care laboratory tests used for the diagnosis of fibromyalgia
applications [10]. syndrome which are supported by sympathetic dermal
Although potent devices have been produced by expert response parameters. SSR parameters and laboratory tests
systems, they have not gained common use because of the which were calculated by Matlab were analyzed with artificial
field-related data changing rapidly and the diversity of views neural networks and the percentages of accuracy were found
among experts [11]. Data warehouse is a large store of data [24]. Kökver et al. probed the factors affecting hypertension
accumulated from a wide range of sources under the same with data mining methods. They developed a diagnosis system
roof [12]. The steps in data mining include the definition of that will estimate whether the patients have hypertension or
the problem to be solved, the obtaining of previous data about not [25].
the problem, the selection of usable data, housekeeping of the Kusiak et al. work through a decision support system which
data, the evaluation of analysis results, and the utilization of will determine whether the lung tumor is benign or malignant
these results [13, 14]. The time saving and accelerating effect [26]. In their research, Topaloğlu & Sur created a decision
of the data selection will be obvious in the later stages [15]. support system to diagnose hepatitis and to minimize the
A decision tree is an approach commonly used in data number of wrong diagnoses. It will help the doctors with the
mining for categorization and estimations. Decision trees diagnosis of hepatitis [27].
benefit the decision makers as they are easy to interpret and

III. MATERIALS AND METHODS
understand [16, 17]. The Aim of the Study
C5.0 Algorithm The aim of the study is to make the diagnosis of renal
It is one of the most common decision tree algorithms, calculi easier and help doctors with the process. A decision
especially used for big data sets. C5.0 helps us to get more tree and list of rules were created based on the full urinary
proper decision trees in terms of form [18]. WEKA is an open tests for the diagnosis of the disease. It is possible to avoid
coded data mining program with a functional graphics misdiagnoses with the decision tree and the list of rules based
interface which keeps machine learning algorithms together on facts. Patients can benefit from early diagnosis of a disease
[19, 20]. they have.
Weka program was utilized for the design of the list of
rules and the decision tree. The values of the patients were
categorized and the roots and the branches of the decision tree
were determined.
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The Importance of the Study The Formation of the Decision Tree with Weka
Urinary analysis is one of the most common methods used J48, which is a decision tree algorithm, was used in the
for the diagnosis of renal calculi. Especially substances like program. The last one of the training set with seven attributes
uric acid and calcium present in normal urine become is the “RISK” attribute where the diagnosis is made. The
crystallized and form the structures called renal calculi. These others are as follows; Leucocyte (LOW, MILD, HIGH), Urine
formations can have great negative effects on a patient’s daily Color (COLORLESS, STRAW-COLORED, YELLOW), PH
life. The diagnosis of the disease of which treatment process is (LOW, NORMAL, HIGH), Bilirubin (NEGATIVE,
quite hard is also of utmost importance. POZITIVE), Appearance (CLEAR, BLURRED,
Data Set SLIGHTLYBLURRED, HEAVILYBLURRE), Erythtocyte
For this study, a data set including retrospective and blind (TRACE AMOUNT, RARE, NORMAL). 55% of the data
data from 150 people. Six attributes were used for the obtained were used for training while the rest was used for
diagnosis of the disease. The seventh attribute is the testing. Classification model provides information about the
comments “yes” and “no” for the diagnosis. The six attributes structure and the size of the tree. This model belongs to the
used are as follows; learning set.
 Leucocyte,
 Urine color, Full Urine Analysis and Value Ranges
 PH, If Leucocyte value is between; 0 and 3  Low, 3 and 5 
 Bilirubin, Mild, 5 and above  High
 Appearance, If PH value is between; 4,5 and 5,5  Low, 5,5 and 6,5 
 Erythrocyte. Normal, 6,5 and 7,5  High.
The Decision Tree Model and Algorithm to Be Applied to the If Erythrocyte value is between; 0 and 4  Rare, 4 and 9
Data Set  Normal, 10 and above  Trace Amount
A decision tree and a list of rules were formed with the

Weka program used in the study. Before that, the data set was The relation and attribute expressions of the arrf file is
processed in csv format and the data was converted to arff shown below;
format and transferred to Weka Program. J48 algorithm was @relation kidney disease
used to determine the factors contributing to the formation of @attribute LEUCOCYTE string
renal calculi and for the diagnosis. RISK was selected as the @attribute COLOR string
root node. The results were transferred with the decision tree @attribute PH string
and the list of rules. @attribute BILIRUBIN string

@attribute APPEARANCE string
IV. FINDINGS @attribute ERYTHROCYTE string
Full urine analysis can provide us with very important
@attribute DISEASE string
information of the presence of kidney problems and activities.
@Data
After the full urine analyses that make up the data set were
categorized, they were transferred to Excel program. The file
The number of the leaves is 7 while the size of the tree is
was saved in csv format for WEKA program.
10.
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483
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Evaluation module gives the classification error and the 6. If ERITROSIT = Normal and Color = Straw-colored
Kappa (=0.482) statistic both. The mean absolute error and the and LEUCOCYTE = High, then Risk = Yes
root mean squared error of the category probability 7. If ERITROSIT = Normal and Color = Straw-colored
estimations assigned by the tree are found 0.3049 and 0.4345, and LEUCOCYTE = Medium, then Risk = Yes
respectively. Classification performance was calculated as
V. CONCLUSIONS
74.63%. This value shows that the decision tree is 74.63%
Full urine analysis values were examined with the method
successful.
used in this study. It is possible to diagnose renal calculi
The algorithm excludes meaningless variables
without a surgical examination of the patient. Thus, it helps to
automatically and it makes the selection of the variables itself
take the necessary precautions for nephrolithiasis.
during the new learning process [28]. Here, the gender was
According to the design of the decision tree, the most
considered to be a meaningless variable and it was excluded
important attribute to take into account is the amount of
from the decision tree variable order. Activity was chosen as
Erythrocyte. If the amount of the Erythrocyte is above 10,
the root node. The decision tree created based on J48
then a pathological test needs to done with ultrasonography.
algorithm is presented in Figure-1.
Again, if the amount of the Erythrocyte is between 4 and 9,
then the color of the urine, which is among the attributes,
should be examined. If the color is “Yellow”, it means that
you do not have any renal calculi. If the color is “Straw-
yellow”, then the amount of the Leucocyte should be
examined. If the amount of Leucocyte is more than 3, then
you are very likely to have renal calculi. If it is below 3, then
you do not have it. If the color of the urine is “Colorless”, then
you need to have and pathological test. If the amount of the
Erythrocyte is below 4, it means that you are less likely to
have kidney problems.
Fig. 1 Renal Calculi Decision Tree

The application we designed using data mining methods
would help the diagnosis and treatment processes in medicine.
The list of rules based on the decision tree created by J48 It would be very beneficial for biological/medical fields, both
algorithm is as follows; clinically and executively, to get help from data mining. It is
important to use the results in a safe way in every stage of
1. If ERYTHROCYTE = Trace amount, then Risk = Yes diagnosis and treatment processes. The aim is to use the
2. If ERYTHROCYTE = Rare, then Risk = No decision tree results through the data mining application based
3. If ERYTHROCYTE = Normal and Color= Colorless, on the results obtained. Besides, the first step towards the
then Risk = Yes formation of decision support system was taken with the list
4. If ERYTHROCYTE = Normal and Color = Yellow, of rules created.
then Risk = No
REFERENCES
5. If ERITROSIT = Normal and Color = Straw-colored
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and LEUCOCYTE = Low, then Risk = No Bilişimi Güz Okulu Dergisi. 2003, p. 4.
[2] M. Sincan, Birinci Basamak Sağlık Hizmetleri İçin Bilişim Rehberi,
Sürekli Tıp Eğitimi Dergisi. 2000.
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Analiz. Uzmanlık Yeterlilik Tezi, Ankara, T.C. Merkez Bankası, 2005.
____________________________________________________________________________________________________________
485
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Classification of Genuine and Counterfeit Banknotes

by Using Data Mining Algorithms
Mustafa BUBER*, Muhammed Fahri UNLERSEN -, Kadir SABANCI+
* Selcuk University, Doganhisar Vocational School, Konya, Turkey
mbuber@selcuk.edu.tr
-
Necmettin Erbakan University, Faculty of Engineering, Department of Electrical and Electronics Engineering, Konya, Turkey
unlersen@yandex.com
+
Karaman, Turkey
kadirsabanci@kmu.edu.tr
Abstract— In this study, the banknote authentication data set in clustering process using ANN approach on the pictures
the UCI machine learning repository was used as classification belonging to our dataset to determine if the banknotes are
data set. Four features obtained from banknote images that were genuine or counterfeit. Four input parameters, one hidden layer
taken from genuine and counterfeit banknotes were used for with 10 neurons and one output has been used for the ANN.
classifying them as genuine or counterfeit. 906 of 1372 data in the
Wavelet Transform tool are used to extract features from
dataset were assigned for training and rest of them were assigned
for testing. Weka (Waikato Environment for Knowledge Analysis) images. It is determined that the training regression is 0.99914,
software was used as classification environment. The classification testing regression is 0.99786 and the validation regression is
success rates were calculated by using data mining algorithms like 0.9953, respectively. Mariana et al. (2013) have used Raman
Multilayer Perceptron, RBFNetwork, RBFClassifier, kNN, J48, spectroscopy and Partial least squares discriminant analysis
RandomForest, RandomTree, NaiveBayes, BayesNet, OneR, (PLS-DA) for determining the authentic and counterfeit
DecisionTable and Kstar. The best classification success rate was banknotes. The classification method PLS-DA is employed to
achieved by using Multilayer Perceptron model. The classification discriminate authentic and counterfeit banknotes, as well as the
success rates for various number of neurons in the hidden layer counterfeit type. In the proposed method all fake and not fake
were obtained in Multilayer Perceptron model. The best success
banknotes used to validate the analysis are correctly classified.
rate was obtained as 100 % when the model has 4 neuron in the
hidden layer. Hinwood et al. (2006) have designed a system that helps the
blind Australians to recognition of banknotes. Each note has the
same feel, with no Braille markings, irregular edges or other
Keywords— Data mining, Weka, MLP, kNN
tangible features in Australia. Their portable system called
I. INTRODUCTION MoneyTalker scans and speaks about the banknote. The
accuracy, weighted by the percentage breakdown of total notes
By the improvement in banking services the Asynchronous
in issue is determined as 98.9%.
Transfer Mode (ATM) machines have been grown up
In this study the banknotes have been classified as genuine
worldwide. Due to this fact the classification of banknotes as
or counterfeit by using 4 attributes created from their images
genuine or counterfeit become an important issue. Image
that obtained from banknote authentication dataset. In
processing occupies an important role during feature extraction.
classification process 12 machine learning algorithm have been
After the feature extraction operation data mining algorithms
used. The classification success rates and error values obtained
have to be used for classification.
from each classification algorithm have been compared.
Shan et al. (2013) used quaternion wavelet transform for
feature extraction. In their study, Artificial Neural Network
(ANN) has been used as classifier. The lowest classification II. MATERIAL AND METHODS
error rate is determined as 0.58 %. Ali et al. (2004) have
proposed a method that rejects counterfeit banknotes. The
improvement of reliability in banknote neuro-classifier is Dataset
investigated and a reject option is proposed based on the
probability density function of the input data. In their study, for In this study, images that were taken from genuine and
modelling the non-linear correlation among the data variables counterfeit banknote-like specimens have been used to extract
and extracting the features, a local principal components four attributes. For digitization, an industrial camera usually
analysis (PCA) is applied. The method is tested with a learning used for print inspection, was used. The final images have
vector quantization (LVQ) classifier. The results show that by 400x400 pixels. Due to the object lens and distance to the
taking a suitable reject threshold value and also a proper investigated object gray-scale pictures with a resolution of
number of regions for the local PCA, the reliability of system about 660 dpi were gained. Wavelet Transform tool were used
can be improved significantly. Esra et al. (2015) has performed to extract features from images. The attributes that have were
____________________________________________________________________________________________________________
486
_____________________________________________________________________________________________________________
variance of Wavelet Transformed image, skewness of Wavelet III. RESULTS AND DISCUSSION
Transformed image, curtosis of Wavelet Transformed image
and entropy of image. The data set was obtained from UCI During classification process the WEKA software have been
machine learning repository [6]. used for application of algorithms. Classification success rates
and error values like MAE and RMSE have been determined
Software-WEKA by changing the neuron numbers in the hidden layers in the
classification by using same dataset on MLP model. The
Developed by Waikato University in New Zealand, WEKA success rates, MAE and RMSE values have been presented on
is an open-source data mining software with a functional Table 1. The highest success rate have been obtained when the
graphical interface which incorporates machine learning number of neuron in the hidden layer is 4 for MLP model. The
algorithms [7]. WEKA includes various data pre-processing, MLP model for best situation has been presented in Figure 2.
classification, regression, clustering, association rules, and
visualization tools. The algorithms can be applied on the data
cluster either directly or by calling via Java code [8][9]. They
TABLE I
are also suitable for developing new machine learning SUCCESS RATE OBTAINED BY USING MULTILAYER PERCEPTRON CLASSIFIER
algorithms. ERROR VALUES
Machine Learning Algorithms

The number of
Classification Success
neurons in the MAE RMSE
It is a feed forward type artificial neural network model (%)
hidden layer
which maps input sets onto appropriate output sets. A
multilayer perceptron (MLP) is composed of multiple layers of
nodes where each layer is connected to the next. Each node is a 1 98.927 0.0204 0.0836
processing element or a neuron that has a nonlinear activation
2 99.7854 0.0115 0.0503
function except the input nodes. It uses a supervised learning
technique named back propagation and it is used for training 3 99.5708 0.0065 0.0479
the network. The alteration of the standard linear perceptron,
MLP is capable of distinguishing data which are not linearly 4 100 0.0036 0.0115
separable [9]
For classification of banknotes as genuine or counterfeit
MLP model have been executed by using 4 attributes that
obtained from those pictures. By using same data set
RBFNetwork, RBFClassifier, kNN, J48, RandomForest,
RandomTree, NaiveBayes, Bayesnet, OneR, DecisionTable
and Kstar machine learning algorithms have been proposed for
classification. The block diagram of the classification process
is seen in Figure 1.
Fig. 2 The structure of Multilayer Perceptron
Then the same data set have been used for classification with
the RBFNetwork, RBFClassifier, kNN, J48, RandomForest,
RandomTree, NaiveBayes, BayesNet, OneR, DecisionTable
and Kstar machine learning algorithms. The classification
Fig. 1 The block diagram of the classification process success rates, MAE and RMSE error values for these
algorithms have been obtained. The success and error rates
obtained using 11 different classification algorithms
(Multilayer Perceptron, kNN, RBFNetwork, RBFClassifier,
kNN, J48, RandomForest, RandomTree, NaiveBayes,
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487
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BayesNet, OneR, DecisionTable and Kstar) can be seen in IV. CONCLUSION

Table 2. The diagram demonstrating the error values obtained
based on different machine learning algorithms have been In this study the banknote authentication dataset that
presented in Figure 3. obtained from UCI Machine Learning Repository have been
used for classification of banknotes as genuine or counterfeit.
TABLE III This data set consists of 4 attributes created from banknote
SUCCESS RATE OBTAINED BY USING VARIOUS MACHINE LEARNING images. For classification 12 machine learning algorithm
ALGORITHMS
(Multilayer Perceptron, kNN, J48, Naïve Bayes, Bayes Net,
KStar) have been used. The success rates and error values have
been obtained for the mentioned machine learning algorithms.
Machine learning The best classification success rate have been obtained by using
Classification
algorithms MAE RMSE
Success (%) MLP model when there are 4 neurons in the hidden layer. In
this situation the obtained success rate, MAE and RMSE error
Multilayer Perceptron 100 0.0036 0.0115
values are 100%, 0.0036 and 0.0115 respectively.
RBFNetwork 94.4206 0.0665 0.192
REFERENCES
RBFClassifier 99.5708 0.07 0.115
kNN 99.5708 0.0054 0.0654 [1] Gai, S., Yang, G., Wan, M. Employing quaternion wavelet transform for
banknote classification, Neurocomputing, Volume 118, 22 October
J48 96.3519 0.0389 0.1801 2013, Pages 171–178.
[2] Ahmadia, A., Omatua, S., Fujinakaa, T., Kosakab, T. Improvement of
RandomForest 98.927 0.0227 0.0903 reliability in banknote classification using reject option and local PCA,
Information Sciences, Volume 168, Issues 1–4, 3 December 2004, Pages
277–293.
RandomTree 97.2103 0.0279 0.167 [3] Kaya, E., Yasar, A., Saritas, I. Banknote Classification Using Artificial
Neural Network Approach, International Journal of Intelligent System
Naive Bayes 85.6223 0.1842 0.3158 and Applications in Engineering, Volume 4, No 1 2016, Pages 16-19.
[4] Almeida, M.R., Correa, D.N., Rocha, W.F.C., Scafi, F.J.O., Poppi, R.J.
Discrimination between authentic and counterfeit banknotes using
Bayesnet 93.3476 0.1272 0.2422
Raman spectroscopy and PLS-DA with uncertainty estimation,
Microchemical Journal, Volume 109 (2013) 170–177.
OneR 85.8369 0.1416 0.3763 [5] Hinwood, A., Preston, P., Suaning, G.J., Lovell, N. H. Bank note
recognition for the vision impaired, Australasian Physical &
DecisionTable 95.279 0.0898 0.1869 Engineering Sciences in Medicine, Volume 29, Number 2, 2006 Pages
229-233.
[6] UCI Machine Learning Repository, Banknote authentication Data Set,
Kstar 99.5708 0.0089 0.0504 https://archive.ics.uci.edu/ml/datasets/banknote+authentication,
15.06.2016
[7] Witten I.H., Frank E., & Hall M.A. (2011). Data mining: practical
machine learning tools and techniques. Elsevier, London.
[8] Patterson, D., Liu, F., Turner, D., Concepcion, A., & Lynch, R., (2008).
the SPIE Symposium on Defense and Security, Mart, Orlando, FL, pp.
27-34.
[9] Hall, M., Frank, E., Holmes, G., Pfahringer, B., Reutemann, P., & Witten,
I.H. (2009). The WEKA Data Mining Software: An Update. ACM
SIGKDD Explorations Newsletter, 11(1), 10–18.
Fig. 3 Variation of error rate based on the machine learning algorithms
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SPEED CONTROL OF DC MOTOR USING

TYPE-2 FUZZY CONTROLLER
Ilker Ali OZKAN*
*
Selcuk University, Faculty of Technology, Konya, Turkey
Abstract— In this study, a type-2 fuzzy controller is designed for

the speed control of a DC motor. The type-2 fuzzy controller can II. DC MOTOR
handle the rules of which membership functions cannot be fully Direct current (dc) choppers give direct potential applied its
determined or the rules which involve many uncertainties because
entrance by transforming it into a different potential value at its
the type-2 fuzzy controller contains type-2 fuzzy sets for its
antecedent and consequent membership functions. The designed
exit by means of the switching element. Direct current choppers
type-2 fuzzy controller serves the change in control signal as encountered in numerous direct potential application cases use
output according to the input values which are the error values choppers rather extensively [7].
and the error change values. The developed type-2 fuzzy logic DC motor constitutes an open foundation for advanced
controller has been simulated in MATLAB/SIMULINK. The control algorithms of electric appliances. DC motor is
simulation results show that the proposed type-2 fuzzy controller perceived as a SISO system in terms of control systems [8].
has a high performance for the speed control of a DC Motor. Dynamics of a DC motor is decribed by the following
equation:
Keywords— DC Motor, fuzzy control, type-2 fuzzy, PI type fuzzy
I. INTRODUCTION
Direct Current (DA) motors are frequently utilized in open
and closed circuit applications in the industry. Majority of these where the parameters [8] of the DC motor are shown in Table
applications require control to ensure high performance [1]. 1.
Acquisition of high performance in industrial applications is TABLE 1 DEFINITION OF PARAMETERS
crucial. In the present study, chopper direct current drivers
which display high efficiency, flexible control capability and No Definition Symbols Unit
small and light-weight physical characteristics in number of 1 Rotor speed ω(t) rad s-1
2 Armature resistance R Ω
applications were employed [2-3]. Speed and load fluctuations
3 Armature inductance L H
on DC motors are undesired circumstances. Difficult hardware 4 Armature current i(t) A
infrastructure of control methods and their dependency to 5 Load torque TL Nm
mathematical modeling allow formation of control methods 6 Rotor inertia J kg m2
through various artificial intelligence-based control systems. 7 Is torque constant Kt V s rad-1
Type-1 fuzzy logic systems are not capable of directly 8 Back EMF constant Kp V s rad-1
tolerating some uncertainties because they use Type-1 fuzzy. 9 Viscous friction coefficient D Nm s rad-1
Type-2 fuzzy set concept was entered by Zadeh as an extension 10 Coulomb friction torque TF Nm
of traditional fuzzy set concept known as Type-1 fuzzy sets [4]. 11 Armature voltage V(t) v
On the other hand, Type-2 fuzzy logic systems are useful
III. TYPE-2 FUZZY LOGIC
especially when it is difficult to determine certain membership
function for a fuzzy set. Thus, Type-2 fuzzy logic systems Fuzzy logic (BM) and Fuzzy Set (BK) Theories were first
could be utilized to eliminate uncertainties related with rules introduced by PhD. Lotfi A. Zadeh in 1965 [9]; and embraced
and even with measurements [5,6]. quite extensive practice area. Fuzzy logic is applied in
In the present study, a driver circuit application controlled numerous research areas such as Fuzzy Math, Fuzzy Systems,
by the armature current GTO (Gate Turn Off) thyristor was Fuzzy Decision Making and Artificial Intelligence. In the
taken into consideration through the MATLAB/Simulink and meantime, the Type-2 Fuzzy Set Concept was also introduced
electro-mechanical system was controlled by the control by Zadeh [10]. Then, Mendel and his students [11,12], and
system. Regarding the speed control of the DC motor, results Turksen [13,14] have improved the Type-2 Fuzzy System
were acquired by harnessing the Type-2 fuzzy logic within the Theory on the basis of the Fuzzy Set Concept. Similar to the
Matlab/Simulink environment. Type-1 Systems, the Type-2 Fuzzy Systems are comprised of
“If-Then” rules as well. However, entry and exit membership
sets are the Type-2 Sets in these. When certain membership
function is difficult to find for Fuzzy Sets, utilization from the
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489
_____________________________________________________________________________________________________________
Type-2 Fuzzy Sets is extremely beneficent to cope with

uncertainties. The Block Diagram indicating the structure of a
Type-2 Fuzzy System was exhibited in Figure 1 [5,6].
Figure 4. ce input membership function

TABLE 2. RULE TABLE OF THE TYPE-2 FUZZY SYSTEM
Figure 1. Structure of a Type-2 Fuzzy Logic System
e/ce NL NM NS Z PS PM PL
IV. TYPE-2 FUZZY CONTROL OF A DC MOTOR NL NL NL NL NL NM NS Z
In Figure 2, the block diagram of the Type-2 fuzzy control NM NL NL NL NM NS Z PS
system was exhibited for chopper-fed DC motor. A PI-type NS NL NL NM NS Z PS PM
controller was designed in this system. Entry variables of the Z NL NM NS Z PS PM PL
Type-2 fuzzy controller error (e) and change of error (de); exit PS NM NS Z PS PM PL PL
variable is “ref Δu”. In order to create the controller structure PM NS Z PS PM PL PL PL
of Type-2 Fuzzy, IT2-FLS Matlab/Simulink Toolbox was PL Z PS PM PL PL PL PL
harnessed [15].
V. THE MATLAB SIMULINK MODEL
Figure 5 exhibits chopper-fed DA motor driver in the
SimPowerSystem [16].
Figure 2. The Type-2 fuzzy logic controller used in controlling of a DC motor
Rule structure in the Type-2 Fuzzy System:

Rk : IF e is 𝐹̃𝑒𝑘 and de is 𝐹̃𝑐𝑒𝑘 THEN Δiref is [𝑤𝑙𝑘 , 𝑤𝑟𝑘 ]
k = 1,.....,M (3)
Type-2 fuzzy sets with 𝐹̃𝑒𝑘 and 𝐹̃𝑐𝑒𝑘 interval; where 𝑤𝑙𝑘 , 𝑤𝑟𝑘
are left and right limits of the singleton exit membership
functions. Whereas Figure 3 and Figure 4 exhibit the
membership functions of entries and exits of the Type-2 fuzzy
control system; Table 2 exhibits rule table of the system.
Figure 5. The MATLAB/Simulink Model
DA motor is fed by the chopper circuit comprised by the

GTO (Gate Turn Off) thyristor connected to the DC resource
and a free D1 diode connected to this. Where J refers moment
of inertia of the mechanical load driven by the motor; B refers
frictional moment; and TL refers the torque loading. Non-
hysteresis current controller compares the received signal with
Figure 3. e input membership function the reference signal; and sends trigger signal to the GTO
thyristor so that motor current could follow the reference value.
The speed control cycle generates reference for the Type 2
Fuzzy controller current cycle. Scope was utilized in order to
monitor current and potential signals. As an initial condition,
wm=120 rad/s and TL= 5 Nm were taken as reference values
[16].
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490
_____________________________________________________________________________________________________________
VI. RESULTS
Figure 6 exhibits the plotted graph displaying the change in
speed measured at the exit of the system in which Type-2 fuzzy
controller was used. It is possible to observe with the MATLAB
SimPowerSystem that suggested system was able to reach the
reference value of 120 rad/s without exceeding.
Figure 8. Change in Va, Ia and Motor Speed in a Control System over the
time
According to the results obtained by means of the Type-2

Figure 6. Output of the Type-2 Fuzzy Controller fuzzy controller, it was observed that controller acquired the
reference speed shortly without exceeding the determined value.
Figure 7 exhibits the change in error observed in the Type-2
fuzzy controller system over the time. According to the plotted REFERENCES
graph, it was observed that error reduced zero. [1] T.M. George, C.M. Bhatia, S.I. Ahson, Implementation of Sliding
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a Personal Computer, IECON’88 714–719
[2] D.D. Parakash, G.K. Dubey, Analysis of Chopper-fed DC Series
Motor, IEEE Transaction on Industrial Electronics Control
Instrumentation, Vol. IECI–23 No. 1, 92–97, Feb 1976
[3] C. Elmas, M.A. Akcayol, T. Yigit, Fuzzy PI Controller For Speed
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filtering of oscillatory signals, MEASUREMENT, ELSEVIER, Vol. 30,
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[5] Mendel, J.M., John, R.I.B., “Type-2 Fuzzy Sets Made Simple”, IEEE
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[6] Dereceli bulanık system modelleri, Burhan Türkşen, Abaküs Yayınevi,
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[7] Web: http://www.elektrikce.com/proteus-ile-dogru-akim-dc-kiyici-
simulasyonu/ Last Access : 01.08.2016.
Figure 7. Change in Error in the Control System Over the Time [8] B.A.A. Omar, A.Y.M. Haikal, F.F.G. Areed, Design adaptive neuro-
fuzzy speed controller for an electro-mechanical system, Ain Shams
As a result of monitoring of the Type-2 Fuzzy Controller in Engineering Journal, Volume 2, Issue 2, June 2011, Pages 99-107, ISSN
the MATLAB/Simulink environment, change in signs of Va, Ia 2090-4479, http://dx.doi.org/10.1016/j.asej.2011.07.003.
and motor over the time was exhibited in Figure 8. Where, Va [9] Zadeh, L. A. (1965). Fuzzy Sets, Informat. Contr., Vol. 8, pp. 338-353.
[10] Zadeh, L.A. (1975). The Concept of a Linguistic Variable and Its
refers chopper exit potential; Ia refers armature current; and Application to Approximate Reasoning-1. Information science 8: 199-
these were the graphs plotting the change in Speed wm motor 249.
speed over the time. [11] Karnik, N. N., Mendel, J. M., Liang, Q. (1999). Type-2 Fuzzy Logic
Systems. IEEE Trans. On Fuzzy Systems, 7 (6), 643-658.
[12] Mendel, J.M., John, R.I.B. (2002). Type-2 fuzzy sets made simple. IEEE
Trans on Fuzzy Systems, 10 (2), 117-127.
[13] Turksen, I.B. (1999). Type I and Type II fuzzy system modeling. Fuzzy
Sets and Systems, 106 (1), 11-34.
[14] Turksen, I.B. (2002). Type 2 representation and reasoning for CWW.
Fuzzy Sets and Systems, 127 (1), 17-36.
[15] Taskin, A. and Kumbasar, T., 2015. An open source Matlab/Simulink
Toolbox for Interval Type-2 Fuzzy Logic Systems, IEEE Symposium
Series on Computational Intelligence – SSCI 2015.
[16] SimPowerSystem User’s Guide Chopper-fed Drivers, ,Page 133.
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State-Space Modelling and Realization of

Flyback Converter Circuit
Meltem Tetik1, Hakan Köseni2, Ali Bekir Yıldız3
1
Department of Mechatronics Engineering, Kocaeli University, Kocaeli
ttkmeltem@gmail.com
2,3
Department of Electrical Engineering, Kocaeli University, Kocaeli
hakan.koseni@kocaeli.edu.tr, abyildiz@kocaeli.edu.tr
Abstract— Flyback converter circuit is a type of DC-DC design flyback converter with parasitic components in [3].
converter circuits widely-used in industry. This paper presents The authors realize the small-signal analysis of flyback
analysis and modelling of flyback converter circuit using state- converter. Ref.[4] gives analysis of different flyback converter
space technique. Switching elements in the converter are topologies: Active clamp converter, converter with RCD
modelled with ideal switch concept. The model of flyback
snubber, interleaved converter, two switch converter, Dual AC
transformer and system equations concerning every topology are
given. The circuit is realized. Experimental waveforms are and DC output converter. Functionalities of these converters
compared with the analysis to show the correctness of the are simulated and their results are compared. Active clamp
modelling and analysis. flyback converters, the one of the most popular flyback
converters, are analysed, designed and implemented in [5-9].
Keywords— Flyback DC-DC converter, state-space model, The resonant flyback converters [10] were proposed to
analysis increase the system efficiency and reduce the switching losses.
In Ref.[11], based on the mechanism that the primary and
I. INTRODUCTION secondary currents of flyback converter do not appear at the
Flyback converter is a type of DC-DC converter circuits. It same time, two different equivalent models of flyback
is widely used in industry because of some advantages: (i) it transformer are brought forward correspondingly. In Ref. [12,
provides an complete isolation between input and output, (ii) 13], the authors analysed the influence of transformer parasitic
One can get multiple and high voltage outputs, (iii) it is the to low power high voltage output flyback converter by
simplest one if compared with other isolated DC/DC converter utilizing the simplified transformer model.
types, (iv) it is cheap and practical to implement. Besides The objective of this paper proposes an effecitve
these advantages, it requires a protection for leakage modelling and analysis method for Flyback converter. The
inductance and because of the B-H curve limitations it is structure of the paper is as follows. Section 2 explains
designed for maximum 150W power applications. Depending fundamental properties and working stages of flyback
on the applications, the flyback DC-DC converter can be converter. In Section 3, first, the flyback transformer is
operated in two different modes. These modes are continuous modelled with an ideal transformer and a magnetizing
conduction mode (CCM) and discontinuous conduction mode inductor, then, system equations concerning every topology
(DCM). The proposed model in this study is suitable for both are obtained. Experimental and simulation results are given
continuous conduction mode (CCM) and discontinuous and compared in Section 4. The paper closes with conclusions
conduction mode (DCM). in Section 5.
Electronic circuits which use integrated-circuits need a
standard DC voltage of fixed magnitude. In some electronic II. BASIC FLYBACK CONVERTER CIRCUIT
equipment, one may need multiple output power supplies. The basic flyback converter circuit is shown in Fig.1. It
These DC power supplies are generally provided from the has a transformer, a main switch, (Q), a diode (D), a filter
standard power source i.e. AC voltage. For low power capacitor, a load (R), an input (E). In the circuit, Ip and Is
applications, the most preferred converter is flyback. The state primer current and secondary current of the transformer,
circuit topology of flyback converter is the simplest if we respectively. The converter operates in two stages according
compare it with other isolated DC-DC converters used in the to the states of the main switch (Q). Mode 1: when the main
switch mode power supplies (SMPS) [1]. The input given to switch (Q) is on-state and the diode is off-state, and Mode 2:
the converter is generally unregulated DC voltage which is when the main switch (Q) is off-state and the diode is on-state.
obtained by rectifying the AC voltage followed by a capacitor Stage 1: In this mode, the main switch (Q) is turned on-
filter. Flyback converter uses a transformer so that they can state, the primary winding of flyback transformer is connected
give single or multiple isolated output voltages. We talk about to the supply. The current and magnetic flux in the primary
energy efficiency, the flyback converter is not good as side are increased and energy is stored in it. While the
compared with other SMPS circuits though its topology is potential induced in the secondary winding has opposite
very simple [2]. It is presented a simple methodology to polarity than the primary winding, it causes the diode (D) to
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get reverse biased and as a result the diode doesn’t allow After adding the equivalent circuit concerning flyback
current through it. The output filter capacitor (C) supplies transformer into the converter, the exact equivalent circuit
energy to the load. relating to the flyback converter is obtained as in Fig. 3.
Stage 2: It starts when the main switch is turned off-state Although primary and secondary currents of flyback converter
after conducting. Since the main switch (Q) is open, the do not appear at the same time, only one equivalent circuit
current and magnetic flux in the primary side are decreased. model for transformer is used during a period. The model is
According to laws of magnetic induction, the voltage valid for both continuous conduction mode (CCM) and
polarities across the windings get reversed. So now, the discontinuous conduction mode (DCM).
positive voltage is induced in secondary side and the diode is
forward biased. Energy stored in the transformer is delivered Ip Is D
Q
to output capacitor and the load.
Ip Is I1 I2
Q D
+
E + U1 J2 R
Lm C
.
E + Lp Ls C R
. İdeal transformer
Flyback transformer
Fig. 3 Exact equivalent circuit of flyback converter

Fig. 1 Basic flyback converter circuit
In system analysis, state-space analysis technique is used
The major advantage of flyback converter is its filtered because it has min. variables [14]. The converter circuit has
output, which eliminates inductive filter, saving cost and two topologies according to the states of the main switch (Q).
volume. High voltage freewheeling diode is also eliminated. Every topology and the relevant space equations are given as
Because of this, flyback converters are suitable for high load follows. The unknowns of system equations are state variables:
voltages compared with forward converters. Moreover, in The current through the magnetizing inductor, ILM, and
flyback converter, it is possible to get multiple outputs voltage across the capacitor, accordingly output voltage, UC.
through multiple secondary windings. Switching elements in the converter are modelled with
ideal switch concept [15]. This model has zero resistance in
III. MODELLING OF CONVERTER CIRCUIT AND SYSTEM the on-state (short-circuit element) and infinite resistance in
EQUATIONS the off-state (open-circuit element). It provides the most
insight in the behaviour of circuits and the fastest simulation.
The flyback transformer is the most complicated as well as
the most important component in a flyback DC-DC converter. A. The Topology 1: The main switch is on-state, the diode is
Before giving the detailed converter model, the flyback off-state
transformer must be modelled. Different purposes and
In this topology, the main switch turns on-state by control
different requirements often lead to different equivalent
signal and the diode turns off-state because of the negative
models. In this paper, the transformer is modelled by
induced voltage in secondary winding. During this part of
magnetizing inductor (Lm) and ideal transformer, which
period, the magnetizing inductance (Lm) stores energy and the
includes two controlled sources, as shown in Fig. 2. Here,
output capacitor supplies the load. The equivalent circuit is
U1=-nU2, J2=nI1 (n: turn ratio). Transformer leakage
given in Fig.4.
inductances and resistances are ignored to simplify the
analysis of the converter. Ip I1
I1 I2
U1 + J2 C
E +
Lm R
+
U1 J2
Lm U2
Fig. 4 Topology 1: Main switch is on-state, Diode is off-state
İdeal transformer
The state-space equations concerning the equivalent circuit
Fig. 2 Model of flyback transformer in Fig 4 are obtained in Eq.(3).
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TABLE I
= =− (1) PARAMETERS OF THE EXPERIMENT CONVERTER
= = (2) Parameters Values

Line Voltage 220V AC
−1 0 0 Line Frequency 50 Hz
= + 1 (3)
0 0 Input Voltage of Converter (Emin, Emax) 90V-240V
Output Power 24W (34V, 0.7A)
B. The topology 2: The main switch is off-state, the diode is Output Voltage 34V
on-state Duty Ratio (D) 0,17
In this topology, the main switch turns off-state after Flux Density (Bsat): for Ferrite Core 0.22T
conducting (by cutting off control signal) and voltages Switching Frequency 65 kHz
polarities across the windings gets reversed. The energy stored Magnetizing Inductor 370µH
in magnetizing inductor supplies the capacitor and the load. Turn Ratio (n) 2,27
The equivalent circuit is given in Fig.5. Output Capacitor 990µF
I1
Load Resistor 50Ω
I2
U1 + J2 C
Lm R
Fig. 5 Topology 2: Main switch is off-state, Diode is on-state
The state-space equations concerning the equivalent circuit

in Fig 5 are obtained in Eq.(6).
= = =− =− (4)
= =− − =− − =− + (5)
−1 Fig. 6 Experimental waveform of output voltage
0
= + (6)
− 0 0
IV. EXPERIMENTAL AND SIMULATION RESULTS

The converter has been designed to have 34V DC output
from 220V, 50Hz AC supply. The first step is to convert AC
voltage to DC voltage, a rectifier circuit is used. Then,
unregulated DC voltage is filtered using a capacitor (called as
link capacitor) and this output is given to a DC to DC
converter, single ended isolated flyback converter. The power
MOSFET is used for the switching of the converter. The
specification of MOSFET are N-Channel, 650V, 5.4A,
400mΩ. The value of switching frequency is chosen so that
the circuit can be worked at high frequency and obtain a
minimized circuit dimension. Specification of the converter is
given in Table I. Fig. 7 Experimental waveform of output current
The experimental waveforms of output voltage, output
current, input and output currents of the transformer, which As shown from Fig.8, during the on-state of MOSFET, the
are obtained from oscilloscope, are given in Fig. 6, Fig. 7, Fig. primer current of transformer is increased linearly, this result
8 and Fig. 9 respectively. is compatible with Topology 1 in Fig.4. Similarly, as shown
As shown from Fig. 6, the min. and max. values of output from Fig.9, during the off-state of MOSFET, the seconder
voltage are: 30V-48V. Similarly, in Fig.7, the min. and max. current of transformer is decreased linearly, this result is
values of output current are: 650mA-720mA. compatible with Topology 2 in Fig.5.
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important component of the converter, is modeled with an

ideal transformer and a magnetizing inductor. Although the
primary and secondary currents in the transformer do not
appear at the same time, only one equivalent model for the
flyback transformer is brought forward. By using this
equivalent model, the working process of the flyback DC-DC
converter under DCM mode is analyzed. The flyback
converter topologies are analyzed by state-space technique.
Experimental results of a real converter are presented to show
that the working process can be well explained through the
models presented in this paper.
Fig. 8 Experimental waveform of primer current of transformer
REFERENCES
[1] T. Chen, W. Lin and C. Liaw, “Dynamic modeling and controller
design of flyback converter”, Aerospace and Electronic Systems, IEEE
Transactions on, vol. 35, no. 4, pp. 1230–1239, 1999.
[2] B. Singh and G. D. Chaturvedi, “Comparative performance of isolated
forward and flyback AC-DC converters for low power applications” in
Power System Technology and IEEE Power India Conference,
POWERCON. pp. 1–6, 2008.
[3] S.K. Pandey, S.L.Pati, V.S. Rajguru, “Isolated Flyback Converter
Designing, Modeling and Suitable Control Strategies”, Int. Conf. on
Advances in Power Electronics and Instrumentation Engineering,
ACEEE, 2014.
[4] R.Kanthimathi, .J.Kamala, “Analysis of different Flyback Converter
Topologies”, Int. Conf. on Industrial Instrumentation and Control
Fig. 9 Experimental waveform of secondary current of transformer (IClC), India, 2015.
[5] N.P. Papanikolaou and E.C.Tatakis, “Active voltage clamp in flyback
converters operating in CCM mode under wide load variation", IEEE
The flyback converter circuit with the design parameters in Transactions on industrial electronics, vol. 51, no. 3, june 2004.
[6] N.S. Aruna, D.S.G. Srivani, P. Balaji, “Active clamp circuit to achieve
Table I are simulated with MATLAB using state-space ZVS in multiple output flyback converter”, International Journal of
equations (3) and (6). The result is illustrated in Figure 10. Emerging Technology and Advanced Engineering, vol. 4, Issue 7, pp
Since the input of converter has a ripple voltage, the output 596-601, July 2014.
voltage in Fig.10 has a wide range oscillation. As shown from [7] P. Jailyn, A.A. Dheeraj, and V. Rajini, “Analysis of active clamp
flyback converter”, Modern Applied Science, Vol. 9, No. I, pp.12-24,
Fig. 10, the min. and max. simulation values of output voltage 2014.
are: 30V-49V. [8] D. Wang, “Analysis, design and implementation of an active clamp
flyback converter”, International Conference on Power Electronics
and Drives Systems, pp.424-429, 2005.
[9] B.R. Lin, H.K. Chiang, K.C. Chen, D. Wang, “Analysis, design and
implementation of an active clamp flyback converter”, Int. Conf. on
Power Electronics and Drives Systems”, 2015.
[10] P. Alou, 0. Garcia, J. A. Cobos, J. Uceda, M. Rascon, “Flyback with
active clamp: a suitable topology for low power and very wide input
voltage range applications”, IEEE APEC conference, vol. 1, pp. 242-
248, 2002.
[11] H. Kewei, L. Jie , F. Ningjun, L. Yuebin, H. Xiaolin, W. Luo,
“Modeling Analysis and Simulation of High-voltage Flyback DC-DC
Converter”, IEEE International Symposium on Industrial Electronics
(ISlE), Korea July 2009.
[12] L. Jie, H. Kewei, F. Ningjun, “An Isolated Feedback Circuit for a
Flyback Charging Circuit”, Proceedings of the WSEAS Int. Conference
on Circuits, Systems , Signal and Telecommunications, Gold Coast,
Australia, pp.35-39, Jan. 2007.
Fig. 10 Output voltage [13] L. Jie, H. Kewei, Z. Shengxian, F. Ningjun, H. Guanglin, “Design and
Simulation of a New Isolated Feedback Circuit for Flyback Charging
The simulation and the experimental results concerning Circuit”, WSEAS Transactions on Circuits and Systems, vol.6, No.2,
the output voltage are compared. These experimental results pp.208-214, 2007.
can verify the modeling and analysis in this paper very well. [14] E. Thomas and A. J. Rosa, The Analysis and Design of Linear Circuits,
5th ed., John Wiley & Sons, New York, 2006.
[15] A.B.Yildiz, “A MNA-Based Unified Ideal Switch Model for Analysis
V. CONCLUSION of Switching Circuits”, Journal of Circuits, Systems and Computers,
Flyback Converter is used in various applications due its Vol. 22, No. 6, pp.1-12, July 2013.
less complexity, cost effectiveness, multiple output and
isolation. In this paper, the flyback transformer, the most
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Study on Power Factor Correction Using Fuzzy

Logic Excitation Control of Synchronous Motor
Ahmet Gani1*, Ö. Fatih Keçecioğlu2, Hakan Açıkgöz3, Ceyhun Yıldız4 , Mustafa Şekkeli5
#Kahramanmaras Sutcu Imam University, Electrical and Electronics Engineering, Kahramanmaraş, Türkiye.
ahmetgani8733@gmail.com,o.fatihkececioglu@gmail.com,hakanacikgoz84@gmail.com,mustafasekkeli@hotmail.com
+Kahramanmaras Sutcu Imam University ,Department of Electrical Technology, Kahramanmaraş, Türkiye.
cceyhunyildiz@gmail.com
Abstract — The correction of power factor in electric power mathematical models when a synchronous motor is used for
systems is called reactive power compensation. A synchronous power factor correction, a fuzzy logic based compensation
motor is used as a capacitive reactive power generator in control system was used in this study.
compensation systems. It is less costly for an enterprise to use a
synchronous motor as both mechanical power generator and II. POWER FACTOR
power factor corrector, which increases their efficiency. There are
various studies on increasing the efficiency, capacity and stability Reactive power compensation plays an important role in the
of a power system using power factor correction under different improvement of efficiency and capacity of electric power
operating conditions. This study focuses on the power factor systems. The current of inductive power consumers is supplied
correction of the system by controlling the excitation current of by two components of the current. The former is active current
the synchronous motor via fuzzy logic thanks to the asynchronous converted to work while the latter is reactive current which
motor connected to the system. creates the necessary magnetic field for electric machinery and
devices.
Keywords — Power factor, Fuzzy Logic, Synchronous Motor Types of power corresponding to these currents are:
S = Apparent Power (VA),
I. INTRODUCTION P = Active Power (W),
As a result of technological improvements, energy Q = Reactive Power (On), then
consumption has increased in recent years due to the increasing
use of inductive loads in industrial applications. Besides active
power, inductive loads also absorb reactive power from the grid S  P 2  Q2 (1)
[1].Although reactive power absorbed from the transmission
line loads it, it cannot be converted to the energy [2]. Therefore,
reactive power absorbed from the grid causes losses in electric the equation above can be obtained, which can be geometrically
power systems, and these losses must be minimized. The defined as a power triangle as shown in Fig.1.
minimization of energy losses will reduce cable and other
measurement and protection costs, thus creating a more cost-
effective electric power system. This can only be achieved
when reactive power needed by the inductive loads, which the
transmission line feeds, is supplied to the load as closely as
possible. Reactive power needed by the loads is supplied
statically by a capacitor or reactor and dynamically by a
synchronous motor [3-5]. Reactive power compensation via a
synchronous motor can be achieved by changing the excitation Fig. 1 Power triangle [11].
current of the motor if the motor operates in a capacitive or
inductive character [6]. In addition, the amount of reactive Here, φ is defined as the phase angle. Cos φ is the power
power that a synchronous motor absorbs from the grid can be factor, which is defined as follows [12].
adjusted thanks to the excitation current. An efficiently P
compensated system will improve the power factor, minimize cos   (2)
S
losses and become efficient [7-9].
This study focuses on the power factor correction of an III. SYNCHRONOUS MOTOR
electric power system using a fuzzy logic based and excitation
Synchronous motor is an alternative current motor in which
current controlled synchronous motor. Because it is difficult to
rotor rotational speed is equal to the rotational speed of the
determine control parameters via methods requiring
stator rotating field and the rotation speed does not vary in
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loading. When excitation current of the synchronous motor

changes, it absorbs ohmic, inductive and capacitive current [13].
In a synchronous motor operating at a constant load and voltage,
the characteristic which yields the relationship between
excitation current and stator current is called V-current. The
point at which excitation current forming the lowest load
current at a constant load exists is called ohmic operating point
of the motor. The synchronous motor operates inductively
under an excitation current lower than that of the ohmic
operating point while it operates capacitively under an
excitation current higher than that of the ohmic operating point.
V-curves which account for the relationship between load
Fig. 3 The block diagram of a fuzzy logic controller
current and excitation current for different loads of the
synchronous motor are shown in Fig 2.
Fuzzification is the process of converting inputs obtained
from the system to linguistic qualifiers as symbolic values. The
fuzzy clusters and membership degrees to which inputs belong
are identified thanks to the membership function, and linguistic
values such as big or small are assigned to the numerical values.
Fuzzy inference unit creates fuzzy results by applying fuzzy
values obtained from the fuzzification unit to the rules in the
rule base. The connection between inputs and outputs is created
using rules in the rule base. The value obtained in this unit is
converted to a linguistic expression based on the rule table and
transferred to the defuzzification unit. This study benefits from
Mamdani method, which is the most widely used method
among fuzzy inference methods.
Defuzzification unit helps distinguish between the non-fuzzy
real value to be applied and fuzzy knowledge transferred from
the decision unit. Defuzzification is the process of converting
fuzzy knowledge to precise results.Various methods are used in
defuzzification process. Among these methods, center of
gravity method is the most widely used defuzzification method.
Fig. 2 V-curves of the synchronous motor under different loads [14]. The equation for this method is given in equation 3.
As shown in Fig. 2, V-curve of the synchronous motor varies n
based on different loads. V-curves are at the outermost part
when the motor operates at an unloaded state, and they come
 y .
i 1
i A ( yi )
y n (3)
closer to the ohmic operation curve as the motor is loaded. In
case of ohmic operation, the necessary excitation current in the  i 1
A
( yi )
unloaded state increases in a directly proportional way to the
load, which is because armature reaction varies depending on
Knowledge base is a data table consisting of knowledge
the various loads and the saturation increases.
related to the system to be controlled. The connections between
IV. FUZZY LOGIC CONTROL inputs and outputs are created using rules in the rule base. If a
rule base is to be developed for a system, input values that may
Fuzzy logic is defined as a mathematical order created in order
influence system output must be identified [16-17].
to explain fuzzy situations and work under fuzzy conditions.
Fuzzy logic can control systems when knowledge and V. FUZZY LOGIC CONTROLLER DESIGN
predictions about the system are placed within it. In other words,
V-curves of the synchronous motor and reactive power that
a mathematical model of the system to be controlled is not
it absorbs from the grid were used to design fuzzy logic
needed. Fuzzy logic control system consists of four basic units:
controller in this study. Fig.4 and 5 were drawn based on the
general fuzzification, inference, defuzzification and rule base
data obtained from the performance of synchronous motor
[15].A block diagram of a general fuzzy logic controller is
under nominal conditions. Based on these graphs, the reactive
shown in Fig. 3.
power that the synchronous motor absorbs from the grid and
changes in the excitation current of the synchronous motor
eliminated the need for a mathematical model, and thus a power
factor correction was performed via the synchronous motor
based on fuzzy logic.
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Input variables of the fuzzy logic control unit designed for this
study were determined as error (e), Q (reactive power) and
output variable (IE). Error (e) is found when power factor value
is subtracted from input reference power factor value as given
in equation 4.
e=cosφref –cosφsist. (4)
Q (reactive power) as an input variable is applied to the

controller input, and its unit is ‘Var’. Output variable (IE)
denotes the current flowing through excitation windings of the
synchronous motor, and its unit is ampere. Five different
linguistic variables, NB (Negative Big), NS (Negative Small),
Z (Zero), PS (Positive Small) and PB (Positive Big), are defined
for error (e), Q (reactive power) and excitation current (IE),
Fig.4. Changes in the excitation current (V-curve) which are the variables of the fuzzy logic controller unit.
Membership functions in the form of triangles and trapezoids
were designed for error, reactive power and excitation current.
These membership functions are shown in Fig.7, 8 and 9.
Fig.5 Changes in the excitation current and reactive power that the Fig.7 Membership functions designed for error
synchronous motor absorbs from the grid
The block diagram shown in Fig. 6 was used to create the

curves shown in Fig. 4 and 5.
Fig. 8 Membership functions designed for reactive power
Fig. 6 The block diagram of the control system [18].

Fig. 9 Membership functions designed for excitation current
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Table III.Synchronous motor parameters

Five membership functions that are widely used in the
designed fuzzy logic controller unit were assigned, and they Parameter Value
proved to be suitable for this study. The sum of control rules Nominal Power(S) 8.1 kVA
are twenty-five. Fuzzy rules are given in table I. Nominal Revolution[n] 1500 rpm
Nominal Voltage(V) 400 V
Table I. Table of rules
Nominal Field Current(I) 4A
Nominal Load Torque(M) 7 Nm
Q
Ie Pole pairs(p) 2
NB NS Z PS PB Frequency(f) 50 Hz
NB NB NB NB NS Z Rotor Type Salient pole
NS NB NB NS Z PS Stator Resistance[Rs] 1.62 ohm
Stator Inductance[L] 4.527 mH
e Z NB NS Z PS PB
Field Resistance[Rf’] 1.208 ohm
PS NS Z PS PB PB Field Inductance[Lf’] 0.01132 H
PB Z PS PB PB PB Mechanical Inertia[J] 0.0923 kgm2
Friction Factor[F] 0.009 N.m.s
As far as the performance of fuzzy controller is concerned,
When voltage is applied to the stator windings of the
rule base uses existing knowledge about the behavior of a
synchronous motors, they cannot move forward due to their
system to be controlled instead of a mathematical model of the
inertia. Therefore, several methods exist to start the
system. Such knowledge is used during design process, which
synchronous motor. In the present study, the synchronous
helps placing longstanding experiences in the system following
motor was started as if it were an asynchronous motor.
a process of interpretation [19].
VI. SIMULATION STUDIES

Power factor is a parameter that measures the efficiency of
electricity energy. The efficiency of electric power system is
directly proportional to its power factor. Asynchronous motors
possess feedback power factor. The power factor of
synchronous motor can feed back or forward when the
excitation current is adjusted. The values of the asynchronous
motor and synchronous motor used in the simulation study are
given in table II and III. Fig.10 Corrected power factor of the system
Table II. Asynchronous motor parameters As shown in Fig.10, the synchronous motor reached a
synchronous speed after it moved for 0.9 seconds. Afterwards,
Parameter Value an excitation current of 5 percent is applied to the synchronous
Nominal Power(P) 3 kW motor via fuzzy controller, which supplied reactive power in a
Nominal Revolution[n] 1430 rpm capacitive character to the power system of the synchronous
motor. Thus, the synchronous motor compensated itself and
Nominal Voltage(V) 400 V
fixed the power factor of the system at 0.98, which was 0.8 at
Nominal Current(I) 6.7 A the beginning.
Nominal Load Torque(M) 19 Nm
Pole pairs(p) 2 VII. CONCLUSION
Frequency(f) 50 Hz In the present study, a fuzzy logic control method was used in
Rotor Type Squirrel-cage order to create a more sensitive power system performance and
Stator Resistance[Rs] 1.45 ohm increase system efficiency instead of a conventional control
Stator Inductance[L] 12.2 mH system requiring mathematical models for the calculation of
controller parameters. During the operation of control system,
Rotor Resistance[Rr’] 1.93 ohm
the excitation current of the synchronous motor, the reactive
Rotor Inductance[Lr’] 2.66 mH power that it absorbs from the grid and its power factor were
Mutual Inductance[Lm] 187.8mH constantly observed. These values were evaluated in the rule
Friction Factor[F] 0.03 N.m.s table, and it was aimed to more effectively apply the change in
Mechanical Inertia[J] 0.03 kg.m2 the excitation current of synchronous motor to the system.
Contrary to previous studies, this new fuzzy logic control
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method increases the power factor to a more favorable level by

effectively adjusting the excitation current based on the reactive
power that the synchronous motor absorbs from the grid.
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Chaotic encryption based data transmission using

Delta and Delta-Sigma modulators
Günyaz Ablay
Abdullah Gül University
38080 Kayseri, Turkey
gunyaz.ablay@agu.edu.tr
Abstract—Delta and Sigma-Delta modulation methods have been software-based generators (e.g., linear congruential generators
getting a great interest recently due to the great progress in [26]), chaotic systems are very simple to realize and offer a
analog-digital very large scale integration technology. Since the hybrid structure with the features of hardware and software
outputs of these methods are digital, the data can be securely based approaches [27]–[30]. The number of the chaotic
encrypted using very simple standard hardware. In this work, a
systems have been increased over time in the literature, which
chaotic random bit generator based approach for encrypting
digital data of the delta and delta-sigma modulators is studied. allows us to benefit from chaotic dynamics for generating
The chaotic bit generation can easily be implemented in the efficient chaotic random bits for use in cryptographic
digital hardware of the modulators due to simplicity of the applications [31]–[35].
chaotic dynamics. The randomness of the generated chaotic bits In this work, a chaotic random bit generator is developed
are proved with visual and statistical tests. The security of the and integrated into the Δ and ΔΣ modulators for data
proposed approach is evaluated via key space estimation based encryption. The goal is to provide security in such systems
attacks. The efficiency of the methods is validated with during data transmissions. The Δ modulation systems offer
simulations. low cost solutions with a strong immunity against crosstalk
and noise in the transmission line, and integration of the chaos
Keywords—Chaos, delta modulation, delta-sigma modulation, into these systems will enhance reliability and security.
random bits, cryptography, communication In the following sections, the Δ modulation methods are
overviewed and a chaotic map based encryption scheme is
applied to digital outputs of the Δ and ΔΣ encoders.
I. INTRODUCTION
The delta (Δ) and delta-sigma (ΔΣ) modulators offer simple, II. CHAOTIC DATA ENCRYPTION FOR ∆ AND ΔΣ MODULATION
efficient methods for telecommunication and signal Chaotic systems are able to provide diffusion and confusion,
processing applications. The Δ modulation systems have i.e., hiding and spreading plaintext over the ciphertext, and for
gained significance in recent years due to their very simple this reason have potential applications in some functional
hardware structure, digital transmission and easy to add blocks of communication systems including encryption,
adaptive features. In addition ΔΣ modulators have noise modulation and compression. By considering a delta
shaping feature that makes them well-suited for low- modulation scheme, the chaotic random bits can easily be
frequency, high-accuracy measurements. There are many used for encrypting digital plaintext for secure
applications of Δ modulators including reliable voice communications. Figure 1 shows a chaos based digital data
communications, analog-to-digital signal conversion, encryption and decryption approach for Δ modulators.
performing audio delay lines, telemetry systems and feedback
power control in code-division multiple-access radio
u x vi wi vi' u'(t)
communication systems [1]–[5]. The Δ modulation systems, a XOR XOR  LPF
type of variable structure control, are also getting a special +
- hi hi
interest in the control community [6]–[10]. Other recent n Binary Binary
studies on Δ modulators have been focused on multibit  Convertor Convertor
modulation, chaotic modulation, chaotification and tone θi θi
suppression in communications [11]–[17]. θ0 Chaotic Chaotic
Map Map θ0
The digital output of the Δ modulation systems can be
encrypted by using chaotic systems. Since chaotic dynamics
Fig. 1 Chaos based encryption for delta modulation system
have strong similarities with the cryptography, e.g.
aperiodicity, deterministic dynamics, ergodicity and
sensitivity to initial conditions, they have recently been Similarly, the chaotic bits can also be incorporated into
utilized in cryptosystems [18]–[23]. To encrypt the Δ digital output of the ΔΣ modulator and demodulator systems
modulation systems, while the required random bits can be for securing the data as illustrated in Fig. 2. In data encryption
generated from a hardware-based generator (e.g., using the exclusive-or (XOR) logical function is used. The Δ
thermal noise [24] and radioactive decay [25]) or from modulated signals are easily demodulated at the receiver by
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using a low pass filter, but now with the chaotic encryption, it
is not possible to extract message without correct chaotic L  xx  x  u   sign( x )      u  x (3)
decrypter with correct initial conditions and parameter values.
Thus, the modulator is stable if the following condition holds
u x vi wi vi' u'(t)
 XOR XOR LPF   max u (t ) (4)
+
- hi hi
Binary Binary
Convertor Convertor The equivalent condition for the discrete-time (sampling)
θi θi implementations is given by
Chaotic Chaotic
θ0 θ0
Map Map  f s  max u (t ) (5)
Fig. 2 Chaos based encryption for delta-sigma modulation system
where is the sampling frequency. Equation (5) shows that
the Δ modulator produces a binary coded output from the
A. Δ and ΔΣ Modulators time-derivative of the analog input signal.
For ΔΣ modulators seen in Fig. 2, since the input signal
Today, digital techniques are dominating signal processing. first passes through an integrator, then the governing equation
The Δ modulation systems have an important place in the can be written as
digital signal processing area with simple, efficient solutions.
For example the ΔΣ snalog-to-digital converters are ideal for
x(t )  u(t )   sign( x(t )) (6)
many applications whose signal frequencies vary from dc to
several hundred megahertz. These approaches are composed
of an oversampling modulator followed by a digital filter that Similar to (2), if the Lyapunov stability is applied, one can
together generates a high-resolution digital data streams. easily obtain the following stability condition
Typically, a Δ modulator with one bit quantization requires a
resolution on the order of 14–20 bits (e.g., around 100 kbit/s  f s  max u (t ) (7)
for a voice bandwidth of 4 kHz). The main working principle
of the Δ modulator is illustrated in Fig. 3. The modulator is Therefore, the ΔΣ modulators have noise suppression
simply a sampled data system employing a negative feedback advantage compared to Δ modulators because the quantization
loop via integration. A one-bit quantizer (or comparator) level is proportional to the amplitude of the input signal (while
senses if the instantaneous level of the analog input is greater is proportional to the derivative of the input signal in Δ
or less than the feedback signal and produces a continuous modulators). This noise-shaping feature of the ΔΣ modulators
non-return-to-zero digital data stream. The negative feedback is well suited to signal processing applications, e.g.
loop integrates the digital data to form an approximation of communication and digital audio.
the input signal. It is also quite simple to demodulate the input
signal by using an identical integrator and a low pass filter
(LPF). The ΔΣ modulator has a simpler structure at the
demodulator by having only a low pass filter. u(t)
By considering Fig. 1, the equations of the delta modulator
are given by n(t)
x(t )  u (t )   sign( x(t )) (1)

vi
where ( ) is the input signal, ( ) is the integrator output,
( ) is the error signal and the quantization level is given by Fig. 3 Delta modulation technique
± . The sign(.) function is defined by sign( ) = 1 if ≥ 0,
and sign( ) = −1 if < 0. In order to make the Δ modulator The input message signal is oversampled in the Δ and ΔΣ
function correctly, the error must be forced to zero in finite modulations in order to increase correlation between samples
time by the feedback signal. To find stability conditions of the as illustrated in Fig. 3. For this reason there are two types of
Δ modulator, if we define a positive definite Lyapunov quantization errors: the slope overload distortion (too small
function as or sampling) and granular noise (too large or sampling).
The integrator with a fixed slope may not track the large and
L  x2 / 2 (2) high frequency signals, which can cause the slope overload
distortion as a critical drawback of the system. The slope
Then, the time-derivative of (2) can be written as overload distortion is eliminated if the condition (5) or (7) is
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satisfied for the related modulator type. There exist adaptive The randomness features of (10) can be evaluated with the
algorithms for adjusting quantization step size to eliminate visual and test statistics based methods. Visualization is a
quantization errors of the Δ modulator systems. On the other quick way to get rough information about the chaotic random
hand, the performance of these modulators is dependent on the sequences. The bifurcation diagram and the histogram plot are
quantization and channel noise. The quantization noise used for visual evaluations. Figure 5 displays a histogram plot
averages to zero and can be defined by its root mean square of the chaotic map for 100 categories. The histogram plot
(rms) value for a dynamic input signal by considering its shows a uniform distribution over the ±1 range. This means
limits ± /2. Thus, the quantization error ( ) is given by that the chaotic map with the selected parameter value
generates a uniformly distributed random sequence.
 /2
1 
xrms   x 2 (t )dx(t )  (8)
 
 /2 12
The noise level is equal to quantization noise of an analog-to-

digital converter. For rms value of the input signal ( ), the
signal-to-noise ratio (dB) can be given by
u   urms 
SNR(dB)  20 log  rms   20 log  12 (9)
 xrms    
In these calculations, These results are valid only for

uniformly distributed quantization noise and the effect of the Fig. 4 Bifurcation diagram and Lyapunov exponent.
slope overload distortion is ignored. The quantization noise
remains the same at the demodulator.
B. Chaotic Random Bit Generation
Many chaotic systems are available in the literature to serve
as a source for chaotic random bit generations for use in
encryption/decryption algorithms. For such applications both
continuous-time and discrete-time chaotic systems can be
utilized, but the discrete maps are preferred because of their
convenience for digital realizations and superior performances.
To acquire random bits in a fast, simple way, the robust
chaotic maps can be used since they do not have any periodic
windows in a large parameter range of the chaotic behaviour.
Robust chaotic maps are defined with piecewise linear and
discontinuous maps whose Lyapunov exponents are positive
throughout the chaotic parameter range [36]. In addition these Fig. 5 Histogram plot.
maps are able to provide statistically uniformly distributed
random numbers, which is critical to generated random bits Now, since we verify that the chaotic map provides
without performing and de-skewing method. Consider a uniformly distributed random numbers, we can generate bits
symmetric tent map described by (or binary sequences) from this chaotic map by using a simple
comparator defined by
 i 1  1    i (10)
1 ,  i  0
hi   (11)
where = 1.9999. To show the existence of chaos in the 0 ,  i  0
system for 1 < ≤ 2, the Lyapunov exponent and bifurcation
diagram of the system are given in Fig. 4 for versus . The The usage of a comparator is a simple, efficient and
map has a positive Lyapunov exponent (LE) when >1 convenient way to generate binary values from the chaotic
with a maximum value 0.672. The bifurcation diagram shows source [37]. The chaotic random bits should also be evaluated
that the map has chaos without any periodic windows for a with some qualitative statistical tests to confirm that the
wide range of parameter variations. The map exhibits a robust generated random bits are unbiased, uncorrelated random bits.
chaos since the Lyapunov exponent is always positive in the To assess the randomness of the generated random bits, many
chaotic region. statistical tests are available in the literature including monobit,
Even though, statistical tests are not enough to determine serial, overlapping template matching, cumulative sum, poker,
the quality of the randomness, they are needed to get an idea. autocorrelation, runs, discrete Fourier transform (spectral) and
____________________________________________________________________________________________________________
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frequency within a block (or block frequency) tests [38]–[40]. eavesdropping system is assumed to be estimated with a very
These tests are used to determine whether the chaotic random small initial condition error, e.g., = − = 1x10 , and
bits are unbiased and uncorrelated. That is to say, the chaotic it is seen in Fig. 6e that the message cannot be recovered. The
random bits ℎ with security bound S bits should include chaotic maps in the transmitter and receiver must be exactly
unbiased bits (probability of 0 and 1 must be equal) and the same with the same parameters and initial conditions to
undistinguished bits without performing at least 2 operations generate the correct key sequence and to decrypt the correct
[41]. Even though the statistical tests alone are not enough for message.
such evaluations, it is nice to see that the chaotic bits pass all
these statistical tests. Note that for practical applications, 1.5
application specific tests are usually carried out for 1
randomness analysis. The statistical test results are given in 0.5
ui
Table I. It is clear that all tests are successfully passed, and for 0
this reason, the robust chaotic map (10) with the binary -0.5
0 1 2 3 4 5 6
converter algorithm (11) produces a highly-satisfactory (a) Time (s)
random bits for use in cryptosystems. 1.5
1
0.5
vi
TABLE I
STATISTICAL EVALUATION OF THE CHAOTIC RANDOM BITS 0
-0.5
Test Name Test Values Statistics Result 0 1 2 3 4 5 6
Monobit < 3.8415 1x10-6 success (b) Time (s)
Block frequency > 0.01 0.886 success 1.5
Runs > 0.01 0.785 success 1

wi
0.5
Fourier transform > 0.01 0.939 success
0
Autocorrelation | | < 1.96 -1.0135 success
-0.5
Serial < 0.01 1x10-8 success 0 1 2 3 4 5 6
(c)
Overlapping > 0.01 0.998 success Time (s)
Cumulative sums > 0.01 0.4354 success 1.5

1
Poker < 14.067 9.136 success
ui´
0.5
0
-0.5
III. SIMULATION RESULTS 0 1 2 3 4 5 6
(d) Time (s)
The Matlab/Simulink based numerical simulation results 1.5
are given in Figs. 6-7. Figure 6 shows the chaotic data 1
encryption in Δ modulator based data transmission results.
ui´
0.5
The message signal which includes ASCII codes of “chaos” is 0
seen in Fig. 6a. The digital output of the Δ modulator is -0.5
displayed in Fig. 6b, where there are some windows in the 0 1 2 3 4 5 6
(e) Time (s)
modulated signal. This digital signal can easily be
Fig. 6 (a) Message bits. (b) Digital delta modulator output. (c) Chaotic bits
demodulated with an integrator and low-pass filter. To encrypt based encrypted message (transmitted bits). (d) Recovered message bits. (e)
the modulator output bits, the XOR logic function is used for Recovered message bits for a wrong chaotic key sequence.
the chaotic bit sequence and the modulator bits, namely,
Similarly, the numerical simulation results for the ΔΣ
wi  vi  hi (12) modulator based data transmission are given in Fig. 7. The
waveform of the first-order ΔΣ modulator is illustrated in Fig.
Figure 6c shows the encrypted modulator output bits, 7a when the input signal is a sinusoid as given in Fig. 7a. It is
which does not have any visual pattern. The same chaotic bit should be noted that the modulator performs both the
generator is used in the demodulator to decrypt the original sampling and the quantization operation in this example,
modulator output bits and then Δ demodulator is employed to which is typical in practical circuit implementations. The ΔΣ
extract the original message signal. The recovered message modulator output shows that the output is either plus or minus
signal is seen in Fig. 6d. which shows a perfect recovery. The full scale and when the sinusoidal input to the modulator is
security of the scheme is tested with the use of Δ demodulator, close to the full scale, the output is either positive or negative
low pass filtering and estimated key sequence based tests. In during the cycle. It is seen that the local average of the
Fig. 6e, the test result for a wrong chaotic key sequence is modulator output follows the input signal. When the input
illustrated. In this test, the same chaotic map and binary signal is around zero, the modulator output changes fast
convertor algorithm is used. The initial condition of this between ± with nearly zero mean. Therefore, the input
signal can easily be recovered by using a low pass filter as
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demodulator. On the other hand, the chaotic bits based chaos theory. The randomness of the robust chaotic map based
encryption of the modulator output removes all the modulator random bits are evaluated with qualitative statistical tests.
patterns as seen in Fig. 7c. The recovered input signal is seen The security of the delta modulation systems under chaotic
in Fig. 7d. which shows an excellent recovery. To evaluate encryption is tested with low pass filtering and key space
security of the approach, the test result for a wrong chaotic estimation based attacks, and it is shown that the methods are
key sequence is shown in Fig. 7e. In this test, the same chaotic highly secure and reliable. The use of chaos in securing delta
map and binary convertor algorithm is used with a very small modulation approaches provides a good option to be
initial condition error, e.g., = − = 1x10 . It is clear considered as a framework for the next generation
from Fig. 7e that the message cannot be recovered with such a communication and data transmission systems.
very small estimation error.
ACKNOWLEDGMENT
1
This work was supported by Research Fund of the
0 Abdullah Gül University under project number FAB-2015-4.
ui
-1
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Performance Comparison of PSFB-PWM Converter

and LLC Resonant Converter for On-Board
Electrical Vehicle Battery Charger
Sevilay Cetin#, Esra Erdem*
#
Pamukkale University, Technology Faculty, Denizli, Turkey, scetin@pau.edu.tr
*
Pamukkale University, Engineering Faculty, Denizli, Turkey, esraerdem90@hotmail.com
Abstract— This work presents a performance comparison of phase The PSFB-PWM converter can operate with SS providing
shifted full bridge (PSFB) converter and inductor-inductor- phase delay for the control signals of the cross-conducted
capacitor (LLC) resonant converter for on-board electrical primary switches of the converter. However, this soft switching
vehicle (EV) battery charge applications. In the comparison, process is affected by load conditions and dead time [12], [13].
lithium-ion battery cells are taken into consideration to evaluate
The resonant converters operates naturally with soft switching
the performance of converters because of their high power
density. In the performance evaluation, for both converter, soft and their soft switching operation doesn’t depend on load
switching operation of the primary semiconductors is discussed to condition. However, the resonant converter can regulate the
provide output requirements of the battery. The performance of output voltage with the change of switching frequency.
both converter are also validated experimentally by two Moreover, they have also high conduction loss due to increased
prototypes, operating with 810 W maximum output power. rms currents. The LLC resonant converter topology provides
Experimental results are obtained in good match with theoretical the narrow switching frequency compared to series, parallel
results. According to obtained results, PSFB converter works with and series-parallel resonant converter topologies [14].
soft switching from 50 V to 54 V output voltage, with constant Therefore, it is usually preferred for battery charge applications
output current, at 200 kHz switching frequency. LLC resonant
[9]-[11], [15] and [16]. It seems both PSFB PWM converter and
converter works with soft switching from 42 V to 54 V but with
changing switching frequency between 150 kHz and 200 kHz. LLC resonant converter have some advantages and
disadvantages. Therefore, the performance of PSFB converter
and LLC resonant converter needs to be discussed for battery
Keywords— On-board battery charge, PSFB converter, LLC
resonant converter, li-ion battery charge. charge applications.
The lithium-ion battery charge process has wide range load
I. INTRODUCTION and output voltage condition. Therefore, this work discusses the
The use of electrical vehicle (EV) increases greatly every performance of PSFB PWM converter and LLC resonant
day since the fossil fuels run out, rapidly. Therefore, EV converter based on their soft switching operation according to
provides benefits in the area of the economy for the most lithium-ion battery charge characteristic. For this purpose, two
country in the world. The battery charge of vehicles can be experimental setup are built to validate presented theoretical
possible from a battery charge station or directly a power outlet evaluations. The built setups were tested for 42-54 V output
with on-board chargers. On-board battery chargers can voltage range with 810 W maximum output power.
encourage the user to use EV giving flexibility to charge
II. THE PRINCIPLES OF LLC RESONANT AND PSFB PWM DC-
vehicle’s battery from any power point [1]. However, the
DC CONVERTERS
volume, weight and the cost of the EV increase with on-board
chargers [2]-[6]. A. LLC Resonant Converter
The lithium-ion battery cells have high voltage and current
A circuit diagram of LLC resonant converter is shown in Fig.
rate so their power density is higher compared to the other
1. In the diagram, resonant tank composed of Lr, Lm and Cr. S1-
battery cells [7], [8]. However, larger voltage range of the
S4 are the primary MOSFETS, DR1 and DR2 are the rectifier
battery cell brings the need of wide range output voltage
diodes producing dc output voltage. The output voltage is v0,
regulation for the converter. An on-board battery charger is
the output capacitor filter is Co, the load resistor is Ro, the input
composed of two stages which are AC –DC conversion stage
voltage is vin and TR represents the transformer with N turns
and DC-DC conversion stage. This work focuses on the second
ratio.
stage of a battery charger. The second stage usually uses soft
The voltage gain characteristic of the converter based on
switching converters to provide high efficiency and high power
normalized frequency, fs/fr1, and quality factor, Q, variation is
density. The phase shifted full bridge (PSFB), pulse width
given in Fig. 2 [17].
modulated (PWM) converter and resonant converters are good
candidates, and they are mostly used for the second stage of the
battery charger [1], [9]-[11].
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MOSFET (S3 or S2) are switched on. During the output current
commutation, both rectifier diode stays on condition and the
secondary side of the transformer is short circuited. In the PSFB
PWM DC-DC converter, the switching losses are reduced
significantly by allowing a delay time between the control states
of two diagonal switches. During this delay time, the parasitic
capacitors of MOSFETs in one leg are charged/discharged, and
ZVS turn-on of primary MOSFETs is achieved.
Fig. 1. The circuit diagram of LLC resonant converter.
3
Q=0.2
Open Circuit
Q=0.25
Gain
Q=0.3
2.5
Q=0.35
Region 2 Region 1
ZVS ZVS Q=0.4
Q=0.5
2 Q=0.68
Q=0.82
Gain=nVo/Vin
Q=1.5
1.5 Q=2.5
Q=4.82
Region 3
ZCS
1
Fig. 3 The circuit schematic of PSFB PWM converter.

0.5
In this converter, SS operation of the primary MOSFETs
Short Circuit
Gain
depends on the load condition and dead time. The SS operation
0
0 0.2 0.4 0.6 0.8 1 1.2 1.4 1.6 1.8 2 of leading leg switch can be achieved easily with the reflected
fn=fs/fr1
output current. However, lagging leg operated with hard
Fig. 2. The voltage gain characteristic of LLC resonant converter [17]. switching after certain load condition. The critical load
The operation of the converter has three region which are boundary of lagging leg MOSFETs can be determined by
1 1
Region 1, Region 2 and Region 3. Region 1 is activated when Ls I p − cr 2 ≥ ( CS 2 + CS 3 )Vin 2 . (1)
the switching frequency is higher than the resonance frequency. 2 2
The Region 1 always works with inductive mode. Region 2 Where Ip-cr is the critical current to be discharged the
works below resonance with inductive operation and Region 3 parasitic capacitors, CS2 and CS3. CS2 and CS3 are represent the
works below resonance too, but with capacitive operation. The parasitic capacitors of lagging leg MOSFETs, S2 and S3. Above
converter is usually operated at fr1 for constant voltage equation, it is shown that Ls is the main parameter to determine
applications to reach maximum efficiency [18]-[21]. However, the critical load condition.
battery charge application should provide wide range output The dead time of leading and lagging leg should be enough
voltage regulation and this operation can be possible with the to allow charge/discharge the parasitic capacitors and the dead
varying switching frequency [9], [14]. time for each leg can be defined as follows:
The Region 1 and 2 provide ZVS operation for the primary tdead −lead ≥ td( off ) + trv (2)
switches with the operation in inductive mode. Region 3
presents the capacitive mode and this is not suitable for ZVS
tdead −lagg ≥ td( off ) + trv . (3)
operation of primary MOSFETs. Therefore, converter can be Where td(off) represents the turn-off delay time and trv is the
operated in Region 1 and 2 according to desired output voltage voltage rising time. For the lagging leg, the dead time should
range. be completed before the primary current falls to zero.
Otherwise, reverse resonance starts and so discharged parasitic
B. PSFB PWM DC-DC Converter capacitors charge again [12], [13]. Thus, ZVS turn-on of
The circuit diagram of PSFB converter is given in Fig. 3. S1– lagging leg MOSFETs is lost. Therefore, dead time
S4 represent the primary MOSFETs, Ls is the snubber optimization is also important parameter to achieve ZVS turn-
inductance, Lm is the magnetizing inductance, DR1 and DR2 are on of lagging leg MOSFETs. It can be optimized according to
rectifier diodes. Lo- Co are the output filter components. Vin is time interval required to charge/discharge the parasitic
the input voltage source, Vo is the battery voltage, N is the turns capacitors, tZVS, and the time interval allowing the primary
ratio of the transformer. S1-S4 represents the leading leg current to fall zero, tp0, defined as follows:
MOSFETs and S2-S3 represent the lagging leg MOFETs. tZVS −lagg ≤ tdead −lagg ≤ t p0 . (4)
In the powering stages, two diagonal MOSFETs of each leg
are turned on, and in the freewheeling stage, the upper or lower
side MOSFET (S1 or S4) and an antiparallel diode of the opposite
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III. PERFORMANCE COMPARISON The PSFB PWM converter was operated at 200 kHz
For the comparison study, design of each converter is switching frequency to test its performance. The SS operation
evaluated based on wide range output voltage regulation and of leading leg MOSFETs is usually achieved with the reflected
soft switching operation for the second stage of a battery load current to the primary side. The lagging leg MOSFETs
charger. At the output, series connection of 14 lithium-ion usually have problem due to their dependence on load and dead
battery cell is assumed for both converter. Thus, the output of time condition. Therefore, the measured results are given in Fig.
the battery package has 43.4-53.9 V / 15 A with that assumption. 5 for lagging leg MOSFET’s switching. Fig. 5 (a) shows the SS
The input of converters are fed with 385 V dc voltage obtained operation of S2 MOSFET with 54 V / 15 A output. The
from a dc voltage source. The battery charge control has two converter can operate with SS until 48 V with full load due to
modes which are constant current mode and constant voltage no optimized dead time then primary switches work with HS as
mode. In this work, performance of each converter is evaluated shown in Fig. 5 (b).
based on constant current mode with changing battery voltage. TABLE II
The operation analysis of the converters are performed by THE COMPONENTS USED IN PSFB PWM CONVERTER AND LLC RESONANT
CONVERTER
Matlab and obtained results are summarized in Table I.
TABLE I PSFB PWM LLC Resonant
Components
PERFORMANCE COMPARISON OF LLC RESONANT AND PSFB PWM Converter Converter
CONVERTERS.
E/65/32/27 E/65/32/27
Transformer
Operation of Np=12, Ns=2 Np=16, Ns=2
Turns
Switching Primary
Converter Ratio Snubber Lr=23.7µH, Cr=32.9nF,
Frequency MOSFETs in Ls=20 µH
Topology of Components Lm=75 µH
Range Constant Current
TR, N
Mode Lo=1.1 µH,
LLC Resonant Output Filters Co=12x22 µF
Co=12x22 µF
DC-DC 8 150-200 kHz SS From 42-54V
Converter Primary
C2M0080120
PSFB PWM MOSFETs S1-S4
HS From 42-48 V
DC-DC 6 200 kHz Secondary
SS From 50-54 V DSS2x101-015A
Converter Rectifiers DR1-DR2
According to obtained results, LLC resonant converter has

higher transformer turns ratio compared to PSFB converter
because LLC resonant converter has no lost duty ratio like it
happens in PSFB converter. The increased transformer turns
ratio of LLC resonant converter can help to reduce the
conduction and turn-off switching loss. However, increased
rms current value negatively affects the conduction loss and
cost of the converter. The output voltage regulation of LLC
resonant converter is provided with the switching frequency
changing from 150 kHz to 200 kHz while PSFB converter
(a)
provides with duty change at constant 200 kHz switching
frequency.
The soft switching operation of PSFB converter depends on
load condition and dead time condition. For the output voltage
regulation the duty ratio is changed in constant current mode
control. This results HS operation at low values of the output
voltage due to extended dead time.

In order to test the performance of the compared converters,
(b)
two prototype are built and separately operated for 1 kW output
power and 42-54 V output voltage. 385 V dc voltage is applied Fig. 4 The measured results of LLC resonant converter. (a) With 54 V / 15 A
at 153 kHz and (b) with 42 V / 15 A at 200 kHz.
to the input of the converters. The component specifications
and values used in built converters are given in Table II.
Fig. 4 (a) shows the measured waveforms of LLC resonant
converter when output voltage is 54 V and output current is 15
A at 153 kHz. Fig. 4 (b) provides the waveforms obtained when
the output is 42 V / 15 A at 200 kHz. ZVS turn-on of primary
switch is achieved over wide output voltage.
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509
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charge applications. The operation of the converters is

evaluated constant current mode and constant voltage mode of
battery charger. The soft switching boundary of the primary
switches are extracted theoretically and obtained results were
validated experimentally. The prototype of each converter was
built and tested separately for 42-54 V / 15 A output. The
obtained results show that the efficiency of PSFB PWM
converter is higher than the LLC resonant converter due to
increased rms currents of LLC resonant converter. The
maximum efficiency of PSFB converter and LLC resonant
(a)
converter is 94.4% and 93.6% at full load condition,
respectively.
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[11] Z. Fang, T. Cai, S. Duan, and C. Chen, “Optimal design methodology
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synchronous rectified phase shifted full bridge converters of server
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topologies”, IEEE Trans. on Power Electronics, vol. 3, pp. 174-182,
V. CONCLUSIONS April 1988.
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[16] Y.S. Dow, H.H. Kim, Y.I. Kwon, B.Y. Kim, J.C. Kim, “A study of 6.6 [19] Y. Fang, D. Xu, Y. Zhang, F. Gao, L. Zhu, “Design of high power
kW on board charger for electric vehicle”, EVS28 International Electric density LLC resonant converter with extra wide input range”, Applied
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[17] S. Cetin, “High efficiency design approach of a LLC resonant converter [20] D. Huang, D. Gilham, W. Feng, P. Kong, D. Fu, and F.C. Lee, “High
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[18] B. Lu, W. Liu, Y. Liang, F. C. Lee, J. D. van Wyk, “Optimal Design kW/dm3 Resonant DC–DC Converter for Telecom Applications”, IEEE
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Conference and Exposition, APEC '06, pp. 533-538, 2006.
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Current-Mode Rail-to Rail Instrumentation

Amplifier for General Purpose
Instrumentation Applications
Ugur Cini
Trakya University, Faculty of Engineering, Edirne, Turkey

ugurcini@trakya.edu.tr
Abstract Especially three op-amp instrumentation amplifier is the

most popular structure among instrument amplifier
Instrumentation amplifiers are used extensively in bio- topologies. [1-2]. CMRR is directly dependent on resistor
potential reading, industrial sensor applications, Wheatstone matching in three op-amp configuration. Moreover,
bridge amplifiers etc. In this work, a high input common- voltage-mode amplifiers are limited by gain band-width
mode range instrumentation amplifier is presented. The
amplifier is composed of two second generation current
product, i.e., as the gain increases, frequency band-width
conveyors (CCII+) with common-mode input range close to decreases. An alternative is to use current-mode circuits
supply swings and a differential difference current conveyor where CMRR is not directly dependent on resistor
(DDCC) at the second stage with high voltage swing at the matching. Moreover, bandwidth is not directly limited by
output. Also an optional DC servo loop is employed as a gain in current-mode instrumentation amplifiers [3, 10-
feedback to second stage for the removal of any possible DC 11]. The first proposed configuration of Current-Mode
offset voltage at the output which can be used for AC Instrumentation Amplifier (CMIA) implementation [4] is
coupled applications. The simple design strategy with high depicted in Fig. 1. Idealized CCII+ equations are:
input common-mode range and nearly rail-to-rail output
stage together with increased bandwidth advantage of IY = 0 (1.a)
current-mode approach makes the proposed implementation
desirable for many of the general purpose instrumentation VX = VY (1.b)
applications. The design is made using 0.35μm AMS IZ = IX (1.c)
technology with 3V supply voltage. The operation is verified
by HSPICE simulations. The design is made using two of the second generation
current conveyors of plus type (CCII+). In the circuit,
Keywords— current-mode circuits, biomedical node Y is high impedance node where the input voltage is
instrumentation, current-conveyors, amplifier design, copied to low impedance node X. In the circuit of Fig. 1,
current-mode instrumentation amplifier.
differential input voltages at node Y of both conveyors are
replicated at nodes X. The voltage difference of the two of
the X nodes results as current at nodes of X. Then, the
I. INTRODUCTION current flowing through X nodes is copied to node Z.
Therefore the voltage at Z node is amplified by the ratio
Instrumentation amplifiers are extensively used for
of the gain resistors of the circuit. Basic gain formula
engineering applications to amplify small differential
(using idealized components) of the CMIA shown in Fig.
signals. The key property of these amplifiers is the ability
1 is:
to reject undesired common mode voltages [1]. Therefore,
Common-Mode Rejection Ratio (CMRR) is the key
R1
parameter to measure the quality of an instrumentation VOUT  (Vin   Vin  ) . (1)
amplifier. Generally, voltage-mode instrument amplifiers R2
are employed in many of the engineering applications.
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Fig. 2. Circuit implementation of the proposed CMIA using CCII+ and DDCC elements
The advantage of the circuit in Fig. 1 is its simplicity,

high CMRR without resistor matching and wide band-
width. Although CMIA in Fig. 1 gives good performance
without resistor matching requirements, improved
configurations are proposed utilizing both outputs of the
current conveyors [2, 5- 7]. V X  1  1 1 0
 I  0 0 VY 1 
In this paper, two of the CCII+ elements with high
 Y1   0 0  
input common-mode range with high output swing close VY 2
to rail-to-rail swing is employed at the input stage. Then,  I Y 2   0 0 0 0   (2)
another current conveyor, i.e. Differential Difference     VY 3 
 I Y 3  0 0 0 0  
Current Conveyor (DDCC) is used at the second stage. So
 I Z  0 0  IX 
that higher CMRR performance and gain is possible. 0 1
DDCC element is a rather new current conveyor element
providing a variety of algebraic By employing DDCC element at the second stage,
variety of algebraic equations is handled easily. Moreover,
operations over the input ports [8]. By employing DDCC an optional DC servo loop is designed for the removal of
element at the second stage, variety of operations is potential offset at the output which is desirable for the AC
possible which is advantageous for alternative coupled instrumentation requirements. In the next section,
implementations of instrumentation amplifiers. The circuit the structure of the design together with internal structure
equation of the idealized DDCC element in matrix form is will be explained.
as follows:
II. CMIA STRUCTURE
The structure of the instrumentation amplifier is
shown in Fig. 2. Two-stage amplification scheme is
suitable for higher gain for the instrumentation
implementation. The first stage of the amplifier is
implemented using rail-to-rail CCII+ elements. The first
stage implementation is critical for high CMRR which
will be explained in next section. At the second stage, the
difference operation of the dual outputs of the first stage is
handled using DDCC element. Moreover, integration of
the output is feedback from the output to the third terminal
of the DDCC. The gain formulation of the system is given
as:
V X ( DDCC )  VY 1  VY 2  VY 3 , (3.a)
Fig. 1. CCII+ based CMIA
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513
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1 1 .
f HP   (5)
2 2R3 C1
If the offset cancellation loop is not employed, i.e. node

Y3 of the DDCC is connected to GND, the gain
formulation is equal to:
R4  2 R1 
VOUT   (Vin   Vin  ) . (6)
R3  R 2 
III. INTERNAL BUILDING BLOCKS

Fig. 3. CCII+ working principle
The CMIA is built using CCII+ and DDCC elements.
CCII+ elements are redesigned for rail-to-rail operation
1
I X ( DDCC)  I Z ( DDCC)  (VY 1  VY 2  VY 3 ) , (3.b) using a novel output biasing structure. DDCC element is
R3 also designed for rail-to-rail output swing together with
precision output current mirrors to make the component
R4 operate close to idealized voltage and current equations.
VOUT  (VY 1  VY 2  VY 3 ) , (3.c)
Basic operation principle of the CCII+ element is shown
R3
in Fig. 3. The circuit is composed of two differential
R blocks composed of PMOS input stage and NMOS input
VY 1  1 (Vin   Vin  ) , (3.d)
R2 stage. Therefore the circuit is functional up to rail-to-rail
R swing. Differential blocks works as unity gain buffer cells
VY 2   1 (Vin   Vin  ) , (3.e) to copy the input voltage at Y node to X node. The output
R2 transistors are biased using an output biasing circuit.
1 Whenever any of the differential blocks is inactive, output
R4 C1 
VY 3   VOUT dt . (3.f)
biasing circuit still provides sufficient current drive for the
output transistors MOP and MON. Then, current at node X
copied to the Z node by class AB current mirrors. The
Then output of the CMIA is, output biasing scheme for the X node output is simple so
that, supply voltage is divided between the gate-to-source
R4  2 R1  1  voltages of the four transistors as:
VOUT   (Vin   Vin  )     VOUT dt  . (4)
R3  R2  R3 C1 
VSG_OP + VSG_D1 + VGS_D2 + VGS_ON = VDD - VSS (7)
The integrator loop in the structure removes DC offset Since VDD – VSS is 3V, there is sufficient voltage
available at the output of the system. If the integrator loop headroom for each of the transistor to operate properly. If
is active, high pass cutoff frequency is: the bias circuit does not exist in the structure, whenever
Fig. 4. Circuit diagram of the CCII+
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one of the driving operational trans-conductance feedback loop, i.e. DC servo loop. The current-mode
amplifiers (OTA) are in the off state, related output integrator provides grounded capacitor implementation
transistor MON or MOP gate input floats and there exists for the integrator, which is advantageous for various
extreme current consumption at the output stage. Using implementations such as capacitance multiplication for
the proposed scheme, both of the output transistors are large capacitance values, etc. The integrator is employed
active for the full swing and provide class AB operation using a CCII+ with a capacitor shown as C1 in Fig. 2.
properly. Adjustment of the output biasing can be done by Filter high-pass cut-off frequency can be calculated using
sizing of the diode connected transistors MD1 and MD2. (5).
Selecting larger length (L) for the diode connected The internal structure of the DDCC element is shown in
transistors limits the output biasing current which is Fig. 5. The DDCC element is based on two equivalent
important for low-power operation. Self-biasing scheme differential input stage, one output stage with feedback for
for driving of OTAs and output stages provides stable the output X and current copying circuit from X to Z to
operation over large temperature range. Whenever bias generate Z output. The circuit is the improved version of
currents of OTAs increase by temperature, bias currents the DDCC proposed in [8]. The aspect ratios of the circuit
Ib_out also increase, then quiescent drain currents ( ID) of are given in Table 2. In the second stage of the CMIA, i.e.
MON and MOD is limited. So that low power operation is DDCC circuit, a rail-to-rail input is not required since
provided over a large temperature range. Full circuit large common-mode voltage component is removed at the
diagram with self-biasing scheme is shown in Fig. 4. first stage. Here, low-voltage cascode output is employed
Miller compensation is also employed between node X to at Z node, so that rail-to-rail output is possible with high
drain of M8 and node X to drain of M4 is also employed. precision the output of the proposed CMIA. Current
source Ib is set to 2µA with cascode current sources in the
circuit. Moreover, the circuit is operational under wide
TABLE I. TRANSISTOR ASPECT RATIOS OF FIG. 4. variety of current values. Bias voltages Vbias1 and Vbias2 are
W/L set to VDD˗1V and VSS+1V, respectively. In the proposed
Transistor
(µm/ µm) scenario, desired gain is possible by adjusting the R3 and
M1 - M2 40/2 R4 resistances if R1 and R2 are internally adjusted to a
constant value in Fig. 2 and using (6). DC servo loop can
M3 - M4, M7 – M8 20/2
also be de-activated by connecting Y3 input to GND.
M5 - M6 40/4 Since X node of the DDCC is constructed using voltage
MOP1 – MOP2 30/2
followers and Z node is implemented using cascade
stages, output gain can be precisely adjusted.
MON1 – MON2 20/2 For DC coupled implementations, Y3 node can also be
MB1, MB4 10/2 used for offset removal by removing the integrator and
applying a voltage divider network at node Y3. So that a
MB2, MB3 3/3
simple rail-to-rail input and output operation with
MB5, MB6, MB7, MB10 40/2 precision gain and various configurations is possible using
MB8, MB9 7/2 the proposed CMIA structure. Output can also be supplied
by a unity gain amplifier.
As explained before, the proposed instrumentation
amplifier is composed of two amplifier stages. First stage
of the CMIA is based on the basic structure shown in Fig.
1. Second stage is also a differential amplifier constructed
using DDCC element. DDCC element is a rather new
current conveyor, providing wide variety of algebraic
operations. However, DDCC element has lower common-
mode range. Since common-mode voltage is mostly
removed at the first stage, only residual common-mode
voltage appears at the second stage. So that, DDCC
element can be effectively employed at the second stage.
Moreover, various input algebraic operations provide also
an optional DC removal input at node Y3 as shown in Fig.
2. DC removal procedure is important especially for bio-
potential recordings since a low-offset voltage at the input
saturates the instrumentation amplifier and prevents
proper operation. So that after pre-amplification at first Fig. 6. Frequency response of the proposed CMIA.
stage, remaining DC offset is removed using an integrator
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IV. SIMULATION RESULTS AND DISCUSSIONS inputs applied to Y1 and Y2 nodes of the DDCC input at
The proposed CMIA is configured for 40 dB gain. The the second stage as the outputs from the CCII+ elements
first stage gain is selected to be 20, the second stage gain are subtracted using the second stage amplifier. If
is set to 5. Using (6), R1 and R2 are selected to be 5kΩ and mismatch effect is not included the CMRR of the
500Ω, respectively. However, X nodes of the CCIIs have proposed structure is as high as 150 dB which is not
non-zero resistive input impedance. Due to input possible in reality. By applying geometry mismatch to the
resistance of X nodes, using simulations, R2 is replaced by differential stages of the CCII+ elements in the
485Ω. As a result the X node resistance of each CCII+ is simulations, the CMRR is recorded as 105 dB. Therefore,
estimated as (500-485) Ω /2 = 7.5 Ω. Second stage X and matching is very critical for the pairs of M1-M2; M3-M4;
Z nodes of the DDCC element are close to ideal, since M5-M6; and, M7-M8 of Fig. 4. CMRR calculation in [13,
better output stage is designed for the DDCC element. For 14] also shows that if two of the differential inputs have
the second stage, R3 and R4 are selected as 100kΩ and same gain error, the common-mode effect is minimized.
500kΩ, respectively. Capacitor C1 is selected as 1µF. Larger L values are employed for the transistors at the
Using (5) high-pass frequency for DC removal is 1.5 Hz, first stage of the CCII+ in Fig. 4, NMOS transistor lengths
which is suitable for electro-cardioghraphy (ECG) signals. especially kept larger to reduce flicker noise at the first
The frequency response of the amplifier is shown in Fig. stage. As a result, 850 nV/√Hz input referred noise at 1
6. The gain of 100 with cutoff frequency of 1.5 Hz is Hz is recorded. Noise level is reduced at higher
achieved using the given component values. frequencies, as expected. The results are summarized in
Table 1. The CMRR recording of the propsed CMIA is
comparable with the implementations in [14-16].
TABLE II. TRANSISTOR ASPECT RATIOS OF FIG. 5.
Transistor W/L (µm/ µm) TABLE III. DESIGN SUMMARY

M1 - M4 40/4 Technology 0.35μm
M5 – M7 40/1
Supply 3V
Bandwidth 550kHz
M9 – M10 20/1 Gain 40 dB (adjustable)
M8, M11 50/1 CMRR 105 dB
Input noise @ 1Hz 850 nV/√Hz
M12 – M15 120/1 Input&Output Swing 0.1V – 2.9V
M16 – M19 50/1 Power Consumption 300μW
The CMRR performance of the proposed differential V. CONCLUSION

amplifier is dependent on two main design issues. One is
In this paper, a rail-to-rail CMIA circuit is designed.
dependent on device sizing; the other is related to device
The circuit is designed for general purpose needs and
mismatch effects. CMRR related to device sizing do not
suitable for bio-potential amplification, industrial sensor
have main impact when differential design strategy is
conditioning etc. The CMIA is based on two amplifier
selected [10]. Sizing effects mostly cancels out in the
stages and DC off-set removal is possible for AC coupled
proposed structure, since differential design strategy
implementations. The design has high CMRR, and low
cancels out common-mode effects two of the differential
input referred noise compared to amplifiers without
Fig. 5. Internal structure of the DDCC element
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516
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chopper stabilization. Simplicity of the design procedure

with rail-to-rail operation, easy implementation of DC
offset removal are the advantages of the proposed CMIA.
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[1] S. Franco, Design with Operational Amplifiers and Analog

Integrated Circuits,2nd Ed., McGraw Hill, 1997.
[2] K. Koli, “CMRR enhancement techniques for current-mode
instrumentation amplifiers”, IEEE Trans. on Circuits and
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[3] W. J. Su, F. J. Lidgey, “Common-mode rejection ratio in
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Integrated Circuits and Signal Processing, Vol. 7, Issue 3,
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[4] C. Toumazou, F. Lidgey, “Novel current-mode
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[7] .A. Khan, M. A. Turaigi, M.A. Al-Ela , “An Improved
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[8] A W. Chiu, S. I. Liu, H. W. Tsao, J. J. Chen, "CMOS
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[9] B. Razavi, Fundamentals of Microelectronics, Wiley, 2008.
[10] G.Ferri, N.Guerrini, Low-voltage low-power CMOS
current-conveyors, Kluwer Academic Publisher, Boston,
2003.
[11] C.Falconi, G.Ferri, V.Stornelli, A. De Marcellis,
A.DAmico, D.Mazzieri, “Current Mode, High Accuracy,
High Precision CMOS Amplifiers”, IEEE Transactions on
Circuits and Systems II, vol.55 n.5, May 2008, pp.394-398.
[12] D. M. Das, M. S. Baghini, D. K. Sharma, “Design
Considerations for High-CMRR Low-Power Current Mode
Instrumentation Amplifier for Biomedical Data Acquisition
Systems”, ICECS 2014, pp. 251-254, Dec. 2014.
[13] W. J. Su, E. J. Lidgey, “Common-mode rejection ratio in
current-mode instrumentation amplifiers”, Analog Integr.
Circ. Sig. Process., Vol. 7, pp: 257-260, 1995.
[14] C. A. Prior, C. R. Rodrigues, A. L. Aita, J. B. Martins, F. C.
Vieira, “Design of an integrated low power high CMRR
instrumentation amplifier for biomedical applications”,
Analog Integr. Circ. Sig. Process., Vol. 57, pp. 11-17, 2008.
[15] P. Bruschi, F. D. Cesta, M. Piotto, R. Simmarano, “A very
compact CMOS instrumentation amplifier with nearly rail-
to-rail input common mode range”, ICECS 2014, pp. 323-
326, Dec. 2014.
[16] D. M. Das, M. S. Baghini, D. K. Sharma, “Design
Considerations for High-CMRR Low-Power Current Mode
Instrumentation Amplifier for Biomedical Data Acquisition
Systems”, ICECS 2014, pp. 251-254, Dec. 2014.
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Measurement and Comparison of Signal Levels of

GSM900, GSM1800 and UMTS Bands
Mustafa Cansiz*, Teymuraz Abbasov+, M. Bahattin Kurt*, A. Recai Celik*
#
Department of Electrical and Electronics Engineering, Dicle University, 21280, Diyarbakır, Turkey
{mustafa.cansiz, bkurt, ali.celik}@ dicle.edu.tr
+
Department of Electrical and Electronics Engineering, İnönü University, 44280, Malatya, Turkey
teymuraz.abbasov@inonu.edu.tr
Abstract—Signal levels of GSM900, GSM1800 and UMTS bands division multiple access technology (FDMA). The maximum
were measured as mobile on the main streets in the city center of output power of a radio transmitter used in GSM is 10-40 watt
Diyarbakır at the same time and route during a week. The and frequency of power control is about 2 Hz [7]. UMTS uses
measurements were performed by using high precision and code division multiple access technology (CDMA). The
portable spectrum analyzer with an isotropic electric field
maximum output power of a radio transmitter used in UMTS
antenna and a laptop. The high precision spectrum analyzer is a
device that measures the high frequency electromagnetic fields. is 20-60 watt and frequency of power control is 1500 Hz [7].
The isotropic electric field antenna allows a three axis Power control and discontinuous transmission are two smart
measurements. The laptop was used to record and analyze the techniques [8] which are used in GSM and UMTS networks to
measurement samples. Electric field strengths were measured as reduce the EMF signal levels in the environment. Thus, these
signal levels in this study. Some statistical parameters such as smart techniques enable to save the power of mobile phone
standard deviation and variance were calculated with 95% and base station.
confidence interval for measurement samples. The highest signal The aim of this study was to measure signal levels of
levels were measured as 3.8580 V/m for GSM 900 band, 2.9440 GSM900, GSM1800 and UMTS bands as mobile in the city
V/m for GSM1800 band and 6.0900 V/m for UMTS band during
center of Diyarbakır in Turkey at the same time and route
a week. Similarly, mean electric field strength values as average
signal levels were calculated as 0.4985 V/m for GSM 900 band, during a week. Then, signal levels of them were compared
0.2350 V/m for GSM1800 band and 0.6281 V/m for UMTS band. with each other and statistically analyzed. Some statistical
According to the mean electric field strength values, the average values such as standard deviation and variance were
signal levels of three bands were ranked as UMTS, GSM900 and calculated with 95% confidence interval. The average signal
GSM1800 from the largest to the smallest, respectively. The levels of three bands were evaluated.
highest variation in standard deviation and variance was
observed on Wednesday for GSM900 and UMTS bands and
Thursday for GSM1800 band. II. MATERIAL AND METHOD
The measurements were performed between 10 November
Keywords— Signal level; Electric field strength; GSM; UMTS; 2014 and 16 November 2014 as mobile on the main streets
Statistics
where people spend time and have fun. Communication way
I. INTRODUCTION from base station to mobile phone is called downlink.
Likewise, communication way from mobile phone to base
Advanced technological developments in mobile station is called uplink. Output power of the base station is
communication systems have influenced people's lives in much higher than output power of the mobile phone.
many ways. Electromagnetic field (EMF) signal levels of Therefore, downlink band was only taken into account during
mobile communication systems such as Global System for the measurements. Downlink frequency bands of GSM900,
Mobile Communications (GSM) and Universal Mobile GSM1800 and UMTS as shown in Table 1 were measured
Telecommunications System (UMTS) are very important for during the whole week between 17:00 and 18:20 hours at the
epidemiological studies [1-3]. The effects of EMF signal same route.
levels on human health were examined by many scientific
studies [4, 5]. Basic restrictions for EMF signal levels were TABLE I
EMF BANDS AND THEIR FREQUENCY RANGE
recommended by the International Commission on Non-
Ionizing Radiation Protection (ICNIRP) [6]. Turkey has RF EMF Band Frequency Range (MHz)
adopted the ICNIRP's reference levels for EMF exposure. GSM900 DL 935 - 960
Mobile communication systems such as GSM and UMTS GSM1800 DL 1805 - 1880
use different technologies. For this reason, signal levels of UMTS DL 2110 - 2170
them may be different in the environment. GSM uses time
division multiple access technology (TDMA) and frequency DL: Downlink
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The measurement set consisted of selective radiation meter measurement samples at an interval of 10 second during the
SRM-3006 (Narda Safety Test Solutions, USA) connected to mobile measurements. Then, the number of measurement
isotropic antenna by a radiofrequency cable and a laptop for samples for each EMF band was become equal to 472 samples
data collection. SRM-3006 is a high precision and portable per a day and 3304 samples per a week. The program written
spectrum analyzer which measures the high frequency by us got information (e.g., latitude, longitude, the maximum
electromagnetic fields. The isotropic antenna is the three axis instantaneous electric field strength values) from the SRM-
electric field antenna frequency range from 27 MHz to 3 GHz, 3006 and recorded measurement samples for statistical
dynamic range 0.2 mV/m - 200 V/m and maximum extended analysis. Descriptive statistics such as standard deviation and
measurement uncertainty +2.6/-3.8 dB for 85-2200 MHz. variance were calculated with 95% confidence interval.
Cable contains ferrite to reduce the effects of the external Measurement samples were analyzed using IBM SPSS
fields and its length is 1.5 meter [9]. Statistics software, version 21 [12].
Channel bandwidth for GSM900 [10] and GSM1800 [10] is
200 kHz, and for UMTS [11] is 5 MHz. Resolution bandwidth
of SRM-3006 for GSM900 and GSM1800 was set to 50 kHz III. RESULTS AND DISCUSSION
and for UMTS was set to 1000 kHz for better measurement. Currently, there are three mobile network operators in
SRM-3006 equipped with three axis electric field antenna Turkey. GSM frequency band of two mobile network
which was placed at 1.70 meter height above ground was operators is 900 MHz but the other is 1800 MHz. UMTS
mounted on the top of the car. Average speed of the car in the frequency band of three mobile network operators is 2100
measurement route was about 40 km/h. MHz. As seen in Table 2, Table 3 and Table 4,_10, _11, _12,
In this study, electric field strength values of three bands _13, _14, _15, _16 denote measurement days (Monday,
were measured as signal levels. The worst case was Tuesday, Wednesday, Thursday, Friday, Saturday and
considered during the performance of measurements. In this Sunday).
way, the maximum instantaneous electric field strength values
of GSM900, GSM1800 and UMTS bands were chosen as
TABLE III
DAILY STATISTICS FOR GSM900 DL
EMF band N Range Minimum Maximum Sum Mean Std. Deviation Variance
GSM900_10 472 2.8594 0.0316 2.8910 225.7753 0.478338 0.4312111 0.186
GSM900_11 472 3.0889 0.0321 3.1210 230.1624 0.487632 0.4306846 0.185
GSM900_12 472 3.8250 0.0331 3.8580 235.3006 0.498518 0.4636433 0.215
GSM900_13 472 2.1772 0.0308 2.2080 221.1566 0.468552 0.4148358 0.172
GSM900_14 472 2.4504 0.0336 2.4840 229.4507 0.486124 0.4238145 0.180
GSM900_15 472 2.8609 0.0342 2.8950 221.1493 0.468537 0.4340354 0.188
GSM900_16 472 3.1351 0.0329 3.1680 222.0962 0.470543 0.4346786 0.189
N: number of samples Std: Standard
TABLE IIIII
DAILY STATISTICS FOR GSM1800 DL
GSM1800_10 472 1.6957 0.0533 1.7490 101.6737 0.215410 0.2206387 0.049
GSM1800_11 472 2.7386 0.0535 2.7920 100.0886 0.212052 0.2668446 0.071
GSM1800_12 472 2.6898 0.0532 2.7430 104.4067 0.221201 0.2548263 0.065
GSM1800_13 472 2.8910 0.0530 2.9440 110.9306 0.235023 0.2713217 0.074
GSM1800_14 472 1.7811 0.0519 1.8330 101.6694 0.215401 0.2271515 0.052
GSM1800_15 472 2.0164 0.0536 2.0700 105.7467 0.224040 0.2543026 0.065
GSM1800_16 472 2.1617 0.0524 2.2140 104.4510 0.221294 0.2443795 0.060
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TABLE IV
DAILY STATISTICS FOR UMTS DL
UMTS_10 472 3.1661 0.0729 3.2390 280.1896 0.593622 0.4958261 0.246
UMTS_11 472 4.6792 0.0748 4.7540 293.7641 0.622382 0.5356311 0.287
UMTS_12 472 6.0150 0.0750 6.0900 296.4812 0.628138 0.5753035 0.331
UMTS_13 472 3.9406 0.0724 4.0130 290.9976 0.616520 0.5179273 0.268
UMTS_14 472 3.9470 0.0741 4.0210 291.0592 0.616651 0.5403461 0.292
UMTS_15 472 4.7784 0.0786 4.8570 285.9496 0.605825 0.5459556 0.298
UMTS_16 472 4.3507 0.0753 4.4260 287.3403 0.608772 0.5040396 0.254
TABLE V
A WEEKLY STATISTICS FOR MEASURED EMF BANDS
GSM900 3304 3.8272 0.0308 3.8580 1585.091 0.479749 0.4332338 0.188
GSM1800 3304 2.8921 0.0519 2.9440 728.9667 0.220632 0.2489943 0.062
UMTS 3304 6.0176 0.0724 6.0900 2025.782 0.613130 0.5309375 0.282
standard deviation and variance was observed on Thursday for

Table 2 shows some statistical values [12] about measured GSM1800 band. The standard deviation is 0.2713217 and the
GSM900 band. The maximum electric field value is 3.8580 variance is 0.074 as seen in Table 3.
V/m and the minimum electric field value is 0.0308 V/m. As
seen in Table 3, for GSM1800 band, the maximum electric IV. CONCLUSIONS
field value is 2.9440 V/m and the minimum electric field Signal levels of GSM900, GSM1800 and UMTS bands
value is 0.0519 V/m. As shown in Table 4 about UMTS band, were measured as mobile on the main streets in the city center
the maximum electric field value is 6.0900 V/m and the of Diyarbakır during a week.
minimum electric field value is 0.0724 V/m. In terms of the mean electric field value, it was determined
It should be noted that the number of base stations which that the average signal level of the UMTS band during a week
radiate in UMTS band in the city center are greater than the was greater than the GSM900 band and the average signal
base stations of the other bands. Similarly, the number of base level of GSM900 band was greater than GSM1800 band. The
stations which radiate in GSM900 band are greater than the average signal levels of three bands can be listed as UMTS,
base stations of GSM1800 band. GSM900 and GSM1800 from the largest to the smallest,
According to the mean electric field values in Table 5, the respectively.
largest mean electric field value is 0.613130 V/m in UMTS The highest variation in standard deviation and variance
band and the smallest mean electric field value is 0.220632 during a week was observed on Wednesday for GSM900 and
V/m in GSM1800 band. The measured average EMF signal UMTS bands. Furthermore, the highest variation in standard
levels among three bands can be ranked from the largest to the deviation and variance was determined on Thursday for
smallest as UMTS, GSM900 and GSM1800, respectively. It GSM1800 band.
should be noted that three mobile network operators use the
UMTS band, two mobile network operators use GSM900 ACKNOWLEDGMENT
band and the other operator just uses GSM1800 band. In This research was supported by Dicle University Scientific
addition, the number of base stations and deployment of sites Research Projects (Project Number: 13-MF-25)
also affected the EMF signal levels. Due to these reasons,
measurement results may vary from street to street and from REFERENCES
city to city. [1] G. Berg, J. Schüz, F. Samkange-Zeeb, et al., “Assessment of
During a week, the highest variation in standard deviation radiofrequency exposure from cellular telephone daily use in an
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variance 0.331 as seen in Table 4. The highest variation in
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74, 494-522, 1998. [12] IBM Corp. Released 2012. IBM SPSS Statistics for Windows, Version
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electromagnetic radiation measurements in the vicinity of gsm/umts
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521
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Design an Ultra-Wide Band Antenna for

Microwave Imaging Systems
Ali Recai Çelik*, M.Bahattin Kurt*, Selçuk Helhel+
*Electrical and Electronics Engineering, Dicle University
Diyarbakir, Turkey
{ali.celik, bkurt}@.dicle.edu.tr
+
Electrical and Electronics Engineering, Akdeniz University
Antalya, Turkey
selcukhelhel@.dicle.edu.tr
Abstract— Microwave imaging technology has attracted many Furthermore, there is a need for compact sized, low cost and
interests nowadays. This imaging system has been used in a high efficiency antennas. Consequently, microwave imaging
variety of applications such as: non-destructive testing and systems require wide-band, linearly polarized, high gain and
evaluation, through-the-wall imaging, concealed weapon compact antennas as their scattered field sensors [2].
detection at security check points, structural health monitoring
For microwave imaging, researchers are interested in the
and medical imaging. Microwave imaging techniques have in
recent decades experienced strong growth as a research topic in 1-11 GHz frequency range because it appears to balance the
biomedical diagnostics. The basic idea of using microwave conflicting demands of better spatial resolution (higher
imaging system is to transmit electromagnetic waves from a frequencies) and better penetration depth (lower frequencies)
transmitting antenna to the target material and receive the [3].
scattered waves at a receiving antenna. Thus, antenna choice In this study; the microstrip antenna which has circular
plays an important role for the system. There is a need for shaped patch with slot is selected due to their ease of
compact sized, low cost and high efficiency antennas which can fabrication, properties, small size and other advantages of
radiate ultra-wideband signal to transmit short pulses. microstrip technology. Ansoft HFSS software is used to
Especially, ‘large bandwidth’ is vital to attain good time domain
design the proposed structure and optimize the radiation
characteristics which is important for microwave imaging
systems. In this study; we selected the circular patch antenna pattern and return loss.
with a slot, due to their ease of fabrication, properties, small size The paper is organized as follows. In Section II, the
and other advantages of microstrip technology. The schematic of schematic of the proposed antenna is presented and the
the proposed antenna is presented and the dimensions are dimensions are summarized. In Section III, simulation results
summarized in the paper. Ansoft HFSS software is used to design are demonstrated and discussed.
the proposed structure and optimize the radiation pattern and
return loss. Simulation results such as directivity and return loss II. ANTENNA DESIGN
are given and discussed in the result part.
Ultra-wideband (UWB) technology has its frequency
defined in the range of 3.1 GHz to 10.6 GHz by the Federal
Keywords— Microstrip Antenna, Utra-Wide Band Antenna, Communication Commission (FCC) for UWB radio
Return Loss, Microwave Imaging
applications [4]. This technology has become very popular in
I. INTRODUCTION recent years and has found widespread applications in
communications landmine detection and biomedical
Microwave imaging techniques have shown excellent applications. Another important application is the UWB
capabilities in various fields such as civil engineering, technology in early breast cancer detection by using
nondestructive testing, industrial applications, and have in microwave imaging system. For this system, there is a need
recent decades experienced strong growth as a research topic for compact sized, low cost and high efficiency antennas
in biomedical diagnostics. Many research groups throughout which can radiate ultra-wideband signal to transmit short
the world work on prototype systems for producing images of pulses. Large bandwidth is vital to attain good time domain
human tissues in different biomedical applications, characteristics which is important for microwave imaging
particularly breast tumor detection [1]. The basic idea of using systems [5]. Recent research is on UWB antenna is planar
microwave imaging system is to transmit electromagnetic technology as they are more practical in term of
waves from a transmitting antenna to the target material and manufacturing and integration with the entire system.
receive the scattered waves at a receiving antenna. Thus, There are several compact UWB antennas are proposed in
antenna choice plays an important role. planar technology but they exhibit omini directional radiation
Microwave imaging systems require certain preprocessing property. However, in microwave imaging system, antenna's
steps, which accept only a single polarization of the incident HPBW is one of the main parameters determining the
field as input. Also, the designed antenna must have higher resolution; finer details can be resolved by using a narrower
gain levels together with a higher front-to-back ratio level. beam.
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522
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In this study, first omini directional planar UWB antenna is III. ANTENNA SIMULATION
designed, then we try to improve it to directional planar UWB. For simulation findings, high frequency structure simulator
The proposed antenna is a modification of the antennas given (HFSS) [12] based on full-wave finite elements method and
in [6], which didn’t use slot on patch. widely used in the analysis of electromagnetic structures was
Microstrip antennas produced with printed circuit utilized. Presentation of the proposed ultra-wide band antenna
technology includes a thin layer of low loss nonconductive with HFSS is given in Figure 2.
material with a radiating conductive layer on one side and
conductive ground layer that completely covers the non-
conductive. Microstrip antennas are basically fed by the micro
strip or a coaxial line. Along with technological advances,
researchers have focused on different feeding structures and
developed three different feeding techniques [7,8,9]. In this
study a microstrip line feeding technique that is easy to design
and produce is presented.
The purpose of our study is to propose an antenna which
has the impedance bandwidth between 5 and 10.5 GHz for use
in near field near surface imaging applications. According to
this span, center frequency will be 7.5 GHz and wavelength (λ)
is equal to 40 mm. For the optimum results, radius of the
circular disk should be λ/4 =10 mm [10]. Also we added a slot
to circular patch which has 4 mm radius and return loss
Fig. 2 Proposed antenna with HFSS
graphic has been improved by using this slot. To achieve
directivity in designed circular monopole antenna, generally When simulation results are analyzed based on 10 dB
L– shaped reflector is used. In our study, ground parameters return loss criterion, it was observed that the impedance
were changed manually to obtain better results. Due to this bandwidth is between 5 and 10.5 GHz. At maximum
modification, front-to-back ratio is higher than the antenna operating frequency of the proposed antenna Return Loss
which presented in [11]. value was obtained as -33.98 dB. RL characteristic (S11) of
Figure 1 shows the layout view of designed circular disc the antenna is presented in Figure 3.
monopole antenna. Dimension of ground plane is shown in
figure. Width and length of microstrip line feed is 3mm and
17.2 mm respectively to match with 50Ω impedance line.
Center point of slot is same with center of circular patch and
diameter of circular disc is 20 mm.
As nonconductor material “FR4_epoxy” was selected for
the constructed antenna, dielectric constant (εr) was taken as
4.4 and dielectric height (h) was 1.6 mm.
Fig. 3 RL characteristic (S11) of the proposed antenna
One of the important parameters that demonstrate the

antenna performance for microwave imaging is the directivity.
Radiation pattern of the antenna at 7 GHz is given in Figure 4.
According to pattern, front-to-back ratio is calculated 14 dB
which is the good value for directivity feature. Unfortunately,
it seems that there are unwanted side loop which cause to fall
quality of antenna. We will try to improve this negativity and
hope to obtain better radiation pattern before the operation of
Fig. 1 Design parameters of proposed antenna printing antenna on board.
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REFERENCES
[1] P. Nikola, “Measurement System for Microwave Imaging Towards a
Biomedical Application” Doctoral Thesis, Mälardalen University,
School of Innovation, Design and Engineering., Sweden, 2014.
[2] Abbak, M., “Antenna and Measurement System for Microwave
Imaging of Breast Tumors” Doctoral Thesis, Istanbul Technical
University Informatics Institute, Istanbul, Turkey, 2015.
[3] L. Xu, D. Shakti, H. Susan “Microwave Imaging via Space–Time
Beamforming: Experimental Investigation of Tumor Detection in
Multilayer Breast Phantoms” IEEE Transactions on Microwave Theory
and Techniques, vol. 52, no.8, pp. 1856-1865, August 2004.
[4] J. Breckling, Federal Communications Commission, “First report and
Fig. 4 Radiation pattern of proposed antenna at 7 Ghz
order", Revision of Part 15 of the Commission's Rules Regarding
Ultra-Wideband Transmission Systems, 2002, http://www.fcc.gov
IV. CONCLUSIONS [5] Golezanı, J. “Directional Wide Band Printed Monopole Antenna for
Size, directivity and a good reflection coefficient are the most Use in Microwave Breast Cancer Imaging” M.Sc. Thesis, Istanbul
Technical University, Turkey, 2012.
important characteristics of the antenna design requirements [6] Dixena, P., “Study and Design of Directional Ultra Wideband Antenna
for use in near field near surface measurement applications in Planar Technology”, ECE Dept.,IISc Bangalore
such as the microwave breast cancer imaging system. In this [7] O. Çolak, “Tek Darbe Mikroşerit Dizi Anten Tasarımı”, Yüksek Lisans
study, compact and small size of the antenna is presented. Tezi, İstanbul 2013.
[8] Volakis, J.L., ve Eibert, T.F., (2007), “Antenna Engineering
Simulation results confirm that reflection coefficient is under - Handbook”, The McGraw-Hill Companies, Ohio/ABD.
10dB throughout 5-10.5 GHz. The properties of compact and [9] Zhi, N. C. ve Michael Y. W. Chia, (2006) “Broadband Planar Antennas
UWB antennas have been ensured. Radiation pattern shows Design And Applications”, John Wiley & Sons, New York/ABD.
that, front-to-back ratio is 14 dB which is the good value for [10] K.P. Ray, “Design aspects of printed monopole antennas for ultra-wide
band applications", Hindawi Publishing Corporation, International
directivity feature. Unfortunately, it seems that there are Journal of Antennas and Propagation, Article ID 713858, 2008.
unwanted side loop. This problem can be resolved by making [11] Dixena, P., “Study and Design of Directional Ultra Wideband Antenna
some modification on ground plane. in Planar Technology”, ECE Dept.,IISc Bangalore
From simulation we can conclude that circular monopole [12] ANSYS HFSS (ver. 15), Ansys Corporation. Canonsburg, PA, USA,
2014.
antenna is favorable for microwave imaging systems.
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A Simple and Efficient Approach to Compute the

Operating Frequency of Annular Ring Patch
Antennas by Using ANN with Bayesian
Regularization Learning Algorithm
Ahmet Kayabasi*, Ali Akdagli+
*
Engineering Faculty, Department of Electrical-Electronics Engineering, Karamanoglu Mehmetbey University
70100, Karaman, Turkey
ahmetkayabasi@kmu.edu.tr
+
Engineering Faculty, Department of Electrical-Electronics Engineering, Mersin University
Ciftlikkoy, Yenisehir, 33343, Mersin, Turkey
akdagli@mersin.edu.tr
Abstract— An annular ring patch antenna (ARPA) constructed by pin/wall and slot-loading on the antenna structure, have been
loading a circular slot in the center of the circular patch antenna introduced in recent years [1]. Several slot loaded CPA
is a popular microstrip antenna due to its favourable properties. configurations such as C [3], E [4-5], H [3, 6], L [7], rectangular
In this paper, an application of artificial neural network (ANN) ring [3] and annular ring [8] shapes have been presented in the
using bayesian regularization (BR) learning algorithm based on
literature as an alternative and effectively method to reduce the
multilayer perceptron (MLP) model is presented for computing
the operating frequency of annular ring ARPAs in UHF band. size of antenna.
Firstly, the operating frequencies of 80 ARPAs having varied Annular ring patch antennas (ARPAs) are miniaturized
dimensions and electrical parameters were simulated with antenna constructed by loading a circular slot in the center of
IE3DTM packaged software based on method of moment (MoM) in the circular patch. The size of the ARPA is substantially smaller
order to generate the data set for training and testing processes of than circular patch antenna (CPA) at the same operating
the ANN model. Then ANN model was built with data set and frequency [8]. It can be appreciated that the average path length
while 70 simulated ARPAs and remaining 10 simulated ARPAs travelled by the current in the annular-ring patch is much longer
were employed for ANN model training and testing respectively. than the corresponding circular patch for the lowest order mode
The proposed ANN model were confirmed by comparing with the
[8]. Also, by choosing the inner and outer radius of the ring
suggestions reported elsewhere via measurement data published
earlier in the literature. These results show that ANN model with properly, both bandwidth broadening [8] and controlling the
BR learning algorithm can be successfully used to compute the separation of resonant modes can be managed [9]. Due to these
operating frequency of ARPAs. useful properties, it is the one of the most studied PAs. In the
literature, the ARPA was theoretically investigated its resonator
Keywords— Annular ring patch antenna, operating frequency, model in [10-13]. The mathematical tools such as vector
artificial neural network, bayesian regularization learning Hankel transform, Galerkin’s method and Green functions were
algorithm greatly utilized in the analysis of the ARPAs [14-19]. Methods
based on cavity model and transmission line model was
I. INTRODUCTION presented to investigate some parameters such as the operating
The wireless communication systems are also moving frequency, input impedance and bandwidth [20-26]. The
towards the miniaturization very rapidly [1-2]. All these experimental studies concerning the ARPA were also
requirements of today’s age wireless communication systems performed to confirm the theoretical calculations in [9-10, 15-
have led the antenna researchers to work on the various aspects 16, 26-30]. It can be seen from the literature that these methods
of antenna designing with distinctive ideas of manufacturing include rigorous calculation of Hankel and Fourier transforms
and synthesis. Present portable communication and handheld and Bessel functions.
devices inherently need miniaturized patch antennas (PAs). By Analytical methods seems to be easier but they result in
using the substrate materials with high dielectric constant, the accurate solutions only for regular shapes of the patch, whereas
smaller antennas can be achieved but this gives rise to decrease the numerical electromagnetic computation methods are
the bandwidth and efficiency performances [1-2]. Thus, it is not suitable for all shapes of the PA. However, the numerical
an easy task to design a small PA managing the requirements methods require much more time in solving Maxwell’s
of mobile communication devices. To cope such shortcomings equations including integral and/or differential computations.
of the traditional PAs, compact patch antennas (CPAs) which So, it becomes time consuming since it repeats the same
are formed by applying some modification such as shorting- mathematical procedure even if a minor change in geometry is
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525
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carried out. On the other hand, antenna designers prefer the TABLE I
DIMENSIONS AND DIELECTRIC CONSTANTS OF THE SIMULATED ARPAS
easier approaches without requiring much rigorous
computations and consuming time. Patch dimensions (mm)
Over a last decade artificial neural network (ANN) adopts Number of ao
remarkable importance in field of wireless communication due simulations Outer ai h εr
to its fast and accurate modelling, simulation, and optimization. radius Inner radius
In ANN model, we can use measured, simulated, and calculated
15 2, 4, 6, 8, 10 3.175 2.2
data for training. Trained ANN model predicts accurate
operating frequency for every small variation in the geometry 20 3, 6, 9, 12, 15 3.175 2.2
both for thin and thick substrates. The purpose behind the 25 4, 8, 12, 16, 20 3.175 2.2
training of ANN model is to minimize the error between actual 30 5, 10, 15, 20, 25 3.175 2.2
output and reference output. The use of ANN in computing 15 2, 4, 6, 8, 10 2.5 9.8
resonant frequency of CPAs have been proposed in [5-6].
20 3, 6, 9, 12, 15 2.5 9.8
In this study, a method of feed forward back propagation
ANN (FFBP-ANN) with bayesian regularization (BR) learning 25 4, 8, 12, 16, 20 2.5 9.8
algorithm [31] based on multilayered perceptron (MLP) model 30 5, 10, 15, 20, 25 2.5 9.8
4x20
has been applied to compute the resonant frequencies of 15 2, 4, 6, 8, 10 1.57 2.33
ARPAs. The operating frequency values of 80 ARPAs 20 3, 6, 9, 12, 15 1.57 2.33
corresponding most of UHF band covering GSM, LTE, WLAN
25 4, 8, 12, 16, 20 1.57 2.33
and WiMAX applications were determined by the
electromagnetic simulator IE3DTM using method of moment 30 5, 10, 15, 20, 25 1.57 2.33
(MoM) [32]. The simulation parameters of 70 ARPAs 15 2, 4, 6, 8, 10 0.64 4.5
representing the overall problem space were used to training 20 3, 6, 9, 12, 15 0.64 4.5
and the remaining 10 were then employed to test the accuracy.
25 4, 8, 12, 16, 20 0.64 4.5
The results of the ANN model obtained in this study was
confirmed by comparing with the measurement results 30 5, 10, 15, 20, 25 0.64 4.5
published earlier in the literature [9, 10, 15, 16, 26–30].
In the simulations, the antennas were supposed to a probe
II. ANNULAR RING PATCH ANTENNA AND SIMULATION PHASE feed with 50 Ω. For meshing process, cell/wavelength rate
As shown in Fig. 1, ARPA has an annular ring patch formed values were assumed as 40 in limit of 4 GHz. The built in
by loading a circular slot with radius ai on a circular patch of optimization module of the IE3DTM was utilized to determine
radius ao on the substrate having relative dielectric constant εr the feed point which gives the best return loss value with the
overall on the ground plane. objective function S11(dB) < −10 for the operating frequencies
at TM11 mode.
III. MODELING OF THE ANN FOR THE COMPUTATION THE

OPERATING FREQUENCY OF ARPAS
ANN is one of the popular intelligence technique in solving
engineering and mathematical problems. An ANN consists of
neurons which are organized into different layers. These
neurons contain non-linear type of functional, they are mutually
connected by very much similar synaptic weights. During the
learning process, these synaptic weights could be weakened or
strengthened and therefore helping the data to be kept in the
ANN. Different learning algorithms (LAs) are used for ANN
networks. Some famous type of different backpropagation LAs
are Levenberg Marquardt (LM), Bayesian regularization (BR),
cyclical order incremental update (COIU), Powel-Beale
Fig. 1 Geometry of ARPA conjugate gradient (PBCG), Fletcher-Powel conjugate gradient
(FPCG), Polak-Ribiere conjugate gradient (PRCG), one step
secant (OSS) and scaled conjugate gradient (SCG) [31].
In order to determine the operating frequency values, the
In this study, the BR algorithm was used in ANN model as
simulations were performed by means of the IE3D™ packaged
learning algorithm. BR learning algorithm updates the weight
software for 80 ARPAs having various parameters of antenna
and bias values according to the LM optimization and
dimensions and dielectric constants listed in Table I. The
minimizes a linear combination of squared errors and weights
antennas operate among 0.66 – 3.71 GHz corresponding to the
[33]. It also modifies the linear combination so that at the end
UHF band.
of training the resulting network has good generalization
qualities.
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A. Training Stage of the ANN Model

The physical dimensions (ao, ai, and h) and dielectric
constant values (εr) of the simulated ARPAs were given as
inputs and their respective operating frequency values of
IE3DTM were given as output to the ANN model. While 70 of
80 ARPAs were employed for training phase, others 10 were
used for test the models. After several trials, a hidden layer with
four neurons, which yields satisfactorily results was employed.
Thus, MLP ANN model having one input layer with four
Fig. 3 The calculating of APE for ANN model
neurons, one hidden layer with four neurons and one output
layer with one neuron was constructed, as shown in Fig. 2,
where fIE3D and fANN are the operating frequencies computed by
IE3DTM and ANN model, respectively.
Fig. 3 The comparative results of the simulation and ANN model for training
phase
B. Testing Stage of the ANN Model

To test the performances of the ANN model constructed here,
10 simulated ARPAs whose electrical and psychical parameters
Fig. 2 The block diagram of ANN model
listed in Table III are employed. The predicted operating
In the ANN model trained with BR learning algorithm, frequency results and APE value of the ANN model with BR
“tangent sigmoid” function was used for both input and hidden learning algorithm are tabulated in Table IV. For further
layers, whereas “purelin” function was utilized for output layer. comparison, the numerical results of several methods
The parameters of the ANN model used in this work are listed previously published in the literature [12-13, 25-26] are also
in Table II. The topology of the training process and listed in Table IV. It is apparent from Table IV that, the ANN
calculation of average percentage error (APE) are illustrated for model give the remarkable results in comparison with those
ANN model in Fig. 3. According to Fig. 3, the value of APE calculated by the methods presented in the literature [12-13, 25-
for the operating frequencies computed by the ANN model was 26].
obtained as 0.437% for the 70 ARPAs’ training data. The TABLE III
training results of the ANN model together with the results of THE PHYSICAL AND ELECTRICAL PARAMETERS OF 10 SIMULATED ARPAS FOR
IE3D™ were given in Fig. 4. TEST PROCESS
Antenna parameters
TABLE II Antenna
THE ANN PARAMETERS number Patch dimensions (mm)
ao ai h εr h/λd
Parameters Value 1 15 4 2.5 9.8 0.045
Number of input 4
2 15 6 1.57 2.33 0.027
Number of output 1
Epochs 500 3 15 10 3.175 2.2 0.056
Seed value 662862703 4 20 3 0.64 4.5 0.009
Minimum gradient descent 10-10 5 20 6 1.57 2.33 0.021
Momentum parameter (μ) 0.0001 6 20 15 2.5 9.8 0.027
μ increment 4 7 25 4 3.175 2.2 0.035
μ decrement 0.1 8 25 12 1.57 2.33 0.015
Maximum μ 1010
9 30 10 0.64 4.5 0.005
10 30 20 3.175 2.2 0.024
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TABLE IV model learning with BR has been compared with those of the
THE OPERATING FREQUENCIES AND APE VALUES FOR TEST PROCESS
methods reported elsewhere [12-13, 25-26] over several
Operating Frequencies (GHz) measurement data of ARPAs published earlier in literature [9-
fANN Calculated by 10, 15-16, 26-30]. Table V gives the operating frequency values
fIE3D predicted with the ANN model with BR and calculated with the
BR [12] [13] [25] [26]
methods given in [12-13, 25-26], and also the their respective
1.734 1.744 1.735 1.814 1.813 2.888
APE values according to the measurement parameters [9-10,
3.323 3.329 3.265 3.181 3.181 3.749 15-16, 26-30]. It should be noted that these measurement
3.563 3.498 2.917 2.843 2.844 2.396 parameters were not employed for training the ANN model. As
2.006 1.965 1.995 2.025 2.025 5.234 can be seen from the Table V, the methods proposed for
2.594 2.600 2.576 2.534 2.535 3.700 operating frequency of the ARPA yield the comparable results,
1.033 1.035 1.041 1.027 1.026 0.804 however, some calculations are in good agreement with some
2.258 2.300 2.135 2.354 2.355 5.748 measured data, and others are far off. But, the operating
1.833 1.819 1.832 1.785 1.785 1.854 frequency results of the ANN providing the least APE value
1.189 1.190 1.193 1.160 1.159 1.564 within 1% are closer to the measurement ones for the most
1.547 1.601 1.420 1.395 1.395 1.175 cases. The results achieved here show that the ANN can
APE (%) 1.118 3.595 5.207 5.217 54.910 effectively be employed to estimate the operating frequency of
ARPAs.
In order to verify the accuracy and validity for the crosscheck,
the operating frequency results obtained by means of the ANN
TABLE V
THE MEASURED AND CALCULATED OPERATING FREQUENCIES FOR ARPAS
Antenna parameters Operating Frequencies (GHz)

Dimensions (mm) Calculated by
ao ai h εr h/λd fmeasured fANN [12] [13] [25] [26]
[9] 50 25 1.59 2.32 0.007 0.878 0.873 0.886 0.85 0.854 0.877
[10] 20 10 3.18 2.32 0.040 2.450 2.524 2.337 2.171 2.149 2.297
[15] 50 25 1.59 2.32 0.007 0.891 0.873 0.886 0.850 0.854 0.877
[16] 14.2 7.1 0.355 2.65 0.006 2.880 2.880 2.907 2.790 2.811 2.882
[26] 17.2 8.6 1.6 4.20 0.022 1.989 2.048 2.035 1.850 1.855 1.997
[27] 70 35 1.59 2.32 0.005 0.625 0.624 0.627 0.600 0.609 0.622
[28] 70 35 1.59 2.3 0.005 0.626 0.625 0.629 0.610 0.612 0.625
[29] 30 10 0.8 4.4 0.007 1.243 1.211 1.213 1.150 1.171 1.590
[30] 35 17.5 1.53 4.3 0.010 0.940 0.949 0.954 0.890 0.897 0.941
[30] 17.5 8.75 1.53 4.3 0.021 1.960 1.975 1.972 1.790 1.801 1.936
APE (%) 1.328 1.464 5.830 5.158 3.820
As an important matter of the fact that, although the method results with ANN for training and test data are in a good
of ANN seems more complicated as compared to the other ones, agreement with the simulation results. This method achieved
it provides the more accurate and relatively simple way since it the more accurate results as compared to those of the methods
requires neither sophisticated functions of mathematical proposed in the literature. This ANN approach is simple and
transformations nor rigorous expertness to determine the fast modeling which produces more accurate results for the
unknown parameters in any problem including highly operating frequency of the ARPAs with less computational
nonlinearity. The training process is once completed in a few time and least errors. The most important advantages ANN
minutes by properly choosing the network parameters and the model is accuracy and easy to implement for the engineering
learning method, one can easily compute any parameters of problems which include the high nonlinearity.
interest in microseconds.
ACKNOWLEDGMENT
IV. CONCLUSIONS The heading of the Acknowledgment section and the
In this paper, an application of ANN model which have been References section must not be numbered.
used BR learning algorithm is successfully implemented for the
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[19] A. Motevasselian, “Specteral domain analysis of resonant characteristics
and radiation patterns of a circular disk and annular ring microstrip
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vol. 21, pp. 237–251, 2011.
[20] W. F. Richards, O. Jai-Dong and S. Long, “A theoretical and
experimental investigation of annular, annular sector, and circular sector
microstrip antennas,” IEEE Transactions on Antennas and Propagations,
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[21] A. K. Bhattacharyya and R. Garg, “Input impedance of annular ring
microstrip antenna using circuit theory approach,” IEEE Transactions
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[22] S. E. El-Khamy, R. M. El-Awadi and E. B. A. El-Sharrawy, “Simple
analysis and design of annular ring microstrip antennas,” Microwaves,
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[23] J. Gomez-Tagleand and C. G. Christodoulou, “Extended cavity model
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Antennas and Propagations, vol. 45, pp. 1626–1635, 1997.
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Control of a Three-Phase Boost Rectifier for High-

Speed BLDC Generators Used in Flywheel Energy
Storage System
Reşat ÇELİKEL*, Mehmet ÖZDEMİR+
*
Electrical Program, Cungus Mehmet Adiguzel, Vocational High School, Dicle University
Diyarbakır, Turkey
rcelikel@dicle.edu.tr
+
Department of Electrical and Electronics Engineering, Firat University
Elazig, Turkey
mozdemir@firat.edu.tr
Abstract— There are two regions in the orbital path of the the speed. Therefore, high speed is important to store energy
satellite such as dark and bright region. The energy is provided in flywheel. The BLDC motors are extensively used in the
by solar panels in the bright region and by flywheel energy FESS besides industrial application such as automotive
storage system (FESS) in the dark region. Brushless dc motor industry, medical, automation system and aircraft applications.
(BLDC) are extensively used in satellite power system as motor
BLDC motors are used due to high power density, low weight,
and generator. Also, these motors are preferred in the FESS due
to the low weight, high power density, high efficiency and high high efficiency and high speed in the satellite power system
speed. The voltage is obtained by BLDC motor in the generator [10]. The high speed BLDC motors are used as motor in
mode and generated voltage is must be constant a value. The charge mode and generator in discharge mode.
FESS speed and the BLDC motor phase voltage are reduced in Three phase converters is widely used in motor driver,
the dark region. Therefore the voltage regulation is provided by energy systems and other power electronic applications. Many
using the boost converter in the generator mode. Boost converter works related to the three phase direct AC-DC boost rectifier
is designed by using the three phase inverter which used as are presented such as resistive input behavior of converter,
BLDC motor driver in the bright region. Information of the hall- low voltage and low power applications, boost rectifier for
effect sensors are used to the voltage regulation of BLDC
high-speed permanent magnet generator, energy regenerative
generator. In this paper, sensorless control method was proposed
in order to regulate the voltage of the satellite power system. The damping [11]–[14] and optimal energy harvesting [15]. Three-
performance of the proposed method has been demonstrated by phase boost rectifier topology is extensively used in low
using the Matlab/SimPowerSystem blocks. power applications.
In generator mode, the flywheel speed with the BLDC
motor back-emf is decreased during the dark region time.
Keywords— BLDC generator, Flywheel, Energy storage, Three-
Therefore, voltage regulation cannot achieved in power
phase boost rectifier
system of satellite in dark region. In this applications, voltage
regulation is presented by using three-phase boost rectifier in
I. INTRODUCTION discharge mode of the FESS.
Phase back-emf of BLDC motor is corresponded position
FESS has been used power regulated in grid power system, of hall-effect sensors which used boost converter switching
electrical vehicle, satellite power system and uninterrupted [16]. Phase back-emf of BLDC motor is measured to
power supplies in the last two decades. The FESS is preferred determine phase conduction order in proposed method.
according to electrochemical battery in satellite power system Therefore, sensor placement errors are eliminated with
[1]–[9]. Because, the FESS is advantages such as longer life sensorless control algorithm. Lower switches of the inverter
time, bigger depth of discharge and be integrated at moment are made ON by using the BLDC motor of the phase back-
control gyroscope. The energy is provided by the FESS in the emf, respectively. Upper switches of the inverter are
dark region. The mechanical energy is stored by the solar continually made OFF and their parallel diode used as boost
panels in the bright region and the stored energy is used to converter diode.
provide the satellite's power needs in the dark region. Another Current reference is obtained by using the DC bus voltage
task of the solar panels is provide the energy of the satellite in which measured by voltage sensor. Generator current can be
the bright region. controlled by using current reference. Flywheel speed and DC
The FESS is occurred from some mechanical parts such as bus voltage is presented by using MATLAB/SimPowerSystem
flywheel, vacuumed environment, electric machinery and high blocks in generator mode with conventional method and
speed mechanic or magnetic bearing. The magnitude of proposed method.
energy stored in the flywheel is proportional to the square of
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_____________________________________________________________________________________________________________
II. FLYWHEEL ENERGY STORAGE

Control diagram of a FESS is shown in Fig. 1 and herein Vo sC f Rd  1
motor and generator mode are determined by using voltage  2 (3)
measurement of the solar panels. Motor current and speed is
Vi s C f L f  s (C f R f  C f Rd )  1
controlled by using the motor controller block in the bright
region. Generator current and DC link voltage controlled by Resonance frequency of the LC filter must be three times
using the generator controller block in the dark region. lower that the power converter switching frequency which
taken 50 kHz. Corner frequency of the LC filter 15.93 kHz
which is given in Eq. (4).
1
fc  (4)
2 L f C f
The power of satellite is provided by the flywheel energy

storage while the dark region in the orbital path of the satellite.
In this region, mechanical energy is transformed to the
electrical energy by using the power converter. The amount of
stored energy must be sufficient to provide the mechanical
losses, electrical losses and mission of the satellite. The wind
losses have been neglected due to space environment.
In generator mode, power of BLDC generator is given Eq.
(5), where Te*ωm is defined as consumed power by satellite. If
Fig. 1 Control diagram of a FESS the Eq. (5) arranged according to the FESS, the Eq. (6) is
obtained containing bearing the losses. Stored energy is
obtained as shown in Eq. (7) when integral of Eq. (6) is
A BLDC motor has three-phase stator windings and calculated. Thus generated total energy by flywheel can be
permanent magnet on the rotor. Switching technique of the calculated by using bearing losses and needed power of
BLDC motor is preferred as two phase conduction mode (six- satellite.
step mode) due to simple switching in charge region. In this
situation, the BLDC motor of voltage and moment is defined
d m
in Eq. (1) and Eq. (2), respectively. J  m  Te m  B m2 (5)
dt
di s d m
V  is Rs  Ls  Ez (1) J  m  Te m  Pb (6)
dt dt
d m 1 t1 t1
Tm  TL  J  B (2)
2

E  J  min2 2
  max
t2

  Te m   Pb
t2
(7)
dt
where V is the armature voltage, is is the armature current, ωmin and ωmax have been defined when FESS is designed.
Rs is the armature resistance, Ls is the armature inductance, Ez Calculation of the friction losses of bearing are given from Eq.
is the back EMF voltage, Ke is the back EMF constant, Kt is (17) to Eq. (22).
the torque constant, Tm is the torque developed by the motor,
TL is the load torque, ωm is the angular speed, J is the moment Pb  ( M 0  M 1 )m (8)
inertia of motor and flywheel load, B is the frictional constant 2
of motor and load. M 0  f 0  v  n   d m3  10 10
3 (9)
The high speed BLDC motor has low inductance and
resistance. Therefore the current ripple is too high which must M 1  f1  P1  d m (10)
be reduced. High switching frequency is required because of P1  m Fr  Fb  (11)
the high fundamental frequency are taken 500 Hz / 1 kHz.
dv/dt stresses are seen on the motor winding because of high Fr  m  g (12)
switching frequency. These voltage stresses and current 2
Fb  m r  e   m (13)
ripples must be reduced by using an LC filter which transfer
function is given in Eq. (3) [17].
Where Lf is the filter inductance, Rf is the resistance of filter where f0 and f1 are coefficient of bearing, n is the bearing
inductance, Cf is the filter capacitance, Rd is the damping speed, v is the kinematic viscos friction of bearing grease, m is
resistance of the LC filter. the weight of flywheel, mr is the residual mass, e is the
eccentricity between the rotational axis of the flywheel and
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the mass center and dm is the average diameter of bearing.  When Q4 is turned to the OF, circuit of boost
Viscos friction of bearing grease have been not calculated due converter consist of two and two series inductors. Current
to use lean full-ceramic bearing. flow is realized through phase-a and phase-b by following the
path D1-C-D4. In this situation, the inductor energy is
III. THREE-PHASE BOOST CONVERTER transferred to the DC bus capacitor and load.
Speed of the flywheel is reduced according to demand
energy of the satellite during dark region. Therefore voltage of
BLDC generator is decrease but the voltage of satellite power
system must be constant a value. In generator mode, three-
phase inverter and LC filter inductance are used as three-
phase boost converter and boost inductor, respectively.
Figure 2 shows the general control technique of a three-
phase boost rectifier. Generator current and the DC link
voltage are controlled by the PI controller as shown in Fig.2.
Current of BLDC generator is calculated as given in Eq. (14).
Ia  Ib  Ic
Is  (14)
2
where Ia , Ib and Ic are current of BLDC generator phase, Is
is current of generator.
DC link voltage is measured to compare by reference
voltage. Voltage controller output is obtained as reference to
current controller. Upper legs of the three-phase inverter have
been continually made OFF and their diodes have been used
as boost converter diode. PWM has been respectively applied
in lower legs by using the BLDC generator phase voltage.
Conduction switch is determined by using the phase voltage in
generator mode.
Fig. 2 The simulation of three-phase boost converter by using

MATLAB/SimPowerSystem blocks
IV. SIMULATION RESULTS

Phase voltage waveform of the BLDC generator was
obtained by using the hall-effect sensors in conventional
method.
Phase Voltage Waweform Hall-Effect Sensors Signals
1
Fig. 2 The general control technique of a three-phase boost rectifier
0.5
The three-phase boost converter which used in the 0

generator mode has been simulated by using the hall-effect
0 0.2 0.4 0.6 0.8 1 1.2 1.4 1.6
sensors and the sensorless method as shown in Fg. (3). Q2, Q4 t [s] -3
x 10
and Q6 are switched in the three-phase boost converter. Q1,
Q3 and Q5 are made continually OFF. 1
The energy flow is performed as follow when Q2, Q4 and 0.5
Q6 are made ON/OFF: 0
 For example, Q4 is turned to the ON, circuit of boost -0.5
converter consist of one diode, one active switch and two -1
series inductors. Current flow is realized through phase-b and 0 0.2 0.4 0.6 0.8 1 1.2 1.4 1.6
phase-a by following the path Q4-D2. In this situation, the t [s] -3
x 10
flywheel energy is transferred to the machine inductance.
Fig. 4 The hall-effect sensors signals and the phase voltage waveform
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532
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method. Positive region of the phase voltage is obtained by Eq.

Phase Voltage Waweform
1 (15).
Peak region of the positive phase voltage was used in order
0.5
to do ON lower switches. And it was obtained as shown in
0 figure (7).
-0.5
1
-1
5 5.5 6 6.5 7
V pa , pb , pc 
2

Va ,b ,c  Va ,b ,c  (15)
t [s] -3
x 10
20
Phase Voltage [V]
10
-10
-20
5 5.5 6 6.5 7
t [s] -3
x 10
Fig. 5 Phase voltage waveform and phase voltage
Simulation parameters are given as follow,
f0 :1.3;
f1 :0.00037;
dm :18 mm; Fig. 7 Detection peak region of phase voltage in proposed method
m :0.670 kg;
g :9.8 m/s2;
In proposed method, state of boost converter switches and
mr *e :10 gmm;
phase voltages of BLDC generator are the similar to
J :0.008 kgm2;
conventional method as shown in Fig 8. Phase voltage,
positive region of the phase voltage and switching sequence is
Maxon EC-25 high-speed BLDC motor is used in
shown in Fig 8, respectively.
simulation. Phase voltage waveform obtained by using the
hall-effect sensors and phase voltage are shown in Figure (4)
Phase Voltage [V]
20
and Figure (5), respectively.
Q2, Q4 and Q6 are done respectively ON at the positive
0
region of this voltage as shown in Fig. (6). Thus hall-effect
sensors have been synchronized by the phase voltage of
BLDC generator. -20
5 5.5 6 6.5 7
t [s] x 10
-3
20
10
0
5 5.5 6 6.5 7
t [s] x 10
-3
1
ON-Switch
Q6- ON Q2- ON Q4- ON Q6- ON Q2- ON

0.5
0
5 5.5 6 6.5 7
t [s] x 10
-3
Fig. 8 Sensorless Control Method. Top: Phase voltage of the BLDC generator,
Middle: Positive region of the phase voltage, Bottom: Switching sequence of
the three-phase boost converter.
Fig. 6 ON position of lower switch is obtained
Full ceramic bearing has been used in simulation of the
The phase voltage of BLDC generator was measured by FESS. The bearing losses has been calculated to obtain load
using the star point of the LC filter capacitors in the proposed
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533
_____________________________________________________________________________________________________________
moment of the BLDC generator. RL load resistance has been 6

selected as the electrical load. 4
DC bus voltage obtained by conventional and proposed 2
method is respectively shown in Fig (9a) and Fig (9b). 0
50 50
-2
Phase Current [A]

-4
45 45
-6
0,016 0,017 0,018 0,019 0,02
40 40 6
4
DC Bus Voltage [V]
DC Bus Voltage [V]

35 35 2
0 200 400 600 0 200 400 600
0
-2
48.2 48.2 -4
48.1 48.1
-6
0.016 0.017 0.018 0.019 0.02
48 48 t [s]
47.9 47.9 Fig. 11 Phase currents of BLDC generator. Top: Sensorless method, Bottom:
47.8 47.8 By using hall-effect sensor
47.7 47.7
0 200 400 600 0 200 400 600 V. CONCLUSION
t [s] t [s]
(a) (b) The BLDC motor is used as motor and generator in FESS
Fig. 9 DC bus voltage a) by using hall-effect sensor b) sensorless method which used in satellite power system. In this paper, the three-
phase inverter has been used as the three-phase boost rectifier
in dark region of satellite orbit.
6000
Sensorless control method has been proposed to obtain as
5000 stable output voltage of three-phase boost rectifier. In the
Speed [r/s]
4000 generator mode, generator current and DC bus voltage were

3000
controlled by using PI controller. Bearing losses and resistive
load were used as generator load during discharge time of
2000
FESS. Wind losses was neglected due to vacuum environment.
1000 Three-phase boost rectifier was performed by using
0 100 200 300 400 500 600 700
t [s] Matlab/SimPowerSystem blocks for both conventional and
(a)
6000 proposed method. DC bus voltage was obtained as a constant
value in both method.
5000
Thus, hall-effect placement errors have been eliminated and
Speed [r/s]
4000 DC bus voltage ripple has been reduced by using proposed

3000 method.
2000
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Low Noise, High Gain, Wide Bandwidth Folded

Cascode CMOS OP-AMP Based On Biasing Current
Technique for ECG Signal Applications
Hassan Jassim Motlak1, Sara Abdulaali Owaid2
1
Electrical Department, College of Engineering,
University of Babylon
Babylon, Iraq
E-mail: hssn_jasim@yahoo.com
2
Electrical Department, College of Engineering
University of Babylon, Thi-Qar, Iraq
E-mail: eng_sa_90@yahoo.com
Abstract— this paper presents low noise, high voltage [3] presented The strategy for minimizing the flicker noise in
gain(Av), and wide bandwidth(GW) CMOS folded cascade Op- the folded-cascode amplifier topology and the inter-
Amp. The strategy used for improving the input referred noise relationship of design parameters for optimum design. The
of the proposed CMOS operation amplifier based-on proposed solution offers good tradeoff on the conflicting
maximizing the value of the small-signal transconductance (gm)
performance parameters such as noise, silicon area, bandwidth
of MOSFET transistors. This strategy can be achieved using a
large DC bias current. For test the operation of the proposed and power consumption. Yamu Hu, M. Sawan, in 2000 [4]
CMOS op-amps, Electrocardiogram (ECG) signal used as input described a low-noise, low-power and low voltage amplifier
signal with 2mV peak to peak value and 200Hz frequency. dedicated to very low amplitude signal acquisition from
PSPICE (version 16.6) used for simulation the proposed CMOS implantable electronic devices. Low noise and low DC offset
OP-AMP with 0.18µm channel length. The simulation results are realized by means of Chopper Stabilization (CHS)
with 10µA DC biasing current showed that, the value of DC technique. Reid R. Harrison, Cameron Charles, in 2003 [5]
power consumption is 0.296mW, the input referred noise is designed and tested a novel bio amplifier that uses a MOS-
67.003nV/ √Hz, THE Av=13.6dB, 203KHz. The simulation bipolar pseudo resistor element to amplify low-frequency
results of the proposed CMOS op-amp with 100µA DC biasing
signals down to the milli hertz range while rejecting large dc
current consumes DC power around 1.002mW and exhibits a
lower input referred noise of 16.119nV/√Hz, the voltage gain is offsets, and they derived the theoretical inversion Pedram
51.4dB and GW is 10MHz. The simulation results confirmed the Mohseni, and Khalil Najafi, in 2004 [6] addressed low noise,
theoretical calculations and verified very good noise low power fully integrated operational amplifier for a variety
performance of the proposed CMOS OP-AMP. of biomedical neural recording applications. They
demonstrated full functionality of this amplifier through in
Index Terms— CMOS analog integrated circuit, design
CMOS OP-AMP, low-noise OP-AMP, ECG signals data vitro measurements in saline using a polyimide sieve electrode
acquisition circuit. and a micro-machined penetrating silicon probe. 4
I. INTRODUCTION This paper present novel strategy for improvement noise

performance of folded cascode CMOS OP-AMP based on
An instrumentation amplifier is normally and essentially maximizing small signal transconductance (gm) using
employed in both portable and battery powered devices. different values of biasing current. This approach showed
CMOS transistor uses little power and does not produce as efficient input referred noise with acceptable range of power
much heat as the traditional Biopolar Junction Transistor consumption. ECG signal as input of front end data
(BJT) [1]. The noise performance of the CMOS differential acquisition circuit used to test the operation of the proposed
amplifier can also be due to both thermal noise and 1/f noise. folded cascode CMOS OP-AMP. Simulation results showed
At low frequencies, 1/f noise is so important whereas at high the excellent agreement with theoretical calculations.
frequencies/low current thermal noise is important [2].Several
publications used to improve noise performance of CMOS
OP-AMP are literature in [3, 4, 5, 6], P.K. Chan, et al, in 2000
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536
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II. METHODOLOGY having a large width to length (W/L) ratio for the
device [9].Two different values of the biasing current
Our objective is the simulation and the design are used to improve noise performance of the proposed
analysis of a high voltage gain, low noise, and low power folded cascode CMOS OP-AMP. Table (1)
folded cascode CMOS OP-AMP using 0.18μm CMOS summarized the gate dimensions for MOSFETs of the
technology so as to use it in many applications such as in proposed folded cascode CMOS OP-AMP.
Bio-potential signal acquisition systems [7].
Folded cascode CMOS operation amplifier with

biasing current circuit and active stage current mirrors
shown in Fig.1. The steps that are followed in designing TABLE 1. SUMMERIZED THE GATE DIMENSIONS FOR MOSFETs OF
THE DESIGNED CMOS OP-AMP
the folded cascode CMOS op- amp are given in [8].
Transistor Gate width Channel length
Type
number (µm) (µm)
The noise sources in MOSFETs include: (a) thermal
noise introduced by the channel; (b) flicker noise from the M1 , M2 P 2.7 0.18
channel. When a MOSFET is biased in the active region,
this noise source can be represented by a current noise M3 P 1.95 0.18
generator connected from the drain to source, the power
spectral density PSD of this current noise generator is M4 , M5 N 0.58 0.18
,thermal which is described in the following equation
[9]: M6 , M7 N 0.58 0.18
M8, M9, M10, M11 P 2.7 0.18

(1)
III. SIMULATION RESULTS FOR THE PROPOSED

CMOS OP-AMP
Figure (2) and figure (3) shows the frequency response

(magnitude and phase) of the proposed folded cascode
CMOS op-amp using biasing current equal to 10µA.It
can be seen the value of open loop voltage gain is
13.603dB,unity gain bandwidth is 203.392KHz, and
phase margin around 77.765o.
Fig. 1.Schematic of the proposed folded cascode CMOS OP-AMP
The current noise source introduced by the channel is

referred back to the gate by dividing the PSD of the
current noise generator by the square of the MOSFET
transconductance gm. This results in an input-referred
voltage noise source which is connected in series with
the gate. Its approximate PSD is given as [9]
Fig. 2. Frequency Response (magnitude) of the proposed folded cascode
(2) CMOS OP-AMP with 10µA Biasing Current
Minimizing the channel thermal noise of a MOSFET is

straightforward from the above formula: the small-
signal transconductance must be maximized. This can
be achieved by using a large DC bias current and
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Fig.3. Frequency Response (phase) of the proposed folded cascode CMOS (b)
OP-AMP with 10µA Biasing Current
Simulation results of the input referred noise, and noise Fig. 4.Noise performance of the folded cascade CMOS Op-Amp using
spectral density of the proposed folded cascode CMOS biasing current 100µA (a) Input Referred noise (b) Output noise
OP-AMP with 10µA basing current are shown in
Figure (4) (a) and Figure (4)(b) respectively. We note
that, the value of input referred noise is 67.003nV/√Hz
and the value of spectral density is 319.62µV.
(a)
(a)
Noise performance of the proposed folded cascode

CMOS OP-AMP using 100µA basing current are
shown in Figure 5(a) and Figure 5(b) respectively. It
can be note that, when the value of basing current (b)
increased from 10µA to 100µA, the value of input
referred noise decreased to 16.119nV/√Hz.This Fig. 5. Frequency Response of the folded cascode CMOS Op-Amp at biasing
current 10µA (a) Input noise (b) Output noise
improvement due to maximize the value of small signal
transconductance (gm) of MOSFETs that inversely The performance parameters for folded
proportional with thermal noise of the CMOS OP- cascode CMOS op-amp using 100µA biasing current
AMP. are obtained and compared with the performance
parameters of proposed folded cascode CMOS op-amp
using 10µA biasing current. This comparison is
illustrated in table (2):
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538
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TABLE 2. PERRONAMCE PARAMETERS OF THE PROPOSED CMOS Meanwhile, the recording electrodes might pick up
OP-AMP USNG TWO DIFFERENT BIASING CURRENTS
much other unneeded interference. However, the
Performance Folded cascade Folded
biomedical electronics might be unable to detect small
parameters CMOS OP-AMP cascade biomedical signals. Therefore, we need a high gain,
using basing CMOS OP- accurate, and high CMRR amplifier to reduce the
current (100µA) AMP using common mode noise and to amplify the biomedical
basing signal only [11, 7].
current
(10µA) For testing the designed folded cascode CMOS OP-
Supply voltage ±1.8 V ±1.8 V AMP, a closed loop voltage gain of figure 7, with
Biasing current 100μA 10μA feedback resistor and input resistor are 500kΩ, 1kΩ are
Gain 51.475 dB 13.603 dB
used.
Bandwidth 10.453 MHz 203.392 KHz
(GW) 8.6 mV/μs 5.48 mV/μs
Slew Rate 116.13µs 179.84 µs
Settling time 1.002mW 0.296mW
Power
consumption 16.119nV/√Hz 67.003nV/√Hz
Input referred
noise 5.5 E-12m² 0.368E-12 m²
Area 78.6 dB 91.548 dB
Signal to noise
ratio
IV. BIOMEDICAL APPLICATION (ECG SIGNAL) Fig. 7. Closed loop voltage gain of proposed CMOS OP-AMP with ECG as
input signal
BASED ON THE DESIGNED CMOS OP-AMP
The ECG signal that acquired is in the range

of 5uV to 8 mV. Due to the weak voltage level, the
signal is fed into an amplifier circuit to be amplified to
a desirable voltage level. Output from the amplifier is
then fed into a bandpass filter circuit and a High Q
notch filter. The purpose of this filter is to filter out the
very low and high frequency noise components of the
signals and the 60-Hz power line interference. The
desirable analog output from the filter is then sent to
S/H and ADC to become a digital signal. After that,
these digital data will process in PCs or
microprocessors. Figure.1 shows the proposed ECG
Fig.8. ECG signal as input of the proposed CMOS OP-AMP
data acquisition system [10].
Fig.6. The Biomedical Electronics Detecting System Blocks.
A low noise and low power consumption amplifier is

one of the key circuits for detecting the small level
signals in the biomedical applications.
Fig. 9. ECG signal as output of the proposed folded cascode CMOS OP-
AMP
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539
_____________________________________________________________________________________________________________
[6] Pedram Mohseni, and Khalil Najafi, " A Fully Integrated

Neural Recording Amplifier with DC Input Stabilization",
IEEE Transactions On Biomedical Engineering, vol. 51, no. 5,
As we seen in figure (8) and Figure (9) the ECG signal May 2004.
with 2mV magnitude is amplified to 42mV using
[7] Basanta Bhowmik, Manisha Pattanaik, and Pankaj Srivastava,
closed loop amplifier with the proposed folded cascode "A Low Power Low Noise Two Stage CMOS Operational
CMOS OP-AMP of figure (7). These results verified Amplifier for Biopotential Signal Acquisition System",
the low noise, high voltage gain operation of the International Journal of Emerging Technology and Advanced
Engineering, Vol 3, No. 4, April 2013.
designed OP-AMP.
[8] Poonam, Manoj Duhan, and Himanshi Saini, "Design of Two
Stage Op-Amp", International Journal of Advanced Trends in
Computer Science and Engineering, Volume 2, No.3, May -
June 2013.
V. CONCLUSION [9] Zhineng Zhu, "Low Noise Low Offset Operational Amplifier
for Nanopore-Based Gene Sequencer", The University of
CMOS op-amp with low input-referred voltage noise, low Maine, May 2007.
Power Spectral Density (PSD), high voltage gain, and wide
[10] Fateh Moulahcene, Nour Eddine Bouguechal and Youcef
gain bandwidth product GW(>1MHz) is still challenge the Belhadji, " A Low Power Low Noise Chopper-Stabilized Tow-
researchers, because of the factors like noise-aliasing and stage Operational Amplifier for Portable Bio-potential
charge injection. This goal is achieved using biasing current Acquisition Systems Using 90 nm Technology", International
Journal of Hybrid Information Technology Vol. 7, No. 6, 2014,
technique (variation the bias current from 10μA to 100μA). pp. 25-42.
A proposed folded cascode CMOS op-amp with PMOS input
differential pair and four NMOS active load is redesigned [11] Hwang-Cherng Chow and Pu-Nan Weng, "A Low Voltage
using.0.18µm TSMC technology. The simulation results Rail-to-rail OPAMP Design for Biomedical Signal Filterin
Applications", 4th IEEE International Symposium on
showed that, when increasing the value of biasing current of Electronic Design, Test & Applications, 2008.
proposed CMOS OP-AMP design leads to increasing the
values of small signal transconductance ( gm ) of MOSFETs
as a results the value of input referred noise is improved.
Moreover, the performance parameters of the proposed OP-
AMP are optimized except of power consumption is
increased with acceptable range. The proposed design of
CMOS operational amplifier is tested using biomedical
application (ECG signal) with 2mV and 200Hz frequency as
input signal. AS we seen in simulation results of PSPICE
program the ECG signal is amplified successfully to 42mV
without distortion. Simulation results showed excellent
agreement with that of theoretical calculations
REFERENCES
[1] F. Mohd-Yasin, M.T. Yap, "CMOS Instrumentation Amplifier
with Offset Cancellation Circuitry and High PSRR for Low
Power Application", Trieste, Italy, 2009, pp. 1-9.
[2] P.E. Allen and D.R. Holberg, "CMOS Analog Circuit Design",
Oxford University Press, 2002.
[3] P.K.Chan, L.S. Ng, L. Siek, and K.T. Lau, "Designing CMOS
folded-cascode operational amplifier with flicker noise
minimisation", Microelectronics Journal vol. 32, 2001.p.p. 69–
73.
[4] Yamu Hu, and M. Sawan, "CMOS Front-end Amplifier

Dedicated to Monitor Very Low Amplitude Signal from
Implantable Sensors", 43rd IEEE Midwest Symp. On Circuits
and Systems, Aug. 8-11, 2000.
[5] Reid R. Harrison, Member, and Cameron Charles, "A Low-

Power Low-Noise CMOS Amplifier for Neural Recording
Applications", IEEE Journal of Solid-State Circuits, vol. 38,
no. 6, June 2003.
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Residual Lsf Vector Quantization Using Arma

Prediction
Selma Ozaydin
selmaozaydin@cankaya.edu.tr
Cankaya University,
Department of Electronics & Communication,
Etimesgut-Ankara/TURKEY
Abstract— The residual LSF vector quantization yields bit rate pronunciation the velum is always closed and the sound wave
reduction in the vocoders. In this work, a residual LSF vector proceeds only through the oral tract. So the influence of the
quantization obtained from Auto Regressive Moving Average nasal tract is ignored in this assumption. There is no big
(ARMA) prediction is proposed for designing codebooks at very problem when non-nasal sounds are processed but in case of
low bit rates. This residual quantization method is applied to
nasal sounds the mismatch of the LP model becomes severe.
multi stage vector quantization method and codebooks are
designed. For each codebook, the effectiveness and quality are The zeros during nasal sounds supress the peaks in mid-
investigated by calculating the spectral distortion and outliers. frequency by flattening the spectrum there but this effect
The proposed quantization method reduced the distortion cannot easily fitted by all pole modelling. In order to include
without any additional complexity. the effect of both oral and nasal tracts, it is necessary to
modify all pole modelling into a pole zero modelling [3]. In
order to obtain more efficient speech coding algorithms
Index Terms – very low bit rate, speech processing,
especially for transmission over noisy channels, differential
residual vector quantization, formant tracking, arma
quantization or predictive quantization of spectrum parameters
prediction
are used. There are some pole zero modelling approaches in
the literature [5-11] but they usually uses nonlinear equations
or approximations. While all pole modelling is simple, pole-
zero modelling requires complex nonlinear calculations.
1. INTRODUCTION Although a pole-zero algorithm based on adaptive kalman
Speech coding refers to process of reducing the bit rate of filtering presented in [11] linearize the nonlinear components
digital speech representations for transmission or storage, by dividing the frequency range of each formant into four
while maintaining a speech quality that is acceptable for the bands, this nonlinear approximation method also requires too
application. Most of the speech coders reported in the many calculations causing a complexity in the pole zero
literature are based on linear prediction (LP) analysis [1]. For modelling.
the LP based vocoders, the bit rate reduction is strongly tied to In this work, we propose an ARMA prediction model for
efficient quantization of the LPC filter coefficients {aj}. The predictive quantization of spectrum parameters. This ARMA
Line Spectral Frequencies (LSF) –an equivalent representation prediction method combines the good features of AR and MA
of {aj}, more suitable for quantization and interpolation– can prediction methods while eliminating their some drawbacks.
alternatively be used. In this sense, the Multi-Stage Vector
In section 2, basic formulas of MSVQ are given and then in
Quantization (MSVQ) of LSF parameters presented in [2] has
section 2.2, residual vector quantization method using ARMA
an efficient quantization performance at 22-24 bits per 20 ms
prediction is described. In section 3, designed codebook
frames. Furthermore, the multi stage structure has more
results using proposed method are presented.
flexibility than a single stage VQ in terms of search
complexity, codebook storage and channel error protection.
Very low rate speech communication systems require efficient
fixed-rate and low delay coding methods which operate at
lower bit rates. 2. RESIDUAL LSF QUANTIZATION
Generalized vocal tract model consists of the oral tract and In this section, a brief description of the MSVQ method
nasal tract. On the other hand, the linear predictive coding, presented in [2] is outlined. The definitions presented in this
which has been widely used in the speech analysis and section are introductory information for the residual MSVQ.
synthesis, uses all pole type digital filters. Speech signals are The training technique we used in designing the
assumed to be produced by filtering glottal excitation with codebooks is the joint design technique [2]. Representative
these filters. This all pole type filter model approximates the results of the residual LSF scheme with the joint design
true physical configuration of the human vocal tract, but with technique are presented in section 3.
the nasal tract left out. The most crucial and well known
shortcoming in this assumption that during any voiced
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541
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2. 1. Notation and Definition where the superscript n identifies the nth vector from the
The MSVQ codebooks are designed using the Generalized training sequence and the subscript r represents the iteration
Lloyd Algorithm (GLA) to minimize average Weighted Mean number during the training of a codebook. For details of
designing a codebook in MSVQ, the reader is referred to [2].
Square Error (WMSE) based on a sufficiently rich training
sequence. The training sequence is first partitioned into
decision regions or cells for a given set of centroids (or 2.2. Residual LSF vector Quantization with ARMA
codevectors). Then, for the given partitioning, the codebooks prediction
are re-optimized to minimize the distortion over the particular
decision regions. In the R_MSVQ method, the residual LSF parameters of
current frame are predicted from the quantized LSF
In the MSVQ system [2], the parameter vector x consisting parameters of the previous frames using interframe correlation
of p LSF parameters is approximated as a quantized parameter feature of spectrum parameters [5-8] and then residual LSF
vector x̂ using the minimum distortion rule1 vectors are coded with a MSVQ codebook. Firstly, the LSF
parameter vector is obtained by transforming the 10th order
xˆ  y0(l0 )  y1(l1 )  ...  yK(lK11 ) LPC parameter vector. Next, the average LSF vector of the
 B0(l0 ) c0  B1(l1 ) c1  ...  BK(lK11 ) cK 1 (1) training set x DC is subtracted from the LSF vector x(i)
belonging to the ith frame. By defining mean removed LSF
 Bc (i )
vectors ( z  x (i )  x DC ) and its quantized version
where superscripts denote codevector indices from each stage, (i ) (i )
subscripts denote the stage numbers and K is the number of ( zˆ  xˆ  xDC ), the residual LSF vector e(i) is calculated
stages. cj is the codebook vector for the jth stage and created using
by stacking the codevectors,
e (i )  z (i)  r (i) (6)
cj  y  ( 0 )T
j y (1 ) T
j .... y
( L j  1)T
j 
T
L j p 1
(2) where i=1,2,…and r
(i )
(0)
= 0. The quantized residual vector
eˆ is found by quantizing e(i) with a VQ codebook.
(k )
where y j (p  1) is the kth codevector for the jth stage and Lj Depending on how r ( i ) is computed, various prediction
is the size of codebook for that stage. The column vector c is 
schemes can be proposed. If r ( i )   eˆ ( i  1 )  r ( i  1 ) , a 
constructed by stacking all codebook vectors from all stages first order Auto Regressive (AR(1)) predictor is obtained [5].
and referred to as the ‘codebook’ where, When r ( i )   eˆ ( i  1 ) we have a first order Moving Average
( 0 )T (1)T ( L 1) T (MA(1)) predictor [5]. The research in the literature have
c0  [ y 0 y 0 ... y 0 0 ]T  focused on these two schemes [6-8] which show that
c   ( 0 )T (1)T ( L 1) T T
 codebooks designed with using AR predictors produce lower
 1  [ y1 y1 ... y1 1 ] 
c  (3) distortion than codebooks with MA predictors, however the
...  ... .... ... ....  use of an alternative ARMA model in residual LSF prediction,
    which is untouched in the literature, can be more
c 
 K  [ y K ( 0)T (1) T
y K ... y K
( LK 1) T T
]  Lp1 advantageous. The ARMA(1,1) predictor is
The selection matrix for the jth stage B (j k ) is a sparse Toeplitz

r ( i )   1 eˆ ( i  1 )   2 r ( i  1 ) (7)
Here, we optimize two parameters instead of one in AR(1)
matrix (p  Ljp) constructed such that y (jk )  B (j k ) c j . The and MA(1) predictors. It has been observed that residual LSF
selection matrix B is used for selection of the codevectors codebooks designed by an ARMA(1,1) predictor have lower
from codebook table with using the codebook indices where distortion than AR(1) and MA(1) predictor codebooks. The
lowest distortion using an AR(1) model is obtained by using
B  [ B0( l0 ) B1( l1 ) ... B K( lK11 ) ] p  Lp (4)   0.5 . In an ARMA(1,1) predictor the lowest distortion is
A WMSE distortion criterion is used for training the obtained when 1  0.3 and  2  0.6 . To see the
codebooks and for the selection of the quantized vector in a advantage of the ARMA(1,1) predictor, consider the
codebook [2]. If W is a diagonal matrix which depends on the reconstructed quantized LSF vector zˆ (i ) in the decoder
parameter vector x, the distortion for the whole training
sequence is defined as zˆ ( i )  eˆ ( i )  r ( i )
d r ( x, xˆ )   (( x ( n )  xˆ ( n ) ) T W ( n ) ( x ( n )  xˆ ( n ) )) (5)  eˆ ( i )   1 eˆ ( i 1 )   1 2 eˆ ( i  2 )  (8)
n
 1 22 eˆ ( i  3 )   1 23 eˆ ( i  4 )  ...
1 All vectors are assumed to be column vectors.
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542
_____________________________________________________________________________________________________________
which is compared to the reconstructed quantized LSF vector p

of the AR(1) predictor d ( e , eˆ )  w j ( e j  eˆ j ) 2 (10)
j 1
zˆ ( i )  eˆ ( i )   eˆ ( i 1 )   2 eˆ ( i  2 ) 
(9) where p (p=10 in our case) is the number of elements in the
 3 eˆ ( i  3 )   4 eˆ ( i  4 )  ... residual LSF vector and wj is the weight coefficients assigned
to the jth residual LSF (ej).
It is well-known that [5] AR prediction schemes are
susceptible to channel errors due to infinite memory as seen in
(9). For example, for   0.5 in AR(1), the weighting of
previous quantized residuals decay like {0.5, 0.25, 0.125, III. PERFORMANCE EVALUATION
0.0625, 0.0312, …}. However, in ARMA(1,1) with 1  0.3
LPC/LSF quantization performance can be assessed using
and  2  0.6 the weighting is {0.3, 0.18, 0.108, 0.0648, subjective tests and/or objective distortion measures. The
0.0388, …}. As can be seen, the decay in ARMA(1,1) is faster performance of the codebooks is measured by using spectral
which means that the susceptibility to channel errors distortion method. Hence,
compared to AR(1) is decreased. Hence by using an ARMA p p
predictor not only do we reduce the distortion but also we A( z )  1   a j z  j , Aˆ ( z )  1   aˆ j z  j
decrease the effect of channel errors when compared to AR j 1 j 1
predictors.
2
2

n1 1
 Aˆ (e j 2n / N ) 
ˆ 1   
d SD ( A( z), A( z))  
n1  n0 nn0  10 log10  2 
  A(e j 2n / N ) 
 
1 T
SD   d SD 2 (e j 2n / N ) dB 2
T i 1
(16)
where n0 and n1 correspond to 100 Hz and 3800 Hz

respectively. A(z) is the optimal pth order linear predictor and
Aˆ ( z ) is the predictor with quantized coefficients. N = 256
point FFT is used.
The training database (65,685 vectors) is extracted from
Fig.1. Block diagram of proposed ARMA prediction
TIMIT databases, which consists of 630 speakers of 8 major
dialects of American English, each reading 10 phonetically
Marca [7] suggested an AR predictive scheme in which rich sentences. The extracted database is lowpass filtered and
prediction is performed only on every other frame which down sampled to 8 kHz. M-L tree search procedure are used
limits error propagation at most one adjacent frame. The same for training and testing [2] and M=8 is taken as the search
approach can be applied to ARMA(1,1) predictors. In depth of codevectors.
practice, AR and ARMA predictive models correspond to To further test the efficiency of the R_MSVQ codebook, a
higher order MA models as the weighting of previous novel very low bit rate speech coding-decoding algorithm is
quantized residuals decay to zero after a sufficiently large designed which is described in detail in [4]. MSVQ codebooks
previous frame index, say p, which means that the same and new residual codebooks with the same bit rate are used
spectral distortion and outlier results can be obtained by respectively. For each designed codebooks, the effectiveness
optimizing p coefficients of a MA(p) predictor. However, and the limitations of codebooks are investigated by
undue codebook design complexity would be introduced as calculating the SD and percentage of outliers. For comparison
the search is now over a p dimensional space instead of two purposes spectral distortion and outlier results for the
in ARMA(1,1). codebooks designed with MSVQ and R_MSVQ algortihms
A weighted Euclidean distance measure is used for are given in Table 1. For lower bit rates, there is
training the codebooks and during the search for the best approximately 10% bit rate reduction in the R_MSVQ scheme
codevector during quantization. The weighted Euclidean for identical spectral distortion values.
distance measure d(e, ê ) between the input residual LSF Listening tests and spectral distortion results for test
vector e and the quantized residual LSF vector ê is given by speech data show that a three stage 22 bit/frame R_MSVQ
codebook gives the same quality as the four stage 24 bit/frame
MSVQ codebook in the new vocoder. We have tried to keep
the bit rate of the residual LSF vector quantization as low as
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543
_____________________________________________________________________________________________________________
possible at an acceptable level as the major contribution to the IV. CONCLUSIONS

bit rate of the vocoder comes from the LSF vector This article has presented an ARMA prediction modelling
quantization. approach which has been shown to produce lower distortion
results. The proposed prediction algorithm improves the
performance for all investigated bit rates. Furthermore, the
TABLE 1.
new method has the good features of both AR and MA model.
The new residual quantization method reduce the bit rate
Bits/frame SD %[2-4dB] %[>4dB] using residual LSF vectors obtained from ARMA prediction
with little calculations in the algorithm. With this method
[765] – 18 1.29 5.86 0.03 error propagation is limited to a few frames for noisy
[776] – 20 1.17 3.69 0.03 channels.
It is expected that additional improvement will come with
[877] – 22 1.04 2.19 0.01
analysing of how adaptive coefficients can be found to model
[888] – 24 0.93 1.28 0.01 cepstral coefficients. Antiformant tracking here remains
challenging although it has been found better results with the
(a) SD and outliers in LSF joint codebook design,
modelling here. On the other hand, the effectiveness of this
approach is its ability to model both poles and zeros with a
Bits/frame SD %[2-4dB] %[>4dB] simple algorithm without giving nonlinear complex
calculations. Furher research is planning to evaluate the
[765] – 18 1.21 4.43 0.04 effectiveness of this method according to different speech
[776] – 20 1.10 2.94 0.02 databases and to find an adaptive method to adjust alfa
coefficients adaptively.
[877] – 22 0.95 1.61 0.01
[888] – 24 0.84 0.75 0.00
(b) SD and outliers in residual LSF joint codebook design with Proc. IEEE Int. Conf. Acoustics, Speech, Signal Processing, Vol.1,
pp.41-44, May 1998.
ARMA prediction
[6] J. Skoglund, J. Lindén, “Predictive VQ for noisy channel spectrum coding
: AR or MA?” , Proc. IEEE Int. Conf. on Acoustics, Speech, Signal
Processing, May, 1996
[7] J.R. de Marca, “An LSF quantizer for the North-American Half-Rate
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Design Procedures for Robust Multi Stage Vector Quantization of LPC
Parameters for 4 kbps Speech Coding”, IEEE Trans. on Speech and [9] B. Wahberg, “ARMA spectral estimation of narrow band processes via
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[3] I.T.Lim, B.G. Lee, “Lossless pole-zero modelling of speech signals”,
IEEE Transactions on Speech, Signal and Audio processing, Vol.1, [10] M.G. Kang, B.G. Lee, “A generalized vocal tract model for pole-zero
No.3, pp.269-276, July, 1993 type prediction”, Proc. Int.Conf. on ASSP, S14, 10, 1988
[4] S. Ozaydin, B. Baykal, “Matrix quantization based linear predictive [11] L. Deng, L.J. Lee, etc, “Adaptive Kalman filtering and smoothing for
speech coding at very low bit rates”, Speech Communication, Vol. 41, tracking vocal tract resonances using a continuous valued hidden
Issues 2-3, pp:381-392, Oct. 2003 dynamic model”, IEEE Transactions on Audio, Speech and Language
Processing, Vol.15, No.1, 2007
[5] S. Nandkumar, K. Swaminathan, U. Bhaskar, “Robust Speech Model
based LSF Vector Quantization for Low Bit Rate Speech Coders”, in
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A Low Cost Smartphone-Controlled Wireless Data

Logger System for Monitoring of Safety-Critical
Areas
Osman Karapür *, Görkem Mert Keskin+, Yaser Dalveren*, Ali Kara*
*
Department of Electrical and Electronics Engineering, Atılım University
Ankara, Turkey
{yaser.dalveren, ali.kara}@.edu.tr
+
KORTEK Engineering & Consultancy Co. Ltd.
Ankara, Turkey
gorkem.keskin@kortek.com.tr
Abstract—Environment monitoring systems have gained a great types. The works in [2-4] propose wireless data logger
attraction to maintain human health and safety in human systems for monitoring temperature using ZigBee
working areas. To assure appropriate working conditions communication protocol. For building a wireless data logger
especially in safety-critical areas, wireless communication for thermal validation systems for pharmaceutical industry is
systems are mainly preferred. As a main component of such
given in [5]. Another data logger system is developed for
monitoring systems, wireless data loggers are required to collect,
store and display sensor data at high speed, lower cost and high industrial cooling applications [6]. The work in [7] aims to
efficiency. This paper presents the results of a design process propose a data logging system that store large numbers of
regarding a wireless data logger. The system is designed to data from analog signal over an extended long time. In [8], a
detect released toxic gases along with conventional video wireless sensor network that uses data logger for a real-time
monitoring of safety-critical areas. The system provides air quality monitoring system is presented. The study in [9]
measurement time and date stamped sensor data onto video introduces a wireless data logger system for real-time
signal for real-time monitoring of the environment. The system monitoring with remote control capability via PC and tablet.
also offers instant access to stored data using a mobile Although it has been successfully developed, today’s
application through Android devices. This provides cost
industrial market demands more cost-effective systems.
effective solution from end-user perspective.1
In this work, wireless data logger system is designed to
Index Terms—data logger, android, wireless communication, monitor real-time measurements, which is the combination of
remote control, microcontroller sensed and video recorded data, in a specified area.
Furthermore, this system enables end-users to control the
stored data with all Android smartphones. Hence, it provides
I. INTRODUCTION cost effective solution for environment monitoring system.
Proposed wireless data logger system may be beneficial in
Data logger is an electronic device that records several detecting unsafe or hazardous conditions for human health in
types of measurements over the time. It stores all data into the working or common areas. This forms the foundation for
memory storage and informs user at any time required. Data a security system with a view to protecting human health.
loggers, which use digital technologies, are commonly Besides, sensor modules that used for gas detecting are
equipped with sensor, microcontroller, external memory, real protected from external effects now that these modules are
time clock, and wireless communication module. However, not depended on external resources. Therefore, data
structure of the data logger may be varied. Typically, data transmission could not be interrupted from external effects
loggers work together with sensors to take input data. This which is the another advantage of the developed data logger
data is converted to binary data and then analyzed by full- system.
featured software to store for further processes. With This work is developed as an industry sponsored
emerging technologies, functionality of the data loggers has undergraduate project. In fact, it reports the results of the
been enhanced by generic programming techniques. system developed by undergraduate students. All
Using data logger has been considered in many development stages of the system, such as PCB layout,
applications for different purposes. A survey on data logger software, hardware and prototyping, were completed at
system is presented in [1]. In [1], several studies in data Atılım University laboratories.
logger field are reviewed. More recently, developed systems The paper starts with describing the concept of the
are proposed to monitor sensed data in various environment developed system with a block diagram as given in the next
section. In section III, hardware development of data logger,
software architecture, development of end-user application,
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and implementation of the system is presented. Conclusions as usual, in that these sensors have an ability to obtain wide
and discussions are drawn at the end of the paper. range of measurements, from temperature to carbon dioxide.
After selecting gas sensors, an ADC converter is required to
II. CONCEPT OF THE SYSTEM read binary data. Due to the fact that low power consumption
and flexible connectivity applications play important role in
The system that presented in this article comprises of three
measurement systems, a 16-bit Microcontroller Unit (MCU)
main modules which are measurement, data management and
is chosen which contains 8-bit ADC. Digitalized sensor data
On Screen Display (OSD). The block diagram of the
are stamped with date and time by using Real Time Clock
proposed data logger system is shown in Fig. 1. (RTC) that is connected to MCU with I2C (Inter-Integrated
Circuit) protocol. Another connection with MCU is Bluetooth
Measurement Data Management module. To access into MCU from Bluetooth module, UART
(Universal Asynchronous Receiver/Transmitter) protocol is
used. Bluetooth modules are designed to address the needs of
Sensors ADC Sorting Storage new wireless applications. In this work, Bluetooth module
enables end-users to control the stored data through a
developed application for smartphones. It works on the baud
RTC Bluetooth Module rate of 9600 and has approximately the range of 12 meter. In
the last stage of data management module, data is stored in a
On Screen Display (OSD) Multi Media Card (MMC) which is connected to MCU with
Serial Peripheral Interface (SPI) protocol as it provides
Camera synchronous data transmission.
OSD module is the last part of the system contains another
MCU for retrieving data from data management module. To
LCD Overlaying
provide data transmission between management module and
OSD, a RF (Radio Frequency) transmitter in management
Fig. 1 Block diagram of the system. module and a RF receiver in OSD module are used. Both RF
modules use ISM (Industrial, Scientific and Medical)-433
In measurement module, the amount of gases released in a MHz band. These RF modules work on the baud rate of 600
specified area is measured by means of gas sensors. and have approximately 300 meter outdoor range. In OSD
Measured data is gathered and stored in data management module, MCU is connected to a single-channel monochrome
module, which is the core part of the data logger system. OSD generator (MAX7456). It is used to create on-screen
Since used sensors are analog sensor, an Analog-to-Digital menus and other video overlays. It is NTSC and PAL
Converter (ADC) is required to read measured data. For this compatible and displays up to 16 rows × 30 characters. SPI
purpose, the data management module first converts analog protocol is utilized for maintaining data transmission from
data to digital one. Then, it stamps sensed data with date and MCU to OSD generator. The main working principle of OSD
time. Data storing is the last phase of the data management generator is overlaying received data from MCU onto video
module. The module is able to send data to Bluetooth signals recorded by a wireless surveillance camera. As a
module, as well. This enhances the data logger to transmit the consequence, the security monitor is linked to output of the
data directly to end user. The last part of the system is OSD OSD generator for displaying real-time recordings with date
module which retrieves time and date stamped data in order and time stamped sensor data. The whole system is
to put them on the video signals of an area that inclined to represented in Fig. 2.
observe. It should be noted that a wireless surveillance
camera is used for the purpose of observing an area. The
details of the system are given in the next section.
III. SYSTEM DEVELOPMENT

This section describes the details of proposed data logger
system. First, hardware of the data logger system is discussed
and then, software architecture of developed system is
explained. In the third part, design process of android
application for end-users is described. In the last part, system
implementation is presented.
A. Data Logger Structure
As discussed in Section II, the system has three main parts.
In the first part, measurement module, two types of gas
sensors, MQ-4 and MQ-7, are chosen to use for gas detecting Fig. 2 The whole picture of the hardware development.
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B. Software Architecture C. End-User Application

Since the core part of the system is MCU, data loggers It is widely known that Android is an open and free
require full-featured software to improve accuracy. In MCU software stack and it powers millions of mobile devices. This
programming, assembly language is generally utilized. gives rise to select Android platform as a software application
However, writing assembly code is not an easy task. For this for designed data logger system. Application is developed
reason, high level programming languages are proposed to with Eclipse program. Developed Android application has
make complex programming to simpler. Although high level two main features. One of them is “Send Time and Date”
programming languages having increasing popularity, C function where the users set time and date in the main panel,
programming language is still most useful language for MCU and application will send request to data logger. User
programming. In this work, MicroC, which provides best interface of setting time and date is shown in Fig. 4.
solution for developing C code, is chosen as a compiler for
MCU in order to adapt the developed system to currently
emerging technologies.
As discussed in previous section, MMC card is connected
to MCU for data storage. Yet, in MMC card, there is not any
special file system like FAT16 (File Allocation Table 16) or
NTFS (New Technology File System). Accordingly, data is
written to the sectors of the MMC card. A library, which is
provided by MicroC compiler for MCU, is utilized for sector
writing. Thus, written data on the sectors of the MMC card is
inaccessible by the third person. This contributes to the
system as a critical feature.
Software development is initiated with writing simple code
tasks. With the passage of time, term by term, improvements
on students’ programming skills have been observed. They
have gained an ability to complete given code writing tasks,
transfer them into the MCU, and carry out simulations. Main
steps of the proposed data logger software are depicted in Fig.
3.
Fig. 4 Data request (set time and date)
Start Once user request is transmitted to data logger through the

Bluetooth module, which provides two-way communication
between the application and the logger, stored data in MMC
Initialization will be sent back to the end-user application as a response.
The main panel of the application and received data log is
shown in Fig. 5.
ADC
Data Storage
Data request:
set time and
date
Is data
request
received
No
Transmit to Android Yes Transmit to OSD via

via Bluetooth RF module
Fig. 3 Working principle of data logger Fig. 5 Application main panel and received data log
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The other feature of the application is “Old Records” that system can detect released toxic gases in working places. It
lists the former requests of the end-users and corresponding also merges time and date stamped sensor data with
responses from data logger. It can also send these logs to surveillance records for real-time monitoring. Thus,
users as an e-mail or SMS (Short Message Service) at any propagation of toxic gases can be prevented by using
time needed. Fig. 6 shows the recorded the requests and developed wireless data logger system. Moreover, an Android
responded data logs. application is developed for the data logger system using
Eclipse software. Hence, the sensed environmental data can
be accessed and controlled by smartphones. The system
enables end-users to run data through the system without
using wireless remote controller or control unit. This provides
low cost solution and instant inquiry transaction.
As a result, it is expected that presented wireless data
logger system could fulfill industrial demands. In this
context, it can be adapted to various applications such as
mining, defense and agriculture system applications.
Therefore, in future, the system that is presented in this article
may be developed for commercial purposes.
ACKNOWLEDGMENT
Fig. 6 Recorded data logs in the application

This study has been conducted as an industry sponsored
undergraduate research. This work is also supported by
At last, developed application enables instant access to Atılım University under the LAP grant no: LAP-C-1213-02.
data from the smart phones through the Android application The authors would like to thank technician Özgür Özen for
where the end-user can control the stored data by requesting his continuous support in prototyping process.
time and date.
REFERENCES
D. System Implementation
[1] S. B. Sagarkumar, P. N. Chatur, and B. V. Wakode, “Data logger
After designing the proposed wireless data logger system, system: a survey,” International Journal of Computer Technology and
it is implemented for real-time environment monitoring. Two Electronics Engineering (IJCTEE), pp. 24-26, 2011.
type of gases, propane and carbon dioxide, considered as [2] V. K. Sehgal, Nitin, D. S. Chauhan, and R. Sharma, “Smart wireless
temperature data logger using IEEE 802.15.4/ZigBee protocol,”
harmful for human health, are selected to detect. Before TENCON 2008 - 2008 IEEE Region 10 Conference, Hyderabad,
testing phase, a wireless surveillance camera is deployed in November 2008.
an area. A security monitor (LCD) is connected to OSD [3] S. Veerasingam, S. Karodi, S. Shukla, and M. C. Yeleti, “Design of
module to observe real-time gas measurement with wireless sensor network node on ZigBee for temperature monitoring,”
IEEE International Conference on Advances in Computing, Control,
surveillance camera recordings. The picture captured from and Telecommunication Technologies, Trivandrum, Kerala, pp. 20-23,
the security monitor is shown in Fig. 7. December 2009.
[4] R. Singh, and S. Mishra “Temperature monitoring in wireless sensor
network using ZigBee transceiver module,” IEEE International
Conference on Power, Control and Embedded Systems (ICPCES),
2010, Allahabad, pp. 1-4, December 2010.
[5] C. M. Vancea and L. Viman, “Wireless data logger for thermal
validation systems,” IEEE 17th International Symposium for Design
and Technology in Electronic Packaging (SIITME), Timisoara,
Romania, pp. 295-298, October 2011.
[6] V. Goulão, R. Paulo, J. Salvado, G. Martins, and A. Granjeia, “A new
monitoring and data logger system for industrial cooling equipment
applications,” IEEE International Conference on Computer as a Tool
(EUROCON), Lisbon, Portugal, pp. 1-3, April 2011.
[7] N. N. Mahzan, A. M. Omar, S. Z. M. Noor, and M. Z. M. Rodzi,
“Design of data logger with multiple sd cards,” IEEE Conference on
Clean Energy and Technology (CEAT), Lankgkawi, pp. 175-180,
November 2013.
[8] A. Kadri, E. Yaacoub, M. Mushtaha, and A. Abu-Dayy, “Wireless
sensor network for real-time air pollution monitoring,” IEEE 1st
International Conference on Communications, Signal Processing, and
Fig. 7 Monitoring on LCD
their Applications (ICCSPA), Sharjah, pp. 1-5, February 2013.
[9] Z. W. Siew, C. H. Wong, S. E. Tan, H. P. Yoong, and K. T. K. Teo,
IV. CONCLUSIONS “Design and development of a tablet based real time wireless data
logger,” IEEE Global High Tech Congress on Electronics (GHTCE),
In this work, a wireless data logger system that monitors Shenzhen, China, pp. 116-116, November 2012.
real-time environmental data is designed as an undergraduate
research project. Considering human health and safety, the
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High Gain, Directional and Triple Band Rectangular

Microstrip Array Antenna Design
İsa ATAŞ*, Teymuraz ABBASOV+, M. Bahattin KURT#, A. Recai ÇELİK#

* Electrical and Electronics Engineering, Dicle University
Diyarbakır, Turkey
{isa_atas, b.kurt, a.celik}@dicle.edu.tr
+Electrical and Electronics Engineering, İnönü University
Malatya, Turkey
teymurazabbasov@inonu.edu.tr
Abstract—in this study, used in GSM1800, Wi-Fi and WiMAX diagram due to impedance discord [2]. In the present study, a
applications, high gain microstrip line feed 2 x 1 patch array microstrip line feeding technique that is easy to design and
antenna design work was done. Antenna simulation of this produce is presented. Due to certain planar shortages of
antenna design made using HFSS 3D gain and directivity microstrip line feeding [5], an inset fed microstrip antenna
characteristics were simulated. Since antenna impedance is
was designed. The side radiating microstrip inset fed antenna
greater than line impedance, impedance matching has been made
with inset – fed microstrip line and the quarter-wave is presented in Figure 1.
transformer. The results show that the proposed antenna
parameters are sufficient for GSM1800, Wi-Fi and WiMAX
applications.
Keywords—2x1 linear array antenna; gain; directivity;

microstrip antennas; GSM1800; Wi-Fi; WiMAX.
I. INTRODUCTION
As a result of advances in wireless systems in new
generation communications and increasing demand for
wireless applications promoted the significance of low profile,
integrated and high gain antenna designs. Microstrip antennas
used in wireless network services, satellite and missile
navigation, radar systems, biomedical field and in diverse
applications have a seamless record in providing for these
requirements [1]. There are studies that attempt to improve Fig. 1 The side radiating microstrip inset fed antenna
Microstrip antennas by selection of special conductors and
modification of geometric structures (array of antennas) Various different methods were developed to analyze
because of their disadvantages such as low gain and narrow microstrip antennas. The most popular models among these is
bandwidth. Microstrip antennas produced with printed circuit transmission line model, cavity model and full-wave model.
technology includes a thin layer of low loss insulator material Although transmission line model is the simplest method
with a radiating conductive layer on one side and conductive among analysis methods, it is proficient in analyzing the
ground layer that completely covers the non-conductive. physical structure. However, its accuracy is lower than the
Microstrip antennas are basically fed by the microstrip or a other methods and it is inadequate in modeling multilayer
coaxial line. Along with technological advances, researchers structures. When compared to transmission line model, cavity
have focused on different feeding structures and developed model has a better accuracy, however it also entails a complex
three different feeding techniques [2, 3, 4]. Several factors structure. In addition, the cavity model is effective in physical
play a role in feeding technique selection. The most analysis similar to the transmission line model, but this model
significant of these is the effective transfer of antenna power is also not adequate for modeling multilayer structures. Full-
between the feed line and radiation structure with the feeding wave model is the most accurate model among these methods.
technique. This occurs thanks to impedance compliance However, this model is quite complex and has low capability
between the layers. Unwanted radiation could cause increases for physical analysis [6]. The present antenna model was
in side lobe level and cross polarization amplitude in radiation designed with transmission line model. Application interface
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displayed in Figure 2 was developed in NetBeans IDE 8.0.2 calculated using equations 1 - 6 used in the transmission line
editor [7] using JAVA programming language. model [1 – 11] and exhibited below.
(  r  1) (1)
W c / 2 fo
2
 c 
L   2 (2)
 2 fo  r 
  r  1    r  1  1  12 h (3)
e   
 2   2  W
W
(  e  0 . 3 )(  0 . 264 )
 L  0 . 412 h h (4)
W
(  e  0 . 258 )(  0 .8 )
h
Fig. 2 Transmission Line Mode developed using JAVA L R in (5)
yo  arccos
Microstrip antennas usually have low gain. In some cases, a ( ) R ino
singular antenna could not provide the desired requirements c 4 . 65 x10  12
(e.g. gain, shifting the radiation to the desired direction). Thus, xo  (6)
2  eff fo
to improve the performance of the antenna, an array of
antennae that are formed by placing more than one antennas
geometrically are utilized [2 – 8]. Due to simplicity of design Rectangular microstrip feed antenna input and output
and their geometrical structures, microstrip antennas are one parameters are given in Table 1 below:
of the most frequently used antenna arrays [9]. Each
TABLE I
component of an antenna array could be selected from RECTANGULAR MICROSTRIP FEED ANTENNA INPUT AND OUTPUT PARAMETERS
elements with different structures, but to calculate the total
radiation pattern of the array, similar elements are preferred. Inputs
To obtain a radiation pattern in the desired direction, radiation Solution Frequency (fo) 2.45GHz
emitted from each antenna should be added to each other in Substrate Thickness (h) 3.175mm
the desired direction and should eliminate one another in Loss Tangent (tanδ) 0.0009
undesired directions. Demand for multi-frequency antenna 2.17
Dielectric Constant (εr)
terminals that have the capacity to receive multiple services
Conductor thickness (t) 0.035mm
provided by different wireless technology networks today is
increasing along with the available high gain antennas. In the Outputs
present study, GSM1800 technology that contains 1.8GHz Patch Width (W) 48.63mm
GSM frequency, Wi-Fi that contains 2.4GHz ISM frequency, Patch Length (L) 39.72mm
and WiMAX that contains 2.9GHz ISM frequency were Microstrip Line Width (Wf) 2.868mm
referenced [8]. Inset Distance (yo) 12.375mm
Inset/Notch Gap (xo) 4.71mm
II. ANTENNA ARRAY DESIGN Micro strip line impedance (Zin) 100Ω
Theoretical calculations were calculated based on the
transmission model. Since numerical values obtained with Where εr is the dielectric constant for the insulator material
theoretical calculations and obtained simulation results were
used in the designed antenna, εe is the effective value of the
not at the desired level, certain parameters were changed
manually to obtain adequate results. For simulation findings, insulator material, c is the speed of light, f0 is the resonance
High Frequency Structure Simulator (HFSS) [10] based on frequency, h is the height of the insulator material and ∆L is
full-wave finite elements method and widely used in the the line expansion. Wf depicts the width of the feed line, y0
analysis of electromagnetic structures was utilized. As depicts the position of the feeding point, xo depicts the space
insulator material “Rogers Ultralam1217™” was selected for between the feeding point and the patch, Rin0 depicts the
the constructed antenna and dielectric constant (εr) was taken antenna input impedance before the feed was added, and Rin
as 2.17, dielectric thickness (t) was 0.035 mm and dielectric depicts the target input impedance. In general applications,
height (h) was 3.175 mm. Central frequency of the antenna antenna input impedance is selected as 50Ω. Microstrip
was designed as 2.45GHz and physical parameters were antenna obtained with transmission line model was multiplied
to create a 2 x 1 antenna array. Microstrip lines where
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radiating patches were connected in the 2 x 1 antenna array

were designed to contain a 50Ω input port. During the
connection of the designed patches, input impedance of each
antenna was selected as 100Ω, and quarter-wave transformer
was used for input port connection. Presentation of three-band
and 2-element antenna array with HFSS is given in Figure 3.
Fig. 5 The structure of the 2 x 1 antenna array
One of the parameters that affect the antenna performance

or demonstrate the performance quality is the return loss [12].
Acceptable return loss (RL) in antennas criterion value is -10
dB. [13]

In the present study, the proposed antenna was tested with
HFSS simulation software. RL characteristic (S11) of the
single-element antenna is presented in Figure 6 and RL
characteristic of the proposed antenna is given in Figure 7.
Fig. 3 Three-band and 2-element antenna array with HFSS
Fig. 4. MS the quarter-wave transformer
For microstrip transmission line shown in Figure 4, the

equation of the impedance that would be measured at ℓ
distance from the load impedance is shown in Equation 7.
Fig. 6. RL characteristic (S11) of the single-element antenna
Z L  jZ 1tan  L (7)
Zo  Z 1
Z 1 jZ L tan  L
2 used in the formula is the wave count.

 

Transformation from 100Ω to 50Ω was provided by 70Ω
quarter wavelength lines. It is known that feed of an antenna
separately is an adequate method to obtain best results.
However, due to reasons such as practical difficulties and cost,
instead of using separate sources, it was aimed to stimulate Fig. 7. RL characteristic (S11) of the proposed antenna
more than one antenna element with the power generated at a
central resource. The structure of the 2 x 1 antenna array is When simulation results are analyzed based on 10 dB
presented in Figure 5. Thus, it was aimed to create a dual return loss criterion, it was observed that the maximum
(2 x 1) antenna array by connecting radiating antennas radiation of proposed antenna was primarily in 2.45GHz
adequately with microstrip lines. central frequency and in 1.8GHz and 2.9GHz frequencies. At
central operating frequency of the proposed antenna VSWR
value was obtained as 0.43dB RL -31.98dB. It was also
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551
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observed that simulation results were consistent in

(RL ≥ -10dB) and (VSWR ≤ 2) interval. One of the important
parameters that demonstrate the antenna performance is the
gain. Antenna gain (G) given in Equation 8 is defined as a
factor represented by antenna direction (D) and radiation
efficiency (e) [14].
G  e D (8)
3D gain and directionality graphs for the proposed antenna

in 1.8GHz, 2.45GHz and 2.9GHz frequencies is presented in
Figure 8.
Fig. 9. Radiation patterns of the single-element antenna
Fig. 10. Radiation patterns of 2 x 1 antenna array
Radiation patterns of the single-element antenna and 2 x 1

antenna array are given in Figures 9 and 10, respectively.
Graphics demonstrate that antenna array radiated in the same
direction at mostly angles and the side lobe levels narrowed.
Fig. 8. 3D gain (top) and directionality (bottom) graphs for the proposed
IV. CONCLUSIONS
antenna In the present study, a 2x1 antenna array suitable for
GSM1800, Wi-Fi and WiMAX applications [15-16], with a
Analysis of the above graphs shows that the main lobe was central frequency of 2.45GHz and 10dB directionality was
at the direction of z-axis, maximum gain was 10.09dB and designed and simulation values were presented. The small-
maximum directionality was 10.14dB. The difference in gain sized and high gain microstrip antenna had a suitable structure
was due to the imperfection of the utilized dielectric insulator for the communication devices used today. S-parameters of
material. Since loss tangent of the material was 0.0009, it the developed antenna array demonstrate that it could serve as
caused a loss, albeit small. Antenna output values at the end of a multi-frequency (GSM1800+Wi-Fi+WiMAX) functional
the simulation are given in Table 2 below. antenna when adjusted for communication systems that
TABLE II operate in GSM1800, Wi-Fi, WiMAX bandwidths in outdoors.
ANTENNA OUTPUT VALUES AT THE END OF THE SIMULATION
ACKNOWLEDGMENT
Antenna No S11 (dB) Directivity Gain (dB)
This research was financially supported by the Researching
(dB) Projects Committee of the University of Dicle (DUBAPK)
Single -15.78 8.03 7.93 with project number 14–MF–71. We are grateful to DUBAPK
2x1 Array -31.98 10.14 10.09 for financial assistance.
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REFERENCES [10] ANSYS HFSS (ver. 15), Ansys Corporation. Canonsburg, PA, USA,
2014
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NJ, USA: Wiley- Interscience, 2005, p. 816. microstrip patch antenna”, January 2010, Universiti Teknologi Brunei
[2] O. Çolak, “Tek Darbe Mikroşerit Dizi Anten Tasarımı”, Yüksek Lisans [12] İ. Ataş, M.B. Kurt, and M. Ataş, “Açıklık Kuplajlı Mikroşerit Yama
Tezi, İstanbul 2013 Antenler için Yapay Sinir Ağ Modeli”, Dicle Üniversitesi Mühendislik
[3] Volakis, J.L., ve Eibert, T.F., (2007), “Antenna Engineering Dergisi, Cilt:4, Sayi:2, Sayfa: 69-75, 2013.
Handbook”, The McGraw-Hill Companies, Ohio/ABD. [13] M. S. Garba, “Design of Tri-Band Microstrip Patch Antenna”,
[4] Zhi, N. C. ve Michael Y. W. Chia, (2006) “Broadband Planar Antennas International Journal of Science and Research (IJSR) ISSN (Online):
Design And Applications”, John Wiley & Sons, New York/ABD. [6] 2319-7064
[5] Garg, ., Bhartia, P., Bahl, I., Ittipiboon, A., “Microstrip Antenna [14] Shu, P. and Q. Feng, “Design of a compact quad-band hybrid antenna
Design Handbook”, Artech House Antennas and Propagation Library, for compass/WiMAX/WLAN applications,” Progress In
1-2, 2001 Electromagnetics Research, Vol. 138, 585–598, 2013.
[6] Kumar, G. and Ray, “Broadband Microstrip Antennas”, Artech House. [15] Azini, A. S., M. R. Kamarudin, T. A. Rahman, H. U. Iddi, A. Y.
451p., K.P. 2003, USA. Abdulrahman, and M. F. B. Jamlos, “Transparent antenna design for
[7] NetbeansIDE 8.0.2. https://netbeans.org/ WiMAX application,” Progress In Electromagnetics Research, Vol.
[8] 2.4 GHz’de Yüksek Kazançlı Dairesel Polarizasyonlu Yama Anten 138, 133–141, 2013.
Dizisi Tasarımı, Alican Uysal, Osman Ceylan, Selçuk Paker, H. Bülent [16] MOBILE BROADBAND MOBILE ANTENNA BROCHURE,
Yağcı İstanbul Teknik Üniversitesi Elektronik ve Haberleşme PCTEL Inc, www.antenna.
Mühendisliği Bölümü Sarıyer, İstanbul, URSI-TÜRKİYE’2014 VII.
Bilimsel Kongresi, 28-30 Ağustos 2014, ELAZIĞ
[9] Pozar, D.M., Schaubert, D. H., “Microstrip Antennas", IEEE Press,

New York, 1995.
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Proposal and Analysis of a New Spectrum Sensing

Algorithm for Cognitive Radio Driven Hospitals
Amir Eslami*, Saeid Karamzadeh+
*
Energy Science and Technology Department, Istanbul Technical University
Istanbul, Turkey
eslami15@itu.edu.tr
+
Electric and Electronics Engineering Department, Istanbul Aydin University
Istanbul, Turkey
karamzadeh@itu.edu.tr
Abstract— Wireless technology is the key technology to In this cognitive radio driven hospitals, devices are
eliminate the dense wire ropes from hospitals and far access to categorized as primary and secondary devices . Primary devices
medical devices. In order to overcome the problem of bandwidth are the ones that are vial and have higher priority to have
scarcity, cognitive radio driven hospitals are introduced and communication. Secondary devices are the ones which have
devices are divided in two categories. The first category is primary
low priority and thy can wait until the frequency band get
devices and the second one is secondary devices. Primary devices
has very high priority and their communication is vital for the vacant. So that, primary devices should not be interference by
hospital and patients, so that no interference should be made with other devices as their data are so valuable. In cognitive radio
such devices. Secondary devices are the ones which has lower technology, the secondary users sense the bandwidth and in the
priority and they can wait until the primary devices do their case of vacancy, the begin communication, otherwise, they wait
communication and then, they begin to use the allocated spectrum. for predetermined moment and sense the frequency band again
One of the key functions to assure that there will be no [1]. There are many sensing algorithms including ED, matched
interference is a reliable spectrum sensing method. This method filtering, wavelet based detection, cyclostationary detection [8]
should be a simple one to be able to implement it in the secondary and covariance based detection [7] methods with their different
devices. Among all the sensing methods, energy detection (ED)
required parameters, advantages and disadvantages. For
based spectrum sensing is very popular. In order to improve the
performance of ED, double threshold ED (DTED) method is instance, cyclostationary sensing methods needs the data about
the cyclic frequency of the primary user and in matched filter
introduced in literature. In this paper, a new algorithm is intruded
for DTED considering previous sensing period results in detection sensing method, the waveform information is needed [4]. As
procedure by using a memory stick. Memoryful DTED (MDTED) mentioned before, each sensing method has its own advantages
improves the performance of DTED considerably by only the cost and disadvantages that makes them unique in their kind, but in
of delay in secondary devices communication which has less value practice, the most important factor is the simplicity of the used
than the improvement of the detection method performance. method. Among all the methods mentioned, ED method is the
most simplest one to use in devices. ED method is based on
Keywords— wireless technology hospitals, cognitive radio comparison of the energy of collected samples with a threshold
driven hospitals, spectrum sensing, energy detection, double calculated before [3] – [5]. In order to improve the performance
threshold energy detection, memory. of ED sensing method, cooperative sensing method and DTED
are introduced in literature [6]. Cooperative ED spectrum
sensing is not practical solution for CogMed as there are many
I. INTRODUCTION devices and in the case that each device use multiple sensing
It has been a long while that biomedical and e-health experts nodes, too complicated and busy environment will be the result
are trying to use wireless technologies in their field. The main of this process. The second solution is using double threshold
purpose of this matter, instead of eliminating the dense wire instead of single one. In double threshold the detection is made
ropes from the hospital environment, is to provide access from comparison of the energy of the signal with two pre-calculated
distance to the devices in the environment [1]. To meet this thresholds [4]. This process has improved the performance of
requirement, the number of wireless technology based hospitals ED method considerably, but for CogMed usage, as the inter
grow so fast that after a while the problems began to appear. symbol interference (ISI) with primary users could cost
One of the most important problems was the scarcity of somebodies life, the performance should be much higher with
bandwidth. The bandwidth of the medical wireless little additional computational complexity. In this paper we
communication is limited because of static requncy allocation recommend to use memory for the secondary user devices, so
which is done by governmental and non-governmental that, in the detection procedure, they could consider the result
commissions. In united states, the responsibility of spectrum of the previous sensing period. By MDTED, in the case of any
allocation is with Federal Communications Commission (FCC). error in the sensing period, the previously gathered information
In order to mitigate the scarcity of the spectrum, cognitive radio will help the algorithm to check the status of the channel
driven hospitals (CogMed) are introduced by researchers [2]. previously.
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The rest of the paper is organized as follows. In section II, which is called probability of detection (Pd) can be shown as
The system model, ED method and some background follow:
information are provided. In section III, DTED and MDTED λ λ
Pfa = prob(E(t)> λ|H0) = Γ(u, )/ Γ(u)=Q( ) (5)
methods are introduced. In Section IV simulation results and /
analysis is done, followed by concluding remarks in section V.
Pd= prob(E(t)> λ|H1) = Qu(√2 , √ ) =
II. ENERGY DETECTION, SYSTEM MODEL AND λ (| | )
Q( ) (6)
BACKGROUND (| | )/
In IEEE802.22, the Pfa is given but for different values,

The spectrum procedure in cognitive radio secondary threshold based on Pfa which we are going to simply call it
medical devices is a binary hypothesis. Hypothesis H1 is the threshold can be calculated as follow:
condition which the primary user is having a data transfer and √ ( )
in the case of beginning communication, interference will occur. λfa = η2 (1+ ) (7)
√
Hypothesis H0 is when the primary user doesn’t use the and the threshold based on Pd at a given SNR can be shown as
spectrum and secondary user can use the spectrum [9] . These follow:
two hypothesis can be shown as follow: λd = 2
(1+α)(1+
√ ( )
) (8)
η
( ) ∶ √
( )= (1)
ℎ ( )+ ( ) ∶
where y(t) is the received signal by secondary user, x(t) is the Based on ED algorithm, the normalized energy of the
signal used for primary user, h is the communication channel gathered signal samples is compared with the pre-calculated
gain and η(t) is additive white Gaussian noise (AWGN) which threshold and in the case that the normalized energy is equal or
is assumed to be stationary process that satisfy E(η(t))=0 and bigger than the threshold, cognitive radio based secondary
E(η(t) η(t+τ))=0 for any τ ≠ 0 and variance equal to [4]. device detects the presence of the primary user and doesn’t start
its communication. In the case that the normalized energy is
Nakagami-m fading distribution is the most used distribution in
less than the threshold, it begins its communication.
real life communication wireless channels. This model can be
presented as below: III. DOUBLE THRESHOLD ENERGY DETECTION AND
Pϼ = exp(- ) ,m≥ ,x≥0 (2) MEMORYFULL DOUBLE THRESHOLD ENERGY DETECTION
Γ( )Ω Ω
Γ(m) = ∫ , >0 (3) DTED method is introduced in literature to improve the

that m varies based on the channel characteristics. A Rayleigh detecting performance of ED and make this method more
fading channel can be modelled when m is equal to one and the reliable. By a little error, the sample energy can pass the
a Gaussian channel can be modelled when m goes to infinity. threshold or can be less than the threshold defined. The main
Γ(.) is a gamma function. purpose in this sensing algorithm is defining a restricted area
Energy detection based spectrum sensing detector is consist near threshold that contains these faulty samples and eliminate
of a pre-filtering system, square law device and a finite time them from the detection process as they are more likely to cause
integrator. The output of the integrator is normalized and can an error. Restricted area constant (RAC) is shown as Δ and
be shown as follow [3-5]: defined as below [6]:
E(t) = ∑ | ( )| (4) λ1 = (1-Δ) λ As lower boundary (9)
where N is the number of samples collected by the secondary λ2 = (1+Δ) λ As higher boundary (10)
user receiver. As the received signals are unknown, the In DTED algorithm, the samples are lower than λ1 and higher
gathered samples can be treated as random processes. So, the than λ2 are used for detection process. If the normalized energy
transmitted signal samples follows and independent and of the received signals is lower than λ1 the secondary medical
identically distributed (i.i.d.) random processes with mean device concludes that the spectrum is vacant and in the case that
equal to zero and variance equal to . The received signal t the received signal is higher than the value of λ2, the decision
noise ratio (SNR) at the detector which we show it by β symbol is accuracy of it [4]. In DTED method, the probability of the
| | energy be between boundaries in condition of hypothesis H0 is
from now on is equal to . Assuming the number of shown as P0 and in the case that the probability of the energy
collected signals large enough, using central limit theorem, the be between boundaries in condition of hypothesis H1 is shown
probability density function (PDF) of E(t) in hypothesis H0 as P1. Pfa, Pd, P1 and P0 probabilities can be shown as follow:
becomes a normal distribution with mean equal to N and Pfa = p(E(Ns)> λ2|H0) = Γ(u, )/ Γ(u) (11)
variance equal to N . PDF of E(t) in hypothesis H1 becomes
Pd= p(E(Ns)> λ2|H1) = Qu( 2 , λ ) (12)
a normal distribution with mean equal to N(1+β) and
P0 = p(λ1<E(Ns)<λ2|H0) = (Γ(u, )/ Γ(u)) – (Γ(u, )/ Γ(u))
variance equal to (1+2β)N . The probability that the detector
detects the presence of signal under hypothesis H0 That is called (13)
probability of false alarm (Pfa) and the probability that the P1=p(λ1<E(Ns)<λ2|H1)=Qu( 2 , λ )-Qu( 2 , λ )
detector detects the presence of signal under hypothesis H1 (14)
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As mentioned earlier, reliability is the most important factor Pd = p(M(t)> |H1) = p(E(ri)> |, E(ri-1), … , E(ri-c)> |H1)
in CogMed and having multiple detectors for having = p (E(ri)> |H1).p(E(ri-1)> |H1) … p(E(ri-c)> |H1)
cooperative detection is not possible. MDTED is a novel (| | ) T+1
= Q( ) (16)
approach to DTED which improves the detection performance (| | )/
of it. This algorithm is based on saving the energy of last Т
previously sensed signal samples and detection is made P0 = p(λ1< M(t)<λ2|H0) = (Q( ) −Q( ))T+1 (17)
/ /
considering these energies. Collection of Т consecutive energy
samples can be shown as follow: (| | )
P1=p(λ1< M(t)<λ2|H1) =( Q( )-
Ϻi(yi) = { E(yi-Т), E(yi-Т+1), E(yi-Т+2), … , E(yi)} (| | )/
In the case that the maximum of these decision energies fall (| | )
below the threshold λ1 the detection process decides the Q( ))T+1 (18)
(| | )/
hypothesis H0 and in the case that the maximum is higher than
λ2 the detection process decides the hypothesis H1. If the MBED detection performance is analysed and compared
maximum is between λ1 and λ2 in any way, the next maximum with DTED method in section IV.
value is going to be used until it doesn’t be in the restricted gap.
Because of environment in real life doesn’t change rapidly and IV. SIMULATION RESULTS AND ANALYSIS
in high order by time, this method will help our detection In this section the performance of MDTED is studied,
system to not only have the results of the time, it will use analysed and compared with very well-known DTED. All
previously gathered information also that will help decision simulations are done in MATLAB software using QPSK
process in big range. Considering the improvement of detection modulated random signals and i.i.d. noise samples with
process performance and reliability, T-1 sensing period delays Gaussian random variables. It is assumed that the channel
can be bearable. Also by choosing T small enough, it is possible doesn’t change while sampling in each sampling period. Based
to make the delay minimum. The algorithm of MDTED is as on IEEE 802.22, Pfa should be less or equal to 0.1 and Pd be
follow: more than 0.9. In the simulations Pfa is chosen as 0.1 and 105
test signals are used and averaged. DTED and MDTED is
Algorithm 3. MDTED spectrum sensing method studied with RAC equal to 0.5 and in memory section, T is
Input : Т, λ1, λ2, η equal to 2 unless it is told to be different. T equal to 2 mean the
Output : Yi detection method needs 2 previously sensed normalized
1: for each sensing period do energies that should be saved in memory and be used in the
2: for ζ=1:N samples do detection procedure.
3: if λ1< sample energy < λ2 Figure 1 shows the performance of ED, DTED and MDTED
4: do nothing in Gaussian channel models. Gaussian channel is the simplest
5: else channel model among all communication channel models.
6: ℮ζ(t)  Energy of sample ζ , ζ ϵ [1,2,…,N] MBDTED with a memory equal to 2, has a much better
7: end for performance compared to DTED and ED in all SNR ranges.
8: ℮(t) = normalized energy of the selected With only saving 2 previously sensed signals energy in
total ℮ζ(t) samples detection process, a high range of performance can be achieved.
9: Ϻi(yi)  Energy of previous Т received Unlike DTED, the performance of MBDTED doesn’t diminish
signals and ℮(t) suddenly in low SNRs like DTED.
10: M(t) = MAX { Ϻi(yi) } 1
11: if λ1< M(t) < λ2 0.9

ED
DTED
12: Qi(yi) = Ϻi(yi) – M(t) 0.8
MBDTED
13: M(t) = MAX { Qi(yi) } 0.7
14: end if 0.6
15: if M(t) < λ1 then

Pd
0.5
16: Yi  H0 0.4
17: else 0.3
18: Yi  H1 0.2
19: return Yi 0.1
20: end for 0

-20 -15 -10 -5 0 5
SNR in dB
Figure 1. ED, DTED and MBDTED sensing methods performance over

Pd, Pfa, P0 and P1 can be calculated as follow: Gaussian channel.
Pfa= p(M(t)> |H0) = p(E(yi)> , E(yi-1), … , E(yi-T)>
|H0) = p (E(yi)> |H0).p(E(yi-1)> |H0) … p(E(yi-c)> Figure 2 show the performance of ED, DTED and MBDTED
in Rayleigh channel which is known as one of the worst
|H0) = Q( )T+1 (15) communication channels. In this kind of channel, MBDTED
/
again has a better performance compared to both DTED and
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556
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ED also in all SNR ranges by only the delay of 2 sensing Choosing the value of memory, based on the communication
periods. channel estimated in the cognitive radio driven hospitals and
1
acceptable delay in the sensing procedure, we can have the best
0.9
ED
DTED
performance needed in such areas.
MBDTED
0.8
0.7
0.6
V. CONCLUSION
Pd
0.5
0.4
Memory based double threshold energy detection or in other
0.3
words, double threshold energy detection with memory sensing
0.2
algorithm is introduced in this paper. It is shown that using
0.1
memory and saving the previously received signals energy in
0
the defined algorithm can affect the sensing performance and
-20 -15 -10 -5 0 5
SNR in dB improve the detection performance of the energy detection
Figure 2. ED, DTED and MBDTED sensing methods performance over based spectrum sensing in very high range. DTED was defined
Rayleigh channel. in literature to improve the performance and reliability of ED
method. We compared the MBDTED with ED and DTED
Figure 3 shows the performance of MBDTED whith methods in Gaussian and Rayleigh channels by using only 2
different memory values in Gaussian channels. In MBDTED previously saved signals and we saw the performance of this
without memory is the original DTED. By only using 1 method is much higher than both ED and DTED in wide SNR
previously sensed signal energy the detection performance range. Disadvantage of this method is the time delay after the
gets much higher. This value is getting better when we choose channel is free but considering the improvement of the sensing
the T value equal to 2. performance, T sensing period delay for the secondary user in
1 order to detect the vacancy of the signal could be bearable in
0.9
No Memory
T=1
cognitive radio driven hospitals. Also, by choosing T and
0.8
T=2 periodic sensing distance small enough, we can make the delay
0.7 minimum. This research findings help to understand the effect
0.6 of the memory in a sensing method and advantage and
disadvantages of that which helps find optimal solutions to
Pd
0.5
0.4 fulfill fundamental sensing requirements in IEEE 802.22

0.3 WRAN.
0.2
0.1
REFERENCES
0
-20 -15 -10 -5 0 5
SNR in dB [1] I. A. Mamoon, A. K. M Muzahidul-Islam, Sabariah
Figure 3. MBDTED sensing method’s performance without memory and Baharun, Shozo Komaki, Ashir Ahmed, “Architecture and
memory of saving 1 and 2 previously sensed signals energy over Gaussian communication protocols for cognitive radio network enabled hospital”
channel. IEEE International Symposium on Medical Information and
Communication Technology (ISMICT), 2015, pp. 170-174.
[2] I. A. Mamoon, A. K. M Muzahidul Islam, Ahmad
In figure 4, the performance of MBDTED is evaluated in
Shahrizal Sani, Sabariah Baharun, Shozo Komaki Toshio Wakabayashi,
different memory values in Rayleigh channel. This can be seen “Definition, design and priority management of a cognitive radio driven
from the figure that in this kind of channel model, again the hospital: CogMed”, IEEE Conference on Biomedical Engineering and
performance is getting better as the T value gets higher Sciences (IECBES), 2014, pp. 373-378.
[3] A. Eslami, S. Karamzadeh, “Performance Analysis of
1 Energy Based Spectrum Sensing over Nakagami-m Fading Channels
No Memory
0.9 T=1 with Noise uncertainty”, International Journal Of Electronics,
0.8
T=2 Mechanical Aand Mechatronics Engineering (IJEMME), 2016, vol:6, pp:
1101-1106.
0.7
[4] A. Eslami, S. Karamzadeh, “Performance analysis of
0.6
double threshold energy detection-based spectrum sensing in low SNRs
over Nakagami-m fading channels with noise uncertainty”, IEEE
Pd
0.5
0.4 conference on Signal Processing and Communication Application (SIU),

0.3
2016, pp: 309-312.
[5] S. Atapattu, C. Tellambura And H. Jiang, “Spectrum
0.2
sensing via energy detector in low snr”, 2011 IEEE International
0.1 Conference on Communications (ICC), June 2011, pp. 1-5.
0 [6] J. Zhu, Z. Xu, F. Wang, B. Huang, B. Zhang, "Double
-20 -15 -10 -5 0 5
SNR in dB threshold energy detection of cooperative spectrum sensing in cognitive
Figure 4. MBDTED sensing method’s performance without memory and radio", IEEE CrownCom, pp. 15, Singapore, May 2008.
[7] N. Pillay and H.J. Xu, “Bling eigenvalue-based
memory of saving 1 and 2 previously sensed signals energy over Rayleigh
channel. spectrum sensing for cognitive radio networks" IET Commun., 2012,
Vol. 6, Iss. 11, pp. 1388–1396.
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[8] N. Han, S. H. Shon, J. O. Joo, and J. M. Kim, “Spectral [10] Z.Ye, G.Memik, and J.Grosspietsch, "Energy Detection
correlation based signal detection method for spectrum sensing in IEEE using Estimated Noise Variance for Spectrum Sensing in Cognitive
802.22 WRAN systems," Intern. Conf. Advanced Commun. Technology, Radio Networks, " in Wireless Communications and Networking
Korea, Feb. 2006. Conference 2008.Las Vegas, USA: IEEE Communications Society,
[9] Y. Zeng and Y.-C. Liang , "Eigenvalue-based spectrum Mar.-Apr.2008.
sensing algorithms for cognitive radio" , IEEE Trans. Commun. , vol.
57 , no. 6 , pp.1784 -793 , 2009.
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Performance Evaluation for a PMSG with Interior

Rotor of N35 and N42 NdFeB PMs having Same
Geometry in Micro Wind Turbines
Hayati Mamur*
*
Department of Electrical and Electronics Engineering, Faculty of Engineering, Cankiri Karatekin University,18200, Cankiri,
Turkey
hmamur@karatekin.edu.tr
Abstract— The aim of this paper is to compare the performance is simple and their maintenance is easy [6]. There is also no
evaluation in terms of the efficiency, cogging torque and copper loss on rotor. However, one of the biggest
manufacturing cost for a permanent magnet synchronous disadvantages is their cogging torque [7]. Because of the high
generator (PMSG) with interior rotor of N35 and N42 NdFeB cogging torque, they do not commence electrical energy
permanent magnets (PMs) having same geometry separately
generation at low wind speed [2].
used in a micro wind turbine (MWT). Firstly N35 type PMs have
been used on an interior rotor, and then its performance has SWTs are designed as horizontal and vertical axis. Also,
been measured and calculated by a MWT setup. After that, N42 PMSGs inserted in SWTs are manufactured two types as outer
type PMs have been used on other interior rotor. According to and interior rotors [2, 8]. Although the PMSGs with interior
the obtained results, the PMSG with N42 type presented better rotor have more size than the PMSGs with outer rotor, their
efficiency than the PMSG with N35 type. But the PMSG with power density, moment, and efficiency are high. But, when
N42 type has induced a bit more cogging torque than the PMSG considering in terms of manufacturing cost and labor,
with N35 type. When comparing in terms of efficiency, a higher manufacturing cost and labor of the PMSGs with interior rotor
efficiency has been obtained by the PMSG with N42 type. are higher than the PMSGs with outer rotor. In addition to
these, PMSGs are constructed as axial and radial flux [9-10].
Keywords— PMSG, PM, efficiency, NdFeB, N42, N35 Output voltage and torque of the PMSGs with radial flux are
greater than the axial flux [11].
I. INTRODUCTION
Nowadays, the usage of renewable energy resources such II. PERMANENT MAGNETS
as wind, geothermal, tidal and solar in electricity production is Permanent magnet (PM) forms and elements that are used
gradually increasing. Wind energy is the most popular of these in PMSGs have a great impact on performance of PMSGs [12-
renewable energy resources. In order to convert wind energy 14]. PM forms, which are placed on an interior rotor with four
into electrical energy, wind turbines are employed [1]. poles, are illustrated in Fig. 1. A surface radial, a parallel, a
Wind turbines are divided into two classes as large wind breadloaf and a ring PM form are presented in Fig. 1. These
turbines (LWTs) and small wind turbines (SWTs) [2]. While are classified as the PMSGs with surface PM rotor.
LWTs usually are operated as grid-on, SWTs are utilized as Additionally, there are also the types of PMSG with PMs that
both grid-on and grid-off. Furthermore, as given in Table I, are embedded in a rotor.
SWTs are separated into three different classes [3]. According Magnetization profiles also are important during the PM
to the power of SWTs in Table I, there are SWT types usage. These are sine angle or sine direction, parallel, radial
employed by direct-drive and gear mechanism systems [1]. sine and radial profile. In addition, these are illustrated in Fig.
Depending on the powers of SWTs, induction generators 1 and the most popular of which is the parallel magnetization.
(IGs) and permanent magnet synchronous generators (PMSGs) PMs are made up of Aluminium-Nickel-Cobalt (AlNiCo),
are widely preferred [4]. PMSGs used SWTs are more Ferrite, Samarium-Cobalt (SmCo), and Neodymium-Iron-
advantageous than IGs because they have more power density, Boron (NdFeB) materials. Their operating temperatures and
higher torque and direct-drive ability [5]. Structure of PMSG magnetic flux density-magnetic field intensity (BHmax) are
TABLE I
GENERATION POWERS OF SWTS
Category Power (kW) Annual energy production (kWh) Tower height (m)
Micro wind turbine < 1.5 < 1,000 10–18
Small wind turbine 1.5-50 < 200,000 15–35
Small–medium wind turbine 50-500 < 1,800,000 25–55
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(a) (b) (c) (d)

Fig. 1 PM forms with magnetization profiles: (a) Surface radial magnets with sine angle or sine direction magnetization profile, (b) Surface parallel magnets
with parallel magnetization profile, (c) Breadloaf magnets with radial sine magnetization profile and (d) Ring magnets with radial profile
TABLE II TABLE III

PM PROPERTIES PROPERTIES OF N35 AND N42 TYPE NEODYMIUM-FERRITE-BORON PM
Permanent Operating Properties N42 N35

BHmax (kJ/m3)
Magnet Temperature (°C)
Maximum energy production, BHmax (kJ/m3) 318-342 263-287
NdFeB 150 470
Maximum work temperature, Tm (°C) ≤80 ≤80
SmCo 250 350
Remanence (residual induction), Br (T) 1.28-1.32 1.17-1.22
AlNiCo 500 80
Coercive force, Hc (kA/m) ≥915 ≥868
Ferrite 300 40
Curie temperature, Tc (°C) 310 310
Intrinsic coercive force, Hci (kA/m) ≥955 ≥955
different from each other. The values are given in Table II. Temperature coefficient, βHci (% / °C) -0.6 -0.6
When Table II is examined carefully, although NdFeB PMs
have the highest BHmax value, their operating temperatures are III. APPLICATION
lower than others. Recently, NdFeB PMs are widely preferred Two rotors with surface magnet having N35 and N42
in PMSG design. [15-16]. NdFeB PMs were designed and manufactured. The dimension
The remanence magnetization value (Br) of AlNiCo of PMs was sized as 20 × 20 × 6 mm. The usage of the rotor
magnets among them is quite high. Due to the fact that they together with a PMSG stator is demonstrated in Fig. 2. A
are expensive and also can easily lose their magnetization designed MWT, the stator and the rotor dimensions are
property, they are not preferred lately. presented in Table IV. To reduce the cogging torque, the used
Ferrite magnets being another type of PMs that are PMs were selected in a breadloaf form. Moreover, to reduce
relatively lower cost and more commonly usage than AlNiCo the cogging torque, their placement was fulfilled according to
PMs. They are resistant to the loss of remanence a pole shifting method [7].
magnetization. BHmax values of both AlNiCo and Ferrite PMs After the rotors that manufactured two prototypes had
are lower than SmCo and NdFeB PMs. inserted in the PMSGs, they were mounted in the MWT, as
SmCo and NdFeB PMs are known as rare-earth magnets. given in Fig. 3. Lastly, their performance tests were carried
Their BHmax values are quite high compared the AlNiCo and out by means of a truck test [2]. During the truck test, the
Ferrite PMs. One of their biggest disadvantages is that they generated power from the MWT was transferred to a battery
are fragile. The remanence and demagnetization values are group, which was consisted of four batteries of 12 V and 60
high. Ah. The battery group was charged until 13.5 V. After the
In recent years, the remanence values of the sintered NdFeB charge, two load resistances of 600 W were used to discharge
PMs are increased above 1.0 T. In Table III, properties of N35 to the battery group. In order to measure the generated power
and N45 type NdFeB PMs that are sintered at different grade from the MWT with PMSGs used N35 and N42 NdFeB PMs,
are listed. Their performance analysis two type PMs were a data acquisition system, which was described and embedded
carried out in a micro wind turbine (MWT). The sintered PMs formulas in detail [2], was operated. The measurement of
offer up to 150°C operation temperatures. After the operation input power of the MWT was realized by two different
temperatures, SmCo PMs are preferred. SmCo PMs also have calibrated anemometers – one was Prova AVM-03, the other
different temperatures. Their operation temperatures rise at was Kestrel 3000 model. In addition to these measurements,
250°C. Studies continue to increase the operation wind speed was also checked by the truck display. The
temperatures of NdFeB and SmCo PMs. ambient temperature was registered by both the data
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Fig. 2 The designed PMSG Fig. 3 The designed and constructed MWT
TABLE IV
THE DESIGNED MWT, STATOR AND ROTOR DIMENSIONS AND PROPERTIES
MWT Stator Rotor

Properties Value Properties Value Properties Value
Number of blades 3 Inner diameter 99 mm Number of poles 12 poles
Body material Aluminum Length 20 mm Material 1040 steel
Axis type HAWT Groove width 7 mm Air gap 1 mm
Blade swept area 1.207 m2 Outer diameter 150 mm Shaft length 110 mm
Breaking Electrical Slot height 11 mm Bearing outside diameter 40 mm
Rotation Clock wise Slot opening width 3 mm Bearing inside diameter 20 mm
Fig. 4 The obtained powers as a function of wind speed Fig. 5 The obtained power coefficient as a function of wind speed
acquisition system and Extect HD200 measurement In the MWT having the PMSG with the surface magnet
instrument. To define the cogging torque, Crane rotor used N35 NdFeB PMs, the cut-in was measured 2.7 m/s.
Electronics/UTA-451-0020-OP 5 Nm brand/model transmitter In other, which was the MWT having the PMSG with the
and Crane Electronics/TO-890-01CR-0-EUR brand/model surface magnet rotor used N42 NdFeB PMs, the cut-in was
display, which was described in detail [7], were utilized. taken 4.1 m/s.
Depending on wind speed, the generated powers from the
IV. RESULTS AND DISCUSSION MWTs and their power coefficients are presented in Fig. 4
The truck test was carried out by using of the PMSGs and 5. When Fig. 4 was examined, the nominal power of the
having two rotors with surface magnet separately used N35 MWT that has N35 NdFeB PMs at 11 m/s wind speed was
and N42 NdFeB PMs in the MWT. The air pressure was taken 177 W. Also, the nominal power of the MWT that has N42
as 1020 hPa to calculate the input power of the MWT. The air NdFeB PMs at 11 m/s wind speed was 210 W. In Fig. 5, the
density was obtained 1.221 kg/m3. power coefficients of the MWTs having N35 and N42 NdFeB
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the generated nominal power was measured 210 W. When

compared their power coefficients, an improvement of 18%
was calculated in the MWT having N42 NdFeB PMs in
reference to the MWT having N35 NdFeB PMs. However, the
cogging torque increased 1.7 times in the MWT having N42
NdFeB PMs. On the other hand, the usage N42 NdFeB PMs
increased only 1% in the manufacturing cost of MWT.
ACKNOWLEDGMENT
The author would like to acknowledge that this work was
supported by TUBITAK under No. 114E419.
REFERENCES
[1] H. Polinder, J. A. Ferreira, B. B. Jensen, A. B. Abrahamsen, K. Atallah
and R. A. McMahon, “Trends in wind turbine generator systems,”
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vol. 1, pp. 174–185, Sep. 2013.
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micro wind turbine,” Turk J Electr Eng Co, vol. 23, pp. 1619–1637,
2015.
PMs were defined 0.277 and 0.388, respectively. [3] H. Mamur, M. Ari, F. Korkmaz, I. Topaloglu, A. Cicek and E. Bektas,
The highest cogging torques of the MWTs having N35 and “Micro wind turbines and power performance analyses,” in Proc.
UNITECH 2015 International Scientific Conference, pp. 59-62, vol. 1,
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respectively, as shown in Fig. 6. In the MWT with N42 [4] H. Mamur, “Comparison of cogging torque reduction methods for
NdFeB PMs, the cogging torque was occurred a quite high micro wind turbine using permanent magnet synchronous generator,”
value. In order to reduce the value, it is necessary that other in Proc. UNITECH 2015 International Scientific Conference, pp. 63–
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Observer Design for the Hodgkin-Huxley Neuronal

Model
Meriç ÇETİN*1, Selami BEYHAN+
#
Pamukkale University
Engineering Faculty, Computer Engineering, Kınıklı, 20040, Denizli, Turkey
*
+
Engineering Faculty, Electrical and Electronics Engineering, Kınıklı, 20040, Denizli, Turkey
{mcetin, sbeyhan}@pau.edu.tr
Abstract—Hodgkin-Huxley (HH) neuronal model has been widely squad. In fact, it is a five state model that are the membrane
accepted neuronal model in neuroscience. The variation of the ionic potential and four ion channel currents modeled as an electrical
currents in neuron cell causes the variations in the membrane circuit. Based on the HH model, there are developed electrical
potential. The level of membrane potential indicates the activation circuits to realize its behavior and stimulate under different
and inactivation dynamics. In this paper, in order to observe the
conditions. At the same time, in order to produce practical and
unmeasurable states and parameters of HH neuron accurately,
Runge-Kutta discretization based nonlinear observer is designed. In implementable neuron model, different neuron models are
numerical simulations, the membrane potential is measured and the developed based on the HH model such as namely FitzHugh
ionic currents are estimated. The numerical results provide accurate Nagumo model (FHN), Morris-Lecar model, Hindmarsh-Rose
estimation results that can be used both in monitoring and control model and etc. [1]. In order to analyse the behaviour of neuron
of neuron dynamics. models, some of models are realized using electronic
components [3]-[5].
Keywords—Nonlinear observer, state estimation, Hodgkin-Huxley Nonlinear observers have been used for considerably
neuronal model, discretization based gradient observer, sliding- amount of applications in the subject of such as state estimation,
mode observer, extended Kalman filter, RMSE. parameter estimation, fault detection and isolation, disturbance
estimation, unknown input estimation and other applications.
Therefore, in literature, various types of the nonlinear observers
I. INTRODUCTION can be found for a specific application. As a leading work on
Mathematical model of a biological system presents an state observers have been first published for linear systems [6],
understanding for the behavior of the system. Recently, and then extended for nonlinear systems [7]. With the
mathematical models of the bacteria populations, diseases, requirements on the state estimation, there have introduced
microbiological organisms and nerve cells have increasing several nonlinear observers such as extended-Luenberger
applications for biology, medicine, biomedical, neuroscience observer [8], extended-Kalman filter [9], sliding-mode
fields. In this work, we have interested on Hodgkin-Huxley observer [10], [11], high-gain observer [12], Takagi-Sugeno
neuronal model. In general, nervous systems have very fuzzy observers [13], Runge-Kutta observer [14]-[16] etc. The
complex structures with largely interconnected neuron cells. nonlinear observers mentioned above are based on the
These neurons carry out the computational and communication mathematical model of the nonlinear system.
tasks with electrical potentials. The charge ionic distribution of In this study, some of nonlinear observers are chosen to
the neuron cell generates of the electrical potential on the estimate the states of HH neuronal model. For the HH neuronal
membrane potential. When a membrane has enough action model, the membrane potential is assumed to be measurable but
potential, then firing threshold can be reached then there exist the currents or auxiliary variables are assumed to unmeasurable.
spikes on the membrane voltage [1]. The communication with The aim is to estimate the unmeasurable states of the HH
neighboring neurons or the information patterns stored on the neuron model for an observer based future work such as in
neurons are occurred based on this membrane potential such neuroscience medicine; there exist some mental diseases to
that the control of the membrane potential by ionic currents is treat using external stimulus of the nerve cells. The designed
an important subject of the neuroscience and biomedical observers are selected purposely such that extended Kalman
engineering. filter (EKF), sliding-mode observer (SMO), and discretization
In neuroscience, Hodgkin-Huxley (HH) model is a first based gradient observer (DBGO). The chosen and designed
introduced model of the neuron cell [2]. The mathematical nonlinear observers are applied to estimate the states of the HH
model of the HH model explaining the relations between neuron model then estimation results are plotted and root-mean
membrane potential and ion channels is experimentally squared errors (RMSE) are given in Table. As a general result,
constructed using the electrical behavior of the giant axon in state estimation results are accurately obtained for the HH
1 Corresponding author
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neuronal model of future applications in neuroscience, where it is called as the discretized model of the continuous-
biomedical engineering and medicine. time system. For a Lipschitz nonlinear system the stability of
This paper is organized as follows: In Section 2, nonlinear RK discretization is shown using sufficiently small step size
observers, which are designed here, are explained in detail. [17].
Section 3 presents the Hodgkin-Huxley neuron model with
mathematical dynamics. The Section 4 illustrates the state A. Extended Kalman Filter
estimation results of the HH neuronal model using designed The EKF uses a recursive algorithm consisting of two parts
nonlinear observers. The discussions about the design namely prediction and measurement correction [9]. Consider
conditions and application results of the observers are given in the following state-space model of a discretized nonlinear
Section 5. dynamic system of (1) the states of which are to be estimated,
𝐱[𝑛 + 1] = 𝐟(𝐱[𝑛], 𝐮[𝑛]) + 𝐰[𝑛]
II. NONLINEAR OBSERVERS
𝐲[𝑛 + 1] = 𝐠(𝐱[𝑛], 𝐮[𝑛]) + 𝐯[𝑛]
Consider a n𝑡ℎ order continuous-time nonlinear multi-input 𝐰 ~ 𝒩(0, 𝐐) (6)
multi-output (MIMO) system: 𝐯 ~ 𝒩(0, 𝐑)
𝐱̇ = 𝐟(𝐱, 𝐮) where 𝐱[𝑛] is a N-dimensional state vector, 𝐮[𝑛] ∈ ℜR is
𝐲 = 𝐠(𝐱, 𝐮) the vector of input signals and 𝐲[𝑛] ∈ ℜ𝑄 is the vector of
𝑥1 (𝑡) ∈ 𝑋1 , … , 𝑥𝑁 (𝑡) ∈ 𝑋𝑁 , ∀𝑡 ≥ 0 (1) output signals. In (6), 𝐟(. ) is the discrete model of the nonlinear
𝑢1 (𝑡) ∈ 𝑈1 , … , 𝑢𝑅 (𝑡) ∈ 𝑈𝑅 , ∀𝑡 ≥ 0 system. The random variables 𝐰 and 𝐯 represent the process
where 𝐱(𝑡) ∈ X ⊂ ℜN is the state vector, 𝐮(𝑡) ∈ U ⊂ ℜR is and measurement noises, respectively, which are assumed to
the vector of measured control inputs and 𝐲(𝑡) ∈ ℜ𝑄 is the have independent and normal probability distributions with
vector of outputs measurements. Nonlinear dynamics are zero mean. Moreover, they have uncorrelated 𝐐 and 𝐑 noise
subject to state and input constraints written as covariance matrices. In the measurement correction stage a
posteriori state estimates 𝐱̂[𝑛] and the a posteriori error 𝐏[𝑛]
𝑋𝑖 = {𝑥𝑖 ∈ ℜ | 𝑥𝑖𝑚𝑖𝑛 ≤ 𝑥𝑖 ≤ 𝑥𝑖𝑚𝑎𝑥 },
are calculated using current measurements and the observer
𝑈𝑖 = {𝑢𝑖 ∈ ℜ | 𝑢𝑖𝑚𝑖𝑛 ≤ 𝑢𝑖 ≤ 𝑢𝑖𝑚𝑎𝑥 }. (2)
model. Thus, error covariance of the estimator is minimized.
It is assumed that the functions 𝐟𝑖 and 𝐠 𝑗 [𝑖 = Time update equations for prediction stage are as follows,
1, … , 𝑁 , 𝑗 = 1, … , 𝑄] are known and continuously 𝐱̂ − [𝑛] = 𝐟̂(𝐱̂ − [𝑛 − 1], 𝐮[𝑛 − 1]),
differentiable with respect to the control inputs and the state 𝐏 − [𝑛] = 𝐀[𝑛]𝐏[𝑛 − 1]𝐀𝑻 [𝑛] + 𝐐. (7)
variables and also the state variables are not available for Similarly, measurement update equations related to
measurement. The problem is to get the estimates 𝐱̂(𝑡) of the correction stage are,
unmeasured states of the system (1) by using only the available
input and output measurements. The nonlinear system is given 𝜰[𝑛] = 𝐏− [𝑛]𝐇𝐓 [𝑛](𝐇[𝑛]𝐏− [𝑛]𝐇𝐓 [𝑛] + 𝐑),−1
in Eq. (1) is discretized to get samples from the time instants. ̂[𝑛] = 𝐱̂ − [𝑛] + 𝚼[𝑛](𝐲[𝑛] − 𝐠(𝐱̂ − [𝑛], 𝐮[𝑛 − 1])),
𝒙
(8)
The Runge-Kutta (RK) discretization method is adopted for 𝐏[𝑛] = (𝐈 − 𝚼[𝑛]𝐇[𝑛])𝐏− [𝑛],
obtaining discretized models of the continuous-time nonlinear where 𝐱̂[𝑛] is state estimation vector, 𝚼[𝑛] and 𝐏[𝑛]
system. The states and the output values of the system which matrices are Kalman gain and error covariance matrices,
belong to the next sampling time as in compact form can be respectively. It is assumed that the functions 𝐟̂(. ) and 𝐠(. ) are
predicted as differentiable with respect to 𝐱 and 𝐮 parameters where 𝐀[𝑛]
𝐱̂[𝑛 + 1] = 𝐟̂(𝐱̂[𝑛], 𝐮[𝑛]) = 𝐱̂[𝑛] + 𝐤[𝑛] and 𝐇[𝑛] matrices are the Jacobian matrices as
𝐲̂[𝑛] = 𝐠(𝐱̂[𝑛], 𝐮[𝑛]) (3) ∂𝐟̂ ∂𝐠
𝐀[𝑛] = | , 𝐇[𝑛] = |
where ∂𝐱 𝐱 = 𝐱̂[n − 1] ∂𝐱 𝐱 = 𝐱̂[n − 1] (9)
𝐮 = 𝐮[n − 1] 𝐮 = 𝐮[n − 1]
𝑘11 + 2𝑘12 + 2𝑘13 + 𝑘14
1 𝑘21 + 2𝑘22 + 2𝑘23 + 𝑘24 These matrices, which are updated at every sampling time,
𝒌[𝑛] = [ ]
6 ⋮ are used recursively in prediction and correction update
𝑘𝑁1 + 2𝑘𝑁2 + 2𝑘𝑁3 + 𝑘𝑁4 (4) equations of the EKF.
1
= (𝐤 𝟏 + 2𝐤 𝟐 + 2𝐤 𝟑 + 𝐤 𝟒 ) B. Sliding-Mode Observer
6
𝑘𝑖𝑗 variables with 𝑖 = 1, … ,4 and 𝑗 = 1, … , 𝑁 are explicitly The sliding-mode observers are known for robustness to
defined as uncertainties and finite-time convergence properties [10], [11].
SMOs construct a sliding-motion of output estimation error
𝐤𝟏 = 𝑇𝑠 𝐟(𝐱̂, 𝐮) between the measured system output and observer output.
𝐤𝟐 = 𝑇𝑠 𝐟(𝐱̂ + 𝟎. 𝟓𝐤 𝟏 , 𝐮) There are some applications of the SMOs for state and
𝐤𝟑 = 𝑇𝑠 𝐟(𝐱̂ + 𝟎. 𝟓𝐤 𝟐 , 𝐮) (5) parameter estimation of nonlinear systems [18], [19]. One of
𝐤𝟒 = 𝑇𝑠 𝐟(𝐱̂ + 𝐤 𝟑 , 𝐮) the states is measured and the estimated states are corrected
using measurement error in a switching function and
multiplying by a feedback constant. For the state estimation of
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nonlinear system (1), classical sliding-mode observer is where

designed as follows. ∂𝐱̂𝐢 [𝑛 + 1] ∂𝐱̂𝐢 (𝑛) 1 ∂𝐤𝟏 [𝑛] 1 ∂𝐤𝟐 [𝑛] 1 ∂𝐤𝟑 [𝑛] 1 ∂𝐤𝟒 [𝑛]
= + + + +
𝑥̂̇1 [𝑛] = −ℎ1 𝐞𝐦 [𝑛] + 𝑥̂2 − 𝑑1 sign(𝐞𝐦 [𝑛]), ∂𝐱̂ 𝐣[𝑛] ∂𝐱̂𝐣[𝑛] 6 ∂𝐱̂𝐣 [𝑛] 3 ∂𝐱̂𝐣 [𝑛] 3 ∂𝐱̂ 𝐣[𝑛] 6 ∂𝐱̂ 𝐣[𝑛]
𝑥̂̇2 [𝑛] = −ℎ2 𝐞𝐦 [𝑛] + 𝑥̂3 − 𝑑2 sign(𝐞𝐦 [𝑛]), (15)
⋮ (10) and partial derivative components required in Eq. (15) are
𝑥̂̇𝑁 [𝑛] = −ℎ𝑁 𝐞𝐦 [𝑛] + 𝑓̂ − 𝑑𝑁 sign(𝐞𝐦 [𝑛]), obtained as,
𝑁
where 𝐞𝐦 [𝑛] = 𝐱̂ 𝐦 [𝑛] − 𝐱 𝐦 [𝑛] is the measurement error 𝜕𝐤 𝟏 [𝑛] 𝜕𝑓𝑖 𝜕𝐤 𝟏 [𝑛]
= 𝑇𝑠 [∑ ]
and 𝐱 𝐦 (𝑚 = 1, , 𝑁) is the single available measurement. The 𝜕𝐱̂𝐣 [𝑛] 𝜕𝐱𝐣 𝜕𝐱̂𝐣 [𝑛]
𝑘=1 𝐱=𝐱[𝑛]
function 𝐟̂(𝐱[𝑛], 𝐮[𝑛]) is an approximation of 𝐟(𝐱[𝑛], 𝐮[𝑛]) . 𝑁
𝜕𝐤 𝟐 [𝑛] 1 𝜕𝑓𝑖 𝜕𝐤 𝟐 [𝑛]
The constants ℎ𝑖 ’s are chosen to ensure the asymptotical decay = 𝑇𝑠 [ ∑ ]
of the estimation error and the constants 𝑑𝑖 ’s are the design 𝜕𝐱̂𝐣 [𝑛] 2 𝜕𝐱𝐣 𝜕𝐱̂𝐣 [𝑛] 1
𝑘=1 𝐱=𝐱[𝑛]+ 𝐤 𝟏 [𝑛]
2
parameters for switching of the sliding surface. Then, the 𝑁 (16)
estimation error dynamics of 𝑁 th-order are given by the 𝜕𝐤 𝟑 [𝑛] 1 𝜕𝑓𝑖 𝜕𝐤 𝟑 [𝑛]
= 𝑇𝑠 [ ∑ ]
following equation: 𝜕𝐱̂𝐣 [𝑛] 2 𝜕𝐱𝐣 𝜕𝐱̂𝐣 [𝑛] 1
𝑘=1 𝐱=𝐱[𝑛]+ 𝐤 𝟐 [𝑛]
2
𝑒̂1̇ = −ℎ1 𝐞𝐦 [𝑛] + 𝑒2 − 𝑑1 sign(𝐞𝐦 [𝑛]), 𝑁
𝜕𝐤 𝟒 [𝑛] 𝜕𝑓𝑖 𝜕𝐤 𝟒 [𝑛]
𝑒̂̇2 = −ℎ2 𝐞𝐦 [𝑛] + 𝑒3 − 𝑑2 sign(𝐞𝐦 [𝑛]), = 𝑇𝑠 [∑ ]
𝜕𝐱̂𝐣 [𝑛] 𝜕𝐱𝐣 𝜕𝐱̂𝐣 [𝑛]
⋮ (11) 𝑘=1 𝐱=𝐱[𝑛]+𝐤 𝟑 [𝑛]
𝑒̂̇𝑁 = −ℎ𝑁 𝐞𝐦 [𝑛] + 𝛥𝑓 − 𝑑𝑁 sign(𝐞𝐦 [𝑛]),
Using the jacobian matrix of the states and Levenberg-
Marquadt direction, the DBGO state updates are performed as
𝛥𝐟 = 𝐟̂ − 𝐟 is assumed to be bounded as 𝑘𝑁 ≥ |𝛥𝐟|. The
𝐱̂[𝑛 + 1] = 𝐱̂[𝑛] + (𝐉 𝐓 [𝑛]𝐉[𝑛] + 𝜇𝐈)−1 𝐉 𝐓 [𝑛]𝐞[𝑛],
asymptotic convergence and stability conditions are given [10],
𝐲̂(𝑛 + 1) = 𝐠(𝐱̂[𝑛 + 1], 𝐮[𝑛]), (17)
[11].
where 𝐈 is 𝑁 × 𝑁 identity matrix, and change of the states
C. Discretization Based Gradient Observer is
The discretization based gradient observer (DBGO) has the Δ𝐱̂[𝑛] = (𝐉 𝐓 [𝑛]𝐉[𝑛] + 𝜇𝐈)−1 𝐉 𝐓 [𝑛]𝐞[𝑛].
same structure as given in (3). The nonlinear functions 𝐟 and 𝐠 (18)
are approximated using estimated states. When the gradient For bounded input case of the nonlinear DBGO,
observer approximates accurately the real values, then states convergence was proved in [15].
converges correctly to real states. However, the estimated states
is achieved using current output measurement error in gradient- III. HODGKIN-HUXLEY NEURONAL MODEL
descent method as The Hodgkin-Huxley (HH) model is a mathematical model
𝜕𝐄[𝑛 + 1] that describes how action potentials in neurons are initiated and
𝐱̂[𝑛 + 1] = 𝐱̂[𝑛] − , propagated [2]. HH model defines the electro-physiological
𝜕𝐱̂[𝑛]
(12)
𝐲̂[𝑛 + 1] = 𝐠(𝐱̂[𝑛 + 1], 𝐮[𝑛]), behavior of a neuron. The interoperability of neuron’s is
important for memory, calculation, motion control and diseases
where 𝐱̂[𝑛] is the state estimate, 𝐲̂[n] is the output estimate.
such as epilepsy. Also, synchronized activity and temporal
Quadratic cost function of estimation is defined as 𝐄[𝑛] =
1 correlation are fundamental tools for encoding and exchanging
𝐞[𝑛]2 . When the output estimation error is defined as 𝐞[𝑛] = information for neuronal information processing in the brain [2].
2
𝐲[𝑛] − 𝐲̂[n], the gradient of the cost function with respect to It is a set of nonlinear ordinary differential equations that
state estimate is approximates the electrical characteristics of excitable cells.
∂𝐄[𝑛 + 1] ∂𝐄[𝑛 + 1] ∂𝐲̂[𝑛 + 1] The basic single HH neuron is described by a Markov model as
= , a set of nonlinear ODEs:
∂𝐱̂[𝑛] ∂𝐲̂[𝑛 + 1] ∂𝐱̂[𝑛]
∂𝐠[𝑛 + 1] ∂𝐱̂[𝑛 + 1] (13) 𝐶𝑉̇ = −𝑔𝑁𝑎 𝑚3 ℎ(𝑉 − 𝑉𝑁𝑎 ) − 𝑔𝐾 𝑛4 (𝑉 − 𝑉𝑘 ) − 𝑔𝐿 (𝑉 − 𝑉𝐿 ),
= −𝐞[𝑛 + 1] .
∂𝐱̂[𝑛 + 1] ∂𝐱̂[𝑛] 𝑚 ̇ = 𝛼𝑚 (𝑉)(1 − 𝑚) − 𝛽𝑚 (𝑉)𝑚,
∂𝐱̂[𝑛+1] ℎ̇ = 𝛼ℎ (𝑉)(1 − ℎ) − 𝛽ℎ (𝑉)ℎ,
term, which plays a crucial role in the DBGO (19)
∂𝐱̂[𝑛] 𝑛̇ = 𝛼𝑛 (𝑉)(1 − 𝑛) − 𝛽𝑛 (𝑉)𝑛,
structure, is obtained by using the discretized model. Derivative where 𝐶 is the membrane capacitance and 𝑉 is the
components of the jacobian matrix can be extracted using time membrane potential. 𝑚, ℎ, 𝑛 are the gating variables. They
update of the RK based discretized model. Thus, the merit of represent the activation of the sodium flow current, the
the gradient observer has been exploited in the exact jacobian inactivation of the sodium flow current and activation of the
calculation. The jacobian matrix of the output is followed as potassium flow current, respectively. The spikes are generated
𝑁
∂𝐠[𝑛 + 1] ∂𝐱̂ 𝐢 [𝑛 + 1] with very low current levels. The explicit form of the functions
𝐉[𝑛] = [∑ ] 𝛼𝑚 (𝑉), 𝛼ℎ (𝑉), 𝛼𝑛 (𝑉), 𝛽𝑚 (𝑉), 𝛽ℎ (𝑉) and 𝛽𝑛 (𝑉) , which
∂𝐱̂𝐢 [𝑛 + 1] ∂𝐱̂𝐣 [𝑛] (14)
𝑖=1 𝐱=𝐱̂[𝑛]
____________________________________________________________________________________________________________
566
_____________________________________________________________________________________________________________
describes the transition rates between open and closed states of

the channels in Eq. (19), are given below: 40
XReal
XDBGO
𝛼𝑚 (𝑉) = 0.1 (𝑉 + 40)⁄(1 − 𝑒𝑥𝑝(− (𝑉 + 40)⁄10)) , 20
𝛽𝑚 (𝑉) = 4𝑒𝑥𝑝(− (𝑉 + 65)⁄18),

𝛼ℎ (𝑉) = 0.07𝑒𝑥𝑝(− (𝑉 + 65)⁄20), 0
V(mV)
𝛽ℎ (𝑉) = 1⁄(1 + 𝑒𝑥𝑝(− (𝑉 + 35)⁄10)) , (20) -20
𝛼𝑛 (𝑉) = 0.01 (𝑉 + 55)⁄(1 − 𝑒𝑥𝑝(− (𝑉 + 55)⁄10)) ,

-40
𝛽𝑛 (𝑉) = 0.125𝑒𝑥𝑝(− (𝑉 + 65)⁄80),
The gating variables are described the probability for -60
appropriate gate to be open. Therefore, these variables take -80

0 50 100 150
values between 0 and 1, where 0 means that the gate is closed, time(ms)
and 1 means that the gate is open. The parameters of the single a) Membrane potential (𝑉) estimate (mV)
neuron based on the HH model are given in TABLE I.
TABLE I: Model variables and parameters 1.2 XReal
XDBGO
Symbol Units Description 1
𝐶 1𝜇𝐹/𝑐𝑚2 Membrane capacitance
𝑔𝑁𝑎 120𝑚𝑆/𝑚2 Maximal conductance of sodium current 0.8
𝑔𝐾 36𝑚𝑆/𝑚2 Maximal conductance of potassium current

𝑔𝐿 0.3𝑚𝑆/𝑚2 Conductance of leak current 0.6
m
𝑉𝑁𝑎 50𝑚𝑉 Reversal potential of sodium current 0.4
𝑉𝐾 −77𝑚𝑉 Reversal potential of potassium current
𝑉𝐿 −54𝑚𝑉 Reversal potential of leak current 0.2
0
An example of chaotic dynamics of the HH neuronal model 0 50 100 150
time(ms)
is shown in Fig. 1 for initial conditions 𝑉 = 0𝑚𝑉, 𝑚 = 0.0529,
ℎ = 0.5961 and 𝑛 = 0.3177 with sampling period 𝑇𝑠 = 0.01𝑠. b) Activation of the sodium flow current (𝑚) estimate
1
XReal
0.9 0.6
XDBGO
0.8
0.5
0.7
0.6 0.4
m state
0.5
h
0.3
0.4
0.3 0.2
0.2
0.1
0.1
0 0
-80 -60 -40 -20 0 20 40 60 0 50 100 150
V state time(ms)
Fig. 1 Membrane potential 𝑉 vs sodium flow current 𝑚. c) Inactivation of the sodium flow current (ℎ) estimate
IV. NUMERICAL RESULTS

XReal
In this section, the state estimation results are plotted 0.8 XDBGO
separately and a comparative table is shown to discuss the 0.7
estimation performances of nonlinear observers in root-mean 0.6

squared errors (RMSE). The main goal of the study is to
n
0.5
provide accurate state estimation results for HH neuronal model
using different nonlinear observers. At the same time, we have 0.4
chance to compare and discuss the observer’s estimation 0.3
capability. In order to get fair estimation results, the observers 0.2

are initialized with same states and the parameters observers are 0 50 100 150
tuned to get best estimation results for each designed observer. time(ms)
d) Activation of the potassium flow current (𝑛) estimate
Fig. 2 DBGO estimation results for Hodgkin-Huxley neuronal model.
Fig 2 presents state estimation results using DBGO. The

estimation results are very accurate for all four states such that
the estimated states are rapidly converging to the real neuron
states which are promising to use for real-time control studies.
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567
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accurately. The design parameters of the SMO are determined

40
XReal
XSMO
through grid search as follows: ℎ1 = 8 × 10−2 , ℎ2 = 1 × 10−4 ,
20
ℎ3 = 1 × 10−4 , ℎ4 = 1 × 10−5 , 𝑑1 = 1 × 10−5 , 𝑑2 = 1 × 10−4 ,
𝑑3 = 1 × 10−5 and 𝑑4 = 1 × 10−4 , respectively.
V(mV) 0
XReal
-20 40
XEKF
-40 20
-60 0
V(mV)
-80 -20
0 50 100 150
time(ms)
-40
a) Membrane potential (𝑉) estimate (mV)

-60
1.2 XReal -80

0 50 100 150
XSMO time(ms)
1
a) Membrane potential (𝑉) estimate (mV)

0.8
0.6 1.2
m
XReal
XEKF
0.4 1
0.2 0.8
0 0.6
m
0 50 100 150
time(ms)
0.4
b) Activation of the sodium flow current (𝑚) estimate 0.2
0
XReal 0 50 100 150
0.6
XSMO time(ms)
0.5
b) Activation of the sodium flow current (𝑚) estimate
0.4
h
XReal
0.3 0.6
XEKF
0.2 0.5
0.1 0.4
h
0 0.3
0 50 100 150
time(ms)
0.2
c) Inactivation of the sodium flow current (ℎ) estimate

0.1
XReal 0
0 50 100 150
0.8 XSMO time(ms)
0.7 c) Inactivation of the sodium flow current (ℎ) estimate

0.6
n
XReal
0.5
0.8 XEKF
0.4
0.7
0.3
0.6
0.2
n
0.5
0 50 100 150
time(ms)
0.4
d) Activation of the potassium flow current (𝑛) estimate 0.3
Fig. 3 SMO estimation results for Hodgkin-Huxley neuronal model. 0.2
0 50 100 150
SMO based state estimation results are shown in Fig. 3, time(ms)
respectively. The estimated states are following to the real d) Activation of the potassium flow current (𝑛) estimate
states slightly late compared to the DBGO estimation results.
However, after a few milliseconds, the real states are estimated Fig. 4 EKF estimation results for Hodgkin-Huxley neuronal model.
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is an important difference between DBGO observer and other

For the HH neuronal model, EKF observer based state observer results in the Table 2. The second order gradient
estimation results are obtained and presented in Figure 4, direction of the DBGO observer makes very fast the observer
respectively. It is seen that the EKF is slower than the DBGO dynamics. However, it has a lack of robustness since any tiny
and SMO. The design parameters of the EKF are determined change in the dynamics affect the observer performance.
through grid search as follows: 𝐏0 = 10−2 𝐈4 , 𝐐 = 0.1𝐈4 , As a general result, if we want to design a feedback
and R = 10−1 , respectively. controller or an online fault estimator, we need to check the
TABLE 2: Comparison results of designed observers
model uncertainty and noise existence. If there is small
unmodeled dynamics, the DGBO is a suitable selection. In the
HH Model DBGO SMO EKF case of noise and uncertainty, the SMO must be chosen.
RMSE 0.1723 0.3283 0.5293
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the DBGO is that there is no parameter tuning for a state [13] Tanaka, K.; Wang, H.O. (1997). Fuzzy regulators and fuzzy observers:
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uncertainties such that there could be uncertain or un-modeled Syst.Sci.39: (8), 751–764.
[19] Hosani, Al.; Utkin, K. (2012). Parameters estimation using sliding mode
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parameters which rectify the error dynamics where Levenberg-
Marquardt direction is chosen for the faster convergence. There
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Simplified minLLR Early Stopping Criterion for Belief-Propagation

Based Polar Code Decoders
Cemaleddin SIMSEK∗ , Kadir TURK+
∗ GumushaneUniversity, Electrical and Electronics Engineering
Gumushane, TURKEY
csimsek@gumushane.edu.tr
+ Karadeniz Technical University, Electrical and Electronics Engineering
Trabzon, TURKEY
kadir@ktu.edu.tr
Abstract— Polar code is one of the major breakthroughs in methods, WIB method uses only a small cluster of infor-
information theory field by its theoretically proven capacity mation bits to detect successful decoding. In this paper we
achieving error correction property and low encoding, decod- propose simplified minLLR method using this idea of WIB
ing complexities. Since Arikan submitted his original paper,
researchers have made many improvements on both decoding method.
and encoding sections. Successive cancellation (SC) and belief
propagation (BP) is widely used decoding algorithms for polar II. SMS BP AND E ARLY S TOPPING C RITERIA
codes. To reduce the complexity of BP decoder, early stopping
methods are studied in literature. In this paper we simplify early A. SMS BP Polar Code Decoder
stopping method for BP decoder by using channel polarization
phenomena and we reduce the complexity of early stopping BP is a commonly used algorithm for decoding of block
section by observing only a small cluster of information bits codes [5]. SMS BP is basically the same algorithm with
which are polarized to the highest error probabilities. Sim- min-sum approach and a scaling factor. SMS BP has a
ulation results shows that early stopping detection algorithm similar performance with BP while having a significantly
needs to observe only n/8 bits instead of n for considered code reduced complexity and a hardware friendly structure. For a
length and rates without any performance loss and faulty early
stopping detection.
(n, k) polar code there is (n = 2m ) m-stage factor graph
Keywords— Polar code, belief propagation decoder, early representation. Factor graph representation of (8, 4) polar
stopping detection code and single processing element (PE) showed in Fig. 1
and Fig. 2, respectively. Here, n is the code length and k
I. I NTRODUCTION is the amount of information bits and m is the number of
As the first theoretically proven capacity-achieving error factor graph layer and each layer of factor graph includes
correction code, polar code [1], draw serious attention by its n/2 PE. Update equations for decoder are given in Eqn. (1-
low encoding and decoding complexities. After polar code 4). In Eqn. (1-4) log-likelihood ratio(LLR) values for right
is introduced researches are focused on developing more and left direction referred as R and L LLRs, i is bit index,
efficient encoding and decoding algorithms. j is layer index and t is iteration number.
There are two main decoding algorithms for polar code,
belief propagation (BP) and successive cancellation (SC) as Layer 1 Layer 2 Layer 3
a special form of BP [1], [2]. Both decoders have their (1,1) (1,2) (1,3) (1,4)
own advantages and disadvantages. SC decoder has a serial
+ + +
(2,1) (2,2) (2,3) (2,4)
structure which increases the latency with low decoding com- + +
plexity [2], [3]. On the other hand BP has parallel structure (3,1) (3,2) (3,3) (3,4)
+ +
which is suitable for parallel hardware implementation with (4,1) (4,2) (4,3) (4,4)
high complexity [2]. Scaled min-sum (SMS) BP decoder +
proposed in [4] offers a great deal of complexity reduction
(5,1) (5,2) (5,3) (5,4)
over original BP decoder. + +
As all the other iterative decoding algorithms without early (6,1) (6,2) (6,3) (6,4)
stopping detection SMS BP decoder needs fixed number of +
(7,1) (7,2) (7,3) (7,4)
iterations for decoding [5]. With the help of early stopping +
methods some of the redundant iterations might be avoided. (8,1) (8,2) (8,3) (8,4)
In [3], two early stopping methods, G-matrix and minLLR,
for BP based polar code decoder are proposed. Another
simplified early stopping method called worst of information Fig. 1. Factor Graph Representation for an (8, 4) Polar Code Decoder
bits (WIB) is proposed in [6]. Unlike G-matrix and minLLR
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570
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( ) ( ) ( )
Lti,j = s ∗ sign Lt−1 ∗ t−1
∗ Lt−1 , Lt−1 j
i+n/2 ,j
t t
i,j+1 sign L j
i+n/2 ,j+1 + R j
i+n/2 ,j min i,j+1 i+n/2 ,j+1 + R j (1)
( t−1 ) ( t ) ( t−1 t )

i+n/2j ,j+1 + s ∗ sign Li,j+1 ∗ sign Ri,j ∗ min Li,j+1 , Ri,j
Lti+n/2j ,j = Lt−1 (2)
( t ) ( ) ( )
t t−1
t
Ri,j+1 = s ∗ sign Ri,j ∗ sign Lt−1
i+n/2j ,j+1 + R t
i+n/2j ,j ∗ min R i,j , L i+n/2j ,j+1 + R i+n/2j ,j
t
(3)
( t−1 ) ( t ) ( t )
t
Ri+n/2 j ,j+1 = Ri+n/2j ,j + s ∗ sign Li,j+1 ∗ sign Ri,j
t
∗ min Lt−1
i,j+1 , Ri,j
(4)
࢚
ࡾ࢚࢏ǡ࢐ ࡾ࢏ǡ࢐൅૚ called WIB early stopping criterion proposed in [6] and the
ሺ࢏ǡ ࢐ሻ + ሺ࢏ǡ ࢐ ൅ ૚ሻ
method uses only small cluster of information bits which are
ࡸ࢚࢏ǡ࢐ ࢚െ૚
ࡸ࢏ǡ࢐൅૚
polarized to the highest error probabilities called WIB. As
suggested in [6] for n up to 2048 it is enough to use n/8
࢚
ࡾ࢏൅࢔Ȁ૛ ࢐ ǡ࢐
ࡾ࢚࢏൅࢔Ȁ૛࢐ǡ࢐൅૚ bits to detect successful decoding. Method checks for LLR
࢐
ሺ࢏ ൅ ࢔Ȁ૛ ǡ ࢐ሻ ሺ࢏ ൅ ࢔Ȁ૛࢐ ǡ ࢐ ൅ ૚ሻ values sign alterations of WIB. If there is no sign change
࢚
ࡸ࢏൅࢔Ȁ૛ ࢐ ǡ࢐
ࡸ࢚െ૚
࢏൅࢔Ȁ૛࢐ ǡ࢐൅૚
of WIB LLR values during last M iterations, decoding is
assumed successful.
Fig. 2. Processing Element In this study we combine the idea of WIB method with
the structure of minLLR method.
B. Previous Early Stopping Criteria C. Proposed Early Stopping Criterion

There are three early stopping criteria used for polar As we know from [1], polarization occurs at different lev-
codes, two of them are proposed in [3] and the other one els for different bit indexes. While some of the bits polarize
proposed in [6]. First method is called G-Matrix proposed well others could not polarize as needed. Semi-polarized bits
in [3] and has the lowest average iteration amount along used as information bits cover the great proportion of error
with the highest computational complexity. Second method is probability according to rate of encoder. In [6] this idea used
called minLLR also proposed in [3] with the highest average for simplifying entire early stopping detection. Here we use
iteration amount and mid-level complexity. Last method is the idea to simplify minLLR method proposed in [3]. As
called WIB [6] and the method has the lowest complexity illustrated with Fig. 3, method has the same structure with
with mid-level average iteration amount. minLLR method in [3]. Only difference is amount and index
1) G-Matrix Early Stopping Criterion: G-Matrix method of bits used to detect successful decoding.
has a basic approach, after re-encoding the decoded data
if the results are equal to input data than decoder assumes β
decoding is successful. It has three main steps decision of
•,• ϵ WIB
input bits, decision of output bits and encoding of output
bits to compare with input bits. If the compare operation ϵ WIB Adder ABS |LLR1|
•,•
does not yield any differences then decoding is assumed Comparator
successful. This method includes encoding process at each
Thershold
iteration therefore it has a complexity disadvantage.

2) minLLR Early Stopping Criterion: minLLR method
has a simpler structure than G-Matrix. This method only
!"#$ ,•
check for last layers LLR values magnitude and compares
them with a pre-determined constant (β). If the minimum Adder ABS |LLRnWIB|
!"#$ ,•
LLR value is bigger than β value then decoding is assumed
successful. For high signal to noise ratio(SNR) values, β
needs to be switched to a higher constant. This method has Fig. 3. Block scheme for simplified minLLR early stopping criterion
lower complexity than G-Matrix but has the highest average
iteration amounts. According to [6] WIB covers the information bits with the
3) WIB Early Stopping Criterion: Polarization phenom- highest error probabilities therefore it makes sense to look
ena is fundamental of polar code. When a block is encoded up minimum LLR value inside the WIB cluster instead of
with polar code, some of the bits polarize to high error entire block. To test validity of the idea we provide Table
probabilities and others polarize to low error probabilities. I which gives us the probabilities of minimum LLR values
These bits then classified as frozen bits which have a fixed being outside WIB cluster and the average difference from
value and information bits which carry the information re- actual minLLR value when minimum LLR is outside the
spectively. Third method uses this phenomena. This method WIB.
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571
_____________________________________________________________________________________________________________
!"
! "
! "
=>)
)*"+&,-./012' 3
! " )*"+%,-./012' 3
)*%+&,-./012' 3
)*"+&24.566)27.8925+:
)*"+%24.566)27.8925+:
! " )*%+&24.566)27.8925+:
)*"+&24.566)27.8925+"(
)*"+%24.566)27.8925+"(
)*%+&24.566)27.8925+"(
! "
# !$ !$ "!$ %!$ &!$ '!$ $!$ (!$
;<),1=3
Fig. 4. BER-SNR Results n = 1024 and R = (1/3, 1/2, 2/3) for 40 fixed iterations, minLLR (nW IB = n/8, n/16)
TABLE I
P ROBABILITIES OF M INIMUM LLR B EING O UTSIDE OF WIB AND AVERAGE LLR VALUE D IFFERENCE WHEN M INIMUM LLR IS O UTSIDE WIB
Probability of minimum LLR
Average LLR value difference
being outside of WIB
WIB n/16 n/8 n/16 n/8
RATE
1/3 1/2 2/3 1/3 1/2 2/3 1/3 1/2 2/3 1/3 1/2 2/3
SNR(dB)
−0.5 0.20 - - 0 - - 1.88 - - 0 - -
0.0 0.66 - - 0 - - 2.00 - - 0 - -
0.5 0.86 - - 0 - - 2.11 - - 0 - -
1.0 0.87 - - 0 - - 4.59 - - 0 - -
1.5 0.97 0.14 - 0 0 - 4.71 1.60 - 0 0 -
2.0 - 0.62 - - 0 - - 1.74 - - 0 -
2.5 - 0.89 - - 0 - - 3.33 - - 0 -
3.0 - 0.93 0.09 - 0 0.02 - 3.74 1.35 - 0 0.43
3.5 - 0.96 0.19 - 0 0.06 - 4.19 1.39 - 0 0.52
4.0 - 0.98 0.62 - 0 0.26 - 4.53 1.52 - 0 0.59
4.5 - - 0.86 - - 0.39 - - 3.17 - - 0.65
5.0 - - 0.49 - - 0.14 - - 3.43 - - 1.14
5.5 - - 0.80 - - 0.39 - - 3.73 - - 1.20
6.0 - - 0.94 - - 0.53 - - 3.97 - - 1.24
Table I along with Fig. 4 tell us if nW IB = n/8 there signal to noise ratio (SNR) over 10000 trials.
is no need to look for minLLR value outside WIB cluster.
This allows us to simplify minLLR early stopping criterion As illustrated in Fig. 4 there is no performance loss with
by reducing computational need. proposed method along with complexity reduction for early
stopping section which is also compared with Table II. Fig.
III. S IMULATION R ESULTS 4 also tells us that nW IB = n/16 is not enough to cover the
semi-polarized bits.
For simulation study we use the same methodology as in
[3], [6]. During simulations we consider binary-input additive The most important contribution of an early stopping
white Gaussian noise (BI-AWGN) channel. We choose code criterion to an iterative decoder is iteration reduction perfor-
length as 1024 and we provide simulation results for various mance. Since proposed simplified minLLR method has the
code rates (1/3, 1/2, 2/3). Scaling parameter for SMS BP same iteration reduction performance with original minLLR
algorithm is s = 0.9375. In Fig. 4, we provide bit error rate method we have not provided these results casue these results
(BER) curves for various code rate and WIB number versus clearly stated in [3], [6].
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TABLE II
C OMPUTATIONAL C OMPLEXITIES OF E ARLY S TOPPING M ETHODS FOR
S INGLE I TERATION
G-Matrix WIB minLLR Simplified minLLR

Add 2n M + 2n/8 n n/8
Compare 3n - 2n n/4
XOR nlogn n/8 - -
IV. C ONCLUSIONS
In this study we proposed a simplification to an existing
early stopping criterion (minLLR) for BP based polar code
decoders by using a theory from another early stopping
method (WIB). Simulation results show that there is no
performance loss with simplified minLLR method compared
to original minLLR or fixed iteration amount. Although this
method has the lowest computational complexity for early
stopping section, overall performance would be better if it
is used with G-Matrix method because of average iteration
numbers.
R EFERENCES
[1] E. Arikan, “Channel polarization: A method for constructing capacity
achieving codes for symmetric binary-input memoryless channels,
IEEE Trans. Inf. Theory, vol. 55, no. 7, pp. 3051-3071, 2009.
[2] K. Nai et al. “Polar Codes: Primary Concepts and Practical Decoding
Algorithms,” IEEE Communications Magazine, vol. 52, no. 7, pp. 192-
203, Jul. 2014.
[3] B. Yuan and K. K. Parhi, “Early Stopping Criteria for Energy-Efficient
Low-Latency Belief-Propagation Polar Code Decoders,” IEEE Trans.
Signal Process., vol. 62, no. 24, pp. 6496-6506, Dec. 2014.
[4] B. Yuan and K. K. Parhi, “Architecture optimizations for BP polar
decoders,” in Proc. IEEE Int. Conf. Acoust., Speech, Signal Proces.
(ICASSP), May 2013.
[5] T. Richardson and R. Urbanke, Modern Coding Theory, UK: Cam-
bridge University Press, 2008.
[6] C. Simsek and K. Turk, “Simplified Early Stopping Criterion for
Belief-Propagation Polar Code Decoders” in IEEE Communications
Letters, Early Access Articles, DOI: 10.1109/LCOMM.2016.2580514
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Distribution Network Reconfiguration for

Loss Reduction and Voltage Profile
Improvement using B-PSO
Abdullahi B. Kunya1,2, Gaddafi S. Shehu1, Adamu Y. Ilyasu3, Sunusi G. Mohammed4
1
Mevlana University, Konya-Turkey, Department of Electrical and Electronics Engineering.
2
Ahmadu Bello University, Zaria-Nigeria, Department of Electrical and Computer Engineering.
3
Kano University of Science and Technology, Department of Electrical Engineering.
4
Bayero University, Kano-Nigeria, Department of Electrical Engineering.
abkunya@abu.edu.ng, gsshehu@mevlana.edu.tr, alhaji080@kustwudil.edu.ng, sgmohammed.ele@buk.edu.ng
Abstract— Low and medium voltage (LV and MV) distribution

networks are operated in a radial configuration, but their A. Reconfiguration Techniques
topology, especially when highly loaded, is usually meshed in DNR is the process of varying the topology of DN by
order to improve system reliability and quality of the supply. This changing the closed/open status of sectionalizing and tie
makes it feasible to configure the network after an outage to switches to optimize system parameters while maintaining
restore the service to affected sites. In addition, by modifying the
system constraints [7]. Among the objectives of DNR includes
topology of the network, power loss and node voltage deviation can
be minimize. However, this network modification is a non-linear, reducing system losses, service restoration and relieving
multi-objective, constrained and combinatorial optimization primary feeders either due to overload or allow maintenance
problem. In this paper, Binary Particle Swarm Optimization (B- activities on that feeder. For instance, in Fig. 1, the first feeder
PSO) technique is employed for optimal network reconfiguration can be relieved by opening S1 and closing S7.
of primary distribution network. The objective of the proposed
method is to minimize the total active power loss and voltage
deviation experienced in the network. It is carried out subject to
varieties of technical constraints, with the search space being the
set of networks branches. To ascertain the efficiency of the
proposed method and its practicability on multi-scale distribution
systems, standard IEEE 16-bus, 33-bus and 69-bus test
distribution networks are used. The proposed algorithm is
implemented in MATLAB and MATPOWER environments. The
results obtained signifies the effectiveness of the proposed
technique.
Keywords— Binary Particle Swarm Optimization, Distribution

Network reconfiguration, Loss Reduction, Voltage Deviation. Fig. 1 IEEE 16 bus test system
I. INTRODUCTION In the same vain, the middle feeder carries the loads on the
Distribution networks (DNs) carry electrical power right rest of the feeders if S1 and S2 are open while S7 and S8 are
from transmission system to the consumption sites. Being the closed. In either case, the radial configuration of network is
last stage of the of power delivery, DN contributes at least 40% always maintained.
of the total power loss occurring in the entire system [1]. Most However, this network modification is a non-linear, multi-
DNs are built as weakly meshed but operated radially, for objective, highly constrained and combinatorial optimization
effective coordination of their protection systems [2, 3, 4]. This problem [8]. The complexity of the problem arises from the fact
is done with aid of switches within a feeder or across different that distribution network topology has to be radial and power
feeders as shown in Fig. 1. They are either normally closed flow constraints are nonlinear in nature.
(NC) sectionalizing switches; S1-S6 existing within each feeder The early studies on the network reconfiguration were
and normally open (NO) tie switches; S7 and S8 connecting directed to the planning stage [9, 10]. The sole objective these
sections of different feeders [5]. DN is vulnerable to number of researches is to minimize the cost of construction, giving no
outages due its radial nature, as a fault on a single line can result concern on the quality of the supply. The first recognized work
in blackout to many customers [6]. As a result, many efforts which attempts to solve the problem of distribution system
have been made to suppress these complications and improve reconfiguration for loss reduction was presented by Merlin and
the reliability and quality of the supply. Among the techniques Back [11]. Henceforth, many algorithms have been developed
proposed is distribution network reconfiguration (DNR). to solve this problem. In the proposed method, all switches in
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574
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the DN were closed and then the switches are opened iteration. and are positive real numbers, called learning
successively to eliminate the loops. factors or acceleration constants, which are used to weight the
Recently, some researches have integrated both the DNR particle individual knowledge and the swarm social knowledge,
and DG placement problems to improve the effectiveness of the respectively. rand1,i and rand2,i are real random numbers
DN. Thuan Thanh Nguyen et al. applied adaptive cuckoo uniformly distributed between 0 and 1 that make stochastic
search for DNR for DG allocation [1]. The objective of this changes in the ith particle trajectory. Finally, is the inertia
technique is minimizing power loss and improve voltage weight factor, which represents the weighting of a particle’s
stability. Similarly, in [12], DNR is applied to distribution previous velocity [17].
feeder to allow increasing the penetration of plug-in electric
vehicles and minimizing network cost. Power loss and voltage II. PROBLEM FORMULATION
deviation minimization using DNR is presented in [13] The problem to be solved involves determining the optimal
In this paper, binary particle swarm optimization (B-PSO) DNR, taking into account different technical constraints. The
is applied for optimal DNR to minimize the power loss and objective of the proposed technique is to minimize power loss
voltage deviation in primary DN. The outstanding performance and voltage deviation as formulated in objective function (OF)
of the proposed technique is its ability to solve DNR problem below.
on single feeder or multi-feeder DNs.
Where
B. Binary Particle Swarm
= + (3)
Due the non-linearity and combinatorial nature of the DNR
optimization problem, various techniques were applied for its The first part of the OF is the index of power loss obtained by
solution. It can either be a single or multiple objective problem normalizing the power loss with its initial value as shown in (4)
[6]. Both classical and heuristic optimization methods were
.
applied for DNR problems. Mixed-integer conic programming
is formulated in [5] to minimize power loss. In a similar work = (4)
presented in [14], selective PSO is employed. However, in
these studies less concern was giving to voltage deviation. .
Where is the power loss after reconfiguration and
The particle swarm optimization (PSO) was first introduced
by Kennedy and Eberhart in 1995 [15]. It was developed is the power loss before reconfiguration calculated as;
through simulation of many simplified work, it has been found
to be robust in solving continuous nonlinear optimization +
= = 1,2, … , (5)
problems, PSO is attractive because very few parameters are
require for its applicability [16].
The algorithm used in this paper; B-PSO, has an advantage The second segment of the OF, f2 is the index of the total
of handling both discrete and continuous parameters. voltage deviation. It is similarly obtained by normalizing its
.
It involves initializing the search space with swarm particles, xi reconfigured value, . with its initial value, . .
randomly. The search space in this problem is the set of all the
sectionalizing and tie switches. At each iteration, the position .
∆
of ith particle is updated by its previous position in the velocity = (6)
∆
vector, vi according (1)
The total inherent voltage deviation is computed as;
= + ; = 1,2, … , (1)
Where = [ , , , , … , , ] represents the position vector of ∆ = 1− = 1,2, … (7)

the ith particle at the tth iteration, and = [ , , , ,…, , ]
signifies the velocity vector of the ith particle at the tth iteration,
N being the number of variables of the function to be optimized The DNR problem solved by considering the following
and P is the number of particles in the swarm. The velocity constraints:-
vector is updated according to the following equation:
1. Voltage limit
= + , − ≤ ≤ , = 1,2, … , (8)
+ , ( − ); (2) 2. Maximum permissible line current carrying capacity
=[ ≤ , = 1,2, … , (9)
Where , , , ,…, , ] is the
best solution achieved for the ith particle at the (t−1)th iteration, Where
and =[ , ,…, ] is the best = + −2 cos − sin (10)
position found for all particles in the swarm at the (t−1)th
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575
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of 3.72 MW and 2.30 MVAr respectively [6]. It has 37

= + + (11) branches, 32 sectionalizing switches and 5 tie switches as
2
shown in Fig 3.
= + (12)
= + + (13)
2
= (14)
2
3. Radial network structure (RNS), this mean no loop

are allow in the network
= (15)
Fig. 3 IEEE 33 bus test system
A medium scale system having 69 buses, 73 branches and 5 tie

Note that the switch status can be indexed using either the switches, is used. The network has a total load demand of
corresponding nodes between which the line is connected as in 3.80MW and 2.70MVAr. Its topology is shown in Fig. 4 [1].
or using the line number as in ( = 0 implies that the
line is not connected). Equation (13) is not sufficient, there is
need for an additional set of constrains including loop
approach, which stipulate that each loop in the meshed
configuration has to be open and path-based approach which is
based on the identification of reasonable alternative linking
each bus to the substation [5].
III. TEST SYSTEMS DESCRIPTION

To ascertain the effectiveness of the proposed method and its
practicability on small and medium-scale distribution systems,
three IEEE standard test distribution networks are used.
The first system is 16 bus, 3-feeder radial distribution
system. The network has total loads of 28.125 MW and 13.53
MVAr on 12.65 kV substation voltage. The lines between each
bus has a sectional switch for the buses connected to the same Fig. 4 IEEE 69 bus test system
feeder and a tie switch for the buses connected to two different
feeders as depicted in Fig 2. There are 3 tie switches and 14 Due to the low R/X ratio of these test feeders considered,
such sectionalizing switches are used in this system [18]. the commonly used Newton Raphson load flow program
presents lot of convergence problem, hence backward-forward
sweep method is used.
IV. RESULTS AND DISCUSSIONS

The performance of the proposed method is evaluated on
the aforementioned test systems. The improvement observed in
the individual objectives are expressed as the percentage of
their respective inherent values.
 16-bus test system
As mentioned earlier, this test system has 3 tie switches and
14 sectionalizing switches. The algorithm determined optimal
configuration by varying open/close status of the switches to
minimize the objective function while respecting the RNS and
Fig. 2 IEEE 16 bus test system
other constraints. The optimal solution is obtained by closing
s14 and s15 and opening s7 and s8 while maintaining s16 open
The second test system used in the study is 33-bus as shown in Fig 5.
distribution feeder with a total active and reactive load demand
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TABLE III
33 BUS TEST SYSTEM RESULTS
Parameters Before Reconfiguration After Reconfiguration

Tie switches 33, 34, 35, 36, 37 7, 11, 14, 28, 32
Power loss 208.4592 kW 141.6346 kW
Voltage dev. 1.6610 pu 1.0991 pu
Min. Voltage 0.9108 pu 0.9413 pu
The optimal solution is obtained by closing s33 - s37 and

opening s7, s11, s14, s28 and s32 as shown in Fig. 7.
Fig. 5 Optimized Configuration of 16 bus test system
With this reconfigured network, the power loss is found to

be reduced by 8.8903% of the total loss established to be
514.0293 kW. The voltage deviation reduced by 12.3364% of its
inherent value of 0.2140 pu. Summary of the optimal
reconfiguration results are shown in Table I.
TABLE I
16 BUS TEST SYSTEM RESULTS Fig. 7 Optimized Configuration of 33 bus test system
Parameters Before Reconfiguration After Reconfiguration

As result of this reconfiguration, the power loss is found to
Tie switches 14, 15, 16 7, 8, 16 be reduced by 32.0564% of the total inherent losses before
Power loss 514.0293 kW 468.3304 kW reconfiguration while the voltage deviation reduced by
Voltage dev. 0.2140 pu 0.1876 pu 33.8290% of the initial deviation established to be 1.6610 pu,
Min. Voltage 0.96824 pu 0.9707 pu much better than those obtained in [14].
Switches that changes status during the reconfiguration has 1

Before Reconfiguration
After Reconfiguration
significantly affect the voltages of the neighbouring buses.
0.99
From Fig. 6, it can be vividly seen that voltages of bus 10, 11
and 14 have greatly improved due to changes in s7, s8 and s15 0.98
respectively.
Voltage (p.u)
0.97
0.96
1 0.95
Before Reconfiguration
After Reconfiguration
0.94
0.995
0.93
0.99
0.92
Voltage(pu)
0.985 0.91
1 3 5 7 9 11 13 15 17 19 21 23 25 27 29 31 33
Bus Number
0.98
Fig. 8 33-bus test system voltage profile.

0.975
Since voltage deviation is included in the OF, buses with
0.97 higher deviation experienced significant improvement in their
0.965
respectively profiles. In addition, neighbouring buses to the
1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 switches altered, like bus 12, 13, 13 and 15, have appreciable
Bus Number
improvement as depicted in Fig. 8 above.
Fig. 6 16-bus test system voltage profile.
 69-bus test system
 33-bus test system In spite of the higher number of buses when compared with
Unlike the previous case, 33-bus system has one substation, the previous cases, the algorithm is capable of locating the
which makes its DNR a little easier. The optimal configuration switches to be opened in order to minimize the OF while
is tabulated below. maintaining RNS and other constraints. Table III summarizes
the optimal configuration.
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TABLE IIIII V. CONCLUSION

69 BUS TEST SYSTEM RESULTS
In this paper, the binary swarm optimization algorithm is
Parameters Before Reconfiguration After Reconfiguration applied to solve distribution network reconfiguration. The
Tie switches 69, 70, 71, 72, 73 14, 58, 61, 69, 70 objective of the proposed technique is to minimize the active
Power loss 224.9804 kW 98.5952 kW power loss and voltage deviation. It is carried out subject to
Voltage dev. 0.2140 pu 0.1876 pu some technical constraints in addition to maintaining the radial
Min. Voltage 0.9092 pu 0.9495 pu nature of the network. The decision variables are the open/close
status of the sectionalizing and tie switches. IEEE multi-feeder
The optimal reconfiguration is achieved by closing s71, s72 16-bus and single feeder 33-bus and 69-bus test distribution
and s73 and opening s14, s58 and s61 while maintaining s69 and networks are used for testing the proposed technique. One
s70 open as shown in Fig 9. distinguishing feature of the proposed method is its ability to
handle system with single and multiple feeders.
From the simulation result, the technique is capable of
reconfiguring the networks effectively and minimized the
objectives. With the optimized reconfiguration, the RNS is
maintained in all the cases, no mesh network is formed. Even
though 69 bus system has higher number of buses, yet the result
obtained is much better than the previous cases. While
reconfiguring the networks, opening or closing some switches
resulted in transferring some loads from one feeder to another,
hence overloading it. This can be observed at bus 41- 46 due to
introduction of loads at bus 15 – 27 and bus 62 – 65 by opening
s14 and closing s71. Distributed generation is needed at those
overloaded feeders to support its load carrying capacity.
It is envisioned as future work to incorporate distributed
generation to support the loaded feeders. Same technique will
Fig. 9 Optimized Configuration of 69 bus test system
be used to determine their optimal siting and sizing.
As result of this reconfiguration, the power loss is found to ACKNOWLEDGMENT

be reduced by 56.1761 % of the total inherent losses while the The author Gaddafi Sani Shehu wish to acknowledge the
voltage deviation reduced by 64.6758%. This improvement is support of Scientific and Technological Research Council
much better than that obtained in [19, 20]. (TUBITAK) to Doctoral programme.
It is worth-noting to inspect the deterioration of voltages at
bus 41- 46 as shown in Fig 10. This is caused as result of REFERENCES
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[2] L. W. de Oliveira, F. S. Seta and E. J. de Oliveira, "Optimal
0.99 reconfiguration of distribution systems with representation of
uncertainties through interval analysis," Electrical Power and Energy
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Systems, vol. 83, p. 382–391, 2016.
0.97 [3] H. Fathabadi, "Power distribution network reconfiguration for power
Voltage (p.u)
0.96 loss minimization using novel dynamic fuzzy c-means (dFCM)

clustering based ANN approach," Electrical Power and Energy Systems,
0.95
vol. 78, p. 96–107, 2016.
0.94 [4] V. Borozan, D. Rajicic and R. Ackovski, "Minimum Loss
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Reconfiguration Of Unbalanced Distribution Networks" IEEE
Transactions on Power Delivery, vol. 12, no. 1, pp. 435-442, Jan. 1997.
0.92
Before Reconfiguration [5] R. A. Jabr, R. Singh and B. C. Pal, "Minimum Loss Network
0.91 After Reconfiguration Reconfiguration using Mixed-Integer Convex Programming" IEEE
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Transactions on Power Systems, vol.27, no.2, pp.1106-1115, May 2012.
1 6 11 16 21 26 31 36 41 46 51 56 61 66 69
[6] E. M.-Moghaddam, M. R. Narimani, M. H. Khooban, A. Azizivahed and
Bus Number
M. J. Sharifi, "Multi-objective distribution feeder reconfiguration to
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[8] H. Li, W. Mao, A. Zhang, C. Li, "An improved distribution network Optimization," International Journal Of Multidisciplinary Sciences And
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A Design Optimization Study of the Outer Rotor

PMSM with Genetic Algorithm and Differential
Evolution Algorithm
Mümtaz Mutluer*
*
Necmettin Erbakan University
Department of Electrical and Electronics Engineering, 42090, Meram, Konya, TURKEY
mmutluer@konya.edu.tr
Abstract— Today, the using of permanent magnet synchronous and the differential evolution algorithm were run to provide
motors has increased in industrial fields and these motors have the optimal efficiency values. As input parameters the
many different structures. The outer rotor structure is structural parameters of the motor were taken. The
remarkable in terms of ease of design and torque density. This optimization and the analytical results were compared and
study proposes to design optimization of the outer rotor with
eventually the results are sufficiently.
genetic algorithm and differential evolution algorithm. The
geometric sizes were selected as design parameters and the motor
II. DESIGN OPTIMIZATION STAGES OF THE PMSM
efficiency is used as objective function. The obtained results by
using of each algorithm are compared and the industrial
conclusions were presented. As a result, the results are
A. The Winding Layout
satisfactory and the study is useful for academic and industrial In this study, the investigated PMSM are the surface
technical staff. mounted with outer rotor and the number of stator slots and
pole numbers are 12/10 respectively. The concentrated/double
Keywords— design optimization, differential evolution algorithm, layer winding layout is shown in Figure 1. The winding factor
genetic algorithm, outer rotor, permanent magnet synchronous is a good value for performance and it is 0.933 [5], [6].
motor
I. INTRODUCTION
Electric motors consume a large portion of the electrical
Fig. 1 The winding layout
energy in the world. Therefore, academic and industrial works
related to energy consumption and high efficiency motors are B. The Design Parameters and the Objective Function
more important.
The design of the permanent magnet synchronous motors is
Nowadays permanent magnet synchronous motors
nonlinear study and it has different design parameters. Some
(PMSMs) have been preferred because of their high efficiency
of them are variables, invariables and constants. Therefore,
and torque density. Motor structures affect these merits. Here
the effects of these parameters on the objective are different in
the outer rotor permanent magnet synchronous motors are
terms of ease and accuracy of the design. The design
remarkable. Generally these motors have common advantages
optimization parameters are the rotor diameter for the inner
as other permanent magnet synchronous motors for example
rotor or stator diameter for outer rotor Drc, magnet thickness lm,
gearless [1]. In low-speed applications, the surface mounted
air gap length δ, slot wedge height hsw, stator tooth width bts,
PMSM with inner rotor is most popular but in high-speeds the
stator slot height hss, ratio of the slot opening over the slot
outer rotor is more appropriate for the permanent magnets can
width kopen. The two dimensional geometry of the motor is
be protected from centrifugal forces in outer rotors. Moreover
shown in Figure 2 [7].
their torque density is greater due to the wide diameter of the
air gap and the production costs of the outer rotor are suitable.
The stochastic methods have been used for electrical
machine design optimization. These methods can give
effective results to the very complex problems like motor
designs [2], [3]. Some of the most famous of these methods
are the genetic algorithm and the differential evolution
algorithm. These methods do not require the initial solution or
population. The objectives of the design optimization of the
PMSMs based on stochastic methods are reduce the torque
harmonics or to increase the efficiency of the motor [4].
This study was conducted to optimize the design of the
outer rotor PMSM for high efficiency. The genetic algorithm Fig. 2 Two dimensional geometries of the outer rotor PMSM
____________________________________________________________________________________________________________
580
_____________________________________________________________________________________________________________
taken only as constraints. The constraint values are 1.8T for

The diameter, the stack length, and the pole angle are the stator teeth and 1T for the stator and the rotor yokes. The
constraints. For each motor the outer diameter is 340mm, the geometric parameters were mentioned as input design
stack length is 120mm, and the pole angle is 126°. optimization parameters.
The supply, power, and speed values for the motor are The genetic algorithm has the crossover ratio is 0.85 and
340V, 2400W, and 250rpm. The remanence flux density and the mutation ratio is 0.01 and both algorithms have the
the relative permeability of the permanent magnets are 1.2T population number is 50, the iteration number is 50. The
and 1.03. termination criterion of the GA and the DEA is iteration
number. The algorithms have binary codes and each gene has
= × (1) ten bits.
=3 × (2) According to pre-analytical design and design optimization
= + (3) of the PMSM, the efficiency and losses results were given in
= × 100% (4) Table 1. The investigated outer rotor motor has a good
efficiency. It is possible to say that the differential evolution
algorithm obtained the better results than the genetic
where, is mechanical angular velocity, is output algorithm. At the same time in low frequency ohmic losses are
power, is copper loss, is hysteresis loss, is eddy more effective than iron losses.
current loss, is iron loss, and is efficiency of the motor.
III. THE OPTIMIZATION ALGORITHMS TABLE I

THE DESIGN AND THE OPTIMIZATION RESULTS
A. The Genetic Algorithm Ohmic Loss Iron Losses Efficiency
Genetic algorithms (GAs) do not produce only one solution Analytical 79.4W 44.4W 95.09%
for any optimization problem. The aim of the GAs is to find GA 57.8W 40.7W 96.06%
the optimal solution in the solution space. Populations in the DEA 56.8W 37.6W 96.22%
genetic algorithm are composed of independent individuals
and the individuals have genes reflects the solution of the 96.5
Genetic Algorithm
problem [8].
Genetic algorithms do not guarantee to investigate the 96
X: 3
optimal result. The GAs may converge to a local solution but Y: 96.06
optimal efficiency values (%)
also they do not require the solution of the initial solution. 95.5
Genetic algorithms have three operators; reproduction,

95
crossover and mutation. The reproduction selects the
individuals with higher fitness values to keep the struggle for 94.5
life by using roulette wheel, tournament or any other selection
criteria. Crossover operator exchanges randomly the genes of 94
two individuals. Mutation operator changes the string’s bit

from a “1” to a “0” or vice versa so the convergence of the 93.5
0 5 10 15 20 25 30 35 40 45 50
iteration number
algorithm to the local solutions is prevented.
Differential Evolution Algorithm
96.3
B. The Differential Evolution Algorithm 96.25
X: 50
Y: 96.22
Differential evolution algorithm (DEA) is one of the 96.2
famous optimization algorithms. The algorithm is basically

optimal efficiency values (%)
96.15
similar to genetic algorithm. Furthermore the main feature of 96.1
the DEA is the use of differential operator. Differential action 96.05
shall be taken to evaluate fitness values on the parents’ genes 96
by the differential operator, thus the quality of the population
95.95
is tried to be increased. DEA shows superior performance
95.9
because of very small number of parameters to be set and the
95.85
understandable actual code sequence [8].
0 5 10 15 20 25 30 35 40 45 50
iteration number
IV. THE DESIGN APPLICATION AND THE EVALUATION OF THE
RESULTS Fig. 3 The convergence graphics of the algorithms
In this study some assumptions were made about the motor
design such as neglect of the mechanical strength, thermal
The analytical, the GA, and the DEA efficiency results are
loadability. Obviously, industrial manufacturability of the
95.09%, 96.06% and 96.22% respectively. The ohmic losses
PMSM was neglected in the design optimization results. The
have more decreased than the iron losses. The genetic
saturation on the stator teeth and stator and rotor yokes were
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algorithm may be fallen in a local solution it is absolutely of the Nordic Workshop on Power and Industrial Electronics (NORpie),
2004.
weakness. The graphics of the GA and the DEA were shown
[2] B. N. Cassimere, S. D. Sudhoff, “Population-based design of surface-
in Figure 4. The DEA is more sensitive and strong. mounted permanent-magnet synchronous machines,” IEEE
Transactions on Energy Conversion, vol. 24, no. 2, June 2009.
V. CONCLUSIONS [3] M. Mutluer, O. Bilgin, “Design optimization of PMSM by particle
swarm optimization and genetic algorithm,” in International
The design optimization of the outer rotor PMSM was Symposium on Innovations in Intelligent Systems and Applications,
investigated by the genetic algorithm and the differential 2012, Pages 1-4.
evolution algorithm. The obtained results show that the [4] S. D. Sudhoff, J. Cale, B. Cassimere, M. Swinney, “Genetic algorithm
differential evolution algorithm has better results than the based design of a permanent magnet synchronous machine,” IEEE
International Conference on Electric Machines and Drives, 2005, Pages
genetic algorithm. The ohmic losses are more important in 1011-1019.
low frequency application. Eventually, the design [5] J. A. Güemes, A. M. Iraolagoitia, M. P. Donsión, J. I. Del Hoyo,
optimization study of the outer rotor permanent magnet “Analysis of torque in permanent magnet synchronous motors with
synchronous motor and the results are acceptable. fractional slot windings cogging torque,” in Proceedings of The
International Conference on Electrical Machines, 2008, Pages 1-4.
[6] F. Libert, J. Soulard, “Investigation on Pole-Slot Combinations for
ACKNOWLEDGMENT Permanent-Magnet Machines with Concentrated Windings,” in
This study is supported by The Coordinator of Scientific Proceedings of the International Conference on Electrical Machines
Research Projects of Necmettin Erbakan University. (ICEM), Cracow, Poland, 2004, Pages 530-535.
[7] Flux2D Version 10.3, Tutorial: Brushless Embedded Magnet Motor,
2010.
REFERENCES [8] S. S. Rao, “Engineering optimization theory and practice,” Wiley, 2009.
[1] F. Libert, J. Soulard, “Design study of different direct-driven
permanent-magnet motors for a low speed application,” in Proceedings
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Microprocessor Based Antenna Reconfiguration

Controller For 5G Communication Systems
Ayhan Yazgan
Karadeniz Technical University
Electrical Electronics Engineering Department 61080 Trabzon TURKEY
ayhanyazgan@.ktu.edu.tr
Abstract— In order to cover wide spectrum with high antenna this situation, a sensing antenna should be inserted into the
gain, the reconfiguration process may be proposed as an system so as to scan and figure out the suitable frequency
alternative solution instead of using several antennas which is not bands [6]. All these process address the frequency
efficient considering the size restriction situation. In this study, a reconfiguration. On the other hand, it should be noted that
microprocessor based antenna reconfiguration controller circuit
pattern or polarization reconfiguration may be needed for the
is designed and fabricated. Designed circuit can be used to
reconfigure the antenna frequency, pattern or polarization for future communication standards.
the possible 5G communication requirements. Proposed antenna The paper is organized as follows. In Section 2, the
reconfiguration controller has the ability of switching selected fabricated Antenna Reconfiguration Controller (ARC) is given.
PIN diodes in order to cover the desired frequency bands. Section 3 gives and discusses the results. Section 4 concludes
the paper.
Keywords— Antenna reconfiguration, 5G communication
II. ANTENNA RECONFIGURATION CONTROLLER (ARC)
I. INTRODUCTION The fabricated microprocessor based ARC is given in Fig.1.
The necessity of high speed communication drives Parallel cables are connected to the one port of the 8 bit
researches to figure out new designs and algorithms. These microprocessor. LEDs are inserted for testing the signalization
developments may be in hardware or software side. In order to correctly. In order to test the ARC, a monopole antenna is
meet the high speed communication requirements, these designed with one high speed PIN diode as an electronic
developments should move on together. For example, switch. The aim of this testbed is to use a monopole antenna
considering a mobile phone, suitable software is loaded into for two different frequencies. The monopole size can be
different type microprocessors which manage several selected to obtain the desired frequency band. However the
functions in the phone. On the other hand, electromagnetic bandwidth of the antenna does not change is this method.
properties of the communication device are also important.
One of them is the antenna which converts electrical signals
into electromagnetic waves and vice versa. The antenna in a
mobile phone or base station should send and receive
electromagnetic waves in different bands of the
electromagnetic spectrum. In order to meet the
communication standards, different types of antennas have
been designed so far. Some electronics devices have more
than one antenna to cover different bands. Another option is to
use reconfigurable antennas of which the resonant bands can
be rearranged by the operator. Moreover, beside frequency
reconfiguration, different properties of the antennas can be
reconfigured such as antenna pattern or polarization [1,2].
Several reconfiguration methods are used in literature [3-5].
However, electronic and optical reconfigurations are very
topical these days. In this study, a microprocessor based
reconfiguration tool is designed fabricated and tested. The
designed antenna reconfiguration controller (ARC) can be
applied for controlling 64 electronic or optical switches on the
antenna surface. For the sake of simplicity, a monopole
antenna is used in the testbed. However, considering a
cognitive radio process which may be a possible network in
5G, the instant channel state information (CSI) will be Fig.1. Fabricated Antenna Reconfiguration Controller
necessary in order to focus on the desired frequency band. In
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III. RESULTS their electromagnetic effects may change the resonance

Designed ARC has been tested for different types of frequency [7].
antennas. Here the monopole test results are given. ARC
activates or deactivates the switches which are inserted on the
antenna surface in the antenna fabrication process. A
Microchip brand processor is used and the schematic of the
electronic card is designed by using Eagle 6.2 Layout. In this
study, only one switch is used for the sake of simplicity.
However if the number of switches need to be increased, in
this case, a look up table may be designed and inserted into
the microprocessor by software. A power supply and LCD
screen are also seen in the testbed which is given in Fig.2. The
simulated and designed monopole antennas are given in Fig.3.
Fig.4. Monopole antenna reconfiguration test
Fig.2. Antenna test process.
(a) (b) Fig.5. Monopole antenna under test

Fig.3. The simulation (a) and PCB (b) of the designed monopole antenna
According to the results, when the switch is turned on the
In Fig.4 and Fig.5, the fabricated antennas on the ground resonance frequency of the antenna is measured as 900 MHz.
plane are given. Monopole antenna length is 100 mm and the Conversely when the switch is turned off, the antenna
printed surface is Rogers 4350 substrate (εr=3.48). Designed resonance frequency is measured as 582 MHz. It is clear that
antenna has special inductors capacitors for electromagnetic the frequency reconfiguration process of an antenna can be
isolation and resistors for the current limiting process. realized simply by a high speed PIN diode and cheap
Another important device on the antenna surface is the PIN electronic components. Pattern and polarization
diode. In this study BAP63-02 is selected from NXP company. reconfigurations may be experienced for the future antenna
These electronic devices have to be selected carefully since studies.
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IV. CONCLUSION
An antenna reconfiguration controller (ARC) is designed,
fabricated and tested. A monopole antenna which is controlled
by the ARC has been fabricated and operated for two different
frequencies using a PIN diode. This antenna reconfiguration
controller is inevitable part of the cognitive radio which is
suggested as possible 5G networks in literature. Using this
fabricated ARC, reconfiguration process can be applied up to
64 swithes. This number can be increased but considering the
complexity it is not suggested.
REFERENCES
[1] Aboufoul T., Alomainy A., Parini C., Polarization Reconfigurable
Ultrawideband Antenna for Cognitive Radio Applications,
Microwave and Optical Technology Letters, 55,3 (2013) 501-506.
[2] Aboufoul T., Shoaib I., Alomainy A., Xiaodong C. Pattern
Reconfigurable Planar UWB Antenna Array for Future Cognitive
Radio Portable Devices, Antennas and Propagation Conference
(LAPC), Loughborough, 2012.
[3] Tawk Y., Albrecht A. R., Hemmady S., Balakrishnan G., Christos
G., Christodoulou C. G., Optically Pumped Frequency
Reconfigurable Antenna Design, IEEE Antennas and Wireless
Propagation Letters, 9 (2010) 280-283.
[4] Cai Y., Guo Y. J. , Bird T. S., A Frequency Reconfigurable Printed
Yagi-Uda Dipole Antenna for Cognitive Radio Applications, IEEE
Transactions on Antennas and Propagation, 60,6 (2012) 2905-
2912.
[5] Yazgan A., Kaya H., Çavdar İ.H., "Optically Reconfigurable
Sierpinski Fractal Antennas for RoF Based Communication
Systems", Telecommunication Systems, vol.59, no.4, pp.453-461,
2015
[6] Zhang R., Lim T. L., Liang Y. C., Zeng Y., Multi-Antenna Based
Spectrum Sensing for Cognitive Radios a Glirt Approach, IEEE
Transactions on Communication, 58,1 pp. 84-88, 2015.
[7] Yazgan A., Çavdar İ.H., Kaya H., "The Effect of PIN Diode
Characteristics on the Antenna Reconfiguration Part of Cognitive
Radio", 38th International Conference on Telecommunications and
Signal Processing (TSP), Prag, CEK CUM., 9-11, pp.191-194,
2015.
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Neurosky EEG Biosensor Using in Education

Hüseyin Çizmeci*, Doruk Ayberkin+, Mehmet Barış Tabakcıoğlu#
*
Computer Programming Department, Hitit University, Çorum / Turkey
huseyincizmeci@hitit.edu.tr
+
Computer Programming Department, Bayburt University, Bayburt / Turkey
doruk@bayburt.edu.tr
+
Electrical-Electronics Engineering Department, Bursa Technical University, Bursa / Turkey
mehmet.tabakcioglu@btu.edu.tr
Abstract – Brain is composed by neurons using electricity to Brainwaves change regard to what we’re doing and feeling. In
communicate to each other. There is a great amount electrical the case of that slower brainwaves are dominant; we can feel
activity in the brain due to collection of numerous neurons tired, slow, sluggish, or dreamy. On the contrary in the case of
sending signal. Neurons send brainwaves detected by sensitive that higher frequencies are dominant, we feel hyper-alert.
equipment like electroencephalogram or electroencephalograph Brainwaves are classified into groups with respect to
(EEG). Beta waves emanates from brains responsible for frequencies in Hertz, like gamma, beta, alpha, theta and delta.
problem solving or decision making. Some equipment like
neurosky biosensor intercepts these brain waves. In this study,
Frequency of delta waves changes between 0.5 and 3 Hz.
neurosky biosensor is used in measuring the meditation level of
students in the physics course. Developed program process the Delta waves slowest whereas loudest brainwaves. Delta waves
data of neurosky biosensor sent and make decision about generated in deepest meditation and dreamless sleep.
meditation level of student in the course. Program says that
“your meditation level is low to pass another subject or solve the Frequency of theta waves changes between 3 and 8 Hz. Theta
exam”. waves generated in deep meditation and sleep.
Key words – Brainwaves, neurosky biosensor, EEG, education, Frequency of alpha waves changes between 8 and 12 Hz.
neurolearning. Alpha waves responsible for now and no quite meditation.
Alpha waves generated in calmness and learning.
I. INTRODUCTION
Our brain is made up of billions of neurons using electricity to Frequency of beta waves changes between 12 and 38 Hz.
communicate to each other. There is a great amount of These waves are dominant in waking state of consciousness
electrical activity in the brain thank to sending signals. This and engaged with problem solving and decision making.
electricity can be detected by equipment such as
electroencephalograph (EEG). Electrical activity in the brain Frequency of gamma waves, fastest changes between 38 and
composes brainwaves. Brainwaves are produced by 42 Hz [1, 2].
synchronised electrical pulses from masses of neurons
communicating with each other. Brainwaves are divided into Neurosky EEG biosensor, which is a non-invasive, dry and
bandwidths to describe their functions as indicated in Fig. 1, low cost, can intercept the brainwaves, measures the attention
however are best thought of as a continuous spectrum of and meditation level is illustrated in Fig. 2. [3].
consciousness.
Fig. 2 Neurosky Biosensor
Neurosky EEG biosensors can be used in education [4].

Meditation and attention rates shows difference in the case of
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Fig. 1 Brainwaves
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different room colour. By changing the room colour these Thirdly, lesson names, required average attention and
meditation and attention rates can be increased [5]. In order to meditation rate for subjects are determined as illustrated in Fig.
observe how the rates changes, a lot of game is developed [6]. 7.
Neurosky EEG biosensor can be used for identifying the
emotion while playing game [7]. In this study, neurosky EEG
biosensors are used in measuring the meditation level of
students in the course. Developed program process the data of
neurosky EEG biosensors sent and make decision about
meditation level of student in the exam. Program says that
“your meditation level is low to solve the exam or pass to
another subject”.
Fig. 7 Lessons of subjects
II. EDUCATION WITH NEUROSKY BIOSENSOR Fourthly, course materials are uploaded into developed
We have developed a program by means of using neurosky program as demonstrated in Fig. 8 a-b for text and video
biosensor. Firstly, instructors and students have to be sign up upload respectively.
this program as demonstrated in Fig.3.
Fig. 7 (a)
Fig. 3 Sign up
Instructors sign in the program and load the course materials (a)
in the form of text, power point, image and video. Main menu
of the developed program is illustrated in Fig.4.
Fig. 4 Menu of program
As it is seen in Fig.4, average attention and meditation rate

while studying is recorded. Instructor can enter the program
and upload the course materials. The students can enter the
developed program; wear the neurosky biosensor while
studying. Firstly, courses are offered as shown in Fig. 5.
(b)
Fig. 8 Course material upload
Finally, after course materials are loaded, student can enter the
system and study the subjects. During studying period,
attention and meditation rates are recorded. When the students
Fig. 5 Offering the courses want to pass another lesson in the case of lower meditation
and attention rate, the system gives the warning like “your
Secondly, subjects of courses are entered as depicted in Fig. 6. attention and meditation level is lower than predetermined
value for that reason you cannot pass another lesson”. Also
instructor can see the statistical mean of the meditation and
attention rate as shown in Fig. 9.
Fig. 6 Subjects of offered course
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enter the system with their user name and password. Then
study the first subject. If meditation and attention rates are
high students pass to second subject. Otherwise, students have
to study the subject again. Whenever these rates are high,
students pass to second subject.
ACKNOWLEDGMENT
This work is supported partially by Bursa Technical
University Scientific Research Projects Unit under the grant
no. 2016-01-021.
Fig. 9 Statistical mean of the recorded values REFERENCES
[1] Transparent Coorparation homepage, [Online]. Available:

http://www.transparentcorp.com/products/np/brainwaves.php
Students study while wearing the neurosky biosensor as [2] Brainworks homepage, [Online]. Available:
shown in Fig. 10. http://www.brainworksneurotherapy.com/what-are-brainwaves.
[3] Neurosky homepage, [Online]. Available: http://neurosky.com/
[4] Crowley, K., Sliney, A., Pitt, I., Murphy, D., “Evaluating a Brain-
Computer Interface to Categorise Human Emotional Response”, 10th
IEEE International Conference on Advanced Learning Technologies,
276-278, 2010.
[5] Bozkurt, F., Coskun, H., Aydoğan, H., “Effectiveness of Classroom
Lighting Colors Toward Students’ Attention and Meditation Extracted
From Brainwaves”, Journal of Educational and Instructional Studies in
the World, 4 (2), 6-12, 2014
[6] Yıldırım, N., Varol, A., “Developing Educational Game Software
Which Measures Attention and Meditation with Brainwaves: Matching
Mind Math”, ICEE ICIT Conference, 325-332, 2013.
[7] Yoon H., Park, S.W., Lee, Y.K. and Jang, J.H., “Emotion Recognition
of Serious Game Players Using a Simple Brain Computer Interface”,
IEEE International Conference on ICT Convergence, 783-786, 2013.
Fig. 10 Student studying while wearing biosensor
If the meditation and attention rate of the students are higher

than predetermined rates, they can pass to another lesson.
Otherwise they are not permitted to pass another lesson as
illustrated in Fig. 11.
Fig. 11 Less attention rate case
III. CONCLUSION
Brain emanates brainwaves in doing or feeling something.
These brainwaves can be intercepted and processed by
equipment like neurosky biosensor. In this study, neurosky
biosensor used for measuring meditation and attention rates of
student. We have developed a computer program. Via the
program, we load the course materials into system. Students
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Adaptive Fault Tolerant Control for a Liquid Tank

Process
Mehmet Arıcı, Tolgay Kara
Department of Electrical and Electronics Engineering, University of Gaziantep, 27310 Gaziantep, Turkey
{mehmetarici, kara}@gantep.edu.tr
Abstract— Level control of liquids in coupled tanks is a basic fails; it will stay at the faulty mode during the rest running
requirement in many industrial processes. Liquid levels in tanks process. In other words, the number of actuator failures is
must be controlled accurately regardless of environmental finite. However, in practice, especially for safety-critical
circumstances. Minor faults in sensors, actuators or other system systems, the failed actuator may recover itself by a self-
components that take place in processes where liquid level
repairing control system and the actuator may fail more than
control is required can result in catastrophic consequences. In
once during the operation process, that is, the number of
this case, a fault tolerant control system is needed. The controller
must be either robust (passive) or in reconfigurable (active) typeactuator failures is infinite. The actuator failures are
in order to compensate for the effect of actuator faults and practically stochastic in nature. For instance, a normally open
maintain system reliability and performance. In this study, a electrical contact in electrical switches, relays or breakers is
water tank level control system and possible valve actuator faultsrequired to be open when it is in a de-energized or relaxed
are modelled. By designing different controllers and using state. However, at some moment, the contact may undergo
modelled failures a simulation is constructed. To test the abrupt disturbances, which turns it to be closed, and it may
reconfigurable type controller performance against
recover to be open again, that is, the contact may jump
faults/failures, a model reference adaptive control system is
between closed mode (failure) and open mode (failure-free) in
implemented and compared with PI-controlled system.
a stochastic manner. Several studies design compensators with
Keywords— Actuator faults, fault modelling, fault tolerant
stochastic actuator failure [17-25]. In [17-19], actuator failure
control, model reference adaptive control, liquid tank
model output represented with a failure or faulty matrix. This
diagonal matrix takes ‗1‘ and ‗0‘ values, which correspond to
total failure and normal operation conditions. Also values
I. INTRODUCTION
between ‗1‘ and ‗0‘ are considered which represent loss of
Main industries where liquid level and flow control are effectiveness. The diagonal matrix is stochastic with a known
essential include petro-chemical industries, paper production distribution. Generally Bernoulli distributed sequences and
plants, water treatment industries, food processing industries, Gaussian distribution are used to model failure behaviours. In
pharmaceutical industries, nuclear power generation plants, [20-25], the aforementioned abrupt changes are modeled as a
and automatic water drainage systems. Due to increasing Markovian process. Markovian process is a stochastic model
demands on system performance and product quality as well that can be used to model a random system that changes states
as economic benefits, modern technical processes have according to a transition rule that only depends on the current
become more complicated. These complicated systems are state. [26] shows that for given adequate historical data, the
vulnerable to faults in sensors and actuators. Minor faults in abrupt changes can be modeled as Markovian process. In the
sensors, actuators or other system components that take place studies cited above, the stochastic functions related to
in processes in which fluid level control is a basic requirement Markovian variables are employed to denote the failure
can result in catastrophic consequences. Control system in this scaling factors for each actuator.
case must compensate for the effect of actuator faults and It is needed to design control methods capable of ensuring
must maintain system reliability and performance. nominal performance considering the occurrence of failures.
Failures are difficult to accurately predict in time and can This control is referred to as fault tolerant control (FTC)
be abrupt, incipient and intermittent [1]. They are classified which has become of significant importance in the last
according to their location of occurrence in the system. The decades. There are lots of approaches in FTC area and
impact of a fault can be a small reduction in efficiency but individual research has been carried out extensively. However
could also lead to overall system failure and system instability. systematic concepts, design methods and even terminology
Therefore, in the design phase of compensators a good are still not standardized [2, 3]. In FTC systems, the
actuator failure model that covers all possible cases is crucial achievable system performance depends on the availability of
and in the application phase, more practical. Different types of redundancies in the control system as well as the design
actuator models are available in both deterministic and approaches used in synthesis of fault-tolerant controllers.
stochastic manners for linear or nonlinear systems. Most of Recently, FTC systems are classified into two categories,
related studies consider deterministic actuator fault models [2]. namely, active FTCs, and passive FTCs. These two
They use various approaches in deterministic manner [3-15] approaches use different design methodologies for the same
and generally consider a specific case that once the actuator control objective. However, due to the distinctive design
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approaches used, each method can result in some unique that i-th actuator operates normally ( ua (t )  u (t ) ). The
properties. A general requirement for both methods is the quantities  ia can also take values in between 0 and 1, making
existence of system redundancies which can be analytical or
applied on hardware and difference is how the redundancy is it possible to represent partial actuator faults. For different
utilized. types of fault conditions the above model can be specified in
In passive approach, a list of potential malfunctions is detail as:
assumed to be known a priori as design basis faults, and all  u i (t )  ai  1; f ai  0 t  t0 Fault free
failure modes as well as the normal system operating  i i
conditions are considered at the design stage. An active FTC   au (t ) 0   ai  1; f ai  0 t  tF Partial fault

reacts to system component malfunctions (including actuators,  a   f ai  u i (tF )
i
 ai  0 t  tF Stuck fault (2)
 i  ai  0 t  tF Hard  over fault
 fa  u
system itself, and sensors) by reconfiguring the controller i
based on the real-time information from a Fault Detection

 f a  f (t )  ai  0 t  tF
i
Floating fault
Diagnosis (FDD) scheme. The term ―active‖ represents
corrective actions taken actively by the reconfiguration Practically, considered faults in (2) occur randomly with
mechanism to adapt the control system in response to the unknown size and mode. Some probabilistic properties can be
detected system faults. Adaptive control methods are very added to the model to represent randomly occurring
suitable for active FTC. Due to their adaptation ability in the phenomenon. In this case, the failure model can also represent
case of system parameter changes, these methods are in self- the failures occurring intermittently.
reconfigurable type. In other words, they do not require the Faults are further classified as additive and multiplicative
reconfiguration mechanism and FDD components if with respect to the way they are modelled. Additive faults are
component and actuator faults are considered. suitable for representing component faults in the system while
In this study, firstly, a general model for actuator sensor and actuator faults are mostly multiplicative by nature.
fault/failure is given. Then, a simple single input single output Possible actuator faults in multiplicative type can be
water level control system with valve actuator is chosen as represented by:
testbed since it is widely used in process industry. The level
control process is modeled and simulated in order to show the x(t )  Ax(t )  Bua (t )
effect of actuator faults/failures on closed loop system x(t )  Ax(t )  B  A (t )u (t )  B(I  A (t )) f a (t ) (3)
performance. A conventional PI controller is chosen to track y (t )  Cx(t )
reference water level. Then, in random time and mode,
various fault/failure scenarios are taken into account. Such multiplicative actuator faults do not directly affect the
Conventional PI controller cannot compensate the failure dynamics of the controlled system itself, however they can
effects since it has not a reconfiguration structure. Therefore a significantly affect the closed-loop system and may even
controller with that property is needed. A model reference affect the controllability of the system.
adaptive controller is designed in this case and fault
accommodation property is compared with PI controller. B. System Model
In water level control system given in Fig. 1, water is
II. PROBLEM FORMULATION AND SYSTEM DESCRIPTIONS pumped into the tank at the top through an actuated valve and
A. Actuator Failure Model at the bottom of tank the water drains through a pipe. The
objective is to control the water level in the tank with zero
Faults are not a reduction in efficiency only; they also steady-state error.
include other cases such as stuck/frozen/hard-over failure of
control valves in the case of process control. To represent the
actuator faults in a more general formulation, the following
mathematical model can be used [26]:
 ua (t )   A u (t )  (I  A ) f a (t )


  diag  1a ,  2a , ...,  ma 
 A  (1)
where ua (t ) is faulty actuator output, f a (t ) contains the

values at which the actuators are stuck or floating or hard-over.
I is the identity matrix and  ia  0 represents a total fault (i.e.
a complete failure) of the i-th actuator of the system so that
the control action coming from this i-th actuator becomes
equal to the i-th element of the uncontrollable offset function
f a (t ) , i.e., ua (t )  f a (t ) . On the other hand,  ia  1 implies Fig. 1 Water level control system
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According to Bernoulli equation, the rate of flow of water plant numerator polynomial is monic, plant degree is known,
through the pipe is given by: plant relative degree is known; reference model numerator and
denominator are monic Hurwitz polynomials and relative
qo  a 2 gh (4) degree is the same as that of plant. In other words, reference
model must be chosen to be strictly positive definite (SPR) to
where h is the level of the tank, a is the pipe cross-section
obtain a stable controller. Following the certainty equivalence
area and g is the acceleration of gravity. Conservation of mass
principle, the controller given below can be used [27]:
yields the equation:
 ( s)  ( s)
dh u  1*T u   2*T y p  3*T y p  c0* r (10)
A  qi  qo  qi  a 2 gh (5) ( s ) ( s )
dt
where A is the bottom area of the tank, qi is the inflow rate where  ( s )  n  2 ( s)  [ s n  2 , s n  3 ,...s,1] for n  2 ,  ( s ) 0
through the valve. for n=1. 1 ,  2  n 1 ; c0 ,   are constant parameters to
*
3
If we linearize the system around an operating point and be designed and  ( s ) is an arbitrary monic Hurwitz
ignore the pressure of the tank outlet, the system can be
polynomial of degree n-1. The controller given in (10) has
assumed to be first order but by taking valve dynamics into
account, system dynamics become second order. The first known parameters (  * ) i.e., the controller is designed for a
order system transfer function between inflow rate and water known plant transfer function therefore it is named as model
level is: reference controller (MRC). However, by using certainty
equivalence, we can define an update law and use the same
H (s) R controller with unknown parameters. We can write the
 (6)
Qi ( s) ARs  1 equation in compact form as follows:
where R  h / qo is the resistance at the outlet and the valve u   *T  (11)

dynamics can be given with a first order transfer function Let us define the parameter error as:
between controller output U(s) and system input M(s):
   (t )   *   (t )     * (12)
M ( s) Kv
Gv   (7) By using (12), (11) can be written as follows:
U ( s) Tv s  1
u   T    *T  (13)
Here gain K v represents steady-state relation between input
and output and Tv is the time constant of valve actuator. In order to choose an adaptation law, we have to first find out
how the tracking error is related to the parameter error:
C. Fault Tolerant Control Design
e  Gm (s) p* (u   *T )  Gm (s)( p* T ) (14)
In normal operation conditions, a PI controller is able to
track reference while in actuator fault case; an adaptation where Gm ( s) is reference model transfer function; p* is the
mechanism is needed because of changing closed loop system
parameters. Therefore MRAC is integrated into the system ratio of the plant and reference model high frequency gain.
such that PI-controlled system model in normal operation is Following Lyapunov function is used to prove system stability:
the reference model of MRAC. PI controller can be 1 1
represented by the following transfer function: V ( , e)  eT Pm e  p*  T  1 (15)
2 2
U ( s)  1 
(8) Here Pm  Pm  0 and     0 . By using Kalman–
T T
GPI   K p 1  
E (s)  Ti s  Yakubovich lemma and Lyapunov function above, adaptive
law is obtained as follows:
Reference model is chosen such that valve dynamics and
system parameters are unknown. In this case, the closed loop  kp 
transfer function that has one zero and three poles with    sgn   e (16)
unknown coefficients of known signs can be written as  km 
follows: In the design procedure of above controller, we assume that
Y (s) b1 s  b0 system has relative degree 1 which gives the opportunity to
Gcl ( s)   3 (9) design reference model as SPR. The reference model we
R( s) s  a1s 2  a2 s  a3
consider for the plant has relative degree 2. In this case
In order to meet MRAC objective with a control law that is reference model Gm ( s) can no longer be SPR. We can solve
free of differentiators and uses only measurable signals, plant this problem by using the fact that ( s  p )( s  p ) 1 is identity
0 0
and reference model must satisfy some requirements such as
for some p0  0 and rewrite the error equation:
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e  Gm (s)(s  p0 ) p* (u f   *T  ) (17)
1 1
with u f  u ,   , which implies that the
s  p0 s  p0
control law in compact form is:
u   T    T (18)
The reference model degree is n=3 hence choosing the degree

of  ( s ) as n 1  2 , fixing  ( s )  s 2  s  1 and taking
 (s)  [s 1] for n  3 designed controller takes the
following form:
T T
 s 1   s 1 
u  1T (t )  2  u   2T (t )  2  yp
Fig. 3 PI-controlled system output response in normal mode
 s  s  1 s  s  1  s  s  1 s  s  1
2 2
PI controlled healthy system given in Fig. 2 is subjected to
3 (t ) y p   4 (t )r   T  least squares system identification process by using reference
(19) input data u and output response data yp. Plant parameters in
the simulation are assumed to be unknown in order to take
k 
  e sgn  p  (20) possible parameter variations and uncertainty in real system
 km  into account. As a result of identification the following
1 transfer function is obtained:
  (21)
s 1 Y ( s) 3.65s  1.32
Gid ( s)   3 (22)
R( s) s  6.70s 2  4.52s  1.32
III. SIMULATIONS
In this part, firstly, water level control process is modelled Figure 4 shows model reference adaptive controller integrated
and a PI controller is chosen to track reference water level. system simulation model. Before starting the simulations, an
Using (5), a simulation model is constructed with the model actuator failure block is constructed for valve actuator so that
parameters given in Table I. in any time of simulation, random failure mode with unknown
size can be applied to closed loop system. A wide range of
TABLE I
PROCESS PARAMETERS
fault/failure cases of valve are considered such as; hard-over,
Parameter Value lock-in-place, stuck open, floating failure, leakage, loss of
Height of tank, h 2m effectiveness. Fig. 5 shows the structure of failure block
Bottom area, A 1m 2 integrated water tank model. Faulty actuator block with
Out pipe cross-section, a 0.1 m 2 various failure modes that is integrated into simulation can be
Initial level height hi 0.5 m seen in Fig. 6.
Appropriate PI parameters are chosen to achieve good time
response characteristics such as 10% maximum overshoot and
10s settling time. The parameters that meet the time domain
specifications are Kp=0.65 and Ti=2.86s. Fig. 2 shows the
simulation diagram of the system with valve dynamics.
System simulation time is 150s and sample time is selected to
be 0.01s. A square wave reference input that changes between
0.7 and 1.7 is applied and the response of the system in
normal mode can be seen in Fig. 3.
Fig. 4 Model reference adaptive controlled system block structure

Fig. 2 PI-controlled simulated system block structure
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occurrence type lock-in-place and hard-over failure cases

given in Fig. 11 and Fig. 13 respectively, both controller types
cannot accommodate the failures since the system has loose
controllability property and does not have actuator
redundancy. As it can be seen from Fig. 12, after an
intermittent lock-in-place failure of 5s, both systems has the
ability to track the reference signal.
Fig. 5 Water tank model with integrated faulty valve block
Fig. 7 Controlled system responses in incipient leakage mode
Fig. 6 Faulty actuator block with fault/failure modes
In MRAC system simulations, total simulation time is 140s,

sample time is 0.01s and a square wave reference input that
changes between 0.7-1.7 with a period of 90s is applied.
Failure responses of both adaptive and non-adaptive controller
are examined from different aspects. Various types of failures
considered in Section II are simulated. In addition, fault
occurrence types that may differ such as incipient, intermittent
and abrupt changes are also considered. Following figures
Fig. 8 Controlled system response in abrupt loss of effectiveness mode
show the performance of PI-controlled system and MRAC
system in the case of complete or partly failures.
Simulation results show that adaptive controller can
compensate for any partial failure regardless of its occurrence
type such as abrupt, intermittent and incipient. It has also a
good transient response while PI-controlled system exhibits
undesired high amplitude oscillations and bad transient
behavior in the case of intermittent faults. Furthermore, in
incipient loss of effectiveness fault mode given in Fig. 7, PI
controller may dramatically damage a real process. In abrupt
loss of effectiveness case given in Fig. 8, MRAC adapts itself
to system changes while PI controller exhibits an undershoot.
In Fig. 9, an intermittent valve leakage occurs with 20s
duration and PI control has an oscillatory transient behavior.
In abrupt valve leakage case which response is given in Fig.
10, PI controlled system output oscillates continuously while
MRAC keeps tracking the reference input. In abrupt
Fig. 9 Intermittent leakage failure mode response of controlled system
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Fig. 13 Controlled system response in abrupt hard-over failure mode

Fig. 10 Controlled system response in abrupt leakage fault mode
IV. CONCLUSIONS
In this study, a brief literature search about actuator failure
modeling is given. A simple water tank level control model,
which is widely used in process industry, is selected as
benchmark system. Possible valve actuator failures of tank
process are considered and modeled. A fault tolerant MRAC
controller is designed for the system and controller
performance is tested and compared with conventional PI
control via simulations. Simulation tests reveal good
performance of designed MRAC over conventional control in
terms of eliminating actuator failure effects in transient and at
the steady state. As a future work, designed controller will be
implemented on a real system. Furthermore, stochastic failure
model will be integrated into the system at the design stage
and also a robust adaptive controller will be designed to
compensate for the failures.
Fig. 11 Controlled system response in lock-in-place failure mode ACKNOWLEDGMENT
This work is supported by The Scientific and Technological
Research Council of Turkey (TUBİTAK), through project
116E020.
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RSSI and Flower Pollination Algorithm Based

Location Estimation for Wireless Sensor Networks
Erhan Sesli1, Gökçe Hacıoğlu2
Surmene Abdullah Kanca Vocational School of Higher Education 1
Department of Electrical and Electronics Engineering2
Karadeniz Technical University 1, 2
Trabzon, Turkey
{erhansesli, gokcehacioglu}@.ktu.edu.tr
Abstract— Wireless Sensor Networks (WSN’s) have been finding which are unknown. Location information of the sensor nodes
to itself new applications continuously. Many of these carry vital weight for many WSN apps. For instance;
applications need location information of nodes. The localization monitoring and surveillance of volcano activities, tsunami risk
of nodes can be made by range based or range free localization in oceans, melting regime of the poles, wild animals under
methods conventionally. Angle-of-Arrival (AoA), Time-
risk of extinction, mobility of civilian and military vehicles
Difference-of-Arrival (TDoA), Received Signal Strength
Indicator (RSSI), Time-of-Arrival (ToA) are well known range and agricultural fields require that.
based methods. Therefore AoA, ToA and TDoA have some In WSN’s, there are two typical node types. Anchor node
hardware and software difficulties for nodes which have limited (also is called Beacon) is one of them. Anchor node knows
processing and power sources. However RSSI based localization location information of itself and can send data to the adjacent
doesn’t cost high processing resources or complex hardware nodes. Other one is called non-anchor node which estimates
modifications. Most of the WSN nodes already have RSSI physical coordinates of itself by various methods through
measurement capability. However RSSI measurements is location information of the anchor nodes that are in coverage
vulnerable to noise and environmental effects. Therefore error of area of it.
RSSI based localization can be over to an acceptable level.
In literature, various localization methods have been
Centroid, APIT, DV-Hop and Amorphous are some of the range
free localization methods. Range free methods can only give classified conventionally into two categories named as range-
location information approximately but they don’t need any based and range-free methods. Range-based methods require
extra hardware or high processing capability. additional hardware. Naturally, additional hardware makes it
In this study WSN nodes are assumed randomly or regularly costly.
distributed on a certain area. Some of the nodes are beacon Angle-of-Arrival (AoA), Time-Difference-of-Arrival
nodes. The beacon nodes are assumed as having higher power (TDoA), Received Signal Strength Indicator (RSSI), Time-of-
resources and GPS receivers. The locations of nodes are assumed Arrival (ToA) are well known range based methods. AoA
as fixed. The beacon nodes send their location information needs angle of received signal, time based methods; ToA
sequentially. Localization of nodes are made through RSSI and
needs exact synchronization between nodes, TDoA needs
location information of beacon nodes. The mean of RSSI is
calculated to reduce effect of noise on it. A rough location multiple receivers and synchronization between these
estimation made by weighted centroid. A probabilistic based receivers [3]. Therefore AoA, ToA and TDoA have some
location estimation and flower pollination algorithm (FPA) are hardware and software difficulties for nodes which have
used separately to make final decision about the location. Rough limited processing and power sources.
estimates are used to limit search area of flower pollination Range-free methods generally use hop-counting and local
algorithm in order to reduce convergence time. techniques [4]. As a feature Range-free methods don’t require
additional hardware but location estimations are rougher than
Keywords— RSSI, FPA, WSN, optimization, probabilistic. range-based methods. Centroid, APIT, DV-Hop and
Amorphous are some of the range-free localization methods
I. INTRODUCTION [5]-[6]-[7].
Recently, WSN has become popular study in If RSSI based localization is taken into account, it is seen
communication. The apps like health, business, military and that it doesn’t require high processing resources or complex
habitat are the factors which made WSN has been so popular hardware modifications. Even it can be considered the least
[1]. Nodes which are the elements of the WSN have complex among the range-based methods. Most of the WSN
advantages as operating with low-power, having small nodes already have RSSI measurement capability. But on the
physical structure, low-cost and communication capability other hand RSSI measurements are under effects of noise and
with adjacent nodes in limited range [2]. These are the other environment. Therefore error of RSSI based localization
reasons why the WSN is so popular. should be over to an acceptable level. For the RSSI based
One of the main objective about WSN is acquiring localization noise and environmental effects are considerable
location information of the sensor nodes. The localization problems. To reduce these effects, there are many methods
simply means determining physical coordinates of the nodes have been proposed in literature. Some studies are based on
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reducing of distance error by estimating of path loss be fixed locations. In this conditions, path loss is under effect
parameters dynamically [8]-[9]. In another study, error is of Gaussian noise as seen in equation (2).
reduced by making a mapping database between RSSI and
distance information [10]. On the other hand, particle filter A. The Improvement of RSS Quality
usage may has been another solution for RSSI error. For
instance, in reference [11] a new particle filter with a First phase of proposed system is about improvement of
hardware-free initialization phase is presented. In other RSS quality. Absolute uncalibrated RSSI/CCA accuracy is
particle filter approach, multiple antenna arrays and particle ±4dB in CC2538 catalogue [15]. This accuracy means ±8m
filter are used together for reducing of RSSI error [12]. location error at 25m distance under certain conditions. For
In this study, locations of nodes are assumed as fixed. some apps that accuracy is acceptable but not always. To
Namely, environment is assumed as static. Therefore, path reduce noise and improve the accuracy, anchor nodes should
loss attenuation is also assumed a fixed value. In simulation send signal sequences to its non-anchor nodes. Each non-
scenario, the beacon nodes send their location information anchor node gets RSS sequences from the anchor nodes that
sequentially. Location estimations of the nodes are made are at coverage area of it. Due to nodes are static, distances
through RSSI and location information of beacon nodes. The don’t change. In that case, mean of each RSS sequence is an
mean of RSSI measurements are calculated to reduce effect of improved RSS information because of Gaussian noise reduced.
noise on it. A rough location estimation made by weighted This is expressed mathematically in equation (3).
centroid. In the next phase, a probabilistic based location
estimation and flower pollination algorithm (FPA) are used k
separately to make final decision about the location. Rough
estimates are used to limit search area of flower pollination  RSS
i 1
i
algorithm in order to reduce convergence time. RSS IMP  (3)
k
II. RECEIVED SIGNAL STRENGTH
RSSI method is based on location estimations of the non- Where, RSS IMP is improved RSS value that is acquired
anchor nodes by using signal strength of the anchor nodes from anchor node, k is the number of sequence, RSSi is the ith
where are in coverage area of the non-anchor nodes. Received
Signal Strength (RSS) can be formulated simply shown as (1). RSS value that is acquired from anchor node. Improved RSS
information is important for the distance information. For the
next phase of the proposed system, distance can be calculated
RSS (dB)  PTX (dB)  PLOSS (dB) (1) shown as equation (4).
Where, RSS (dB) is received signal strength acquired at ( PTX  RSS IMPi  PLOSS ( d 0 ))
non-anchor node, PTX (dB) is transmitter power of the anchor d i  10 10

(4)
node, PLOSS (dB) is path loss in the channel. Well-known
models for path loss are Free Space, Log-normal and Hata Where, di is ith improved distance information of the
[13]. Generally, environment where is WSN modules installed anchor node which is in coverage area of the adjacent non
shows distortion effects like diffraction, multipath, obstacles anchor node.
etc. The most convenient path loss model for this kind of Improved distance information is one of the important
environments is Log-normal distance model [14]. In this parameter for the applied pre-localization. In this study, we
model, path loss can be calculated through the equation shown preferred weighted centroid algorithm (because of its
as (2). simplicity).
III. WEIGHTED CENTROID

d
P (d )  P (d0 )  10 log( )  X0 (2) Weighted centroid is a RSS based localization algorithm
LOSS LOSS
d0 [16]. Weights specify level of proximity of the anchor nodes
according to the non-anchor node. Weights can be calculated
Where, PLOSS(d ) is path loss value in dB that occurred at shown as (5).
distance d, X0 is Gaussian noise with zero mean and standard
N
deviation can vary between 4~10. δ is path loss attenuation  di
factor which can vary between 2~5. PLOSS (d0 ) is path loss wi  i 1 (5)
N .d i
value in dB that occurs at 1m distance. PLOSS (d0 ) is given
40.3dB in CC2538 catalogue [15]. Therefore we accepted Where, wi is the weight of ith anchor node and N is the
PLOSS (d0 ) =40.3dB. anchor node number in the coverage area. After calculation of
the weights, rough coordinates can be calculated shown as
In simulations, a fixed path loss attenuation factor (δ) is
equation (6).
used because of anchor and non-anchor nodes are assumed to
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N N
 RSS measurement is done from received packets,
 wi .xi  wi .yi
 RSS is mapped to the one dimensional pdf acquired
xr  i 1N , yr 
i 1
N (6) from the first phase, and a pdf constraint is generated
 wi  wi
i 1 i 1 which is function of the 2D coordinate.
 Old pdf is intersected with generated constraint and
Where, xi is abscissa of the ith anchor node, yi is ordinate update is done.
of the ith anchor node, xr is abscissa of the estimated rough  At last, non-anchor node sends updated pdf estimation
coordinates and yr is ordinate of the estimated rough to all its adjacent nodes.
coordinates. Even if, the coordinates that are estimated
through weighted centroid might be sufficient for many WSN Consequently, final estimations for the non-anchor node
apps, sometimes it might not be sufficient. Hence at the last coordinates are made according to the maximum probability
step, probabilistic and FPA methods are used for the evaluation.
improvement.
V. FLOWER POLLINATION ALGORITHM (FPA)
IV. PROBABILISTIC APPROACH
Pollination process in the nature consists of two different
In this approach non-anchor nodes estimate their own forms called biotic and abiotic forms. Biotic pollination is
location through probability density function (pdf). We can carried out by pollinator creatures as bird, bat and bee. 90% of
express the probability of non-anchor node location in limited all pollination events take place in biotic form. And remaining
area at two dimensional space as in (7). 10% happens in abiotic form that is occurred by wind or water
diffusion. It does not include any pollinators. Pollinators travel
to long distances to reach plants that they wish. They
 
y n  y x n  x
maximize the pollination probability of the same-species via
PR x , y
n n 
y n  y

x n  x
f X ,Y ( x, y )dxdy
(7) flying over other species. Pollination process happens in two
main types as self-pollination and cross-pollination. Self and
cross-pollination are shown in Fig. 1.
Where, PR (xn, yn) is the probability of the non-anchor node,
x can change between xmin and xmax and y can change between
ymin and ymax which are bounding coordinates. Δx and Δy are
arbitrary small values [17].
The first phase of this approach is calibration phase. RSS
measurements are collected at different distances between
anchor and non-anchor node. The mean value of RSS
measurements µRSS (d) and standard deviation σRSS (d) can be
calculated from measurements, where d defines distance. In
reference [17] it is mentioned that in theory and experiments
σRSS doesn’t vary significantly with the distance. If X0 is 0,
RSS probability of any distance d’ is equal to 1.
Fig. 1 Pollination types
 ( PTX  RSS  PLOSS ( d 0 )) 
 10  Cross-pollination is defined as pollination that occurs
p  PR d'  10  1 (8) among different plants in the same species. Thus, pollinators
  are very effective for the cross-pollination. On the other hand,
  if the pollination occurs in the same plant, this is defined as
self-pollination. While self-pollination might occur in
Practically, channel is under effect of shadowing. Thereby, different flowers of the same plant, it might also occur in same
distribution of distance for a fixed RSS value is log-normal. flower of the same plant [18].
Consequently in calibration phase, log-normal mappings of Pollinators like bird, bat and bee show Lévy Fligt
the RSS measurements are acquired [17]. behaviour and flying steps show Lévy distribution [19].
Second phase of the probabilistic approach is localization Pseudo algorithm of the FPA can be expressed as below.
with positive constraints. In this phase, each non-anchor node
estimates its pdf position through the log-normal mappings of Rule (1): Biotic and cross-pollination is accepted as global
the RSS measurements. pollination process. Pollinators who carry pollens show Lévy
At first, each non-anchor sets initial estimation for entire Flight behaviour.
network area. Then, anchor nodes send information which Rule (2): Abiotic and self-pollination is accepted as local
includes their own position information and updated pdf pollination process.
estimations of both their own and non-anchors to the adjacent Rule (3): Flower pollination constancy is proportional
nodes. Non-anchor receives the information and executes the with the probability of breeding between two similar species.
following algorithm;
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Rule (4): Global and local pollination probability is minimizing the value of sum of dependent errors of the every
controlled by a switching probability which is defined as p ∈ pollen.
[0, 1]. The effects like physical proximity, wind and local START Produced rough
pollination are considerable part of the global pollination. As a solutions, di (improved
result, they are also considerable for the switching probability. Define Objective function range datas)
In other words, these effects can be changed by controlling
Define Dimension of search variables by
switching probability. Weighted Centroid
In global pollination phase, the most convenient
Population size (n), max. iter., switch
pollination can be achieved by pollinators who can travel to probability (p)
long distances. While the most convenient pollination
Find the best gb according to initial conditions
parameter is gb, flower pollination constancy can be expressed
mathematically as in (9). Define a switch probability p  [0,1]
i=1,t=1
i
t 1

 it  L it  gb  (9)
rand<p ?
N
Local
pollination
process
Y
Where, it is the ith solution vector in tth iteration, gb is the

Global pollination process
Evaluate new solution

best solution in tth iteration and L is the step size which is
characterized by Lévy Flight [18-19].
Flower constancy for local pollination can be expressed new sol. better ?
N
mathematically as in (10). Y
update solution
i
t 1

 it    tj  kt  (10) i++
N
i==n?
Where  tj and kt defines pollens where they come from Y
Find the current gb
different flowers of the same plant species. If  tj and kt t++
comes from the same species or selected from the same
population, it shows random walk characteristics with uniform Y
t<max.iter. ?
distrubition as defined ϵ [0, 1] [18]. Consequently, flow chart N
of FPA can be drawn as shown in Fig. 2. Output the best
In this study unlike the conventional FPA algorithm, rough sol.
solutions and improved data are integrated to the algorithm.
Objective function of this optimization phase is expressed in END
equation (11). Fig. 2 FPA Algorithm
2 2 VI. SIMULATIONS AND RESULTS

k di  ( xi  x )  ( yi  y ) (11) In simulations, anchor nodes are located edge of the
J ( x, y )   30x30m square area in equal intervals. Transmitter power of
i 1 di
the anchor nodes are assumed to 1mW. Non-anchor nodes are
assumed at fixed location and deployed randomly in defined
Where, J is the cost or objective function, k is the anchor area.
node number in communication range of the non-anchor node, For the channel, path loss attenuation is assumed as fixed
di is the improved distance information between ith anchor (δ=2.7) and previously determined through experimentally.
node according to the non-anchor node, xi is the abscissa of Gaussian noise is assumed as zero mean and standard
the ith anchor node, yi is the ordinate of the ith anchor node, x deviation is 5.
is the abscissa of the pollen and y is the ordinate of the pollen. Also, iteration and particle number are selected 20,
In the objective function, di is subtracted from the distance switching probability is selected 85% for the FPA.
between pollen and adjacent anchor node of itself. Then, In the light of these assumptions, results are acquired by
absolute value of the result is divided to di to avoid cumulative changing two parameters. The first parameter is physically
optimization error. Consequently, global best is acquired by intervals of anchor nodes. The second parameter is about
number of RSS samples that acquired from the anchor nodes.
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Number of RSS samples were selected fixed value as 10 TABLE I

RESULTS FOR RSS SAMPLE=10
and number of the non-anchor nodes were selected as 20 for
the first analysis. Intervals of the anchor nodes were changed Mean Error
respectively 10-15-30m. Under these conditions, simulation 10m 15m 30m
Weighted Centroid 5,424769493 5,064059739 5,135200517
results which contain mean-errors are shown below separately
Probabalistic 3,992321645 3,765929553 5,521142681
and respectively. FPA 1,689722987 1,760534673 2,825703946
In second analysis, number of RSS samples are increased

to 50. Simulation results for each distance interval are shown
below.
Fig. 3 Simulation results for RSS sample=10 and interval=10m
Mean errors for each methods are shown in Table I. As

can be seen, for each distance interval, FPA localization gives
the best results.
Mean errors for each methods in second analysis are

shown in Table II. As can be seen, for each distance interval,
FPA localization gives the best results. Furthermore
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increasing of the RSS samples to 50 improved the location [18] X. S. Yang, In Unconventional computation and natural computation
(Flower pollination algorithm for global optimization), J. Durand-
accuracy approximately 50% for the FPA.
Lose, N. Jonoska (Eds.), Springer Berlin Heidelberg, 2012
TABLE II [19] I. Pavlyukevich,”Lévy flights, non-local search and simulated
RESULTS FOR RSS SAMPLE=50 annealing.” Journal of Computational Physics, vol. 226(2), pp. 1830-
1844, 2007.
Mean Error
10m 15m 30m
Weighted Centroid 5,038320472 5,145930371 5,583851882
Probabalistic 3,845946492 3,25200935 4,824532778
FPA 0,843777096 0,901263359 1,522088242
VII. CONCLUSIONS
In this study, two different approaches are analysed which
used weighted centroid rough results. Both the methods
showed improvement according to the weighted centroid
localization. When comparison is made between two methods,
it shows us that FPA has more accurate results and lower
processing load. As a future work, RSSI based location
accuracy improvement for mobile nodes will be examined.
REFERENCES
[1] D. Puccinelli & M. Haenggi, “Wireless sensor networks: applications
and challenges of ubiquitous sensing.” IEEE Circuits and systems
magazine, vol. 5(3), pp. 19-31, 2005.
[2] M. Guoqiang, B. Fidan, and BDO Anderson. "Wireless sensor network
localization techniques." Computer networks, vol. 51(10), pp. 2529-
2553, 2007.
[3] J. Bachrach. and C. Taylor, Handbook of sensor networks: Algorithms
and Architectures 1, I. Stojmenovic, New Jersey, John Wiley & Sons,
Inc , Nov. 2005.
[4] F. Liu, et al., Wireless Sensor Networks and Applications, Y. Li, M.T.
Thai, W. Wu, US, Springer, 2008, pp. 175-193.
[5] S.P Singh, and S. C. Sharma. "Range free localization techniques in
wireless sensor networks: A review," Procedia Computer Science, vol.
57, pp. 7-16, 2015.
[6] R. Stoleru, T. He, and J.A. Stankovic, Secure Localization and Time
Synchronization for Wireless Sensor and Ad Hoc Networks, R.
Poovendran, C. Wang and S. Roy, US, Springer, 2007, pp. 3-31.
[7] T. He et al. "Range-free localization schemes for large scale sensor
networks." Proceedings of the 9th annual international conference on
Mobile computing and networking, ACM, 2003, pp. 81-95.
[8] J. Zheng, et al. "An improved RSSI measurement in wireless sensor
networks." Procedia engineering, vol. 15, pp. 876-880, 2011.
[9] M. Botta, and M. Simek. "Adaptive distance estimation based on RSSI
in 802.15. 4 network." Radioengineering, vol. 22(4), pp. 1162-1168,
December 2013.
[10] H. Wang, J. Wan and R. Liu. "A novel ranging method based on RSSI",
Energy Procedia, vol. 12, pp. 230-235, 2011.
[11] Z. Wu, et al. "Improved particle filter based on WLAN RSSI
fingerprinting and smart sensors for indoor localization." Computer
Communications, vol. 83, pp. 64-71, 2016.
[12] J. Svečko, M. Malajner and D. Gleich. "Distance estimation using
RSSI and particle filter.", ISA transactions, vol. 55, pp. 275-285, 2015.
[13] M. Chen and H. Liu , “Enhance Performance of Centroid Algorithm in
Wireless Sensor Networks”, Fourth International Conference on
Computational and Information Sciences, 17-19 Aug. 2012,
Chongqing, pp. 1066-1068.
[14] L. Tan, F. Luo and K. Liu, “Weighted Centroid Location Algorithm in
Wireless Sensor Network”, Wireless Mobile and Computing
(CCWMC), 2011, pp. 414-418.
[15] “CC2538 data sheet”, Texas Intruments, Texas, US.
[16] J. Zhao et al. "An improved Weighted Centroid Localization algorithm
based on difference of estimated distances for Wireless Sensor
Networks." Telecommunication Systems, vol. 53, pp. 25-31, 2013.
[17] R. Peng, and M. L. Sichitiu. "Robust, probabilistic, constraint-based
localization for wireless sensor networks." SECON, 2005, pp. 541-550.
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Development of Cascade H- Bridge Multi-level

Inverter for photovoltaic Panels.
Omar kanaan1, ergun erecelebi2
1
faculty of electrical and computer engineering, Gaziantep university, Gaziantep, turkey
2
faculty of electrical and computer engineering, Gaziantep university, Gaziantep, turkey
Emails: omrsat84@yahoo.com, ergun.ercelebi@gmail.com
Abstract— in this paper a cascade inverter based on photovoltaic of off grid which serves the regions far from transmission
system is proposed and the control method which is used in this lines and generation units [4] .
inverter is the charge balance control method in order to
equalize the amount of power which drawn from each h Several methods are used to control the cascade h bridge
bridge(except the first one ). As a result the batteries life of the
multilevel inverter .Some of these control methods are : [6]:
inverter which is consider the most important component of the
inverter will increase .Also the magnitude of the dc sources is  Fundamental frequency control method
selected in such a way that the number of levels which are  Sinusoidal pulse with modulation method
produced is more than symmetrical cascade inverter .All of the  Space victor pulse with modulation method
expressed theoretical results are confirmed by simulation and
experimental results. The Fundamental frequency control method is considered
the most applicable method. In this method every
Keywords— cascade multilevel inverter, photovoltaic, full wave semiconductor device is turned on one time per
charge balance control method, buck – boost dc to dc converter, fundamental cycle and that leads to reduce the
perturb and observe maximum power point method. conduction losses and the electromagnetic
interference [6]. On the other hand it has the
drawback related to the amount of power which
I. INTRODUCTION drawn from one DC source which is different from
Today, cascade H bridge multilevel inverters have got more the other sources, so the battery life will be different
interest according to their essential advantages such as: high from each other and that leads to high maintenance
voltage and high power ratings applications, excellent power cost [2] .In order to overcome the disadvantage of
quality, lower order harmonics, reduction in switching losses this method the charge balance control method is
[1-2] .The output waveform of these inverters is synthesized proposed in this work to equalize the amount of
from several dc voltage sources as inputs. power drawn from each Dc source.
Generally the multilevel inverters are divided into three In this paper, firstly we interview the basics of
types according to the topology structure, diode clamped cascade H bridge multilevel inverter, secondly brief
multilevel inverter, flying capacitor multilevel inverter, description of the pv system and then the simulation
cascade H bridge multilevel inverter [3].There is more focus and practical results will submit the proposed
on cascade H bridge multilevel inverter because of its simple cascade inverter.
design ,simple maintenance, the ability of generating large
number of output levels by using the same number of the
semiconductor devices as compared with the other topologies II. CASCADE MULTI-LEVEL INVERTERS
[2-3].Depending on the above advantages, the losses and the
cost will be reduced, on the other hand the efficiency will be
improved [2] .The sub classifications of cascade multilevel Generally, the key component of cascaded inverter is the
inverter are the symmetrical and asymmetrical inverters if one full bridge unit which is shown in Fig .1.[11].it is used to
of the input dc sources is different and then we can recognize produce three level output waveform (vdc, 0and -vdc) with
that inverter as asymmetrical inverter[2-5] which can produce different duty cycle. It consists of four switches which can
more numbers of output levels and amplitude than conduct in bidirectional power flow and can block
symmetrical type[6] .The most distinct feature of cascade unidirectional voltage. This reason is behind the connecting
multilevel inverter is that it need separate dc sources as an of anti-parallel diode with the switching devices and in case of
input so it is considered the most suitable way to use with pure resistive loads we can use the semiconductor switch
renewable energy sources such as pv panels which increases without the anti-parallel diode due to unique current
interest because of the Global increasing demand , reduces the direction .Each switching device has to switch on in a
negative impact of the power generations on the environment, complementary manner with another switch in the same arm
needs no fuel cost and reduces the transmission losses in case to avoid the short circuit across the source so all the control
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strategies are built according to this fact , e.g when s1 is on s3 DC sources and H bridges ,in [9 ] and [10 ] the manner of
is already off and when s2 is on s4 is already off . selecting the Dc source voltages is binary progressing in
These H bridges are connected to distinct Dc sources in the [9]and ternary progressing in [10] and the output levels (n)is
supply side while the diode clamped and flying capacitor given as(3) and (4) .
requires common DC source and connected in series in the
output side. We can call it as ac side Fig.2. It Show the single
phase diagram of cascaded H bridge inverter[11]according to = 2 -1 in binary progress ratio (3)
cascaded inverter configuration, the control and modulation
and maintenance are modular.
= 3 in ternary progress ratio (4)
By comparing the equations (3)-(4) by (1) it is clear that

the output levels increase in the asymmetrical topology at the
same time by keeping the same number of switching device
and Dc sources .This is just an example to show the difference
between symmetric and asymmetric inverter topologies. The
dependent way for determining the values of Dc sources in
Fig .1. Full H bridge (three level output) this paper is also based on asymmetrical configurations and
selected to be as follows [12] .
1= (5)
, =3 1 m = 2,3,N (6)
And the output levels number is given as:
n= 6N-3 (7)
Fig.2. Single phase diagram of cascaded inverter Where Nis the number of the series connected H bridges
.The reason behind the selection of this manner is according to
the fact that we cannot use the charge balance control method
Where vo represent the output voltage of the cascaded in [9 ]and [10 ],because of different voltages of the batteries .
inverter and it can be calculated by adding the amounts of The main advantages of this method as compared with the
vo1(t),vo2(t),voN(t). Where N is the number of the cascaded fundamental frequency control method is to equalize the
bridges. amount of power which drawn from different batteries. As a
The relationship between the produced number of output results battery life will be equil which will reduce the
voltage levels (n) with respect to the number of connected maintenance cost .Several modulation patterns can be used to
cells N in symmetric converters is : implement the charge balance control method, in fullwave
pattern the angles will route continously after one cycle while
= 1+2 (1) in halfwave pattern the routating angle will routate after half
cycle.If any pattern is used we will make all the dc sources get
charges and be balanced after a specific time of operation
and the maximum output voltage vo is given as afunction expect the battery which is used in the first h bridges so the
with the dc sources that cascaded .as : amount of power will be given as :
= (2)
From the above two relations, we can recognize the most
related disadvantage of this topology which is increased of , = ∫ . (8)
the DC sources and the semiconductor switches when we aim
to increase the output levels, so to reduce the number of DC
sources and also the semiconductor switches and the Where is the time duration to equalize the power drawn
connecting cables the asymmetrical cascade h bridges from the bridges .
multilevel inverter is proposed. This produces maximum In Fig.3. a seven level symmetric cascade inverter is
numbers of levels and by utilizing the same number of the implemented by fundamental frequency control method , full
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wave charge balance control method and half wave charge operate in its maximum point so that one of the maximum
balance control method [11]. power point tracing algorithm have to be used with the dc-dc
converter to maintain the operating point of the panel near the
maximum power point area[4] .some of these techniques are
Constant Voltage MPPT Algorithm, Perturb and Observe
(P&O)MPPT Algorithm, Incremental Conductance (INC)
MPPT Algorithm[8] .and the other important component is
the dc-dc converter such as :buck ,boost ,buck boost
converter to be merged with the mppt algorithm to ensure that
the module will operate in it is maximum power point tracing
and to construct the solar charge controller [7], in this paper
we will use the following components :
A- buck-boost dc-dc converter
B- perturb and observe mppt algorithm .
A- BUCK –BOOST DC-DC CONVERTER
Generally, DC-DC converter is an electronic circuitry that is

capable of producing different levels of dc voltage , many
conversion processes are used in these converters such as
switch mode ,linear ,and magnetic[7] .
Some of the most famous topologies is buck, boost ,buck-

boost converters ,in buck converter the output voltage is less
than its input while in boost converter the output voltage is
greater than the input voltage. In buck boost type as it is clear
from the title of this converter it is able to work as buck mode
and boost mode .As mentioned above, we will use this type of
converters together with mppt algorithm so our big attention
will be around the buck-boost converter , two operation mode
can be used in this converter, the continuous conduction mode
(ccm) if the current of the converter never reaches the zero
region while the other operating mode is called the
discontinuous operating mode (dcm) when the converter
Fig . 3 .Pattern 1 fundimental frequency control method. current reaches the zero region during the time period ,the
pattern 2 Full wave charge balance control method. equation of all calculation is different from one mode to
pattern 3 Half wave charge balance control method. another.
In this paper we will use the fullwave control patteren . It
mean the conducting angle will rotate after every full cycle . In this paper we will use the continuous conduction mode
(ccm ) the output voltage is calculated as :
III - Interview of photovoltaic system .
Generally, solar cells generate electric potential from sun = (9)
energy by photovoltaic module which is built from silicon
cells . And always the output of these cells has been low so a
photovoltaic array is formed to increase the total potential
output. The array can be formed by a series or a parallel
connected of solar cells to increase the produced voltage or While in discontinuous conduction mode (dcm)the output
current of the module, pv cells gives its maximum output voltage is calculated as :
power in one specific point .This point is called the maximum
power point and it depends on the loads , temperature and
irradiance . According to this characteristic the pv cells or the = (10)
photovoltaic module cannot operate in its maximum power
point without an external effects which forced the pv panel to
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Where D is the duty ratio which will feed the controlling observe method according to its simplicity and accuracy .In
switch and vo in both modes in average values . the Fig .5.bellow it shows the flow chart of this technique [8].
In this method, the sign of the last perturbation and the sign
Io is the current through the load . of the last increment in the power are used to decide what the
next perturbation should be. On the left of the MPP
incrementing the voltage increases the power whereas on the
In continuous conduction mode (ccm) when D < 0.5 it will right decrementing the voltage increases the power.
operate in buck mode while when D > 0.5 it will be in boost
mode .
In Fig .4 . it shows the diagram of the buck boost converter [7]
Fig .4 . Buck- boost DC-DC converter

The basic idea of operating is that when the switch is closed Fig .5 .Flow chart for Perturb and observe algorithm .
then the inductance (L)will charge while when the switch is
open the inductance polarity is reversed and the current path
will be through the diode (D)and capacitor(C).
One of the disadvantages of this method is the operating point
In this paper buck – boost dc –dc converter is used and there
which will be around the maximum point not the exact
are several reasons behind the selection of this model of buck-
maximum point and one process to increase the accuracy of
boost converter in this work some of them are :
this method is by decreasing the step time( dt ) but the module
 ability of operating buck mode and boost mode will take very long time to operate in its maximum point .
 easy to design
 reduce the cost
 reduce power losses
 less component required
One feature of this type of converters is the output of this

converter has the opposite polarity with respect to its input . IV-simulation results
B. perturb and observe maximum power pint tracking
algorithm (p&o mppt)
Simulation results in matlab 2015A are used to prove the
Pv cells are considered the most adverts source of
operation of the charge balance control method the pv module
renewable energy because of its availability and the positive
which is used to charge the batteries continuously and its type
impact of this energy in the environment ,on the other hand
is bpsx150 , the pv panel generate its maximum power at
some of disadvantage of this kind of renewable energy its
vmpp = 34.5v and Imax = 4.35 A .So due to control
direct effect in the weather condition , temperature ,irradiance,
method ,e.g14 volt is the voltage of first H bridge. The results
etc… So in order to solve this problem and ensure that the pv
module operate in its maximum point or nearby of this point, the dc to dc converter will operate in buck mode d < 0.5
many techniques can be used to do this mission such as because the pv module operate at its maximum power point in
Constant Voltage MPPT Algorithm, Perturb and Observe vmpp=34.5 . while the voltage of the second and third H
(P&O) MPPT Algorithm, Incremental Conductance (INC) bridges are equal to( 3*vdc1 )which is equal to 42 v so the
MPPT Algorithm. In this work we will use perturb and dc to dc converter will operate in boost d >0.5 .
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Figures(6-7-8) bellow show the duty cycles of the first, second Vdc, 2,3 = 41.5 -42 v
and third bridges respectively . We put this range according to the control which is merged
with the mppt algorithm to control the battery voltages.
The voltage of the batteries is shown in the figures (13-14-15):
Fig .6 . First H bridge duty cycle. Fig. 13.First battery voltage
Fig .7. Second H bridge duty cycle. Fig . 14. Second battery voltage
Fig .8. Third H bridge duty cycle. Fig. 15. Third battery voltage
From the above figures it is clear that the first pv module
operates in buck mode and its duty cycle around 0.36( less
than 0.5) according to the buck –boost dc – dc converter Figures (16-17-18) show the output of each H bridge and the
characteristic while the second and the third H bridges final waveform (15 levels) is shown in fig 19 which represents
operate in boost mode and its duty cycle = 0.56(greater than the summation of the three H Bridges voltages.
0.5) .
The battery voltage of the first, second and the third is as
follows vdc1 = 12.5 -14 v
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Fig .16 . First H bridge output
Fig .17.Second H bridge output
FIG .20 . ONE H BRIDGE CONNECTION WITH HARDWARE .
An anti -parallel diode is connected to each semiconductor

switch to allow bidirectional current flow and block
unidirectional voltage. The diode type used is (In4007) .The
voltage which is used in the first h bridges is 6 v while the
second and the third are 18 volts the output of the three H
Fig .18. Third H bridge output bridges is shown in figures (21-22-23)
Fig .19 .Output waveform (fifteen levels)
V-EXPERIMENTAL RESULTS
The laboratory setup consists of a single phase 15 level
cascaded asymmetrical multilevel inverter. This inverter
consists of three H bridges which is able to produce 15 level
output with a maximum output voltage equal to 7 vdc .
Each H bridge consists of six semiconductor switch. Four
of them build the H bridge frame and the type of this
transistor of the prototype are tip142 (npn bjt) for the upper
Q1,Q3 and tip147(pnpbjt) Q2,Q4 for the lower while the
other two transistors are used for controlling and the type of
them are 2n3904(npn) Q5,Q6 .Fig . 20 shows one H bridge
diagram in hardware configuration. Fig .21 . First H bridge output(hardware).
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Fig .22 . Second H bridge output(hardware). Fig .24 . Output wave form fifteen level.
VI-Conclusions
In this work an improvement in the cascade inverter is done .
This improvement includes two points: the first is related to
the number of the output levels which is increased by using
the asymmetrical topology with minimum number of dc
sources and semiconductor switches and the second concern
with the amount of power which is drawn from each DC
source (except the first source) is equalized by using the
charge balance control method .This inverter works perfectly
with direct connected batteries and pv panels as shown in the
simulation result, also experimental work shows the
performance of the proposed inverter .
Fig .23 . Third H bridge output(hardware)
The output wave form of the inverter (15 level ,7 positive ,7 negative ,1 zero )
Is shown in Fig.24 .
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SVDD Based Data-Driven Fault Detection

Yusuf SEVİM
Karadeniz Teknik Üniversitesi
Elektrik-Elektronik Mühendisliği Bölümü 61080 Trzbzon/TURKEY
ysevim@ktu.edu.tr
Abstract— Conventional data driven process monitoring The remainder of this paper is organized as follows. Section
algorithms are limited to Gaussian process data for principal II describes PCA and ICA algorithms. How to obtain SVDD
component analysis (PCA) algorithm and non-Gaussian process algorithm is given in section III. Section IV gives monitoring
data for independent component analysis (ICA) algorithm. This results of the application to TE process. Finally, section V
paper provides a comparison study between the conventional data
provides a concluding summary of this paper.
driven methods and support vector data description (SVDD)
algorithm for fault detection (FD). Different from the traditional
II. PROCESS MONITORING BASED ON PCA AND ICA
methods, SVDD algorithm has no Gausssian assumption. Thus the
distribution of process data is not important for SVDD method. In The basic model considered in PCA and ICA is
order to compare their FD performances of the proposed methods 𝒙 = 𝑨𝒔 (1)
from the application viewpoint, Tennessee Eastman (TE)
benchmark process is utilized to compare the results of all the where 𝒔 = [𝑠1 , … , 𝑠𝑑 ]𝑻 is a vector of unknown source signals
discussed methods. Simulation results on TE process show that which are independent, and 𝒙 is obsevation vector which is
ICA and SVDD methods perform better for false faults than the mixtures of the source signals via unknown mixing matrix 𝑨.
PCA method. The objective of PCA is to make variables uncorrelated through
orthogonal rotation. The orthogonal rotation matrix is obtained
Keywords— Process Monitoring, Fault Detection, Support Vector by using eigenvalue decomposition on covariance matrix
Data Description, Independent Component Analysis, Principal 𝑿𝑻 𝑿 (2)
Component Analysis, Statistical Process Control 𝚺= = 𝑽𝚲𝑽𝑻
𝑚−1
I. INTRODUCTION
where 𝚲 is the diagonal eigenvalue matrix with its diagonal
In statistical process control (SPC) systems there exist many
elements in decreasing order, 𝑽 is orthogonal eigenvector
variables need to be monitored. These measurements provide
useful information about the status of the systems. So applying matrix . The loading matrix 𝑷 is formed by a first vector which
the univariate SPC methods on that systems may produce false possesses acceptable percent of data variance. The
alarms. Using multivariate SPC (MSPC) methods can transformation of 𝑿 matrix is called as the score matrix and
overcome that problem. MSPC has several advantages over calculated as follows
univariates, for example, showing relationships between 𝑻 = 𝑿𝑷 (3)
variables which cannot be detected with univariate statistics, The transformation into the original space is achieved by using
and help to understand the interaction between variables. PCA (3)
and ICA algorithms have been widely used as a multivariate ̂ = 𝑻𝑷𝑻
𝑿 (4)
statistic intended to find latent variables in the FD field [1-6].
PCA is a well-known algorithm, and depends only on the The residual matrix 𝑬 is calculated as
second order statistics which means that the latent variables 𝑬=𝑿−𝑿 ̂ = 𝑿 − 𝑻𝑷𝑻 (5)
capture the most variance of the source signals. Unlike PCA, PCA algorithm divides data space into two parts. First part is
the goal of ICA algorithms is to minimize the statistical determined by a first major component and has the greatest data
dependence between the basis vectors, and there is no closed variance. The other part is defined by a small percentage of
form expression for ICA algorithms. data variance and shows noise. 𝑇 2 statistic can be used to
Another efficient FD algorithm is SVDD algorithm measure the variation of PCA model for a loading vector.
proposed by Tax and Duin [7]. SVDD algorithm aims at finding 𝑇 2 = 𝒙𝑻 𝑽𝚲−𝟏 𝑻
𝒂 𝑽 𝒙 (6)
spherically shaped boundary around a data set. In this boundary,
a hypersphere enclosing most of the data set belonging to the where 𝚲𝒂 is the first a rows and columns of 𝚲. In PCA the 𝑿
class of interest and rejecting the outliers. SVDD is a new data is assumed to follow a multivariate normal distribution so
method in the FD area, but it has been used in a wide range of 𝑇 2 follows an F distribution with degrees of freedom 𝐴 and
FD applications [8-10]. In this paper, it is employed the one- 𝐴 − 𝑀, and confidence limits can be calculated as follows
class SVDD to find the separating boundary the normal data set 𝐴(𝑀2 − 1) (7)
T𝛼2 = 𝐹
and faulty data set. In this respect, SVDD is implemented and 𝑀(𝑀 − 𝐴) 𝐴,𝑀−𝐴,𝛼
compared with standard MSPC methods for FD.
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The SVDD is a new method in the FD that constructs a

Squared Prediction Error (SPE) statistic measures the average univariate monitoring statistics for variables [14]. The aim of
size of the residuals corresponding to the lowest 𝑑 − 𝑎 SVDD is to transform original variables into a high
eigenvalues dimensional feature space by using kernel. The transformed
𝑆𝑃𝐸 = 𝒙(𝑰 − 𝑷𝑷𝑻 )𝒙𝑻 (8) variables fall into a minimal sphere of radius R [7]:
𝑛
The confidence limit of SPE statistic is defined as min 𝑅2 + 𝐶 ∑ 𝜀𝑖 𝑠. 𝑡. ‖𝜙(𝒔̂𝒊 ) − 𝒂‖2 ≤ 𝑅2 + 𝜀𝑖
1 𝑅,𝒂,𝜀 (17)
𝑖=1
ℎ𝑜 𝑐𝛼 √2𝜃2 𝜃2 ℎ𝑜 (ℎ𝑜 − 1) ℎ𝑜
𝑆𝑃𝐸𝛼 = 𝜃1 ( +1+ ) (9) 𝜀𝑖 ≥ 0 ∀1 ≤ 𝑖 ≤ 𝑛
𝜃1 𝜃1 2
where a is the center of hypersphere, C is the trade off between
with
𝑚 the volume of the hypersphere and the number of transformed
(10)
𝜃𝑖 = ∑ 𝜆𝑗𝑖 samples outside the hypersphere, and 𝜀𝑖 is slack variable. The
a and R are obtained as follows
𝑗=𝑎+1 𝑛
(18)
2𝜃1 𝜃3 (11) 𝒂 = ∑ 𝛼𝑖 𝜙(𝒔̂𝒊 ) ,
ℎ𝑜 = 1 − 𝑖=1
3𝜃2 2
𝑛 𝑛 𝑛
where 𝑐𝛼 is the value of normal distribution with 𝛼 level of
significance. 𝑅 = √𝐾(𝒔̂𝒑 , 𝒔̂𝒑 ) − 2 ∑ 𝛼𝑖 𝐾(𝒔̂𝒑 , 𝒔̂𝒊 ) + ∑ ∑ 𝛼𝑖 𝛼𝑗 𝐾(𝒔̂𝒊 , 𝒔̂𝒋 )
𝑖=1 𝑖=1 𝑗=1
ICA tries to estimate source signals without knowing 𝑨 and
𝒔. In order to achieve that, Hyvarinen introduced a fast-fixed (19)
point algorithm (FastICA) [11]. In FastICA, Negentropy
method is used to measure statistical independency. The where the sample points 𝒔̂𝒑 is support vector. Using (17), the
negentropy is defined as 𝑱(𝒚) = 𝑯(𝒚𝒈𝒂𝒖𝒔𝒔 ) − 𝑯(𝒚) , which univariate monitoring statistic is calculated as
can be approximated by 𝑑 2 (𝜙(𝒔̂𝒊 )) = ‖𝜙(𝒔̂𝒊 ) − 𝒂‖2 (20)
𝟐 (12)
𝑱(𝒚) = [𝑬{𝑮(𝒚)} − 𝑬{𝑮(𝒚 𝒈𝒂𝒖𝒔𝒔)}] If the square distance 𝑑 2 (𝜙(𝒔̂𝒊 )) = ‖𝜙(𝒔̂𝒊 ) − 𝒂‖2 ≤ 𝑅2 ,
where 𝑮(𝒚) is the nonquadratic function [12]. The FastICA sample is accepted as a normal sample. The decision based on
algorithm is stated as follows SVDD can be precisely described as
𝑛 𝑛 𝑛
1. Choose an initial weight vector 𝒘 of unit norm.
𝑑2 (𝜙(𝒔̂𝒊 )) = 𝐾(𝒔̂, 𝒔̂) − 2 ∑ 𝛼𝑖 𝐾(𝒔̂𝒊 , 𝒔̂) + ∑ ∑ 𝛼𝑖 𝛼𝑗 𝐾(𝒔̂𝒊 , 𝒔̂𝒋 ) ≤ 𝑅2
2. Update 𝒘 ← 𝑬{𝒛𝒈(𝒘𝑻 𝒛)} − 𝑬{𝒈́(𝒘𝑻 𝒛)}𝒘 , where 𝑖=1 𝑖=1 𝑗=1
𝒈(𝒚) = 𝒕𝒂𝒏𝒉(𝒂𝟏 𝒚) (21)
3. Normalize 𝒘 ← 𝒘⁄‖𝒘‖.
IV. COMPARISION STUDY BASEN ON TE
4. If not converged, go back to step 2. In this section PCA, ICA and SVDD methods will be
applied to TE process for a comparison study. TE simulator was
Separating matrix W is obtained by assembling all the vector w, developed by Downs and Vogel which produces two products
and the demixing sources are calculated as from four reactants [15]. It has five major units, i.e. reactor,
𝒔̂ = 𝑾𝒙 (13) condenser, compressor, separator, and stripper. There are 41
After obtaining W, it is divided into two parts, dominant part measured variables and 12 manipulated variables. In TE
(𝑾𝒅 ), excluded part (𝑾𝒆 ), and using these parts three statistics process, 20 process faults and an additional valve faults were
are calculated as follows defined by Downs and Vogel [15]. The sample length of the
training data set is 500 under normal operating conditions. Each
𝐼2 = ̂ 𝑺 𝒅 = 𝒙𝑻 𝑾 𝒅 𝑻 𝑾 𝒅 𝒙
𝑺𝑻𝒅 ̂ (14)
testing data set for one fault mode consist of 960 samples, and
𝐼𝑒2 = ̂ 𝑺𝒆 = 𝒙𝑻 𝑾𝒆 𝑻 𝑾𝒆 𝒙
𝑺𝑻𝒆 ̂ (15) fault was introduced at sample 160 for each data set. All the
data were autoscaled prior to application of the algorithms. To
̂)𝑻 (𝒙 − 𝒙
𝑆𝑃𝐸 = (𝒙 − 𝒙 ̂) (16) obtain better effect of simulation, 52 variables are selected for
−𝟏 analysis. The confidence limit of kernel density estimation is
where 𝒙̂ = (𝚲−𝟎.𝟓 𝑽𝑻 ) 𝑩𝒅 𝑾𝒅 𝒙. In ICA, the latent variables selected as 99%. Fault detection rate (FDR) and false alarm rate
are assumed to be non-Gaussian distributed, hence the (FAR) are considered to evaluate FD performance [16,17].
confidence limits of tree statistics are calculated by kernel FDR and FAR rates are defined as
density estimation method [13]. 𝐹𝐷𝑅 = No. of samples (𝐽 > 𝐽𝑡ℎ |𝑓 ≠ 0) (22)
𝐹𝐴𝑅 = No. of samples (𝐽 > 𝐽𝑡ℎ |𝑓 = 0) (23)
III. PROCESS MONITORING BASED ON SVDD
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TABLE I TABLE II
DESCRIPTION OF PROCESS FAULTS, AND FDRS OF ALGORITHMS DESCRIPTION OF FARS
Fault ALGO- Fault Detection Rate Fault Fault ALGO- False Alarm Rate
Mode RITHMS (FDR) Type Mode RITHMS (FAR)
SVDD SPE T2-I Ie SVDD SPE T2-I Ie
PCA 800 796 PCA 29 15

1 FastICA 797 796 797 Step 1 FastICA 3 0 3
SVDD 798 SVDD 7
PCA 798 790 PCA 33 11
SVDD 789 SVDD 4
PCA 800 675 PCA 31 16
SVDD 781 SVDD 6
PCA 800 796 PCA 25 3
SVDD 800 SVDD 1
PCA 800 800 PCA 26 5
SVDD 800 SVDD 6
PCA 787 785 Random PCA 33 11
8 FastICA 791 725 795 Variation 8 FastICA 5 2 10
SVDD 796 SVDD 27
PCA 790 794 Random PCA 32 12
12 FastICA 800 790 797 Variation 12 FastICA 29 0 30
SVDD 798 SVDD 36
PCA 772 766 Slow PCA 30 7
13 FastICA 767 747 765 Drift 13 FastICA 3 0 3
SVDD 769 SVDD 3
PCA 798 800 PCA 34 15
14 FastICA 800 722 800 Sticking 14 FastICA 3 1 2
SVDD 800 SVDD 7
PCA 247 176 PCA 29 10
15 FastICA 185 7 180 Sticking 15 FastICA 1 0 0
SVDD 242 SVDD 3
PCA 745 728 PCA 39 13
18 FastICA 736 713 735 Unknown 18 FastICA 1 0 1
SVDD 742 SVDD 8
If one of the test statistics exceeds threshold, a fault can be According to Table I, all the tested methods give similar
detected successfully. The FD performances of the methods are FDRs but different FARs (Table II). However FARs of ICA
investigated for 11 typical fault modes in TE process, and the and SVDD have almost the same, and are lower than PCA.
results are calculated and tabled in Table I. Also, in Table 1 the Therefore, ICA and SVDD algorithms can be preferred to PCA
fault types and fault modes can be seen. As it can be seen in to obtain lower FARs, and may provide the process operator
Table 1, FDRs are almost close each other. For fault 15 all with more reliable information. The drawback of the ICA
algorithms show poor FD performance. FARs for fault 6 is very algorithm is that using the kernel density estimation method is
low for FastICA and SVDD in Table II. computationally expensive. Unlike the ICA, SVDD does not
According to FARs given in Table II, PCA has higher FARs suffer from a high computational load, so using SVDD is more
than FastICA and SVDD, which means PCA produces more appropriate for FD applications.
false alarms than the others. For fault 12 they have almost the
same FARs, but for fault 8 only FastICA approach gives the
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Line of Sight(LoS) Probability Prediction for

Satellite and HAPs Communication in Trabzon,
Turkey
Volkan Aydın1*, İsmail Hakkı Çavdar2+, Zeynep Hasırcı3*
1#
Abdullah Kanca Vocational High School, Karadeniz Teknik Üniversitesi, Trabzon, Turkey
{volkan_aydn2000}@ktu.edu.tr
2+
Department of Electrical-Electronics Engineering, Karadeniz Teknik Üniversitesi, Trabzon,Turkey
{cavdar}@ktu.edu.tr
3#
Department of Electrical-Electronics Engineering, Karadeniz Teknik Üniversitesi, Trabzon, Turkey
{zhasirci}@ktu.edu.tr
Abstract— The knowledge of Line of Sight (LoS) probability is points in two or three dimensional space. LOS is an ideal
curicial to estimate signal attenuation correctly in mobile wireless condition for mobile ground communication because
communication. Especially in built-up areas, more accurate LoS transmitted signal is received with best possible signal strength
probability determination helps to obtain more realistic without exposing any obstacles [1]. In NLOS, there are many
propagation models or path loss models. Geographic Information
Systems (GIS) and City Information Systems (CIS) are used to
obstacles such as buildings, trees, forest, poles, tunnels and
provide a necessary data to calculate the LoS probability. In this traffic lights. In this case, transmitted signal reaches the
study, LoS analyses are made via Arcgis software for the most receiver weakened. Apart from these, transmitted signal also
well-known streets in Trabzon, Turkey. For these analyses, the get attenuated due to rain. In urban type environment, the signal
Earth''s surface is accepted as flat and a simple geometrical gets attenuated especially by buildings. Urban type
approach is used for calculations in this paper. A Matlab environment is covered dense buildings which are closely
algorithm was created to calculate LoS probability depending on located to each other and streets. Therefore, transmitted signal
the elevation angle which is an important parameter for satellite gets attenuated as a result of diffraction and reflection caused
services. LoS probability vs. elevation angle is presented for by these buildings.
interested streets. As a result, LoS probability for Trabzon
dependent elevation angle is estimated and presented.
In urban type environment, when examined it was observed
that signal quality in mobile communication systems is
significantly affected on the streets for LOS and NLOS cases
Keywords— Line of Sight, Line of Sight Probability, LOS,
Wireless Communication, GIS, CIS, Arcgis, Arcmap, Elevation
[1]. Therefore, the height of the buildings, transmitter height,
angle, Matlab receiver height, elevation angle from receiver to transmitter,
street widths and lengths are most important factors to
I. INTRODUCTION determine the LOS and NLOS conditions created by buildings.
In terrastial mobile communications, above mentioned
The increasing demand for higher data rate in wireless characteristics of the building and the street can be obtained via
mobile communications services has expedited the need for digital maps which is used in geographic information
more innovative and flexible communications infrastructures. systems(GIS) [3]. Transferring the entire city to digital map is
Terrestrial ground-based systems and satellite systems are used a difficult and sensitive process. This has led to the emergence
for providing mobile communications services [1]. To of City Information Systems(CIS) [4]. In Turkey, all
overcome some of the disadvantages of both terrestrial ground- municipalities are gradually creating their City Information
based systems and satellite systems, high altitude plAtform Systems(CIS). Some of these cities are İstanbul, İzmir,
stations (HAPs) technology can be used to provide cellular Eskişehir, Konya, Kayseri, and Trabzon. In this study, City
communication. So, there is plenty of research in this area [2]. Information Systems of Trabzon Municipality is used to obtain
In [1], researchers obtain propagation models and performance LOS probability values [5].
analyses for HAPs systems. It is obvious that elevation angle A lot of software is available in the GIS and many of them
is the dominant parameter on the propagation models in [1]. are paid. ARCGIS [6] and MAPINFO [7] could be given as an
The simplest definition of Line of Sight (LOS) is the straight example for most commonly used paid software. Also,
path between two fixed point in two or three dimensional space NETCAD [8] can be given as an example national paid
when unobstructed by the horizon. On the other hand, non-line- software. Some of the most commonly used free software is
of-sight (NLOS) is indirect path from one point to the other GRASS [9], QGIS [10] ve SAGA GIS [11]. Urban Information
System of Trabzon Municipality was created by the NETCAD
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software. In this study, GIS data sets received from Trabzon use the data from existing GIS to calculate the LOS coverage
Municipality is adapted to ArcGIS software. probability in Prague capital city of the Czech Republic [20].
In her study [1], Hasırcı used direct sight (LOS) and non- Oestges and Janvier have represented the physical and statical
direct sight (NLOS) probability values from Holis and Pchac model of LOS coverage probability calculation for HAPs [21].
[12]. Depending on this probability values, propagation models Saunders and Evans has provided a physical model which
have created and performance analyses of communication calculates the probability LOS for land mobile satellite systems
channels are made in [1]. derived from a simple geometric model [22]. RamaSarma, in
In this study, the most well-known streets and avenues for his research, has calculated the probabilities of LOS for
the city of Trabzon were considered. For each street and avenue interested regions and stated it analytically [23]. RamaSarma is
LOS and NLOS probabilities were calculated depending on the used two models in his research namely CRABS and
elevation angle through a code written in Matlab. After that, PLEXTEK which estimate visibility [23]. Both models have a
calculated LOS probabilities for streets were combined with structure that will be an alternative to the ray tracing method in
Bayes conditional probability theorem [24] by performing the literature. In both models, required parameters are produce
simulation to create Trabzon city LOS possibilities. by statistical methods from existing GIS data. Using these
Realistic LOS probability values calculated in this study will parameters, the radio propagation models were estimated.
be put in LOS probability equation (1) from [12] and HAPs
propagation models and performance analyses will be obtained II. LINE-OF-SIGHT PROBABILITY MODELLING APPOACH
for Trabzon. Also, these calculated real probability values can
be used to estimate propagation and coverage area for Trabzon. In this section, propagation modelling and statistical study
This LOS modelling idea is not new. Actually, LOS analyses for channel performance analysis on HAPs systems in [1] were
were used in the military fields. First LOS analyses were made investigated. In above mentioned study, the analytical LOS
at the beginning of the 18 century by the French military probability expression depending on elevation angle was
engineer Prestre de Vauban (1603-1707). LOS analyses slowly obtained. In her research, Hasırcı emphasizes propagation
began to gain importance over the following years because of modelling of HAPs and gives performace analysis [1]. All
increasing military activities as a result of wars [13]. LOS possible propagation environments were divided into four
analysis has played an important role in military especially for groups: suburban (SU), urban (U), dense urban (DU) and urban
the placement of an optimum observation tower, selection of high rise (UHR) area. These propagation environments were
military areas, and preparation of war plans. modeled using well-known statistical models with a
ARCGIS software one of most commonly used GIS software. dependence on elevation angle. Focusing only urban areas in
ArcGIS ™ technology, developed by ESRI, is a scalable this study provides a more detailed examination. With rapidly
integrated Geographic Information System(GIS) software. growing metropolitan areas, more detailed studies that have
ArcObjects is a development environment of the ArcGIS become much more important in signal attenuation will help to
family of applications [14]. In this study, ARCMAP which is solve this problem. Statistical models were combined with free
one of the module of ARCGIS software is used. ARCMAP has space path loss, and full formulations of total path loss for the
provided visualisation of available graphical and verbal data, four possible HAPs propagation environments and different
data update, query and analysis, charting and reporting tools conditions at 2-6 GHz frequency band were obtained [1].
and, it also has high quality cartographic production functions. Elavation angle and propagation environment are the most
In ArcGIS 3D analysis tool, there are functions such as LOS important parameters to determine propagation characteristics
(places visible and not visible among a line), Viewshed (visible for HAPs systems.
areal places and not visible areal places for desired specific First, using ITU-R Rec. P.1410 [17] statistical model, LOS
point of view) and drawing LOS profile [14]. and NLOS probability distributions corresponding to each
Height of buildings and the distances between the buildings elevation angle in each propagation environment were
are important parameters for radio propagation models and calculated [12], the data has been created to be used in the
LOS probability calculations [1]. In the literature, it was shown produced model.
that building height distributions have similarities with some Probability distribution for LOS and NLOS corresponding to
known probability distributions. each elevation angle have been created on the following
When these studies were analyzed, it is clear that rayleigh geometry for four propagation environment [see Fig. 1]. This
distribution is most commonly used distribution. Log-normal geometry is essential scenario for simulation result in this paper.
distribution is also used in some studies. Some references state
that building height densities are similar to log-normal
distribution rather than Rayleigh distribution while creating
radio propagation models [16,17]. The distributions related to
the height of the building are also investigated thoroughly in
[15], [17] and [18].
Cheng and Wu have represented the LOS calculation model
which determines security and route for vehicles traveling at
highway [19]. Led and Pechac, using the ITU-R P.1410 model,
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t n
PLOS ( )  t  (1)
 k p
1 ( )
l
Table 1 shows parameter change of equation 1 according to

propagation environment.
TABLE 1
PARAMETERS FOR LOS PROBABILITY CALCULATION [12].
Propagation t n k l p
Medium
Suburban(SU) 101.6 0 0 3.25 1.241
Fig. 1. Geometry of basic LOS and NLOS [12]. Urban(U) 120 0 0 24.3 1.229
A 2 x 2 km size city area was considered in analyses and the Dense 187.3 0 0 82.1 1.478
layout of the building sampled every meter in simulation setup. Urban(DU)
Simulation were separated in two group. In first group Urban High- 352.0 -1.37 -53 173.8 4.670
simulations, LOS probability in the streets was analyzed as a Rise(UHR)
function of elevation angle for different propagation
environment filled with buildings. A much simpler geometry Where PLOS ( ) is the probability of LOS in percent,  is an
was shown in Fig.1 for LOS and NLOS conditions of area. elevation angle in degrees and t,n,k,l,p are the empirical
Calculations were made every 9 degree increments for azimuth parameters given in Table I for the four typical environments.
angles in a range of from 0 to 360 degrees. Initially, buildings
were randomly generated by the statistical models. After that,
to implement and analyze a large number of scenarios, HAPs III. OUR EMPIRICAL LOS PROBABILITY
location were determined separately for each sampled point of MODELLING APPROACH
the street for given elevation and azimuth angles. LOS
probability for a given elevation angle were set to the median Flat unobstructed path from the transmitter to the receiver is
value of data obtained for all azimuth angles. Thus, the results called free line of sight. Line of Sight is very important for
have become independent from the azimuth angle because transmitted signal in wireless communication. Even there is not
buildings in the real world are usually not located regularly. line of sight in the signal path, the signal can still reach its target.
These simulations were applied from 1 degree to 90 degrees for Actually, if all transmitted signals move through free Line of
all elevation angles and a distribution was obtained as in Fig. 2 sight path, the best propagation occurs. The high-frequency
signals need more free line of sight path than the low frequency
signals. Infrared communication is particularly sensitive to
obstacles which is in the free LOS fields.
In this study, firstly, it was opened Trabzon data set which
have binalar.shp, yollar.shp and mahalleler.shp file. After that,
they were compiled via ARCMAP module of ARCGIS
software. The most well-known streets and avenues were
selected in the city center of Trabzon, Turkey. After that, the
buildings which is on the north side of this streets and at a
certain distance from these streets were selected. Finally,
various operations which use some ARCMAP tools were
applied for selected buildings and streets. As a result of these
processes, the knowledges such as the height of the buildings,
the area occupied by the buildings, the edge lengths of the
buildings and the distance to the road from buildings are
extracted from the attribute tables which are obtained from
Trabzon GIS dataset. It was created a Matlab algorithm that
calculates LOS probability depending on the elevation angle for
interested streets. Input variables of this algorithm are the
Fig. 2 LOS probability in the streets as a function of the elevation angle for height of the building, the edge lengths of the building and the
selected environments [12].
distance from building to the road. Firstly, LOS probability was
Equation (1) depending on the elevation angle was obtained calculated for every building on the interested street. After that,
with the help of the data in Fig. 2. Additive LOS probability which consists also building spaces
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616
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was calculated and this additive LOS probability was added to Fig. 4 illustrates a simple LOS scenario in Urban city. When
pre-calculated LOS probability created by building. As a result Fig.4 is examined, it can be seen that there are buildings, trees
of this, Elevation angle dependent LoS probability for and cars that prevent direct sight (LOS) between the transmitter
interested street were estimated. When it was examined LOS and the receiver. They are common obstacles that may exist in
probability graphs in this study, it has been seen that they are all the typical urban-type settlements.
similar to some known probability distributions in the literature
[25]. This study has been no analysis of similarity to known
probability distributions in the literature. LOS probability
values depending on the elevation angle for Trabzon was
obtained by utilizing Bayes' conditional probability theorem
[24].
A. ARCGIS and Trabzon City GIS Data

In this study, it was used ARCGIS 10.1 software version [6].
In ARCGIS software, basic file extension is ‘shp’. ‘Shp’ file
extension name is obtained by shortening ‘shape’ word. The
streets which LOS probability was calculated was created by
using the necessary analysis and operations in ARCMAP. Fig. 4. A simple LOS scenario in Urban city
ARCGIS have many modules. The input data which will be
entered to the the geometric-based algorithm is obtained by
using ArcMap. Fig. 3 illustrates the ARCMAP module B. Our LOS Probability Model and Calculation Algorithm
screenshots of Trabzon GIS data.
LOS probability prediction models use Ray Tracing (RT)
methods mostly. Ray tracing techniques are applications that
require large computational load and time. Ray Tracing
techniques is used in electromagnetics applications, radio
communications, cellular communication systems, radar
applications, image processing applications, etc. In RT, rays
from transmitter are sent to all angles in medium and all
calculations are accomplished.
LOS prediction algorithm in this study has geometrical
approaches and it is flexible because it can be applied for all
cities in Turkey. Firstly, LOS probability of every building in
the street was calculated. After that, LOS probability of street
was calculated by using LOS probability of every building.
Finally, LOS probability of every street was combined
conveniently according to the Bayes' conditional probability
theorem [24]. After these operations, LOS probability of
Trabzon city was calculated. The more streets taking into
account for calculation, the more realistic the LOS probability
values of Trabzon city will be obtained. Fig. 5 illustrates typical
LOS scenario used in this study.
Fig. 5. Line-of-Sight scenario in this study

Fig. 3. ArcMAP module screenshots of Trabzon GIS data
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617
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As seen in Fig. 5, Hi is observation height, Li is distance of angle, and L is total length of N number streets (given by
LOS, e is elevation angle, Gi is distance to the receiver from equation (9)).
The clearest expression of equation (7) is given by equation
building edge which is parallel to road, ‘i’ is building index (8).
which helps to differentiate buildings from each other in the L1 L2 LN
street and ‘e’ index represents elevation angle ranging from 1 Ploscity(i)  * Plos(L1 \ i)  * Plos(L2 \ i)  ..  * Plos(LN\ i) (8)
L L L
- 90 . Relationship between elevation angle, e and distance of
LOS, Li can be stated as shown in equation (2). L in equation (7) and (8) can be calculated as below:
Hi L=L1+L2+L3……..+LN (9)
tan(e )  and Li= Hi 2  Gi 2 (2)
Gi
In above equations, Li and L are easily obtained by using
First, NLOS probability was calculated in this study. After ARCGIS attribute tables.
that, LOS probability was calculated. Relationship between D. Our LOS Probability Graphics for Trabzon street and city
these probabilities was shown below.
In this section, LOS probability figures vs. elevation angle
Sall=Snlos+Slos (3) were presented for four streets. The LOS probability figures
were plotted in Matlab software. LOS probability of four streets
where Sall is total area of the interested region in square were given this section (Fig. 6, Fig 7, Fig. 8 and Fig. 9). After
meters, Snlos is area of NLOS region in square meters, and Slos that, LOS probability figure of Akif Saruhan street was
is area of LOS region in square meters. Relation between area examined and discussed. Fig.6 illustrates LOS probability
of regions is was given in equation (3). NLOS probability can figure vs. elevation angle of Akif Saruhan street.
be calculated by using equation (4). Fig. 6 illustrates LOS probability figure vs. elevation angle
of Akif Saruhan street. Fig. 7 illustrates LOS probability figure
Pnlos=Ss/Sall (4) vs. elevation angle of Deliklitaş street. Fig. 8 illustrates LOS
probability figure vs. elevation angle of Ahmet Barutçu
where Pnlos is NLOS probability. Kütüphanesi street. Fig. 9 illustrates LOS probability figure vs.
elevation angle of Moloz street. Fig. 10 illustrates LOS
Substituting Pnlos in equation (4), LOS probability can be probability figure vs. elevation angle of Trabzon city.
calculated using equation (6).
Plos+Pnlos=1 (5)
Plos=1-Pnlos (6)
where Plos is LOS probability.
C. Our LOS Probability Model and Calculation Algorithm

for Trabzon City
After LOS probability of N number streets was calculated,
LOS probability values depending on the elevation angle for
Trabzon was obtained by utilizing Bayes' conditional
probability theorem [24].
If elevation angle of between the receiver and the
transmitter is known previously, LOS probability for Trabzon
( Ploscity ) for arbitrary angle can be calculated using equation
(7).
Fig. 6. LOS probability of Akif Saruhan street
N
1
Ploscity(i)  *  Li * Plos(Li\ i) (7)
L n 1
where Ploscity(i) is LOS probability of Trabzon,

Plos(Li\ i) is LOS probability of i-th street when i
elevation angle between the receiver and the transmitter is
known previously, Li is length of i-th street, i is elevation
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To illustrate, when LOS probability figure in Fig. 6 is

examined, it is clear that even if elevation angle is very low,
LOS probability of Akif Saruhan street value is about 0.55
This indicates good quality of wireless communication at low
elevation angles.
Fig. 7. LOS probability of Deliklitaş street
Fig. 10. Merged LOS probability of Trabzon city
When LOS probability figure in Fig. 10 is examined, it can

be understood clearly that even if elevation angle is very low,
LOS probability of Trabzon city is about 0.25. This indicates
that low quality of wireless communication at low elevation
angles. LOS probability of Trabzon at low elevation angles is
low because of Trabzon’s irregular building structures and
settlements. It can be seen clearly that LOS probability figures
in tis study show similarities with other LOS probability figures
in [12] and the other studies in literature.
IV. CONCLUSIONS AND SUGGESTIONS

Fig. 8. LOS probability of Faik Ahmet Barutçu Kütüphanesi street
Trabzon GIS data was analysed by using ARCIS software.
As a result of this analyses, it was obtained building heights,
road, street widths, distances between buildings, building floor
area, etc. These obtained knowledges were used as an input data
for geometrical algorithm and LOS probability of interested
streets in Trabzon city were calculated.
As a future study, it will be investigated that the LOS
probability values complies with which well-known
cumulative distributions. As result of this, empirical formulas
which represents LOS probability depending on the elevation
angle will be derived. Instead of flat terrain in in this study,
rough terrain can be taken into account. LOS probability values
obtained in this study can be used for HAPs propagation
modelling and wireless channel modelling in Trabzon.
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Science, Trabzon,Turkey, May.2011.
[2] S. Ohmori, Y.Yamao and N.Nakajima, “The future generations of
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Wireless Communications and Networking, pp. 1-7, Apr.2008. http://en.wikipedia.org/wiki/List_of_probability_distributions
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A Simple State Observer Design for Linear

dynamic Systems by Using Taylor Series
Saadettin Aksoy
Department of Electrical & Electronics Engineering,
Architecture & Engineering Faculty,
Siirt University, Siirt, Turkey,
aksoy@siirt.edu.tr¹
Abstract— In this study, an estimation algorithm is proposed to proposed method gives the approximate solution of the
estimate the state variables of linear time-invariant multi input- estimation vector as a function of time in the interval
multi output systems. The proposed recursive algorithm is based [0,t]. Consequently, computation of the state integral
on the orthogonal Taylor series approximation and uses some equations for each t is eliminated. The Taylor series are
important properties of the Taylor series. It has an analog
solution which can be obtained easily by a computer program. It
defined on the interval t[0,1] and have the orthogonality
is not affected by rounding errors. When the number of elements property like the Walsh, Chebyshev and Legendre series
of series is sufficiently large, the Taylor series approximation [7,8]. The proposed algorithm uses some important
gives results very close to exact solution. properties such as the operational matrix of integration for
Taylor vector [9,10]. The algorithm consists of four steps.
Keywords -- State Estimation, Taylor series, State Observers, In the first step, the feedback gain matrix G, which will
Curve fitting force the estimation error to go to zero in a short time, is
determined by using a suitable method [4]. In the second
I. INTRODUCTION step, the observer state equation is converted into integral
State variables that determine a system’s dynamics should equation by integrating the terms on either side of the
be known for analysis and control of dynamical systems equation. After some algebraic manipulations, the time
[1,2]. Specifically, dynamics feedback for pole placement is dependent terms on either side of the integral equation are
required. Furthermore, estimation of state variables in real removed. Hence, the problem is reduced to a set of
time is a very important problem in adaptive control nonlinear equations with constant coefficients. System
applications [3]. Unfortunately, all of the state variables outputs are used by the observer equations. Therefore, we
cannot be measured in practice. As a result, use of a suitable have to calculate it’s as the function of time. They can
state observer or estimator is unavoidable in order to obtain obtained from plant output measurement by using curve
immeasurable state variables. There exit a variety of state fitting methods such as Linear Least Squares, Levenberg-
observers in the literature [4,5]. Implementation of state Marquardt and Gauss-Newton [11]. Finally, in the last step,
observers that use only input and output measurements of nonlinear equations for unknown state vector are converted
the systems are carried out via solution of the observer state into a recursive form whose solution can be obtained easily
integral equations pertinent to the observer. There are by a computer program. The proposed estimation algorithm
several numerical solution algorithms for a solution of the was implemented in MATLABTM and it was applied to
observer state integral equations in the literature [6]. Even different cases. Results obtained by the proposed algorithm
though the Runge-Kutta numerical integration algorithm is are in harmony with the real results.
frequently used for this purpose, it has several drawbacks This document represents a template for ICAT’14. It can
that depend on the step-size h. First, accuracy gets poorer as be downloaded from the conference website, and used as a
h increases. Second, computation time becomes an issue if reference in the typesetting of the final paper to be included
h is too small. Third, round-off errors may become in the conference proceedings. Extra information regarding
important for small values of h because the number of the submission procedure is available at the conference
cycles required to cover the desired time interval [0,t] website. Any question regarding the template or paper
increases. Note that equations are evaluated for each t in the guidelines must be directed to info@atscience.org.
interval [0,t] in all of the above mentioned algorithms.
In this study, a simple general algorithm is proposed for II. PROPERTIES OF THE TAYLOR POLYNOMIALS
state variables estimation of linear, time-invariant multi-
input multi output systems. The proposed algorithm is The Taylor series expansion of an analytic function f(t) in
based on Taylor series approximation and has an analog the neighborhood of the point t=t0 can be written as
solution. The solution that results from the proposed
algorithm gets closer to the true solution when more and f (t)  f(t0 )  a1 (t-t0 )  a2 (t-t0 )2 ...  ak (t-t0 )k .... (1)
more terms are kept in the Taylor series. Finally, the
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where
t T
k  f() dt  a Pλ ( t ) (12)
1 d f ( t0 ) 0
ak  ( ) (2)
k! dt k where the square matrix P is called the Taylor series
operational matrix of integration, and is given by
When t0 =0, the Maclaurin Formula given in Eq. (1) is
obtained: 0 1 0 0 ...... 0 0
 0 0 1/2 0 ..... 0 0
f (t)  a
k0
k λk ( t ) (3)
P=
0 0 0 1/3 ..... 0 0
.... ...................................... = Prxr (13)
where 0 0 0 0 .... 1/(r-2) 0
0 0 0 0 ..... 0 1/(r-1)
λk ( t )  t
k 0 0 0 0 ..... 0 0
(4)
By truncating the series given in Eq. (3) after the (r+1) th in the unique form. It can easily be shown that k-fold
term, the approximate analytic function f(t) can be written integration of P is Pk [16, 17]. The matrix P of size rxr in
as Eq. (13) is called the integration operation
r 1 matrix.
f (t)  a
k 0
k λ k ( t )  a λ (t)
T
(5)
III. THE PROPOSED ESTIMATION ALGORITHM
where a and λ (t) are the Taylor polynomial coefficient The proposed estimation algorithm can be considered as
state observer and its simulation diagram is given in Fig. 1.
vector and the Taylor series basic vector, respectively
defined as
aT=a0 a1…....ar-1 (6) x ( t ) x( t )

 dt
T
λ (t)= λ0 (t) λ1 (t) ... λr-1 (t)  1 t ... t r-1  (7)
The Taylor series basic functions satisfy the following
recurrence relations:
k(t)= tk-1 (t), k=1,2,….,r-1. (8) x̂ ( t ) x̂( t ) ŷ( t )

 dt
Also, one may easily show that
t k 1
t 1
0  k ()d    k 1 ( t ) . (9)
k 1 k 1
By using expression (3), the definite integral of an

analytic function f(t) in the interval (0,t) can be
Figure 1. Simulation diagram representation of a state
approximated as estimator
t r 1 t
State and error equations for the state observer shown in
 f() dt   
k 0
a k  k (t) dt Figure 1 are
0 0
r 1
ak r
xˆ (t)  Mxˆ (t)  Bu(t)  Gy (t) (14)
 ( ) k 1 ( t )   bk k ( t ) (10)
k 0 k 1 k 1 e (t)  Me(t), e(0)  x(0)  xˆ (0) (15)
where bk, k=1,2,…, r are real numbers. From the last where
relation the following equalities can easily be obtained M  (A  GC) (16)
b1=a0, b2=(a1)/2 ,…., br=(ar-1)/r. (11)
In Eq. (14) and (15) , x̂(t) , u(t) , e(t) and y(t) are the nx1
Thus, substituting Eq. (11) in Eq. (10) leads to estimation vector, mx1 input vector nx1 error vector and
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622
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px1 output vector , respectively. A, B, C and G are nxn  u10 u11 ... u1,r-1 
state matrix, nxm input matrix, pxn output matrix and nxp u
gain matrix, respectively. The gain matrix G is effective  20 x 21 ... u 2,r-1 
only if x(0)  x̂(0) and it should be chosen such that the u (t)=  . . .  λ (t)  Uλ (t) (23)
estimation error goes to zero in a short period of time. The  ... 
elements of the gain matrix G can be determined form the  . . . 
characteristic equation given in (17) by using arbitrary  u m0 u m1 ... u m,r-1 

eigenvalues of (A-GC) denoted α1 ,α 2 ,....,α n (note that
eigenvalues are chosen such that e(t) goes to zero as where
quickly as possible) (Kailath,1980): U  [u0 u1 ... u r-1 ] ,
T
αI  (A  GC ) = 0 (17) u k  u1k u 2k ... u mk  , k=0,1,2,…,r-1
In Eq. (17), I is nxn identity matrix. Now, let us consider

the estimation of x̂(t) . If we integrate both side of Eq. (14)

y (t)  y 0 y1 .... y r-1  λ (t)  Yλ (t) (24)
we obtain
where
t t t
T
ˆ (t)dτ+ Bu (τ)dτ+ Gy (τ )dτ
ˆx (t)-ˆx (0)= Mx   (18) yk   y1k y 2k ... y pk  , k=0,1,2,…,r-1.
0 0 0
Output vector, y(t) can be obtain from output measurements

Let us assume that x̂(t) , u (t) , x̂(0) and y(t) are continuous by using curve fitting methods (Steven and Raymond,2009).
functions for [0,t]. Then, their Taylor series approximati- If we substitute Eq. (19), (21), (23) and (24) in Eq. (18), we
ons can be given as have
 x10 x11 ... x1,r-1  t t

x ˆ (t)-X
ˆ λ(t)  MXλ
ˆ (τ)dτ  BUλ(τ)dτ
 20 x 21 ... x 2,r-1  Xλ 0  
 0 0
ˆx (t)   . . .  λ (t)  Xλ (t) (19) t
 ...  (25)
  GYλ (τ)dτ
 . . . 
0
 x n0 x n1 ... x n,r-1 
 From Eq. (12), Eq. (25) can be written as
where
ˆ -X
(X ˆ )λ (t)  MXPλ
ˆ (t)  BUPλ (t)  GYPλ (t) (26)
0
ˆ
X  [ ˆx 0 ˆx 1 ... ˆx r-1 ] (20)
If we remove the time-dependent terms in Eq. (26), the
T following set of constant coefficient algebraic equations is

x̂ k  xˆ 1k xˆ 2k ... xˆ nk  , k=0,1,2,…,r-1 ,
obtained
 ˆx1 (0) 0 ... 0  ˆ -X

X ˆ ˆ  BUP  GYP
 MXP (27)
  0
 ˆx 2 (0) 0 ... 0 
ˆx(0)   . . .  λ (t) ˆ λ (t)
X (21)
0
 ...  The unknown coefficient vectors x̂ i , i=0,1,2,…-r-1 in Eq.
 . . .
 ˆx (0) 0 ... 0  (27) are in a complex form. Hence, we need to rearrange
 n 
Eq. (27). After applying the steps given in Appendix A, the
following recursive equations are obtained
where
ˆ  [ˆx(0) 0... 0] ˆx i,0 =ˆx i (0)+f

X0
(22) i,0
1 n
T ˆx =(  (mi,j ˆx j,k-2 ))+fi,k-1 (28)

ˆx (0)  ˆx1 (0) ˆx 2 (0) ... ˆx n (0)  i,k-1
k-1 j=1
i=1,2,…,n , k=2,3,…,r
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The unknown estimation vectors x̂ i , i=0,1,2,…-r-1 are y(t)=-0,0002x4+0,0013x3-0,0042x2+0,0088x+0,491,for

4≤t<5
obtained by using a computer program. Then, these vectors
are substituted in Eq. (19), and the Taylor series y(t)=-0,0001x4+0,0005x3-0,0016x2+0,0033x+0,4967,for
approximation of the estimation vector x̂(t) is obtained. 5≤t<6
For the special case in which G is zero matrix, the
algorithm behaves as an open-loop observer. Since the y(t)= 0,0002x3-0,0006x2+0,0012x+0,4988,for 6≤t<7
observer error dynamics in open-loop observers is
determined by eigenvalues of the system, the system must y(t)=-0,0002x2+0,0004x+0,4995,for 7≤t≤8
be asymptotically stable for convergence (Kailath,1980).
The proposed estimation algorithm was implemented in From above expressions for each time subinterval Taylor
MATLABTM and was applied to different examples. series approximation coefficient matrix, Y is obtained
easily. For example we can write for 0≤t<1
IV. NUMERICAL APPLICATIONS Y=[ 0.5 -0.5 0.7499 -0.5827 0.3089 -0.1184 0.02664]
Example 1. Consider a system having state equations given

by
0 1 0 
x (t) 
 2 3 x (t)  1  u(t)
y (t)  1 0 x(t)
This system has an analytical solution, which can be

obtained from the unit-step input response as
 x1 (t)   2e t  e 2t e t  e 2t   x1 (0) 

 x (t)    t 2t t 2t    Figure 2. Output curve for example 1.
 2   2( e  e ) e  2e   x 2 (0) 
The analytical solution as well as solution obtained by the
 (1 / 2)  e  t  (1 / 2)e 2t  proposed algorithm curves for each gain vectors and for
  unit step input function are given in Figure 3. The initial
 e  t  e 2t  value of estimation vector, xˆ (0) is chosen as zero. In
From Eq. (17), the gain vectors [-1 2]T, [1 -1]T and [17 addition the estimation error curves are given in Figure 4. It
can be seen that from Figure 3, as eigenvalues of the
47]T are computed to place eigenvalues of the observer observer move to the left in the left half s-plane, the
error p at -1 , -2 and -10 , with multiplicity 2 respectively. estimation error curves converge to the zero in a shorter
time. Estimation error of the proposed algorithm as a
The analytical expression of y(t) given by Fig. 2 is function of time for several values of r is illustrated in
obtained by using Linear Least Squares curve fitting Figure 5 from which one can see that estimation error
decreases as r increases.
method as follows:
y(t)=0.0266x6-0.1184x5+0.3089x4-0.5827x3+0.75x2
- 0.5x+0.5, for 0≤t<1
y(t)=0,0021x6-0,0123x5+0,0347x4-,0585x3+0,043x2
+0.0487x +0,3838, for 1≤t<2
y(t)=0,0021x6-0,0013x5+0,0029x4-0,0008x3
-0,0155x2+0,0493x+0,4415, for 2≤t<3
y(t)=-0,0002x4+0,0025x3-0,0099x2+0,0224x+0,4764,for
3≤t<4
a. Results for x1(t)
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624
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b. Results for e2(t)

b. Results for x2(t) Figure. 5. Estimation error curves for Example 1. with p=[-10 -10] .
Figure 3. Analytical solution and estimation curves of state variables
obtained by the proposed algorithm for Example 1 with r=24. Example 2. Consider a 2 input/1 output dynamic system
described by the following state equation.
-1 -1 1 1
x (t) 
 2 0  x(t)  1 0 u(t)
y (t)  1 2 x (t)
By using Eq. (17), feedback gain matrices corresponding

to the eigenvalues of the observer error dynamic (at -1, -2
and -5 with multiplicity, respectively) are computed as
a. Results for e1(t) 0.42  0.14 5.28

 0.71  , 1.42  and 1.85 
The analytical expression of y(t) is obtained similar fashion
to example 1 from Fig. 6. Thus, Taylor series
approximation coefficient vectors are obtained easily for
each time subinterval. For example, we can obtain in the
interval 0≤t<1 :
Y =[ 0.009 21.43 -92.11 188.7 -211 126.6 -31.77]

Figure.4. Estimation error curves for Example 1 with r=24.
Figure 6. Output curve for example 2.
Simulation results of the observer and the proposed

algorithm for each gain matrix and for unit step input
functions are given in Figures 7 and 8. Here, the initial
value of estimation vector, xˆ (0) is chosen as zero.The
a. Results for e1(t) Runge-Kutta numerical solution method with h=0.01 was
used for the observer simulation. In the estimation
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625
_____________________________________________________________________________________________________________
algorithm one can deduce from Figure 7 and 8 that the

proposed Taylor series approximation based estimation
algorithm gives state curves, that are very close to those of
the observer when the number of terms in the Taylor series
is sufficiently large. Like the results obtained in Example 1,
as eigenvalues of the observer move to the left in the left
half s-plane, the estimation error decreases.

Figure.8. Estimation error curves for Example 1. with r=12
a. Results for x1(t)
a. Results for e1(t)
b. Results for x2(t)

Figure. 7. State curves for Example 2 obtained by observer and
the proposed algorithm with r=12
Figure. 9. Estimation error curves for Example 2 obtained by the

proposed algorithm with p=[-10 -10]
Estimation error of the proposed algorithm as a function of

time for several values of r is illustrated in Figure 9. It is
obvious from Figure 9 that estimation error decreases as r
increases.
a. Results for e1(t)
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626
_____________________________________________________________________________________________________________
V. CONCLUSION [10] Mouroutsos S. G. and Sparis P. D., Taylor Series Approach to

System Identification, Analysis and Optimal Control, Journal of
In this study, a direct analytical algorithm based on the Frank. Inst., vol. 319, no. 3, pp. 359-371,1985.
truncated Taylor polynomials and the operational matrix of
[11] Phillips, Y.A., Controller Design of Systems with Multi-
integration has been suggested to estimate the elements of cate Noise, IEEE Trans. On. Aut. Cont.,Vol.2, AC-30, No.10,1985.
the state vector for a linear time-invariant multi input multi
output system. The algorithm uses the Taylor series [12] Reilly, J.,” Observers for Linear Systems”, London Academic
approximations of the observer in terms of the unknown Press London,1983.
coefficients of the state vectors. Thus, integration problem [13] Roltson A., (1978). “A first course in numerical analysis”, 2d edi-
is reduced to solving a set of complex linear equations with tion, McGraw-Hill, New York.
constant coefficients. The equations for the solution of
unknown coefficients are in a complex form. The algorithm [14] Sheid F. J., “Schaum’s Outline of Theory and Problems
of Numerical Analysis”, McGraw-Hill, New York,1968.
we propose transforms these complex equations to a form,
which is solved easily in a recursive manner. Furthermore, [15] Sansone G., “Orthogonal Functions” , Interscience Publishers,
the algorithm can be easily implemented by using a Inc., New York,1991.
computer program. The proposed technique does not suffer
[16] Stavroulakis P., and Tzafestas,S, Walsh Series approach to
form the issues such as a choice of the step-size and the observer an fitler design in optimal control systes, Int. J. Control,
rounding errors that are present in the numerical integration Vol.26,No.5, pp. 721-736, 1977.
algorithms. Proposed algorithm gives the solution of xˆ (t)
[17] Sparis P.D., and Moutroutsas S.G, Analysis and Optimal
as an analytical function of time in the interval t[0,tmax]. Control of Time-Varying Linear Systems via Taylor Series, Int.
As a result, numerical computation of the xˆ (t) for each t in Journal Cont., Vol.41, pp. 831-842,1985.
the interval (0,1) is eliminated. [18] Steven C. Chapra, Raymond P. Canale ,”Numerical Methods for
For the special case in which the gain matrix G is Engineers”, McGraw-Hill, USA,2009.
chosen as zero matrices, very small number of operations
will be sufficient for the solution since the algorithm
behaves like an open-loop estimator. However, the system
has to be asymptotically stable for convergence since the
eigenvalues of the matrix A determine the observer error
dynamics.
Numerical examples illustrate the fact that exact and
approximated values of the state variables are in good
agreement.
REFERENCES
[1] Aström, K.J., and Wittermark, B., “Adaptive Control”,Addison

Wesley Pub. Inc., USA,1989.
[2] Brasch, F.M., and Pearson, J.B. Pole Placement Using Dynamic
Compensators, IEEE Trans. Automatic Control, AC -15, pp. 34-
43,1970.
[3] Chen Chi-Tsong, “Linear System Theory and Design”, CBS

Pubishing,, USA,1984
[4] Cheng-Chilan Liu and Y. P. Shih , Analysis and optimal control of

time-varying systems via Chebyshev polynomials, Int. J. Control,
Vol.38, No.5, pp. 1003-012,1983.
[5] Daughlas B. Miron , “Design of Feedback Control Systems”,

Harcourt Brace Jovanovic Inc., USA,1989.
[6] Gwynne A. Evans , “Practical Numerical Analysis”, John

Wiley&Sons ltd., England,1995.
[7] Hildebrand,F.B., “Introduction to Numerical Analysis”, 2d

edition, McGraw-Hill, New York,1973.
[8] Kailath, T., “Linear Systems”, Prentice-Hall Inc., Tokyo,1983
[9] Kendall E. Atkinson , “An Introduction to Numerical Analysis”,

John Wiley&Sons, Canada,1978.
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SHORT CIRCUIT ANALYSIS IN ISLAND MODE

USING ETAP
1Ridha K. MOHAMMED, 2 Assoc.Prof. Musa AYDIN
Department of Electrical and Electronics Engineering, Selcuk University, Konya, Turkey
1
rida762004@yahoo.com , 2 aydin@selcuk.edu.tr
Abstract— the requirement of power is very much essential for 1) Determination of short-circuit duties on switching
the development of any country. The simulation and short circuit devices, that is, high-, medium-, and low-voltage
study of an electrical power system is performed on Electrical circuit breakers and fuses
Transient Analyzer Program (ETAP). The output of short circuit 2) Calculation of short-circuit currents required for
studies are helpful in order to determine system configuration,
protective relaying and coordination of protective
protection equipment, system voltage levels, cables size , and
switchgears, transformers and grounding. ETAP short circuit devices
analysis software analyzes the effect of 3-phase, 1-phase, line-to- 3) Evaluations of adequacy of short-circuit withstand
ground, line-to-line, and line-to-line-to-ground fault currents on ratings of static equipment like cables, conductors, bus
electrical power systems. In this research, selected a city where a bars, reactors, and transformers
national network connected with four distributed generation. 4) Calculations of fault voltage dips and their time-
This distributed generation was operated depending upon solar dependent recovery profiles [2].
energy, wind power, waterpower and natural gas. In the normal In the power stations and the industrial facilities and the
case, the national network operates in parallel with the solar public buildings the designers take in consideration the safety
station and the wind station to feed all loads in the city. But, in
procedures to maintain the equipment’s and the labour, and
the case of national network outage from city, feed only task
loads in the city in island mode through these four distributed provide the systems high reliability in the control of systems
generation. With priority given to the work of the stations, the parts.
stations operates at the least cost of operating condition. Short The urgency short circuits in the systems leading to big
circuit analysis can be done for the two cases mentioned above. losses also some person’s loss these lives or at less power
supplies loss.
Keywords— Short circuit, ETAP, Distributed generation, Island The short circuits caused the isolation collapse in the
mode, Grid. electrical parts and in some cases can see sparks in the short
circuits points and these sparks caused fires in the locations.
In first time of the short circuits occur the protection devices
I. INTRODUCTION will work in the various parts and these devices distributed on
the system or buildings parts.
The short circuits happened in the electrical grid by the
The late response when the short circuits appear lead to
reasons of the urgency high voltage that over from the grid.
raising risks to the systems and huge losses [3]. In the
Lot accidents appear in the general electric grid by this
electrical power systems the short circuits happened between
current for example (damage in the grid parts, firing or
the phases itself or between the phases and the ground in this
explosion in the breakers and in the lines).
paper explain the four types of short circuits as following:
One of practices to minimize the short circuits in the grid
1) Three phase faults
determine the fault region and treatment the problem without
2) Line to ground
stopping the lines and to avoid the problem development.
3) Line to line
The high sensitivity protection devices and the high
4) Line to line to ground
response from the technicians help us to maintain the power
In the Electrical Transient Analyzer Program (ETAP)
supply [1].
software determined the total short circuit currents in the
In this paper using the ETAP software to illustrate the short
generators, transformer, lines and the other parts of electrical
circuits analysis and treatment it by simulation the single line
systems.
diagram of the general grid connected with four distributed
ETAP depending on two standards the ANSI and IEC
generation (wind, hydroelectric, photovoltaic energy and
standards [4].
natural gas).
The major aims from applied the short circuits to select the
appropriate equipment’s to avoid occur the accidents in the
equipment’s and the employees with continuity power supply.
And it collected in:
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II. SINGLE LINE DIAGRAM

In this paper, four distributed generation working by the
sun, wind, Hydroelectric and natural gas connected with the
national grid. Single line diagram drawing by using ETAP
program [5] shown in Figure 1.
In the normal case the solar station and the wind is working
in parallel with the national grid to feed the loads. In the case
of network outages, these stations operate in the island mode
to feed the task loads.
Fig. 2 Three Phase Short Circuit
Fig. 1 Single Line Diagram
2- Short Circuit Analysis without Grid (Island Mode)

III. SHORT CIRCUIT ANALYSIS
The short circuit analysis of distributed generation system This mode of operation the network is outgoing, and
using ETAP. The IEC standard is used to analyze the short the four distributed generation source are feed
circuit. In this simulation, choose all buses as a fault. ETAP important loads only in the island mode [8]. The 3-
short analysis of the 3-phase, 1-phase, phase-to-ground, phase short circuit analysis shown in figure 3.
phase-to-phase and phase-to-phase-to-ground can be realized
[6]. TABLE 2
SHORT-CIRCUIT SUMMARY REPORT (ISLAND MODE)
1- Short Circuit Analysis With Grid
Bus 3-phase fault L-G fault
In this case the network, Solar Energy and Wind ID kV I"k ip Ik I"k ip Ib Ik
Energy has operated there. The 3-phase short circuit Bus
0,4 101,5 249,4 96,8 103,4 254,2 103,4 103.4
analysis shown in figure 2 [7]. 1
Bus
0,6 95,5 236,3 89,6 104,5 258,5 104,5 104,5
2
TABLE I Bus
6,6 8,0 19,8 7,6 8,8 21,6 8,8 8,8
SHORT-CIRCUIT SUMMARY REPORT 3
Bus
6,6 7,3 18,1 7,0 7,8 19,3 7,8 7,8
4
Bus 3-phase fault L-G fault Bus
33 2,2 5,1 1,9 2,7 6,3 2,7 2,7
5
ID kV I"k ip Ik I"k ip Ib Ik Bus
Bus 33 2,1 5,1 1,9 2,7 6,4 2,7 2,7
0,4 138,9 322,9 138,9 125,8 292,4 125,8 125,8 6
1 Bus
Bus 33 2,0 4,7 1,8 2,5 5,7 2,5 2,5
0,6 150,3 341,3 150,2 140,8 319,8 140,8 140,8 7
2 Bus
Bus 33 2,1 4,7 1,8 2,5 5,8 2,5 2,5
6,6 11,6 26,6 11,6 11,2 25,8 11,2 11,2 8
3 Bus
Bus 33 2,2 5,4 1,95 2,8 6,9 2,8 2,8
6,6 10,3 24,2 10,3 9,8 23,0 9,8 9,8 9
4 Bus
Bus 33 2,2 5,4 1,9 2,8 6,9 2,8 2,8
33 10,6 16,6 10,5 9,5 14,8 9,5 9,5 10
5
Bus
33 9,1 14,4 9,0 8,4 13,4 8,4 8,4
6
Bus
33 7,7 12,1 7,7 7,0 11,0 7,0 7,0
7
Bus
33 8,8 13,7 8,8 7,8 12,1 7,8 7,8
8
Bus
33 14,8 23,3 14,6 13,4 21,1 13,4 13,4
9
Bus
____________________________________________________________________________________________________________
33 23,2 36,3 23,0 20,5 32,0 20,5 20,5
10
629
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Fig. 3 Three Phase Short Circuit (island mode) Fig. 5 Line to Ground Short Circuit (island mode)
The Line to line short circuit analysis shown in figure 4. The Line to line to ground short circuit analysis shown in
figure 6.
Fig. 4 Line to Line Short Circuit (island mode) Fig. 6 Line to Line to Ground Short Circuit (island mode)
The Line to ground short circuit analysis shown in figure 5.
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Definition of Terms This is the rms value of the short-circuit current which
IEC standards use the following definitions, which are remains after the decay of the transient phenomena
relevant in the calculations and outputs of PowerStation.
 Initial Symmetrical Short-Circuit Current (I”k) IV. CONCLUSION

This is the rms value of the ac symmetrical component of an The errors determine and data analysis in the power
available short-circuit current applicable at the instant of systems help the industrial facilities to determine and support
short-circuit if the impedance remains at zero time value. the appropriate protection devices and calculate the minimum
and maximum value of the system parts to assurance high
 Peak Short-Circuit Current (ip) safety level.
This is the maximum possible instantaneous value of the ETAP software applied in the power systems to make
available short-circuit current. simulation and to maintain the equipment’s and the people
lives and the rid on from the short circuits risks.
 Symmetrical Short-Circuit Breaking Current (Ib) All the studies in the ETAP applied the various types of the
This is the rms value of an integral cycle of the symmetrical short circuits in the (AC) and (DC) systems
ac component of the available short-circuit current at the 1) I”K (initial AC symmetrical SC current)
instant of contact separation of the first pole of a switching 2) ip (peak SC current)
device. 3) IK (study state SC current)
ETAP found the acceptable results for the above types.
 Steady-State Short-Circuit Current (Ik) The gathering information for the short circuit currents helpful
to determine the limits value for the voltage, the protection,
transformers, lines or cables and the other system parts
REFERENCES
[1] Saravanan, C. and K. Sathiyasekar, IMPACT OF DISTRIBUTED
GENERATION ON LOSS, VOLTAGE PROFILE, EQUIPMENT
LOADING AND SHORT CIRCUIT LEVEL WITH SVC BY USING
ETAP. Int J Adv Engg Tech/Vol. VII/Issue II/April-June, 2016.
782: p. 788.
[2] Das, J., Power system analysis: short-circuit load flow and
harmonics. 2016: CRC press.
[3] IEEE, Recommended Practice for Calculating AC Short-Circuit
Currents in Industrial and Commercial Power Systems. 2006,
Published by the Institute of Electrical and Electronics Engineers,
Inc.: New York, NY 10016-5997, USA.
[4] Hairi, M., et al., An Investigation of Short Circuit Analysis in
Komag Sarawak Operations (KSO) Factory. World Academy of
Science, Engineering and Technology, International Journal of
Electrical, Computer, Energetic, Electronic and Communication
Engineering, 2009. 3(11): p. 1946-1951.
[5] Operation Technology, I., ETAP 12.6, User Guide , Chapter 9-
One-Line Diagram. 2014: Southern California.
[6] Khan, R.A.J., M. Junaid, and M.M. Asgher. Analyses and
monitoring of 132 kV grid using ETAP software. in Electrical and
Electronics Engineering, 2009. ELECO 2009. International
Conference on. 2009. IEEE.
[7] Operation Technology, I., ETAP 12.6, User Guide , Chapter 15-
Short-Circuit Analysis. 2014: Southern California.
[8] Pujhari, T., Islanding detection in distributed generation, in
Department of Electrical Engineering. 2009, National Institute of
Technology Rourkela: Rourkela.
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Transmission and Reflection Characteristics of

Fourfold Rotationally Symmetric Rectangular
Nanoaperture Antenna Arrays
Ekin Aslan#,+, Erdem Aslan#,+, Semih Korkmaz#, Sabri Kaya#,+, Ö. Galip Saraçoğlu#, Mustafa Turkmen#,+,*
#
Department of Electrical and Electronics Engineering, Erciyes University, 38039, Kayseri, TURKEY
smhkorkmaz@gmail.com
saracog@erciyes.edu.tr
+
Department of Electrical and Computer Engineering, and Photonics Center of Boston University, Boston, MA 02215 USA
ekin@bu.edu
erdem@bu.edu
skaya@bu.edu
*
turkmen@bu.edu
Abstract— The geometrical dependence of metallic nano-patterns antenna arrays operating in the mid-infrared regime. The
provides adjustable resonance frequencies. Especially, aperture- transmittance spectra of the structure are investigated by using
based nanostructures exhibit resonant behaviors in transmission the finite-difference time-domain (FDTD) method [7]. We
phenomena with easily accessible ultra-high-field localization obtain the field distributions at the resonant wavelength,
characteristics and aperture dimensions influence the spectral
which indicates the physical origin of the resonant modes. We
response of the structure. We report the transmission and
reflection characteristics of fourfold rectangular shaped analyze the parameters that can enable fine control of the
nanoaperture antennas that exhibit high near field distributions resonance frequencies of the stucture. High SEIRA (surface
in the mid-infrared regime. Numerical analyses are carried out enhanced infrared absorption) enhancement [8] at resonant
by using finite-difference-time-domain method to analyze the wavelength and rezonant behavior in mid-infrared regime
transmittance and reflectance spectra of the structure. We ensure that the proposed antenna can be utilized for infrared
investigate the geometrical parameters that can enable fine detection applications.
control of the resonance frequencies and tunable optical
characteristics are concluded by the parameter sweeps. High
SEIRA (surface enhanced infrared absorption) enhancement at II. NUMERICAL ANALYSES
resonant wavelength and resonant behavior in mid-infrared
regime ensure that the proposed antenna can be utilized for
infrared detection applications.
Keywords— Plasmonics, sensors, subwavelength structures,

nanostructures, spectroscopy, infrared
I. INTRODUCTION
Dependence on the geometrical parameters of metallic Fig. 1 The schematic view of the unit cell: (a) Top view (aperture width W,
nano-patterns provides adjustable resonance frequencies as aperture length H, the width the central square aperture C, the geometrical
observed from the theoretical and experimental studies. interference of the rectangles with central square S, periodicities Px and Py).
and (b) cross-section view.
Recently, particle- and aperture-based nanoantennas with
different geometries have been studied to capture, control and
Fig. 1 shows a schematic structure of the unit cell of the
manipulate the light at the preferred wavelengths [1-6].
proposed nanoaperture antenna array. In this figure, W is
Especially, aperture-based nanostructures has been the subject
rectangular aperture width, H is rectangular aperture length, C
of several researches due to their resonant behavior in
is the width the central square aperture, S is the geometrical
transmission phenomena with easily accessible ultra-high-
interference of the rectangles with central square, and Px and
field localization characteristics and it has been showed
Py are periodicities of the structure. During the simulations,
aperture dimensions influence the spectral response of the
the unit cell of the proposed resonator antenna array is
structure [2-6].
modeled on a free-standing 100-nm-thick silicon nitride
In this study, we present the transmission characteristics of
(SiNx) substrate. For the metal overlay, a 30-nm-thick Au
a fourfold rotationally symmetric rectangular nanoaperture
layer and a 5-nm-thick Ti adheson layer are added onto the
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632
_____________________________________________________________________________________________________________
dielectric substrate. Excitation the surface plasmon modes on interference of the rectangles with central square S ensures
the resonator by Ex-polarized normally incident only a significant frequency shift (Fig. 2d). Increasing the
electromagnetic field is simulated. The dielectric constants of rectangular aperture width W leads to frequency red-shift as
the metals used for simulation are taken from Ref. [9]. observed from Fig. 2e.
Periodic boundary conditions are choosen as x- and y-axes,
and perfectly matched layers are used along the z-axis. Unless
otherwise indicated, the analyses are executed under the
x-polarization and geometrical parameters are chosen as
C = W = 200 nm, H=800 nm, P = Px = Py = 2000 nm, and
S = 50 nm.
Fig. 3 Reflectance spectra of the structure (a) C variation, (b) H variation, (c)
P variation, (d) S variation, and (e) W variation.
Spectral reflectance is also investigated numerically for the

proposed nanoaperture design which can operate in reflection
Fig. 2 Transmittance spectra of the structure (a) C variation, (b) H variation, mode in order to obtain a fine tuning control mechanism (Fig.
(c) P variation, (d) S variation, and (e) W variation. 3) versus different parameter sweeps in Fig. 2. As can be seen
from Fig. 2a resonant wavelength red-shifts while increasing
C. Resonant peak red-shifts and reflectance decreases
To control the spectral response of the proposed nano- significantly while increasing H (Fig. 2b). Fig. 2c shows that
aperture arrays, a number of numerical studies are performed there is a small blue-shift in resonant frequency and
to obtain a fine tuning control mechanism for the spectral transmittance changes mostly with increasing P. Changing S
response of the structure (Fig. 2) versus different parameter ensures only a significant frequency shift (Fig. 2d). Increasing
sweeps. Fig. 2. shows the transmission spectra of fourfold W leads to frequency red-shift as observed from Fig. 2e.
rectangular shaped aperture arrays for different parameter
sweeps. As can be seen from Fig. 2a, resonant wavelength To detect the reason of resonant mode, we analyze near
red-shifts while increasing central aperture width C. Resonant field distribution on metal-air interface and two critical
wavelength red-shifts and transmittance increases vertical surface of the unit cell. Fig. 4 shows the near-field
significantly while increasing rectangular aperture length, H analyses of the structure. Frequency of the resonant peak is
(Fig. 2b). Fig. 2c shows that there is a small blue-shift in fres=57.1 THz (λres=5247.2 nm, νres=1905.8 cm-1) and the
resonance frequency and transmittance changes mostly with SEIRA enhancement (|E|2/|Ein|2) at fres is ∼11660 for chosen
increasing periodicity P. The changing in the geometrical parameters; C = W = 200 nm, H=800 nm, S = 50 nm and P =
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2000 nm. This high intensity enhancement at resonant peak is ACKNOWLEDGMENT

required for increasing sensing resolution and sensor-analite The work described in this paper is supported by The
interaction in sensing applications. Scientific and Technological Research Council of Turkey
(Project No: 113E277) and Scientific Research Project Center
of Erciyes University (Project No: FDK-2015-5649). Erdem
Aslan and Ekin Aslan acknowledge the fellowship grants
supported by The Scientific and Technological Research
Council of Turkey (Program Code: 2214-A)
REFERENCES
[1] E. Aslan and M. Turkmen, “Novel dual-band resonator nanoantenna
array for infrared detection applications,” Sensors and Materials, vol.
Fig. 4 Distributions of SEIRA enhancements |E|2/|Eint|2, (a) at air - metal
25, no. 9, pp. 689-696, 2013.
interface (z = 30 nm) from the horizontal field monitor, and (b) y = 50 nm and
[2] M. Turkmen, “Characterization of x-shaped nano-aperture antenna
(c) y = 100 nm from the vertical field monitors (C = W = 200 nm, H=800 nm,
arrays operating in mid-infrared regime,” Ch. Opt. Let., vol. 11,
S = 50 nm and P = 2000 nm).
070501, 2013.
[3] E. Aslan and M. Turkmen, “Refractive index sensing characteristics of
dual resonances in rectangular fractal nano-apertures,” Opt. Mater., vol.
III. CONCLUSIONS 46, pp. 1-8, 2015.
[4] A.E. Cetin, S. Kaya, A. Mertiri, E. Aslan, S. Erramilli, H. Altug, and M.
In conclusion, we present the transmission and reflection Turkmen, “Dual-band plasmonic resonator based on Jerusalem cross-
characteristics of a resonator plasmonic nano-antenna based shaped nanoapertures, ” Phot. Nano. Fund. Appl., vol. 15, pp. 73-80,
2015.
on fourfold rotationally symmetric rectangular shaped [5] A.E. Cetin, M. Turkmen, S. Aksu, D. Etezadi, H. Altug, “Multi-
nanoaperture array which can be useful for infrared detection resonant compact nanoaperture with accessible large nearfields, ” Appl.
applications. We determined the behavior of the spectral Phys. B: Lasers Opt., vol. 118, pp. 29-38, 2015.
response towards geometrical parameter variations. We [6] A.E. Cetin, S. Aksu, M. Turkmen, D. Etezadi, and H. Altug,
“Theoretical and experimental analysis of subwavelength bowtie-
revealed the physical provenance of the resonant behavior by shaped antennas,” J Electromagnet Wave, vol. 2, pp. 1-8, 2015.
SEIRA enhancements distribution analysis. Such [7] (2015) Lumerical FDTDTM website. [Online]. Available:
nanoapertures with tunable spectral response can be capable https://www.lumerical.com/
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Halas, “Fan-shaped gold nanoantennas above reflective substrates for
applications. The proposed nanoaperture design can support a surface-enhanced infrared absorption (SEIRA),” Nano Lett., vol. 15, pp.
high quality resonant mode with strong near-field 1272-1280, 2015.
enhancement. [9] E. D. Palik, Handbook of Optical Constants of Solids, Orlando:
Academic, 1985.
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Compare of Pilot Based and Semi-blind Channel

Estimation Techniques in Multiple Input Multiple
Output Communication Systems
Seda Üstün Ercan
Ondokuz Mayıs University
Department of Electrical and Electronics Engineering
Samsun, Turkey
sedau@.omu.edu.tr
Abstract—Channel estimation algorithms can be grouped into obtained than pilot based channel estimation because of less
three categories as pilot based, blind and semi-blind. In pilot based pilot usage.
channel estimation, some of data symbols are used to estimate
channel. In blind channel estimation statistical properties of
channel are used. In semi-blind channel estimation information II. MIMO-OFDM CHANNEL
from both data symbols and statistical properties is utilized. In this
study, pilot based and semi-blind channel estimation are used to 2x2 MIMO-OFDM communication system using Alamouti
estimate the channels with various frequency and time selectivity illustrated in Fig. 1.
in multiple input multiple output-orthogonal frequency division
Channel
multiplexing (MIMO-OFDM) systems. Semi-blind channel Estimation
estimation is done by using independent component analysis
(ICA). Simulation results show that if the channel to be estimated
Alamouti Decoding
is frequency selective, semi-blind channel estimation technique Alamouti Coding
can be used instead of pilot based channel estimation.
Keywords— MIMO-OFDM, pilot based, semi-blind, channel

estimation, ICA.
Channel
Estimation
I. INTRODUCTION
Multiple input multiple output-orthogonal frequency Fig.1 2x2 Alamouti MIMO-OFDM System
division multiplexing (MIMO-OFDM) which has high spectral
efficiency is the key technology of today’s wireless Alamouti's space time block coding for these structures is
communication systems and it has become popular technique given equation 1.
for transmission of signals over wireless channel [1-3]. In order
to overcome the adverse effects of multipath fading in mobile x x 
X   0* *1  (1)
communication channels, channel estimation must be 
 1x x 0
performed. Channel estimation algorithms can be categorized
into three groups. In pilot based channel estimation, value of
previously known pilot bits are inserted into the transmitted A specific t time, x0 and x1 symbols are respectively
signal is compared to the received value in the receiver and in transmitted simultaneously from the first and second antennas.
pilot based channel estimation one dimensional pilot placement The next time (t+τ), –x1* and x0* are transmitted respectively.
(block and comb) and two dimensional pilot placement The signals reach the receiving antenna at t and t+τ time are
(rectangular and diamond) are used. In blind channel estimation, given in equation (2-5).
algorithms often exploit the second-order stationary statistics
with high computational complexity. Therefore blind channel y11 (k)  x 0 (k) H11 (k)  x 1 (k) H21 (k)  n11 (k) (2)
estimation isn’t used frequently. In semi-blind channel y 21 (k)   x1* (k) H11 (k)  x *0 (k) H 21 (k)  n 21 (k) (3)
estimation algorithms both small number of pilot bits and y12 (k)  x 0 (k) H12 (k)  x 1 (k) H22 (k)  n12 (k) (4)
statistical properties of channel are used. In literature there are
numerous channel estimation algorithms for example ICA [4], y 22 (k)   x (k) H12 (k)  x (k) H 22 (k)  n 22 (k)
*
1
*
0 (5)
singular value decomposition (SVD) [5], subspace methods [6]
and. All algorithms have advantages and disadvantages. But in Channel estimation coefficients in the receiver are obtained
semi-blind channel estimation, more bandwidth efficiency are as shown in equation (6-9).
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x*0 (k)y11 (k)  x1 (k)y 21 (k) 2) Whitening: A simple method to perform the whitening
Ĥ11 (k)  (6) transformation is to use the eigenvalue decomposition
x 0 (k)  x1 (k)
2 2
(EVD) [9] of y. That is, decomposition the covariance

matrix of y as follows:
x1* (k)y11 (k)  x 0 (k)y 21 (k)
Ĥ 21 (k)  (7)
x 0 (k)  x1 (k) m  E yyT   VDVT
2 2
(12)
x (k)y12 (k)  x1 (k)y 22 (k) where V is the matrix of eigenvectors of E yyT  and D is
*
Ĥ12 (k)  0
(8)
x 0 (k)  x1 (k)
2 2
the diagonal matrix of eigenvalues. The observation vector can
x (k)y12 (k)  x 0 (k)y 22 (k)
* be whitened by the following transformation:
Ĥ 22 (k)  1
(9)
x 0 (k)  x1 (k)
2 2
y w  VD 1/ 2 V T y (13)
III. PILOT BASED CHANNEL ESTIMATION y w  VD1/ 2 V T Hx  H * x (14)

In this study a rectangular pilot placement (Fig. 2) is used for where H* is the mixing matrix. İnitial value of H* is given
the estimation of MIMO channel. randomly. Then with a using various algorithms (e.g. fixed
point algorithm [10]), the last value of H* has obtained.
V. RESULTS
frequency
In this study, pilot and semi-blind channel estimation are

used to estimate the channels with various frequency selectivity.
Firstly, two dimensional pilot based channel estimation is
performed using rectangular pilot placement. Semi-blind
channel estimation is done by using ICA with a 1,2 and 4 pilot
time bits. In simulations; 20MHz band width, ITU pedestrian (Ch1)
and vehicular channels (Ch2), 200 Hz Doppler frequency, 2x2
Data MIMO structure and 1024 subcarriers are used.
Fig. 2 Rectangular pilot placement In Figure 3 rectangular pilot placement and ICA based semi-
blind channel estimation results are given for K1 channel. In
In rectangular structure, pilot bits are placed periodically in rectangular placement different number of pilots (different pilot
the time and frequency domain. In the pilot based channel ratio (PR)) are used (PR=4, PR=16, PR=64, PR=256) and in
estimation, the values of the channel at the position of the pilot ICA methods 1,2 and 4 pilots are used. It is shown that pilot
can be obtained using least squares (LS) and the minimum based channel estimation with a rectangular placement results
mean square error (MMSE) [7, 8]. are better than a semi-blind channel estimation results.
IV. SEMI BLIND CHANNEL ESTIMATION

In this study a semi-blind algorithm is used for the estimation
of frequency selective MIMO channel matrix H. The ICA
algorithm is based on a decomposition of the channel matrix H.
The aim of ICA is finding the x signals in equation (10).
y  Hx (10)
For a good results there are two assumptions in ICA. First;

source signals x are independent of each other. The second one
is the values in each source signal have non-Gaussian
distributions.
ICA’s preprocessing steps are:
1) Centering: In this step, the observation vector y by
subtracting its mean vector m  E y
Fig. 3 Performance of ICA and rectangular pilot placement for K1
yc  y  m (11)
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So for a pedestrian channel K1 which is less frequency VI. CONCLUSIONS

selectivity channel than the vehicular channel K2, pilot based The results show that if the channel to be estimated is
channel estimation results are better than the ICA results. Thus frequency selective and SNR>22dB, semi-blind channel
with a using a small number of pilot bits, best performance is estimation technique can be used instead of pilot based channel
obtained. estimation technique which allows less pilot usage and
Pilot based with a rectangular placement and semi-blind consequently enhanced more bandwidth efficiency. So it is
channel estimation based ICA results for K2 are given in Figure. understood that pilot based channel estimation results aren’t
4. It is shown that up to 22 dB, rectangular pilot placement is always better than the semi-blind channel estimation results.
better than the ICA. But after 22 dB, ICA (PR=4) is better than
rectangular pilot placement. REFERENCES
[1] Telatar E., Capacity of Multi Antenna Gaussian Channels, AT&T Bell
Labs S, 1995.
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Fading Environment When Using Multiple Antennas”, Wireless Pers.
Commun, 6, 311-335, 1998.
[3] Foschini G. J., Layered Space-Time Architecture for Wireless
Communication in a Fading Environment When Using Multi-element
Antennas, Bell Labs Technical Journal, Vo.1, no. 2, 41–59, 1996.
[4] Haiyuan, L. ve Jiancheng, S., Blind MIMO-OFDM Channel Estimation
Based on ICA and KRLS Algorithm”, 5th International Conference on
Wireless Communications, Networking and Mobile Computing, 1-5,
2009.
[5] Jagannatham A.K., Murthy C. R., Rao b. D., A Semi-Blind MIMO
Channel Estimation Scheme for MRT, ICASSP, 2005.
[6] Zaier, A. ve Bouallegue, R., Blind Channel Estimation Enhancement for
Mimo-OFDM Systems under High Mobility Conditions, International
Journal of Wireless & Mobile Networks (IJWMN), vol. 4, no. 1, 2012.
[7] Zamiri-Jafarian H., Pasupathy, S., MIMO-OFDM Channel Estimation
Using Improved LS Algorithm, IEEE 64th Vehicular Technology
Conference, fall 2006.
[8] Luo Z., Huang, D., “General MMSE Channel Estimation for MIMO-
OFDM Systems”, IEEE 68th Vehicular Technology Conference, fall
2008.
[9] Meyer C. D., Matrix Analysis and Applied Linear Algebra. Cambridge,
Fig. 4 Performance of ICA and rectangular pilot placement for K2 UK, 2000.
[10] Naik, G. R., Kumar, D.K., An overview of independent component
analysis and its application. Informatica, 35, 63-81, 2011.
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Classification of Digital Modulation Signals

with Time-Frequency Texture Features and
Support Vector Machines
Orhan Atila*, Abdulkadir Şengür*
*
Department of Electrical and Electronics Engineering, Technology Faculty, Fırat University
Elazığ, TURKEY
{oatila, ksengur}@firat.edu.tr
Abstract—Automatic Modulation Classification (AMC) is accordingly and then the data can be extracted. AMC,
carried out as a basic structure between signal detection and however, can recognize the modulation types without need to
demodulation types. Detection of modulation type of a received this prior information.
signal is a challenging task in communication environment.
Recently, AMC has gained a paramount importance especially in In a communication system, transmitted signal is exposed
cognitive radio applications. Most of the AMC methods assume to the disruptive effects of the communication channel. One of
that additive white Gaussian noise contaminates the received the disruptive effects is noise in the environment. Most of the
signal. There might be degradation in the performance of the modulation classification algorithms are implemented under
traditional modulation classification methods in the impulsive additive white Gaussian noise (AWGN) condition for the
noise condition. In this study, firstly the digital modulation performance analysis. However, noise types in the
signals are transformed into t-f domain by Short Time Fourier
communication channel occur as a mix of AWGN and
Transform (STFT) and then by the Spectrograms of STFT are
used to obtain the t-f images of digital modulation signals. We
impulsive noise characteristic [8]. The impulsive noise occurs
then use Gray-Level Co-occurrence Matrix (GLCM) method as various natural and man-made sources caused by
which includes some statistical texture recognition techniques as electromagnetic interference such as automotive ignitions,
a feature based AMC. Finally, we use the Support Vector neon lights and etc. in communication channels and this
Machines (SVMs) classification technique for classifying the situation decreases the performance of the classifiers used for
digital modulation types. We use 0, 5 and 10 dB noise levels, AMC [5].
respectively. We implement the proposed scheme on MATLAB.
QAM, 16-QAM, 32-QAM, 64-QAM, BPSK and 8-PSK signals There are usually two methods called the statistical texture
are considered in the experiments. The method we propose recognition and the decision theoretic approach for grouping
achieves the classification with having very little performance the modulation classification schemes. In order to formulate
loss in impulsive noise condition compared to the Gaussian noise the classification problem, probabilistic and hypothesis testing
condition.
arguments are used in decision theoretic approach and with
this way the classification rule can be formed. For it keeps the
Keywords—Automatic Modulation Classification, Statistical
error rate classification in a minimum level, generally the
Texture Recognition, Support Vector Machines.
solution is optimal. Need for prior information can be
I. INTRODUCTION accepted as the disadvantage of this approach [6], [8].
With the rapid development of wireless communication Texture recognition methods, however, do not need such
technologies such as cognitive radio, spectrum surveillance, careful treatment, although choosing the right features set is
threat evaluation, interference identification and etc. use of still an issue. This classification method consists of two steps:
automatic modulation classification (AMC) has gained much the feature extraction subsystem and recognition subsystem.
attention for both civil and military applications [1], [3]. AMC The feature extraction subsystem works as extracting
provides detection of the correct modulation type from the distinctive characteristics that are called features from the
received waveforms having different distinctive receiver signal. Example of features used are higher-order
characteristics [9]. In a general communication system, cumulates, signal spectral is prepared from wavelet transform,
receiver knows the prior information including modulation Fourier transform, constellation shape, signal peaks, power
type, carrier frequency, bandwidth, symbol rate, carrier phase, moments etc. [2], [4], [6]- [8].
and etc. therefore, the received signal can be demodulated
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The second subsystem, the texture recognition works as m 
classifying the received signal based on the features extracted. X (n,  )   x[m]w[n  m]e
m 
 j n
(4)
It can be applied in many ways such as maximum likelihood
classifier (MLC), K-nearest neighborhood classifier (KNN), The discrete STFT is defined as;
artificial neural network (ANN), SVM, Genetic Algorithm
(GA) etc. [7], [10]- [12]. X (n, k )  X (n,  )   2 k
N (5)
In this study we propose feature based automatic
modulation classifier using SVM for classification of where the window function w[m] centered at time n is
modulation BPSK, 8-PSK, QAM, 16-QAM,32-QAM in the multiplied with the signal x[m] before the Fourier transform.
mix of Gaussian noise and Impulsive noise environment. We The window function is viewing the signal just close to the
use time-frequency texture feature based on the presented time n and the Fourier transform will be an estimate locally
GLCM. We also present probability of correct classification around n. The usual way of finding the STFT is to use a fixed
for different SNR value between -5 dB to 20 dB. positive even window, w[m], of a certain shape, which is
centered around zero and has unity power. Similar to the
This paper is organized as follows: we focus on signal ordinary Fourier transform and spectrum we can formulate the
models and problem statement for digital modulation signals spectrogram as;
in Section II. STFT which transformed into t-f domain is
S(n, k )  X (n,  )
2
explained in Section III. Feature extraction based on GLCM
including specific distinctive statistic information is presented (6)
in Section IV. SVM for digital modulation classification is which is used very frequently for analyzing time-varying
explained in Section V. Simulation result is represented in and non-stationary signals.
Section VI. Finally, conclusions are drawn in Section VII.
IV. FEATURE EXTRACTION
II. SIGNAL MODELS AND PROBLEM STEMENT
GLCM is known as a popular texture encoder where
In digital communication, a modulated signal can be directional patterns with a specific distance and angle between
generally represented as; neighboring image pixel pairs are countered [15]. In other
𝑠(𝑡) = 𝐴𝑚 𝐺𝑇 cos(2𝜋𝑓𝑚 (𝑡) + 𝜑𝑚 (𝑡)) , (1) words, GLCM is a square matrix where the number of rows
and columns is equal to the number of gray levels of input
where Am, 𝐺𝑇 , fm and 𝜑m are the message amplitude, pulse image [13].
shaping function, message frequency and message phase, Instead of using the GLCM directly, 20 popular statistical
respectively. features are extracted from GLCM of input images. These
The received signal can be represented as; features are autocorrelation, contrast, correlation, cluster
prominence, cluster shade, dissimilarity, energy, entropy,
𝑟(𝑡) = 𝑠(𝑡) + 𝑛(𝑡) , (2) homogeneity, maximum probability, sum of squares variance,
sum average, sum variance, sum entropy, difference variance,
received signal is sum of the transmitted signals and noise
difference entropy, information measure of correlation,
signals. where s(t), r(t), n(t) transmitted signal, received
inverse difference is homogeneity, inverse difference
signals and noise signal respectively.
normalized, Inverse difference moment normalized,
The noise signal can be represented as; respectively.
𝑛(𝑡) = 𝑤(𝑡) + 𝑖(𝑡) (3) V. SVM CLASSIFIER
noise signal n(t) in our noise signal model occurs noise signal The SVM is a machine-learning algorithm, which uses a
flexible representation of the class boundaries in order to
w(t) is the additive white Gaussian noise and i(t) is the
impulsive noise added. The AMC algorithm needs to achieve solve the classification problems [14]. Given a set of training
samples, each marked samples for belonging to one of two
the classification without being effected by the noise so that
the signal coming to the receiver can recognize the classes, a SVM training algorithm builds a model that assigns
modulation type correctly. new examples into one class or the other. SVM model is a
representation of the samples as points in space, mapped so
III. Spectrogram that the samples of the separate classes are divided by a gap
that is as wide as possible. New examples are then mapped
The discrete time STFT of x[m] is defined as; into that same space and predicted to belong to a class based
on which side of the gap they fall on [12].
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VI. SIMULATION RESULTS AND DISCUSSION
All digital modulation signals are simulated according to

Eq. (1), Eq. (2) and Eq. (3) in MATLAB. The simulation
parameters are tabulated in Table 1.
TABLE I. SIMULATION PARAMETERS
Parameters Values
Sampling Frequency, fs 1Mhz
Carrier frequency, fm 2Khz
Baud Rate, Rb 1000 baud
No symbol, Ns 64/128/256 symbols
All the data formed in the simulation is normalized.

Normalization coefficients for different modulation types are
given in Table II.
Fig. 1. (a) transmitter 8-PSK modulated signal (b) noise signals occurred by
TABLE II. NORMALIZATION COEFFICIENT mix of Gaussian noise in 15 dB and impulsive noise (c) received modulated
signal which is corrupted by noise signal.
Modulation Scaling Factor
BPSK, 8PSK,QAM 1
16-QAM 1/√10
32QAM 1/√20
64-QAM 1/√42
In simulations, the training and test datasets are

constructed with various SNR values. As it was mentioned
earlier, we use a mixed noise model where AWGN and
impulsive noise are considered. An illustrative example is
shown in Fig.1 where an 8-PSK signal was contaminated with
the mixed noise model. The SNR of noise level is 15 dB. In
addition, a similar illustration is shown for 32-QAM in Fig. 2.
After constructing the gray scale sub-images for digital Fig. 2. (a) transmitter 32-QAM modulated signal (b) noise signals occurred by
modulation signals, the texture descriptors were computed. mix of Gaussian noise in 20 dB and impulsive noise (c) received modulated
signal which is corrupted by noise signal.
For computing the GLCM, the distance parameter set to 1 and
the angle parameter set to the values ranging from 0 o to 135o
within a 45o increment. Thus, 4 GLCMs were obtained and by
computing the contrast, correlation, energy and homogeneity
features, a 20-dimensional feature vector was constructed for
each sub-image. After concatenation procedure, 80-
dimensional feature vector was obtained for each digital
modulation signals. For SVM classifier, we experimented
with all kernels, and the best result was obtained with radial
basis function kernel. The C parameter was set to 10000.
The probability of correct classification for simulated data

is shown in Fig. 3. The confusion matrixes are also given in
Table III and Table IV for Gaussian noise environment and
mix of Gaussian noise and impulsive noise environment,
Fig. 3. Probability of Correct Classification of the proposed method for
respectively. The probability of correct classification for
different number of symbol = 64, 128 and 256 respectively.
simulated data is more than 83% at 0 dB SNR in mix of
Gaussian noise and impulsive noise environment.
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TABLE III. CONFUSION MATRIX FOR SVM CLASSIFIER IN GAUSSIAN NOISE CONDITION
Modulation SNR=-5dB SNR=0dB SNR=5dB SNR=10dB SNR=15dB SNR=20dB

BPSK 58 20 20 1 0 1 78 17 5 0 0 0 90 10 0 0 0 0 91 9 0 0 0 0 99 1 0 0 0 0 99 1 0 0 0 0
8-PSK 15 68 16 0 0 1 25 74 1 0 0 0 5 95 0 0 0 0 1 99 0 0 0 0 1 99 0 0 0 0 1 99 0 0 0 0
QAM 14 25 61 0 0 0 6 3 91 0 0 0 0 0 100 0 0 0 0 0 100 0 0 0 0 0 100 0 0 0 0 0 100 0 0 0
16-QAM 0 0 0 82 8 10 0 0 0 98 1 1 0 0 0 100 0 0 0 0 0 100 0 0 0 0 0 100 0 0 0 0 0 100 0 0
32-QAM 0 0 0 20 64 16 1 0 0 0 91 8 0 0 0 0 100 0 0 0 0 0 100 0 0 0 0 0 100 0 0 0 0 0 100 0
64-QAM 1 0 0 32 44 23 0 0 0 5 22 73 0 0 0 0 1 99 0 0 0 0 0 100 0 0 0 0 0 100 0 0 0 0 0 100
Accuracy 59,33 84,17 97,33 98,33 99,66 99,66
TABLE IV. CONFUSION MATRIX FOR SVM CLASSIFIER IN MIX OF GAUSSIAN AND IMPULSIVE NOISE CONDITIONS
Modulation SNR=-5dB SNR=0dB SNR=5dB SNR=10dB SNR=15dB SNR=20dB

BPSK 43 22 35 0 0 0 74 11 15 0 0 0 93 6 1 0 0 0 92 8 0 0 0 0 98 2 0 0 0 0 98 2 0 0 0 0
8-PSK 15 63 21 1 0 0 16 78 6 0 0 0 10 89 1 0 0 0 3 97 0 0 0 0 5 95 0 0 0 0 2 98 0 0 0 0
QAM 15 22 63 0 0 0 8 1 91 0 0 0 3 0 97 0 0 0 0 0 100 0 0 0 0 0 100 0 0 0 0 0 100 0 0 0
16-QAM 0 0 0 64 11 25 0 0 0 98 1 1 0 0 0 100 0 0 0 0 0 100 0 0 0 0 0 100 0 0 0 0 0 100 0 0
32-QAM 0 0 0 9 61 30 0 0 0 0 91 9 0 0 0 0 100 0 0 0 0 0 100 0 0 0 0 0 100 0 0 0 0 0 100 0
64-QAM 1 0 0 24 38 37 0 0 0 4 25 71 0 0 0 1 0 99 0 0 0 0 0 100 0 0 0 0 0 100 0 0 0 0 0 100
Accuracy 55,17 83,83 96,33 98,17 98,83 99,33
VII.CONCLUSIONS [3] Adjemov, S. S., Klenov, N. V., Tereshonok, M. V., & Chirov, D.
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Processing and Application (ISSPA), Kuala Lumpur, Vol. II, 2001, method based on time–frequency images for classification of alcohol
p. 390–393. and control EEG signals,” Neural Computing and Applications,
2016, p.1-7.
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[14] Sengur, A. “Multiclass least-squares support vector machines for

analog modulation classification,” Expert Systems with
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[15] Shahriari, Gholam Reza, Abbas Gharibi, and Azim Rezaei Motlagh.
"Classification of satellite images by texture based models
modulation using MLP, SVM neural networks and Nero Fuzzy."
International Journal of Electronics and Electrical Engineering 1.4,
245-251, 2013.
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PAPR reduction in OFDM systems using Partial

Transmit Sequence combined with Cuckoo Search
Optimization Algorithm
Yüksel T. Bozkurt*, Necmi TAŞPINAR+
*
Department of Electronic and Automation, Vocational School of Technical Sciences, Gaziantep,
Gaziantep University, Gaziantep, Turkey
tokur@gantep.edu.tr
+
Department of Electrical and Electronic Engineering, Faculty of Engineering, Erciyes University, Kayseri, Turkey
taspinar@erciyes.edu.tr
Abstract— Partial Transmit Sequence (PTS) scheme is an effective these methods, the PTS is one of the popular distortionless
peak-to-average power ratio (PAPR) lessening tool for techniques and provides remarkable PAPR reduction
Orthogonal Frequency Division Multiplexing (OFDM) system. performance. However, the search and combination of phase
However, computational complexity for the optimum phase factors which requires an exhaustive search procedure is the
factors searches of PTS scheme entails huge computational
major drawback of PTS technique. The replacement of
requirements and limits its applicability to practical applications
especially for high-speed data transmissions. This study proposes optimum phase factor search steps of PTS scheme with a
a PAPR reduction method with a low computational complexity suboptimal search technique offers reduction in computational
based on a combination of Cuckoo search optimization algorithm complexity of PTS scheme. Many suboptimal PTS schemes,
with PTS scheme in OFDM system. In terms of PAPR and including the harmony search (HS) [15], parallel tabu search
computational complexity reductions, the performance of the (parallel-TS) [16], artificial bee colony (ABC) [17], di erential
Cuckoo-PTS scheme is comparatively investigated by performing evolution (DE) [18], particle swarm optimization (PSO) [19]
a set of simulations with different PTS schemes. and random search [20], have been presented in the literature
and it is reported that PAPR reductions with low computational
Keywords— PAPR, OFDM, partial transmit sequence (PTS), complexities are successfully obtained.
Cuckoo search, phase factor In this paper, a suboptimal PTS scheme based on Cuckoo
Search Optimization Algorithm is proposed for the PAPR
I. INTRODUCTION
reduction in OFDM systems. The Cuckoo Search Optimization
Over the past few decades, due to key features as, high Algorithm, proposed by Xin-she Yang and Suash Deb, is a
bandwidth e ciency, narrowband interference, efficient relatively new optimization method that mimics the breeding
implementation and robustness to frequency selective fading behavior of some cuckoo species.
[1–2], orthogonal frequency division multiplexing (OFDM)
systems have received increasing attention and become one of II. MODEL OF OFDM SYSTEM BASED ON PTS SCHEME
the promising techniques for high data rate transmissions in The OFDM system model based on PTS scheme is given in
digital communication. However, OFDM systems are Fig. 1. First, the incoming bit sequences are interleaved to
susceptible to high peak-to-average power ratio (PAPR) [5] transform burst errors into random errors. The interleaved
which causes significant reductions in radio frequency power signal is modulated with 16-QAM modulation. To recover the
amplifiers and yields high complexity in digital-to-analog and original signal at the receiver, side information is transferred.
analog-to-digital converters. High PAPR also leads to The signal is passed through a high power amplifier and then a
implementation problems for the systems with large numbers cycle prefix (CP) is applied to the signal to combat with
of subcarriers. The PAPR can be reduced with the applications intersymbol interference (ISI) induced by communication
of constitutional arrangements and restrictions which in turn channel. The CP is removed from the signal at the receiver. The
adversely affect the operation of the power amplifier and the phase of original signal is acquired with the use of phase
spectral efficiency of OFDM systems. rotation and side information following the realization of fast
Numerous methods with different advantages and Fourier transform (FFT). After 16-QAM demodulation, each
drawbacks have been appeared in the literature for the demodulated symbol is conveyed to the original place in the bit
reduction of PAPR in OFDM systems such as selected mapping sequence by means of the deinterleaver [1].
[4], clipping and filtering [5], clipping [6], partial transmit
sequence (PTS) [7-8], coding [9], tone injection [10], tone
reservation [11], peak windowing [12], interleaving [13] and
active constellation extension [14] have been appeared. Among
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Add N-point x1
QAM x1
Interleaver IFFT PTS HPA Cyclic IFFT
Modulation Prefix
Input bit stream
S/P and partition into sub-block

Side Information x2 N-point x2
Channel
IFFT
Output bit stream
Input data
Remove +
…
…
QAM Phase
Deinterleaver FFT Cyclic
Demodulation Rotate
Prefix
Figure 1. Block diagram of the system model.

xM
III. CONVENTIONAL PTS x M N-point
Partial Transmit Sequence (PTS) is a promising IFFT
...
distortionless PAPR reduction algorithm based on
multiplication of subblocks with optimized phase rotation Side
BSA phase optimization
vectors. In a typical PTS scheme, the input signal is partitioned Information
into disjoint subblocks each of which have a set of sub- Figure 2. Blocks diagram of the BSA-PTS model.
carriers with equal size, N, such that
IV. CUCKOO SEARCH OPTIMIZATION ALGORITHM
X = X( )
(11) The Cuckoo Search (CS) Algorithm, proposed by Yang and
Deb [ ], is a recently developed promising optimization
Oversampling is implemented to subblocks by padding algorithm that utilizes the offensive reproduction tactics of the
( − 1) zeros to original OFDM blocks. Oversampled cuckoo bird. The CS algorithm is built on the following basic
subblocks are transformed into time domain and assumptions: each cuckoo can lay only one egg in a randomly
mathematically expressed by chosen nest at a time, high-quality eggs in best nests can receive
more chances to survive in next generation, the number of
= X( )
= ( )
convenient host nests is limited and possibility of discovering
cuckoo egg is defined in a range between 0 and 1. In the case
The goal of PTS scheme is to obtain a combination of of cuckoo egg detection, the host bird can either abandon the
signal with a rotational phase vector = nest or throw out the cuckoo egg. The cuckoo eggs in CS
[ ⋯ ] to offer the lowest PAPR that is algorithm represent the potential solutions.
represented by The replacement of a host bird egg (not so good solution)
( )
with a cuckoo egg (better solution) is the goal of the CS
= algorithm. The assumption of each nest has only one cuckoo
egg provides no distinction between egg, nest and cuckoo, and
The individuals of rotational phase vector is = , makes the application of CS algorithm simpler. The CS
where is selected freely between 0 and 2 . The allowed algorithm starts with the generation of initial population of
rotational phase vector combinations is , where is the nests with the size n . In this initial population, nests are
number of allowed phase factor. However, the phase factor for randomly distributed over the search space and randomly
the first subblocks is taken as = 1, then there are selected design variables are bounded by the lower and upper
alternative rotational phase vector combinations. The boundaries in the search space.
values are as follows: ( )
A new solution, x , for the i cuckoo is generated using
= ±1 for = 2
Levy flight according to the following law:
The block diagram of a typical partial transmit sequence is ( )
shown in Fig. 2. = + α⨁ (λ)
where is the step size and is defined with respect to scale
of the problem of interests. The step size must be greater than
0, and in most cases, can be unity or some other constant. Levy
Flight is a random walk in which Levy distribution determines
the random step size.
~ = ,1 < ≤ 3
V. SIMULATIONS
The randomly generated OFDM signals with = 256 sub-
carriers with 16 − modulation were used in computer
simulations. The number of the population, , number of the
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generation, number of sub-blocks, , and the number of the 10 for = 25 , = 50 , = 75 , and = 100,
phase factor, , was selected as 20, 50, 16, 4 respectively. respectively.
The complementary cumulative density functions (CCDFs) of
10 0
the PAPR were obtained with the use of 10000 random OFDM G=25
symbol generations. The solid state power amplifier (SSPA) G=50
G=75
with input back-off factor, = 9 , and smoothness factor, G=100
= 2 was used as an amplifier. The additive white Gaussian
noise (AWGN) channel was chosen as communication channel. 10 -1
The simulation parameters were summarized in the Table 1.
TABLE I. PARAMETERS FOR SIMULATIONS

10 -2
Symbol Quantity Value
QAM modulation method
N number of sub-carriers 256
M number of sub-blocks 16
W number of phase factor 4 (±1±j) 10 -3
5.6 5.8 6 6.2 6.4 6.6 6.8 7 7.2 7.4
SSPA linear amplifier PAPR 0 [dB]
IBO input back-off 9 dB Figure 4. Comparison of the PAPR0 (dB) versus CCDF for CS-PTS
P smoothness factor 2 with different values for = 4, = 16, = 20, and =
AWGN channel 50.
NP number of the population 20
NG number of the generation 50
According to Figure 5, the PAPR is 7.28 , 7.04 ,
6.93 and 6.81 at = 10 for = 25 , = 50 ,
Figure 3 illustrates the CCDFs of PAPR of PTS scheme
= 75 and = 100 , respectively. It is observed that an
based on cuckoo search optimization algorithm (CS), random
increment in population yields an increase in PAPR reduction
search (RS) and optimum PTS. The PAPR values of the OFDM
performance.
system are 10.96 dB for original, 7.62 dB for random search
algorithm, 7.45 dB for PSO algorithm, 6.8 dB for cuckoo
search algorithm, 6.37 dB for Optimum algorithm, at CCDF =
10 . It is seen that random search yields the worst
performance while cuckoo search optimization algorithm
CCDF (Pr[PAPR>PAPR 0 ])
yields the best performance for the PAPR reduction of OFDM

system.
10 0
Original
RS-PTS
PSO-PTS
CS-PTS
Optimum PTS
10 -1
10 -2
Figure 5. Comparison of the PAPR0 (dB) versus CCDF for CS-PTS
with different values for = 4, = 16, = 20, and = 25.
VI. CONCLUSION
10 -3
4 5 6 7 8 9 10 11 12 13 14 15 In this paper, PTS based on cuckoo search optimization
PAPR 0 [dB]
algorithm in OFDM system is proposed for the PAPR reduction
Figure 3. Comparison of the PAPR0 (dB) versus CCDF of the original, with less computational load. In order to evaluate the PAPR
CS-PTS, RS-PTS, PSO-PTS and optimum-PTS of the PAPR0 (dB)
reduction performance of the proposed CS-PTS scheme, the
versus CCDF of the OFDM system.
CCDF simulations are performed. Also, its performance is
compared with the performances of original PTS, O-PTS, PSO-
Figure 4, the variations of CCDFs of PAPR for different
PTS and RS-PTS in the OFDM systems. Simulation results
number of generations, , with = 20 are shown.
show that the PAPR reduction performance of the CS-PTS in
According to Figure 4, = 25 yields the worst performance
the OFDM system is better than that of O-PTS, PSO-PTS and
while = 100 yields the best performance for OFDM. The
RS-PTS in the OFDM system.
PAPR is 7.32 , 7.10 , 7.00 and 6.86 at =
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Wi-Fi Control of Mobile Robot Motion Types

Based on Differential Drive Kinematics Modelling
Approach
Ercan Taskiran*, Onder Haluk Tekbas*
Zekeriya Senturk+, Huseyin Yildiz+, Yilmaz Durna+, Hasan Kocer+
#
Turkish Military Academy, Defense Sciences Institute, Ankara, Turkey, 06420
etaskiran@kho.edu.tr, ohtekbas@kho.edu.tr
+
Turkish Military Academy, Department of Electronics Engineering, Ankara, Turkey, 06420
zsenturk@kho.edu.tr, hyildiz@kho.edu.tr, ydurna@kho.edu.tr, hkocer@kho.edu.tr
Abstract—Recently, utilization of mobile robots has increased and a software framework for fast validation of concepts. The
substantially. Accordingly, wireless communication is preferred existing robotic platforms are presented for different
in mobile robots. QBot 2 is an autonomous ground robot which is applications [8-9]. The significance of developed software
a new product of Quarc. The QBot 2 utilizes an onboard data algorithms on computers is the increase in robotic control.
acquisition card and a wireless embedded computer to measure
Quanser has developed Quarc real time control software for
the onboard sensors and drive motors. In this study, QBot 2
mobile robot is evaluated in terms of its ability to maneuver. In MATLAB® Simulink [10].
this way, controlling QBot 2 mobile robot in real time is planned The QBot 2 is ideally suited for research applications such
while a command recognition system is developed. Connection as differential drive kinematics, forward and inverse
with the QBot 2 is carried out in a wireless environment.
A Simulink model is developed in MATLAB® environment. The
kinematics, dead reckoning and odometric localization, path
created model is built with Quarc control software. Compiled planning and obstacle avoidance, 2D mapping and occupancy
model is downloaded with TCP/IP connection to QBot 2 and the grid map, image acquisition, processing and reasoning,
application is carried out on an embedded computer. The QBot 2 simultaneous localization and mapping (SLAM), high level
mobile platform consists of two central drive wheels mounted on control architecture of mobile robots and, vision-guided
a common axis. This drive configuration is known as differential vehicle control. Applications of QBot which is previous
drive. The two drive wheels are independently driven forward generation of Quanser ground robots are mentioned in the
and backward in order to actuate the robot. Motion of the wheels literature [11-13].
is realized using high performance DC motors. When the results
are analyzed, 13 different motion types are observed in total. The The QBot 2 mobile platform consists of two central drive
observed motion types could be used as references in future wheels mounted on a common axis that bisects the robot. The
works since many practical applications, such as the remote two drive wheels are independently driven forward and
control of QBot 2 mobile robot via the human voice, require the backward in order to actuate the robot [14]. This drive
availability of different motion types.
configuration is known as differential drive [15]. There are
different applications of wheeled mobile robots [16].
Keywords—Intelligent robotic systems, Mobile robots; Wi-Fi
based remote control. In this study, QBot 2 mobile robot is evaluated to explore
its ability to maneuver. In this way, controlling QBot 2 mobile
I. INTRODUCTION robot in real time is planned while a command recognition
system is developed.
The first major mobile robot development effort was
Shakey, developed in the late 1960s [1]. Recently, utilization Interacting with mobile robots using speech is of particular
of mobile robots has increased substantially. Mobile robot interest to researchers since verbal communication is the most
systems are designed for research, education, commercial, natural way of communication for human beings. Speech has
industrial, space missions or different purpose. Today been previously used to perform different tasks, such as
researchers are focusing on mobile robots owing to their command based voice teleoperation of a mobile robot [17-18].
potential applications in hazardous environments [2], house- The paper is organized as follows. Section II. introduces
hold tasks [3], in the field of agriculture [4], medical [5], and how to be teleoperated mobil robot QBot 2. Then, differential
military applications [6-7]. drive kinematics is described in Section III. The simulation
The basic technologies involved in these applications are a results and analysis are described in details in Section IV.
suitable robotics platform equipped with enhanced sensors Finally, Section V. concludes the paper.
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II. THE TELEOPERATED MOBILE ROBOT Q BOT 2 hardware interface for the QBot 2. ‘’HIL Read/Write’’ block
set is utilized to read from sensors and/or write to outputs.
The QBot 2 utilizes an onboard data acquisition card and a
‘’Kinect Initialize’’ block set is used to initialize the Kinect
wireless embedded computer to measure the onboard sensor
sensor. ‘’Kinect Get Image and Depth Sensor’’ blocks are
and drive motors. Connection with the QBot 2 is carried out in
used captures RGB and depth data from the Kinect sensor.
a wireless environment A Simulink model is developed in
‘’Display Image’’ block set is used to transmit the input data
MATLAB® environment. The created model is built with
(RGB or depth) from QBot 2 to the PC and displays them on
Quarc control software. Compiled model is downloaded with
the monitor. Other than these blocks, the ‘’Host Initialize’’
TCP/IP connection to QBot 2 and the application is carried out
block can be used to make use of external input devices such
on an embedded computer.
as a keyboard or joystick.
A. The Hardware Platform III. TWO WHEELED DIFFERENTIAL ROBOT MODEL
The QBot 2 is an autonomous ground robot which is a new The QBot 2 mobile platform consists of two central drive
product of Quanser. The QBot 2 is comprised of a Yujin Robot wheels mounted on a common axis. The two drive wheels are
Kobuki platform, a Microsoft Kinect RGB camera and depth independently driven forward and backward in order to actuate
sensor and a, data acquisition card (DAQ) with a wireless the robot. Motion of the wheels is realized using high
embedded computer. The embedded computer system mounted performance DC motors. This drive configuration is known as
on the mobile robot uses the Gumstix DuoVero [19] to run differential drive [22-23]. Modeling of the QBot 2 is shown in
QUARC and interface with the QBot 2 data acquisition card Fig. 2 (a) and top view of the QBot 2 is shown in Fig. 2 (b).
[20].
B. Establishing Wireless Connection
Between the host computer and the QBot 2 connection can
be over wired or wireless communications. In this study, the
QBot 2 communicates with the host computer by utilizing an
ad-hoc peer-to-peer wireless TCP/IP connection. The network
established is called GSAH. The teleoperated mobile robot
QBot 2 is shown in Fig.1.
Fig. 2. Left: Illustration of the QBot 2; Right: The QBot 2– top view
When there exist differences between velocities of two

driving wheels, the robot must rotate araund a point that lies
along the common left and right wheel axis. The point that
Fig. 1. The Teleoperated mobile robot Q Bot 2
robot rotates about is known as the ICC (Instantaneous Center
of Curvature). The trajectory of robot can be controlled by
QBot 2 can be combined with other QBot units, QBall changing the velocities of two driving wheels. The wheel
2 and QBall-X4 unmanned aerial vehicles, or third-party angular speed be denoted ω, R be the signed distance from to
autonomous vehicles, and an open-architecture, multi- the ICC to the midpoint between the left and right wheels to
purpose, multi-agent platform can be built for research [21]. the ICC, L be the distance between the left and right wheels, θ
be the heading angle of the robot, and VC be the
C. Software Framework (forward/backward) speed of the robot chassis center. The
Quarc 2.5 must be installed on host computer [10]. Quanser motion of the QBot 2 velocity of the wheels can be
real time control software is a rapid control software to run summarized in the following equations:
simulink generated code under Windows. Quarc also provides
for users with the ability to arrange the control parameters L
VR = ω (R + ) (1)
while the model is running. 2
D. Control of Software Blokset L
VL = ω (R − ) (2)
2
The QBot 2 is accessible through different block sets in
MATLAB® Simulink. ‘’The Hardware in the Loop (HIL) Equation 1 and 2 can be solved at any instance of time
Initialize’’ block set is utilized to configure the drivers and for VC , ω, R as fallows;
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(VR + VL ) rotation (CCW) whereas a negative ω value a clockwise

VC = (3) rotation (CW). If R has a negative value, the linear and
2
dθ (VR − VL ) angular velocities should have different signs. Specially, If the
ω = θ̇ = = (4) QBot 2 is moving forward (VC > 0) , it should be rotating
dt L clockwise(ω < 0), and if it is moving backwards (VC < 0), it
L (VR + VL ) should be rotating counter clockwise(ω > 0).
R= (5)
2 (VR − VL )
Table 1. The observed maneuvers
INPUT
VALUES OF OUPUT VALUES OF SYSTEM
IV. THE SIMULATION RESULTS AND ANALYSIS SYSTEM MOTION
POSITION
In this study, QBot 2 mobile robot is evaluated to explore VR VL VC WC TYPE
its ability to maneuver. For this reason a Simulink model is
(m/s) (rd/s)
developed, shown in Fig. 3. In this model, we can command
left and right wheel speeds of the QBot 2. When both wheels Forward
speeds are set, as shown in Fig. 3 (A), we observe linear and A A A - 0 linear
motion
angular velocities, as shown in Fig. 3 (C). We analyzed that
the measured and the calculated wheel speeds are different Backward
from each other, as shown in Fig. 3 (B). The difference -A -A -A - 0 linear
motion
between the calculated velocities and the measured ones as a
result of measurement error are caused by load, friction and 2𝐴 Robot
disturbances to the wheels. This concept is known as Forward A -A 0 CCW ( ) spin in
𝐿 place
Kinematics in the literature [22]. Forward Kinematics is used
to determine the linear and angular velocity of the robot in the 2𝐴
Robot
real space coordinate frame given robot's wheel speeds. -A A 0 CW (− ) spin in
𝐿 place
Rotation
𝐴 𝐴 around
0 A ( ) CW (− )
2 𝐿 right
wheel
𝐴 𝐴 Rotation
-A 0 (− ) CW (− ) around
2 𝐿 left wheel
Turning
𝐴−𝐵 𝐴+𝐵 around
-A B (− ) CW (− )
2 𝐿 right
wheel
𝐵+𝐴 𝐵−𝐴 Right arc

B A ( ) CW ( )
2 𝐿 turning
Fig. 3. Snapshot of the Simulink Block Diagram
𝐴 𝐴 Rotation
When –A, –B, 0, B, A speed values are set to the left and A 0 ( ) CCW ( ) around
right wheels in accordance with the equality 0 ≤ B ≤ A ≤ 0,65 2 𝐿 left wheel
m⁄s, 13 different motion types are observed in total. Observed
Rotation
maneuvers information of the QBot 2 is presented in Table I. 𝐴 𝐴 around
When both wheels rotate at the same speed, we observe linear 0 -A (− ) CCW ( )
2 𝐿 right
motion in a straight line as, shown in the first two rows in wheel
Table I. When both wheels rotate at the same speed but in the Turning
opposite direction, we observe rotation about the midpoint of 𝐴−𝐵 𝐴+𝐵
A -B ( ) CCW ( ) around
the wheel axis and rotate in place, as shown in the third and 2 𝐿 left wheel
fourth rows in Table I. When only one wheel speed of the
QBot 2 is set, we observe rotation around the non-moving 𝐴+𝐵 𝐴−𝐵 Left arc
A B ( ) CCW ( )
wheel as shown in the fifth, sixth, ninth and tenth rows in 2 𝐿 turning
Table I. When a wheels turns faster than the other, QBot 2
turns in an arc towards the slower wheel as shown in the 0 0 0 0 0
Initial
seventh, eighth, eleventh and twelfth rows in Table I. When ω Position
has a positive value (ω > 0), it creates a counter clockwise
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V. CONCLUSION [7] Hill,Susan G., Daniel Barber, and Arthur W. Evans III. "Achieving the
vision of effective Soldier-robot teaming: Recent work in multimodal
In this study, QBot 2 mobile robot maneuvers were communication."Proceedings of the Tenth Annual ACM/IEEE
analyzed. Determined left and right wheel speed values are International Conference on Human-Robot Interaction Extended
entered with a model created in MATLAB Simulink using Abstracts.ACM, 2015.
[8] http://www.irobot.com
QUARC control software. When the results are analyzed, 13 [9] http://www.mobilerobots.com
different motion types are observed in total. [10] Quarc, http://www.quanser.com/quarc.
The difference between the calculated velocities and the [11] Luo, Jing, Cheng-Lin Liu, and Fei Liu. "A leader-following formation
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Ankara, Haziran 2006, pp. 137-143
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The Effect of Viewing Angle on Detection of

Landmines from Thermal Time Series Images Using
Active Thermography
Murat Kilinc*, Osman Torunoglu+, Abdurrahman Ozdemir+,
Hasan Kocer+, Onder Haluk Tekbas*
*
Turkish Military Academy, Defense Sciences Institute, Ankara, Turkey, 06654
mkilinc@kho.edu.tr, ohtekbas@kho.edu.tr
+
Turkish Military Academy, Department of Electronics Engineering, Ankara, Turkey, 06654
otorunoglu@kho.edu.tr, aozdemir@kho.edu.tr, hkocer@kho.edu.tr
Abstract— Use of landmines in soils is a significant a variety of different fields in industry such as nondestructive
international threat facing the world today. There are no safe testing, condition monitoring, and predictive maintenance,
and highly reliable methods or inspection systems capable of reducing energy costs of processes and buildings, detection of
detecting landmines in all situations. The use of infrared gaseous species, and many more [1]. IR thermal imaging has
thermography is one of the promising methods for mine detection
also been widely used for landmine detection.
tasks. In infrared thermography, the investigation is done in
either way: actively or passively. In this study, thermal signatures The detection of landmines and clearance is still a time
of the active infrared time difference images of buried mines and consuming and unsafe task. Additionally, efficient and
sand are investigated for different camera angles. It is aimed to accurate detection of buried mines is still a challenging
find the effects of shot angles of the thermal camera on the
problem [2].
performance of landmine detection. The experiments are
performed at a sandbox emplaced in an indoor laboratory There is no universal technique capable of detecting
environment. A metal and a plastic antipersonnel mine are landmines in all conditions. Infrared thermography is a
buried at 2 cm depth in sandbox. The sand surface is initially
promising technique in the detection and discrimination of the
heated homogeneously by an infrared heater (2400 W) for 10
minutes on different days. During the cooling phase of the
landmines. The detection principle is based on the variation of
surface, a sequence of images are captured with an LWIR (8-12 the ground temperature due to the presence of buried or
µm band) camera (FLIR T 650 SC), which is 280 cm away from surface landmines.
the detection area at different angles (90°, 60° and -60°). Images
Sand and mines have different thermal properties and this
of the size of 480×640 pixels are taken at 15 seconds intervals
during one hour. “Thermal signatures” of the buried mines and difference can be observed on the surface through the thermal
soil in three viewing angles are compared in MATLAB® sensors. Since thermal property is a dynamic behavior driven
environment. The results show that the locations of landmines by radiation from the external heating system, it can change
are easily detected from the captured images during the cooling with the temperature in a few minutes and it can be observed
phase of the surface since observable differences develop between better in thermal image time series than a single image.
temperature signatures of landmines and sand, but the
observation angle of camera has little affects on the detection Active thermograpy technique can be applied to enhance
performance. In addition, it is found that one hour measurement the contrast between the possible targets and the background.
period is adequate for the detection of landmines at 2 cm depth in This contrast stems from the difference in radiant
active thermography. characteristics between the landmines and the background
soil.
Keywords— Landmine detection; Thermal infrared imagery;
Active thermography. Emissivity value, which is one of these characteristics,
plays a significant role in the determination of correct
I. INTRODUCTION temperature of an object surface [3]. The source of uncertainty
Infrared (IR) thermal imaging, also often briefly called in temperature measurement with the infrared camera can be
thermography, is a very rapidly evolving field in science as listed as followings: emissivity (ℰ) of objects, infrared
well as industry owing to the enormous progress made in the detector-to-surface angle and distance. Those are mainstream
last two decades in micro system technologies of IR detector technical factors for an accurate infrared thermographic
design, electronics, and computer science. Thermography measurement.
nowadays is applied in research and development as well as in
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Some authors [4] [5] [6] have used analytical, numerical III. EXPERIMENTS
and experimental methods to model the thermal signatures of
The equipment required for the experiments consists of
land mines. But, in our humble opinion, how angle of
model anti-personal landmines (plastic and metal), thermal
observation influences the results has not been investigated in
camera, a tripod of camera stand or framework, sandbox and a
detail yet.
heating unit.
Therefore, the main objective of this paper is to evaluate
The landmines can be categorized mainly into two sections
the effect of change in camera angle on detection performance
according to their materials, metal or plastic mines. The
of buried landmines.
surrogate model mine used in the experimental study is Plastic
DM-11 (partly filled with wax whose thermal properties are
similar to TNT) and Metal M-16 anti-personnel mines
II. BACKGROUND
(APM’s) as shown in Fig. 1. DM-11 has a diameter of 0.08 m
A. Mine Problem and a height of 0.035 m. M-16 has a diameter of 0.12 m and a
height of 0.20 m.
Landmines are explosive devices hidden just below the
surface designed to be detonated by contact of people or The mines were buried in a sandbox which has a height of
vehicles, as they pass over or near them. Still some 60 1.85 m length, a width of 1.55 m and a depth of 0.225 m, filled
countries around the world are contaminated by landmines and with sand. The thermographic imaging was performed with a
thousands of people continue living with a risk of losing their portable infrared camera (FLIR T 650 SC) equipped with an
life or limb. In addition, emplaced landmines hinder the uncooled micro bolometer, a focal plane array infrared
cultivation of large productive areas. Besides, they maintain a detector with a spectral range between 7.5 – 13.0 μm and
sense of insecurity long after conflicts end, delay peace 480×640 pixels.
processes and impede countries’ development for years [7]. The camera was attached to a framework, consisting of a
Because of these horrendous effects, a lot of research and fixed attachment point for the camera. The sandbox was
technological developments are needed to solve the detection located at the base of the framework and the camera was
and clearing of landmines problem. One widely searched focused on the center of the sandbox.
solution for this problem is IR thermal imaging.
B. Thermal imaging
Each material shows a characteristic thermal response to a
given stimulus, also known as the thermal signature. Thus, the
cooling or heating process affects buried objects and the
surrounding soil in a different way. This difference is due to
the fact that the mines are better insulators than the soil. The
general concept of using infrared thermography for mine
detection is based on the fact that mines may have different
thermal properties from the surrounding material [8]. Thermal
imaging devices measure the emissivity of surfaces in an area
at various temperature ranges.
Uniquely, IR can work in either way, actively or passively.
It can work by accepting only the natural radiation from the
object called as passive thermography, or it can provide an
extra heat source and receive the artificial radiation created by
that heat source dubbed as active thermography [9].
Fig. 1. Experimental setup for an assessment of angular variation of
Most thermal detection concepts involve single snapshot of emissivity. The FLIR T 650 SC was rotated about the sample and fixed at 30-
the region of interest. The soil over a mine has different degree intervals. Plastic APM DM 11 ( up) and Metal APM M 16 (down)
thermal dynamics than homogeneous soil and, as a result, a Positions.
time sequence of images can often produce better detection Infrared Heater (UFO-L2300:2400 Watt Power) was
than a single image [10]. used as a heat source. The heating phase (active
Consequently, the soil temperature on the ground above thermography) is shown in Fig. 2.
the mines is often different from that of the background. This
temperature can be measured by an IR imaging system placed
above the soil area.
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mines generally became apparent within a similar time frame

[4].
Fig. 2. Heating Phase of Active Thermography
All measurements were performed for 1 day for each

angle. Images were analyzed with commercially MATLAB
and FLIR IR Research Software.
IV. RESULTS
a) Viewing at 90°.
Three types of experiments performed at the viewing
angles of 90°, 60° and -60° as it is shown in Fig.3 during three
days. The acquired thermal images are stored in a personal
computer. The model mines were buried into a depth of 0.02
m beneath the sand surface.
b) Viewing at 60°.
Fig. 3. An IR image sequence of a minefield; images taken at (a) 90°, (b) 60°
and (c) -60°.For images obtained at the same distance(2.80-m )
The sand surface was initially heated by an infrared heater

(2400 W) for 10 minutes in each day. During the cooling
phase of the surface, a sequence of images was captured with
FLIR T-650 SC camera placed in 280 cm distance from the
detection area. Images of the size of 480×640 pixels were
taken at 15 seconds intervals during one hour.
c) Viewing at -60°.
The temperature effect of the presence of the mine on the
sand surface at each angles are clearly shown in Fig. 4 (a, b, Fig. 4. The mines locations ; images taken at (a) 90°, (b) 60° and (c) -60°
and c). The results showed that the amplitude of the surface
As it is shown in Fig.4, the surface temperature of the sand temperature change above the mine was much greater than
above plastic mine was higher than the surface temperature of that on the surface beside it: this was caused by the heating
the sand beside mine. However, the situation was just opposite method. In all tests, the locations of the mines were identified
when it comes to metallic mine. The hot and cold surface using FLIR T-650 SC thermal camera and Research IR
spots caused by the energy reflected from the surface over Program. The evolution of the “hot spot” and “cold spot”
above the mines can be observed from the results shown in
Fig. 4.
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Our experiments confirmed that emissivity nearly remains

constant from 60° to -60° degrees from the horizontal. These
results were in agreement with what reported in the textbook
of Infrared Thermal Imaging Fundamentals, Research and
Applications [1], which explains the influence of viewing
angle on emissivity of a surface.
Angular dependency of emissivity (angle of observation)
that has an influence on images was recorded with an IR
camera system. However, Figure 5 demonstrates an effect that
fortunately holds for nearly all practically important surfaces:
the emissivity is nearly constant from the normal direction 0°
to at least 40 or 45° [1].
b) Viewing at 60°.
Fig. 5. The emissivity values at different angles [1].
The study was carried out to understand how the viewing

angle was influenced to the emissivity. Changing in the
emissivity was recorded in each direction, and the results are
shown in Fig. 6 (a, b, and c). The difference between the two
temperature signature profiles (sand and mines) was plotted in
MATLAB for each test.
c) Viewing at 60°.
Fig. 6. Thermal signatures of a minefield ; images taken at (a) 90°, (b) 60°
and (c) -60°.
V.CONCLUSION
In our study the effect of viewing angle is investigated by
combining the analysis of temporal IR image sequences,
showing the dynamic scene behavior during time variant
heating by an infrared heater. The results show that different
viewing angles (for 90°, 60° and -60°) have relatively little
effect on the temperature at the surface. The emissivity is
approximately constant at the viewing angles between 60° and
-60°.
Experiments have shown that active thermography has
strong positive effect on thermal signature in a short time. It
can be especially useful in military tasks.
The thermal properties of the mine itself can play a

significant role according to the thermal signatures. Also, it is
shown that 60 minutes duration is enough to produce thermal
a) Viewing at 90°.
signatures for buried mines at a depth of 2cm from the surface
with active thermography.
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VI. REFERENCES
[1] M. Vollmer and K.-P. Möllmann, Infrared Thermal Imaging
Fundamentals, Research and Applications, Weinheim,GERMANY:
WILEY-VCH Verlag GmbH & Co., 2010.
[2] A. Ajlouni and A. Sheta, "A Novel Landmine Detection Process Using
KL Transform and Marker based Watershed Segmentation in IR
Images," International Journal of Signal and Imaging Systems
Engineering, 2010.
[3] T. Nunak, K. Rakrueangdet, N. Nunak and T. Suesut, "Thermal Image
Resolution On Angular Emissivity Measurements using Infrared
Thermography," Proceedings of the International MultiConference of
Engineers and Computer Scientists 2015 Vol I,, 2015.
[4] J. Deans, J. Gerhard and L. Carter, "Analysis of a thermal imaging
method for landmine detection,using infrared heating of the sand
surface," Infrared Physics & Technology , vol. 48 , p. 202–216, 2006.
[5] R. L. Dam, B. Borchers, J. M. Hendrickx and S. Hong, "Soil effects on
thermal signatures of buried nonmetallic landmines," Detection and
Remediation Technologies for Mines and Minelike Targets VIII, vol.
5089, 2003.
[6] K. P. ,. Lamorski, P., W. Swiderski, D. Szabra, R. Walczak and B.
Usowicz, "Thermal signatures of land mines buried in mineral and
organic soils––modelling and experiments," Infrared Physics &
Technology, vol. 43, p. 303–309, 2002.
[7] "International Campaign to Ban Landmines," the ICBL , [Online].
Available: http://www.icbl.org/en-gb/problem/why-landmines-are-still-
a-problem.aspx. [Accessed 2016].
[8] C. P. Lee, Landmine detection techniques using multiple sensors, M. Sc.
Thesis, Electrical, 2004.
[9] L. Kempen, A. Katarzin, Y. Pizurion, C. Corneli and H. Sahli, "Digital
Signal/Image Processing for Mine Detection," in Proceedings Euro
Conference on Sensor Systems and Signal Processing Techniques
applied to the Detection of Mines and Unexploded Ordnance, 1999.
[10] J. MacDonald, J. Lockwood, J. McFee and T. Altshuler,
"Infrared/Hyperspectral Methods," in Alternatives for Landmine
Detection, Rand, 2003, pp. 93-110.
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MORTAR MIXING AUTOMATION SYSTEM

USING PLC BASED SCADA (ICAT)
Okan BİNGÖL *1, Burçin ÖZKAYA 2, Hasan ATAK3, Uluscan KAÇMAZ 4
1,2,3,4
Suleyman Demirel University, Department of Electrical-Electronics Engineering, 32260, Isparta, Turkey
okanbingol@sdu.edu.tr, burcinozkaya@sdu.edu.tr, attack433@gmail.com, uluscan.kacmaz01@gmail.com
Abstract—With the rapid development of industrial technology, such as energy, water, gas, cement, climatization,
industrial automation systems will provide safe, quality, fast and transportation, security and banking [3]. Usage of PLC and
competitive product manufacturing. Programmable Logic SCADA systems has many advantages. For example, quality
Controller (PLC) is preferred in industrial automation systems increases, process monitoring is easier, failure caused by
due to its features such as process speed, quality and reliability,
human factor and occupational accidents can be minimized [4].
small physical size and easy installation. As PLC systems
develop, SCADA systems are began to use in a wide area. In this study, prototype and application of mortar mixing
Industrial plants can be monitored remotely can be controlled by automation system which is based on PLC and SCADA was
time and past data can be stored using SCADA systems with realized. The system was controlled by the S7-200 PLC and
PLC. WinTr SCADA interface. PLC and SCADA interface has
In this study, prototype and implementation of SCADA based worked simultaneously. Thus, system can be monitored and
mortar mixing automation system with PLC was carried out. controlled in real time.
The system was controlled by S7-200 PLC and WinTr SCADA
interface. All parameters can be entered, monitored and II. PROTOTYPE DESIGN OF SYSTEM
controlled by means of SCADA interface. In the system, mortar
mixture were comprised of cement, aggregate, gravel and water. A. Plc Properties used in the System
Each material was located in separate hoppers. When material
values for mixture were entered, hoppers cover was opened In this study, Siemens S7-200 CPU 224 was used as PLC.
respectively. The amount of entered value and weighed value S7-200 includes a compact microprocessor to create a
were compared and when their values were equal, hopper covers powerful Micro PLC, integrated power supply, input and
were closed thanks to loadcells located at the bottom of the output circuits. CPU 224 model has 14 inputs and 10 outputs
hoppers. Materials were transferred to mixing hopper by means [5, 6]. The block diagram of system is shown in Figure 1.
of band system after sand, aggregate and gravel were added.
Then, water was pumped from the water hopper to the mixing
hopper and all materials were mixed by mixer.
Keywords— PLC, SCADA, mortar mixing automation
I. INTRODUCTION
Industrial automation systems will provide qualified, safe,
fast and competitive way for product manufacturing with the
rapid development of industrial technology. With the use of
automation systems, production desired and planned in plants
can be made and also systems can be monitored remotely.
Furthermore, automation technology also provides fast and
reliable production [1].
Mortar mixed systems work under the control software
because they are completely subject to the automation system.
Nowadays, Programmable Logic Controller (PLC) is used in
almost every area of the industry but it is used especially in
automation systems. PLC has a wide range of application in Figure1. Block diagram of system
all areas of industry such as air conditioning, elevator,
ventilation, cooling, packaging, storage and transportation B. Design of System
plants, automobile industry, petroleum filling and washing Prototype of the mortar mixing automation system is shown
plants, cement industry, lighting plants, all kinds of machines, in Figure 2 and prototype material list is shown in Table I.
electropneumatic and hydraulic systems [2].
SCADA systems are used in wide area as long as PLC
systems evolve. They enable to remote communication. Thus,
they provide easier intervention to long distance system.
Nowadays, SCADA systems are widely used in various fields
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Figure3. Amplifier circuit

Figure2. Prototype of the mortar mixing automation system
Six DC motor was used in order to open and close the

TABLE I hopper covers. Three DC motor provided to open the hopper
PROTOTYPE MATERIAL LIST covers and the other three motor provided to close the hopper
covers. Materials for the mixture collected respectively in the
1 Water pump 11 Second inductive sensor conveyor hopper located on the belt system and it was
2 Gravel hopper 12 Third inductive sensor transferred to the mixing hopper. The movement of the belt
3 Aggregate hopper 13 Mixer system was provided with inductive sensors located on belt
4 Cement hopper 14 SCADA interface system.
5 First Loadcell 15 Fuses
6 Second Loadcell 16 S-7 200 CPU 224 PLC C. SCADA Interface
7 Third Loadcell 17 EM-235 Analog Module In this study, SCADA interface was designed by using
8 Belt motor 18 Relay circuit WinTr SCADA software. SCADA interface is shown in
9 Conveyor hopper 19 Amplifier circuit Figure 4.
10 First inductive sensor 20 Connectors
In the system, mortar mixture were comprised of cement,

aggregate, gravel and water. Each material located in separate
hoppers. Loadcells were located under each hopper. Loadcell
is an analogue sensor and its output voltage is between 0-3.6
mV. However, analogue values can’t be read directly by the
PLC which can only detect logic signals. Therefore, an EM-
235 analogue module is needed to convert analogue value to
digital value. Information coming from loadcells was
converted digital value in accordance with PLC. EM-235
module has three inputs in the system and they are shown in
Table II. The output value of the EM-235 module is between
0-10 V [5]. However, output voltage of loadcells is lower than Figure4. SCADA interface
the output voltage of the analogue modules and it needs to be PLC and SCADA interface work synchronously, so system
amplified. Therefore, an amplifier circuit was designed for can be controlled from interface in an instant. There are
this and shown in Figure 3. hoppers for the materials used in mortar mixing. When
TABLE III material values for mixture are entered from the interface,
hopper covers are opened respectively. Information which
ADDRESSES OF THE INPUT TERMINAL OF THE EM-235 MODULE
comes from loadcells is transferred to PLC via analogue
Input Task module. When entered value equals to weighed value, hopper
AIW0 Analogue value reading of first weighing. covers are closed. Materials are transferred respectively to the
AIW2 Analogue value reading of second weighing. conveyor hopper which is on the belt system. Materials in
AIW4 Analogue value reading of third weighing. conveyor hopper are transferred to the mixing hopper after all
materials are added. Then, water is pumped into the mixing
hopper and all materials are mixed by means of mixer.
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D. Flowchart of the Program TABLE IIIII

ADDRESSES OF THE INPUT AND OUTPUT TERMINAL OF THE PLC
The flowchart of the program is shown in Figure 5.
Input Task
I0.0 Second hopper stop sensor
I0.1 First hopper stop sensor
I0.2 Third hopper stop sensor
Output Task
Q0.0 First hopper pump (On / Off)
Q0.1 First weighing hopper pump(On/ Off)
Q0.2 Second hopper pump (On / Off)
Q0.3 Second weighing hopper pump(On/
Off)
Q0.4 Third hopper pump (On / Off)
Q0.5 Third weighing hopper pump(On/Off)
Q0.6 Water Pump
Q0.7 Belt Motor
Q1.0 Mixing Motor
Q1.1 Relay Control
III. CONCLUSION
Nowadays, automation systems are used for safe, quality
and fast industrial production with the rapid development of
industrial technology. PLC systems are widely used in
automation systems. Usage of SCADA systems has increased
with the expansion of the application areas of PLC. Industrial
plants can be remotely monitored, controlled using SCADA
with the PLC. Moreover, historical data of plants can be
stored.
In this study, prototype and application of mortar mixing
automation systems were realized. The system was controlled
by a PLC and SCADA interface. Furthermore, the system can
be remotely monitored and can be controlled with SCADA
interface.
REFERENCES
[1] A. Lakshmi, B. Sangeetha, A. Naveenkumar, B. Ganesh, and N.
Bharathi, “Experimental validation of PID based cascade control
system through SCADA-PLC-OPC interface,” In Computer
Communication and Informatics (ICCCI), International Conference
on IEEE, 2012, pp. 1-4.
[2] O. Bingöl, T. Aydoğan, H.R. Dıdın, and A.S. Yalçiner, “PLC
Kontrollü Otomatik Katlı Otopark Sistemi,” SDU International
Journal of Technological Science, vol. 2, pp. 65-76, Feb. 2010.
[3] R. Bayındır, O. Kaplan, C. Bayyiğit, Y. Sarıkaya, and M. Hallaçlıoğlu,
“PLC ve SCADA kullanılarak bir endüstriyel sistemin otomasyonu,”
Erciyes Üniversitesi Fen Bilimleri Enstitüsü Dergisi, vol.27, pp.107-
Figure5. Flowchart of the program 115, Jan. 2011.
[4] O. Bilgin, Y. Altun, and M. Mutluer, “Remote monitoring and
E. Expression of the Program with Ladder Diagram diagnostic system of PLC controlled an elevator using SCADA,” In
Electrical, Electronics and Computer Engineering (ELECO), 2010, pp.
Addresses of the input and output terminal of the PLC are 212-216.
[5] S7-200 Programmable Controller System Manual, Siemens, 2005.
shown in Table III. [6] T.Aydoğan, M.E.Özgün and S.Karaahmetoğlu, “SIEMENS SIMATIC
S7-200 CPU 224 Model PLC Kontrollü Asansör", SDU International
Technologic Science, vol.1, pp. 1-9, 2009.
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Real Time Application of Sliding Mode Controller

for Coupled Tank Liquid Level System
Hayriye Tuğba Sekban, Kaan Can, Abdullah Başçi
abasci@atauni.edu.tr
Department of Electrical & Electronics Engineering, Atatürk University
Erzurum, Turkey
Abstract— In this paper, real time application of a sliding mode controllers have been developed to apply the systems that
control (SMC) is used for level control of experimental setup of have nonlinear system dynamics. As an example, the
liquid level system due to its properties such as robustness backstepping controller has been presented to control the
against large parameter variation and disturbances rejection. A systems where system dynamics can be written in a lower
well-tuned conventional proportional integral (PI) controller is
triangular form [4-7]. Also, it has a recursive structure and its
also applied to the two coupled tank system for comparison with
the SMC controller. Experimentation of the coupled tank system stability analysis can be proven based on Lyapunov stability
is realized in two different configurations, namely configuration theorem, the backstepping controller mostly preferred. On the
#1 and configuration #2 respectively. In configuration #1, the other hand, the all states of the system must be measured and
water level in the top tank is controlled by a pump. In in complex systems, more mathematical processes are needed
configuration #2, the water level in the bottom tank is controlled to calculate the control input signal. Moreover, fuzzy
by the water flow coming out of the top tank. The performance controller is proposed where the system is not well defined
of controllers is analyzed according to their tracking and does not have an exact mathematical model [8]. Apart
performance and error elimination capability for different from these advantages, the fuzzy controller is not good
references applied to the system. Experimental results prove that
enough to stabilize the system where the quick response is
the SMC shows better trajectory tracking performance than PI
controller in that the plant transient responses to the desired needed and the controller’s sensivity need to be very high.
output changes have shorter settling time and smaller magnitude Also, it is a rule based controller and there is no theorem to
overshot/undershoot. Robustness of the SMC with respect to proof its stability criteria. As an another solution, SMC is
water level variation and capability to eliminate external proposed to control nonlinear systems. The SMC is a type of
disturbances are also achieved. nonlinear controller and preferred for the systems where the
controller must be very robust to model uncertainties and
Keywords— Liquid Level Control, Sliding Mode Control external disturbances [9-15]. In addition to this advantages
mentioned on SMC, it has a simple structure and its stability
I. INTRODUCTION criteria can be proven using Lyapunov stability theorem.
In this study, the liquid level control of coupled tank system
Liquid level control is one of the essential problems of
is examined in experimental application using PI and SMC
process industry. In nuclear power plants, wastewater
controllers for different reference inputs. Both controllers are
treatment plants, filling-disposal plants etc., high sensitive
compared in term of error elimination capability and
liquid level systems must be used to do complex and
robustness against to parameter uncertainty. The results prove
dangerous processes that are not done by humans. To achieve
that the SMC shows better trajectory tracking performance
correct mixture ratio, adjust liquid flow between tanks
than PI controller. Also, the results show that SMC is really
precisely and to get high level performance from this systems,
robust to model uncertainties occur in the system and good at
well-designed controllers must be also used. Due to their
eliminating the errors compared with the PI controller.
nonlinear system dynamics and can be effected disturbances
easily, the control of liquid level systems are difficult. To II. MODELLING AND CONTROL OF THE COUPLED
overcome these difficulties and control this kind of systems in TANK SYSTEM
a desired efficiency, many control algorithms have been
proposed by the researchers. Due to their simple structures, A. Single Tank Model (Configuration #1)
easy parameter adjustment and basic calculation knowledge Single tank system which consisting of the top tank is
needed P, PI, PID controllers are used to control liquid level shown in Fig. 1. It is reminded that in configuration #1, the
of the tanks [1-3]. In the experimental application, classical P, pump feeds into tank 1 and that tank 2 is not considered at all.
PI, PID controllers are not sufficient for a precise control Therefore, the input to the process is the voltage to the pump
where sudden changes occur, parameter adjustment and fast and its output is the water level in tank 1. The model of the
response are needed. For these reasons, conventional P, PI and single tank system determined by relating the volumetric
PID controllers are not a good choice for a nonlinear system. inflow rate into tank and the outflow rate leaving
In control engineering and relevant areas, some nonlinear through the hole at the tank bottom.
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B. Coupled Tank Model (Configuration # 2)

A schematic of the coupled tank plant is depicted in Fig. 2.
Fig. 1. Tank configuration #1.

The volumetric inflow rate and the outflow rate to tank 1 can
be expressed as [19], Fig. 2. Tank configuration #2
f i1  u (t ) (1) In configuration #2 the pump feeds into tank 1, which in turn

feeds into tank 2. As far as tank 1 is concerned, the same
f o1  A o1V o1 (2) equation as the ones previously developed in section (2.A) is
Where Ao1 is the outlet cross sectional area, V o1 is the tank 1 applied. However, the water level equation of motion in tank 2
still needs to be derived. In the coupled tank, the system states
outflow velocity,   K p / At1 is constant, K p is the pump are the level in tank 1 and the level in tank 2. The
volumetric flow constant and u (t )  V p is the actual pump outflow rate from tank 2 can be expressed as;
input voltage. The outflow velocity by using Bernoulli’s f o 2  Ao 2Vo 2 (8)

equation
Tank 2 outflow velocity by using Bernoulli’s equation
V o1 2 gL1 (3)
Vo 2  2 gL2 (9)
where is the gravitational constant on earth. As a remark, the
cross-section area of tank 1 outlet hole can be calculated by, As a remark, the cross-section area of tank 2 outlet hole can
be calculated by,
1
A o1  D o1 2 (4) 1 2
4 Ao 2  Do 2 (10)
In the Eq. (4) D o1 is the tank 1 outlet diameter. Using Eq. 4
(3) the outflow rate from tank 1 given in Eq. (3) becomes, Using Eq. (9) and (10) the outflow rate from tank 2 given in
Eq. (8) becomes
f o1 Ao1 2 gL1 (5)
f o 2  Ao 2 2 gL2 (11)
Moreover using the mass balance principle for tank 1, we
Using Eq. (5) the inflow rate to tank 2 is as follow
obtain the following first-order differential equation in L1 ,
 dL  f i 2  Ao1 2 gL1 (12)
At1  1   f i1  f o1 (6)
 dt  Moreover using the mass balance principle for tank 2, we
where, A t1 is tank 1 inside cross-section area. Substituting obtain the following first-order differential equation in ,
Eq. (1) and (2) into Eq. (6) and it can be rearranged in the
 dL 
following form for the tank 1 system, At 2  2   f i 2  f o 2 (13)
 dt 
dL1 KpVp  A o1 2 gL1
 (7) Substituting Eq. (12) and (11) into Eq. (13) and it can be
dt A t1 rearranged in the following form for the tank 2 system,
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Thus, the dynamics of the combined form of coupled tank

dL2  Ao 2 2 gL2  Ao1 2 gL1 system can be written as follows,
 (14)
dt At 2
x1  x2 (28)
III. SLIDING MODE CONTROLLER DESIGN FOR THE TANK 1
k
We assume that flow rates cannot be negative and we agree as x 2  f  u  (k z1  u) (29)
follows, 2 z1
f 0 where,
(15)
Therefore, following equation must satisfy as the flow rate to k2
f  (30)
be above, 2
L1  L2 (16) k
   (31)
Thus, the following equation can be written. 2 z1
L1  z1 , L2  z 2 (17) can be expressed. If we define the sliding surface s (t ) as,
n 1
Ao1 2 g A 2g d 
 k1 , o 2  k2 (18) s     e  e  e (32)
At1 At 2  dt 
k1  k 2  k (19) where n is the order of the system to be controlled,  is a
positive constant, e is the error. We take error as a reference
If writing to these assumptions in the dynamic model of the and the measured difference and we obtained the following
coupled tank system the following equations can be obtained. equation.
z1   k z1  u (20) e1  L1r  L1 (33)
z 2  k z1  k z 2 (21) e1  x1r  x1 (34)
y  z1 (22) If we take the derivative of both sides of the Eq. (32) the
following equation obtained.
The dynamics model of the coupled tank system is nonlinear.
Therefore, in order to define the dynamics of the coupled tank s  e1  e1 (35)
system, the dynamic model subject to a transformation
Eq. (35) is employed as the expression written instead of the
equation as follows.
second order derivative of the error, following equations can
 x1  be written,
x    , and x  T (z ) if we make the transformation,
 x2  s  e1  ( x1r  x1 ) (36)
Ideally, we want to sliding surface to be equal to zero. If

x1  z1 (23)
sliding surface is zero than derivative of the sliding surface
will be zero as following equations.
x 2  z1   k1 z1  u (24)
0  e1  ( x1r  x1 ) (37)
The above equations will be obtained. Then the dynamics of
the coupled tank system can be rewritten as shown below. 0  e1  f ( x)   ( x)u eq (38)
x1  x2 (25) If u eq in Eq. (38) left alone than Eq. (39) can be obtained.
k  f ( x ) e1
x 2  z1 (26) u eq   (39)
2 z1  ( x)  ( x)
k Considering the system parameters and disruptive we can get
x 2 
2 z1
 k 1 z1  u  (27) our control signal as follows.
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u  u eq  k x sgn(s ) (40) x1  x 2 (54)
Substituting u eq into Eq. (40) and it can be rearranged in the k 2 z2 ku

x 2  f  u    (55)
following form which is control signal for the tank 1 system, 2 z1 2 z2
k L1 2 L1 e1 Where,
u   k x sgn( s ) (41)
 k
k 2 z2
IV. SLIDING MODE CONTROLLER DESIGN FOR THE TANK 2
f  (56)
2 z1
Considering the dynamic of equality for tank 2, the following
equations are considered to control tank 2. k
  (57)
L1  z 2 , L2  z1 (42) 2 z2
Ao1 2 g A 2g It can be expressed. Define a sliding surface s (t ) as,

 k1 , o 2  k2 (43)
At1 At 2 d 
n 1
s     e  e  e (58)
k1  k 2  k (44)  dt 
If writing to these assumptions in place of the coupled tank Where n is the order of the system to be controlled,  is a
system dynamic model equations are obtained from the positive constant, e is the error. Error we take as a reference-
following equation. measured, and we have obtained the following equation.
z 2   k z 2  u (45) e2  L2 r  L2 (59)
z1  k z 2  k z1 (46) e2  x2 r  x2 (60)
If we take the derivative of both sides of the Eq. (58) the

y  z1 (47)
following equation obtained.
 x1  s  e2  e2 (61)
Let x    , and the transformation x  T (z ) such that,
 x2  Eq. (61) is employed as the expression written instead of the
second order derivative of the error is obtained the following
x1  z1 (48) equation.
x 2  z1  k z 2  k z1 (49) s  e2  ( x2 r  x2 ) (62)
Thus, the dynamics of the combined form of coupled tank Ideally, we want to sliding surface to be equal to zero. If
system can be written as follows, sliding surface is zero than derivative of the sliding surface
will be zero as following equations.
x1  x2 (50)
0  e2  ( x2 r  x2 ) (63)
k k
x 2  z 2  z1 (51) 0  e2  f ( x)   ( x)u eq (64)
2 z2 2 z1
If u eq in Eq. (64) left alone than Eq. (65) can be obtained.
k k
x 2 
2 z2
 k z 2  u   2 z1
k 
z 2  k z1 (52)
 f ( x ) e2
u eq   (65)
 ( x)  ( x)
ku k 2 z2
x 2   (53) Considering the system parameters and disruptive we can get
2 z2 2 z1 our control signal as follows.
Thus, the dynamics of the combined form of coupled tank u  u eq  k x sgn(s ) (66)
system can be written as follows,
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Substituting u eq into Eq. (66) the following equation which is The experimental results given for configuration #2, are
realized using the step + trapezoidal reference signal for PI
control signal of the tank 2 can be obtained. and SMC controllers shown in Fig. 6 and Fig. 8 respectively.
In this section, the cascaded tank system is used to realize
 kL1 2 L2 e level control for different reference signals. For PI controller,
u   k x sgn( s ) (67)
 L2 k it has longer rising and settling time. Also, PI controller has
more overshoot than SMC controller. At the same time, SMC
shows better performance for position tracking and also has
Where, k x sgn(s ) is switching control function. k x , is the
given fast response the parameter variations.
switching gain and sgn(s ) can be expressed given below [18]. 15
Pump Voltage (V) Tank 1 Level Error (cm) Tank 1 Level(cm)

10
 1 s(t ) 0 Reference
 5
sgn(s(t ))   0 s (t )  0 (68) Measured
 1 s(t )0 0
 0 10 20 30 40 50
Time (sec)
Using the controller law given in Eq. (41) and (67) in to Eq. 10
(36) and (62), it follows that [17],
5
s  ws sgn(s) (69) 0
The state trajectories associated with this unforced -5

0 10 20 30 40 50
discontinuous dynamics i.e. eq (69) exhibit a finite time Time (sec)
reachability to zero from any value of initial condition subject
to the value of w s must be positive. Since system driven its 20
states to zero in finite time, the desired level y  z1  h2 and 10

y  z1  h1 in both tanks are regulated after a finite time by
0
first order dynamics y  a s ( y  H )  0 . Where H is 0 10 20 30 40 50
Time (sec)
desired value of the output of tank. Hence, the output of both Fig. 3. PI experimental results for step + sin reference in configuration #1
the tank will asymptotically converge to its desired value
15
since as is positive.
10
V. EXPERIMENTAL RESULTS Reference
In the first experiment of configuration #1, the step+sinusoidal 5 Measured
reference signal is applied for PI and SMC controllers given in 0
Fig. 3 and Fig. 4 respectively. For the step reference signal 0 10 20 30 40 50
part, PI controller has more overshoot and has longer settling Time (sec)
time compared with the SMC. The time varying part of the 10
reference signal, both controllers show the same performance 5
in term of tracking the reference signal, under/overshooth and
0
error elimination capability etc. On the other hand, SMC is
generated the pump voltage with more chattering phenomena -5
than the pump voltage generated by PI controller. 0 10 20 30 40 50
Time (sec)
For the second experiment of configuration #1, the
step+sawtooth reference signal is applied to show the
responses and performance of both controllers shown in Fig. 5 20
and Fig. 7 respectively. The sawtooth reference signal is
10
important due to consisting of the sudden and continuously
changing part in the same period. For PI controller, it has 0
more overshoot and longer settling time compared with SMC. 0 10 20 30 40 50
Also, PI controller has continued to make overshoot through Time (sec)
the continuously changing part of the sawtooth signal. Besides, Fig. 4. SMC experimental results for step + sin reference in configuration #1
SMC has no overshoot while tracking the step+sawtooth
signal and has better performance in term of error elimination
and robustness to parameter variations occur in the system.
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663
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15 15
10 10
Reference 5 Reference
5
Measured Measured
0 0
0 10 20 30 40 50 60 70 0 10 20 30 40 50 60 70
Time (sec) Time (sec)
15 15
10 10
5 5
0 0
-5 -5
0 10 20 30 40 50 60 70 0 10 20 30 40 50 60 70
25 25
15 15
5 5
0 0
0 10 20 30 40 50 60 70 0 10 20 30 40 50 60 70
Fig. 5. PI experimental results for step + sawtooth reference in Fig. 7. SMC experimental results for step + sawtooth reference in
configuration configuration #1
#1
15 25 15 25
Reference
Tank 1 Level (cm)
Reference
Tank 2 Level(cm)
20
Tank 1 Level (cm)

Tank 2 Level(cm)
20
10 Measured Measured
15 10
15
10 10
5 Reference 5 Reference
Measured 5 5
Measured
0 0 0 0
0 50 100 150 0 50 100 150 0 50 100 150 0 50 100 150
Time (sec) Time (sec) Time (sec) Time (sec)
10 25 10 25
Tank 2 Level Error (cm)
Tank 2 Level Error (cm)
20
Pump Voltage (V)
20
Pump Voltage (V)
5 15 5 15
10 10
0 5 0 5
0 0
-5 -5 -5 5
0 50 100 150 50 0 100 150 0 50 100 150 0 50 100 150
Time (sec) Time (sec) Time (sec) Time (sec)
Fig. 6. PI experimental results for step + trapezoidal reference in Fig. 8. SMC experimental results for step + trapezoidal reference in
configuration #2 configuration #2
the levels that required to be kept at a constant level and
VI. CONCLUSIONS following time varying reference signals very well.
In this study, SMC has been designed and applied to two
tank liquid level system in order to maintain a stable reference REFERENCES
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Water Level Control, Heifei: Anhui Agricultural University,
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Real-Time Speed Control of BLDC Motor Based On

Fractional Sliding Mode Controller
Kamil Orman1, Kaan Can2, Abdullah Başcı2, Adnan Derdiyok3
1
Electronicand Automation Dept.
Vocational High School, Erzincan University,Turkey
korman@erzincan.edu.tr
2
Electrical and Electronics Engineering Dept.
Engineering Faculty, Atatürk University, Turkey
{kaa.can,abasci}@atauni.edu.tr
3
Electrical and Electronics Engineering Dept.
TechnologyFaculty, SakaryaUniversity,Turkey
derdiyok@sakarya.edu.tr
Abstract— The design of the system used for brushless DC logic approach for BLDC motor controller in variable speeds
(BLDC) motor control in speed and position control is difficult and the fuzzy logic tuner is used to adjust the gains of the PI
due to the non-linear structure. Therefore, the designed controller and the results obtained in the simulation study
controller is required to respond to these challenges and need showed less ripple under variation in system parameters with
high-efficiency operation. This paper presents the experimental
fast response times.Yu and Hwang have proposed an optimal
validation of a robust speed control structure of a BLDC motor
based on continuous sliding mode (CSM) and fractional sliding PID controller and controller parameters are determined by
mode (FSM) controllers. The controllers have been tested for lowlinear quadratic regulator. The successes of the proposed
and medium speed reference signals and amplitude values. Then, method were compared with conventional PID controller and
both controllers have been compared in term of tracking simulation and experimental results were given. Navidi et al.
performance and error elimination and the results have been [4] proposed a method determined by ant colony search
shown graphically. Experimental results prove that the FSM algorithm for PID controller parameters. They have
controller shows better trajectory tracking performance than demonstrated success with the simulation results of the
CSM controller with high precision as well as good robustness proposed method in improving the step response
against changes of references.
characteristics such as reducing the steady-states error, settling
and rise time, and maximum overshoot in speed control. Chen
Keywords— BLDC motor, Continuous sliding mode control, and Tang proposed a sliding mode current control scheme for
Fractional sliding control, Speed control
pulsewidth modulation (PWM) brushless dc motor drives in
I. INTRODUCTION their study [5]. In this scheme, an improved “equivalent
control” method is used and they stated that the validity of this
scheme is achieved by simulation and experimental results.
Parallel to the developments in the control areas, brushless
Moshiri et al. proposed an approach that has the merit to
DC motors are used in computers, automated office
determine the optimal structure and the inference rules of
equipment, robotic applications, electro-mechanical systems
fuzzy sliding mode controller simultaneously [6]. The success
and many precision machines. Brushless DC motors can be
of the proposed controller is provided with the simulation
controlled more simply than other direct current motors andit
results. Wang et al. offered a stable hierarchical sliding-mode
has advantages such as high torque, high efficiency and small
control method for a class of second-order under actuated
size. In addition, problems such as mechanical wear occur in
systems [7]. They consider the system as two subsystems and
the brushes and commutator by changing the position of the
defined a first-level sliding surface for each part. Also they
stator and rotor in the DC motor. And also maintenance of the
defined a second-level sliding surface for these two first-level
brush takes a long time. But instead of brushes and
sliding surfaces and simulation results have shown the success
commutator, BLDC motors use Hall Effect sensors [1]. Today,
of the proposed method and adaptive abilities for all kinds of
drivers have developed high processing ability and therefore
extraneous disturbances.
robust control of BLDC motors are successfully carried out.
The main advantages of sliding mode control are
The desired control algorithm is mathematically analysed for
demonstrated in numerous examples and simulations. The
robust operation of the controller designed in accordance with,
history of this control structure; In 1977, after V. Utkin [8]
are tested in various computer programs and R & D work
compiler work, Sliding Mode Controller - SMC and Variable
done. In the literature, various studies have been made for
Structure Control - VSC methods are widely used in control
speed control of BLDC motors. In [2], is described a fuzzy
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applications until today [9]-[19]. The aim of sliding mode number of turns and flux linkage/conductor, ‘ ’ is the
control methods, especially in the real dynamic system; are angular speed of the motor, ‘ ’ is mechanical angle of rotor,
designed to drive the system states onto a particular surface in ‘ ’ is electrical angle of rotor, ‘ ’ is number of pole on rotor,
the state space, named sliding surface. Once the sliding = L – M, L is the self inductance of the winding per phase,
surface is reached, sliding mode control keeps the states on M is the mutual inductance per phase. is written in the (6)
the close neighbourhood of the sliding surface. There are two and it can be rearranged in the following form for each motor;
main advantages of sliding mode control. First is that the
dynamic behaviour of the system may be tailored by the
particular choice of the sliding function. Secondly, the closed =( + ) +( + ) + ( ̇ )(8)
loop response becomes totally insensitive to some particular
uncertainties. The disadvantage of sliding mode control BLDC motor state equations are written in the following form;
method is a control signal that changes direction too much and
it is called chattering. Also chattering causes some problems ̇( ) = ( )+ ( ) (9)
in practice such as damaging the component parts of the fast
moving systems, to causes fatigue in the controlled ( )= ( ) (10)
system,significantly reduce the life of the system andto cause
unnecessary energy consumption. Various methods are where the states and input vector are chosen as;
available to reduce this negative effect of chatteringsuch as
filtering, discontinuous approach, saturation function and ( )= [ ωφ] (11)
fuzzy control. But this time the robustness of the sliding mode
control functionality is lost [12-14]. ( )= [ ] (12)
In this study, a fractional order sliding mode controller is
designed to reduce the effect of chattering and also to the system matrices are given below,
maintain the high robustness and high accuracy features
sliding mode control.
( )
II. BLDC MOTOR MODEL ⎡ − 0 0 0⎤
⎢ ⎥
The electrical and mechanical mathematical equation of ⎢ ( ) ⎥
BLDC motor can be expressed as, 0 − 0 0
⎢ ⎥
⎢ ( ) ⎥
1 1 =⎢ 0 0 − 0⎥ (13)
=− − + (1) ⎢ ⎥
⎢ ( ) ( ) ( )
− 0⎥
⎢ ⎥
1 ⎢ ⎥
= ( − − ) (2)
⎣ 0 0 0
2
0⎦
= (3)
2 1
⎡ 0 0 0 ⎤
( ) ⎢ ⎥
⎢0 1
= ( ) (4) 0 0 ⎥
⎢ ⎥
( ) =⎢ ⎥ (14)
1
⎢0 0 0 ⎥
= + + (5) ⎢ ⎥
⎢0 1⎥
0 0 −
⎢ ⎥
= + + (6) ⎣0 0 0 0 ⎦
̇
= + + | ̇ |
(7) = [0 0 0 1 0 ] (15)
where ‘ ’ is the gearbox reduction ratio, ‘ ’is frictional III. CONTROL

coefficient of motor and load, ‘ ’ is the motor inertia, ‘ ’ is In this section, the mathematical equations of designed
the gearbox inertia, ‘ ’ is Coulomb torque constant, ‘ ( )’, controller and its block diagram is given.
‘ ( )’ , ‘ ( )’ are functions having same shapes as back
emfs, ‘ ’ is represent the total flux linkage as the product of A. Continuous Sliding Mode Controller
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The goal is to drive states of the system given (9),(10) in the ε̇ = −Dε = τ̇ − ξ̇ (27)
set Sdefined by;
τ̇ − ( )+ = −Dε (28)
S = {x: τ(t) − ξ(x) = ε(x, t) = 0} (16)
and the result of the short algebra can be written as
where τ(t)is the time dependent part of the sliding function,
containing reference inputs to be applied to the controller. = +( ) Dε (29)
ξ(x) denotes the state dependent part of the sliding
function, ε(x, t). The derivation of the control involves the Third, from time derivative of the sliding function
selection of a Lyapunov function V(ε) and a desired form of
derivative of the Lyapunov function such that closed-loop ε̇ = τ̇ − ( ( )+ ) (30)
system is stable. The selected Lyapunov function is [20-22]
multiplying both sides with( )
1
V= ε ε (17)
2 ( ) ε̇ = ( ) (τ̇ − ( ) − (31)
which is positive definite, and its derivative is
and by using (25)
V̇ = ε ε̇ (18)
( ) ε̇ = − (32)
The solution ε(x, t) = 0 will be stable if time derivative of the
Lyapunov function can be expressed as [22] and finally when this equation is substituted in (29) the control
is found as
V̇ = −ε Dε (19)
( )= ( )+( ) (ε̇ + Dε) (33)
where D is a positive definite matrix. Thus, the derivative of
= + ∆ , ∆→ 0
the Lyapunov function will be negative definite and this will
ensure the stability. Eq. (18) and (19) lead to
The value of the control at the instant is calculated from the
value at the time + ∆ and the weighed sum of the control
ε (Dε + ε̇ ) = 0 (20)
error ε and its time derivative. Control (33) is continuous
function everywhere except in the points of discontinuity of
A solution for this equation is
the function ( , ) . When these equations are adapted for
BLDC motor control system shown in Fig.1, the following
Dε + ε̇ = 0 (21)
equation can be written for the control loop as
The expression for derivative of the sliding function is
( )= ( )+( ) (ε ̇ + Dε ) (34)
d d d
ε= τ− ξ (22)
dt dt dt
where,
ξ = Gx(t) (23)
G∈ℜ is gain matrices ,and

Fig. 1. Continuous sliding mode controller block diagram
ξ̇ = ẋ (t) (24)
B. Fractional Order Calculus
First, equivalent control is found by ε̇ = 0 and using (22) as
The fractional-order differentiator can be denoted by a
ε̇ = τ̇ − ξ̇ = τ̇ − ( ( )+ )=0 (25) general fundamental operator , where and are the
limits of operations. The fractional-order differentiator and
=( ) τ̇ − ( ) (26) integral are defined as follows,
Second, using (23) the control input to the system can be

found by following:
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reference. The maximum percentage errors of sine wave

⎧ ∶ >0 reference for CSM is 10.13% and for FSM 4.17 %
⎪ respectively. The results for sinusoidal speed reference at
⎪
= 1 ∶ =0 (35) 1000 rpm are given in Fig. 5 and Fig. 8. Due to chosen a
⎨ reference signal which is slowly changing over time the
⎪ tracking errors are close to each other. However FSM gives
⎪ ( ) ∶ <0 0.4 sec rise time while CSM is 0.6 sec which is obviously
⎩ much better.
where is the fractional order which can be a complex In the second experiment, trapezoidal wave speed reference
number, however the constant is related to initial conditions. at 10 rpm is given for control of BLDC motor. The trapezoidal
There are several mathematical definitions to describe the wave reference is important to test the performance of the
fractional derivatives and integrals [23],[24]. Between these controllers for sudden changes. It can be seen from Fig. 6 and
definitions, here are two commonly used ones, i.e., the Fig. 9 that, CSM gives 0.6 sec rise time while CSM is 0.5 sec.
Grünwald–Letnikov (GL) and the Riemann–Liouville (RL). On the other hand, FSM have better performance than CSM
The GL definition is; when the trapezoidal wave reference sudden changes. The
trapezoidal speed reference at 1000 rpm in Fig. 7 and Fig. 10
p also shows the success of the FSM. Both controllers have
D f(t) = lim h (−1) f(t − jh) (36)
→ j similar reference tracking capabilities and have similar rise
where [.] means the integer part, while the RL definition is time at the starting point of trapezoidal wave. CSM was failed
given as, to show adequate performance at the moments of suddenly
changes. FSM has been more successful than CSM at the any
1 ( ) sudden change after the start.
( )= (37)
Γ( − ) ( − )
10 Reference
Speed (rpm)
Measured
for ( − 1 < < ), (. )is the Euler’s gamma function, is
the initial time and parameter is used when the differential 0
and integral are taken.
-10
C. Fractional Order Sliding Mode Controller 0 5 10 15 20 25
In (34), if the derivative term expressed as a fractional order, Time (sec)
0.2
( )= ( )+( ) + (38) Command
V (volt)
When these equations are adapted for BLDC motor control 0

system shown in Fig.2
-0.2
0 5 10 15 20 25
Time (sec)
Fig. 3. Continuous sliding mode 10 rpm sinus ref.
10 Reference
Speed (rpm)
Measured
Fig. 2. Fractional sliding mode controller block diagram 0
IV. EXPERIMENTAL RESULT -10

The performance of the both controllers are evaluated
0 5 10 15 20 25
forthe tracking capability of the references and the ability to Time (sec)
reduce the error and rise time. Sinus and trapezoidal speed
0.2
referencesare implemented to BLDC motor for performance
comparison of both controllers and the experimental results Command
V (volt)
are shown in Figs. 3-10. 0

In the first experiment, 10 rpm sinusoidal speed reference is
chosen for testing CSM and FSM controllers. As shown in Fig.
3 and Fig. 4, the FSM controller has fast rise time at the -0.2
reference input in comparison with CSM controller. Although 0 5 10 15 20 25
Time (sec)
both controller have similar reference tracking capabilities and
it is seen that the CSM controller is less sensitive to follow the Fig. 4. Fractional sliding mode 10 rpm sinus ref.
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1000 1000 Reference

Speed (rpm)
Speed (rpm)
Measured
0 0
Reference
Measured
-1000 -1000
0 5 10 15 20 25 0 5 10 15 20 25
10 10
Command
V (volt)
V (volt)
0 0
Command
-10 -10
0 5 10 15 20 25 0 5 10 15 20 25
Fig. 5. Continuous sliding mode 1000 rpm sinus ref. Fig. 8. Fractional sliding mode 1000 rpm sinus ref.
10 10 Reference
Speed (rpm)
Speed (rpm)
Reference
Measured
Measured
0 0
-10 -10
0 5 10 15 20 25 0 5 10 15 20 25
0.2 0,2
Command
Command
V (volt)
V (volt)
0 0
-0.2 -0,2
0 5 10 15 20 25 0 5 10 15 20 25
Fig. 6. Continuous sliding mode 10 rpm trapezoidal ref. Fig. 9. Fractional sliding mode 10 rpm trapezoidal ref.
1000 1000 Reference

Speed (rpm)
Speed (rpm)
Reference
Measured
Measured
0 0
-1000 -1000
0 5 10 15 20 25 0 5 10 15 20 25
10 10
Command Command
V (volt)
V (volt)
0 0
-10 -10
0 5 10 15 20 25 0 5 10 15 20 25
Fig. 7. Continuous sliding mode 1000 rpm trapezoidal ref. Fig. 10. Fractional sliding mode 1000 rpm trapezoidal ref.
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V. CONCLUSIONS [9] Derdiyok, A., Guven, M. K., Inanc, N., Rehman, H. U., & Xu, L. “A
DSP-based indirect field oriented induction machine control by using
In this paper, an experimental study on the application of chattering-free sliding mode,” In National Aerospace and Electronics
CSM and FSM controllers to a BLDC motor under the Conference, NAECON 2000. pp. 568-573, 2000
different speed references was presented. The experimental [10] Nguyen, D., Sliding-Mode Control: Advanced Design Techniques, Phd
Thesis, University of Techology, Sydney, 1998
results show that the FSM controller shows better steady state [11] Hung, J.Y., Gao, W., ve Hung, J.C. “Variable structure control: A
performance with better rise time, smaller speed error and survey”, IEEE Transactions on Industrial Elect., Vol 40, No 1, 2–22,
having less overshoot when it compared to the responses of 1993
CSM. To conclude, the applied FSM controller results in [12] Eker, İ.,“Sliding Mode Control with PID Sliding Surface and
Experimental Application to An Electromechanical Plant”, ISA
better responses than CSM controller to control the speed of Transactions,vol.45,pp.109-118,Number 1, January 2006
the BLDC motor under changing references. [13] Özdal, O.,“Model Dayanaklı Kayan Kipli Denetim”, Master Thesis,
Hacettepe Üniversitesi FBE, Ankara ,2008.
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[1] Allan R. Hambley, Electrical Engineering: Principles and Application, SAU FBE, Sakarya , June 2009
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[2] Lee, C. K., and W. H. Pang. "A brushless DC motor speed control and implementation of sliding mode controller with varying boundary
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[3] Yu, G-R and Hwang, R-C. “Optimal PID speed control of brush less [16] A.Levant, “Chattering Analysis,” IEEE Transactions on Automatic
DC motors using LQR approach,” In: Systems, Man and Cybernetics, Control,Vol.55, pp. 1380-1389, 2010.
2004 IEEE International Conference on. IEEE, 2004. p. 473-478. [17] T. Floquet, S. K. Spurgeon and C. Edwards, “An Output Feedback
[4] Navidi, N., M. Bavafa, and S. Hesami. "A new approach for designing Sliding Mode Control Strategy for MIMO Systems of Arbitrary
of PID controller for a linear brushless DC motor with using ant colony Relative Degree,” International Journal of Robust and Nonlinear
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Conference. IEEE, pp.1-5, 2009. [18] Derdiyok, A. and Başçi, A. , “The application of chattering-free sliding
[5] Chen, Jessen, and Pei-Chong Tang. "A sliding mode current control mode controller in coupled tank liquid-level control system,” Korean
scheme for PWM brushless DC motor drives," IEEE transactions on Journal of Chemical Engineering, 30(3), pp.540-545, 2013
Power Electronics14.3 pp. 541-551, 1999 [19] Soysal, Birol. "Real-time control of an automated guided vehicle using
[6] B. Moshiri, M. Jalili-Kharaajoo, F. Besharati, "Application of fuzzy a continuous mode of sliding mode control." Turkish Journal of
sliding mode based on genetic algorithms to control of robotic Electrical Engineering & Computer Sciences 22.5, pp.1298-1306, 2014
manipulators", Emerging Technologies and Factory Automation, Vol. [20] K. Jezernik, M. Rodic, R. Safaric and B. Curk, B., “Neural network
2, pp. 169 – 172, 2003 sliding mode robot control,” Robotica, 15(1), pp. 23-30, 1997
[7] Wang, W., et al. "Design of a stable sliding-mode controller for a class [21] A. Sabanovic, K. Jezernik and K. Wada,” Chattering-free sliding
of second-order underactuated systems." IEE Proceedings-Control modes in robotic manipulators control.” Robotica, 14, 17, 1996.
Theory and Applications 151.6, pp. 683-690, 2004 [22] A. Derdiyok and M. Levent, "Sliding mode control of a bioreactor."
[8] Vadim, I. Utkin. "Survey paper variable structure systems with sliding Korean J. Chem. Eng., 17(6), 619 ,2000.
modes,"IEEE Transactions on Automatic control 22.2, pp. 212-222, [23] I. Podlubny, Fractional Differential Equations, Academic Press, San
1977 Diego, California, 1999.
[24] I. Podlubny, “Fractional-order systems and PI D controllers”, IEEE
Transactions on Automatic Control, vol. 44(1), pp. 208–214, 1999
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Design Of An Automated Device Programming

System
Hakan Yeşiltepe*1, Mesud Kahriman*2, Özlem Coşkun*3
#
Süleyman Demirel University Electronics &Communication Engineering
32260 Isparta, Turkey
1
hakanyesiltepe@gmail.com, {2mesudkahriman, 3ozlemcoskun}@sdu.edu.tr
Abstract— The purpose of this study is to design a 3 axis It is clear that there are high expectations as to the future
automated programming machine for programming devices such potential of robotics, even euphoric ones and somewhat
as microcontrollers, EPROMs and CPLDs. While programming unrealistically utopic [3]. On the other side, there are sceptical
numerous devices, an automated system is needed. For his views, seeing robotics as one of the most powerful
purpose, a prototype system is designed with 3 axis. The system
technologies of the 21st century, together with genetic
consists of electronics, mechanics and vacuum parts. All of these
are controlled by ATMEL’s ATMEGA128 8 bit microcontroller engineering and nanotech [4] threatening to make humans an
using C language. In this study, microcontrollers are endangered species. A more moderate and realistic, but still
programmed which have 44 pins with TQFP package. With some fascinating approach has been taken by a study group,
modifications on hardware and software, the designed machine is comprising of experts from engineering, medical,
able to program the devices which have different packages. philosophical and legal sciences, discussing the provoking
Thanks to the user interface software, programming results question whether humans could be substituted by robots [5].
which of the devices are programmed and which are not) can be
seen on PC.
II. LITERATURE REVIEW
Keywords— Microcontroller, Robotic, Automated programming The work shows the application of the manipulator to a
printed-circuit-board driller system. The manipulator uses DC
I. INTRODUCTION motors with permanent magnets. The design of the
manipulator is based on microcontrollers to control the speed
Robotics is a science that combines the technology and and position of the motors by using full bridge DC-DC
knowledge. Owing to the fast development of technology, the converters with a pulse-width-modulation technique. The
term robot, as an automatic machine that replaces humans, is designed manipulator includes a PC that works as a user
not so clearly defined anymore. A robot is no longer just a interface to load the file with the numeric control format for
humanoid robot, robotic hand at an auto assembly line, the driller. From this information, the PC generates the
autopilot in aircraft, artificial intelligence built of living required position and speed commands for each
neurons or simple cleaning robot; it is also computer software servomechanism. The works describes in detail the software
that completes works. meant for humans. It is known that and hardware designed to measure and control the speed and
robots are built to replace humans at certain works [1]. the position of each servomechanism [6].
The word “robot” was created in the twenties by Czech poet, This work focuses on hardware and software interfacing for
Karel Capek, in one of his plays, a play that ended tragically. robot arm controller application. The aim of this study is to
In the forties, another writer, Isaac Asimov, made robots the design and build a control system for position control for
leading figures in his utopian novels. Since these times, robots robot arm with an FPGA chip. This is closed loop control
have been subjects of imagination. The reality of industrial system. In which controller, drive circuits and the sensor
robots only came in the sixties when Joseph F. Engelberger circuit plays important role.
introduced the PUMA robot as a freely programmable, Plus Width Modulation (PWM) is used to control the speed
universal, handling device. With it came automation in of DC motor. The hardware functional block is to be design in
manufacturing industry, economic issues, and social concern software module with the help of VHDL coding. This
about human labour replaced by machines. The versatility of hardware and software co-design is for five axes OWI 535
these robot machines has been increasing, largely due to their arm robot model for the movement of robot arm for pick and
continuously increasing ability of information processing. The place application. The interfacing of different hardware blocks
main goal was the autonomous robot. But, as the application with software module for real time application is very
field for robots is widening, and the robot is coming out of the challenging and demanding in every field to achieve better
factory halls, new challenges are seen, and even a change of command over control through software only without
paradigm is taking shape [2]. disturbing the hardware. It reduced the manufacture time,
performance, accuracy and lifetime of the particular system
[7].
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The position control algorithm for a belt-driven

servomechanism of a laser cutting machine is described. A
high-accuracy position tracking control procedure for systems
with inherent elasticity due to the low-cost belt-driven
servomechanism is derived based on a continuous sliding
mode technique. The aim to robust position tracking control
algorithm was tested by simulations and used in the industrial
application of a motion controller for the CNC machine.
Simulation and experimental results are also reported [8].
The goal of this study is to design a 3 axis automated
microcontroller programming robot (AMPR) design were
carried out.
III. MATERIAL AND METHODS

In this study is provided to program automatic way of
programmable integrated circuits such as microcontroller,
CPLD in. In the figure 1, automatic microcontroller
programming robot (AMPR)’s block diagram is shown.
Figure 2 shows a completed state.
Fig 2. Automatic microcontroller programming robot
AMPR is consist of three axis; X, Y and Z. The movement

of the X and Z axes with DC motor and Y-axis was carried
out by using bipolar stepper motor (Figure 3 and Figure 4).
Located on the microcontroller to be programmed with the aid
of a vacuum tip to get from where it is the task of the Z-axis.
In addition to the programming socket and programmed into
the microcontroller it is also responsible for the drop to the
point where the first received. The task of the X axis, the
horizontal axis of the hosts on the Z-axis is to move left and
right. The Y axis is to be programmed by moving back and
forth on the horizontal axis provides the movement of the tray
with the microcontroller.
Fig 2. Movement of the X-axis provides DC motor

Fig 1. AMPR block diagram
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TABLE 1. AMPR TECHNICAL SPECIFICATIONS
Input voltage 170-250 V AC, 50/60 Hz

Weight 11,6 kg
Dimension (cm) 50 x 80 x 45
Power consumption 15 W
The number of axis 3
X axis speed 8 cm/sn
Y axis speed 1 cm/sn
Z sxis speed 3 cm/sn

Programming connector TQFP-44 (changeable)
Programming card PICKIT3 (changeable)
Communication port RS-232
Interface software Labview
Programming capacity Up to 180 hours
Fig 3. Movement of the Z-axis provides DC motor
Automatic operation of the system is generated by the C
The X and Z axis that the movement of the DC engines programming language is provided with the control algorithm.
L293D is controlled by the engine drive [9,10]. Y axis
movement of bipolar step motor A3967 microstep engine is The typology of the programming of a single
controlled by the driver (Allegro-Microsystems). The X and Z microcontroller stages are listed below.
axis reaches the end of the axis of the motors stopped and
carry out the necessary operations to the position sensors are 1) Placing the device that is to be programmed microcontroler
used. The Y axis of the stepper motor is used for the position 2) Initial settings
of the sensor on the front of the engine are not required. 3) Programming the microcontroller
Initially only Y axis position during the programming of the 4) Putting the microcontroller from which it was first
mandate of the position sensor is used. 5) The next transition to the microcontroller
The design firm produced by the ATMEL ATMEGA128
for portable measurement equipment is used [9]. Engines, In the first of the two leading operations once the single
LCD, vacuum pump, RS232 communication, relays, switches time is made in the initial phase.
the limit switches and the PICKIT3 programming card
provides the control. All of these are controlled by ATMEL’s
ATMEGA128 8 bit microcontroller using C language [10,11]. IV. CONCLUSIONS
In this study, microcontrollers are programmed which have In this study is to design a 3 axis automated programming
44 pins with TQFP package. Programming board is used machine for programming devices. While programming
PICKIT3 [12]. With some modifications on hardware and numerous devices, an automated system is needed. For his
software, the designed machine is able to program the devices purpose, a prototype system is designed with 3 axis. The
which have different packages. Thanks to the HEX code is system consists of electronics, mechanics and vacuum parts.
carried out without the need for computer programming. Designed as a prototype AMPR instead of the desired
Designed as a prototype of the AMPR in its present form it functions of the program to the microcontroller has
is capable of up to 20 programming. Some changes to the automatically. The modern structure, we can easily modify the
present design programming capacity up reach 160 at one possibility of functions and add some our new functions. The
time. Software, hardware and mechanical sections can be price the machine is a good choice for inventions and new
programmed to a variety of some of the amendments to the applications in human life. We hope that this effort will prove
integrated circuits can be programmed on the device. useful for future robotics endeavours.
ATMEGA128, power supplies, relay board and the engine
drives the cards such as the module is used as the ready REFERENCES
[13].The results of the programming for display on the [1] Christaller, T., et al., “Robotik – Perspektiven für menschliches
Handeln in der zukünftigen Gesellschaft”, Wissenschaftsethik und
computer and LabView graphical programming language is Technikfolgenbeurteilung Band 14, Springer-Verlag Berlin, 280, 2001.
used. Thanks to the generated interface program operation is [2] Schweitzer, G., “Embedded Robotics – Ideas on the Future of
completed successfully how many microcontroller can be seen Robotics”, Proc. X DINAME, Internat. Symp. on Dynamic Problems
on the programmed. Belonging to the AMPR specifications of Mechanics, Edited by P.R.G. Kurka and A.T. Fleury, Ubatuba SP,
March 10-14, pp. 13-21, 2003.
shown in Table 1. [3] Moravec, H., “Mind children: The future of robot and human
intelligence”, Cambridge, 1988.
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[4] Joy, B., “Why the future doesn’t need us”, Wired Archive 8.04,
http://www.wired.com/wired/archive/8.04/joy.html, 1999.
[5] Christaller, T., Cognitive robotics. A new approach to artificial
intelligence, Artificial Life and Robotics, 3, 1999.
[6] Zavala, S. R., & Cardiel, X. A microcontroller-based 3-axis
manipulator applied to a printed-circuit-board driller system. Paper
presented at the Industrial Electronics, 2000. ISIE 2000. Proceedings of
the 2000 IEEE International Symposium on, 2000.
[7] Meshram, U., Bande, P., & Harkare, R. Hardware and Software Co-
design for Robot Arm Position Control Using VHDL and FPGA. Paper
presented at the Advances in Recent Technologies in Communication
and Computing, 2009. ARTCom'09. International Conference on, 2009.
[8] Hace, A., Jezernik, K., Curk, B., & Terbuc, M. Robust motion control
of XY table for laser cutting machine. Paper presented at the Industrial
Electronics Society, 1998. IECON'98. Proceedings of the 24th Annual
Conference of the IEEE, 1998.
[9] ATMEL. ATMEGA128 Datasheet Retrieved 21.04.2015, from
http://www.atmel.com/Images/Atmel-8151-8-bit-AVR-
ATmega128A_Datasheet.pdf
[10] Barnett, R., Cox, S., & O'Cull, L. Embedded C programming and the
Atmel AVR: Cengage Learning, 2006.
[11] Mazidi, M. A., Naimi, S., & Naimi, S. AVR Microcontroller and
Embedded Systems: Using Assembly and C: Prentice Hall Press, 2010
[12] Microchip. PICkit 3 Programmer/Debugger User's Guide Retrieved
21.04.2015, from
http://ww1.microchip.com/downloads/en/DeviceDoc/PICkit_3_User_
Guide_51795A.pdf
[13] National-Semiconductor. LM2596S Datasheet Retrieved 21.04.2015,
from
http://pdf.datasheetcatalog.com/datasheet/nationalsemiconductor/DS01
2583.PDF
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High Gain Microstrip Patch Antenna Array Design

For ISM 2450 MHz
Abdülkadir Çildir*1, Özlem Coşkun*2, Mesud Kahriman*3
#
Süleyman Demirel University Electronics &Communication Engineering
32260 Isparta, Turkey
1
kadircildir@gmail.com, {2ozlemcoskun, 3mesudkahriman}@sdu.edu.tr
Abstract— A coplanar waveguide (CPW) fed patch antenna rectenna with compact structure for communication systems.
array is proposed in this paper. The resonance frequency of An aperture-coupled dual polarization patch antenna is
antenna is 2.47 GHz and is inside of ISM 2.45 GHz band. The utilized as the receiving antenna. The max gain of antenna has
dimension of proposed antenna is 230 mm x 91.5 mm. For been reported 7.0dBi @6.1 GHz [12].
substrate the material used is Roger 5870. The relative
The proposed antenna has been designed and successfully
permittivity of the substrate material is 2.33. For increasing the
gain, an array antenna has been designed. The antenna gain achieved outstanding performance within operating frequency
reachs up to 12 dB. The working has been simulated in the HFSS of 2.45 GHz. Moreover, such antenna manage to achieve
Ansoft. The reflection coefficient has been measured by Agilent minimum reflection coefficient of S11 < -10dB which is
Network Analyzer. The proposed antenna can be used in suitable for industrial, scientific and medical (ISM) band
applications necessaried high gain such as wireless power applications. The length of proposed antenna is 230 mm and
transmission the width is 91.5 mm
Keywords— Antenna, High gain, Antenna array, Microstrip II. GEOMETRY OF DESIGNED ANTENNA
patch antenna The antenna has been fabricated on a 1.6mm thick
RT/Duroid 5870 substrate with a dielectric constant of 2.33
I. INTRODUCTION
and loss tangent of 0.0012. Fig.1 is the proposed high gain
Antenna is the transitional structure between free space and microstrip patch antenna array. For antenna simulation has
a guiding device. The guiding device or transmission line may been used Ansoft HFSS.
take the form of a coaxial line or a waveguide, and it is used
to transport electromagnetic energy from the transmitting
source to the antenna, or from the antenna to the receiver [1]. a
Antennas are very important element of electromagnetic
communication. An antenna performance can be described
with some parameters. The resonance frequency describe the
antennas working frequency. The researches of antenna are
intensive in ISM Bands. Many of ISM Band centre b
frequencies are, 13.56MHz [2], 433.92MHz [3], 2.45GHz [4],
5.8GHz [5]. In other hand these antennas have different
structures.
In the some application bandwidth is an important
parameter [6] but in the other applications antenna gain may
be more important parameter [7]. An application where
antenna gain is important may be done array antenna working
[8, 9].
Huang et al. has proposed an antenna design for triple-band
biotelemetry with data telemetry (402 MHz), wireless
powering transmission (433 MHz), and wake-up controller First
(2.45 GHz). The prototype of the rectenna was fabricated on a Second Feeding Part Impedance
Roger 3210 substrate. The antenna type was PIFA and Impedance
antenna gains were -7dB @402MHz, -11 dB @433MHz and -
Matching
Matching Part
15dB @2450MHz [10]. Ali et al. has proposed a circularly
polarized (CP) microstrip patch antenna that is function as a Part
WLAN antenna in the 5.15–5.35 GHz and as a rectenna at 5.5
GHz. The antenna is 14.8 mm by 14.8 mm by 3 mm in size Fig. 1 Coplanar feeded patch antenna array
which can be readily integrated within a sensor circuit board
[11]. Yang et al. presented two-port printed microstrip The antenna is detailed in 3 parts. Fig. 1 present the feeding
part, fig. 2 present the first Impedance matching part and fig. 3
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present the second Impedance matching part of prosed The parameters in fig. 1, fig.2, fig. 3 and fig 4 given is
antenna. bellow descripted; a=39mm, b=48mm, c=2,5mm, d=4,25mm,
e=12,5mm, f=6mm, g=3mm, h=4mm,i=7mm,j=7mm, k=4mm,
c l=3mm, m=5mm. The general dimension of proposed antenna
is 230 mm x 91.5 mm. The Photograph on fabricated coplanar
d feeded patch antenna array is given in fig.5.
III. RESULTS
The high gain microstrip patch antenna array has been
fabricated and the S11 (return loss) parameter has been
measured with Agilent Technologies Field Fox Microwave
Fig. 2 Feeding part of coplanar feeded patch antenna array
Vector Network Analyser N9926A. Fig.6 shows the S11
results comparatively of the designed antenna as simulated
e values with Ansoft HFSS and measured values network
analyser. The S11 value approximates to -14dB for 2.48 GHz.
i f The Bandwidth is from 2.48GHz to 2.51GHz about 30MHz.
-3
j hg
S11(dB)
-6
-9
Fig. 3 First Impedance Matching part of coplanar feeded patch antenna array HFSS
-12
Meas
-15
m 2,35 2,4 2,45 2,5 2,55
Freq (GHz)
Fig. 6 Simulated and measured return loss value of coplanar feeded patch
antenna array
The antenna gain pattern is drawn with Ansoft HFSS. The

max gain is 12 dBi for z direction.
k
l
Fig. 4 Second Impedance Matching part of coplanar feeded patch antenna
array
Fig. 6 Simulated gain pattern of coplanar feeded patch antenna array
The comparatively results with previous works are given in

Table 1.
Fig. 5 Photograph on Coplanar feeded patch antenna array
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TABLE I [6] H. Mosallaei and K. Sarabandi, "Antenna miniaturization and

Previous Works Freq. Substrate S11 Gain Dimension bandwidth enhancement using a reactive impedance substrate," IEEE
Transactions on Antennas and Propagation, vol. 52, pp. 2403-2414, 2004.
(GHz) (dB) (dB) (mm) [7] A. P. Feresidis and J. Vardaxoglou, "High gain planar antenna using
Rectenna optimised partially reflective surfaces," IEE Proceedings-Microwaves,
Application of Antennas and Propagation, vol. 148, pp. 345-350, 2001.
Miniaturrized 2.45 Roger -28 -1 10 x 10 [8] Y. Ünver, M. Neşeli, and M. Kahriman, "Wireless power transfer with
Implantable Antena 3210 2× 2 array rectenna," in 2015 23nd Signal Processing and Communications
Design for Triple- Applications Conference (SIU), 2015, pp. 2573-2576.
Band Biotelemetry [9] N. Shinohara and H. Matsumoto, "Experimental study of large rectenna
array for microwave energy transmission," IEEE Transactions on Microwave
Communication[10]
Theory and Techniques, vol. 46, pp. 261-268, 1998.
A new circularly [10] F.-J. Huang, C.-M. Lee, C.-L. Chang, L.-K. Chen, T.-C. Yo, and C.-H.
polarized rectenna Luo, "Rectenna application of miniaturized implantable antenna design for
for wireless power 5.5 Duroid -15 7.6 14.8 x 4 triple-band biotelemetry communication," IEEE Transactions on Antennas
transmission and 5880 and Propagation, vol. 59, pp. 2646-2653, 2011.
data [11] M. Ali, G. Yang, and R. Dougal, "A new circularly polarized rectenna
communication[11] for wireless power transmission and data communication," IEEE Antennas
and Wireless Propagation Letters, vol. 4, pp. 205-208, 2005.
A Switchable UWB
[12] X.-X. Yang, C. Jiang, A. Z. Elsherbeni, F. Yang, and Y.-Q. Wang, "A
Slot Antenna using novel compact printed rectenna for data communication systems," IEEE
SIS-HSIR and SIS- 5.5 Arlon -13.5 -5.3 32 x 24 Transactions on Antennas and Propagation, vol. 61, pp. 2532-2539, 2013.
SIR for Multi – AD270 [13] Y. Li, W. Li, and W. Yu, "A Switchable UWB Slot Antenna using SIS-
Mode Wireless HSIR and SIS-SIR for Multi-Mode Wireless Communications Applications,"
Communications Applied Computational Electromagnetics Society Journal, vol. 27, 2012.
Application[13] [14] T. Wu, H. Su, L. Gan, H. Chen, J. Huang, and H. Zhang, "A compact
A Compact and and broadband microstrip stacked patch antenna with circular polarization for
2.45-GHz mobile RFID reader," IEEE Antennas and Wireless Propagation
Broadband
Letters, vol. 12, pp. 623-626, 2013.
Microstrip Stacked
Patch Antenna With 2.45 εr1=10 -57 6.32 58 x 58
Circular Polarization εr1=2.65
for 2.45-GHz
Mobile RFID
Reader[14]
This Work 2.45 Duroid -14 7 230 x 91.5
5870
IV. CONCLUSION
In this work, high gain microstrip patch array antenna has
been designed and fabricated that can operates at 2.45 GHz
for ISM applications. Measured and simulated results show
that the designed antenna has good performance over a
bandwidth of 2.47–2.5 GHz. The gain has been measured a
successful value such as 12 dBi for the designed antenna. The
antenna has had an excellent performance of high gain. The
proposed antenna can be used for energy harvesting and
wireless power transfer applications.
REFERENCES
[1] C. A. Balanis, Antenna theory: analysis and design: John Wiley &
Sons, 2016.
[2] V. Fiore, P. Battiato, S. Abdinia, S. Jacobs, I. Chartier, R. Coppard, G.
Klink, E. Cantatore, E. Ragonese, and G. Palmisano, "An integrated 13.56-
MHz RFID tag in a printed organic complementary TFT technology on
flexible substrate," IEEE Transactions on Circuits and Systems I: Regular
Papers, vol. 62, pp. 1668-1677, 2015.
[3] M. Kahriman, "Tangent circles antenna design for RFID applications in
ISM 433 MHz," OPTOELECTRONICS AND ADVANCED MATERIALS-
RAPID COMMUNICATIONS, vol. 8, pp. 127-130, 2014.
[4] A. Kaya, I. Kaya, and H. E. Karaca, "Radio Frequency U‐Shape Slot
Antenna Design with Niti Shape Memory Alloys," Microwave and Optical
Technology Letters, vol. 55, pp. 2976-2984, 2013.
[5] C. Baytöre, M. Palandöken, A. Kaya, and Y. Zoral, "Compact
multiband MIMO antenna designs and analysis for 2.4/5.2/5.8 GHz WLAN
MIMO systems," in 2015 23nd Signal Processing and Communications
Applications Conference (SIU), 2015, pp. 2082-2085.
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Separation of Wheat Seeds from Junk in a Dynamic

System Using Morphological Properties
Esra KAYA*, İsmail SARITAŞ*, İlker Ali Özkan+
*
Electrical and Electronics Engineering, Faculty of Technology
Selcuk University Alaeddin Keykubat Yerleskesi Selcuklu, Konya, 42075 Turkey
esrakaya@selcuk.edu.tr
isaritas@selcuk.edu.tr
+
Computer Engineering, Faculty of Technology
Konya, Turkey
Abstract— Wheat is the main food source of the humankind. After eliminate all those adverse conditions mentioned. With rapidly
its harvest, it goes through many procedures from its separation developing computer technologies, machine vision systems and
from chaff to its packaging. With the development in technology, image processing techniques have become one of the most
many of these procedures are realized with automatic systems popular research areas in wheat inspection and classification,
which saves the manufacturer the cost of labour, time and
because they have the ability to visually characterize wheat
provides the customer with more quality food. One of the main
concerns of quality food production is to provide a customer with grains by their physical attributes and the process is objective,
the product in its purest form which means the product must be speedy, most efficient, cheap, repeatable and harmless to wheat
separated from all foreign matters. In this study, type-1252 durum seeds [2], [3].
wheat seeds have been separated from junk using the Through the last years, many researchers have evaluated
morphological properties of wheat seeds through the machine vision and image processing techniques if they really
uncompressed video image taken with the camera Prosilica meet the expectations for the inspection and classification of
GT2000c. The main references for the quality measurement of the quality of wheat. There have been many studies about the
wheat seeds are the shape and the dimensions of a wheat seed. determination of the properties of single wheat seed, separation
Aiming for high quality wheat grain storage with no junk, this
of one type wheat from another or identification of damaged
article has adopted various image processing techniques from
image preprocessing to feature extraction. The image processing wheat seeds, but there have not been many researches about
has been realized in a computer environment and the results show separating the wheat seeds from non-wheat seeds [1]. In a study
that the image processing is successful and the detection of wheat conducted by Pourreza et al., nine different wheat classes
seeds from junk was accurate. growing in Iran have been classified according to their textural
properties extracted from Gray Level, GLCM (Gray Level Co-
Keywords— BlobAnalysis, Feature Extraction, Image Processing, occurrence Matrix), GLRM (Gray Level Run-length Matrix),
Junk, Morphological Properties, Segmentation, Wheat Seed, LBP (Local Binary Pattern), LSP (Local Similarity Pattern) and
LSN (Local Similarity Numbers) matrices and classified using
LDA (Linear Discriminate Analysis) [4]. Xia et al. classified a
I. INTRODUCTION single type wheat with regards to its quality by accounting its 7
Food supply is one of the most essential materials for the morphological properties and 6 colour properties [3]. In an
survival of human beings. Wheat, which is the most article written by Güneş et al., it is explained the varieties of
fundamental material of amylaceous products like bread and wheat growing in Turkey are classified according to its textural
pasta, is also one of the main food supply for human beings. It analysis using GLCM and LBP methods and k-Nearest
is important for the food industry to provide quality goods Neighbour type classifier [5]. In a study conducted by Babalik
which includes wheat grains. After its harvest, wheat seeds go et al., variety of wheat classes are identified with 9
through many procedures from its separation from chaff to its morphological and 3 colour features using M-SVM (Multiclass
packaging and they are stored in warehouses to be sold at Support Vector Machines) and BPSO (Binary Particle Swarm
specified intervals [1]. The inspection and the classification of Optimization algorithm [6]. In another study, Farahani tried to
good quality wheat grains can be done by manually through a determine the best potential morphologic features to classify 5
series of instrumental or chemical analysis. Obtaining good different types of durum wheat [7]. Manickavasagan et al. tried
quality wheat product through these tests and analysis is to measure the ability of a machine vision system with a
subjective, time consuming, less efficient, costly and the safe monochrome camera to classify the different types of western
inspection of food without damaging its structure is nearly Canadian wheat types by using bulk sample analysis [8].
impossible [2], [3]. Williams et al. have evaluated two different digital image
In recent years, it has become imperative to use automatic analysis (DIA) approaches to quantifying wheat seed shape for
systems in the inspection and classification of wheat seeds to exploring trait correlations and QTL (Quantitative Trait Loci)
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mapping [9]. All these studies generally have been made with The camera views a 8 cm x 10 cm area inside the box and
the purpose of classifying different types of wheat. However, the 5 sec uncompressed video obtained from the camera is
there is also a small number of studies about purification of transmitted to the image processing computer software with an
wheat from its chaff and other impurities. One of these studies ethernet cable. The system used for this study is shown in Fig.2.
is made by Ebrahimi et al. to propose a machine vision Also, a frame sample of the video acquired is shown in Fig. 3.
automatic grading system which separates the wheat from the
impurities within [1]. The objective of another study conducted
by Paliwal et al. is to develop an algorithm which classifies 5
different types of Canadian wheats and also differentiates the
wheats from non-wheat materials [10]. In another study, FN
Chen et al. have developed an image processing algorithm
which determines black germ wheat [11]. It can be seen from
these examples that so few of the studies are about purification
of wheat from non-wheat materials. Also, all of these studies
are conducted in stationary environment and the possible
outcomes are not known for a non-stationary environment.
In this study, our objective is to obtain good quality type-
1252 durum wheat grains by separating the impurities from
wheat grains in a dynamic system using image processing
techniques. The process stages we used in this study are shown
in Fig.1.
A. Image Acquisition
The system used consists of a band-wheel system where the
durum wheat grains are moving upon, image acquisition
camera Prosilica GT2000C, and illumination apparatus with a
shady box stand for preventing the shadow formation on the
background.
Prosilica GT2000C camera is a 2.2 megapixel, RGB camera
with 2048 x 1088 resolution, CMOS type sensor, 53.7fps
maximum frame rate at full resolution and efficient operation
temperature range between -20 °C and +65 ° C [12]. The Fig. 2 Dynamic system used for acquiring video sample of durum wheat
camera has been placed atop the illumination apparatus and grains with impurities
daylight coloured powerleds have been placed around the
camera. Under the illumination apparatus there is a ground
glass around the camera lens so that the light can refract
uniformly. The camera and the light illumination apparatus has
been placed above a shady box so that the outside light does not
affect the wheat grains and shadow formation can be prevented.
Fig. 1 The process stages that were followed in the study
Fig. 3 Frame sample of the video visualizing durum wheat grains with
impurities
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B. Image Preprocessing and Segmentation After adjusting the colormap, the images are turned into gray
The obtained video has been separated into frames and all images and subjected to a 5 x 5 median filter. Median filtering
the frames have been subjected to same processes. First the is a non-linear filtering process which offers an effective noise
colormap of the images adjusted suitably after several trials so reduction without blurring the image [3]. After the filtering
that the image segmentation is successful. The image with process, the background is subtracted from the image with “top-
adjusted colormap is shown in Fig.4. hat” operation so the background noise does not affect the
image processing. The median filtered image with background
subtraction is shown in Fig. 5. Then, morphologically “open”
and “close” operations have been applied to the images to
smooth the boundaries of the objects and the images have their
contrast values adjusted to reduce edge detection errors. The
frame sample after several morphological operations is shown
in Fig. 6. Lastly, they were converted to binary images using an
appropriate threshold value. The binary image of the frame
sample is shown in Fig.7.
Durum wheat grains and other non-wheat materials reside on
the band in a random order so the grains can touch other grains
or the other non-wheat materials. While the morphological
operation “erode” can shrink the objects, thus maybe separate
them. However, if the objects are touching each other they can
still be connected despite the touching area is really small. In
such conditions, a watershed algorithm is needed. The
watershed transform is a segmentation algorithm that can
divide the image into multiple regions where the darker colours
represent a region with lower altitude and lighter colours
represent a region with higher altitude topologically [13]. Thus,
a watershed segmentation algorithm used for properly segment
all the objects from each other. To apply watershed transform
efficiently for segmentation, the first step is to apply the
distance transform which labels each existing pixel according
to the distance with the nearest boundary pixel in a binary
Fig. 4 The frame sample of the video with adjusted colormap image [13]. Although the distance transform is successful for
segmenting round and simple touching objects, it is not
successful for kernels with irregular shapes [13]. The reason
why it is not successful to segment kernels with irregular shapes
is because large number of local minima occur due to large
clusters of objects which causes over-segmentation [14]. So, in
our study, we used a watershed segmentation algorithm with
extended-minima transform to segment the durum wheat grains
where the extended-minima transform can produce markers for
objects where local minima with greater depth than h are
marked and where local minima with less depth than h are
eliminated. By using minima imposition technique, we create
minima at the specific locations associated with the markers
[14]. After this procedure, watershed segmentation is applied
which results in perfect segmentation for touching grains. The
edge detected binary sample image after watershed
segmentation with extended-minima transform is shown in
Fig.8.
C. Feature Extraction
The blob is the region of connected pixels of an object and
blob analysis is the method which investigates these regions
and provides us the information about the regions’ several
properties. It is used for feature extraction processes [15]. The
blob analysis algorithm distinguishes the pixels according to
their values and labels them into 2 categories. The foreground
Fig. 5 Median filtered image with background subtraction
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category is generally the pixels with a non-zero value and the TABLE I
FEATURES USED AND THEIR DEFINITIONS
other category is the background where the pixels with a zero
value belong. Thus, the blob analysis algorithm measures
several properties of the object regions in the image [15]. Feature Definition
After the segmentation process, blob analysis algorithm is Area Number of pixels in the region
used for the feature extraction process to measure the properties The length(in pixels) of the
Major Axis
of wheat grain regions. In our study, 9 morphological features major axis of the ellipse
are used for the separation of durum wheat grains from The length(in pixels) of the
Minor Axis
impurities. These features which are extracted directly by blob minor axis of the ellipse
analysis are area, major axis, minor axis, perimeter equivalent The length(in pixels) around
Perimeter
diameter, eccentricity. Features which can be calculated from the boundary of the region
the others are roundness, shape factor, compactness [6]. The The diameter of a circle with
Equivalent Diameter
features used for this study and their definitions are shown in the same area as the region
the Table I [6], [7], [16]. The ratio of the distance
Eccentricity between the foci of the ellipse
and its major axis length
Roundness 4.Area/π(Major Axis)2
Shape Factor 4.π.Area/Perimeter2
Compactness Sqrt(4.Area/π)/Major Axis
Fig. 6 Frame sample after several morphological operations
Fig. 8 The edge detected binary image of the frame sample after watershed
segmentation with local-minima transform
Fig. 7 Binary image of the frame sample
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III. RESULTS AND DISCUSSIONS future studies, we will use different and more efficient
After feature extraction, mean and standard deviation classification models to obtain perfect classification results.
values of the properties have been calculated. Durum wheat
ACKNOWLEDGMENT
grains are separated from the impurities by a simple algorithm
which uses the calculated results as ranges. The mean and the Appreciations to Selcuk University Scientific Research
standard deviation values of the properties is given in Table II. Projects Unit (BAP) for its support of this project.
The algorithm determines the particles which are accepted
REFERENCES
as durum wheat grains by comparing the properties of every
single object within a range specified using the mean values and
[1] Ebrahimi, E., K. Mollazade, and S. Babaei, Toward an automatic
standard deviation values of the properties. If all the properties wheat purity measuring device: A machine vision-based neural
of a single object is within the specified range, then the object networks-assisted imperialist competitive algorithm approach.
is a durum wheat grain. If not, then the object is non-wheat Measurement, 2014. 55: p. 196-205.
material. The obtained result is 73.52% accuracy for the [2] Fengnong Chen, F.C. Wheat image correction for feature
segmentation Based on color Linear CCD. in Digital Manufacturing
separation of non-wheat materials from durum wheat grains and Automation (ICDMA). 2010. ChangSha: IEEE.
which is an optimistic result for image processing of a dynamic [3] Xia, X.F., Chao; Lu, Shu-Jie; Hou, Li-Long. The Analysis of Wheat
environment, because it is much more complex than image Appearance Quality Based on Digital Image Processing. in
processing of a single image of a stationary environment. If a Environmental Science and Information Application Technology.
2010. Wuhan: IEEE.
more complex and more efficient classification algorithm is [4] Pourreza, A., et al., Identification of nine Iranian wheat seed varieties
used for the separation of durum wheat grains from impurities, by textural analysis with image processing. Computers and
than the accuracy result will be improved. Electronics in Agriculture, 2012. 83: p. 102-108.
[5] Ece Olcay Güneş, S.A., Mürvet Kırcı, Amir Kalateh, Yüksel Çakır.
Determination of the varieties and characteristics of wheat seeds
TABLE II
grown in Turkey using image processing techniques. in Third
MEAN AND STANDARD DEVIATION VALUES OF THE FEATURES
International Conference on Agro-geoinformatics 2014. Beijing:
IEEE.
Features Mean Standard Deviation [6] Babalik, A., et al., Effects of Feature Selection Using Binary Particle
Area 151,151 33,585 Swarm Optimization on Wheat Variety Classification. Advances in
Information Technology, 2010. 114: p. 11-17.
Major Axis 88,590 17,901 [7] Farahani, L., Discrimination of some cultivars of durum wheat
Minor Axis 38,357 7,077 (Triticum durum Desf.) using image analysis. International Research
Journal of Applied and Basic Sciences, 2012. 3(7): p. 1375-1380.
Perimeter 172,485 35,456 [8] Manickavasagan, A., et al., Wheat class identification using
Equivalent monochrome images. Journal of Cereal Science, 2008. 47(3): p. 518-
192,451 42,761 527.
Diameter [9] Williams, K., J. Munkvold, and M. Sorrells, Comparison of digital
Eccentricity 0,892 0,056 image analysis using elliptic Fourier descriptors and major
Roundness 0,026 0,011 dimensions to phenotype seed shape in hexaploid wheat (Triticum
aestivum L.). Euphytica, 2013. 190(1): p. 99-116.
Shape [10] Paliwal, J., et al., Cereal grain and dockage identification using
0,068 0,023 machine vision. Biosystems Engineering, 2003. 85(1): p. 51-57.
Factor
[11] FN Chen, F.C., YB Ying. Detect black germ in wheat using machine
Compactness 0,160 0,027 vision. in International Conference on Computer Distributed Control
and Intelligent Environmental Monitoring (CDCIEM). 2011.
Changsha: IEEE.
IV. CONCLUSIONS [12] Technologies, A.V. Prosilica_GT_TechMan.pdf. 2016 [cited 2016 1
Aug 2016]; Available from:
As it is shown in literature, previous studies conducted are https://cdn.alliedvision.com/fileadmin/content/documents/products/c
not about the purification of wheat from non-wheat materials ameras/Prosilica_GT/techman/Prosilica_GT_TechMan.pdf.
generally but about classification of wheat varieties. Also, the [13] Qin, Y.B., et al., Extended-Maxima Transform Watershed
Segmentation Algorithm for Touching Corn Kernels. Advances in
studies conducted in a dynamic environment are almost non- Mechanical Engineering, 2013.
existing. In this study, the objective has been to obtain good [14] Kamran Ali, A.J., M. Umair Gull, Mustansar Fiaz. Medical Image
quality type-1252 durum wheat by separating the impurities Segmentation Using H-minima Transform and Region Merging
from wheat grains in a dynamic system using image processing Technique. in Frontiers of Information Technology (FIT), 2011. 2011.
Islamabad: IEEE.
techniques. These processes are image preprocessing for image [15] R.Kiruthika, S.M., Azha Periasamy, Matching Of Different Rice
enhancement, watershed transform with extended-minima Grains Using Digital Image Processing. International Journal of
transform for segmentation and blob analysis for feature Advanced Research in Electrical, Electronics and Instrumentation
extraction. Engineering, 2013. 2(7): p. 2937-2941.
[16] MathWorks. regionprops. 2016 [cited 2016 02.08.2016]; Available
In this study, after segmentation and feature extraction from: http://www.mathworks.com/help/images/ref/regionprops.html.
processes, a simple algorithm is used for the separation of non-
wheat materials from durum wheat grains. The reason for using
a simple algorithm is because it was a start for dynamic
environments which is not the case for many researches in
literature. However, the obtained result is not bad for a start. In
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Defected Ground Structure-Based Ultra-wideband

Triangular Patch Antenna
Abdurrahim Toktas, Mehmet Yerlikaya, Enes Yigit
Engineering Faculty, Karamanoglu Mehmetbey University
70100, Karaman, Turkey
atoktas@kmu.edu.tr, myerlikaya@kmu.edu.tr, enesyigit@kmu.edu.tr
Abstract—A design of ultra-wideband monopole patch antenna is Therefore the printed forms of that designs can be
presented in this study. The design consists of a radiating successfully exploited for ultra-wideband systems. Over the
triangular patch antenna (TPA) fed through a 50 Ohm past years, several monopole antenna structures, such as
microstrip transmission line (MTL) and defected ground rectangular [10], circular [11], elliptical [12], conical [13],
structure (DGS). The triangular monopole is matched to MTL
tapered [14, 15], slot-loaded [16-18] and defected ground [19-
with inserting a thin strip line. The performance of the proposed
antenna is numerically investigated using method of moments 22] configurations, have been suggested for ultra-wideband
(MoM) and verified through measurements. Based on the applications.
measured results, the antenna operates over large frequency The popularity of defected ground structure (DGS) in
range of 2.6-18.2 GHz at -10 dB. The proposed antenna has well antenna study has increased immensely [19-22]. The DGS is
characteristics in terms of radiation pattern, peak gain and total basically obtained by properly modifying the ground plane of
efficiency across the operating ultra-wideband frequency range. a patch antenna. Thus compact designs with high
Furthermore, the antenna system is suitable for near-millimetre characteristics of especially wideband and gain can be
wave applications, since the operating band reaches to 18.2 GHz. achieved.
In this study, an ultra-wideband triangular patch antenna
Keywords—Antennas, patch antennas, antenna designing, ultra- (TPA) that consists of a triangular monopole is designed. The
wideband (UWB), defected ground structure (DGS) triangular monopole is positioned on a rectangular DGS. The
I. INTRODUCTION triangular radiating monopole patch is fed through a
microstrip transmission line (MTL). The TPA is modelled in
The ultra-wideband systems have received considerable HyperLynx 3D EM simulation software based on method of
attention in recent years due to allowing signal transmission in moments (MoM) and fabricated for measurements. The TPA
a large bandwidth with a low energy level. Radar imaging, with a small size of 23x31 mm2 operates across 2.6 GHz to
mobile and satellite communications, multimedia streaming, 18.2 GHz based on measured results.
biomedical imaging are the most important application areas
of ultra-wideband systems [1-5]. The ultra-wideband systems II. THE PROPOSED DGS-BASED TPA STRUCTURE
have been further studied especially since Federal The 3D geometry of the TPA model is depicted in Fig. 1 and
Communications Commission (FCC) approved the unlicensed its dimensions are given in Table I. The TPA structure is
use of the frequency range of 3.1–10.6 GHz for low power composed of a 14x23 mm2 triangular monopole patch fed by
emitting implementations [6]. 50 Ohm MTL and a 17x23 mm2 rectangular DGS. The
Patch antennas are widely used in the wireless systems due radiating plane is placed over a 1.6 mm height substrate with
to various advantages such as low profile, small size, light 4.4 relative dielectric constant on the DGS. Therefore, the
weight, conformability to mounting host and capability of TPA has a total dimension of 23x31x1.6 mm3. In order to
integration into the arrays. Owing to these advantages, the improve the impedance matching, a 1 mm thin strip line is
printed antennas have been integrated to the latest wireless inserted between triangular radiating patch and the MTL.
communications of wireless local area network (WLAN), long
term evolution (LTE) and worldwide interoperability for
microwave access (WiMAX) standards, and ultra-wideband
systems. Designing an appropriate antenna is the most
important part of ultra-wideband applications because it
effects the whole system performance.
There are several antenna structures that can be used for
ultra-wideband systems such as the Vivaldi antenna [7], log
periodic antenna [8], spiral antenna [9] and monopole antenna
[10-18]. Monopole designs show inherently wideband
behaviour as well as omni-directional radiation pattern. (a)
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presented in Fig. 4. From the figure, the current distributions

for these frequencies vary in similar to each other. As
mentioned above in Section III that the radiation field comes
about the facing edges, it can also be observed from the
current distributions, the source current of that radiation is
mostly concentrated at those edges. In addition, the majority
of the current intensifies at the side edges of the matching
strip line since it behaves as a resonator. This means that it
does not only match the input impedance but also highly
contributes to the radiation.
(b) (c)
Fig. 1. The 3D geometry of the TPA a) perspective view, b)

front view, c) side view
(a) (b)
TABLE I
DIMENSIONS OF THE TPA (UNIT: MM)
h W L Lg wf1 wf2 lf1 lf2

1.6 23 31 17 1 3 14.9 2.2
III. THE TPA DESIGN PROCEDURE

In design process, different patch forms are assayed in
order to achieve an ultra-wideband operation. To further
understand the evaluation of the proposed antenna system, the
designing steps are investigated in four cases: Case I, II, III (c) (d)
and IV as illustrated in Fig. 2. The simulated S11 parameters Fig. 2. The antenna designing steps: a) Case I, b) Case II, c)
related to the cases are accordingly shown in Fig. 3. In Case I, Case III, d) Case IV
the design procedure is started with a 14x23 mm2 rectangular
radiating patch fed by 50 Ohm MTL and a DGS. The DGS is
obtained by shortening the ground plane size of 31x23 mm2 to
17x23 mm2 so as to obtain an effective radiation. Since the
radiation field occurs mainly between the radiating patch and
the ground edges facing to each other, modifications on these
edges can yield a satisfactory results. Therefore, in Case II,
the radiating edges facing to the fixed DGS are triangularly
trimmed to increase the impedance bandwidth as can be seen
in Fig. 3. Once a better results are achieved by this way, the
triangular cut’s angle with the DGS is increased to further
improve the impedance matching as in Case III. Note that the
50 Ohm MTL uniformly continues from the port to the input
of the triangular radiating patch. Owing the radiation starting
from the end of DGS, a thinner strip is needed to match the
input impedance of the triangular radiating patch to the MTL.
A strip is hence designed between those in Case IV which is
the final form of the designed antenna system.
Fig. 3. Simulated S11 plots of the antenna designing steps for
IV. THE CURRENT MECHANISM OF THE TPA cases in Fig. 2
The simulated surface current distributions of the TPA at
the frequency points of 2.7 GHz, 8.1 GHz and 11.9 GHz are
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(a) Fig. 5. The photograph of the fabricated TPA
(b)
Fig. 6 Measured and simulated S11 parameters of the

prototyped TPA
VI. RADIATION, GAIN AND EFFICIENCY CHARACTERISTICS

Simulated 2D gain radiation patterns of the TPA at the
frequency points of 2.7 GHz, 8.1 GHz and 11.9 GHz are
illustrated in Fig. 7. The maximum gains are 2.14 dB (in
(c) direction of 180° on x-z plane), 2.2 dB (in direction of 185° on
Fig. 4. Surface current distributions of the TPA: a) 2.7 GHz, y-z plane) at 2.7 GHz; and 2.42 dB (in direction of 90°/270°
(b) 8.1 GHz, (c) 11.9 GHz on x-z plane), 1.9 dB (in direction of 320° on y-z plane) at 8.1
GHz. Likewise, they are 1.6 dB (in direction of 145°/215° on
V. FABRICATING A PROTOTYPE OF THE TPA x-z plane) and 0.2 dB (in direction of 45°/315° on y-z plane) at
The prototype of the TPA is shown in Fig. 5. The antenna 11.9 GHz.
model is etched with the use of a computer numerical control
(CNC) machine on a double side 1.6 height FR4 substrate
with a relative dielectric constant of 4.4 and a tangent loss of
0.017. The measurements are carried out by the agency of
Keysight Technologies N5224A PNA network analyser. The
measured S11 parameters in comparison with the simulated
ones are plotted in Fig. 6. Based on the measured results, the
TPA operates between 2.6 GHz and 18.2 GHz. It should be
noticed that discrepancies between the simulated and
measured curves might be attributed to the small mismatches
of geometry, dielectric, thicknesses, copper cladding and
feeding between the simulated models and the prototype. (a) (b)
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VII. CONCLUSIONS
In this work, we presented a compact ultra-wideband
monopole patch antenna design operating over a large
frequency range of 2.6–18.2 GHz. The monopole TPA fed via
a MTL is built on a half-length DGS. The whole antenna
system has a small size of 23x31 mm2. A thinner strip line is
inserted between the triangular monopole and the MTL to
improve the impedance matching. The proposed TPA is
verified by simulation and validated through measurement.
The TPA has superior characteristics of larger bandwidth than
(c) (d) the regulated ultra-wideband of 3.1–10.6 GHz, near omni-
directional pattern, uniform gain and high efficiency. In
conclusion, since the TPA operates up to 18.2 GHz it can be
also utilized for near-millimeter wave applications.
ACKNOWLEDGMENT
This work is supported by the Scientific Research Fund
Department of Karamanoglu Mehmetbey University under
grant no: 12-M-15.
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Speech Denoising using Common Vector Analysis in

Frequency Domain
Erol Seke#, Mehmet Hakan Durak*, Kemal Özkan#
#
Eskişehir Osmangazi University
Eskişehir, Turkey
{eseke,kozkan}@.edu.tr
*
Gazi University
Ankara, Turkey
mhdurak@gazi.edu.tr
Abstract—Signal denoising approaches on data of any dimension proposed. Therefore, brief methodology of other well-known
largely relies on the assumption that data and the noise subspace is given for comparisons.
components and the noise itself are somewhat uncorrelated. Subspace methods rely on the expectation that the noisy
However, any denoising process heavily depending on this data can be separated into two or more component where
assumption retreats when the signal component is adversely
noise can be handled more efficiently within. A Singular
affected by the operation. Therefore, several proposed
algorithms try to separate the data into two or more parts with Value Decomposition (SVD) based approach, proposed by
varying noise levels so that denoising process can be applied on Dendrinos et al. [1], uses the expectation that, after
them with different parameters and constraints. In this paper, factorization of the data into sub-data, noise energy
the proposed method separates the speech data into magnitude concentrates in vectors corresponding to smaller singular
and phase where the magnitude part is further separated into values. In the simplest denoising approach these are zeroed
common and difference parts using common vector analysis. It is and voice data is recomposed. This technique is improved by
assumed that the noise largely resides on difference part and Jensen et al. [2] for colored noise on which the former method
therefore denoised by a known algorithm. The speech data is has somewhat failed to reduce. On the other hand, their
reconstructed by combining common, difference and phase
method with high computational complexity had several
parts. Using Linear Minimum Mean Square Error Estimation
algorithm on the difference part, excellent denoising results are constraints for controlling residual noise. Ephraim et al. [3]
obtained. Results are compared with that of the state of the art in aimed to optimize the estimator that minimizes distortion
well-known speech quality measures. caused by residual noise. Noisy signal is separated into noise
and signal subspaces using Karhunen Loeve Transform (KLT)
Keywords— speech, denoising, cva, subspace, frequency domain whereby zeroing the components in noise subspace and
restructuring the signal subspace using a gain function.
I. INTRODUCTION Components in subspaces are recombined again to obtain
For decades, as cognitive science penetrated into denoised signal through inverse KLT. Mittal et al. [4] and
automation systems, voice automated applications like voice Rezayee et al. [5] expanded this work for colored noise. They
directed banking, voice signatures, intelligent homes; voice obtained better results by employing different KLT matrices
recognizing mobile-phone apps and such became both and converging covariance matrix of the noise vectors to a
possible and popular. All voice applications somewhat diagonal matrix respectively.
necessitate high quality voice signals, mostly in digital form, Common Vector Approach (CVA) is a subspace method
impetrating voice denoising algorithms. All naturally used in recognition applications. In CVA, training data
collected signals carry some noise energy weather from representing each subject to be discriminated are used to form
electronics/transmission or unrelated background signals. its own class. In a speech recognition application, ambient
Voice denoising aims to improve signal quality, voice noise, ages and genders of speakers result in differences
intelligibility or do both, achieving that with minimal loss in within a class [6]. CVA is based on the common component
signal energy. of those, basically by removing these differences within the
Although the voice denoising methods can be separated class. This component is called the common vector. It has
into two as single and multiple channel algorithms, been employed in speaker recognition [7], speech recognition
researchers mostly focused on single channel because of [8]-[10], face recognition [11], fault detection in electrical
incomparably higher number of encounters of such. Spectral motors [12], spam e-mail detection [13]. CVA has also been
subtraction, noise estimation, Wiener deconvolution/filtering, used in image denoising [14].
statistical and subspace based methods are considered as
II. COMMON VECTOR APPROACH
mainly single channel, notwithstanding the fact that they can
be and are also employed in multichannel systems. In this When differences between feature vectors in a class are
paper, a method based on common vector analysis (CVA) is removed, the remaining vector which consists of features
invariant within the class is called the common vector. A
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feature vector is then, presumed to be a sum of common and classes can be constructed by searching similar vectors within
difference components. If the number of feature vectors ( m ) a reasonable time range.
is greater than the dimension ( n ) of the vectors, then this is Since the raw vectors in speech data are selected to be
called a sufficient case ( m  n ). In the sufficient case, the sample frames of length n , the words vector and frame are
common vector is the mean vector. The insufficient case used interchangeably used within this paper.
occurs when the vector dimension is larger than or equal to
III. PROPOSED ALGORITHM
the number of vectors ( n  m ), which is the case in most
practical applications where, for example, too few image The denoising algorithm proposed in this paper relies on
blocks with many pixels each exist. In general, it covers the the intuition that the spectral content of the speech does not
setups where number of samples is less than the sample abrubtly change and changes are mostly noise related.
dimension. Since we are interested in such setups, only Approach is similar to time averaging of Fast Fourier
insufficient case of CVA is described in the following. Transform (FFT) data in digital spectrum analyzers. On the
Let the feature vectors in a pattern class be linearly other hand, the overlapping ratio is the highest in the proposed
algorithm. As illustrated in the Fig. 1, frames are picked from
independent a1 , a2 ,..., am . Each vector can be written as
original speech data stream by a sliding Hamming window of
ai  ai ,diff  acomm , i  1, 2,..., m (1) width n
where acomm and ai ,diff are common vector of the class wi  0.54  0.46cos(2 i /( n  1)) , i  1, 2,..., n (5)
which slides 1 sample for each subsequent frame. Although
and difference vector per ai respectively. The covariance not required, it is logical to select n to correspond
matrix for the class is approximately 4 ms speech data since spectral characteristics
m of speech may greatly change for longer intervals. We
   (ai  aavg )(ai  aavg )T (2) conducted some tests for determining optimal frame length, as
i 1 explained in the following section and concluded that 4 ms is
m adequate.
where aavg  1
m a i denotes the mean of the vectors in For each frame to be denoised, a class is constructed by
i 1 picking m most spectrally similar Hamming windowed frames
the class. In insufficient case ( n  m ), n  m  1 of the within its neighbourhood. Obviously entire data stream can be
eigenvalues will be zero and corresponding eigenvectors ( u j ) used for selecting the frames and constructing the class. In our
experiments, it is determined that a neighbourhood size that

span the indifference subspace B , while the remaining contains 2 n  1 frames, xi , including the current frame to
eigenvectors span the difference subspace B where B and
be denoised, is sufficient for both required number of vectors
B  are orthogonal. The common vector of the class can be for the class and reasonable computational complexity. FFT of
found by projecting any feature vector onto the indifference these 2 n  1 frames are calculated and their magnitude and

subspace B using phase components are separated as
bk  FFT {xk }
acom  P  ai , i  1, 2,..., m . (3) . (5)

pk   FFT {xk }
The projection matrix P is calculated using eigenvectors
 m  1 magnitude frames that are most similar to the
u j that correspond zero valued eigenvalues (spans B ) via magnitude frame of the current frame (the one to be denoised)
n m 1 are picked and the class is constructed with a total of m
P  uu j
T
j . (4) frames. When distances to the current magnitude frame
j 1 calculated using the Euclidean distance
The subspace methods other than CVA requires the inverse n
of the covariance matrix  [15]. However, n  m inhibits b
2
dk  k ,i  bcur ,i . (6)
the calculation of inverse of  whereas CVA does not have i 1
this problem. where bcur ,i and bk ,i are i th dimension components of the
It is expected that noise mainly reside within the difference
components when it is uncorrelated between class vectors. current and k th
magnitude frames, and are sorted from
Therefore, it is imperative to construct classes as correctly as smallest to largest, the m frames with the smallest d k are
possible. When class information of the vectors is not
available, classes should be constructed by collecting similar selected into the class member set A . Since bcur would have
vectors into a data set matrix for each evaluated vector whose zero distance to itself, it will be assigned index 1 and called
common vector is to be found. When the input data is a stream a1 as indicated in Fig. 1.
or can be handled as a stream with bounds, for example,
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m frames with dimensions n leads to an insufficient case

CVA with the most number of vectors. We noticed that, Noise largely resides in difference components ( a1,dif ).
removal of few class outliers did not have considerable effect
on the results, therefore, keeping that option in possibilities, Therefore, common component ( acom ) is kept and difference
an outlier removal operation is not performed as this would component of the current frame is denoised using a denoising
increase complexity. algorithm that involves Principal Component Analysis (PCA)
A CVA operation is performed on the set A via [15]. In fact, any denoising algorithm can be effectively used
(acom , a1, dif , aavg )  CVA( A, a1 ) (7) on a1,dif since large portion of the signal energy is still in the
as described in the previous section. aavg should be added common component, which is considered almost noise-free.
After denoising a1,dif and obtaining a1,dif , the denoised
back after the denoising.
difference frame, current denoised magnitude frame is
reconstructed via a1  acom  a1,dif . Time domain speech
... ... ... ... frame is reconstructed by adding phase information and
t applying inverse FFT.
x1 After applying the described algorithm on each frame,
first frame last frame denoised time frames are combined to build the denoised
start of second frame xi x2 n 1
x2 current frame speech data. Since the frames are overlapping, there are
several options at the recombining stage. Just adding them
onto the appropriate time location is one of them. Here a
x1 x1 weighting window can be used to increase the weight of the
x2 x2 center of the frame. In our experiments, we noted that just
... ...
xi Hamming
xi adding the frames (flat window) is sufficient and have least
... ... complexity.
x2 n 1 x2 n 1 It should be noted here that there are several parameters
FFT that can be optimized for the best performance on the speech
n
~4 ms data to be denoised; m (number of frames in classes), n
Mag Phase (frame size), PCA parameters, recombining options. However,
. since we intended an algorithm that requires no data
... ... dependent optimisation parameters, these optimizations are
keep phase performed for a large training speech data set and best logical
... ... parameter set is kept for all.
IV. EXPERIMENTS
For the experimental work on the proposed algorithm,
collect most similar a1 NOISEUS (Hu, and Loizou, 2007) speech database is used.
m mag. frames a2 NOISEUS is composed of 30 English sentences spoken by 3
male and 3 female speakers. Recordings are sampled by 8 kHz
... 16 bits with approximately 2 seconds in length. 8 different
am
a1,diff noise type (airport, crowd, car, exhibition hall, restaurant,
CVA train station, street and train) are added onto each speech data
difference aavg to obtain 4 SNR levels (0 dB, 5 dB, 10 dB, 15 dB). Noise data
denoise
acom is itself taken from AURORA database. In addition, the
using PCA common database is extended by adding 4 levels of white noise onto
the data.
denoised dif Initial experiments are conducted to determine best or
reasonable parameter values for CVA. These are; frame size,
overlap ratio and neighbourhood size from which the class
member candidates are picked. Fig. 2 shows the performance
graphics for various frame sizes and input noise levels. From
add phase
these tests, it is determined that frame size of 40 samples
IFFT next denoised frame (corresponding to 4 ms) and highest overlap ratio are adequate
for both performance and complexity. Neighbourhood size
denoised frame
... ... ... ... tests, on the other hand, were inconclusive for widths greater
t
than three frame sizes. It is seen that algorithm becomes data
denoised frames are combined using overlap & add dependent for larger search areas. In the following tests, we
Fig. 1. Flow of the proposed algorithm.
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used NW  3N as the neighbourhood size, where N is the 1. Perceptually motivated subspace algorithm [16], will
shortly be called as sub from now on.
frame size in samples. 2. Psychoacoustically motivated statistical method [17],
will be called as stat.
3. Wiener filtering algorithm based on wavelet thresholding
multi-taper spectra [18], will be called as wien.
4. A variant of minimum controlled recursive average
algorithm [19], will be named as rec.
5. Continuous spectral tracking [20], will be named as spec
in the following sections.
Performance measures used in comparisons are Perceptual
Evaluation of Speech Quality (PESQ), Log Likelihood Ratio
(LLR) and Euclidean Distance in Cepstral Domain (CEP),
most used measures in the literature.
TABLE I
COMPARISON OF 6 METHODS ON PESQ MEASURE
sub stat wien rec spec cva

0 dB 1.43 1.31 1.40 1.24 1.32 1.69
airport
5 dB 1.87 1.68 1.84 1.77 1.82 2.05
10 dB 2.23 2.09 2.24 2.20 2.26 2.40
15 dB 2.63 2.59 2.68 2.72 2.73 2.74
0 dB 1.37 1.20 1.34 1.13 1.34 1.64
5 dB 1.84 1.73 1.82 1.62 1.78 2.02
crowd 10 dB 2.23 2.16 2.25 2.24 2.24 2.39
15 dB 2.63 2.60 2.65 2.69 2.70 2.74
0 dB 1.46 1.27 1.41 1.23 1.40 1.68
5 dB 1.91 1.92 1.89 1.67 1.86 1.97
car
10 dB 2.24 2.25 2.25 2.17 2.28 2.34

15 dB 2.57 2.70 2.60 2.66 2.71 2.70
0 dB 1.42 1.29 1.39 1.15 1.31 1.62
ex. hall
5 dB 1.91 1.89 1.89 1.68 1.85 1.98

10 dB 2.25 2.17 2.25 2.21 2.28 2.32
15 dB 2.62 2.61 2.60 2.64 2.64 2.67
0 dB 1.37 1.24 1.42 1.21 1.26 1.70
restrnt
5 dB 1.84 1.74 1.83 1.71 1.80 2.02

10 dB 2.23 2.08 2.22 2.22 2.22 2.41
15 dB 2.60 2.57 2.64 2.67 2.63 2.72
0 dB 1.44 1.35 1.41 1.20 1.36 1.66
5 dB 1.88 1.87 1.89 1.75 1.83 2.07
station
10 dB 2.24 2.25 2.27 2.24 2.31 2.38

15 dB 2.53 2.61 2.59 2.65 2.66 2.72
0 dB 1.32 1.18 1.24 1.04 1.24 1.62
5 dB 1.79 1.68 1.78 1.62 1.76 2.00
street
10 dB 2.23 2.13 2.21 2.19 2.21 2.38

15 dB 2.57 2.59 2.57 2.60 2.56 2.68
0 dB 1.22 1.10 1.16 0.81 1.09 1.57
5 dB 1.86 1.67 1.75 1.42 1.65 1.92
train
10 dB 2.28 2.14 2.21 2.07 2.19 2.29

15 dB 2.64 2.63 2.62 2.64 2.63 2.65
0 dB 1.77 1.76 1.75 1.23 1.73 1.70
5 dB 2.17 2.17 2.16 1.77 2.16 2.06
white
10 dB 2.44 2.55 2.47 2.31 2.57 2.42

15 dB 2.75 2.95 2.80 2.76 2.87 2.75
1) Perceptual Evaluation of Speech Quality (PESQ)

Fig. 2. Initial test results; Input/Output SNRs for different frame sizes. Standardized by ITU-T P.862 (02/01), PESQ is a
commonly used in telecommunication. It is defined as a linear
Speech data with 9 different background noise added at 4 combination
levels are denoised using the proposed CVA algorithm with PESQ  a0  a1Davg  a2 Aavg (8)
previously determined parameters. The results are compared
against 5 state-of-the-art methods found in the literature;
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of the average disturbance value Davg and the average [23]. Lower LLR values mean higher quality speech signal. In
Table II, LLR values for CVA and other 5 methods are
asymmetrical disturbance values Aavg where a0 =4.5, a1 =- compared with boldfaces indicating the best/lowest LLR value
for a test input. It is notable that CVA is superior to the
01 and a2 =-0.0309 are the optimized for speech processed
compared methods since it generated the lowest LLR for all
through networks [21]. Table 1 gives the results for CVA background noise tests. However, for white noise cases CVA
along with sub [16], stat [17], wien [18], rec [19], spec [20] in failed to be the best even though the scores are close.
PESQ measure. Best PESQ values are marked with boldfaced CVA performed best among all methods in all PESQ tests
characters. Each number in the table is the average of PESQ except 5. That indicates about 83% success. In white noise
values for 180 recordings (30 sentences spoken by 6 cases, although not the best, CVA performed close to the best.
individuals).
TABLE IIIII
TABLE III COMPARISON OF 6 METHODS ON CEP MEASURE
COMPARISON OF 6 METHODS ON LLR MEASURE
sub stat wien rec spec cva
sub stat wien rec spec cva 0 dB 7,27 6,29 7,44 6,11 5,85 5,27
airport
0 dB 1.29 1.09 1.37 1.03 0.96 0.85 5 dB 6,47 5,57 6,54 5,42 5,27 4,52
airport
5 dB 1.10 0.92 1.16 0.86 0.83 0.66 10 dB 5,39 4,62 5,55 4,59 4,62 3,73
10 dB 0.86 0.70 0.94 0.67 0.69 0.49 15 dB 4,41 3,90 4,45 3,91 4,02 3,02
15 dB 0.66 0.56 0.72 0.54 0.56 0.35 0 dB 7,26 6,47 7,32 6,22 6,04 5,37
0 dB 1.30 1.14 1.35 1.08 1.03 0.89 5 dB 6,43 5,55 6,58 5,50 5,42 4,60
crowd
5 dB 1.10 0.92 1.17 0.90 0.88 0.70 10 dB 5,47 4,63 5,50 4,61 4,69 3,76
crowd
10 dB 0.88 0.71 0.93 0.69 0.72 0.50 15 dB 4,43 3,89 4,47 3,92 4,08 3,00
15 dB 0.67 0.56 0.72 0.55 0.59 0.36 0 dB 7,46 6,23 7,77 6,15 5,96 5,43
0 dB 1.35 1.10 1.47 1.08 1.03 0.94 5 dB 6,49 5,40 6,74 5,30 5,31 4,66
car
5 dB 1.11 0.89 1.22 0.86 0.86 0.73 10 dB 5,92 4,76 6,19 4,50 4,62 3,87
car
10 dB 0.98 0.75 1.10 0.67 0.71 0.54 15 dB 4,63 3,90 4,88 3,74 3,94 3,06
15 dB 0.71 0.57 0.82 0.51 0.57 0.37 0 dB 7,44 6,59 8,02 6,62 6,43 5,95
ex. hall
0 dB 1.34 1.19 1.52 1.17 1.14 1.06 5 dB 6,60 5,76 7,12 5,87 5,78 5,16
ex. hall
5 dB 1.13 0.98 1.31 0.98 0.97 0.85 10 dB 6,08 5,23 6,61 5,03 5,09 4,33
10 dB 1.02 0.86 1.19 0.78 0.81 0.64 15 dB 5,11 4,61 5,70 4,21 4,39 3,53
15 dB 0.81 0.74 1.01 0.61 0.66 0.47 0 dB 7,50 6,45 7,58 6,07 5,89 5,27
restrnt
0 dB 1.35 1.12 1.39 1.02 0.98 0.85 5 dB 6,19 5,42 6,21 5,29 5,18 4,52
restrnt
5 dB 1.04 0.88 1.08 0.84 0.82 0.66 10 dB 5,46 4,74 5,55 4,58 4,57 3,73
10 dB 0.88 0.73 0.94 0.68 0.68 0.49 15 dB 4,57 4,06 4,66 4,05 4,16 3,08
15 dB 0.70 0.60 0.77 0.56 0.60 0.36 0 dB 7,20 6,27 7,46 6,14 5,91 5,35
0 dB 1.28 1.10 1.39 1.06 1.00 0.89 5 dB 6,37 5,28 6,68 5,25 5,18 4,51
station
5 dB 1.08 0.87 1.21 0.84 0.83 0.68

station
10 dB 5,49 4,63 5,83 4,48 4,55 3,75

10 dB 0.89 0.72 1.02 0.66 0.69 0.50 15 dB 4,65 3,99 4,93 3,81 3,95 3,00
15 dB 0.72 0.59 0.83 0.52 0.56 0.35 0 dB 7,63 6,65 7,89 6,35 6,24 5,62
0 dB 1.39 1.19 1.48 1.09 1.07 0.94 5 dB 6,65 5,82 7,00 5,49 5,52 4,84
street
5 dB 1.16 0.99 1.28 0.89 0.90 0.75

street
10 dB 5,69 4,92 6,00 4,78 4,85 4,08

10 dB 0.93 0.78 1.05 0.72 0.75 0.57 15 dB 4,99 4,44 5,45 4,15 4,29 3,37
15 dB 0.78 0.68 0.94 0.59 0.63 0.42 0 dB 7,65 6,60 7,73 6,53 6,51 6,09
0 dB 1.41 1.18 1.43 1.14 1.14 1.05 5 dB 6,78 6,19 7,11 5,98 6,02 5,45
train
5 dB 1.20 1.06 1.28 0.99 1.01 0.88 10 dB 5,99 5,31 6,26 5,25 5,37 4,63
train
10 dB 1.01 0.86 1.10 0.82 0.86 0.68 15 dB 5,05 4,47 5,26 4,43 4,60 3,81
15 dB 0.80 0.66 0.87 0.64 0.69 0.50 0 dB 8,00 8,45 8,60 7,78 8,66 8,45
0 dB 1.44 1.50 1.64 1.36 1.49 1.43 5 dB 7,36 7,64 8,02 7,32 8,29 7,97
white
5 dB 1.30 1.27 1.52 1.22 1.37 1.26 10 dB 6,57 7,01 7,36 6,69 7,79 7,36
white
10 dB 1.11 1.12 1.36 1.03 1.23 1.07 15 dB 5,65 6,25 6,48 5,91 7,09 6,61
15 dB 0.91 0.96 1.17 0.84 1.06 0.88
3) Cepstral Distance Measure (CEP)

2) Log-Likelihood Ratio (LLR)
CEP too is based on LPCs and is defined as the distance
In LLR, distorted and denoised data are compared between LPCs of original and enhanced speech frames as
statistically [22] and is defined as
dCEP  cx , cx   6.142 l  k 1 (cx ,k  cx ,k ) 2 .
N
(10)
 c R cT  where N is the dimension of LPCs. Lower CEP values
d LLR  cx , cx   log  x x xT  . (9)
indicate higher speech quality [24]. As shown in Table III,
 cx Rx cx  proposed CVA method is superior against all other denoising
Here cx and cx are Linear Prediction Coefficient (LPC) methods for all background noise types and levels applied in
vectors of the distorted and denoised speech data respectively. tests, except for white noise cases.
Rx is the autocorrelation matrix of the distorted speech signal
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V. CONCLUSIONS IEEE Trans. On Speech and Audio Processing, vol. 9( 6), pp. 655-662,
2001.
Tests conducted on 30 sentences spoken by 6 individuals [10] M. B. Gülmezoglu, V. Dzhafarov and A. Barkana, "The Common
with added 4 levels of 8 structured background noise Vector Approach and its Comparison with Other Subspace Methods in
recordings (total of 5760 recordings per method per quality Case of Sufficient Data," Computer Speech and Language, vol. 21, pp.
266-281, 2007.
measure) let us safely conclude that the proposed CVA [11] H. Çevikalp, M. Neamtu, M. Wilkes and A. Barkana, "Discriminative
method is superior against other 5 methods. In additional tests Common Vectors for Face Recognition," IEEE Trans. on Pattern
using white noise, on the other hand, CVA has failed to be the Analysis and Machine Intelligence, vol. 27(1), pp. 4-13, 2005.
best (total of 720 recordings per method per quality measure). [12] M. B. Gülmezoglu and S. Ergin, "An Approach for Bearing Fault
Detection in Electrical Motors," European Transactions on Electrical
However, in most of the tests that CVA was not the best, its Power, vol. 17(6), pp. 628-641, 2007.
scores were close to the best. [13] S. Günal, S. Ergin, M. B. Gülmezoglu and Ö. N. Gerek, "On Feature
Extraction for Spam E-Mail Detection," Lecture Notes in Computer
ACKNOWLEDGMENT Science, vol. 4105, pp. 635-642, 2006.
[14] K. Özkan and E. Seke, "Image Denoising Using Common Vector
This research has been funded by Eskisehir Osmangazi Approach, "IET Image Processing, vol. 9(8), pp. 709-715, 2015.
University Scientific Research Commission with project no [15] L. Zhang, W. S. Dong, D. Zhang, and G. M. Shi, "Two-stage image
2015-758. denoising by principal component analysis with local pixel grouping,"
Pattern Recognition, vol. 43, pp. 1531-1549, 2010.
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properties in the signal subspace approach for speech enhancement,"
[1] M. Dendrinos, S. Bakamidis and G. Carayannis, "Speech enhancement IEEE Trans. on Speech and Audio Processing, vol. 11(6), pp. 700-708,
from noise: a regenerative approach," Speech Comm., vol. 10 (1), pp. 2003.
45-57, 1991. [17] Y. Hu and P. Loizou, "Incorporating a psychoacoustical model in
[2] S. H. Jensen, P. C. Hansen, S. D. Hansen and J. A Sorensen, frequency domain speech enhancement," IEEE Signal Processing
"Reduction of broadband noise in speech by truncated QSVD," IEEE Letters, vol. 11(2), pp. 270-273, 2004.
Trans. Speech Audio Processing, vol. 3, pp. 439-448, 1995. [18] Y. Hu and P. Loizou, "Speech enhancement based on wavelet
[3] Y. Ephraim and H. L. Van Trees, "A signal subspace approach for thresholding the multitaper spectrum," IEEE Trans. on Speech and
speech Enhancement," IEEE Trans. on Speech Audio Processing, 3, Audio Processing, vol. 12(1), pp. 59-67, 2004.
251. 166, 1995. [19] S. Rangachari and P. Loizou, "A noise estimation algorithm for highly
[4] U. Mittal and N. Phamdo, "Signal/noise KLT based approach for nonstationary environments," Speech Communication, vol. 28, pp.
enhancing speech degraded by colored noise," IEEE Trans. Speech and 220-231, 2006.
Audio Proc., vol. 8 (2), pp. 159-167, 2000. [20] G. Doblinger, "Computationally Efficient Speech Enhancement By
[5] A. Rezayee and S. Gazor, "An Adaptive KLT Approach for Speech Spectral Minima Tracking in Subbands," Proc. EuroSpeech, vol. 2, p.
Enhancement," IEEE Trans. Speech and Audio Proc., vol. 9 (2), pp. 1513-1516, 1995.
87-95, 2001. [21] Y. Hu and P. Loizou, "Evaluation of objective quality measures for
[6] S. Ergin, "The Improvement and Recognition of the Noisy Speech speech enhancement," IEEE Trans. Speech Audio Processsing, vol. 16
Parameters," M. Eng. Thesis, Eskisehir Osmangazi University, (1), pp. 229-238, 2008.
Eskisehir, Turkey, 2004, [Online]. Available: [22] S. Quackenbush, T. Barnwell and M. Clements, "Objective measures
http://ulusaltezmerkezi.com/gurultulu-ses-parametrelerinin- of speech quality," NJ: Prentice-Hall, Eaglewood Cliffs, 1988.
iyilestirilmesi-ve-taninmasi/ . [23] J. H. L. Hansen and B. L. Pellom, "An effective quality evaluation
[7] M. B. Gülmezoglu. and A. Barkana, "Text-dependent speaker protocol for speech enhancement algorithms," Int'l. Conf. on Spoken
recognition by using Gram-Schmidt orthogonalization method," Proc. Language Processing, vol. 7, pp. 2819–2822 , 1998.
of IASTED Int. Conf. on Sig. Proc. & App., 438-440, 1998. [24] N. Kitawaki, H. Nagabuchi and K. Itoh, "Objective quality evaluation
[8] M. B. Gülmezoglu, V. Dzhafarov, M. Keskin and A. Barkana, "A for low bitrate speech coding systems," IEEE J. Select. Areas in
novel approach to isolated word recognition," IEEE Trans. on Acoustic Comm., vol. 6(2), pp. 262-273, 1988.
Speech and Signal Processing, vol. 7(6), pp. 620-628, 1999.
[9] M.B.Gülmezoglu, V. Dzhafarov and A. Barkana, "The Common
Vector Approach and its relation to Principal Component Analysis,"
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Integration of Software Defined Radio and Add-on

Board into Digital Communication Education with
Hands-on Applications
Emrah GENC*, Cagdas TUNA+, Safak SARAYDEMIR+,
*
Turkish Military Academy, Defense Sciences Institute, Ankara, Turkey
egenc@kho.edu.tr
+
Turkish Military Academy, Department of Electrical Engineering, Ankara, Turkey
ctuna@kho.edu.tr,ssaraydemir@kho.edu.tr
Abstract— Owing to the theory depend heavily on mathematical reconfigurable software using digital signal processing (DSP)
models in communication lessons, instructors find students lost techniques [3].
in all the equations and notations that given. Setting a lab There are several examples of SDR based education
component for students to put together the theory with practical courses. Domain analyses such as time, frequency, joint time-
implementations is not very easy in many times because it may
frequency, code, and modulation discussed in [4]. M-ary PSK
cost a large number of equipment that is not low-priced. Yet
there are still some solutions which reduce the cost in designing a modulation and demodulation implemented in [5]. AM
real-life communication laboratory and effective in teaching. We implementation presented in [6]. Five week communication
present the usage of NI-USRP Software Defined Radio (SDR) applications programme discussed in [7].Therefore, multi-
and Emona DATEx Add-on Board on digital modulation purpose usage of SDR in communication lessons will be
techniques that take part in communication engineering educatory and preliminary for real world.
education. Most commonly used digital modulation techniques; In this study’s first part we use NI-USRP 2922 supporting
Amplitude Shift Keying (ASK), Phase Shift Keying (PSK) and frequency range of 400 MHz to 4.4 GHz with SBX
Frequency Shift Keying (FSK) are analyzed in both devices. Both daughterboard. It’s omni-directional vertical antenna provides
modulations and demodulations of mentioned techniques are
3 dBi gain for two-way high bandwidth communication. A
done by experimentally.
Gigabit Ethernet connectivity provide data streaming to host
processors enables simultaneously sending up to 50 MHz RF
Keywords— Software Defined Radio, Communication
signal in and out of the USRP device [8].
Engineering Education, Digital Modulation Techniques, USRP,
DATEx Another way of using computer hosted device in
communication education is Emona DATEx. By using it
I. INTRODUCTION students can find the opportunity to experiment the real world
In general most of the students at communication signals in lessons.
engineering start learning communication systems with the The Emona DATEx, Digital Analog Telecommunications
theory and the principles. However learning the theory and Experimenter, is an add-on which could serve as a basic
principles solely does not help students to design training board in various concepts of communication lessons
communication systems properly. They need to acquire [9]. This add-on is fully integrated with the NI ELVIS II
experimental skills beside the theoretical domain. In order to platform and is controllable through the NI LabVIEW
bridge this gap instructors use several equipments such as development environment. All DATEx knobs and switches
function generators, oscilloscopes, spectrum analyzers that is are manually controllable or programmable from LabVIEW.
not affordable many times. The NI ELVIS II is an all-in-one electronics workstation
With the development of microprocessors and software that performs the functions of instruments which are
technology, traditional equipments began to transform into conventionally found in an electrical engineering laboratory.
computer hosted devices which are low-cost, flexible and The NI ELVIS II holds a removable prototyping board on
multi-functional. As an example, SDR, offers large number of which developers can build electrical circuits which connect
tools to teach signals and communications [1]. Limits of the different ELVIS's instruments to achieve a particular
traditional equipments, students being remained at the level of experimental goal.
pre-digital area and the motivation for SDR based In communication education, examples of DATEx usage
communication education is stated clearly in [2]. SDR refers limited. Practical aspects of Direct Sequence Spread Spectrum
that analog-to-digital (A/D) conversion is performed at the (DSSS) communication discussed in [10]. AM/FM/BPSK
antenna connector, with all following signal processing signal generating experiments over the internet is presented in
(upconversion and/or downconversion, intermediate- [11]. Time and frequency domain demonstrations discussed in
frequency (IF) filtering, demodulation, etc.) performed in [12].
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II. ASK MODULATION APPLICATIONS

ASK is a form of amplitude modulation that the amplitude
of the carrier wave is shifted proportionally to the amplitude
of the digital signal. For a binary message sequence there are
two levels; a binary “0” is one amplitude and a binary “1” is
another amplitude. We can formulate ASK as;
𝑠 𝑡 = 𝐴 𝑚 𝑡 cos 2𝜋𝑓𝑐𝑡 0≤𝑡≤𝑇 (1)
where A is a constant, m(t) = 1 or 0, fc is the carrier frequency,

Fig. 2 Block Diagram of ASK Application
and T is the bit duration.
A. ASK Implementation with USRP B. ASK Implementation with DATEx

In DATEx implementation we use Sequence Generator
USRP Hardware Driver works on a variety of programming
module for the digital data. 100 kHz master signal is quite
languages, operating systems, and development environments
appropriate for the carrier frequency because in ideal ASK
such as Linux, Windows, Mac and can be used with numerous
communication system, we want the carrier frequency to be
frameworks such as GNU Radio, LabVIEW, Simulink,
much higher than the bit rate of the digital data. Generating
OpenBTS, OSSIE, Redhawk etc. In this study all applications
ASK signal is provided by Dual Analog Switch module. In
done with LabVIEW because USRP devices that we have
Fig. 3 modulation (Dotted) and demodulation (Lined) scheme
supported with licensed LabVIEW Framework.
of ASK is shown.
The basic building block of LabVIEW is the virtual
instrument (VI). Each VI consists of a block diagram and a
front panel. The block diagram describes the functionality of
the VI, while the front panel is a top level interface to the VI.
Fig. 1 shows front panel of ASK application.
Fig. 3 ASK Modulation and Demodulation Scheme
In demodulation part of DATEx implementation for getting

an envelope detector, rectifier on the Utilities module and the
Tuneable Low Pass Filter (LPF) module is used. Experimental
setup with DATEx is shown in Fig. 4.
Fig. 1 Front Panel of ASK Application
At the top of the front panel bit stream represents digital

data that is randomly produced. At the bottom of the front
panel ASK signal is located. While generating ASK signal, all
we have to do is to connect the subVIs to each other in an
order and feed them with the wires properly. But the theories
like Nyquist theorem is crucial while establishing symbol rate
values via carrier frequency. Moreover for the getting pure
ASK, sampling rate and noise impairment values must be Fig. 4 Experimental Setup with DATEx
chosen punctiliously. In Fig. 2 block diagram of the ASK
While selecting the carrier frequency there is not so many
application is shown.
options in DATEx. In Master Signals module, signals that can
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be used in an implementation are; 100 kHz sine/cosine, 2 kHz Depending the value of modulation index distortion on the
sine, 2-8 kHz digital. On the contrary in USRP students can received signal can be seen on the eye diagram easily.
use all the frequencies supported by daughterboard (400 MHz- As in Fig. 6 by changing symbol rate, alpha, filter type etc.
4.4.GHz). you can easily discover conversions in the modulated signal.
After mathematical theory, showing their importance on a real
III. FSK MODULATION APPLICATIONS life signal would be very beneficial for students.
FSK refers to a type of frequency modulation that assigns
bit values to discrete frequency levels. In other words
frequency does not fluctuate over symbol time but fluctuates
in discrete amounts in response to message. Amplitude
remains unchanged. This is a desirable characteristic for
improving the power efficiency of transmitters. In FSK
modulated signal consist of two different carriers;
𝑠1 𝑡 = 𝐴𝑐 cos 2𝜋𝑓1𝑡 (2)
𝑠2 𝑡 = 𝐴𝑐 cos 2𝜋𝑓2𝑡 (3)
One of the signal above is in response to “0” and the other

is in response to “1”.
A. FSK Implementation with USRP

LabVIEW interacts with the USRP transmitter by means of
four basic functions located on the block diagram’s palette.
Transmitter session starts with “Open Tx Session” and goes
on with “Configure Signal” used to set parameter values in the
USRP. “Write Tx Data” writes the baseband signal to the
USRP for transmission and your code should be before this
function. Then “Close Session” terminates transmitter
operation once the while loop ends. It has five basic functions Fig. 6 Front Panel of FSK Transmitter Application
at the receiver part similarly.
While generating FSK signal, if we rewrite the frequencies
B. FSK Implementation with DATEx
as a deviation from the carrier frequency then it is called For generating FSK signal in DATEx, Voltage Controlled
frequency deviation. This is excursion of the signal above and Oscillator (VCO) method is used. The Sequence Generator
below the carrier frequency and indicates the quality of signal module is used for modeling the digital data and its SYNC
as it has particular importance in relation to bandwidth. output triggering the scope to provide a stable screeen. By
We can define the bandwidth of a pulse shaping filter that using a filter we can distinguish one of the sinewave in FSK
we create in LabVIEW as; and then demodulate it with the help of a envelope detector.
For this purpose Tunable LPF module is used in recovering
𝐵𝑊 = 1 + 𝛼 ∗ 𝑅𝑠 + 2 ∗ ∆𝑓 (4)
part and then DIODE and RC LPF on the Utilities module is
where Rs is symbol rate, Δf is frequency deviation and α is used to form the envelope detector. As in Fig. 7 modulation
roll-off factor. (Dotted) an demodulation (Lined) scheme of FSK is shown.
In the receiver part of the application beside the time and
frequency domain you can use eye diagram demonstration as
in Fig 5.
Fig. 7 FSK Modulation and Demodulation Scheme
Comparator is a useful function for restoring distorted

signal. In demodulation part of the application if signal that
we recover is not clear we can use comparator function in the
Fig. 5 Block Diagram of FSK Receiver Application Utilities module either.
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As seen clearly from the block diagram, setting FSK constellation will spread around the circle. If the problem is
demodulation is more difficult in LabVIEW than the one in related to magnitude, the constellation will spread off the
DATEx. As we mentioned before some of the functions used circle, either towards or away from the origin. These graphical
in block diagram are standart while designing real signals. techniques assist in isolating problems much faster than when
And their connections seems little bit complicated. But it is using other techniques. With the help of Modulation Toolkit
obvious that USRP gives us chance to radiate our signal in the Examples in the LabVİEW library, PSK transmitter
air and demodulating/recovering a signal with additive noise application can be implemented easily as shown in Fig. 10.
is not so simple.
IV. PSK MODULATION APPLICATIONS

In PSK, information is encoded on the phase of the
transmitted carrier that changed between two values according
to the binary signal level. When encoding bits, the phase shift
could be 0 degree for encoding a "0," and 180 degrees for
encoding a "1," or the phase shift could be –90 degrees for "0"
and +90 degrees for a "1," thus making the representations for
"0" and "1" a total of 180 degrees difference. PSK is ideal
among FSK and ASK in providing the lowest average power
needed for a given bit error rate. A binary PSK signal can be
defined by;
𝑠1 𝑡 = 𝐴 cos 2𝜋𝑓𝑐𝑡 0≤𝑡≤𝑇 (5)
𝑠2 𝑡 = −𝐴 cos 2𝜋𝑓𝑐𝑡 0≤𝑡≤𝑇 (6)
These two signals have the same frequency and energy but
they have a correlation coefficient of −1.
A. PSK Implementation with USRP Fig. 10 Front Panel of PSK Transmitter Application
Our laboratory have two USRP radios, one for B. PSK Implementation with DATEx
transmission and the other one for reception. There are two
Switching halves of the PSK signal’s envelopes have the
possible configurations:
same shape as the message. So PSK generation and the
 Both radios connected to single computer (running
recovery of the data can be handled by conventional Double
both the transmitter and receiver VIs) with a dual-port Gigabit
Side Band Suppressed Carrier (DSBSC) modulation and
Ethernet interface, or using a data switch.
demodulation techniques. The Sequence Generator module is
 Each radio connected to a different computer; one
used for modelling the digital data and its SYNC output
running the transmitter VI, and the other, the receiver VI.
triggering the scope to provide a stable screen. With the help
of Multiplier module, PSK signal generated as shown in Fig.
We preferred the first one for our applications because it is
11.
better and faster for managing all the process in one screen.
Our experimental set up with USRP can be seen on Fig. 9.
Connection between the two USRP is provided with the
Multiple Input Multiple Output (MIMO) cable.
Fig. 11 PSK Modulation Scheme
By using second Multiplier and Tuneable LPF module we

Fig. 9 Experimental Setup with USRP
can easily carry out demodulation part of PSK signal.
Errors in communication design can be find easily using a
constellation view. If the problem is related to phase, the
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V. CONCLUSIONS [4] S. Guzelgoz, A. Hessam, O. Zakariaand H. Arslan, “An SDR Based

Wireless Laboratory: Introducing Multi-Dimensional Signal Analysis”
In this study we propose a new dimension for teaching Proceeding of the SDR 2008 Technical Conference and Product
communication techniques and algorithms by focusing on two Exposition.
computer hosted devices, called USRP and DATEx. ASK, [5] T. B. Welch, “Labview, the USRP, and Their Implications on Software
FSK and PSK modulation/demodulation processes presented Defined Radio” AmericanSocietyforEngineeringEducation, 2011.
[6] A.L.G. Reis, A. F. B. Selva, K. G. Lenzi, S. E. Barrbin and L. G. P.
experimentally. Our approach allows students to concentrate Meloni, “Software Defined Radio on Digital Communications:a New
their efforts on real world signals by hands-on applications. Teaching Tool”Wireless and Microwave Technology Conference
Using these devices students will be able to observe signal (WAMICON), 2012 IEEE 13th Annual, pp. 1-8.
waveforms, study the effect of noise, design components of a [7] T.B. Welch and S. Shearman, “Teaching Software DefinedRadio Using
the USRP and LabVIEW,” IEEE Int’l. Conf.Acoustics, Speech and
digital communication system. In other words replacing USRP Signal Proc., 2012, pp. 2789–92.
and DATEx with the traditional hardware-only platforms will [8] http://www.ni.com/pdf/manuals/375868a.pdf
give students a chance to link the theory with practical [9] http://www.emona-tims.com/emona-product/ni-elvis-ad-on-boards/
implementations. datex/
[10] H. Kyomugisha et.al, “A Remote Direct Sequence Spread Spectrum
Communications Lab Utilising the Emona DATEx” Remote
REFERENCES Engineering and Virtual Instrumentation (REV), 9th International
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Concepts In Communications and Signal Processing Courses” 39th [11] A.Abu-aisheh, T. Eppes, A. Y. Al-Zoubi “Implementation of aRemote
ASEE/IEEE Frontiers in Education Conference, 2009. Analog and DigitalCommunications Lab for e-Learning”, IEEE
[2] M. Petrova, A. Achtzehn, P. Mahonen, “System-Oriented EDUCON, 2010.
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with SDR Platforms,” IEEE Commun. Mag., vol. 52, no. 5, May 2014, Mwambela, “Design of a Time-Frequency Domain Analysis
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[3] P. Goodman, “A Software-DefinedRadio Project for First YearECET
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Students,” Proceedings of the 2007 ASEE Annual Conference.
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Reducing the Effect of In-Band Interference by

Using MUSIC Algorithm in Radio Channel Data
Seda Üstün Ercan1, Hülya Gökalp2
Ondokuz Mayıs University
1

Samsun, Turkey
sedau@omu.edu.tr
2
Brunel University
College of Health and Life Sciences
London, England
hulya.gokalp@brunel.ac.uk
Abstract—In this study MUltiple SIgnal Classification (MUSIC) choose to reduce the effect of interference in FMCW channel
algorithm were used to reduce the effect of interference in the data.
frequency modulated continuous wave (FMCW) channel data.
Since the interference affects a very wide band including the II. MUSIC METHOD
frequency band of interest, the classical band pass filtering did not
reduce the noise level. The challenge was do develop an
The MUSIC algorithm is a frequency estimation technique
interference reduction algorithm that reduces the noise floor in the like Pisarenko’s method. In Pisarenko, only a single
frequency band of interest. MUSIC algorithm was chosen for this eigenvector is used and taken to be a set of autoregressive
purpose. The MUSIC algorithm is the one of the subspace method coefficients, whose zeros can be found analytically or with
which is frequency estimation technique and it is more useful for polynomial root finding algorithms. In contrast, MUSIC
reducing the in-band interference than band pass filter. assumes that several such functions have been added together,
so zeros may not be present. Instead there are local minima,
Keywords— In-band interference, MUSİC algorithm, band pass which can be located by computationally searching the
filter.
estimation function for peaks. MUSIC estimates the frequency
I. INTRODUCTION content of a signal or autocorrelation matrix using an
eigenspace method [8].
An in-band interference occurs when a part of transmission
band is simultaneously used by another application. Because of We assume the received data, x(n) is a random process
interfering signals and desired signal to be transmitted are in consisting of p complex exponentials in white noise with a
the same frequency band, the interfering signals aren’t variance of  2w . Rx is the MxM autocorrelation matrix of x(n)
suppressed in the receiver. The effect of in-band interference in with M>p+1. If the eigenvalues of Rx are arranged in
chirp modulated frequency modulated continuous wave decreasing order ( 1  2  ...   M ) and if v1, v2, …,vM are
(FMCW) data is to raise the noise floor in the average power
delay profiles (APDP) [1, 2]. In channel sounding, although the the corresponding eigenvectors, then these eigenvectors can be
signal processing can be performed off-the-line, measurement divided into two groups: the p signal eigenvectors
campaigns are expensive and difficult to repeat. Since every corresponding to the p largest eigenvalues, and the M-p noise
channel data is valuable for a sound channel model, a technique eigenvectors that, ideally, have eigenvalues equal to  2w .
that alleviates the effect of in-band-interference in FMCW
The white noise variance by averaging the M-p smallest
mobile radio channel data is desirable. The basic method
eigenvalues as follow:
proposed to reduce the effect of in band interference have
included clipping the level of interference or put zero to data M
1
which has in band interference [1,3,4]. Also Minimum Norm 2w  
M  p k  p 1
k (1)
Method (MN) [5] and Prony modelling [6] of data are used to
reduce the effect of in-band interference.
The MUSIC method frequency estimation function as
Noise subspace methods are used as a frequency detection
follows [7]:
methods. For example; MUSIC, Pisarenko harmonic
1
decomposition, minimum norm and Eigen Vector (EV) [7]. The P̂MU (e jw )  M (2)
methods that based on an eigendecomposition of the
 H 2
e v i
autocorrelation matrix into two subspaces, a signal subspace i  p 1
and a noise subspace. In this study MUSIC algorithm was
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where vi are the noise eigenvectors and
e  [1 e jw e j2w ... e j(M 1)w ]T is an arbitrary vector.
The locations of the p largest peaks of the estimation

function give the frequency estimates for the p signal
Relative power (dB)

components.
Crude data noise floor
III. FMCW CHANNEL DATA

FMCW channel data is used in radio channel measurements. Clean data noise floor
FMCW is used in radar applications and radio channel
propagation measurements with success [9]. Measurements
were carried out in Manchester city of up to 5 km away in the
transmitter and receiver. Bandwidth is 60 MHz. FMCW
channel probe device output is in the form of the sum of
sinusoids of different frequencies.
Fig. 2 The change of FMCW data in the frequency domain
Channel data that there is in-band interference free is shown
in Fig. 1.a. In-band interference has let to a sudden change in
amplitude shown in Fig. 1.b. and it is also seen that the sum of IV. RESULTS
sinusoidal form is disrupted.
Firstly a classical band pass filter is attempted to reduce
the in-band interference. As a filter, third-order Butterworth
band pass filter is used. Band pass filtering results in a time
domain are shown in Fig. 3. It seems that with a band pass
filtering the signals are cleaned in the time domain.
(a)
(b)
Fig. 1 The change of FMCW data in the time domain
The change of FMCW data in the frequency domain shown

in Fig.2. As it seen in Fig.2 in-band interference has increased
an average of the noise floor. Fig. 3 Band pass filtering in the time domain
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Band pass filtering results in a frequency domain are shown V. CONCLUSIONS

in Fig. 4. The results show that band pass filtering did not work to
reduce the in-band interference. Because with a band pass
filtering, both signal and interference are taken. But the MUSIC
algorithm performed very good in terms of producing a clean
spectrum and reduced the noise floor in APDP more than 8 dB
effectively.
Relative power (dB)
REFERENCES
[1] Salous S., Gokalp H., “Medium and Large Scale Characterization of
UMTS Allocated Frequency Division Duplex Channels”, IEEE
Transactions on Vehicular Technology, 56, 5, 2831-2843-2483, 2007.
[2] Shearman E. D. R., Unsal R. R., “Compatibility of High Frequency
Radar Remote Sensing With Communication” Proc. Of the international
conf. on Radio spectrum conservation techniques, London, 1980.
[3] Brooker G. M., “Mutual Interference of Millimeter Wave Radar
Systems”, IEEE Transactions on Electromagnetic Compatibility, 49, 1,
170-181, 2007.
[4] Schipper T., Harter M., Zwirello L., Mahler T., Zwick T., “Systematic
approach To Investigate and Counteract Interference-Effects in
Automatiive Radars”, 9th European Radar Conference (EuRAD), 2012.
Fig. 4 Band pass filtering in the frequency domain [5] Gokalp H., Taflan G.Y., Ustun S., “Min-norm Method for Estimating
Delay and Doppler Profiles from FMCW Channel Data With In-band
Interference”, IET Electronic Letters, 40, 11, 799-800, 2010.
As it seen, after the band-pass filtering in a frequency [6] Gokalp H., Taflan G.Y., Salous S., “In-Band Interference Reduction in
domain, we saw that the crude data noise floor did not decrease. FMCW Channel Data Using Prony Modelling”, IET Electronic Letters,
Because when a desired data is taken by band pass filter, 45, 2, 132-133, 2009.
[7] Hayes M: H., “Statistical Digital Signal Processing and Modelling”.
interference is also taken.
John Wiley&Sons, Inc., 1996.
The reason of appear to have been cleaned signal in a time [8] https://en.wikipedia.org/wiki/MUSIC_(algorithm)
[9] Gokalp H., “Characterization of UMTS FDD Channels”, Science and
domain is the suppression of the high frequency component of Technology for the degree of Doctor of Philosophy, Department of
the signal which is out of the desired band. Electrical Engineering and Electronics, Manchester, United Kingdom,
2001.
After the band pass filter application, the MUSIC algorithm
is used to reduce in-band interference. MUSIC algorithm is
applied different values of p and M. The range of appropriate p
values were between 300-330 and M values were between 400-
450. The best result is taken by p=320 M=440 and so noise floor
is reduced 8 dB approximately with that p and M values (e.g.
Fig. 5).
Relative power (dB)
Crude data
Cleaned data
Fig.5 Performance of the MUSIC algorithm
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Measurement and Evaluation of Electromagnetic

Pollution in Samsun City Center Before and After
Deployment of 4.5G
Çetin Kurnaz1, Begüm Korunur Engiz2
1,2
Ondokuz Mayis University
Department of Electrical and Electronic Engineering
Samsun, Turkey
{ckurnaz, bkengiz}@omu.edu.tr
Abstract—There has been a substantial growth in the use of mobile will be around 130.000. Because there is a growing number of
communication services over the last few years. As a result of this base stations being placed into crowded places; measuring,
growth increase in the number of base stations, and exposed evaluating, the levels of EMR and controlling their compliance
electromagnetic radiation (EMR) levels have become inevitable. with standards/limit values has become more crucial than
Considering the public debate about possible health hazards
before. Therefore detrimental effects of EMR on human health
caused by EMR, in this study, evaluating the effect of
establishment of 4.5G systems on existing EMR levels is aimed. have been the subject of many researches [1-9] in the last
For this purpose; the total 536 EMR measurements were decade.
conducted in Samsun before and after 1 April 2016 using PMM There are international standards and limits on effects of
8053 EMR meter. It is seen from the measurements that maximum
electric field strength (Emax) is 6.32 V/m while the maximum
EMR on human health. The limits are recommended by an
average electric field strength (Eavg) is 3.26 V/m which are both international commission ICNIRP which is recognized by
below the limits (28V/m, 21V/m the minimum values for 100kHz- World Health Organization (WHO). The limits of electrical
3GHz band) that are determined by the International Commission field are shown in Table I based on ICNIRP and ICTA
on Non-Ionizing Radiation Protection (ICNIRP) and Information guidelines on exposure limits [10-11].
and Communication Technologies Authority of Turkey (ICTA).
The mean of Emaxs and Eavgs are 1.2111V/m, 0.5892/m before 4.5G,
and 1.8449V/m, 0.6628 V/m after 4.5G respectively. The results Table I Reference levels for general public exposure to time-varying
demonstrate that the deployment of 4.5G yielded up to 52.3% electric fields for ICNIRP and ICTA
increase in Emax while 12.5% in Eavg values. Even though the
measured E levels are below the limits; there is a significant
increase in them in parallel with 4.5G. It can be also predicted Electric field strength (V/m)
from the measurement results that E levels are likely to increase Frequency range
over forthcoming years, and exceed the lower limits (4 V/m) (MHz)
applied by some countries e.g. Switzerland and Italy. ICNIRP ICTA
0.010 – 0.15 87 65.25
Keywords—Electric field strength; electromagnetic (EM)
measurement; EM pollution; statistical analysis. 0.15 - 1 87 65.25
1 - 10 87/f 1/2 65.25/f 1/2
I. INTRODUCTION
10 - 400 28 21
Electromagnetic (EM) waves are radiated from many
sources, both natural and man-made, that produce 400 - 2000 1.375f 1/2 1.03f 1/2
electromagnetic pollution. In parallel with technological 2000 - 60000 61 45.75
developments, there has been a dramatic growth in the use of f is frequency in MHz
cellular systems which based on base stations. Because each
base station is an electromagnetic radiation (EMR) source, with
the increase in the number of base stations, exposed EMR
The limits are given for exposure averaged over a six
levels have also increased. Since each base station works within
minute interval. Each country has its own determined limits.
a limited geographical region and for limited number of users,
The USA and some European countries use limits determined
mobile system operators must install more base stations in
by the ICNIRP, while other European countries like
order to meet growing demand for multimedia services, and
Switzerland and Italy use 1/10 of the ICNIRP’s values as a
communicating from any place. There are around 100,000 base
limit. Turkey applies limits that are 75% lower [11] than those
stations in Turkey right now, but with the establishment of 4.5G
suggested by the ICNIRP [10]. There are currently three mobile
systems on 1 April 2016, the estimated number of base stations
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communication operators in Turkey and they use 2G (second III. MEASUREMENT RESULTS
generation), 3G (third generation) and 4.5G (fourth generation) The maximum E (Emax) and the average E (Eavg) which were
systems. According to the [11], the limits are 30.9 (V/m) for measured at 67 different locations are given in Fig. 2.a and Fig.
900 MHz base station, 43.7 (V/m) for 1800 MHz base station, 2.b respectively. Reasons of various E levels may be: the
45.75 (V/m) for 3G systems, which is 2100 MHz, and also number of base stations in measurement area, output powers of
45.75 (V/m) for 2600MHz base station. base stations, distances from the base stations, whether there is
line of sight (LOS) between the units or not, and the number of
In this study, to evaluate the effects of newly established users. As seen from the figure that the Emax is 6.32 V/m which is
4.5G system on EMR levels, extensive EMR measurements measured at 23th location (measurement time 1). The maximum
were performed before and after 1 April 2016 in Samsun city Eavg is also obtained at 23th location (measurement time 4) as
center, at 67 different locations. Statistical properties of the 3.26 V/m accordingly.
measured data are determined. The changes in EMR levels
which occurred with the deployment of 4.5G systems are
visualized through maps.
II. MEASUREMENT OF EM POLLUTION

In order to determine the changes in EMR levels with the
deployment of 4.5G, EMR measurements were conducted
using PMM 8053 EMR meter, in Samsun city center at 67
different locations considering the number of users, line of sight,
distance from a base station. Each measurement location which
is separated by a distance of app. 100 meters is shown with red
circle in Fig.1.
Fig.1 Measurement locations in Samsun city center
Fig. 2 a) Maximum (Emax) b) Average (Eavg) Es versus locations

Total E in the band between 100kHz - 3GHz is measured
with PMM–8053 with EP-330 isotropic electric field probe [12] The statistical properties of measured data are determined and
twice in March named as M1, M2 and May 2016, and, named listed in Table II., probability density functions of each
as M3, and M4 respectively. In each measurement, the measurement are also given in Fig.3. As seen from the Table II
maximum electric field strength (E max) and average electric that Emax varies from 4.49 to 6.32 V/m while Eavg varies between
field strength (Eavg) were recorded. Based on the international 2.78 and 3.26 V/m. Before 4.5G the mean of the Emax is 1.2111,
standards and ordinances released by ICNIRP and ICTA, the it increases to 1.8449 after 4.5G. for the case of Eavg
duration of each measurement was six minutes. corresponding values are 0.5892 and 0.6628 V/m.
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Table II Statistical properties of the measured data In order to have better visualization changes in EMR levels
Emax (V/m) are transferred on a map using MapInfo and Emaxs and Eavgs are
shown in Fig. 3 and Fig. 4 before and after 4.5G respectively.
Max. Mean Std.
-a-
M1 6.32 1.2001 0.9167
M2 4.49 1.2221 0.8349
M3 5.59 2.1607 1.2592
M4 5.11 1.5291 0.9691
Eavg (V/m)
Max. Mean Std.
M1 2.7800 0.5718 0.6488
M2 3.0600 0.6066 0.6034
-b-
M3 2.8800 0.6940 0.5460
M4 3.2600 0.6316 0.6263
Fig. 4 MapInfo picture of Emax for a) before b) after 4.5G

-a-
-b-
Fig.3 Probability density function for a) Emax, b)Eavg Fig.5 MapInfo picture of Eavg for a) before b) after 4.5G
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IV. CONCLUSIONS
In this study, in order to determine the effect of deployment
of 4.5G systems on EMR levels, extensive measurements were
performed at 67 different locations in Samsun city centre before
and after 1 April 2016. According to 536 measurements the
maximum total electric field strength is 6.32 V/m while the
maximum average electric field strength is 3.26 V/m. The
results demonstrate that the deployment of 4.5G yielded up to
52.3% increase in Emax while 12.5% in Eavg values.
REFERENCES
[1] Ç. Kurnaz, “An Emprical Modelling of Electromagnetic Pollution on an
University Campus”, The Applied Computational Electromagnetic
Society Express Journal, vol.1, no.2, pp.76-79, 2016.
[2] B. K. Gül, Ç. Kurnaz, and B. K. Engiz, “Measurement and Evaluation
of Electromagnetic Pollution in Ondokuz Mayıs University Kurupelit
Campus in Samsun, Turkey”, Third International Conference on
Advances in Information Processing and Communication Technology,
pp.80-84, Rome, Italy, 2015.
[3] A. Mousa, “Electromagnetic radiation measurements and safety issues
same cellular base stations in Nablus”, Journal of Engineering Science
and Technology Review, vol. 4, no. 1, pp. 35-42, 2011.
[4] O. Genç, M. Bayrak, and E. Yaldız, “Analysis of the effects of GSM
bands to the electromagnetic pollution in the RF spectrum”, Progress in
Electromagnetics Research, vol.101, pp.17-32, 2010.
[5] S. Miclaus, and P. Bechet, “Estimated and Measured values of the
Radiofrequency Radiation Power Density around Cellular Base
Stations”, Environment Physics, vol. 52, no. 3–4, pp. 429–440, 2007.
[6] L. Seyfi, “Measurement of electromagnetic radiation with respect to the
hours and days of a week at 100kHz–3GHz frequency band in a Turkish
dwelling”, Measurement, vol.46, no.9, pp.3002-3009, 2013.
[7] P. Baltrenas, and R. Buckus, “Measurements and analysis of the
electromagnetic fields of mobile communication antennas”,
Measurement, vol.46, no.10, pp.3942-3949, 2013.
[8] M. Koprivica, V. Slavkovic, N. Neskovic, A. Neskovic, “Statistical
Analysis of Electromagnetic Radiation Measurements in the Vicinity of
GSM/UMTS Base Station Installed on Buildings in Serbia”, Radiation
Protection Dosimetry, pp.1-14, 2015, doi: 10.1093/rpd/ncv372.
[9] T. Karadag, M. Yüceer, and T. Abbasov, “A Large-Scale Measurement,
Analysis And Modelling of Electromagnetic Radiation Levels in the
Vicinity of GSM/UMTS Base Stations in an Urban Area”, Radiation
Protection Dosimetry (2015), pp. 1–14, doi:10.1093/rpd/ncv008.
[10] ICNIRP Guidelines, “Guidelines for Limiting Exposure to Time-
Varying Electric, Magnetic, and Electromagnetic Fields (up to
300GHz)”, International Commission on Non-Ionizing Radiation
Protection, Health Physics vol.74, no.4, pp.494-522, 1998.
[11] Information and Communication Technologies Authority of Turkey,
“Ordinance change on By-Law on Determination, Control and
Inspection of the Limit Values of Electromagnetic Field Force from The
Electronic Communication Devices According to International
Standards”, Law no.29497, 9 October 2015.
[12] www.pmm.it/docs/8053en1001.pdf
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Monitoring the Signal Strength of Cellular System

Operators on a University Campus
Begüm Korunur Engiz1, Çetin Kurnaz2
1,2
Ondokuz Mayis University
Department of Electrical and Electronic Engineering
Samsun, Turkey
{bkengiz, ckurnaz}@omu.edu.tr
Abstract— In this study, in order to determine the signal strengths In mobile communication systems, modulated
of the existing cellular system operators for 2G, 3G and 4G electromagnetic waves arrive at the receiver either Line of
services drive test measurements were conducted on a specific Sight (LOS) path or through different paths. Along these paths
route on Ondokuz Mayis University (OMU) Kurupelit Campus. the transmitted signal undergoes reflection, scattering,
The synchronized measurements were performed using nine same diffraction because of the surrounding objects (buildings,
brand and model smartphones with “Android” operating system mountains, trees etc.), and the received electric field strength
and “Netmonitor” application. It is seen from the measurements varies as a result. This phenomenon is known as multipath
that the received signal strength can change depending on the fading, and if the receiver position moves the destructive effect
location, frequency, line of sight, and base stations’ output power.
s of multipath becomes more complicated [5].
2G signal strengths are significantly higher than 3G/4G.
Considering all operators; the signal strengths vary from -51dBm In Turkey, currently 2G (second generation), 3G (second
to -87dBm for 2G, while from -51dBm to -103dBm, and from - generation) and 4G (fourth generation) cellular systems are
67dBm to -130dBm for 3G and 4G respectively. The average signal used, by means of three different Cellular System (CS)
strengths of 2G, 3G and 4G are -65.97dBm, -80.01dBm and -
operators. In order to maintain customers’ loyalty and gain new
94.52dBm. The quality of signal is higher than the minimum limit
(<-100dBm) determined by Information and Communication customers the CS operators mostly emphasize on “coverage
Technologies Authority (ICTA) of Turkey for 2G at all area”, “signal power”, and “signal quality” in commercials.
measurement locations. However, for 3G lower than the limit at Some recent customer surveys on CS operators show that a high
8.33% of all measurement locations for operator C while for 4G level of satisfaction is strongly correlated with signal strength.
69.71% for operator A. Using these results help to have foresight Therefore CS operators must improve the provided signal
on needed improvements/enhancements. quality in order to meet costumers’ demands and fulfill the
requirements determined by ICTA. For this reason, in this study,
Keywords—Cellular System; Signal Strength; Drive Test measuring the signal strengths of existing three operators
Measurement; Netmonitor. (named as A,B,C) in Turkey for 2G, 3G and 4G systems on a
specific route on OMU Kurupelit Campus, transferring them on
a map are aimed.
I. INTRODUCTION
Communication has an important role in human life, and has II. MATERIAL AND METHOD
been developing each day in parallel with the technological In this study, the signal strengths of 2G, 3G and 4G services
improvements. As a result of these improvements many new of the three CS operators were measured, and the results were
generation communication devices have been developed and transferred on a map. In measurements nine same brand and
presented. Mobile communication systems especially mobile
model smartphones with “Android” operating system and
phones have become the most common tool of communication
“Netmonitor” application, and nine sim cards whose three are
over recent years.
for each CS operator were used. After the determination of
In cellular systems, the coverage area is divided into a measurement route, required mobile network settings were
number of elementary areas called cells, and a base station is adjusted then Netmonitor application was started. According
placed center of the cell. Each active mobile unit within a cell the type of connection mode measured, the network mode of
uses assigned frequencies to communicate with the serving the each smartphone was adjusted to “2G only”, “3G only”, or
base station. With the movement of mobile user the cell “LTE only”. In order to determine the exact measurement
boundaries may be crossed from time to time. In such case new locations GPSs’ of all phones were turned on. Drive test
channels are assigned, and call could continue without any measurements were conducted the busiest times of a day, at a
interruption. Theoretically each cell is hexagonal; and the
speed of 30km/h, during 25min. with 5sec. intervals. The signal
design of a cellular system begins with the classification of the
quality of each operator was measured in terms of dBm.
coverage area [1-2]. With the growth in the capacity of mobile
communications, the size of a cell is becoming smaller and Fig.1 shows an image for a measurement conducted with
smaller: from macro cell to microcell and to picocell [3-4]. Netmonitor application. Netmonitor application which is an
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Android based network software, shows the information of TABLE I Signal strength equivalency table
connected base station, signal strength, and location instantly,
and save these in CLF (list) as well as KML (map) format. Fig.2 dBm equivalent Classification
a and b illustrate examples of screen shots of 2G and 3G
measurements at a measurement location respectively. In figure, -101 or less Very weak
Operator shows the connected CS operator’s MCC-MNC
number and name, Type represents the connection type, LAC -100…-91 weak
defines the connected cell number while CID indicates
connected sector number. RNC also indicates radio network -91…-81 average
controller.
-80 or more Good
III. RESULTS
Drive test measurements that performed for 2G, 3G and 4G
systems using Netmonitor are given in Fig.3.a, b, c for the
operators A, B, C respectively. As seen from the figure that 2G
signal strengths are significantly higher than those for 3G and
4G. It is seen from the 2G measurements that neither very weak
nor weak signals concurred, and the operator C has worst signal
strength. The main reason of this case may be; the change in the
signal strength inversely proportional to frequency (Friis
transmission equation [5]), and using 1800 MHz for 2G while
Fig. 1. Netmonitor application and its operation the others use 900 MHz. It is also seen from the measurements
that the received signal strength can change depending on the
-a- location, frequency, line of sight, and base stations’ output
power for all operators.
The overall assessments for the measurements are given in
Table II. As seen from the Table that the average signal
strengths of 2G are -63.36 dBm for operator A, while
64.88dBm and -69.69dBm for operator B and C respectively.
Corresponding signal strengths of 3G are measured as
-85.27dBm, -76.67dBm and -78.33dBm. As a result of newly
establishment of 4G; very weak signals are recorded at many
location whose averages are -104.21dBm, -89.55dBm, and
-89.80dBm for the operators A, B and C respectively.
-b-
TABLE II Overall assessments of measurement results
Signal strength (dBm)

System Operator
Max. Min. Ave.
A -51 -81 -63.36
2G B -51 -85 -64.88
C -57 -87 -69.69
Fig.2. Examples of Netmonitor measurements for a) 2G, b) 3G
A -63 -107 -85.27
According to communique [6-7] released by Information
and Communication Technologies Authority of Turkey 3G B -51 -113 -76.67
coverage area related signal strengths of CS operators were C -59 -105 -78.33
determined. In accordance with this communique minimum
signal level for coverage obligation to the operators will be - A -74 -130 -104.21
104 dBm for GSM 900, -102 dBm for GSM 1800 and -104 dBm 4G B -67 -123 -89.55
for the networks using both GSM 900 and GSM 1800. Beside
this, the classification can be made according to Table I. C -78 -102 -89.80
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In order to point out each measurement location’s signal -a-

strength KML files are saved during drive test measurements.
Then these files are used to display geographic locations and
corresponding signal strengths in dBm. The obtained images
are given in Fig. 4, Fig. 5, and Fig. 6. for 2G, 3G and 4G
services of operators A, B, C respectively.
-b-
-c-
-b-
-c-
Fig.4. Netmonitor measurement results of operator A for a) 2G, b) 3G, c) 4G

Fig. 3. Signal strengths change for the operators a) A b) B c) C.
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-a- -a-
-b- -b-
-c- -c-
Fig. 5. Netmonitor measurement results of operator B for a) 2G, b) 3G, c) 4G Fig.6. Netmonitor measurement results of operator C for a) 2G, b) 3G, c) 4G
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IV. CONCLUSIONS REFERENCES

In this study, the signal strengths of existing three operators [1] Rappaport, T. S., Wireless Communications Principles and Practice,
Prentice Hall PTR ,1996
(named as A, B, C) in Turkey for 2G, 3G and 4G systems on a
[2] Holma, H., Toskala, A., WCDMA for UMTS, John Wiley & Sons Ltd.,
specific route on OMU Kurupelit Campus are measured and England, 2001
transferred on a map. It is seen from the measurements that 2G [3] Molisch A. F., “Wireless Communications” John Wiley&Sons, second
signal strengths are significantly higher than those for 3G/4G. edition, 2011.
[4] Sesia S., Toufik I., Baker M., “LTE-the UMTS long term evolution:
Because of being established on 01/04/2016 4G signal strengths
from theory to practice”, John Wiley&Sons, second edition, 2014.
are inadequate. Beside this, the received signal strength can [5] Parsons J. D., The Mobile Radio Propagation, John Wiley & Sons Ltd.
change depending on the location, frequency, line of sight, and England, 1992.
base stations’ output power. With the use of the measurement [6] Information and Communication Technologies Authority of Turkey
“GSM Mobil Telefon Hizmetlerinde Hizmet Kalitesi Ölçütlerinin Elde
results and/or the maps the lower/higher signal strength
Edilmesine İlişkin Tebliğ”, no:28267, 17.04.2012.
locations, and the regions required enhancement, and the [7] Information and Communication Technologies of Turkey, “3N Mobil
operators to improve their signal quality can be determined for Haberleşme Hizmetlerinde Hizmet Kalitesi Ölçütlerinin Elde
2G/3G/4G systems. Edilmesine İlişkin Tebliğ”, no.29269, 16.02.2015.
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The State and Momentum Equations of a New Type

Five Phase Segmental Switched Reluctance Motor
Erdal Buyukbicakci*, Ali Fuat Boz+
#
Department of Compiter Programming, Karasu Vocational School,
erdal@sakarya.edu.tr
+
Department of Electrical and Electronics Engineering, Faculty of Technology,
afboz@sakarya.edu.tr
Abstract— In this study, the mathematical equations of five and rotor position. That's why SRM’s need a strong controller
phase segmental switched reluctance motor (SARM) was in order to produce maximum torque [5].
established by using basic electrical motor model. This five The difference of new 5-phase bipolar excitation SARM
phases SARM has a different rotor and excitation structure than from classic SRM is that the rotor structure has been altered
classical ARM, and its phase currents and magnetic field completely and contains variations in excitation method. In
variations with respect to inductance were calculated by means case of being used of the same resource, flux distributions
of magnetic equivalence circuit. The value of inductances was produced by the winding of both engines per phase and torque
calculated by stating the visible inductance profiles of different
amounts produced depending on this show changes due to
phases instantaneously in order to emphasise the difference
between two motors. In addition, the momentum equation of inductances of the windings and the mutual inductance value
SARM was obtained by determining the situations of different occurs between phases [6]–[7].
phases. The inductance values were calculated by assuming the Besides the successful results obtained in motor structure
current applied to phases created from an ideal current source and performance of classic switched reluctance, in also the
and by determining the situations of different phases. It was studies on switched reluctance motors (SARM) based on
revealed that the SARM produced much more momentum than segmental and two-phase energizing essence forming the basis
the classical ARM having the same phase number by using a of this study important progresses have been made. In order to
mathematical model. model the non-linear structure of SARM and in case of the
As a result of this study, it was understood that the magnetic flow
installation of motor, different structure were suggested by
equations depend not only on the function of rotor position, but
also the changing current many researchers in motor and actuator circuit design in order
to eliminate the fluctuations in the current varying due to time.
The first study about this subject was conducted by
Keywords— Switched Reluctance Motor, Mathematical Model, Lawrenson and Agu in literature in 1964 [8]. Mecrow et al.
State Equation examined the performances of SARM’s with various polarity
I. INTRODUCTION and winding structure [9]. Uygun et al. performed the analysis
of linear model of magnetic circuit by designing U-type
Switched reluctance motors (SRM) are electrical machines segmental type SRM [10]. Belhandi and Kolli showed the
with simple structure but superior properties which converts comparative simulation results of speed and torque parameters
electrical energy into mechanical energy with changing of the classic SRM and SARM by using the finite element
reluctance effect changes and which are in need of convertor method [11]. In other studies, the flux distribution topologies
power electronics while performing this action. Although of SARM was developed on magnetic structure by changing
SRMs first put forward in the 1800s, the driving motor pole, rotor and winding structures and engine driver
depending on developments in power electronics in the early optimizations were arranged.
1960s has become possible. Although it is the engine type In this study, a control algorithm including PI control for a
based on the old, the examination and investigation of these new segmental switched reluctance motor with bipolar
engines are new. In particular, the studies on this motor are excitation, 5 phases and 10/8 pole configuration, which was
seen to be focused after 1980 [1] [2] [3]. designed as segmental rotor (SARM), and entered in the
ARMs are increasingly being used in changing-rate and literature has been developed and presented.
servo-type industrial applications due to mechanical structures Also in this study, the actuator circuit including PI control
and low rotor losses [4]. These motors have many different option developed for controlling bipolar driven segmental
application areas such as electric cars, spacecraft, household rotor and computer-controlled management, monitoring
appliances, radars, automatic door systems and water pumps. interface will be discussed.
The most important characteristic of SRM’s is having
magnetic circuit in non-linear form depending on phase circuit
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II. STRUCTURAL FEATURES OF BIPOLAR EXCITED Thus, torque value produced per Nm/kg weight taken into
SEGMENTAL ROTOR 5-PHASE AND 10/8 SWITCHED account in the engines, Nm / kg will be automatically
RELUCTANCE MOTOR increased. In the engine, the two-phase energizing method was
In this section, it has been mentioned briefly the structural used instead of the single phase energization method used in a
features of the new design segmental type of engine belonging conventional SRM. The reason for using such a method is to
to SRM. see that the magnetic poles of the engine follow the short flux
In Fig. 1. (a), newly designed bipolar excited segmental paths when the windings are properly installed and
type SRM using short flux paths and the cross sectional view simultaneously two phases of SARM is energized. This case
of 5-phase classical switched reluctance motor with 10/8 (reduction of flux path) will lead the reduction in both sheet
configuration to be used in performance comparisons were losses and the temperature of motor sheets.
given. The case that occurs in case of being energized of this As it can be understood in Fig. 2 (b), segmental SRM
phase is shown in Fig. 2 (b). operates by using short current paths instead of long flow
paths unlike conventional SRM. Since in every time, two
phases remain with power, it is clear that common inductance
occurred between the phases and this case will create
complexity for the finding of non-linear models of the engine.
III. STATUS EQUTIES OF SARM

In order to be comprehended better of the running of
machines like engine and generator, it is required to be
prepared mathematical models with the aim of realizing
simulation and experimental studies. In this section, running
(a) (b) of the new design 5-phase segmental switched reluctance
Fig. 1. (a) Cross-sectional representation of the classic engine, mathematical model belonging to the driver is taken as
SRM a basis by using basic motor equities [5].
(b) The state of flux paths formed in 5-phase Classical SRM when only D While the design is being performed, it is stressed on the
phase is energized assumptions that the flux produced by any of the phases in
different polarity passes through air range, the circuit is
The new developments obtained in newly designed completed briefly; leak flux status is ignored; stator and rotor
switched reluctance motor having 5 phases and 10/8 steel magnetic permeance is accepted as infinite and when
stator/rotor configuration which is detailed in Fig. 2. can be stator and rotor poles are overlapped, it is maximum.
summarized as follows. 10/8 SRM has a different rotor In Fig. 3, magnetic equivalent circuit belonging to 5-phase
structure from conventional SRM. The rotor consists of both SARM has been given.
the packages created from siliceous plates and an aluminum
block where these packages are placed in. as well as the
package that was created from a block of aluminum and
silicon steel consists of the placement of the package. The
reasons of using the aluminum block is the limiting feature of
magnetic field that comes out and is being a very light metal
compared to other metals (e.g., stainless steel, etc.) [6].
ea eb ec ed ee
Ga Gb Gc Gd Ge
+ + + + +
Φa ua Φb ub Φc uc Φ d ud Φ e ue
- - - - -
up
Fig. 3. Magnetic Equivalent of Segmental ARM
(a) (b)
Fig. 2. (a) Cross-section representation of new SARM In Fig. 3, magnetic equivalent circuit belonging to 5-phase
(b) Only when A and B phases are energized to form suitable polarity, the engine is given. Here, e represents opposite electromotor
state of flux paths formed by new SARM power, ϕ represents flux, G represents magnetic permeability
of phases and Up represents voltage drop. By using this
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magnetic equivalence and basic electric machines, the Flux connections belonging to each phase can be
following processes have been realized.. expressed as follows;
According to ARM basic knowledge, when angular change
is considered, it is possible to write the equivalent moment x  N x (8)
expression for the moment produced by the engine depending
on the co-energy produced by the motor as seen in Fig. 1: If it is used for the Equity 4 flux connection, it is written as
follows;
( ,)
( , )=− ( = ) (1)
If the moment produced by SARM is calculated from
a  b  c  d  e  0 (9)
general moment equity by using Equity 1, the following is If the magnetic permeability of the phases is expressed as
obtained; a function of phase inductances, (as being x=a, b, c, d, e), it is
obtained as follows;
1  dL dL dL dL dL  dM dM dM
T   aa ia2  bb ib2  cc ic2  dd ib2  ee ie2   iaib ab  iaic ac  iaid ad
2  d d d d d  d d d Lx
Gx  (10)
dM dM dM dM dM dM
iaie ae  ibic bc  ibid bd ibie be  icid cd  icie ce  idie de
dM N2
d d d d d d d When flux connections are widened depending on this
(2) expression (as being x=a, b, c, d, e), it becomes;
Here, represents the produced moment (Nm), L
represents overlapped location phase inductance (mH),
represents rotor location angle (degree), M represents  ex  u p 
x  Lx ( )   (11)
common inductance (mH), i phase flow (amper).
 N 
The following equity can be written according to Kirşof’s
flux rule: up
An arbitrary flow is described as ip  , (as being x=a,
a  b  c  d  e  0 (3) N
b, c, d, e);
x (as being x=a, b, c, d, e) represents phase fluxes.
x  Lx ( ) (ix  i p ) (12)
Depending on magnetic conductivity, flux change belonging
is obtained. If this equity obtained is places in the Equity
to each phase depending on conductivity (as being x (x=a, b, 9., it becomes;
c, d, e )) is expressed as in Equity 4.:
La ()(ia ip )  Lb ()(ib ip )  Lx ()(ix ip )  Lc ()(ic ip )
x  Gx ( )ux (4)
Ld ()(id ip )  Le ()(ie ip )  0
Here, the thing expressed is Gx (as being x=a, b, c, d, e)
(13)
represents magnetic permeability of phases while ux (as being If the value of i p is taken from this equity, it is obtained as
x=a, b, c, d, e) is representing voltage drop. Besides, the follows
values of the sources are calculated as in Equity 6.:
La ( )ia  Lb ( )ib  Lc ( )ic  Ld ( )id  Le ( )ie
ex  Nix (5) ip 
La ( )  Lb ( )  Lc ( )  Ld ( )  Le ( ) 
ex (as being x=a, b, c, d, e) represents the value of the (14)
resource, N represents the wrapping number belonging to each If the Equity 10 is rearranged according to Equity 12,
Equity 15 is obtained for phase A:
phase and ix (as being x=a, b, c, d, e) represents flow
belonging to each phase. If it is considered as the value of up  La2() 
potential; a  La()  ia
 La ()  Lb ()  Lc ()  Ld ()  Le () 
ux  ex  u p (6)
 L ()L ()i  L ()L ()i  L ()L ()i  L ()L ()i 
is obtained. With the widened expression, phase fluxes can be  a b b a c c a d d a e e 
calculated as in the Equity 7.;  La ()  Lb ()  Lc ()  Ld ()  Le () 
(15)
 x  G x ( )  ex  u p  (7)
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This expression can be written as the same for the other TABLE I
THE RUNNING STATUS OF PHASES DEPENDING ON THE
phases. As it is easily understood from the expression, core
ROTATION ANGLES OF PHASES
inductance value belonging to phase A is seen as follows;
0-18 18-36 36-54 54-72 72-90
La2 ( ) A Phase 0 + 0 0 -
Laa  La ( )  (16)
La ( )  Lb ( )  Lc ( )  Ld ( )  Le ( ) B Phase 0 0 - 0 +
Similarly, common inductance values are found between C Phase - 0 + 0 0
phases A and B as;
D Phase + 0 0 - 0
La ( ) Lb ( ) E Phase 0 - 0 + 0
M ab   (17)
La ( )  Lb ( )  Lc ( )  Ld ( )  Le ( )
A. Visible Inductance Profile of SARM
In order to be comprehended of running of the Segmental
ARM more clearly, it is required to examine visible
inductance profiles. In this method, thinking that the phases of
segmental ARM are run with ideal flow source and by
revealing the status of different phases at each moment, the
values of inductances will be calculated. In this calculation
method, phase switches were ignored and phases were
connected as star like in Fig. 4.
Ia A Fazı
Ib B Fazı
Ic C Fazı Fig. 5. When only B and C phases are energized, the status of equivalent
circuit
Equivalent with the simple form of this circuit is seen in
the circuit in Fig. 6.
Id D Fazı
Ie E Fazı
Fig. 4. When ideal flow sources are used, the equivalent circuit of Fig. 6. Ideal equivalent circuit of SSRM when phase B and C are
segmental ARM excited
At any running moment of the designed engine, the phases When B and C phases are energized, the simplified status
given in Table I will run together. Accordingly, if only B and of the equivalent circuit, the following equity group is
C phases are thought to be energized at the first sight, the obtained;
circuit in Fig. 5 will be obtained.
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ib  ic B. Produced Moment Equityin SARM

ia  0 Similarly,of it is thought that only B and C phases are
(18) energized and ib  ic status is considered, moment
id  0
expression takes these values for both phases [6];
ie  0 1  dL dL  dM bc
T   bb ib2  cc ic2   ibic (23)
If flux connections are written for this energizing status 2  d d  d
again, it is written as;
 Lb2 ( )  1  dL dL  dM bc
T   bb ib2  cc ib2   ibib (24)
 Lb ( )   2  d d  d
La ( )  Lb ( )  Lc ( )  Ld ( )  Le ( ) 
b   i
 Lb ( )Lc ( ) b
   1  dL dL  dM bc  2
Tbc    bb  cc   ib (25)
 La ( )  Lb ( )  Lc ( )  Ld ( )  Le ( )   2  d d  d 
(19)
If visible inductance that has been given for B and C
 2
Lc ( )  phases is used;
 Lc ( )  
La ( )  Lb ( )  Lc ( )  Ld ( )  Le ( )  Lbc ( )  Lbb ( )  Lcc ( )  2Mbc ( )
c   i (26)
 Lb ( )Lc ( ) b
  is obtained. Moment value obtained with this equivalent
 La ( )  Lb ( )  Lc ( )  Ld ( )  Le ( )  inductance is as follows:
(20)
1 dLbc
Since the value of the flux flowing from A phase to B Tbc  ib 2 (27)
2 d
phase through the airgap is ab  a  b , if Equity 19 and
Equity 20 are rearranged, the following is obtained; 1 d ( Lbb ( )  Lcc ( )  2 M bc ( )) 2
Tbc  ib (28)
2 d
 Lb2()  Lc2() 
 Lb() Lc ()    1  dL dL  dM bc  2
Tbc    bb  cc  
La() Lb() Lc () Ld () Le()  ib (29)
bc  i  2  d d  d 
 2Lb()Lc() b
  IV. CONCLUSIONS
 La()  Lb() Lc() Ld () Le()  In this study, by considering the running conditions of
(21) five-phase segmental type switched reluctance engine
(SARM) and using basic electrical engines model, status
By using the flux expression expressed above, “visible” equities have been obtained.
inductance value called as Lbc can be calculated by using Popularizing the engine structure of the complexity of
L   i equity. This value is the common inductance equity SARM and comprehending its difference compared to
between; b and c phases; classical ARM, visible inductance profiles of the system have
been examined. Considering that the phases of new type
SARM is run by ideal flow source and the status of the
Lb2()Lc2() different phases at each moment, inductance values have been
Lbc  Lb()Lc()  calculated. It has been explained that the engine designed
La()Lb()Lc()Ld ()Le() through models produces more moment than classical
2Lb()Lc() switched reluctance engine having the same phase number.
Phase flows of this new five-phase SARM having a rotor
La()Lb()Lc()Ld ()Le() and stimulation structure different from classical ARM and
(22) magnetic flux changes in the type of inductances have been
found by using magnetic equivalent circuit.
In order to be understood of this difference more clearly,
by revealing common inductance profiles and the status of
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different phases at each moment inductance values have been

calculated. Finally, moment production of the engine has been
obtained by using the inductance equity
REFERENCES
[1] R. Krishnan, Switched Reluctance Motor Drives Modeling, CRC Press,
2001, pp. 1–3.
[2] E. Hamid, K. S. Virendra, A. Chandra, A. Kamal., "Performance
Simulation of Switched Reluctance Motor Drive System Operating With
Fixed Angle Control Scheme", 7 th International Conference on
Modeling and Simulation of Electric Machines, Converters and Systems,
Electrimacs, August 18-21, Montreal Canada, 2002.
[3] V. Horacio, K.P. Joey, "A New Simplified Mathematical Model for a
Switched Reluctance Motor in a Variable Speed Pumping Application",
Science Direct Mechatronics, vol. 14, pp.1055–1068, Nov. 2004.
[4] O. F. Bay, C. Elmas, "Modeling of the Inductance Variation and Control
of the Switched Reluctance Motor Based on Fuzzy Logic", Intelligent
Automation and Soft Computing, vol. 10(3), pp. 233-246, 2004.
[5] R. Mutlu, "Modelling of the Short Flux Path Mutually Coupled
Switched Reluctance Machine", Doctorate Thesis, The Graduate
Faculty of Rensselaer Polytechnic Institute, USA, 2004.
[6] D. Uygun, "Switched Reluctance Motor Design and Control", Doctorate
Thesis, Institute of Science and Technology, Gazi University, Turkey,
2012.
[7] G. Bal, D. Uygun, "A Novel Switched Reluctance Motor with U-type
Segmental Rotor Pairs: Design, Analysis and Simulation Results",
ICCESSE 2010 International Conference on Computer, Electrical, and
Systems Science, and Engineering, April 28-30, pp.686-690 Rome,
Italy, 2010.
[8] P. J. Lawrenson, L. A. Agu, "Theory and performance of polyphase
reluctance machine", Proceedings of the. Institution of Electrical.
Engineering, vol. 111(8), pp.1435–1445, 1964.
[9] B. C. Mecrow, E. A. El-Kharashi, J. W. Finch, A. G. Jack,
"Preliminary Performance Evaluation of Switched Reluctance Motors
With Segmental Rotors" IEEE Trans. Energy Conversion, vol. 19, pp.
679–686, 2004.
[10] D. Uygun, G. Bal, I. Sefa, "Linear Model of a Novel 5-Phase Segment
Type Switched Reluctance Motor (Bimonthly)", Elektronika Ir
Elektrotechnika, vol. 20(1), pp. 3–7, 2014.
http://dx.doi.org/10.5755/j01.eee.20.1.6159
[11] M. Belhadi, A. Kolli, G. Krebs, C. Marchand, "Evaluation of Torque-
Speed Curve of Switched Reluctance Motor with Segmantal Rotor",
2012 IEEE Electrical Machines (ICEM), 2012 XXth International
Conference, pp. 250–255
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Lean Six Sigma Applying to Reduce the

Maintenance Time in Power Plants
Muqdad Khaleel*, Nurettin Çetinkaya*
*
Electrical & Electronics Engineering Department,
Engineering Faculty, Selcuk University, Konya, Turkey
ncetinkaya@selcuk.edu.tr, muqdad_hammad@yahoo.com
Abstract— This paper aimed to illustrate the use of the Lean Six practices of the Lean Six Sigma was going ahead to obtain
Sigma (LSS) methodology in power plants maintenance. LSS has goodness and generation improvement in power plants. The
become the indeed method for process performance studying of LSS and practice it gives us more opportunities to
improvement in many industrial companies and LSS has been improvement the equipment operation. These opportunities to
gradually increasing its acceptance in electric power generating be noticed for everything for improvement and confirm the
that confronts challenges, such as, how to decrease maintenance
requirement for study driving to improvement and placing
time, increase quality, better use resources etc. Consequently, the
quality of any process may be enhanced by utilizing Lean Six methodologies that like LSS [5]. Now the question is when
Sigma in any climate and it has the potential to offer a useful deciding the maintenance procedure when the lean six sigma
approach in term of improving quality and reducing costs. Lean start? And lean six sigma application starts. All the current
shows us an exclusive method that helps identify possible studies are leading to when power plants want to minimize
improvement areas. The study includes the plant maintenance these equipment's maintenance time and cost, it must apply
cycle time from request writing to work finished. Improvement the lean six sigma methodology. In the lean six sigma
opportunities were identified from a high–level value road map. methodology waste is a very important factor affect on the
The Define, Measure, Analyses, Improve and Control maintenance process of improvement equipment operation [6].
(DMAIC) approach was applied to a treat the identified
opportunities for improvement. The result shows that the
maintenance time was reduced from 180 days to 95 days. II. SIX SIGMA STEPS (DMAIC)
to improve and increase the quality the maintenance practices
Keywords— Lean Six Sigma, maintenance Time, DMAIC, CTQs,
DPMO
to obtain a high level of power plant operation, must arrive at
the standard specification by using six sigma (Define,
I. INTRODUCTION Measure, Analyses, Improve, Control) as shown in Fig. 1.
We are sense the huge development of the maintenance These steps are[7, 8]:
programs. It is leading to mend raising power plant reliability 1) Define: First of all, the problem should be defined
and assuring plant capacity by applied the deferent and requirements of the customers need to be
maintenance kinds. The LSS methodology was firstly identified. This step is set the guesses to development
developed and implemented by Motorola in 1985[1, 2]. the maintenance requirements and concentrate on the
Motorola knew that there was a modality of betterment applications of six sigma methodology but not forget
which would be classification to the five phases of problems the customer demands.
treatment applied by manufacturers, i.e., DMAIC. DMAIC is 2) Measure: This step is illustrating the errors in
the mainly five steps for every maintenance planners of the maintenance applications and schedules the
power plant. information to use it to confirm the improvement
Lean Six Sigma is a controlled, depends on the data targets.
methodology used to remove and minify the practices hence 3) Analysis: this step is important in every program to
the job faults and squandering (time and sources) [3]. minimize the errors, and studying the information
To obtain Six Sigma goodness and practices of a job must collected and put it in tables. And in next period set
be no more than 3.4 defect per million opportunities (DPBO). the targets and planning to reach the wanted level.
The researchers submit new ways to monitor data and analyse 4) Improvement: in this step planners confirm the
to appear (DPMO). Six Sigma essential offer amount is that changes in the maintenance practices and measured
rules for maintenance practices improvement, statistical it's affecting on the equipment quality (CTQ), and
process, alertness in the work, and maintenance management find acceptable rules to minimize change errors and
framework central on high-return improvement power plant measure affecting on (CTQ) to find the best solutions.
generation result in persistent improvement and considerable 5) Control: this is the final step of six sigma
economic earning [4]. When the power plants applied the Six applications, in it the planners find the advantages of
Sigma, it can discover the factors affect on the maintenance in applied six sigma and schedule the results of the
power plant operation, recognize the optimal scale of practices.
allowance and betterment chances. In this paper, the DMAIC
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Today Six Sigma methodology applied widespread in the Baiji thermal power plant in Iraq through practice lean six
world such us (engineering, markets, industrial, management). sigma steps from taking the maintenance requests during one
Particularly, the widespread applications of Six Sigma were year (2012) and the requests rate about 180 day. The purpose
possible because organizations were able to articulate the of maintenance requests in the power stations is too useful to
benefits of Six Sigma presented. confirm the maintenance efficiency and productivity.
Essentially the request helps maintenance technical to obtain
vital power plant data and set every equipment work. The
Problem request avoids an incompatible utilization of oral statement.
define definition The principles of request system aimed to make a regular
Test stream
shape for data collected and work to equipment rehabilitation.
For this work, we suggest integrated methodology of lean
six sigma. In first we must put the road map for this study to
define the opportunities amendment and progressing it to the
Decision
measure control maximum level. And we must fix all the changes in the road
map without pay attention to defects type. Six sigma
methodologies must apply in this process on these chances.
Result Demand
Six sigma methodologies is a strategic way to keep the
view maintenance on the right road. In this paper, we can use lean
six sigma methodology practice or one of them depending on
the errors type[10].
analysis improve VI. DMAIC STEPS

1) Step 1: Define. The critical execution variables of
Fig. 1 Six Sigma DMAIC phases
request cycle time were defined. Furthermore, it was
determined implementation of every related
specification related to all the reasons and confirmed.
III. LEAN This means that criticizes the quality of the properties
Lean is a process improvement methodology, used to (CTA) of the agreed it was well known as well as the
deliver products and services better, faster time and at a lower expected performance of their point of view. We are
cost. Womack and Jones (1996) defined lean as “a way to all the reasons we have identified through the process
specify a value, line up value-creating actions in the best of mapping and data collection that we had more than
sequence, conduct those activities without interruption tripled sessions. Each “bone” appears a group's effect
whenever someone requests them and perform them more on the troubles, parallel expectations. And to go too
and more effectively. In short, lean thinking is lean because it far to find the root cause we have implemented a
provides a way to do more and more with less and less—less statistical control process parallel to expect. As
human effort, less human equipment, less time, and less illustrated in Fig. 2 [5, 6].
space—while coming closer and closer to providing We find the major reason of troubles. We showing in the
customers with exactly what they want”[9]. figure the mechanical process (rehabilitation, soldering, water
treatment, lubrication and planners state) a huge difference.
IV. LEAN SIX SIGMA Then we continued studying each variable by statistical and
Lean tools focus on improving maintenance flows and supposition tools.
standardizing work processes. To improve the flowing
maintenance and job operation by concentrate the lean Pareto chart of maintenace days
methods. The classics saw to the lean six sigma is depend on 100,00%
decrease the waste and the losses time in the maintenance 6000
80,00%
operation and the spender money in this operation, and
4000
REQ,
finished maintenance work in the set time. The six sigma 60,00%
methodology sight have the measurement to decrease errors in 40,00%
2000
the operation changes and confirm it's in maintenance works 20,00%
quality and spenders. Lean six sigma is represents the strong
0 0,00%
sets to increase the speed maintenance works and decrease the 1 2 3 4 5 6
waste to obtain the better solution of maintenance engineering
Seri1 3100200014501100 867 500
management [3].
Seri2 49,3 69,4 80,5 91,5 95,7 100,
V. CASE STUDY
In this paper, we will apply the lean six sigma methodology to Fig. 2 Pareto chart of maintenance days(Seri 1. maintenance process
decrease the maintenance request time. Our work executed in Seri 2. request numbers)
____________________________________________________________________________________________________________
719
_____________________________________________________________________________________________________________
2) Step 2: Measure. Each CTQ’s of measurable enable study the reformative process are scheduled. It is
us to confirm work basis. In this step, to confirm the controlled maintenance works and monitor the
maintenance requirements we must collect the progress of work by the maintenance departments
information around the happened process in the chiefs and submit periodic reports on the progress of
maintenance wait and anticipation and ultimately business to the maintenance head manager in the
valiantly the measurement by using modern technical power plant
to measure and detect the errors such as Pareto chart.
3) Step 3: Analyze. The concentrate in an analysis for VII. RESULTS
the practice holes in every procedure in CTQs. the These papers focus on the major faults in the mechanical,
intention in this steps dividing the defects to "do it, electrical and other taking into account the resulting acts of
not do it ". We seek for the style of lean behavior also disparate maintenance process to get the desired results of the
the style of best behavior in power plant right request planning procedure. This work and collect data
maintenance. Such must in this style the hard work started in 2012; after 6 months showed signs of success
continued on effort confirm and navigable. As well, by %50 as we see in Fig. 3. As in Fig. 3, we were able to
we take all the input and output variation between the reduce the average time required for maintenance from 180
input and output of CTQs. moreover, we tighten to days to 105! Furthermore, we have improved the response to
concentrate to some subjects and find an appropriate urgent requests for maintenance at the station and overcome
mechanism for data analysis. Also, we found the the difficulties related in terms of adjusted a time for
different reasons of the troubles. When using the maintenance, as it is shown in fig 4. Follow-up development
method of statistical analysis at this stage, depending and success of our work to develop a system to identify
on the type of items will wait a few days. actions that need further scientific studies.
4) Step 4: Improve. If we wish to examine closely a
strong improvement in the process must VIII. CONCLUSION
underestimate the ability gaps in CTQ steps. Also, Lean Six Sigma is not an enchantment solution that you can
we support every supposition of cause root to the use for quick success. It is a methodology, which has to be
errors and confirm the substitution solutions and in a slowly integrated into the culture of the organization. It can be
parallel way obtain the better solution. applied to any process and we as Maintenance Plants need to
Work on these securities began based on the data make the best out of this methodology.
obtained in 2012. (Seri 1 the requests life Improvement .)
The recommendations, as described below:
• Resettlement the planners and managers offices to 250
maintenance location in power plants.
• Identify the people responsible for managing the 200
stores that contain maintenance materials. 150
• Give adequate space for planners to management
raw Material. 100
• Writing a periodic report to the requests of Seri1
maintenance in order to be classified. 50
• Prevent acts of direct equipment maintenance 0
without a request order. May.09 Ağu.09 Ara.09 Mar.10 Haz.10
• Continuous work development courses for planners
to work in order to stay within the set in plans.
• Emergency notices that are written by the Fig. 3 Improvement in the requests life
operations shift leader.
5) Step 5: Control. We desire to control the better
setting of each better solution. The behaviors of all
the CTQs able do steady over time to a normal 2009
nonrandom low point in maintenance troubles 6
concentrating. Furthermore, we have to assure the 21
reformative process are taken and moving the control 1
of the hot process to the maintenance holder. We are
also in parallel using special techniques to maintain 2
73
the performance of maintenance and monitoring 3
work, this is done by scheduling maintenance
requests that require more than 3 months in key
process indicator (KPI) and submit them to the
maintenance manager. Furthermore, for the next Fig.4 a. Improvement on emergency request in2009
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[6] Jacobsen, J., Ford Team Uses Six Sigma to Reduce Costs While
2010 Improving Environmental Impact. Cedar Rapids, Iowa: American

Society for Quality, 2011.
[7] Nonconformance, G., Number of Pages: 46, 2009, University of
Wisconsin-Stout.
[8] Zu, X., L.D. Fredendall, and T.J. Douglas, The evolving theory of
10 quality management: the role of Six Sigma. Journal of operations
1 Management, 2008. 26(5): p. 630-650.
21 [9] Valles, A., et al., Implementation of Six Sigma in a Manufacturing
2 Process: a case study. International Journal of Industrial
Engineering: Theory, Applications and Practice, 2009. 16(3): p.
69 3 171-181.
[10] Pyzdek, T. and P.A. Keller, The six sigma handbook. 2014:
McGraw-Hill Education.
Fig.4 b. Improvement on emergency request in 2010
2011
12
1
50
38 2
3
Fig.4 c. Improvement on emergency request in2011
2012 10
13
1
77 2
3
Fig. 4 d. Improvement on emergency request in 2012
REFERENCES
[1] Raisinghani, M.S., et al., Six Sigma: concepts, tools, and

applications. Industrial management & Data systems, 2005. 105(4):
p. 491-505.
[2] Ahmed, A., J. Page, and J. Olsen, Adopting Lean Six Sigma to
AnyLogic Simulation in a Manufacturing Environment.
[3] Pojasek, R.B., Lean, six sigma, and the systems approach:
Management initiatives for process improvement. Environmental
Quality Management, 2003. 13(2): p. 85-92.
[4] Obeidat, S., R. Fouad, and N. Mandahawi, Maintenance
Management and Quality Improvement in AL-Hussein Thermal
Power Station. Advances in Information Sciences and Service
Sciences, 2013. 5(8): p. 18.
[5] Antony, J. and R. Banuelas, Critical success factors for the
successful implementation of Six Sigma projects in organizations.
The TQM magazine, 2002. 14(2): p. 92-99.
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Analysis and Design of an Axial-Flux Coreless

Permanent Magnet Synchronous Generator with
Single Stators and Double Rotors
Mehmet Recep MİNAZ*, Mehmet ÇELEBİ+
*
Department of Electric-Electronic Engineering
, Siirt University, Siirt, Turkey
mehmetrecepminaz@siirt.edu.tr
+
Department of Electric-Electronic Engineering
, Atatürk University, Erzurum, Turkey
mcelebi@atauni.edu.tr
Abstract— In this study, permanent magnet axial-flux coreless and light weight compared to other applications. Main
synchronous generator is designed as single stators and double purpose of this type of machine design is to obtain the best of
rotors and its electromagnetic and structural characteristics are output power [4]. Furthermore, axial-flux permanent magnet
analyzed. Core is not been used in the stator of the machine generator with coreless stator is considered as machines
intended to be designed. Aim of this study is to provide reduction
having high power density for energy-generating systems [5].
of iron loss. Moreover, easiness in the production stage of the
machine is provided. Three-dimensioned electromagnetic What has been aimed to reveal within this study is that iron
analysis of the designed machine has been done through finite losses have reduced using coreless stator. Moreover, the
element method and transient solutions are suggested based on machine has been made lighter. As core has not been used in
this. Within this study, arrangements have been made depending the stator windings of the designed machine with coreless
on certain standards in order that permanent magnets and coils stator, stator iron losses have been eliminated completely. As
obtain direct alternating current. The designed new axial-flux there has not been used of the core in the stator, stator
generator move as permanent speed of 500 rpm and so maximum windings will not be influenced by core warm-ups. As the
voltage of approximately 100 V per phase is obtained. surfaces of the windings are in contact with air, it will be able
Furthermore, this machine does not need a gear system due to its
to take the heat on the surface out more quickly. As the core is
design structure.
not used for the stator windings in this type of axial machine,
production difficulty to arise from applications in such type of
Keywords— Axial-flux generator, Permanent magnet, machines has been reduced. Though copper losses have
Generator, Single stator, Double rotor increased here as the core has not been used in the stator, this
newly designed machine provides production convenience.
I. INTRODUCTION
This design can be used to obtain alternating current without
Electrical machines have started to be used almost within need for gear system during wind turbine applications.
all areas nowadays. Every passing day, new studies take place Besides, it is intended to be used in electric vehicles both as
in literature. New models are developed in these studies done. in-wheel motor and generator. Finite element method has been
Within these developed models, increases in power density of used for analysis in this study. Finite element method is a
the machine, change in the shape of design as well as size numerical method used in solving linear and nonlinear partial
reductions and studies done depending on excitation types differential equation [6]. Design features of the designed
have gained speed. Studies have centred on axial-flux machine have been given within the second chapter. The third
permanent magnet machines as different excitation types chapter consists of electromagnetic analysis results of the
recently. Permanent magnet axial machines have been aimed machine. Consequences related to simulation depending on
to be analyzed due to reasons such as being highly efficient time have been given within the fourth chapter. The final
and economic and having ability to produce energy at low cost chapter includes the conclusion.
[1]. Micro wind turbine application has been conducted in a
study by Pop et al. Here it has been found that after a II. THE DESIGN FEATURES OF THE MACHINE
comparison of axial and radial-flux permanent magnet Main purpose of the machine design is to obtain the best of
generator, axial-flux permanent magnet has shown the best output power. Estimated value of the output power belonging
result. It has been discovered that axial-flux generator is less to the designed machine can be calculated using the equality
costly [2]. Reducing no-load momentum of the generator has below;
been possible using skewed magnets in axial-flux permanent
magnet [3]. It is a huge advantage that axial flux permanent
magnet generator (AFPMG) has high efficiency, compact size
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722
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15 2 f
P  k k  (1  k )(1  k 2 ) B D3 (1)
out 8 p i p d d g o
In order that output power of the machine reaches maximum,
rate between its dimensions should be as in k  1 3 [7].
d
Statement related to the relationship between the dimension
and power in axial flux permanent magnet synchronous
generator has been given within equality 1 [8]. The k p here
is electric wave form factor and calculated as 0,5 in
sinusoidal designs where k i is current wave form and
calculated as 2 for sinusoidal wave forms [9]. B g refers to
maximum flux density within the air gap. P refers to dipole
number and f refers to the frequency. D0 and Di refers to Fig. 2 Geometry of side rotors of axial flux permanent magnet generator
inner and outer diameter respectively where k d refers to the
ratio of the inner diameter to the outer diameter. The designed Rotor steel used for the machine has been made up of M19.
axial-flux coreless permanent magnet synchronous generator There are 12 magnets in rotor steel. Magnets placed upon the
is given in Figure 1. There are one coreless stators and two rotors have been placed between each other with 30 degrees
rotors within this design. each. Do and Di values are 145 mm and 85 mm.
Fig. 1 Appearance of axial-flux permanent magnet generator. Permanent

magnets: in dark blue colour. Rotors: in grey colour. Stator windings: in red Fig. 3 Geometry of permanent magnet of axial-flux permanent
colours. magnet generator.
There exist two rotor discs in Figure 1. 12 permanent magnets Geometric structure of the magnets is as shown in Figure 3.
have been placed into the single end of the lower and upper These types of designed magnets are more advantageous to
rotor discs. The stator winding has been placed between two prevent the heat and more suitable to obtain a straight
rotor discs. The stator winding consists of 9 coils in total. sinusoidal wave. Permanent magnet used in axial flux
Each phase in windings corresponds to three coils. permanent generator is Neodymium. Length of the
neodymium magnet is 50mm and its thickness is 8mm.
Representation of flux paths of the magnets have been given
in Figure 4.
Fig. 4 Appearance of arrangement of the magnets and flux paths as

S-N-S-N.
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Generator stator designed within this study has a

coreless structure. For the rotor core, steel which is of M-
19 class and frequently used in electric machines. The
steel used for core is not a linear material. While making
solution, the analysis program applied makes solution
using B-H curve. B-H curve of M19 steel is shown in
Figure 5.
Fig. 6 Distribution of magnetic flux density for axial flux permanent magnet
generator.
Direction of the flux path within the arrangement of the

magnets is shown in Figure 7. Arrangements of the permanent
magnets here are in the form of N-S-N-S and S-N-S-N.
Accordingly, while flux path of the dual magnet group on z
plane is mostly up, flux path of the permanent magnet group
both at its right and left is the opposite. For a clearer
appearance of the flux path, it had been shown in Figure 5
without steel and permanent stator.
Fig. 5 B-H curve of M19 core material.
24 trapezoidal permanent magnets (NdFeB) and 9 coreless

coils in total have been used in the machine shown in Figure 1.
12 magnets have been placed into the single end of the two
rotors for each.. There an air gap of 1mm between the
magnets placed upon the stator and rotor. Average magnetic
flux density is approximately 0,68 Tesla. As a consequence of
all these parameters, power estimated according to equality 1
is approximately 770 W.
III. ELECTROMAGNETIC PROPERTIES OF THE

MACHINE
Distribution of magnetic flux density for 3D model is
given in Figure 6. Flux density values formed around the
magnet have been given. Flux density in windings and steels
has been measured as 0,8-0,9 Tesla. Fig. 7 Appearance of magnetic flux path for axial flux permanent
magnet generator.
IV. THE SIMULATION RESULTS FOR THE MACHINE
Current and voltage values according to the simulation

results of the new designed machine have been given below.
They have been given according to the angular velocity at 500
rpm of the machine.
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Within the Fig. above, coils belonging to each phase and their been given. Within this study, due to the form of design there
relationships with each other have been given. There are three will be much convenience in production. Though the designed
coils per phase for each stator winding here. 3 coils in total machine is coreless, a high power density has been obtained.
have been used for each phase. Resistance has been That the output wave forms are close to sinusoidal reveals that
determined as 1,72 ohm in total for one phase of stator. The design data related to the machine have been properly chosen.
permanent magnets used are trapezoidal, phase voltage and 9 coils and 24 magnets have been used in the machine and
current wave form to be obtained time-dependently have been according to the simulation results at 500 rpm, the machine
demonstrated in Figure 10, 11 respectively. generates approximately 750 W power. The designed
generator within this study offers a solution for both in-wheel
motor-generator in electric vehicles and wind power
applications.
REFERENCES
[1] C. C. Chan, "Axial-Field Electrical Machines - Design And
Applications" IEEE Transactions on Energy Conversion. no. 2, pp.
294–300, 1987.
[2] A. A. Pop, F. Jurca, C. Oprea, M. Chirca, S. Breban, and M. M.
Radulescu, “Axial-Flux Vs. Radial-Flux Permanent-Magnet
Synchronous Generators For Micro-Wind Turbine Application", Power
Electronics and Applications, 15th European Conference, Lille, 2013.
[3] G. Lee and T. Jung “Design Of Dual Structural Axial-Flux Permanent
Fig. 10 Voltage value for A-B-C phase of axial-flux permanent magnet Magnet Generator For Small Wind Turbine”, IEEE Tencon. pp. 90–94,
generator. 2013.
[4] N. F. Lombard and M. J. Kamper, “Analysis And Performance Of An
Ironless Stator Axial-Flux PM Machine”, IEEE Trans. Energy
Convers., vol. 14, no. 4, pp. 1051–1056, 1999.
[5] F. Caricchi, F. Crescimbini, O. Honorati, G. Lo Bianco, and E. Santini,
“Performance Of Coreless-Winding Axial-Flux Permanent-Magnet
Generator With Power Output At”, IEEE Trans. Ind. Appl., vol. 34, no.
6, pp. 1263–1269, 1998.
[6] V.K. Desai, “Scope of Small Wind Turbines in INDIA”, Bulletion on
Energy Efficiency, Rajkot, India, 7 :1-2., 2006.
[7] J. F. Gieras, R. J., Wang, M. J., Kamper, “Axial-Flux Permanent
Magnet Brushless Machines”, Kluwer Academic Publisher, 32-341 p.,
2004.
[8] L. Soderlund, A. Koski, H. Vihriala, J.-T. Eriksson, and R. Perala,
“Design Of An Axial-Flux Permanent Magnet Wind Power Generator”,
1997 Eighth Int. Conf. Electr. Mach. Drives, (Conf. Publ. No. 444), no.
444, pp. 224–228, 1997.
[9] A. Mahmoudi, S. Kahourzade, N.A. Rahim and W.P. Hew, “Design,
Analysis, And Prototyping Of An Axial-Flux Permanent Magnet Motor
Based On Genetic Algorithm and Finite-Element Analysis”, Magnetics,
Fig. 11. Current value for A-B-C phase of axial-flux permanent magnet IEEE Transactions on, vol.49, no.4, pp.1479,1492, April 2013.
generator
It is observed that within the simulations results the output

signal is in the form of alternating current. One of the
advantages of the new designed machine is that generated
wave form is at quite a good level. Data to be obtained at
speed of 500 rmp, roughly 100V voltage and roughly 5A
current are in Figure 10, 11 respectively.
V. CONCLUSION
Aim of this study is to analyze the structurally different

and alternating-current generating axial-flux coreless
permanent magnet synchronous generator design through the
finite element method and to present its performance.
Application of axial-flux coreless permanent magnet
synchronous generator with two rotors and single stators has
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Direct Digital Frequency Synthesizer

Designs in MATLAB
Yunus Emre Acar*, Ercan Yaldız#
*
Selcuk University, Faculty of Technology, Dept. of Electrical and Electronics, Konya, Turkey
#
Selcuk University, Faculty of Engineering, Dept. of Electrical and Electronics, Konya, Turkey
{yacar, eyaldiz}@selcuk.edu.tr
Abstract—This study presents the structure of the Direct Digital

Frequency Synthesizers (DDFSs) which have several advantages
compared to conventional synthesizers such as high frequency, fast
switching speed and low power dissipations. In order to lessen the
physical area and power dissipation, ROM compression techniques
are applied in designs. Bipartite Table Method (BTM) and
Multipartite Table Method (MTM) are utilized in this study because Fig. 1 Principal parts of DDFS
of the fact that they provide high compression rates. By using
MTM, the compression rates of 157.54:1, 726.71:1 and 3463.29:1 A. Phase Accumulator
are obtained at 58.40 dB, 75.30 dB and 84.66 dB SFDR levels,
Phase accumulator is used in DDFS for an adjustable
respectively.
frequency output. It is controlled by an N bit Frequency
Tuning Word (FTW). Several frequencies can be obtained by
Keywords— DDFS, CORDIC, MTM, BTM.
using this digital control word with one clock source.
I. INTRODUCTION Phase accumulator works as an N bit counter and a digital
phase wheel is created. Each of the points on this wheel
Direct Digital Frequency Synthesis is one of the most
correspond the amplitude value of the related phase. The
popular techniques to synthesize frequency for the systems
increment of the counter is determined by the FTW. Fig. 2
requiring specific frequencies, fast switching, low power
illustrates the digital phase wheel idea.
dissipation and small silicon area. There are several methods
using table based or iterative approaches to implement Direct
Digital Frequency Synthesizers (DDFSs). In addition to
natural advantages of the approaches, ROM compression
techniques are applied to reduce the ROM size. Furthermore,
the approaches are enhanced with some modifications offering
trade-off between Spurious Free Dynamic Range (SFDR),
switching speed and the used silicon area.
Direct Digital Frequency Synthesizers (DDFSs) are
commonly used in several areas such as defense industry,
satellite systems, radars, test and measuring equipments, etc.
As distinct from analog or indirect synthesizers, DDFSs
provide high frequency resolution, fast switching speed,
continuous phase switching, small physical area and low
power dissipation [1]. For the last 10 years, works on the
frequency synthesizers are focused on minimizing the used
area and power dissipation while keeping the spectral purity
above an acceptable level [2], [3] and [4]. High frequency
synthesizers are also studied with some recently offered
approaches [5], [6] and [7].
A DDFS consists of three sub blocks which are phase
accumulator, phase to amplitude converter and the digital to
analog converter. Fig. 1illustrates the principle parts of a Fig. 2 Digital Phase Wheel [1]
DDFS.
The frequency of the output signal is
(1.1)
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B. Phase to Amplitude Converter (PAC)

There are two main approaches for phase to amplitude [ ] [ ][ ] (2.3)
conversion in a DDFS. The corresponding amplitude value of
the related phase can be obtained by using Look Up Tables As mentioned earlier, CORDIC is applied as an iterative
(LUTs) or iterative calculations. While table based methods method to calculate some trigonometric functions. Angle ( )
allow operating at higher frequencies, iterative methods of rotation is completed after T sub rotations and evaluated as
provides better spectral purity. Many studies have done about in Eq. (2.4) where is the direction of the rotation.
both methods for the last decade [2], [9], [11] and [12]. The
works about table based methods have generally aimed to { } (2.4)
reduce the ROM size and to increase the Spurious Free
Dynamic Range (SFDR) which shows the spectral purity of is chosen as multiple of so that (2.3) is easily
the generated sinusoid. On the other hand, COordniate applied digitally. The equation can be rearranged as
Rotational Digital Computer (CORDIC) based iterative
methods have been proposed to achieve better SFDR levels. (2.5)
C. Digital to Analog Converter (DAC) (2.6)
DACs are used to convert the digital data taken from the
The gain constant is generally applied as the initial end
PACs to analog signals. DAC part is one of the most
point. P( , 0) is used instead of as the initial end point
important parts of the DDFS and directly related to its
performance. of the vector where ∏ [11].
√
The resolution and sampling frequency of DAC are able to
determine the limits of DDFS. While delta-sigma and R-2R B. Table Based DDFSs
type DACs are beneficial when high resolution is required, Table based methods originally have a simpler idea.
current steering type DACs have sampling rates up to GSPSs ROMs/RAMs are used as LUTs. Phase accumulator is utilized
with comparatively lower resolution. The lower resolution as the address counter of the ROMs.
comes with higher quantizing errors and this cause a The ROM size determines the resolution of the DDFS. The
decrement in SFDR but oversampling may lessen the bigger the ROM size is, the better the resolution is. This was
decrement a little. Addition to all these, the AC and DC the bottleneck of the traditional table based methods. The
characteristics of the DAC are also important and need to be bigger ROM size causes much more power dissipation and
considered at the implementation stage [8]. needs more physical area. ROM compression techniques have
been enhanced to overcome this problem. Quadrant
II. METHODS
compression, Sunderland and Hutchinson methods, Bipartite
A. CORDIC Based DDFSs Table Method (BTM) and Multipartite Table Method (MTM)
are some of the most common ROM compression techniques.
CORDIC is a structure that was proposed by Volder to Quadrant compression technique uses the symmetric
calculate basic trigonometric functions in 1959 [10]. In structure of the sinusoid. Instead of a LUT that stores the sine
CORDIC based algorithms, two-dimension vector rotation values between , a LUT that stores the sine values
idea is used. The vector rotation idea is shown in Fig. 3, and between is used. The most significant two bits of the
the related trigonometric equations are bit phase word determine the quadrant of the phase wheel
and the rest include the phase information. The block diagram
(2.1) of the technique is given in Fig. 4.
(2.2)
Fig. 3 CORDIC Algorithm

Fig. 4 Quadrant Compression Technique [9]
BTM was proposed by Dinechin and Tisserand in 2005 [4].

In CORDIC based DDFS designs, Eq. (2.1) and (2.2) are The technique depends on partial piecewise linear approach.
reformed as Eq. (2.3) where is the gain constant. The axis is divided into equal pieces and is
____________________________________________________________________________________________________________
727
_____________________________________________________________________________________________________________
interpolated separately for each. The equations of the slope III. MATLAB RESULTS
and approximated are There are three main objectives while designing a DDFS.
These are maximizing the SFDR, minimizing the ROM size
(2.7) and increasing the maximum operating frequency as much as
possible. In this paper, the SFDR and ROM size
(2.8) considerations are investigated.
As distinct from the piecewise linear approach, axis is A. BTM Design

divided into larger intervals ( ) and same slope value As mentioned earlier, BTM uses two different tables to
used for the adjacent pieces in larger intervals. Thus, the ROM store the sine amplitude information. While one of them is for
size is efficiently decreased. Fig. 5 shows the piecewise linear initial values, the other one is for the offset values. The size of
approach used in BTM. TIV is calculated as
(3.1)
is the amplitude resolution and is the number of bits
that represents values. values are represented with
bits and the size is calculated as
(3.2)
The sum of and gives the total ROM size.

The compression ratio is evaluated as
(3.3)
The phase information taken from the accumulator

includes and bits. The ROM size depends on these bits
with some bits in bits. Fig. 6 shows the decomposition of
the phase word.
Fig. 5 Bipartite Table Method (BTM) [4]
In BTM, there are two tables to store the values required

for the interpolation. The values are stored in Table of
Initial Values (TIV) with bits and Table of Offsets (TO)
stores information for and part of Eq. (2.8) with
β and bits separately The ROM is addressed by
bits [9].
The linearity of provides opportunity to
make the ROM size smaller. By using this linearity property
(2.10), it can be beneficial to use more than one TO for some
SFDR levels. When the number of TOs is more than one, the Fig. 6 Phase Word Decomposition in BTM Design
technique is called Multipartite Table Method (MTM).
(2.9) TABLE I
BTM RESULTS IN MATLAB
The study of De Caro and his friends shows that the ROM
number of TOs is not proportional to SFDR. The study also Resolution SFDR
size
(bits) (dB)
indicates that SFDR of the DDFS strongly depends on (bits)
numbers. From the point of this view, it is obvious that an 5 2 8 56.22 352
optimization is essential to get best results. If the number of 5 3 8 58.14 448
TOs is more than two then the optimization requires more 5 4 8 56.25 640
complex algorithms and calculations. Moreover, the higher 5 2 10 70.45 960
number of TOs does not ensure smaller physical area in 5 3 10 69.93 1600
compression with two or three TOs for the SFDR levels less 5 4 10 71.80 2880
5 2 12 78.76 3968
than 90 dBc [9]. Thus, this paper is focused on the table based
5 3 12 82.68 7552
methods with one or two TOs.
5 4 12 80.88 14720
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The BTM design results are given in Table I and allow two TABLE II
2 TOS MTM DESIGN RESULTS IN MATLAB
significant deductions. Firstly, it is obvious that increasing the
length of the phase word does not improve the SFDR and it ROM
SFDR
makes the ROM size bigger. So, determining the best size
(dB)
decomposition of the phase word has a great importance. (bits)
Secondly, increasing the amplitude resolution provides better 5 3 2 2 2 57.09 304
SFDR but causes a notable increment in the ROM size. 4 4 2 2 2 55.96 256
4 3 2 3 2 55.32 208
P=10
R=8
B. MTM Design 4 3 3 3 2 59.26 272
MTM is originally based on BTM and requires smaller 4 3 4 3 2 57.02 400
ROM size comparing to it with a negligible decrease in SFDR. 4 3 2 3 4 57.09 256
It is generally preferred when higher SFDR is required 3 3 2 4 4 55.64 400
because BTM provides the same SFDR with a very high ROM 7 3 3 3 3 77.18 1568
size. In this part of the paper, some MTM design results are 7 4 3 2 3 80.34 1664
investigated and are compared with BTM. 6 4 3 3 3 81.98 1056
R=11
P=13
The TIV size calculation in MTM is similar to BTM. Using 5 5 3 3 3 75.20 1152
more than one TO makes the difference in total ROM size. 5 4 3 4 2 78.25 864
The phase word decomposition is given in Fig. 7 where 5 4 5 4 2 73.20 1952
. 4 4 5 5 2 69.04 2160
Table III shows some design results with different and

values at SFDR levels around 57, 75 and 84 dB. It
demonstrates that increasing the number of TOs is more
beneficial at higher SFDR levels. Although the table shows
that increasing the number of TOs in all SFDR levels gives
better results in ROM size, it is not practical. De Caro and his
friends show that the more TO is the better ROM compression
ratio but not the smaller required area for DDFS. Table III
also indicates that it is not possible to get a remarkable
increase in SFDR without increasing and values.
Fig. 7 Phase Word Decomposition in MTM Design
Total ROM size in MTM is calculated as TABLE III

MATLAB DESIGN RESULTS FOR DIFFERENT NUMBER OF TOS
∑ (3.4)
SFDR ROM size Comp.
Techniques
(dB) (bits) Ratio
where is the number of TOs and (3.5) is used to evaluate BTM 57.32 1040 31.51:1
. MTM
P=10
R=8
57.09 304 107.79:1

(2 TOs)
[( ∑ ) ] (3.5) MTM
58.40 208 157.54:1
(3 TOs)
The phase word length and the amplitude resolution BTM 75.31 3008 119.83:1
MTM
R=11
P=13
determine SFDR and ROM size. Some design results are 75.20 928 388.41:1
(2 TOs)
given in Table II. As clearly seen from the table it is possible
MTM
to reach better SFDR by just rearranging the decomposition of 75.30 496 726.71:1
(3 TOs)
the phase word. The results indicate that minimizing α value BTM 84.24 16384 208:1
allows making total ROM size smaller. It is also clear that MTM
R=13
P=16
increasing and values causes a remarkable rise in SFDR. 84.50 1984 1717.68:1
(2 TOs)
While closer α, i and i+1 values provide the best MTM
84.66 984 3463.29:1
compression, it is more complicated to offer any condition for (3 TOs)
the best SFDR. Although there are some algorithms proposed
to find out the best decomposition of the phase word for a
specific SFDR level, there is not any multi-objective IV. CONCLUSIONS
algorithm to optimize both the SFDR and the ROM size. In The DDFS structure has been investigated in this study.
this paper, any algorithm is not used and the results given in The phase accumulator, phase to amplitude converter and
tables show the effect of the parameters. digital to analog converter blocks of the structure has been
mentioned in section I. Later on, CORDIC, BTM and MTM
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based DDFS have been explained in section II. In section III,

table based methods have been focused and some MATLAB
design results have been interpreted. BTM designs are
revealed with two different R values. 59.26 dB SFDR level is
achieved with R=8 and 272 bits ROM size. Increasing the
resolution to 11 bits, 81.98 dB SFDR level is reached with
1056 bits. 157.54:1, 726.71:1 and 3463.29:1 compression
rates are obtained at 58.40 dB, 75.30 dB and 84.66 dB SFDR
levels respectively by increasing the number of TOs.
The main problem of the table based methods is that they
need much more physical area. When advanced ROM
compression techniques such as MTM are applied to minimize
the area, a complex optimization algorithm is required at
higher SFDR levels. There are some beneficial optimization
algorithms to minimize the ROM size at some target SFDR
levels but multi-objective optimization techniques may be
considered as a future work to optimize the sampling
frequency, ROM size and SFDR.
REFERENCES
[1] W. Kester,―A Technical Tutorial on Digital Signal Synthesis‖, Analog

Devices, Tech. tut. , 1999.
[2] A. G. M. Strollo, D. De Caro and N. Petra, ―A 630 MHz, 76 mW
Direct Digital Frequency Synthesizer Using Enhanced ROM
Compression Technique‖, Ieee Journal Of Solid-State Circuits, vol.42,
pp. 350–360, Feb. 2007.
[3] H. Jafari, A. Ayatollahi, and S. Mirzakuchaki, ‖ A low power, high
SFDR, ROM-less direct digital frequency synthesizer‖, IEEE
Conference on Electron Devices and Solid-State Circuits, 2005, 829-
832.
[4] F. Dinechin and A. Tisserand,―Multipartite Table Methods‖, IEEE
Transactions On Computers, vol.54, pp. 319-330, Mar. 2005.
[5] L. Yuan, Q. Zhang and Y. Shi, ―A 2 GHz Direct Digital Frequency
Synthesizer based on multi-channel structure‖, IEEE International
Symposium on Circuits and Systems (ISCAS), 2015, pp.3064 – 3067.
[6] Y.H. Chen and Y. A. Chau, ―A Direct Digital Frequency Synthesizer
Based on a New Form of Polynomial Approximations‖, IEEE
Transactions on Consumer Electronics, vol.56, pp. 436-440, May.
2010.
[7] K. S. Asok and K. P. Sahoo, ―Digital Hardware Optimization for 1.5-
GHz High-Speed DDFS‖, Electronics, Circuits and Systems (ICECS),
2014 21st IEEE International Conference, 2014, pp. 746 – 749.
[8] A. Kılıç, ―Implementation of A Digital Signal Synthesizer With High
Spurious Free Dynamic Range‖, M. Eng. thesis, METU Natural And
Applied Sciences, Turkey, 2006.
[9] D. De Caro, N. Petra, and A. G. M. Strollo, ―Reducing Lookup-Table
Size in Direct Digital Frequency Synthesizers Using Optimized
Multipartite Table Method‖, IEEE Transactions On Circuits And
Systems—I, vol.55, pp. 2116-2127, Aug. 2008.
[10] J. E. Volder, The CORDIC trigonometric computing technique, IRE
Transactions on Electronic Computers, vol.8 , pp. 330–334, Sept. 1959.
[11] T. Menakadevi and M. Madheswaran, ―Direct Digital Synthesizer
using Pipelined CORDIC Algorithm for Software Defined Radio‖,
International Journal of Science and Technology, vol. 2, pp.372-378,
June 2012.
[12] W. Shuqin, H. Yiding , Zang Kaihong and Y. Zongguang, IEEE 8th
International Conference on ASIC ,2009, pp. 1177-1179.
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MEASUREMENTS OF HIGH FREQUENCY

ELECTROMAGNETIC WAVES IN CENTER OF
MUS
Taha ETEM*, Teymuraz Abbasov+
#
Mus Alparslan University
Merkez/Mus, Turkey
t.etem@alparslan.edu.tr
+
Inonu University
Merkez/Malatya, Turkey
teymuraz.abbasov@inonu.edu.tr
Abstract— All electrically powered devices cause electromagnetic

wave exposure on human body and we use them nearly every I. INTRODUCTION
moment in a day. Mobile phones, computers, televisions, hair Electromagnetic waves were created by motion of electric
dryers, lighting systems, etc. they all use electricity and naturally
charges. They have two main component; electric field and
radiate electromagnetic waves. Effects of electromagnetic waves
are not clear but international organizations define limit values
magnetic field. Electric field values are generally shown in
depending on epidemiological studies in this field. In this study volt per meter unit and magnetic field values generally shown
we measure high frequency electromagnetic waves in city center in Tesla unit.[1]
of Mus. Measurements are made at mobile phone frequencies Communication systems often use electromagnetic waves
and results compared with limit values. All measurement for data transfer. Each frequency band of electromagnetic
techniques and limit values are appropriate with Information spectrum has its own specification and characteristic.[2]
and Communication Technologies Authority (ICTA) standards. As it shown in Fig. 1 communication systems use radio-
Measurement points are selected according to population density frequency band of electromagnetic spectrum. Their frequency
in city center.
is less than 300 GHz. Mobile phones, satellites, radar systems,
wireless modems, TV and radio broadcasts use radio-
Keywords— Include at least 5 keywords or phrases frequency band of electromagnetic spectrum. [3]
Fig. 1 Electromagnetic Spectrum[7]
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All electrically powered devices radiate electromagnetic As measurement probe we used WPT mobile frequency
waves. Additionally, some communication devices uses probe. This probe measures only total electric field value of
electromagnetic waves for their purpose and increases 2G, 3G and 4G frequencies. Measurement device and probe
electromagnetic waves they were radiated. are shown in Fig. 2.
World Health Organization (WHO) researches effects of
electromagnetic waves in last three decades. There are a lot of
studies about health effect of electromagnetic waves. But most
of them could not show health effect of electromagnetic
waves clearly. International Commission on Non-Ionizing
Radiation Protection (ICNIRP) determines limit values for
non-ionizing electromagnetic waves. In Table I, ICNIRP limit
values are shown.[4-5]
TABLE I
ICNIRP LIMIT VALUES
E-Field Strength H-Field Strength

Frequency Range
(V.m-1) (A.m-1)
Up to 1 Hz - 3.2 x 104
1-8 Hz 10000 3.2 x 104/f
8-25 Hz 10000 4000/f
25 Hz - 3 kHz 250/f 5
3-150 kHz 87 5
0.15-1 MHz 87 0.73/f
1-10 MHz 87/f0.5 0.73/f
10-400 MHz 28 0.073
400-2000 MHz 1.375/f0.5 0.0037/f0.5
2-300 GHz 61 0.16
In Table I, f values indicates frequency values.

Limit values of electric field for mobile phone frequencies
are more than 40 volts per meter. In Turkey this value is 9.15
volts per meter, so Turkey applies more than four times
lowered limit values on non-ionizing radiation protection.[4]
II. MATERIALS AND METHODS Fig. 2 SMP2 EMR Measurement Device and WPT Probe
In this paper we measured electric field of mobile phone B. Measurement Mode and Standards
frequencies (GSM900, GSM1800, UMTS, LTE) in city center
of Mus. Measurements are made in main streets of the city. Measurements are made in mobile measurement type.
With GPS data we showed measurement results on the map. Measurement device was put on a car and while car was
travelling 30 km/h fixed speed, device measured electric field
A. Measurement Device and Probe of the medium. Measurement instances are taken in every 5
We used Wavecontrol SMP2 electromagnetic radiation seconds.
measurement device. Device specifications are shown below; Measurement results were shown on a map according to
1) 1Hz to 18 GHz Broadband Measurements: With RMS GPS data and field strength.
and Field probes can measure up to 18 GHz. III. MEASUREMENT RESULTS
2) Spectrum Analysis: With a specific probe, spectrum
analysis 1 Hz to 400 kHz. According to measurement results;
3) Weighted Peak Method (WPM): Real time comparison  Maximum measurement value is 5.85 V/m and
in percentage with selected limits. measured in middle of the Ataturk Boulevard.
4) Assessments According to European Directive  Average measurement value is 1.098 V/m during the
2013/35/EU: In accordance with international whole measurement
standards such as ICNIRP, IEC, EN, IEEE, etc.  Comparison of electric field strength values in main
5) GPS Support: GPS module integrated in the instrument. streets from the highest to the lowest: Ataturk
6) Connection Options: USB and Fibre Optic connection Boulevard, Istasyon Street and Cumhuriyet Street.
supported by a PC software. Measurement results are shown in Fig. 3. Green points
show 0-2 V/m electric field strength value. Yellow points
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show 2-4 V/m electric field strength value and Red points
show 4-6 V/m electric field strength value.
Fig. 3 Electric Field Strength Measurement Results in Mus City Center

[2] O. Çerezci, B. Kanberoğlu and Ş. Yener, “Analysis on trending
IV. CONCLUSIONS electromagnetic exposure levels at homes and proximity next to base
stations along three years in a city”. Journal of Environmental
All measurement values are under the limit values of Engineering and Landscape Management, 23(1), 2015, pp.71-81
International Commission on Non-Ionizing Radiation [3] U. Ozen, S. Comlekci, O. Cerezci, and A. Onural, “Evaluation of non-
Protection (ICNIRP) and Information and Communication ionizing radiation around the shortwave diathermy devices”. IEEE
International Symposium on Electromagnetic Compatibility, 2003.
Technologies Authority (ICTA) but some epidemiological [4] BTK, (2015). Elektronik Haberleşme Cihazlarindan Kaynaklanan
shows that electric field values we measured could be Elektromanyetik Alan Şiddetinin Uluslararasi Standartlara Göre
dangerous for human being, especially for the children. In Maruziyet Limit Değerlerinin Belirlenmesi, Kontrolü Ve Denetimi
countries like Italy and Switzerland limit values for mobile Hakkinda Yönetmelik, [online] Available :
http://www.mevzuat.gov.tr/Metin.Aspx?MevzuatKod=7.5.14927&Mev
frequencies in some regions are 2 V/m. Especially red points zuatIliski=0&sourceXmlSearch=cihazlar%C4%B1ndan#
in the map can be dangerous for livings.[6] [5] T. Karadağ, T. Abbasov, and M. Karadağ, “Measuring, Evaluating, and
Lowering output power of some base stations or moving Mapping the Electromagnetic Field Levels in Turgut Ozal Medical
base stations to less dangerous places in the city center can be Center Building and Environment”, J. Turgut Ozal Med. Cent., vol. 21,
no. 3, 2014, pp. 186–195.
a solution for high electric field values [6] G. Ziegelberger, A. Dehos, B. Grosche, S. Hornhard, T. Jung, W.
Weiss “Childhood Leukemia Risk Factors and the Need For an
REFERENCES Interdisciplinary Research Agenda” Progress in Biophysics and
[1] S. S. Şeker, “VHF/UHF radiowave propagation through forests: Molecular Biology, 107, 2011, pp 312-314.
modeling and experimental observations” IEEE Proceeding-H., vol. [7] (2016) Microworld website. [online]. Available:
139-1, 1992. http://www2.lbl.gov/MicroWorlds/ALSTool/EMSpec/EMSpec2.html
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Simulink Model for Piece Wise Linear

Approximation of Memristor
Ahmet Solak*, Saadetdin Herdem*
*
Department of Electrical Electronics Engineering, Selcuk University
Konya, Turkey
ahmetsolak@selcuk.edu.tr
sherdem@selcuk.edu.tr
Abstract— Memristor is a passive circuit element Voltage

which firstly presented to science world by Leon Chua in 1971. 𝑑𝑣 (v) 𝑑𝑞
Chua showed a missing link among four fundamental circuit 𝑅= 𝐶=
variables which generate basic passive circuit elements. Chua 𝑑𝑖 𝑑𝑣
described this missing link between charge and flux, named it as
memristor. Memristor is firstly realized by Stanley Williams and
his team from HP (Hewlett Packard) research laboratories in Current (i) Charge (q)
2006. In this study, doped and undoped TiO2 are sandwiched
between two Pt layers in nano scale. And this element
demonstrated voltage-current characteristic like memristor.
Physically implementation of memristor is announced with a 𝑑𝜑 𝑑𝜑
paper to science world in 2008. The studies about memristor 𝐿= 𝑀=
have quite increased along with this study. 𝑑𝑖 Flux (ɸ) 𝑑𝑞
In this paper, a new PWL (Piece Wise Linear) memristor model
is obtained thereby linearizing current-voltage characteristic of Fig.1 Passive circuit elements and relationship between circuit variables
memristor. The equivalent circuit is derived from this model,
built in Simulink and results are observed. The results are
compared with other studies in literature and obtained results
have been shared.
As the name memristor consists of a combination
of the words memory and resistor. Theoretically,
Keywords— Control Equations, Equivalent Circuit, Memristor,
PWL Model, Simulink Model this element will protect last electrical quantities
such as voltage or current even if energy cuts off on
it. Therefore, memristor shows memory
I. INTRODUCTION
characteristic. Memristor also has resistor
Memristor is a semiconductor passive circuit characteristic due to its definition equation which
element which is firstly proposed to science world shown in (1). When this equation derived from type
by nonlinear circuit theorist Leon Chua in 1971 [1]. of voltage and current, equation (2) is obtained.
Fundamental passive circuit elements defined by This equation is a kind of charge dependent resistor
four fundamental circuit variables: voltage, current, like Ohm’s Law. Memristor characterized by
charge and flux. For instance; resistor is derived “memristance” as shown (1) and has electrical unit
from relationship between voltage and current, “ohm”.
capacitor is derived from relationship between
voltage and charge and inductor is derived from 𝑑𝜑
𝑀(𝑞) = 𝑑𝑞 (1)
relationship between current and flux. Chua noticed
that there is a missing link between charge and flux.
𝑑𝜑 𝑉(𝑡)
And defined this missing link as “ 𝑀 = 𝑑𝑞 ” and 𝑀 𝑞 𝑡 = 𝐼(𝑡) (2)
named it “memristor”. Passive circuit elements and
definitions of these elements from fundamental Voltage-current (V-I) characteristic of memristor
circuit variables are shown in Fig.1. has a hysteresis curve. In this characteristic,
memristance value of memristor changes between
high and low resistance values according to applied
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voltage. I-V characteristic of memristor is shown in In 2008, 37 years after the definition of
Fig.2. Memristor is also a frequency dependent memristor, Stanley Williams and his team from HP
circuit element which was mentioned before in (Hewlett-Packard) announced that the memristor is
Chua’s paper [2]. And Chua gave frequency physically implemented [3]. The team used TiO2
dependent I-V characteristic of memristor in this which is a semiconductor material in this study.
paper which is shown in Fig.3. According to this Pure TiO2 has high resistance and doped TiO2 with
figure, when applied frequency is increased, oxygen vacancies has lower resistance. These two
hysteresis curve of characteristic narrows. And kinds of TiO2 sandwiched between two Pt layers
when frequency goes to infinity, I-V characteristic and so element is obtained. Fig.4 shows HP
becomes linear as resistor characteristic. memristor model. In this model, there is a thin film
between pure and doped sides. Position of this film
i changes depending on energy flows from where.
When energy flows from doped side to pure side,
memristance value decreases. Otherwise, when
energy flows from pure side to doped side,
memristance value increases. These changes consist
of depending on ion mobility. So, HP memristor
model also called as linear ion drift model.
Fig.4 HP memristor model
Fig.2 I-V characteristic of memristor

After physically implementation of memristor,
interest in memristor is increased dramatically.
i ω→∞ Studies about memristor have been accelerated by
modelling memristor and using these models in
various circuits [4]-[12]. Modelling of the
ω2 memristor could also be a milestone for
applications that cannot be done before because of
ω1 the lack of available circuit elements and for new
circuit applications which previously unthinkable
but could be considered with existence of
memristor.
2>1 v
In this paper, one of the memristor model PWL
(Piece Wise Linear) memristor model design will
be made using the model in Simulink. I-V
characteristic and M-V characteristic of proposed
memristor model will be shared. And also these
results will be compared with other studies which
described in literature. Suggestions and new future
Fig.3 Frequency response of memristor’s I-V characteristic [2]
studies about memristor and proposed model will
be written in conclusion part.
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II. METHODOLOGY In Fig.6, memristor model consists of signal

A. PWL (Piece Wise Linear) Memristor Model generator block, derivative block, embedded matlab
Linear ion drift model [3], nonlinear ion drift function block, to workspace blocks and scopes.
model [4], [5] and Simmons tunnel barrier model Generator block generates sinus signal which has
[4], [5] are memristor models which are in nano v(t)=3.999sin(2t) value. Derivative of signal is
size. PWL model is different from them is a model taken by derivative block. Commands that consist
which depend on I-V characteristic of memristor of control equations for operating model are written
[12]. The goal of this model, linearization of I-V in embedded matlab function block. The operation
characteristic of memristor and so obtain new of this block as follows: Generated signal and
equivalent circuit models for memristor and using derivative signal which is generated by derivative
this circuit models in memristor based circuit block are input parameters of embedded matlab
applications and future circuit applications. PWL function. Processed signals in this block are
memristor model is shown in Fig.5. obtained as output current and memristance. These
current and memristance values are transferred to
i workspace by “to workspace” block. In workspace,
2 current-voltage and memristance-voltage
characteristics are achieved by “plot” command.
Also time dependent changes of voltage, derivative
1 of voltage, current and memristance values have
been observed by scopes. Fig.6 shows voltage and
v derivative of voltage graphics. Top graph is voltage
versus time, bottom graphic is derivative of voltage
3 versus time. Fig.7 shows current and memristance
4 graphics. Top graph is current versus time; bottom
graph is memristance versus time.
Fig.5 PWL memristor model
B. Proposed PWL (Piece Wise Linear) Memristor Model

In this paper, a different PWL memristor model is
proposed. Current-voltage characteristic and
memristor-voltage characteristic of the proposed
model are compared with existing publications in
the literature. Proposed PWL memristor model is
shown in Fig.6. Fig.6 v and dv/dt graphics versus t
Fig.6 Proposed memristor model in simulink Fig.7 i and m graphics versus t
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C. Results and Comparisons other models have nonlinear characteristics. The

In this section, results of proposed model and outlines of characteristics are same without this
comparison of this model with other publications difference. Comparison of I-V and M-V
will be given. characteristics are shown in Fig.10 and Fig.11
Current-voltage characteristic and memristance- respectively. In Fig.10; red line represents
voltage characteristic of proposed memristor model Vourkas& Sirakoulis model, green line represents
is shown in Fig.8 and Fig.9 respectively. Joglekar& Wolf model and cyan line represents
proposed model. In Fig.11; green line represents
I-V Characteristic of Proposed Model
2 Vourkas& Sirakoulis model, red line represents
1.5
2 Joglekar& Wolf model and cyan line represents
1 3
proposed model.
Current (mA)
0.5
0 1
Comparison of I-V Characteristics
-0.5 2
-1 1.5
4
-1.5 1
Current (mA)
-2 0.5
-4 -3 -2 -1 0 1 2 3 4
Voltage (V) 0
Fig.8 I-V characteristic of proposed model -0.5
-1 Vourkas&Sirakoulis
Joglekar & Wolf
-1.5
M-V Characteristic of Proposed Model Proposed Model
8 -2
-4 -3 -2 -1 0 1 2 3 4
Voltage (V)
7
Fig.10 Comparison of I-V characteristics
6
Memristance (k)
5 Comparison of M-V Characteristics

10
4
3 8
Memristance (k)
2
6
1
-4 -3 -2 -1 0 1 2 3 4
Voltage (V) 4
Fig.9 M-V characteristic of proposed model 2

Vourkas&Sirakoulis
Joglekar&Wolf
I-V characteristic of proposed memristor model is 0

-5 -4 -3 -2 -1 0 1 2
Proposed Model
3 4 5
Voltage (V)
obtained according to control equations. Written Fig.11 Comparison of M-V characteristics
control equations for processing of model are as
follows: This study is also an improved version of our
previous study [15]. The results of previous study
𝑑𝑣
1. 𝑟𝑒𝑔𝑖𝑜𝑛 𝑓𝑜𝑟 −𝑉2 ≤ 𝑣 ≤ 𝑉2 𝑎𝑛𝑑
>0 and these results are compatible. Also the results of
𝑑𝑡 this study are more compatible to Vourkas&
𝑑𝑣
2. 𝑟𝑒𝑔𝑖𝑜𝑛 𝑓𝑜𝑟 𝑉1 ≤ 𝑣 ≤ 𝑉2 𝑎𝑛𝑑 <0 Sirakoulis and Joglekar& Wolf models. Previous
𝑅𝑒𝑔𝑖𝑜𝑛 = 𝑑𝑡
𝑑𝑣 study had a gap between first and last values of
3. 𝑟𝑒𝑔𝑖𝑜𝑛 𝑓𝑜𝑟 −𝑉1 ≤ 𝑣 ≤ 𝑉1 𝑎𝑛𝑑 <0 both characteristics but in this study the gap is
𝑑𝑡
𝑑𝑣 vanished. And so this model provides more suitable
4. 𝑟𝑒𝑔𝑖𝑜𝑛 𝑓𝑜𝑟 −𝑉2 ≤ 𝑣 ≤ −𝑉1 𝑎𝑛𝑑 <0
𝑑𝑡 results.
I-V and M-V characteristics of proposed model III. CONCLUSION

are compared with other publications [13], [14]. In this paper, a new PWL memristor model is
Vourkas& Sirakoulis and Joglekar& Wolf models proposed. I-V and M-V characteristic of this model
are based on HP memristor model. Proposed model are obtained and compared with other publications
is based on PWL memristor model so there is a [13]-[15]. The results of proposed model are better
difference between these characteristic because of than results of [15]. This model will be used
that. Proposed model has linear characteristics but different circuit applications for future studies.
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REFERENCES [9] C. K. Volos, I.M. Kyprianidis, I. N. Stouboulos, E. Tlelo-Cuatle and S.

Vaidyanathan, “Memristor: A new concept in synchronization of
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Circuit Theory, vol. 18, no. 5, pp. 507-519, 1971 Technology Review, vol. 23,no. 2, pp.157-173.
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systems", Proceedings of the IEEE, vol. 64, no. 2, pp. 209-223, 1976. resistive random access memories: Materials, switching mechanisms,
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memristor found",Nature, vol. 453, no. 7191, pp. 80-83, 2008. 83, pp. 1-59, 2014.
[4] Kvatinsky, E. Friedman, A. Kolodny and U. Weiser, "TEAM: [11] V. T. Pham, C. K. Volos, S. Vaidyanathan, T. P. Le and V. Y. Vu, “A
ThrEshold Adaptive Memristor Model", IEEE Trans. Circuits Syst. I, memristor-based hyperchaotic system with hidden attractors:
vol. 60, no. 1, pp. 211-221, 2013. Dynamics, synchronization and circuital emulating,” Journal of
[5] M. Pickett, D. Strukov, J. Borghetti, J. Yang, G. Snider, D. Stewart and Engineering Science and Technology Review, vol.8, no.2, pp.205-214.
R. Williams, "Switching dynamics in titanium dioxide memristive [12] D. Wang,Z. Hu,X. Yu and J.Yu “A PWL model of memristor and its
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EKF Based Generalized Predictive Control of Nonlinear Systems

Erdem Dilmen# , Selami Beyhan+
# Mechatronics Engineering, Pamukkale University,
Denizli, Turkey 20020, edilmen@pau.edu.tr
+ Electrical and Electronics Engineering, Pamukkale University,
Denizli, Turkey 20070, sbeyhan@pau.edu.tr
Abstract— In this paper, Autoregressive with exogenous input In this study, particular type DNN and AutoRegressive
(ARX) and dynamic neural network (DNN) based generalized with eXagenous input (ARX) model based GPC are per-
predictive control (GPC) methods are designed to control of formed. ARX is a linear model while both linear and
nonlinear systems. ARX and DNN models adaptively approxi-
mate the plant dynamics and predict the future behavior of the nonlinear dynamics exists in the DNN model. Models are
nonlinear system. While control process goes on, the poles of trained by extended Kalman filter (EKF). In addition to
the ARX and DNN models are constrained in a stable region adaptation of the parameters, poles are adapted such that
using a projection operator for structural stability. Simulation they are bounded to maintain stability of the model. Thus,
results are given to compare the tracking performances of the quick and stable online identification is obtained. In nu-
methods. ARX-GPC and DNN-GPC both yield good tracking
performances while keeping the changes in control signal as merical simulations, bioreactor and continuously-stirred tank
low as possible. The simulation results show that even though reactor (CSTR) benchmark systems are controlled using two
ARX is a linear model, it provides acceptable tracking results methods and results are compared.
as well as DNN model. Rest of the paper is organized as follows. In Section II,
Keywords: Generalized predictive control, ARX, dynamic DNN and ARX models are presented, model stability and
neural network, Kalman filter and extended Kalman filter,
nonlinear systems and adaptive learning rate. EKF-based training are introduced. GPC and ARX and DNN
based GPC are detailed in Section III. Simulations are given
I. I NTRODUCTION in Section IV. Finally, paper is concluded in Section V.
Identification of systems with unknown mathematical II. I DENTIFICATION M ODELS

model, control and fault detection studies keep their impor- In this section, ARX model and the DNN model which
tance up-to-date [1]. It is a hard task to obtain a mathematical is used in continuous time adaptive control in [13] will be
model in complex systems. In addition, need for system studied for discrete time GPC. Section II-A and II-B present
modelling emerges due to unceartinity, disturbances and the ARX and DNN models while Section II-C introduces the
noises. In such cases, robust or adaptive control thecniques model stability. Finally, EKF-based training of the models is
should be adopted to design a controller [8]. In adaptive given in Section II-D.
control, an appropriate model is selected to approximate the
actual system model. Artificial neural network (ANN) and A. ARX Model
fuzzy networks are widely used as function estimators [25], ARX model is simple and linear. Consider nu and ny are
[2]. the past input and output samples to construct tha ARX data.
GPC is a class of model-based predictive control. When Let (1) give the output equation of a system at time isntant
dynamics of the system are not known, the model which k whose explicit output expression is unknown.
identificates the system has a crucial role in both predicting
yk =f (ck )
the future behaviour of the system and generating the future (1)
control signals. In each sampling instant first one of the ck =(uk , uk−1 , . . . , uk−nu , yk−1 , . . . , yk−ny )
produced control signals is applied to the system [3], [4]. The Output can be approximated linearly by a parameter vector
models which are able to adapt to the changing dynamics of θk ∈ Rnu +1+ny such as
systems improve GPC performance. Artificial neural network
(ANN) [20], [21] and support vector machine (SVM) [9], ŷk = ck θkT (2)
[14] can be adopted in GPC studies.
B. Dynamic Neural Network
DNNs [19] have a recursive structure. Internal states and
external inputs constitute the actual inputs of these networks Figure 1 presents internal dynamics of one neuron in the
which are widely used in function approximation. DNNs can dynamic NN. States of the neurons are updated in discrete-
approximate complex nonlinear dynamics due to the merits time as given in (3) and (4).
of recursive structure and nonlinear activation function [22]. x̂k+1 = Dx̂k + AT(x̂k ) + Bck (3)
Ususally they are used in prediction [6], fault detection [12],
adaptive control [16] and GPC [24]. ŷk = Cx̂k (4)
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Here, x̂ ∈ Rn is state vector, c ∈ Rm and ŷ ∈ Rm are input C. Model Stability

and output vectors respectively. Nonlinear activation function The results in [7], [10] were reviewed to analyze the
T(.) is tangent hyperbolic function and is expressed as stability of the models and stability conditions given in [15]
 
tanh(x̂1k ) were followed in this study.
T(x̂k ) = 
 .. 
(5) First, ARX model stability is analyzed. In the simulations
. 
ARX model is used as a second order IIR (Infinite Impulse
tanh(x̂nk ) Response) filter since ny = 2 is taken (see Section IV).
ex − e−x Parameters in the parameter vector θk which correspond to
tanh(x) = (6) the past output samples are constrained with the stability
ex + e−x
condition as following.
B ∈ Rn×m , C ∈ Rm×n and the matrices D and A are as 
follows.   1 − θk,nu +2 + θk,nu +3 > 0

d1
.. 1 + θk,nu +2 + θk,nu +3 > 0 (9)
D= (7)
 
.  

1 − θk,nu +3 > 0
dn n×n
  Second, DNN model stability is analyzed. State equation
a1 belonging to the ith neuron in the discrete-time DNN model
A=
 .. 
(8) is given by
. 
an n×n x̂i (k + 1) = di x̂i (k) + ai T (x̂i (k)) + bi ui (k) (10)
DNN model consists of linear ARX (AutoRegressive with
i = 1, ..., n. k is the time index, definition of the vari-
ables and model matrices are given in the previous section.
Discrete-time state solution of the model given x̂(0) = x̂0 as
the initial state is obtained as follows.
k−1
X
x̂(k) = Dk x̂0 + Dk−1−i (AT(x̂(i)) + Bu) (11)
i=0
Stability of the DNN model is directly related to the stability

of the states since output vector of the DNN model is linearly
related to the states as given in Equation (4). Neuron in
Fig. 1. Dynamic neuron structure. Equation (10) can be considered as a first order ARX model.
Stability of the DNN model expressed in Equation (3) is
eXogeneous input) model and nonlinear function tanh(.). guaranteed by satisfying the following conditions.
Thus, identification of linear and nonlinear dynamic systems | di |<1
is aimed in a quick and efficient way.
ai 6=0 (12)
This model can be considered as sparsed Hopfield type
network in means of inter-neuron connections. Connection bij 6=0, i = 1, ..., n, j = 1, ..., m
of each neuron with itself brings to the netwok dynamic Generally, bij 6= 0 is needed to be satisfied not for the
propoerty. Dashed lines in Figure 1 show nonexisting con- internal stability but for the input to have effect on the output.
nections. From this aspect, model is diagonal. Figure 2
presents diagonal dynamic model. D. Inequality Constrained EKF Based Training
Inequality constrained EKF (ICEKF) is used to train model
parameters. Parameter adaptation equations of ICEKF will
be given in Section II-D.1 and training of models will be
detailed in Section II-D.2.
1) ICEKF: State-space represntation of a nonlinear
discrete-time system is given below.
xk = f(xk−1 ) + wk−1 (13)
yk = h(xk ) + vk (14)
n m
Here, x ∈ R is state vector, y ∈ R is system output,
f(.) is nonlinear process function vector, h(.) is nonlinear
measurement function vector, w ∈ Rn is process noise and
Fig. 2. Diagonal dynamic model. v ∈ Rm is measurement noise, which both are Gaussian
white noises. Extended Kalman filter can be summarized
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in two steps given Q and R are covariance matrices cor- In (22), P ∈ Rt×t , t = 2(n + n × m) is estimation error
responding to process and measurement noises respectively. covariance matrix of the parameters in the vector θ and Jh
Time Update is updated as follows.
x̂− ∂ŷ(θ̂k− )
k =f(x̂k−1 ) Jh (θ̂k− ) = (23)
P− T
(15) ∂ θ̂k−
k =Jf (x̂k−1 )Pk−1 Jf (x̂k−1 ) + Qk−1
T − − − T −
Kk =P−
k Jh (x̂k )(Jh (x̂k )Pk Jh (x̂k ) + Rk )
−1 Projection onto the constraint space is taken as in (20) to
satisfy the constraints in (9) for ARX model while in (12)
Measurement Update for DNN model. For the DNN case, states are updated as
in (3) using the parameters which are updated satisfying the
x̂k =x̂− −
k + Kk (yk − h(x̂k ))
(16) constraints. Thus, states are not the ones which are estimated
Pk =(I − Kk Jh (x̂− −
k ))Pk optimally but parameters in the vector θ are.
In (15) and (16), P ∈ Rn×n is state estimation error III. ARX AND DNN BASED G ENERALIZED P REDICTIVE
covariance matrix and Kk is Kalman gain. Jf (.) and Jh (.) C ONTROL
are given in (17) and (18). Section III-A briefly introduces GPC while Section III-
B and III-C detail the ARX-based and DNN-based GPC

∂f(x)
Jf (x̂k−1 ) = (17) respectively.
∂x x=x̂k−1
A. GPC
− ∂h(x)
Jh (x̂k ) = (18) Let us have a NARX (Nonlinear Auto-Regressive with
∂x x=x̂−
k eXogeneous input) data model for a nonlinear system [9].
Let us consider there exist inequality constraints on states as yn = f (un , un−1 , . . . , un−nu , yn−1 , . . . , yn−ny ) (24)
given below in state estimation by ICEKF.
As ỹn is the reference signal and ŷn is the model output, GPC
Mx̂ ≤ N (19) aims to have the model output track the reference signal with
Parameteres must be within the constraint space to satisfy minimum tracking error possible while keeping the changes
the constraints. By this reason, projection is taken onto the in the control signal as low as possible. Constraints exist on
constraint space [17]. the control signal.
x̃k =x̂k − Pk MT (MPk MT )−1 (Mx̂k − N) Ky

X
T
dPk =Pk M (MPk M ) T −1
M (20) min f(u) = (ỹ[n + k] − ŷ[n + k])2 +
u
k=1
P̃k =Pk − dPk Pk Ku
X
(20) presents the projection onto the constraint space as it λ (u[n + k] − u[n + k − 1])2
yields the final optimum state estimation. x̃k and P̃k stand for k=0
projected state estimation and corresponding error covariance =(Ỹ − Ŷ)T (Ỹ − Ŷ) + λuT Lu
matrix respectively. − 2λu[n]u[n − 1] + λu2 [n − 1]
2) Training of Models by ICEKF: Parameters of the
Constraints :umin ≤ u[n + k] ≤ umax , k = 0, 1, . . . , Ku
ARX model exist directly in the parameter vector θ while
parameters of the DNN model are in the matrices A, B, C ve ku[n + k] − u[n + k − 1]k ≤ 4umax , k = 1, . . . , Ku
D. In ARX case θ ∈ Rnu +1+ny . In DNN case, a parameter (25)
vector θ ∈ R2(n+n×m) is generated as in (21) similar to [11] 
2 −1 0 . . . 0 0

and [18].  −1 2 −1 . . . 0 0 
a =[a1 ...an ]T 
 ..


 0 −1 2 . 0 0
b =[b11 ...bnm ]T

 
L= . .  (26)
c =[c11 ...cmn ]T (21)  0
 0 −1 . −1 0 
T
 .. 
d =[d1 ...dn ]  0
 0 0 . 2 −1 
θ =[aT bT cT dT ]T ..
0 0 0 . −1 1
When the parameter vector is obtained, parameters in both λ, penalyzes the abrupt changes in control signal. Ku and
models are updated as follows. Ky are horizon values up to how many future control inputs
θ̂k =θ̂k− + Kk (yk − ŷ(θ̂k− )) and model outputs will be claculated. Always, Ku < Ky is
satisfied. Ỹ = [ỹ1 . . . ỹKy ]T ∈ RKy and Ŷ = [ŷ1 . . . ŷKy ]T ∈
Kk =P− T − − − T −
k Jh (θ̂k )(Jh (θ̂k )Pk Jh (θ̂k ) + Rk )
−1
(22) RKy . At each time isntant, to make the system output track
Pk =(I − Kk Jh (θ̂k− ))P−
k the reference signal for future Ky samples, control input
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741
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vector u ∈ RKu +1 is generated and first element in the vector Thus, partial derivative expression will be
is applied to the system. To predict the future behaviour of ny
the system whose output function is unknown, an appropriate δ ŷk+l X δ ŷk+l−i
= θk,nu +1+i δ1 (k − i − 1)+
model to approximate that system is used. Also that model δuk+h i=1 δuk+h
is utilised for the gradient information which is necessary to nu
( (34)
update the control signal at each time instant. This update is
X θk,i+1 δk−i,h k − Ku < i
expressed as follows. i=0
θk,i+1 δKu ,h k − Ku ≥ i
uk = uk−1 + 4u (27) δ1 is the unit step function. Obtained partial derivative is

substituted in (29) and (30) to obtain the gradient vector
When Gauss-Newton modification is employed, and Hessian matrix.
2 −1
δ f (u) δf (u)
4u = −µ (28) C. DNN Based GPC
δu2 δu
Since the system is approximated by DNN model, δδu
Ŷn
is
is obtained and µ denotes the step size. It can be calculated
obtained based on that model. Using (3) and (4), model
optimally using one of the one-dimensional optimization
output can be written alternatively as following.
methods in the literature. Gradient vector is the following.
  n
!T λu[n − 1] ŷk =
X
cj (dj xj + aj T(xj ) + [bj1 . . . bjm ]uk ) (35)
δf (u) δ Ŷn  0 
j=1
= −2 (Ỹn −Ŷn )+2λLu−2 
 
..
δu δu

 . 
0 vjk = [bj1 . . . bjm ]uk (36)
(29)
If derivative of (29) is taken to obtain Hessian matrix, a term n
X

δ 2 Ŷn
is generated. But it can be ignored since it has small ŷk = cj (dj xj + aj T(xj ) + vjk ) (37)
δu2
j=1
value. Thus, Hessian is approximated as
!T ! And the future output prediction by the model is given by
δ 2 f (u) ∼ δ Ŷn δ Ŷn
=2 + 2λL (30) n
δu2 δu δu X
ŷk+l = cj (dj xj + aj T(xj ) + vj,k+l ), l = 1, . . . , Ky
j=1
Considering (24), model output depends on the control
(38)
signals who have a time index value which is smaller than where
or equal to that of the model output. Thus, the term δδu Ŷn
ny nu
(
is expressed as follows. X X bj,i+1 uk+l−i k − Ku < i
vj,k+l = bj,nu +1+i ŷk+l−i +
 δŷ[n+1] δ ŷ[n+1]  i=1 i=0
bj,i+1 uk+Ku k − Ku ≥ i
δu[n] δu[n+1] 0 ... 0 (39)
 δŷ[n+2] δ ŷ[n+2] δ ŷ[n+2]
... 0

δ Ŷn  δu[n] δu[n+1] δu[n+2]  Thus, partial derivative expression will be
= . . . . ..

δu  .. .. .. .. .

n
  δ ŷk+l X δvj,k+l
δ ŷ[n+Ky ] δ ŷ[n+Ky ] δ ŷ[n+Ky ]
. . .
δ ŷ[n+Ky ] = cj (40)
δu[n] δu[n+1] δu[n+2] δu[n+Ku ] δuk+h j=1
δuk+h
(31)
Computational load of the derivatives depends on the model.
ny
δvj,k+l X δ ŷk+l−i
B. ARX Based GPC = bj,nu +1+i δ1 (k − i − 1)+
δuk+h i=1
δuk+h
Since the system is approximated by ARX model, δδu Ŷn
is nu
( (41)
X bj,i+1 δk−i,h k − Ku < i
obtained based on that model. Considering (2), future output
prediction by the model is given by i=0
bj,i+1 δKu ,h k − Ku ≥ i
ŷk+l = ck+l θkT , l = 1, . . . , Ky (32) δ1 is the unit step function. Obtained partial derivative is
substituted in (29) and (30) to obtain the gradient vector
It can be written explicitly and Hessian matrix.
ny
X
ŷk+l = θk,nu +1+i ŷk+l−i + IV. C OMPUTER S IMULATIONS
i=1
nu
( (33) ARX-based and DNN-based GPC controllers were tested
X θk,i+1 uk+l−i k − Ku < i on bioreactor [5] and continuously stirred tank reactor [23]
i=0
θk,i+1 uk+Ku k − Ku ≥ i systems.
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A. Bioreactor Control controllers are compared in terms of Root-Mean-Squared-

Bioreactor is a second order benchmark system to test Error (RMSE)PN and power of the produced control signal
tracking performance of the controllers. (Pu = N1 k=1 | u[n] |2 ) in Table I. ARX-based GPC

x2 (t)
TABLE I
ẋ1 (t) = − x1 (t)u(t) + x1 (t)(1 − x2 (t))e η
C OMPARIOSN OF TRACKING RMSE AND Pu BY ARX- BASED AND
ẋ2 (t) = − x2 (t)u(t) DNN- BASED GPC CONTROLLERS IN BIOREACOTR SYSTEM .

1+β

x2 (t)
+ x1 (t)(1 − x2 (t))e η Controller RMSE tracking Pu
1 + β − x2 (t) ARX-based GPC 0.0105 1.3401
ηnom = 0.48, β = 0.02, y(t) = x1 (t) DNN-based GPC 0.0099 1.2952
(42)
x1 (t) and x2 (t) are cell concentration and amount of nu-
trients per volume. Control signal u(t) is the flow rate. η controller tracks the reference signal with little oscillations
is time-varying parameter of the process and has a nominal while DNN-based GPC controller performs smoother track-
value of 0.48. Controllers were employed to make the reactor ing as expected. However, it has more overshoot compared to
output track desired reference value with minimum tracking ARX-based GPC. Control signal is less agressive in DNN-
error possible. GPC parameters are Ky = 10, Ku = 2, based GPC. ARX-based GPC has still acceptable tracking
λ = 0.01, umin = 0, umax = 2, 4umax = 0.2, nu = 2, performance.
ny = 2. Sampling period is Ts = 0.01 s. For the DNN-
Ky=10 | Ku=2 | l=0.01 | umin=0 | umax=2 | dumax=0.2 yref
based GPC case, number of states is set n = 5. In the 0.25
y
simulation, η(t) = 0.48 + 0.06sin(0.05πt) oscillates around 0.2
its nominal value. Figure 3 shows reference tracking and 0.15
0.1
produced control signal by ARX-based GPC controller while
0.05
Figure 4 shows time evolution of parameters. Similarly, 0
0 50 100 150 200 250 300
t
Ky=10 | Ku=2 | l=0.01 | umin=0 | umax=2 | dumax=0.2
0.2 yref 2
y
0.15 1.5
u(t)
0.1 1
0.05 0.5
0
0 50 100 150 200 250 300 0
0 50 100 150 200 250 300
t
t
2
1.5
Fig. 5. Bioreactor reference tracking and control signal produced by DNN-
u(t)
1
based GPC controller.
0.5
0
0 50 100 150 200 250 300
t
D parameters A parameters
0.3 0.3
Fig. 3. Bioreactor reference tracking and control signal produced by ARX-
0.2 0.2
0.1 0.1
0 0
Parameters −0.1 −0.1

1.4 0 100 200 300 0 100 200 300
t t
1.2 B parameters C parameters
0.6 0.6
1
0.4 0.4
0.8
0.6
0.2 0.2
0.4 0 0
0.2 −0.2 −0.2

0 100 200 300 0 100 200 300
0 t t
−0.2
0 50 100 150 200 250 300
t
Fig. 6. Time evolution of parameters in control of bioreactor by DNN-
Fig. 4. Time evolution of parameters in control of bioreactor by ARX-based
GPC controller.
Figure 5 shows reference tracking and produced control B. CSTR Control

signal by DNN-based GPC controller while Figure 6 shows Continuously stirred tank reacotr is a third order highly
time evolution of parameters. Tracking performances of the nonlinear system on which tracking performance of the
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controllers were tested. y
1 − x1 − Da1 x1 + Da2 x22

0.6
ẋ1 =
0.5
ẋ2 = − x2 + Da1 x1 − Da2 x22 − Da3 d2 x22 + u
0.4
ẋ3 = − x3 + Da3 d2 x22 0.3

0 20 40 60 80 100 120
Da1 = 3, Da2 = 0.5, Da3 = 1, d2 nom = 1, y = x3 t
(43) 1
0.8
u(t) is the control signal and d2 is time-varying parameter
0.6
of the process which has a nominal value of 1. Controllers
u(t)
0.4
were employed to make the reactor output track desired 0.2
reference value with minimum tracking error possible. GPC 0
0 20 40 60 80 100 120
parameters are Ky = 10, Ku = 2, λ = 0.1, umin = 0, t
umax = 1, 4umax = 0.1, nu = 2, ny = 2. Sampling period

is Ts = 0.1 s. For the DNN-based GPC case, number of Fig. 9. CSTR reference tracking and control signal produced by DNN-
states is set n = 5. Figure 7 shows reference tracking and
produced control signal by ARX-based GPC controller while
Figure 8 shows time evolution of parameters. Similarly, D parameters A parameters
0.8 1.5
0.6 1
y 0.4 0.5
0.6
0.2 0
0.5
0 −0.5
0 50 100 150 0 50 100 150
0.4 t t
B parameters C parameters
0.3 1.5 0.3
0 20 40 60 80 100 120
t
1 0.2
1
0.5 0.1
0.8
0.6 0 0
u(t)
0.4 −0.5 −0.1

0 50 100 150 0 50 100 150
0.2 t t
0
0 20 40 60 80 100 120
t
Fig. 10. Time evolution of parameters in control of CSTR by DNN-based
GPC controller.
Fig. 7. CSTR reference tracking and control signal produced by ARX-
TABLE II
C OMPARISON OF TRACKING RMSE AND Pu BY ARX- BASED AND
DNN- BASED GPC CONTROLLERS IN CSTR SYSTEM .
Parameters
1
Controller RMSE tracking Pu
ARX-based GPC 0.0505 0.2891
DNN-based GPC 0.0522 0.2924
0.5
ARX-based GPC controller. After the parameters of DNN-

0
based GPC controller sets approximately to their stationary
values, it begins performing as smooth tracking as ARX-
based GPC does. This is the reason why ARX-based GPC
−0.5
0 20 40 60
t
80 100 120 has little smaller tarcking RMSE value.
Fig. 8. Time evolution of parameters in control of CSTR by ARX-based V. C ONCLUSION

GPC controller.
This study presents a comparison of ARX and DNN
models in GPC scheme. Tracking performance of models
Figure 9 shows reference tracking and produced control were compared on bioreactor and CSTR systems which are
signal by DNN-based GPC controller while Figure 10 shows both nonlinear benchmark systems. Even though ARX is a
time evolution of parameters. Tracking performances of the linear model, it has proven to be an acceptable model for
controllers are compared in terms of RMSE and power of the generalized predictive control of nonlinear systems. More-
produced control signal (Pu ) in Table II. It is noticed that in over, structutal stability is maintained in both models by
the first 40 seconds, smoother control signal is produced by constraining the poles in a stable region. As a general result,
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744
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ACTIVE FILTER DESIGN USING

CUCKOO SEARCH ALGORITHM
Ali Fuat Boz*, Murat Erhan Çimen*, Ömer Faruk Boyraz*
*
Electrical and Electronics Engineering, Faculty of Technology in Sakarya University
54054 Sakarya, Turkey
{afboz, muratcimen, oboyraz}@sakarya.edu.tr
Abstract— In this paper, Cuckoo search optimization algorithm Optimization and differential evolution etc., heuristic
is used to selectthe standard component values for active filter algorithms can be used for such a complex and burdensome
design by means of fitness function and constraints in order to problems[1]. These algorithmsgenerally include objective
facilitate design tasks of designers. Conventionally after function expressing the problem and solution space. Thus,
designers solve circuit, they select the nearest
suitable results can be obtained with such difficult problems.
standardcomponent values, which are available in the market,
instead of calculated one. However, this process causes design
errors which have to be recalculated. From this perspective, In the literature, David et al. performed a low pass active
unlike conventional method, Cuckoo Search uses a set of filter design using genetic algorithms. They examined the
solution, which is discreet component values and fitness function effect of the changing crossover and mutation rates to the
to minimize the error. As a result of this work, Cuckoo Search results in the genetic algorithm. They also obtained quite
algorithm has been successfully implemented to this filter design successful results in the standard component selection
process for searching the optimum discreet component values of compared with the conventional methods[2]. Turgay and et al.
the solution space. have made the design, using genetic algorithms, for the
Sallen-Key band pass filter. They made solutions for the
desired frequency and filter gain to find out component values
Keywords— Cuckoo search, filter design, optimization regardless of standard components[3]. Adem Kanali made
solution to find out standard values of low pass filter and
Wien-Robinson filter using Ant Colony algorithm and
I. INTRODUCTION conventional methods. He compared these algorithms each
In the conventionalanalogue circuit design methods, other and demonstrated that Ant Colony algorithm is more
component values are generally considered ideal and limitless. efficient rather than conventional methods[4]. Gandomi and
However, electronic components are produced in specific etc. showed that Cuckoo Search algorithm can be used at the
standard values in order to reduce the design costs. solution of the basic civil engineering problems[5]. Karagul
Consequently, the analogue circuit components to be used are made plastic waste collection application using different
selected from the specific standard components which are algorithms. He saw that the cuckoo search algorithm provided
available in the market. In the traditional methods, designers better results than others[6].
makesome assumptions when they know the status of the
resolution of the analogue circuit in order to facilitate the In this study, classical method and cuckoo search
circuit, to reduce the solution space and to work in the desired algorithm are used to find out standard component values in
circuit status. In these assumptions, some components are the active filter design. Finally, results are compared with
fixed or selected in multiples of one another. This process each other.
allows us to search the solution in a smaller area by narrowing
the solution space. But this gives rise to potential better
solution would be ignored. Also these assumptions restrict the II. CUCKOO SEARCH ALGORITHM
designer and cause some components remain constant value.
These acceptances cause undesirable product errors to be Cuckoo Search Algorithm is proposed by Yang and Deb in
fixed. 2009. Such algorithms typically used in global optimization
In the design of analogue circuits, to reduce the problems[7-8]. Cuckoo Search Algorithm is based on natural
mathematical operation load and loss of time, it has been behaviour of some species of cuckoo called brood parasitism.
proposed different methods correspond to the classical method. Such types of cuckoo that lays its eggs into the appropriate
Inspired by nature as an alternative calculation methods nests and throws eggs from the nests with the possibility of
developed with Genetic Algorithm, Ant Colony Algorithm, hatching. When host bird arrive the nest, it may not recognize
Tabu Search Algorithm, Simulated Annealing, Bee Colony the foreign egg. Therefore, large number of hosts exposed to
Algorithm, Firefly Algorithm, Cuckoo Search, Particle Swarm brood parasitism. But if host bird recognises the foreign egg, it
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may throw the egg from nest or leave the nest to build new
one. Yang and Deb used there idealised rules for this fiction
[7-8]:
 Each bird can lay one egg and drop one egg in a
random nest at a time.
 Quality solutions are transferred to the next
generations.
 The number of nests is constant and host can
discover foreign egg by probability pa∈ (0,1). If it
happens, host can either throws the egg and leaves in
the same nest or abandons the nest to build new one.
Heuristic algorithms reach best solution by means of

global and local searching. To reach the best solution, they
should discover other potential solutions. From this
perspective, Cuckoo search algorithm is developed algorithm
by balancing local random walk and global random walk.
Local random walk equation is expressed as below;
= + ⊗ ( −∈) ⊗ ( − ) (1)
Local random walk, which is expressed the equation (1), Fig 1.Cuckoo Search Algorithm[7]
is determined by a random permutation of x and x . H(u)
Heaviside is step function. While ∈ is a parameter that comes
from gaussian distribution, s is step length. III. ACTIVE FILTER DESING
Global random walk is carried out by Levy Flight as Filter circuit is defined as passing circuit of specified part
following equation; of sent or received signal[9]. While filters are used to be
passed the specific band of signal in Communication,
( , ) Biomedical and Defence Industries, for example in Power
= + (2)
Electronic, they are used to maximize active power by
reducing Total Harmonic Distortion. Filters are classified to
Levy Flight is performed in order to produce new
high-pass filter, low-pass filter, band-pass filter and band-stop
generations. Moreover, not only α > 0 is selected but also
filter. According to the used components, Passive filters
levy flight can be scaled according to problem size.
typically are made of the inductor, capacitor and resistance,
whereas active filters are made of not only resistors,
When looked over the equations, deduced that next status
capacitors, but also amplifiers[10].
depends on current status and transition probability.Best
solution is obtained by keeping good solutions in the solution
set. A. State Variable Active Filter
Cuckoo Search algorithm is given in Fig 1. Firstly, In this work, state variable active filter, as known Kerwin-
objective function, which defines problem, is determined. Huelsman-Newcomb, is used and its schematic image is given
Subsequently, random and limited initial values of solution set in Fig 2. This low pass filter is totally specified by band
of population are assigned and stopcriterion is determined to passgain(H), band pass cut-off frequency ( = 2πf ) and
make the running algorithm stopped. Loop is generated to selectivity factor (Q). These parameters determine the desired
search until the suitable solution is obtained. In the loop, new operating status of filter. Kerwin-Heulsman-Newcomb Active
potential solution is generated by Levy Flight and if the Filter is used and its parameters are expressed as below [2- 4-
potential solution was better than old ones, new potential 10]
solution was kept by evaluating their fitness. After that, as a ( + )
= ,
part of this algorithm feature, new potential solution is ( + )
generated by probability of pa and better ones kept again. 1
After the iteration accomplished, stop criteria checked again. = , (3)
If stop criteria was not suitable, then iteration would continue
again. Otherwise iteration would be finished and results would ( )
be visualised. =
( )
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Algorithm has remained within the specified error border.

Cuckoo Search Algorithm was provided closer results to the
specified parameters, which are frequency (ω ) and selectivity
(Q), than Conventional Method. On the other hand,
Conventional Method was provided closer band pass gain (H)
than Cuckoo Search Algorithm. The reason for this is that
band pass gain was determined as a constraint in Cuckoo
Search Algorithm and nevertheless its result was remained
specified interval.
Fig 2. Active Filter Circuit [2-4]
B. Implementation TABLE I
RESULTS OF CUCKOO SEARCH AND CONVENTİOANAL METHOD
In this work, pa, which is one of the control parameter of Conventional Method Cuckoo Search
Cuckoo Search Algorithm, is determined as 0.25[11]. Later, Algorithm
size of population is determined as 80 for each component H 1.2713 1.3656
variable. 8 different component variables are determined to Q 1.3723 1.4158
solve the problem. Standard of resistor was selected E24 and 1773.05 rad/sn 1579.5 rad/sn
standard of capacitor was selected E12 according to Electronic 4700Ω 100Ω
Industries Association (EIA) norms. Subsequently, solution 8200Ω 510000Ω
set was generated by random values within boundary. 4700Ω 820000Ω
Afterwards, fitness function (4) and constraint (5) were 4700Ω 300000Ω
determined. Fitness function was determined as percentage 4700Ω 24000Ω
difference of desired values and results, for selectivity and 4700Ω 13000Ω
frequency. Also, constraint was determined that both half gain, 1.2x10-7 F 1x10-11 F
which is desired, must be smaller than filter gain and one and 1.2x10-7 F 4.7x10-5 F
half gain, which is desired, must be greater than filter gain. ( , ) %14.36 %0.86
( , )= + (4) IV. CONCLUSIONS

In this work, Cuckoo Search algorithm is used to
determine standard component values for active filter design.
Constraint;
Mathematical effort and wasting time disappeared by using
Cuckoo Search Algorithm compared to conventional method.
0.5 ≤ ≤ 1.5 (5) Results of Cuckoo Search Algorithm have less error and more
successful than Conventional Method as given in Table 1. The
After each nest of solution set was evaluated by means of results are different for each program, although the run can
fitness function, algorithm was implemented until stop criteria produce the values of the standard circuit components
was obtained. For this work, stop criteria was defined that, providing the required conditions.
either the error of process reaches under 2% or iterations reach Obtained results showed that the Cuckoo Search algorithm
to 1000 steps. When the algorithm begins to work, firstly can be successfully applied to this area and it is not dependent
global search was started. After global search finished, good on a specific circuit model. Thus, it can be applied to more
solutions would be kept. Subsequently, local search was complex circuits.
started and it would try to approach best solutions among the
good solutions. These local random walk and global random
walk cause to explore the undiscovered solutions and not to REFERENCES
provide to stuck in local points.
[1] P. Civicioglu and E. Besdok, "A conceptual comparison of the
Both conventional method and cuckoo search algorithm Cuckoo-search, particle swarm optimization, differential evolution
were implemented to this filter called Kerwin-Huelsman- and artificial bee colony algorithms," Artificial Intelligence Review,
vol. 39, pp. 315-346, 2011.
Newcomb Filter. The specifications chosen were selected [2] David H. Horrocks and Mark C. Spittle, "Component Value
Hdesired=1, = 10kHz ≈ 1591.55 rad/s and Selection For Active Filters Using Genetic Algorithms," IEE/IEEE
Workshop on Natural Algorithms in Signal Processing, vol. 1, pp.
Qdesired=√2 ≈ 1.414. Results are given in Table 1 for the 13/1-13/6, 1993.
Cuckoo Search Algorithm and Conventional Method. Error of [3] T. Kaya and M. C. İnce, "Genetik Algoritmaların Aktif Filtrelerde
Cuckoo Search algorithm was obtained about 0.86%, on the Kullanımı," ELECO-2008 Elektrik-Elektronik-Bilgisayar
other hand error of Conventional Method was obtained about Mühendisliği Sempozyumu, Bursa, Turkey, pp. 512-515, 26-30
Kasım 2008.
14.36%. According to results, error of Cuckoo Search
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[4] A. Kalinli, "Karınca Koloni Algoritması Kullanarak Aktif Filtre [8] B. Premalatha and S. Umamaheswari, "Cuckoo Search
Tasarımı," Elektrik-Elektronik-Bilgisayar Mühendisliği 10. Ulusal Optimization Algorithm based Hardware Task Placement and
Kongresi, pp. 267-270, 2003. Routing in CAD of FPGAs Design Flow," Indian Journal of
[5] A. H. Gandomi, X.-S. Yang, and A. H. Alavi, "Cuckoo Search Science and Technology, vol. 9, 2016.
algorithm: a metaheusristic approch to solve structural [9] A. Demirkol, "Sinyaller ve Sistemler Frekans Cevabı," Sakarya,
optimization problems," Springer-Verlag, vol. 29, p. 18, 2013-01. Turkey, September 2013.
[6] K. Karagül, "Guguk Kuşu Algoritması: Bir Plastik Atık Toplama [10] M. KAÇMAZ, "Aktif Filtreler," Elektrik Mühendisleri Odası Aylık
Uygulaması," 15th International Symposium on Econometrics, Yayın Organı, vol. 181/5, pp. 21-37, Ocak 1972.
Operations Research and Statistic, Isparta, Turkey, vol. 15, pp. [11] X.-S. Yang, "Nature-Inspried Optimization Algorithms, 1st
775-784, 22-25 May 2014. Edition," Elsevier, 20 Feb 2014.
[7] X.-S. Yang and S. Deb, "Cuckoo Search via Lévy Flights,"
Nature & Biologically Inspired Computing, pp. 210 - 214, 9-11
Dec. 2009.
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Petri Net Modelling of a Smart Building as a Cyber

Physical System
Hanife Apaydin Ozkan
Anadolu University
Eskisehir, Turkey
hapaydin1@anadolu.edu.tr
using future scenarios of 2030, and identify strengths,

Abstract— In recent years, systems consisting of both physical and
computational elements, called Cyber Physical Systems (CPSs), weaknesses, threats and opportunities of Europe: Transport,
have entered into our lives. These systems are becoming Energy, Well-Being, Industry, Infrastructure. Authors
increasingly important because of their wide application area such
introduced model-based design methodology for cyber physical
as smart buildings, intelligent manufacturing processes, energy
systems and evaluated it through the development of the
grids, healthcare devices, smart agriculture and etc. In this work,
CPSs are considered by means of a smart building application. Tunnelling Ball Device (such as automotive engine control) in
Firstly, CPSs are introduced and their features are explained. [2]. In [3] a qualitative and quantitative empirical study of the
Then, a smart building is considered for emphasizing and state of the art in CPS verification and validation is conducted.
illustrating the importance of CPSs. In order to display working An approach to increase resilience in a cyber-physical system
mechanism of computational and physical components of the from errors in the high-level control logic is presented in [4].
building and to provide easy trace of the evolution of overall This approach, monitors run-time commands in order to
system, models of building components are developed via Petri maintain a safety invariant. Although this method seems to be
net, which is a mathematical and graphical tool for modelling andgeneral and powerful, the main drawback is the cost of
analysing discrete event systems.
performing part of the checking at run time. Hence, authors
also introduce how to perform this operation offline. In [5],
Keywords— Cyber physical system, Petri nets, smart building, Petri net is used as a formal tool for nondeterministic non-
sensors, communications
interference security model specification of cyber-physical
I. INTRODUCTION system and is shown to be applicable to abstract pipeline
distribution flow network system. A generalized Petri net
In recent years, systems consisting of both physical process and
model is presented in [6] to formulate the manufacturing
computational elements, called Cyber Physical Systems (CPSs),
processes, and a traceability model is automatically built by
have entered into our lives. The physical process is monitored
model transformation. In that work, model-based algorithms
or controlled by the computational (cyber) system, which is a
are proposed for enabling back-tracking to the source of an item
networked system of several devices with sensing, computing
with detailed productive data. Authors of [7] focus on another
and communication capabilities. Developments in sensor and
important human–machine interaction problem for smart
information technology, smaller and cheaper sensor solutions,
building systems, which concerns conflict detection during the
development of cheap and different communication methods as
interaction process between multiple users and the system.
well as more powerful embedded control system allow CPSs to
They design a rule conflicts detection algorithm, which can
become widespread rapidly. These systems are becoming
detect conflicts between two rules as well as cycle
increasingly important because of their wide application area
conflict/multi-cross contradiction among multiple rules. In [8],
such as smart buildings, intelligent manufacturing processes,
a smart Air Conditioner scheme is proposed and its adaptation
energy grids, healthcare devices, smart agriculture and etc.
to a Smart Home system is presented. Petri net model of the
smart Air Conditioner is developed in order to enable a good
In the literature, many works have been presented on CPSs.
general view of the operation of the Smart-Air Conditioner.
Despite its wide-spread use, the term ‘Cyber-Physical System’
does not come with a uniform meaning. It is often used as a
In this work, CPSs are considered by means of a smart building
synonym for ‘system in which computing interacts with the
application. Firstly, CPSs are introduced and their features are
physical world’ or ‘networked embedded system’, or ’system
explained. Then a smart building is considered for emphasizing
of systems’ . The disruptive nature of cyber-physical systems
and illustrating the importance of CPSs. In order to display
has the potential to substantially change the way of addressing
working mechanism of computational and physical
the key questions of modern societies, and specifically the
components of the building and to provide easy trace of the
European challenges including Well-Being, Clean Energy,
evolution of overall system, models of building components are
Integrated Transport, and Resource Efficiency, by providing
developed via Petri net.
smart answers to these questions.
In the CyPhERS project [1], the following five key areas were
chosen to illustrate the potential of cyber-physical systems
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II. PETRI NETS
A Petri net (PN) is a directed bi-partitate graph which

consists of finite set of places represented by circles, finite set
of transitions represented by bars and arcs directed from places
to transitions or from transitions to places, which express the
conditions required for an action to be feasible and its
consequences when it occurs. The places from which an arc
runs to a transition are called the input places of the transition;
the places to which arcs run from a transition are called the
output places of the transition. A place may contain tokens
denoted by black dots.
The distribution of tokens over the places of a net is called a
marking that corresponds to a state of the modelled system.
Fig. 1 An example PN model
Model of a PN is denoted by a five-tuple ( , , , , m0),
where := { 1, 2, . . . , ∣ ∣} is the set of places, represented III. CYBER PHYSICAL SYSTEMS
by circles, := { 1, 2, . . . , ∣ ∣} is the set of transitions,
represented by bars, ( ∩ = ∅ and ∪ ∕= ∅), : × → A. General Review
is the input matrix that specifies the arcs directed from places There are mainly two parts called as physical world and
to transitions, cyber world in CPSs. Physical world consists of sensors,
O: × → is the output matrix that specifies the arcs devices and actuators as parts of a real physical process, while
directed from transitions to places and m0 is the initial marking. cyber world consists of a controller used to manage the physical
Here, is the set of nonnegative integer number. M : → process, a database storing data related to the physical system,
is the marking vector, M( ) indicates the number of tokens, an algorithm concerning the usage, safety and process of the
represented by black dots, assigned by marking M to place . data of the physical system, a scenario and security units. Each
A transition ∈ is enabled if and only if M( ) ≥ ( , ) for component of physical world and cyber world communicates
all ∈ . Here, N( , ) corresponds, the element of the input through a wireless sensor and appliance (actuator) network.
matrix, corresponding to ∈ and ∈ . Information regarding physical process is received through
Under the assumption that transition firing occurs without various sensors and transmitted to cyber world. In order
taking time, an enabled transition ∈ may fire at M, yielding physical process to work better, this process is controlled in
the new marking vector M′ such that: M′ = M+ ( − ) (1) cyber world by means of developed algorithms and scenarios
Here, is a vector whose element corresponding to is one as well as data taken from sensors. In Fig. 2, corresponding
and all other elements are zero. structure of a CPS is given.
Example 1: The PN model given in Fig. 1 is represented by

= { 1, 2, 3, 4, 5, 6, 7}, = { 1, 2, 3, 4, 5, 6} and
0 = [1 0 0 1 1 0 0] T. Input and output matrices of this PN are
given as follows:
Fig. 2 The structure of a cyber-physical system
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B. Smart Building TABLE I

PLACES AND TRANSITIONS OF PN MODEL OF OCCUPANCY SENSOR
In this work, the importance of CPS is introduced by means Element Explanation
of considering a smart building as a CPS. Traditional works on 1 Occupancy exists
smart building systems mainly focus on issues of automatic 2 No occupancy
control and energy efficiency, but omit the human–machine Occupancy is detected
1
interaction problem. In [9] and [10], the authors address human Occupancy is lost
2
activity recognition in the home environment, which can inform
the smart building systems from the perspective of human–
PN model of sensors having wide range measurements, is given
machine systems.
in Fig. 3(b). In this model, places, thus p1, p2, …, pn, represent
In this work, considered smart building is composed by real
the level of sensor measurement, while transitions, thus, t1,
and virtual sensors, appliances, a wireless communication
t2, …,tx represent switching the status of the sensor.
network and a controller unit.
Indoor and outdoor conditions of the smart building are
As for appliances, 3 working modes and n program modes
detected via various real sensors, such as temperature,
(working types), each of which offers different functionality
occupancy, light intensity and humidity. User requests
and features, are considered for each appliance inside the
concerning indoor conditions are taken via virtual sensors, thus
building. Similar to sensors, appliances (in other words,
user interfaces at different points, such as on-wall control
actuators) inside the building can be modelled by PN based on
panels, smart phones, tablets or computers.
the working status of these devices. In Fig. 4(a) and Fig. 4(b)
Data taken from real and virtual sensors are transmitted to
general PN models of working and program modes of an
the database and the controller unit via wireless communication
appliance are given: In Fig. 4(a), places 1/ 2/ 3 correspond to
network. All data related to the building are stored in the cloud
on/stand-by/off working modes and transitions 1/ 2/ 3/ 4
or local database and used when required. Controller unit
manages the appliances in the building according to sensor represent switching the working modes of an appliance. In Fig.
outputs, user requests, developed algorithms and scenarios. 4(b), places 1/ 2/…/ n represent the program modes of the
As diversity and number of sensors used in the building and appliance and transitions 1/ 2/…/tx represent the switching the
variety of user requests increase, complexity of CPS increases program modes of an appliance.
which complicates the control and tracking of the system. In
order to provide easy observation and tracing, computational
and physical components of the building can be modelled via
PNs which allow graphical representation as well as
mathematical calculation of the evolution of the system.
In this work, two different PN models are developed for two
different types of sensors: True/False sensors (i.e., occupancy,
proximity and touch sensors) and sensors which can make
wider range measurements (i.e., temperature, humidity and
vision sensors). (a)
PN model of True/False sensors is given in Fig. 3(a). In this
model, places 1/ 2 represent sensor situations true(exist)/
false(non-exist) while transitions 1 and 2 represent sensor
activities.
(b)
Fig. 4 General PN models of (a) working modes and (b) program modes of
appliances
Fig. 3 PN models of (a) True/False sensors and (b) sensors with wider range
measurement capability.
Working modes and program modes of any appliance are
monitored by the cyber part of the building and controlled
For example, explanation of places and transitions of the PN according to the predefined algorithms and scenarios. The
model of an occupancy sensor, which is a kind of True/False cyber part of the building uses the information gathered from
sensor, are given in Table 1. the sensors and responds quickly to the changes inside the
building.
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TABLE II
PLACES OF PN MODEL OF LIGHTING SYSTEM
C. Case Study Places Explanation

In this work, Air Conditioner (AC) and lighting processes of 1 Working mode –on
the smart building are considered in detail. 2 Working mode –off
The lighting system of the smart building is controlled 3 Working mode –standby
according to the room usage inside the building. Occupancy 4 Program mode-Dimmer level _100%
sensors and day light sensors are integrated to the rooms. Users 5 Program mode-Dimmer level _60%
shall use wall control panel, smart phones, and etc. control units Program mode-Dimmer level _30%
6
to send their request to open the lighting system. When any Program mode-Dimmer level _10%
7
request to open the lighting system is detected, the controller
8 User request
switches the working mode of the lighting system from off to
9 No user request
standby and monitors the status of occupancy and daylight
10 Insufficient natural lighting
sensor. If the occupancy sensor in the environment senses
occupancy, and the daylight sensor detects that the illumination 11 Sufficient natural lighting
of the environment is insufficient, the controller switches the 12 Room is occupied
working mode of the lighting system from standby to on, thus 13 Room is unoccupied
the lamp turns on. As the controller controls the on, standby and
off modes based on the user request and the outputs of TABLE III
occupancy and daylight sensors, unnecessary energy use in the TRANSITIONS OF PN MODEL OF LIGHTING SYSTEM
lighting system is prevented. Program modes of a lighting Transitions Explanation
system are specified by dimmable levels that are set due to the
1 Change the working mode from off to standby
level of illumination. These illumination levels affect the users
2 Change the working mode from standby to on
comfort. For this reason, the users determine the dimmable
3 User request is received
levels by using different user interfaces. PN model of lighting
system is given in Fig. 5. 4 User request is lost
Natural lighting level < set value (natural
5
lighting)
Natural lighting level >= set value (natural
6
lighting)
7 Occupancy is detected
8 Occupancy is lost.
9 Change the working status from on to standby
10 Change the working status from on to off
11 Change the working status from standby to off
12 Change the working status from on to standby
13 Change the dimmer level from 100% to 60%
In this study, the cooling and heating needs of the smart

building are provided by an AC, which has 3 working modes as
on, stand-by and off ; and 4 program modes as cooling-normal
(set value: ), cooling-economic (set value: ), heating-
normal (set value: ℎ ) and heating-economic (set value: ℎ ) .
Note that, compared to the normal program modes, the
temperature set value for the economic mode is higher in
cooling mode; and lower in the heating mode ( > , ℎ <
ℎ )
According to the information received from occupancy
Fig. 5 PN model of lighting system sensors, temperature sensors and smart meter, working status,
thus working mode and program mode of AC is determined by
Explanations of places and transitions are given in Table 2 and
the controller, for protecting unnecessary operation of the
Table 3, respectively.
device, thus reducing the cost, and improving user comfort.
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Working mode of this AC is determined according to user IV. CONCLUSIONS

request and room occupancy. Working mode of AC in off mode In this work, CPSs are considered by means of a smart building
is changed to stand-by mode, if user request is received. If room application. In order to display working mechanism of
occupancy is detected afterward, working mode is set to on. If computational and physical elements of the building, their
the occupancy disappears, while AC is working in on mode, it models are developed via PN formalism, which is a
turns back to stand-by mode. If user request disappears mathematical and graphical tool for modelling and analysing
afterward, AC turns back to off, whatever its present working discrete event systems. These models provide easy trace of the
mode is. evaluation of the system. In future works, other parts of smart
Program mode of AC is determined according to outer building will be modelled by using PNs and all developed
temperature value taken from outer temperature sensor, tariff models will be used to monitor and control the real applications.
rate information taken from grid. If outer temperature is higher Scenarios and the corresponding centralized control algorithms
than 240C, AC works for cooling, otherwise it works for heating. will also be developed.
Program mode of AC switches between economic and normal
modes according to the information taken from the grid (smart ACKNOWLEDGMENT
meter). If the tariff rate is expensive, AC is switched to This work was supported by Anadolu University through
economic mode otherwise it works in normal mode. PN model Research Project 1605F388.
of the considered AC system is given in Fig. 6.
REFERENCES
[1] CyPhERS Cyber-Physical European Roadmap & Strategy, The
European Union’s Framework Programme FP7-ICT, area ICT-2013.3.4.
[2] J. C. Jensen, D. Chang and E. A. Lee, “A Model-Based Design
Methodology for Cyber-Physical Systems” Wireless Communications
and Mobile Computing Conference (IWCMC), 2011 7th International,
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[3] X. Zheng and C. Julien, “Verification and validation in cyber physical
systems: research challenges and a way forward”, SEsCPS '15
Proceedings of the First International Workshop on Software
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[4] S. Bak, Z.Haung, F. Abdi TaghiAbad and M. Cacamo, “Safety and
Progress for Distributed Cyber-Physical Systems with Unreliable
Communication” ,Journal ACM Transactions on Embedded Computing
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[5] J. Wang, H. Yu and C. Leng, “Sequence Composition Analysis of
Noninterference in Cyber-Physical System with Petri Net”, International
Journal of Security and Its Applications Vol.8, No.3 (2014), pp. 185-192
[6] J. Huang, Y. Zhu, B. Cheng, C. Lin and J. Chen, “A PetriNet-Based
Approach for Supporting Traceability in Cyber-Physical Manufacturing
Systems”, Sensors 2016, 16, 382; doi:10.3390
[7] Y. Sun, X. Wang, H. Luo, and X. Li, “Conflict Detection Scheme Based
on Formal Rule Model for Smart Building Systems” IEEE Transactions
on Human Machine Systems, Vol. 45, No. 2, April 2015
Fig. 6 PN model of AC [8] H. A. Ozkan and A. Aybar, “A Smart Air Conditioner in Smart Home”,
The 16th IEEE International Conference on Environment and Electrical
Engineering, (IEEE-EEEIC'16)
In all PN models used in smart building, the places show the [9] C.-H. Lu, Y.-C. Ho, Y.-H. Chen, and L.-C. Fu, “Hybrid user-assisted
status of sensors and appliances. The transitions represent the incremental model adaptation for activity recognition in a dynamic
smarthome environment,” IEEE Trans. Human-Mach. Syst., vol. 43, no.
actions or changes done by the controller inside the cyber world. 5, pp. 421–436, Sep. 2013
[10] L. Chen, C. Nugent, and G. Okeyo, “An ontology-based hybrid approach
to activity modeling for smart homes,” IEEE Trans. Human-Mach. Syst.,
vol. 44, no. 1, pp. 92–105, Feb. 2014
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Short-term Load Forecasting based on ABC and

ANN for Smart Grids
Hasan Hüseyin Çevik*, Hüseyin Harmancı+, Mehmet Çunkaş*
*
Selçuk University, Technology Faculty
Konya, Turkey
hasanhcevik@selcuk.edu.tr
mcunkas@selcuk.edu.tr
+ Selçuk University, Faculty of Technical Education
Department of Electronic and Computer Education
Konya, Turkey
hharmanci@selcuk.edu.tr
Abstract— Short term load forecasting is a subject about useful for determining maintenance scheduling, hydrothermal
estimating future electricity consumption for a time interval from coordination and fuel purchasing strategies [1].
one hour to one week and it has a vital importance for the Short-term load forecasting is a subject on which electric
operation of a power system and smart grids. This process is utility industry and researchers are studied for several decades
mandatory for distribution companies and big electricity
and is an important process for the operations of electric power
consumers, especially in liberalized energy markets,. Electricity
generation plans are made according to the amount of electricity systems and smart grids. It has a critical role on generation
consumption forecasts. If the forecast is overestimated, it leads to scheduling, unit commitment and maintenance plans for
the start-up of too many units supplying an unnecessary level of generators. Short term load forecast has been made in a time
reserve, therefore the production cost is increased. On the period from one minute to one hour.
contrary if the forecast is underestimated, it may result in a risky The concept of smart grid has become a global trend in the
operation and consequently power outages can occur at the power last years and there is not any definition of smart grid
system. In this study, a hybrid method based on the combination acknowledged by all institutions. For example, The Smart
of Artificial Bee Colony (ABC) and Artificial Neural Network Grids European Technology Platform defines smart grid as
(ANN) is developed for short term load forecasting. ABC
‘‘electricity networks that can intelligently integrate the
algorithm is used in ANN learning process and it optimizes the
neuron connections weights of ANN. Historical load, temperature behavior and actions of all users connected to it – generators,
difference and season are selected as model inputs. While three consumers and those that do both – in order to efficiently
years hourly data is selected as training data, one year hourly data deliver sustainable, economic and secure electricity supplies’’
is selected as testing data. The results show that the application of [2]. Smart grid is an advanced electrical network that uses
this hybrid system produce forecast values close to the actual control, information and communication technologies to
values. monitoring the power system. In smart grids, energy
management is performed with using some forecasts which use
Keywords— artificial bee colony, artificial neural network, hybrid real time data. These forecasts are renewable production
method, short term load forecasting, smart grids forecast, load forecast and electric price forecast. The power
network can be managed efficiently by making these forecasts.
I. INTRODUCTION Short term load forecast is also crucially important for smart
Today existing power system needs to be enlarged so as to grids. Recently, the demand side management becomes an
meet the future demand for electrical energy. The general emerging emphasis in the electric industry with the
purpose of the planning of electric power system is delivering development of smart grid technologies. Especially in micro
the electric power to end user with some desired features such grids, short term load forecast helps to meet the objectives of
as continuous, safe, reliable and minimum price. Various plans demand side management issues like determining the electric
should be made to achieve these features and load forecasting price, determining the amount of the purchases and sales of
is one of the most important steps of these plans. In literature, energy and reducing the peak load value. It answers the
load forecasting is divided into three categories according to the questions of load needs such as when, how much, why and
forecasting time horizons. Long term load forecast consists which factor effect [3].
yearly load demand forecasts and it is used for planning future There are many studies under the umbrella of short term load
electric generation, transmission and distribution. Generally forecasting. Studies can be split into different groups according
gross domestic product, population, export, import, etc. are to the methods, data analyzing forms, data sets, the input
considered as inputs in the long term load forecasting studies. variable and hourly/half-hour forecast. But, generally in review
Forecasting which is made in a time period ranging from one studies, they are grouped according to the methods. The used
week to one year is called midterm load forecasting and it is methods can be divided into three as statistical methods,
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artificial intelligence methods and hybrid methods. The most MW

commonly used techniques are based on Regression models [4], 31500
Times series models [5], [6], ARIMA models [7], , Artificial 29500
Neural Network models [8], [9], Fuzzy models [10], [11],
27500
Support vector machine models [12], Particle swarm
optimization models [13], Genetic algorithm models[14], [15], 25500
wavelet transform [16], ANFIS [11]. 23500
This paper focuses on a hybrid method based on the 21500
combination of artificial bee colony (ABC) and artificial neural
network (ANN) for short term load forecasting. Firstly, the data 19500
is analyzed to create an accurate forecasting model and then the 1 25 49 73 97 121 145 hour
system inputs are determined. Historical load, temperature 10.01.2011 Week
difference and season are selected as model inputs. While three- 17.01.2011 Week
year hourly data is selected as training data, one year hourly
21.01.2011 Week
data is selected as testing data.
The rest of the paper is organized as follows. Section II Fig. 2 Three consecutive week’s hourly electricity consumption
presents data analyzing. While section III presents a hybrid
method based on the combination of ABC and ANN and A. Time Factor
describes the method in details, the testing results are given in One of the most important factors which affect the load
Section IV. Section V outlines the conclusion. consumption is time factor, and it can be divided into categories
such as hour, day and season. Hourly load forecasting is carried
II. DATA ANALYSIS out in this study, hour factor is not considered as a model input.
In this study, 2009-2012 hourly load consumption of Turkey While day factor is discussed by grouping the week days,
and daily mean temperature of some cities which have season factor is considered as an input for forecasting model.
maximum load consumption is considered for forecasting data. The hourly load consumptions of three consecutive weeks are
While load consumption data are taken from Turkish Electricity shown in Fig. 2. As can be seen from Fig. 2, load consumption
Transmission Company (TEIAS), temperature data are taken trends of each days are similar with the same day which is in
from Turkish State Meteorological Service. The data of the first the neighboring weeks. But daily load consumption trends are
three years which can be seen in Fig. 1 are used for creating the different from each other. The early hours’ consumption of
forecasting model and the data of 2012 are chosen for testing Monday is very low compared to the others, so Monday is
the forecasting model. There are some factors affecting the selected as the first day type. Tuesday, Wednesday, Thursday
amount of electricity consumption and we can group them as and Friday daily load rhythms are similar with each other,
time, historical load, weather conditions, major events and therefore these days are named as Weekday day type. Saturday
random events. and Sunday load curves are unlike any other and each other.
Thus, more day types named as Saturday day type and Sunday
day type are created. So we have grouped the days in 4 day
types as Monday type, Weekday type, Saturday type and
Sunday type.
Seasons are also acts as time factor for short term load
forecasting. Although load consumption changes according to
the geography and people’s usage habits, the seasons affects
meteorological variables and load consumptions. For example
Turkey is a country located in the northern hemisphere. The use
of electricity increases for heating purposes in winter with
decreasing temperature in the air. On the contrary, the use of
electricity decreases with increase temperature. In summer, it
also has an opposite relationship. When the temperature rises
in summer season people need to cool down and run their air
conditioners and as a result electric consumption increases. In
autumn and spring season, the season effects seem as a
transition condition between winter and summer. In summary,
season is also a time factor which affect the load consumption
and we consider season as an input for short term load
forecasting.
Fig. 1 Hourly electrical load data of Turkey
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B. Historical Load Factor

The most important factor is historical load for short term
load forecasting and the most of the studies in literature use the
historical load as an input. As seen in Fig. 2, load curves are
similar to load curves of previous week and next week.
Forecasting accuracy increases by taking account previous 1-3
week load values in account, because load consumption trend
does not change very much in short time period like 1-3 weeks.
Fig. 5 Network structure
C. Weather Factor Output function calculation:

Weather factor is also important factor and these are
temperature, humidity, wind speed and cloudiness. In literature = + (1)
studies, some various temperature data are used such as daily
mean temperature, daily mean temperature difference, hourly Where is the activation function and is the weight of
temperature and hourly temperature difference. In this study, between two neuron such as input j to neuron i, is the input
daily mean temperature difference is chosen as another input. neuron number, and is the bias neuron i.
There are also some random developing major events such Graphics of frequently used activation functions are
as earthquake, disaster and chaos which affect the load illustrated in Fig. 3 and Fig. 4.
consumption, but such conditions are ignored in this study. A system that has multiple input and one output is called
neuron. Neurons form the network structure by combining. In
III. FORECAST METHOD
this study, we used an ANN structure with two layers. The
A. Artificial Neural Networks(ANN) structure has input neurons, hidden layer neurons and an output
neuron. Sigmoid function and linear function are used
Artificial Neural Networks (ANN) is the most used method
respectively for the hidden layer and the output layer.
for load forecasting in literature studies. ANN is a very
The difference between the result which is produced by the
successful method to find the relationship between inputs and
network and the target result contains generic information.
outputs. Multilayer Feed Forward Neural Network has one
Learning in back propagation algorithm provides the
input, one output and usually one or more hidden layers [17].
calculation of weights of network by adding half of the total
Each node connects to each other with weights. Each node has
error. This procedure continues iteratively until it reaches
a duty to produce result with a transfer or activation function.
minimum error [18]. General network structure is shown in Fig.
5.
The formula of the total error is half of the total square error:
1
= ( − ) (2)
2
The data is divided into two as test and learning data for the
execution of the algorithm. The weights obtained at the end of
the training have to include the entire training data. The training
will be completed when the total error reaches its minimum
value.
Fig. 3 Linear activation function
B. Artificial Bee Colony(ABC)
Artificial Bee Colony (ABC) algorithm is used as an
optimization technique with relation between food and bees.
There are three types of artificial bees and these are onlooker
(observer) bees, employed bees and scout bees. The onlooker
bees give information to the employed bees about food source
and distance by dancing on the dance area. The employed bees
visit the food source and collect nectar from these sources. The
scout bees look for better resources by making a random search
[19]. The working principle of the algorithm is shown in Fig. 6.
Fig. 4 Sigmoid activation function
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If the new solution is equal or better, the previous solution is

Initial Food Source and
replaced by the new solution and saved on memory.
Limits
C. The Hybrid Model
Employed bees of ABC use the transfer function and the
activation function to produce solution with artificial bee
Employed Bees generate
colony inputs. ANN total error value is calculated by the
solutions and calculate the solution of ABC produced. Trained ANN by ABC is shown in
probability Fig. 8.
Artificial Bee Colony and artificial neural network methods
are utilized intensely on the literature. In this study, we have
used a hybrid method that is combination of artificial bee
Select food colony and artificial neural network for short term load
N source and forecasting. As we mentioned before, the ANN deduces the
All onlooker determine a relationship between inputs and outputs by updating network’s
bee distributed neighbour food weights and uses back propagation algorithm such as
source for the
Levenberg-Marquardt and quasi-Newton for updating network
Y onlooker
weights. ABC is a swarm based optimization technique and
Scout bees find abondoned proves their ability for optimization. The learning speed of
solution ANN is increased by ABC since it reaches better resources.
The interface of the developed software is shown in Fig. 7.
The software is developed using Borland Delphi programming
Memorize the best solution language which is one of Pascal programming languages and
the data is taken from excel file. The number of input neurons,
the number of hidden layer neurons and the number of output
layer neurons can be changed by the user. User also can choose
N the activation functions. Then, the weights of the ANN are
Reach the calculated by the ABC algorithm while the software is running.
Iteration?
Save Best Solution

END
Fig. 6 The flowchart of artificial bee colony
Artificial observer bees consider the probability value (pi) of

the food source (fs) that is shown in Eq. (3), to decide the
quality of food source [20]:
= (3)
∑
indicates the fitness value of the calculeted solution and

it is shown as;
1
≥ 0,
= 1 + (4) Fig. 7 The interface of developed software
1+ ( ) <0 TABLE I MAPE ERRORS OF HYBRID MODEL
Day Type Best Result Worst Result Mean

The source of nectar that is abandoned by the observer bee
is replaced with new a source that is produced by the scout bee. Monday
2,772661 3,020512 2,878151
Formula of the produced new source by scout bee is shown as; Weekdays
1,720396 1,963968 1,824199
= + (0,1) − (5) Saturday
2,628132 2,774447 2,351175
Sunday
The every each food source is processed by employed bee 2,652428 2,833766 2,351175
and calculated solution is compared with the previous solutions. Weighted average
2,125328
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758
_____________________________________________________________________________________________________________
Get Inputs,
Weights and
Use transfer Train ABC
ANN Init Food
Inputs function and Get Best
structure Source for
produce solution Solution
ABC
Fig. 8 The flowchart of trained ANN by ABC
MW MW
32000 32000
28000 28000
24000 24000
20000 20000
1 3 5 7 9 11 13 15 17 19 21 23 1 3 5 7 9 11 13 15 17 19 21 23
hour hour
Actual Forecasted Actual Forecasted
(a) Best Result for Monday Day Type - 03.12.2012 (b) Worst Result for Monday Day Type - 31.12.2012
MW MW
34000 34000
30000 30000
26000 26000
22000 22000
1 3 5 7 9 11 13 15 17 19 21 23 1 3 5 7 9 11 13 15 17 19 21 23
hour hour
(c) Best Result for Weekday Day Type - 16.02.2012 (d) Worst Result for Weekday Day Type - 03.01.2012
MW
MW 35000
30000
28000 30000
26000
25000
24000
22000 20000
1 3 5 7 9 11 13 15 17 19 21 23 1 3 5 7 9 11 13 15 17 19 21 23
hour hour
(e) Best Result for Saturday Day Type - 01.12.2012 (f) Worst Result for Saturday Day Type - 16.06.2012
MW MW
32000 32000
28000 28000
24000 24000
20000 20000
1 3 5 7 9 11 13 15 17 19 21 23 1 3 5 7 9 11 13 15 17 19 21 23
hour hour
(g) Best Result for Sunday Day Type - 29.01.2012 (h) Worst Result for Sunday Day Type - 02.09.2012
Fig. 9 Actual and Forecasted values
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When the program loop reaches the iteration number, the

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user can test training and test data. Finally, weights can be
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A PSO Tuned Fractional-Order PID Controlled Non-

inverting Buck-Boost Converter for a Wave/UC
Energy System
Erdinc Sahin*, İsmail H. Altas+
*
Surmene Abdullah Kanca VHS
Karadeniz Technical Universty, Trabzon, Turkey
esahin@ktu.edu.tr
+
Department of Electrical and Electronics Enginnering
Karadeniz Technical Universty, Trabzon, Turkey
ihaltas@ktu.edu.tr
Abstract— In this study, a fractional order PID (FOPID) fast charging-discharging capacity [4]. Integration of the UC
controller is designed and used to control a DC-DC non-inverting to WEC with and without power electronic devices can be
buck-boost converter (NIBBC) for a wave/ultra-capacitor (UC) found in literature [5, 6, 7]. UCs can be directly connected in
energy system. Because of the energy discontinuities encountered parallel with an energy source, especially low voltage
in wave energy conversion systems (WECS), an UC is integrated
applications [8]. Also, direct integration of an UC to energy
to the WECS. In order to obtain the best controller performance,
particle swarm optimization (PSO) is employed to find the the system increases the overall system efficiency by
optimum controller parameters. Integral of time weighted eliminating the converter losses.
absolute error (ITAE) criteria is used as an objective function. Fractional calculus has become highly popular in
Also, an optimized PID controller is designed to test the engineering applications, especially in control systems. One of
performance of the FOPID controller. The whole system is the fractional order control method is the fractional order PID
developed in Matlab/Simulink/SimPower environment. The controller which is the extension of the PID controller and
simulation results show that the FOPID controller provides proposed by Podlubny in 1999 [9]. A FOPID consist of 5
lower value performance indices than the PID controller in terms parameters: the proportional gain (KP), integral gain (KI),
of reducing the output voltage sags and swells.
order of integral (λ), derivative gain (KD) and order of
derivative (µ). These parameters increases the complexity of
Keywords— Wave energy, ultra-capacitor, non-inverting buck- the controller and they should be optimized in order to obtain
boost converter, fractional order PID controller, particle swarm the best controller performance.
optimization. One of the tuning method of controller parameters is to use
meta-heuristic algorithms with error-based objective functions.
I. INTRODUCTION
One of these algorithms is the PSO algorithm. PSO is
Alternative energy sources such as renewable energy are developed by Kennedy and Eberhart in 1995 [10]. The
highly considered in order to meet increasing energy demands algorithm is an iterative optimization method based on the
all over the globe. Among the renewable energy sources, stochastic movements of the swarms such as fishes and birds
wave energy (WE) is a promising energy source. Its energy and it is suitable for global optimization problems.
density is more available than either solar and wind energy [1]. In this study, irregular wave effects seen on generated
Whereas, it has some design challenges because of the power in WEC are regulated by using a UC unit and NIBBC
irregular sea or ocean wave characteristics and extreme in order to obtain a reliable and sustainable load voltage. The
weather conditions [2] parallel connected UC to the WEC provides energy to the load
A wave energy converter (WEC) used for harvesting when the WEC output is insufficient. The converter is
energy form the waves. It basically includes a turbine and a controlled by both of FOPID and PID controllers for
floating buoy moves up and down on the sea surface. The comparison. Also, PSO algorithm is used to tune the
power production rate of a WEC is mostly depending on both parameters of the both controllers by minimizing the ITAE
of the wave height and frequency in a direct-driven WEC. So, performance index. Both of the system results with and
the amplitude and frequency of the WEC output voltage without UC connection are discussed.
fluctuates chaotically. Due to the output power of the WEC This paper is organized as follows. Wave energy
has a wide variations, it cannot directly connected to a load or conversion system with the subtitles wave energy converter,
grid. To overcome this problem, WECs are integrated with NIBB converter and UC modelling are presented in Section II.
power electronic devices and storage units [3]. FOPID controller is described in Section III. PSO algorithm is
An ultra-capacitor (UC) is an electrochemical capacitor given in Section IV. In Section V, the simulation results are
with high-capacitance value. Compared to batteries, it has a discussed. Finally, conclusion is stated in Section VI.
very long life cycle, high efficiency, high power density and
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NIBBC
S1 D2
DUC L
Cin
R
+ Cout
UC S2
- D1
Passive
WEC rectifier
KP, KI, λ KD, µ
u e - Vout
c d Sat. FOPID
PWM
+ VRef
generator
PSO ITAE
Fig. 1 Schematic of the designed WECS
a wide input voltage range with low component stress and

II. WAVE ENERGY CONVERSION SYSTEM simplicity [12].
The scheme of the whole system is depicted in Fig. 1. The The converter topology pointed out in Fig. 1 consists of an
proposed system includes wave energy converter (WEC), 3- inductor (L), diodes (D1, D2), switching mosfets (S1, S2) and
phase passive rectifier used for translating produced AC output capacitor filter (Cout). The converter parameters and
voltage signal from waves to DC signal, UC energy storage design criteria are given in Table I.
unit, NIBB converter and the resistive load. Using Kirchhoff’s voltage and current laws, dynamics of
The aforementioned subsystems are described below, the converter is described by the following equations.
respectively.
diL (t )
A. Mathematical model of the Wave Energy Converter L  (u  1)Vout (t )  uVin (t ) (4)
A permanent magnet linear generator (PMLG) is modelled dt
in this study for simulating the electrical energy dynamics of a
WEC [11]. The mathematical description of the induced 3- dVout (t ) V (t )
phase voltages with 120o phase shifts are given below. C  (1  u )iL (t )  out (5)
dt R
2 N0 2 dx Where iL is the inductor current, Vout is the output voltage, u
VA   cos( x) (1)
  dt is the control signal representing the switches positions. (u=1
means the switches are on and u=0 means the switches are off)
2 N0 2 2 dx [12].
VB   cos( x ) (2) When both of the switches are ON-state, as shown in Fig. 2,
  3 dt both of the diodes are reverse biased. Current coming from the
source flows through the inductor and so, the inductor is
2 N0 2 2 dx linearly charged. The load voltage is provided by the capacitor.
VC   cos( x ) (3)
  3 dt When the switches are OFF-state, the diodes are forward
biased and the charged inductor supplies energy to the load
where x is the translator displacement, λ is the wave length, and capacitor.
Φ0 is the induced flux magnitude and N is the number of coil TABLE I
turns. NIBBC DESIGN PARAMETERS
B. Non-inverting Buck-Boost Converter Sampling time (µs) 20

Switching frequency (kHz) 5
A NIBBC is a type of switched mode DC-DC converter Desired output voltage (V) 12
that is used as an interfacing circuit between the wave/UC Input capacitor (µF) 13400
energy system and the resistive load. Output voltage of the Output capacitor (µF) 9800
converter which has the same polarity with the input voltage Inductor (mH) 0.44
can be lower or higher than magnitude of the input voltage. Diodes forward voltages (V) 0.8
This means that the converter is able to operate either a buck Load resistor (Ω) 10
or boost converter. The proposed converter topology provides
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TABLE II
L ULTRA-CAPACITOR SPECIFICATIONS
S1 D2
+ + Rated capacitance (F) 83
VL - Vo
+
Cout ESR (mΩ) 10
D1 S2 RL Rated voltage (V) 48
Vi
I2 Power density (W/kg) 2700
I1
- Max. energy density (Wh/kg) 2.6
-
(a)
III. FRACTIONAL ORDER PID CONTROLLER
L
S1 D2 Fractional-order PID controller based on fractional calculus
+ +
VL - Vo includes more than two additional parameters (λ, µ) to the
+
Cout conventional PID controller. λ is the order of the integrator

Vi D1 S2 RL
and µ is the order of differentiator.
I1 I The FOPID controller has five parameters to be optimized
- -
in order to obtain the best controller performance. The block
(b)
diagram representation of the proposed controller is shown in
Fig. 4.
Fig. 2 Operational modes of the NIBBC, (a) Switches ON, (b) switches OFF
KP
C. Ultra-capacitor Modelling
Different type of model topologies of UC can be found in u ++ KI S-λ e
literature. Some of these are R-C parallel branch model [13],
+
R-C transmission line model [14] and R-C classical model [13,
KD Sµ
15], etc. R and C are used to symbolize resistor and capacitor
of the UC, respectively.
In this study, RC classical model is used to simulate UC Fig. 4 Block diagram of the FOPID controller
electrical dynamics. The classical R-C topology is suitable for
slow discharging applications and pulse loads. Also, it is easy A FOPID controller transfer function representation is
to model [16]. The model equivalent circuit is shown below. defined as [18]:
- VUC
+
U (s)  K 
GFOPID ( s )    K P  I  K D s   (7)
Resr E (s)  s 
C IC Where U(s) and E(s) are the control and error signals,
IUC respectively. In this study, FOPID controller software are
performed by FOMCON Toolbox [19].
Repr Iepr
IV. PARTICLE SWARM OPTIMIZATION
Fig. 3 Equivalent circuit of the RC modelled UC Particle swarm optimization (PSO) is a population based
evolutionary algorithm developed from the simulations of
where VUC is the terminal voltage of the UC, Resr is the bird-flocking. The first step in algorithm is that the specified
equivalent series resistance used to simulate internal number of particles are placed randomly in the d-dimensional
resistance of the UC, Repr is the equivalent parallel resistance search space and objective function of the each particle is
used to simulate leakage currents and C is the capacitance of calculated and saved at their current position [10].
the UC. The mathematical description between the UC Associated coordinates with the best solution is called pbest .
voltage and current are given in (6). Then, the obtained best solution is compared to each other to
find the global best solution which is called as gbest. The
t movements of the particles are updated by using the position
1
C 0
VUC ( final ) (t )  IUC (t ) R e sr  I C (t )dt  VUC (initial ) (t ) (6) (X) and velocity (V) equations given in (8) and (9),
respectively [20].
Maxwell BMOD0083-P048 ultra-capacitor specifications Vit 1  wVit  c1r1(pbest

t
 Xit )  c2 r2 (gbest
t
 X it ) (8)
are used for modelling of the UC. The parameters are given in
Table II [17].
X i t 1  X i t  V i t 1 (9)
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In (8) and (9), i is the particle number, t is the iteration

number, c1 and c2 are the acceleration factors which are set to
2. r1 and r2 are the random numbers in the range of [0, 1]. w is
the inertia weight which balances the global and local search.
The value of the w is linearly decreased from 0.9 to 0.4 as
recommended in [21]. Population size (n) and the iteration
number (N) for both of the controller tuning processes are set
to 10 and 20, respectively.
Since the ITAE criteria of which mathematical description
given below provides a smaller overshoot and reduced
oscillations than the other error-based performance indexes, it
is used as an objective function [22, 23].
t
ITAE   t e(t ) dt (10)
0
V. SIMULATION RESULTS
The WECS illustrated in Fig 1. schematically is developed
in Matlab/Simulink/SimPower environment. Because the
small-scale waves are considered in this study, current
drawing from the generator is limited by duty cycle (d) in the
range of [0, 0.65]. Simulations are performed for 30 seconds.
The initial charge voltage of the UC is 12 V and the load
resistor is 10 Ω.
The DC-DC NIBB converter used for load voltage
regulation is controlled by both of FOPID and classical PID Fig. 5 WEC phase to phase voltage and current with (a, b) and without (c, d)
controllers. PSO algorithm is employed to tune controller UC unit
parameters and ITAE performance measure is used as an
objective function. Also, other error-based performance
indexes : integral of squared error (ISE), integral of absolute
error (IAE) and integral of time weighted squared error (ITSE)
are considered for a better comparison of the designed
controllers. The optimized parameters of the controllers and
calculated performance measures are given in Table III and
Table IV, respectively.
TABLE III
OPTIMIZED CONTROLLER PARAMETERS
Controller parameters
Controller
KP KI λ KD µ
FOPID 13.42 27.78 1.41 0.0153 0.34
PID 12.11 29.78 - 0.0794 -
TABLE IV
PERFORMANCE MEASURES
Performance measures
Controller
ITAE IAE ITSE ISE
FOPID 51.39 3.535 7.129 1.287
PID 61.10 4.196 10.77 1.659
The simulation results are considered with and without UC

unit. Since the FOPID provides a lower value performance
criteria value, all results are shown with optimized FOPID
controller.
The induced irregular 3-phase form in WEC with and
without UC unit is depicted in Fig. 5. The converter input
voltage and current is shown in Fig. 6. Fig. 6 NIBB Converter input voltage and current with (a, b) and without (c, d)
UC unit
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Fig. 6 shows that the parallel connected UC unit to the aimed to regulate the energy irregularities encountered in
WEC output eliminates the voltage drops encountered in a WEC output.
WEC because of the irregular wave effects. As a result, a The designed WECS is tested under irregular wave
more stable input voltage is obtained for the NIBBC input. condition. The rectified variable WEC/UC output voltage is
WEC provides energy to the load when the induced voltage applied to the NIBBC. DC-DC converter is controlled by a
value is greater than UC charge voltage. FOPID controller. Also, a classical PID controller is used for
comparison. In tuning process of the both controller
parameters, a well-known optimization algorithm PSO is
employed. The ITAE is used as an objective function. The
simulation results show that the FOPID provides lower value
objective function value than PID controller. This means the
higher quality output voltage without overshoot is obtained by
using the FOPID controller.
Since the small-scale waves are considered for this study,
WEC is alone inefficient to charge the UC unit. A solar or
grid charged UC can be considered to increase the overall
system sustainability.
ACKNOWLEDGMENT
This study was supported by Karadeniz Technical
University Scientific Research Projects Unit. Project No:
FBA-2014-5168.
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VI. CONCLUSIONS [13] L. Zubieta, and R. Boner, “Characterization of double-layer capacitors
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circuit between the WEC/UC side and the load. Thus, it is Electrochimica Acta, vol. 8, pp. 751-780, 1963:
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[15] R. L. Spyker and R. M. Nelm, “Classical Equivalent Circuit Parameters [20] R. Poli, J. Kennedy, T. Blackwell, “Particle swarm optimization,”
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[18] I. Podlubny, “Fractional-order systems and PI λDμ controllers,” IEEE [23] I. J. Nagrath, Control systems engineering, New Age International,
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Determination of the appropriate feature vector from the EEG signal for
epilepsy diagnosis
Sema YILDIRIM, Hakan ISIK, Hakan EKMEKCI and Gulay TEZEL
Graduate School of Natural Sciences, Selcuk University, semayildirim@selcuk.edu.tr
Electrical and Electronics Engineering, Faculty of Technology, Selcuk University, hisik@selcuk.edu.tr
Department of Neurology, School of Medicine, Selcuk University, hakanekmekci@selcuk.edu.tr
Department of Computer Engineering, Faculty of Engineering, Selcuk University, Konya, Turkey, gtezel@gmail.com
Abstract- Epilepsy that occurs suddenly and repeatability of using SVM. Moreover, Valderrama et al. [13] identified via
seizure is a chronic neurological disorder and it is estimated that SVM an increased risk of epileptic seizures using a multi-
1% of the world population suffering from epilepsy. Therefore, feature EEG-ECG classification. A comparative study of
many studies are carried out for the diagnosis of epilepsy. In this wavelet families for EEG signal classification was performed
study, we performed to determine the most convenient features
by Gandhi et al. using Probabilistic Neural Network (PNN)
by using electroencephalography signals (EEGs). EEG
recordings that obtained from 10 normal subjects and 10 with SVM. Whereas Siuly et al. [14] proposed Clustering
epileptic patients were conducted from Selcuk University Faculty Technique-based Least q-Square Support Vector Machine
of Medicine. Different features extraction methods that include (CT-LS-SVM) classification using some feature vectors, Lima
Discrete Wavelet Transform, statistical methods were applied for et al. [15] used some SVM methods such as Lyapunov the
identifying highest success features vectors. Different standard SVM. We may reach the conclusion that classifies
classification methods were performed for determining success of EEG signal was performed by using different classification
classifiers. High classification accuracy (CA) was obtained when and feature extraction methods.
the statistical methods was used in this new dataset. K-Nearest
Neighbors (kNN) method achieved higher CA with 98% than the EEG is a complicated and non-stationary signal and its
other classification methods. characteristics are spatio-temporal dependent. They were not
Keywords-Epilepsy, electroencephalography, feature extraction, considered using statistical properties or sub-bands. The
discrete wavelet transform. suitable feature extraction and accurate classifiers are needed
for evaluation of these signals. Therefore, in this study, EEGs
have been evaluated with different classifiers by extracting
I. INTRODUCTION different features from EEGs. We carried out various
Epilepsy is a type of neurological disorder disease classification and feature extraction methods in the same work
stemming from temporary abnormal discharges of the brain for observing and detecting feature vectors that provide the
electrical activity [1] and [2]. The significant characteristic of highest success. At the same time, we observed which feature
epilepsy is recurrent seizures. Sometimes seizures may go vectors on the not suitable for this dataset. On the other hand,
unnoticed, depending on their presentation [3]. Therefore, we aim to increase the success by using determined features
automatic seizure detection, particularly if it is performed on- by means of new classification methods or hybrid systems in
line, can be very helpful to identify segments of future work.
electroencephalography (EEG) likely to have seizures [4].
However, there still exists a need to further improve existing There is no doubt that the number of inputs is very crucial
detection methods published in the literature. Elman Classifier in the system since the classification method should be
was designed to acquire EEG and psycho physiological selected very carefully. The number of unnecessarily high
signals by Hosseini et al.[5]. Kumar et al. [6] highlighted the inputs might decrease performance of the system or the
importance of entropy-based features in recognizing EEGs number of unnecessarily low inputs may not give the result
with recurrent Elman Networks. Orhan et al. [7] achieved accurately and confidently. Due to the fact that in this paper,
Multi-Layer Perceptron Neural Network (MLPNN) for we used the various feature extraction methods that include
classification of EEG signals and feature vectors were statistical features and power of sub-bands features via
clustered by using K-means clustering method. Aydın et al. Discrete Wavelet Transform for detecting epilepsy from
[8] developed a classification using Multilayer Neural EEGs.
Network (MLNN) architecture with EEG series.
Lee [9] proposed the Neural Network with Weighted Fuzzy II. MATERIALS AND METHODS
Membership (NEWFM) to classify EEG signals. Fu [10] 1. DATA ACQUISTION
performed the classification of EEG signals using Hilbert–
Huang transform (HHT) and Support Vector Machine (SVM) In this study, EEG data recorded in the Department of
Neurology is used with decision of Selcuk University Faculty
with Radial Basis Function (RBF). Joshi et al. [11] carried out
of Medicine Hospital (Non-Invasive Clinical Research Ethics
classification of EEG signals using fractional linear
Committee No. 2014/423). We have used a total of 20
prediction. Musselman et al. [12] proposed time-frequency subjects (10 epileptics, 10 non-epileptics) that collected
distributions in the classification of epileptic activities by between 2012 and 2015. All of EEGs was obtained from
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routine EEG recording and all subjects were awake. Their TABLE I.
mean age of 10 epileptic patients was 39 (7 male, 3 female) FEATURE VECTORS BY USING DIFFERENT FEATURE EXTRACTING
and mean age of 10 non-epileptic patients was 42 (6 male, 4 METHODS
female) and all EEG tracing has been converted
electronically. Meanwhile, EEG recordings in different dates Name Description
FV1_PB Average power of β in each sub-band
of two patients who are epilepsy and undergo a treatment FV1_PA Average power of α in each sub-band
were included to our work. FV1_PT Average power of θ in each sub-band
FV1_PD Average power of δ in each sub-band
EEG recording consist of 20 channels that include 18 FV2_Min Minimum of the coefficients in each channel
channels for EEG, 1 channel for electrocardiography (EKG) FV2_Max Maximum of the coefficients in each channel
and 1 channel for photic stimulation. However, we used 18 FV2_Var Variance of the coefficients in each channel
channels in this study because of including brain waves. FV2_Std Standard deviation of the coefficients in each channel
Sampling frequency is 200 Hz and each epoch consists of 15 FV3_Skw Skewness of the coefficients in each channel
FV3_Krt Kurtosis of the coefficients in each channel
seconds. FV3_Iqr Interquartile range of the coefficients in each channel
Recording times is different from each other due to the fact FV3_Mad Mean absolute deviation of the coefficients in each channel
that the situation of each subject in record time is different.
Moreover, dataset showing epileptic activity that is 72 (18x4) features were obtained due to the fact that 4
determined by specialists are selected. These dataset was features were extracted every channel (18). Thus, each dataset
created EEGs that include various waves such as sharp wave, consists of 100 segments and 72 features.
spike, spike and slow wave, multiple spike and slow wave
complex. 5 epochs are used in this study both epileptic and 3. CLASSIFICATION METHODS
non-epileptic patients and the length of each epoch are
composed of 3000 samples. 100 segment data for 20 subjects SVM and different Neural Network gorithms are often used
was obtained as a result of calculations and adjustments. in literature for the epilepsy diagnosis. On the other hand, in
Whereas a value of 1 is given for 50 epileptic data, a value of this study, we carried out different methods that include kNN,
0 is given for 50 non-epileptic data in order to classify. Classification Tree, Random Forest, Naïve Bayes in addition
to these methods. The parameters of classifier were optimised
in order to determine the highest success by various trials. The
2. FEATURE EXTRACTION parameters of all classifier that provide the highest success is
Feature extraction process is an important factor affecting shown in Table II.
the success of classification. Features should be determined TABLE II
for achieving results faster and more accurately with fewer
LEARNING PARAMETERS OF EACH CLASSIFIER
data. Therefore, the feature vectors were computed by the
usage of the Matlab (Version 7.11, R2010b) software Classification Parameters
package. Feature Vectors (FV) are divided into 3 groups Methods
Multilayer Hidden layer neurons: 20
respectively, Feature Vector 1 (FV1), Feature Vector 2 (FV1) Perceptron (MLP) Regularization factor: 1.0
and Feature Vector 3 (FV3) as a result of feature extraction as Max iterations: 1000
shown in Table I. The number of decomposition levels is Naïve Bayes Probability estimation: Relative Frequency
LOESSa window size: 0.5
chosen based on the dominant frequency components of the Number of points in LOESS: 100
signal. The levels are chosen such that those parts of the Classification Attribute selection: ReliefF
signal that correlate well with the frequencies required for Tree Relieff settings: 100 reference examples, 5 neighbours
Pruning: 6 instances in leaves
classification of the signal are retained in the wavelet Recursively merge leaves with same majority class: Yes
coefficients [16] . In this study, the EEG signals are filtered Pruning with m-estimate: m=2
with band-pass Butterworth filter to extract four common SVM Kernel: Sigmoid, tanh (0.0000*x.y+0.0000)
Cost (C): 512.0
frequency bands, beta (β), alpha (α), and delta (δ), theta (θ). Numeric precision: 0.001
The power of subbands has been found by using the Discrete Estimate class probabilities: Yes
Wavelet Transform (DWT) for FV1. The wavelet function Normalize data: Yes
Random Forest Number of trees: 10
selected was Daubechies with order 4, which was also proven Seed for random generator: 2
to be the best suitable wavelet function for epileptic EEG Minimal number of instances in a leaf: 5
signal analysis [17]. Eight statistical features are extracted kNN Metrics: Manhattan
Unknown values ignored: Yes
from each EEG channel data as they are the most Number of neighbours: 6
representative values to describe the original signals. Weighting: By distances
Experiments have shown that computing speed of classifiers a
LOESS: Local weighter regression (kernel smoothing procedure)
and CA decreased with using of combination of all statistical
features. Therefore, whereas some statistical features consists
of minimum, maximum, standard deviation and variance have 4. STATISTICAL CALCULATION OF PERFORMANCE
been found for FV2, skewness, kurtosis, interquartile range The performance of the classifier methods is assessed by
and mean absolute deviation have been found for FV3. the following measures.
Consequently, statistical features were divided into two
groups as FV2 and FV3. 1) True positive (TP): It identifies an input as a patient with
epileptic diagnosed by the expert clinicians.
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2) True negative (TN): It identifies an input as a normal that true, 10 false for 50 non-epileptic data, 29 true, 21 false for
was labeled as a normal by the expert clinicians. epilepsy group in FV1. On the other hand, kNN has been
found 49 true and 1 false both non-epileptic and epileptic data
3) False positive (FP): The detection of epileptic that was
in FV2. 49 true and 1 false for non-epileptic data and 47 true
labeled as a normal by the expert. and 3 false was found for FV3 by means of kNN. Confusion
4) False negative (FN): The detection of a normal that was matrix in Table IV gives number of true and false in detail
labeled as an epileptic patient by the expert. The that this table is also confirmed in Table II.
performance of the classifier is also assessed in terms of
sensitivity and specificity as follows.
TABLE IV
Additionally, we can calculate sensitivity, specificity and CONFUSION MATRIX FOR ALL FEATURE VECTORS BY USING
accuracy values by using TP, TN, FP and FN as shown below. DIFFERENT CLASSIFIER
(1) Sensitivity (Sens): A measure of the ability of the classifier Feature Vectors
to detect epileptic signal. Classification
FV1 FV2 FV3
Methods
0 1 0 1 0 1
TP 0 40 21 45 3 45 4
Sensitivit y  % (1) Naïve Bayes
(TP  FN ) 1 10 29 5 47 5 46
0 46 31 46 6 45 4
MLP
(2) Specificity (Spec): A measure of the ability of the 1 4 19 4 44 5 46
0 39 22 46 4 46 7
classifier to specify normal signal. Random Forest
1 11 28 4 46 4 43
TN 0 47 35 46 5 47 5
SVM
Specifity  % (2) 1 3 15 4 45 3 45
(TN  FP) 0 30 16 42 6 42 3
Classification Tree
1 20 34 8 44 8 47
TP  TN 0 38 20 49 1 49 3
Accuracy  % (3) kNN
1 12 30 1 49 1 47
(TN  TN  FP  FN )
Note: column represent predictions, row represent true classes
III. EXPERIMENTS AND RESULTS In spite of the fact that SVM and MLP are providing the
In this study, we tried to find which feature vector that highest achievement many studies in the literature, the results
represents better the EEG signal using various classification show that kNN provides the highest CA in our work.
methods such as MLP, Random Forest, SVM, kNN, Meanwhile, the accuracy of classification has been finding
Classification Tree and Naïve Bayes. First of all, data was very high with FV2.
organized and then extracted some feature vectors by using Receiver operating characteristics (ROC) graphs that are
power of subbands and some statistical functions. 5-fold commonly used in medical decision is a plot of class
cross-validation is performed on all data when determining sensitivity against specificity as a threshold parameter is
the success of classification methods. varied. In this study, the epilepsy/non-epilepsy decision
It can be seen that kNN is the most successful methods with threshold is varied in the range 0–1 as shown in Fig 1.
98% CA for FV2 and 96% CA for FV3 as shown in Table III.
Meanwhile, Naïve Bayes is the most successful method for
FV1 with 69%. However, at the same time kNN is more
successful for FV1 than other methods except for Naïve
Bayes. Consequently, we can say that whereas kNN is the best
classifier for this dataset, Classification Tree is the lowest
classifier.
TABLE III
THE RESULTS OF TEST (EXAMPLES: 100)
Classification Methods
Naïve Random Classification
MLP SVM kNN
FV Bayes Forest Tree
CA 0.6900 0.6500 0.6700 0.6200 0.6400 0.6800
Sens 0.8000 0.9200 0.7800 0.9400 0.6000 0.7600
FV1 Spec 0.5800 0.3800 0.5600 0.3000 0.6800 0.6000
CA 0.9200 0.9000 0.9200 0.9100 0.8600 0.9800
Sens 0.9000 0.9200 0.9200 0.9200 0.8400 0.9800
FV2 Spec 0.9400 0.8800 0.9200 0.9000 0.8800 0.9800
CA 0.9100 0.9100 0.8900 0.9200 0.8900 0.9600
Sens 0.9000 0.9000 0.9200 0.9400 0.8400 0.9800
FV3 Spec 0.9200 0.9200 0.8600 0.9000 0.9400 0.9400
Confusion matrix that is true and false predictions in each
feature vectors including FV1, FV2 and FV3 are given in
Table IV. Whereas Naïve Bayes classifier has been found 40 Fig. 1. ROC curve for FV2 - epileptic data
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under the 1 value in ROC curve shows the excellent test “Classification of normal and epileptic seizure EEG signals using
results, whereas the area under the 0.5 value in ROC curve wavelet transform, phase-space reconstruction, and Euclidean
distance.,” Comput. Methods Programs Biomed., vol. 116, no. 1,
shows the unsuccessful test results. The gathered results pp. 10–25, Aug. 2014.
showed that statistical features for this new dataset could be
[10] K. Fu, J. Qu, Y. Chai, and Y. Dong, “Classification of seizure based
tried on similar dataset that includes larger data in order to test
on the time-frequency image of EEG signals using HHT and
and improve. In the next study, it is planned to develop a SVM,” Biomed. Signal Process. Control, vol. 13, pp. 15–22, Sep.
system that allows distinguishing the differences and 2014.
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IV. CONCLUSION [12] M. Musselman and D. Djurdjanovic, “Time–frequency distributions

in the classification of epilepsy from EEG signals,” Expert Syst.
Feature extraction method and number of the features Appl., vol. 39, no. 13, pp. 11413–11422, 2012.
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performance of the classifier. Therefore, it will improve the Adam, V. Navarro, and M. Le Van Quyen, “Identifying an
success of the classifier to determine the appropriate number increased risk of epileptic seizures using a multi-feature EEG–ECG
and best features. In this context, different feature extraction classification,” Biomed. Signal Process. Control, vol. 7, no. 3, pp.
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ACKNOWLEDGMENT diagnosis via EEG signal classification: A comparative study,”
Artif. Intell. Med., vol. 53, no. 2, pp. 83–95, Oct. 2011.
This study was produced as a result of Sema Yıldırım’s
[16] E. D. Übeyli, “Statistics over features: EEG signals analysis,”
PhD’s thesis in Selcuk University Institute of Science and Comput. Biol. Med., vol. 39, no. 8, pp. 733–741, 2009.
Technology. We present our thanks to Selcuk University
Faculty of Medicine Hospital for their contributions. [17] A. Subasi, “EEG signal classification using wavelet feature
extraction and a mixture of expert model,” Expert Syst. Appl., vol.
32, no. 4, pp. 1084–1093, May 2007.
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[8] S. Aydın, H. M. Saraoğlu, and S. Kara, “Log energy entropy-based
EEG classification with multilayer neural networks in seizure,”
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A Comparison of The Programmes Using Finite
Element Software in Electrical Machine Design

Murat TÖREN*, Mehmet ÇELEBİ+
*
Electronic and Automation Department of Technical Sciences and Vocational School,
Recep Tayyip Erdogan University, Rize, Turkey
murat.toren@erdogan.edu.tr
+
Department of Electric and Electronic Engineering, Ataturk University, Erzurum, Turkey
mcelebi@atauni.edu.tr
Abstract— Electrical machines technology has become In essence, real criterion is considered to be torque calculation.
too dependent on finite element method (FEM) programs in our This is because magnetic flux distributions of this machine,
time. In this study, three programs that are sold commercially which has been produced commercially, have already been
are compared over a 4-poles asynchronous machine of 1.1 kW. designed within the acceptable limits. In all simulations, the
With this comparison, it is investigated how close the values material is used with a BH characteristic given in Fig. 1 The
obtained by convenience, appearance, integration and, in computer system that is used for simulations is given in Table
particular, torque calculations with the real values will be. For I and specifications of the test machine in Table II.
this, the mechanical torque value of the machine is obtained first
by using the machine’s foreknown geometrical parameters and
electrical parameters found by tests. Then, the magnetic flux line
and density distribution and the obtained reluctance / real torque
values are compared between FEM programs.
Keywords—Ansoft /Maxwell, Cedrat /Preflu, Ansys, Ansys

Workbench, Induction Machine
I. INTRODUCTION
In recent years, the FE software package has been widely
used in applications. The programs using these applications
are Ansoft, Ansys and Cedrat. Ansoft is the most common
program among these publications although all types of
machine and analysis are available in Ansys. Ansys is the
world's most widely used FE software package program.
Cedrat is not a very popular program.
In this study, FEM software packages were compared starting Fig.1. BH curve of material used in simulations
from real values on a 4-pole asynchronous machine of 1.1 kW
TABLE I
[1]. As a result, it is proposed to give an idea for electrical
machine designers using finite element technology. Although SYSTEM CONFIGURATION
this test was performed only for the asynchronous machine, it Computer type Laptop
is generally useful for demonstrating the advantages and Manufacturer Dell
disadvantages of these programs. As a matter of fact, as a CPU AMD Turion 64x2 TL-50 1.60 Ghz
result of the variations and difficulties between theoretical
Physical RAM 2 GB
calculation and reality due to the working manner of the
Graphic Card ATI Radeon Xpress / Shared system
asynchronous machine, the closer a simulation program for
memory
such a type of machine to the real value the more acceptable
OS Windows 7 Ultimate 64 bit
performance given by the simpler direct-current machines.
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TABLE II
TEST MACHINE SPECIFICATIONS 
h j2  (mm) (4)
Power / Frequency / 1,1 kW / 50 Hz / 3-Y 2k fe LB j 2
Phase-Connection Type
Pole number / Stator 4 / 2,7 A / 1380 rpm In here, the rotor yoke height is taken as 1.2 T. Leakage
current / Speed reactance of stator winding is,
Efficiency / Nominal & 78 % / 7,7 & 16,9 Nm
Starting Torque 2
Stator & Rotor slot 36 & 28 / 65 mm X  1  0.5 w121 (/phase) (5)
f
numbers / Core Length
(L) where, 1 = 12.46 is the leakage conductance of stator winding.
Number of turns (w1)/ 66 / 0,51x2 mm Then, the leakage reactance of rotor bars reduced to stator is
wire diameter obtained from (Eq (6)).
Winding type / Coil 1-layer / 8
pitch (AAAZZZBBBXXXCCCYYY) X  21  1,6u1 22 (/phase) (6)
Stator (bda) / Rotor tooth 3,76 / 4,79 mm
widths where, 2 = 19.63 is the leakage conductance of stator
Stator (Da)& Rotor / 135 & 79,1 / 30 mm winding and u1 = 6.67x104 is the conversion rate. The leakage
Shaft diameters factor of the rotor is obtained as,
Stator & Rotor slot teeth 2,35 & 1 / 0,5 mm
gap / air gap X 21
Stator / Rotor slot 15,55 / 15 mm 2  1 (7)
X1
heights
Then, nominal and startup moments found from the equivalent
Initially analytical expressions are obtained from the values
circuit parameters are obtained as follows, respectively:
determined by the company. After calculating emf in the
stator as 192 V by using the air gap magnetic flux density as
T1  1   1
0.7 T and heyland leakage factor, the number of conductors (8)
per slot is found, by taking the equivalent pole length factor X k  T1 X 1  Tl 2 X 21
 = 0.76, as follows,
By using the above relationships, the nominal moment,
2m E1
z0  (1)
N1 4,44 fk w 60  U 
2
R21 / s
M dn  m  (Nm)
(1) (9)
2ns  3  R1  T1R21 / s 2  X k2
In here, z0 is found as 69 and N1 is the number of stator slots;
kw = 0.96 is the winding factor and  = 0.0022 Wb is the air
gap flux. The stator slot pitch induction is found from Eq (2): and the startup moment,
2
0 60  U  R21
Bda  (T) (2) M dy  m  (Nm) (10)
k febda B0 (1  0,6667 ) 2ns  3  R1  T1R21 2  X k2
(2)
where, Bda is stator slot pitch induction (T); 0, stator slot pitch; are found as 7 and 16.84 Nm, respectively. Here, U is the
bda, stator tooth width; kfe = 0.95 is the iron packing factor; voltage at motor end; ns is synchronous speed; m is the phase
B0 is the air gap induction (T) and  = 0.0115 is heyland number; T1 is the conversion rate; R1 and X1 are resistance and
leakage factor. The height of the yoke is found by using the reactance of stator winding, respectively, and Xk is the short
below equation. circuit reactance.
II. THE PROGRAMMES FOR ELECTIC MACHINE

 (1   ) DESIGN WITH FEM
h j1  (mm) (3)
2k fe LB j1
A. ANSOFT (3)
where, L is the stack length (mm) and Bj1 is the yoke Of the products of Ansoft [2-13], Maxwell v2.6 is investigated
magnetic flux density and assumed to be as 1.4 T. Rotor yoke for 2D applications, Maxwell v11.1 for 3D applications and
height is obtained as, the electrical machines module rxmprt v5 was examined. The
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visual quality, performance, advantages and disadvantages of The graphical interface of Maxwell v2.6 used for 2D
this program in 2D and 3D applications were investigated and, applications is similar to the DOS programs.
information was given about them. - Direct AutoCAD integration is weak:
Integration is not possible for direct intervention in
Advantages of Ansoft / Maxwell; the AutoCAD files.
- Moderate accuracy;
- Electrostatic analysis and a geometry module are Magnetic flux density distribution is shown in Figure
available for electrical machines: 2. Although the reluctance torque values obtained as
The geometry of the machine is generated with 5.53 Nm is not the realistic value, Ansoft can easily
rmxprt integrated as a module by using Maxwell bring the simplicity together with the mastership.
v11.1 2D/3D program and this can be used with the (Torque value is -5.53 Nm).
versions 2.4 or 2.6 for 2D analysis. - Inadequate help menus:
Almost every electrical machine geometry in 2D or Help files achieved by F1 button on the program
3D can be generated easily by v11.1 developed for menu are inadequate.
Maxwell 3D applications and the rmxprt module
integrated into it. In conclusion, opportunities offered by Ansoft[14] will be
- A translator module is available for AutoCad file: very useful for the researchers who will begin Magnetic field
A useful module, called a translator, is available in static analysis with finite elements method for the first time.
Maxwell control panel that converts Autocad DXF
files, etc. to sm2. B. CEDRAT
- Very easy-to-use: Preflu2d v10.3.2 program [15-18] of the Cedrat group is
The geometry part can be easily skipped in this analyzed here. Cedrat classifies its products as 2D and 3D.
program by converting the AutoCAD files to sm2 The visual quality, performance, advantages and
format with a translator. In addition, any electrical disadvantages of this program in 2D and 3D applications were
machine generated with rmxprt program can easily investigated and, information was given about them.
be exported in 2D. The BH curve can easily be
obtained directly from txt file. Advantages of Cedrat / Preflu:
- Winding tool is available: - Electrical machines module is available
Winding tool availability in the program provides The design part of the electrical machine is the result
convenience to the designer. of an original design. In Cedrat’s design module, the
- Graphical performance is high: part that is moving or the part which is fixed can be
Maxwell 11.1 provides an excellent graphics entered and a good machine geometry can be created.
performance in 2D/ 3D applications. Drawing can be The meaning of the parameters in the designed
easily managed with handy shortcuts using the asynchronous machine geometry can be displayed in
mouse. The size of the shape does not cause much the figures (with animations) available on the ready
decrease in performance. Even a synchronous overlayers.
generator with an internal diameter of 2 m, an outer - Armature reaction is taken into account:
diameter of 2.8m and a depth of 30 cm takes up the a In Figure 3, it can be seen that the magnetic flux lines
space of approximately 600 MB and offers a superior are different from the Ansoft and Ansys programs.
graphics performance. This is Cedrav taking the armature reaction into
- Graphical plotting specifications are sound: account and this really seems to be a significant
Plotting can be performed easily and a plotting form advantage by itself.
can be obtained including the number of lines. - Winding tool is available:
- High solution speed: The winding tool available in the program provides
Solution part progress is very fast convenience to the designer.
- Memory and CPU performance is good - Mechanical torque calculation is available:
Program memory is suitable as drawings do not A mechanical torque calculation by Cedrat is a good
occupy too much space and the processor specification although it can hardly approach the real
performances provide the results in a short time. torque value as can be seen in Table 3.
- Electrical circuit module is available:
Disadvantages; The electrical circuit diagram of the machine is
handled separately by the Cedrat. The values of
- Static Analysis: circuit elements cannot be seen with these
It does not allow professional solutions with respect specifications offering the possibility of making any
to the static analysis. kind of connections. Furthermore, one has to enter
- DOS view for 2D applications: resistance and inductance values of each phase into
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the program, as external data requires the use of other in the help menus. Incomprehensible points and
programs. inconsistencies exist between the sample
- Graphical interface is good asynchronous machine in the help file and the present
The graphical interface is designed well although it is version and, there is no information regarding the use
not as good as Ansoft. of the over layers.
- Graphics performance is satisfactory: - Intensive memory and disk usage:
Graphical result unit of Cedrat generates values When a file is opened in Preflux2D, it occupies more
suitable with what to do. Understanding of the results than 1 GB (ram+virtual memory) according to status
takes a short time with the help files. Graphics are of the computer hardware. A number of programs
found as desired and features of the results part make running at once, poses a problem even in today’s
a good impression. computers. Moreover, with the addition of solution
- Graphical plotting specifications are very handy program block, results in a memory of 2 GB. It is
It is possible to obtain a variety of parameters difficult to open two files together in Cedrat. It is a
graphically and animation features are fairly time consuming process to open your project.
advanced in graphic illustrations. Harmonic analysis
can be represented graphically in spectral analysis In conclusion, even if you believe you are doing
and this makes Preflu of the Cedrat one-step ahead. everything correctly in Cedrat/ Preflu[19], the odd
In addition, all graphics can be shown in the same bugs may be found(such as node error). Technical
axis in a single window. support is needed for this program throughout the
- Solution speed is moderate time that you are inexperienced in using it.
It is observed that the solution speed generates
solutions at normal speed compared to other C. ANSYS MULTI PHYSICS
programs when it is considered to make the memory In this part, the Ansys version v11 and the Ansys Multi
stacked. Physics program [20-29]are analyzed.
Disadvantages: Advantages of Ansys Multi Physics:
- 2D and 3D applications are separated: - Adequate help menus:

This is disadvantageous for those who wish to work Help files are very useful. When investigating a topic
both in 2D and in 3D. in the help files, surfing is possible within the
- Hard-to-use: program just as in MATLAB and there is no need for
The web browser is opened by pushing the help any program for this. This also provides a possibility
button and the help files follow here. In addition, to learn about unknown topics. Help files contain
there is no help file on the machine design in the help brief information.
file menu giving information for a designer who will - 2D and 3D applications are together:
design an electrical machine regarding how to start This is advantageous for those who wish to design
the designing process and perform it. Sample files both in 2D and in 3D.
given by the Cedrat team must be installed. If a - Opening speed of the project is high:
project is designed by using overlay, the coordinate Opening speed of your project is very high.
system is not generated as in the sample given by the - Graphics performance is satisfactory:
team and it fails. It becomes a time consuming Shape of magnetic flux distribution is the same for
process to generate exactly the same coordinate tri-shaped meshing while 1-2% change occurs in the
system given in the sample. resulting values. Magnetic flux distribution is given
- Moderate accuracy: in Fig. 2. Tri-shaped meshing and this flux
Preflu obtains 2.96 Nm with Ansoft results for a distribution are realistic. This is because the torque
quarter of the designed machine and this would be calculation reaches to its actual value, e.g. 8 Nm.
11.84 Nm for whole machine. 9.68 Nm would be The type of elements are specified in Ansys and all
found by using the analytical inputs. Tests show that details of FEM are examined. A BH curve of the
the torque generated is too dependent on the rotor material can be completely made through “copy and
leakage reactance (resistance and inductance of the paste” at a time as a text file from a file. This feature
portion of end rings between two adjacent bars). is not contained by the other two programs.
Accordingly, rotor leakage reactance values are seen - Very good accuracy:
to give improper results. The torque value obtained by ansys for the machine
- Inadequate help menus: to be designed is 6.43 Nm. The actual torque value,
Access to all subjects and examples/samples in the 7.6 Nm. is a satisfactory value for a company that
help file is not possible either in html or pdf formats does not develop simulation programs specific for
from a single location. French expressions are found electrical machines such as Cedrat.
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- Solution speed is good

Solution speed gives rapid results concerning the
generation of realistic values despite the fact that it is
not a program developed for electrical machine
design.
Disadvantages
- Graphical plotting specifications are difficult.

Integration cannot be satisfied in plotting graphics
which results in plotting that is completed in more
than one stage. Since the menus of Ansys Multi
Physics are inadequate, plotting graphics is a Fig.2. 2D CAD file and fields obtained with Ansys
troublesome process.
- Graphical interface is inadequate:
Drawing sizes should be corrected with a scale factor
if they are not in meters since Ansys takes geometric
sizes in meters. Assigning material properties should
be performed one by one as no tree exists for this
feature in the program.
Undo and modify functionalities for the processes
made before in a project saved in the program are
very complex. Dynamic model mode icon in the
menu should be used every time for zooming and
dragging of a geometry in the graphical interface and
then cancelled.
- Electrical machines module is not available: a) Ansoft
There is no electrical machine design module. Design
is made by integration with conversion of an Autocad
or Solidwork job.
- Hard-to-use
The electromagnetic sample solution in Ansys is
discussed through a very simple problem. Therefore,
one will definitely have great difficulty in a real
project.
- Intensive memory and disk usage:
Two projects cannot be opened at a time n Ansys.
Each project takes up approximately 600 MB in
virtual memory and about 17 MB in active memory.
Ansys occupies nearly 1 GB in the hard disk during
simulation. In addition, it uses an excessive part of b) Ansys
the memory during simulation. Simulation results of
a 1.1 kW motor take up a space of 1.26 GB with the
file where everything is saved. This is because one
has to work at full scale.
In conclusion, Ansys Multı Physics program is a
difficult multidisciplinary program for initial design
although it has rapid and superior features in several
points.
c) Cedrat
Fig. 3. Magnetic flux line diagrams of 1.1 KW induction machine in FE

Software
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D. ANSYS WORK BENCH

Ansys workbench program[20-29] is investigated and its
advantages and disadvantages are given in comparison to
other programs.
Advantages of Ansys Workbench[30]:
- Adequate help menus:

Help files are very useful. When investigating a topic
in the help files, surfing is possible within the
a) Ansoft program just as in MATLAB and no program is
needed for this . This also provides the possibility to
learn about unknown topics. Help files contain brief
information.
- 3D applications are powerful:
Work bench is actually designed as 3D. This is a
simplicity for those working in 3D.
- Opening speed of the project is high:
Opening speed of your project is very high.
- Graphics performance is satisfactory:
It has a better graphical interface compared to Ansys
Multi Physics. It includes similar features to
Autocad. A number of shapes can be formed easily.
b) Cedrat Disadvantages:
- Graphical plotting specifications are difficult.

Integration cannot be satisfied in plotting graphics
which results in plotting being completed in more
than one stage. Since the menus of Ansys Multi
Physics are inadequate, plotting graphics is a
troublesome process. As given in Figure 4,
deterioration can be seen while getting closer to the
drawing.
- 2D application is weak
As given in Figure 5, points that should be round are
taken as flat directly in Workbench. 2D fields
. generated by Ansys Multi Physics cannot be
c) Ansys Multi Physics (Quadratic-shaped mesh)
generated in Work bench. Here, in order to make
surfaces from sketches, the shape should be drawn in
work bench by proceeding on the shape, and thus
generating new construction points. However, this is
difficult for a complex shape such as an
asynchronous machine. As can be seen from Figure
6, the appearance of strange arrows with 3D because
of this process indicates that 2D application has
failed.
After defining the two axis, missing or additional
fields/areas should be removed or merged one by
one, as can be seen from Figure 7. Although the
angle between 28 rotor slots of our machine is
12.857, a close fit is ensured on the axis while this
d) Ansys Multi Physics (Tri-shaped mesh)
cannot be provided on other points (Figure 8).
Fig. 4 Magnetic flux density diagrams of 1.1 KW induction
- Graphical performance is low:
machine
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Total graphical performance decreases as the number

of defined surfaces increases even during study in
2D. As can be seen from Figure 10, the geometric
shape made in multiphysics and imported in 3D gives
face-face inconsistency error.
- Electrical machines module is not available:
The fact that workbench cannot be fully integrated
with sat files imported from Autocad is a huge
deficiency. Although it has satisfactory
specifications, work bench is not useful for electrical
machines. At minimum the generation of cores of
asynchronous machine is three to four times more
difficult due to the Autocad integration problem. Fig. 6 The deformation of imported geometry
- Hard-to-use
Despite the fact that the Workbench in Ansys
provides some convenience for Mechanical
engineering activities, obtaining geometries and
design creation is difficult for most designers. Most
of the conveniences offered by Autocad is not
available for lines in Workbench. The pattern
command corresponding to polar and angular array
command, which is indispensable for electrical
machine designers, should be improved.
- Intensive memory and disk usage:
Workbench requires a memory of 2 GB (650 MB
ram + virtual memory) for our 3D project shows that
the program is definitely a memory monster.
As a result, work bench is considered to be a hard-to-use

program for electrical machine designers (even geometry
construction is difficult) although it has a handy interface.
Fig. 7 Creating regions in Ansys Workbench.
Fig. 5 The Project of test machine in Ansys Workbench

Fig. 8 Reforming the geometry after deformation
in Ansys workbench
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Fig. 9 The slipping of the regions of rotor bars after pattern process. Notice
the location on axis.
TABLE III
Fig. 10. 3D geometry in Workbench after the import process
COMPARISON OF TORQUE VALUES (NM)
Torque Type Reluctance Mechanic Accuracy

Real - 7,7 -
Analytic - 7,6 98 %
Ansoft / Maxwell 5,53 - 72 %
Cedrat / Preflu 9,68 78 %
Ansys / multiphysics 6,44 - 84 %
(quadratic mesh)
Ansys / multiphysics 8,0 - 96 %
(tri-shaped mesh)
Fig. 11. Workbench errors in 3D geometry

after import process.
TABLE IV
COMPARISON OF FEM SOFTWARE PACKAGES
Electric
Machine Memory /
ry Auto CAD file Graphic Disk Overall
Software Version Usage Module integration Performance performance performance Accuracy
Ansoft /
2.6 / 11.1 Easy Exist Poor Very Good Good Good Average
Maxwell
Cedrat /
10.3.2 Difficult Exist - Good Average Good Average
Preflu
Ansys /
multiphysic 11 Hard No Excellent Very Good Good Very Good Very Good
s
Ansys /
11 Average No Good Bad Poor Poor -
Workbench
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III. CONCLUSION REFERENCES

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Comparison of two different Power Controllers

for Grid Tied Distributed Generation Systems
Doğan ÇELİK*, M.Emin MERAL+
*,+
Department of Electrical and Electronics Engineering Yuzuncu Yıl University, Van, Turkey
*
dogancelik@yyu.edu.tr
+
emeral@yyu.edu.tr
Abstract—In this study, modelling and simulation studies of DG in abc/dq-SRF. That is because PR controller is to transform
based fuel cell (FC) and solar cell (SC), connected to the common the dc type regulator network into an equivalent ac regulator,
which could directly achieve zero steady-state error in
direct current (DC) bus system to provide energy for various stationary frame [14]. Moreover, PR controllers are used in
loads. In order to synchronising of energy sources with grid, DG systems due to their superior behaviour over the
using three-phase phase locked loop (PLL) technique based park traditional PI controllers, when filtering sinusoidal signals.
Due to PR controller could achieve a very high gain around
transformation which is one of the most common methods in the given resonance frequency, thus being capable to
literature. Power control methods based dq/abc synchronous eliminate the steady-state error when this controller tracking
reference frame (SRF) or proportional resonant (PR) are used in
sinusoidal reference, which could be suitable for the using of
stationary reference frame control strategy. The advantages of
the DG systems. The performances of two controllers are the Proportional Resonant (PR) controller in opposition to PI+
discussed in this paper. Simulation results are obtained for dq/abc synchronous reference frame controller are a less
complexity of the control structure and a good capability to
various scenarios at the designed and created simulation model
compensate harmonics. Compared with Proportional Integral
of DG+Grid+Load system. The system is modeled and simulated + synchronous reference frame (PI+SRF) controller, the PR
by using PSCAD/EMTDC software package. controller eliminates abc-to-dq and dq-to-abc frame
transformations which significantly reduces computation
Keywords— Distributed Generation, Renewable Energy Sources, burden and PLL errors. However PI+SRF controller could
PLL, Synchronous Reference Frame, PR controller improve the dynamic response to power change and
unbalanced faults [4]-[5].
In this paper, DG system based on RES, such as
I.INTRODUCTION characteristic of fuel cell and solar cell with maximum power
point (MPP) are investigated. It is analysed the performances
Nowadays, environmental issues and growing demand for of PI+SRF (abc/dq) and PR based Power Controllers in grid
lower cost electricity with reliability and security, eventuate in tied distributed generation systems. Reliable performances of
an increased use of small electrical power generation located controllers under grid voltage drop and references power
close to end users which are called distributed generation change cases are discussed. Simulation results are provided to
(DG). There is an increasing use of renewable power sources illustrate the effectiveness of the proposed system. The
(RES) in DG systems because the growing demands for validity of proposed topology and control methods are verified
electrical energy [1]-[20]. The DG systems utilize RES, such with PSCAD/EMDTC software package.
as solar cells, fuel cells, wind turbines and micro turbines [2].
Grid connected inverters as one of the most importantly parts
in DG systems, their current and power loop controllers are II.DG SYSTEM CONFIGURATION
always the investigated [4].
In The grid tied DG systems, should be carefully designed The implemented DG system in PSCAD/EMTDC is shown
and controlled in order to get an optimal power under fault in Fig. 1 where FC/Solar cell (SC) combined form is the main
conditions [21]. The reason to apply PR in DG system design form of DG system. DG system is connected to DC bus
is to eliminate steady-state error [16]. The traditional system. Voltage source inverter (VSI) connected AC side with
Proportional Integral (PI) controller in abc/dq- synchronous grid and loads. The output voltage from the inverter contains
reference frame (SRF) is the common solution to solve this high order harmonics which must be eliminated and thus, a
problem. But the complexity of displacement the ac SRF back low LC filter and PR current controller are used to reduce the
to dc SRF where the PI controller can be used is also brought harmonic contents in the phase current and the output voltage.
into the control system design. In this case, a transformed The technical details of each part of the DG system are given
regulator known as PR controller is preferred considering the in the following subsections.
advantage of avoiding modulation and demodulation process
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 pll
Fig. 1 Distributed Generation System
a. Fuel Cell System .

R. T P .P
V =N E +
2F
In
P
−r .I (1)
The stack voltage and the reference power are determined
the reference current which is determined for the fuel cell Iref is the reference current ,
stack current in eq. (2) and (3). The fuel flow is proportional
to the stack current. The dynamic model of the FC stack is P
presented based its electrochemical and thermodynamic I = (2)
V
characteristics and emphasis on the FC terminal electrical
characteristics [11]-[12]. The partial pressure of hydrogen, I
oxygen and water are determined using the flow rates of I = (3)
hydrogen and oxygen. The stack current and pressure of gases 1 + τ .S
affect the stack voltage [13]. A simulation model is developed
for the FC in PSCAD/EMTDC based on the dynamic FC The power output of fuel cell system is the product of stack
stack. The output voltage of the stack is given by the Nernst current and voltage;
equation. The ohmic loss of the stack results from the
resistance of the electrodes and to the resistance of the flow of P = N .V .I (4)
oxygen ions through the electrolyte.
E0 is standard reversible cell potential, rohmic is internal Variable DC load tied to the FC system. Fig. 5 shows
resistance of stack, Ifc is stack current, N is number of cells in modelled the fuel cell system in PSCAD/EMTDC under
stack, R is universal gas constant, T is stack temperature, F is variable DC loads. The fuel cell stacks current and power
Faraday’s constant, partial pressure of oxygen, hydrogen and increase and decrease with the DC load change. However,
water (PO2, PH2, PH2O), the expression of total fuel cell stack with the load change, boost converter output voltage (DC bus
voltage can be written as voltage) is constant.
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Fig. 2 Under variable DC loads; (a) DC Bus Voltage, (b) Boost Converter Current and (c) Boost Converter Power
b. Solar Cell the charge of an electron and T is the operating temperature of

cell.
Fig. 3 shows a simple equivalent circuit of a SC. The
current source which is driven by sunlight is connected with a All the equations for modelling the SC are analysed based
real diode in parallel. In this case, SC presents a p-n junction on that equivalent circuit.
characteristic of the real diode. The forward current could
flow through the diode from p-side to n-side with little loss. ( . )
I = I . 1 + C (T − 273.15) − I . e −1
However, if the current flows in reverse direction, only little
reverse saturation current could get through [14]. (V + I. R )
− (5)
R
Rs I cell
ID Ish In this paper, grid tied SC system is modelled and

simulated in PSCAD/EMTDC software under various load,
VD Rsh Vsc radiation and temperature. MPP incremental conductance
algorithm is implemented in PSCAD/EMTDC in order to get
Iphoton the maximum output power for any given solar irradiation and
temperature. Fig. 4 shows the characteristic (I-V and P-V) of
SC and it pointed MPP.
Fig. 3 Equivalent circuit for a solar cell
Rsh is the shunt resistance which accounts for leakage

current [3] and Rs is the internal resistance of the cell. Where
Iph is the photon current, Io is the reverse saturation current,
Vsc is open circuit voltage, k is the Boltzmann's constant, q is
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provide SRF-PLL with PI+SRF and PR current controller can

enforce orthogonal voltage (Vq) tracking grid voltage with
grid voltage drop (30 %) successfully.
Fig. 6 Orthogonal voltage with grid voltage drop.

Fig. 4 Solar cell I-V and P-V characteristic
b. abc/dq-SRF
III.ANALYSIS OF CONTROLLERS and 3p-PLL
PI controller cannot eliminate steady-state error for the
a. SRF-PLL alternative current (AC) control as in three-phase grid tied DG
system. To solve this problem, a mathematical transformation
A PLL is frequency control system that sycronize for grid abc/dq-SRF has been universally applied system. Abc/dq-SRF
voltage and phase voltage [19]. A synchronous Reference transformation is short for direct quadrature zero
Frame PLL (SRF-PLL) is mainly used for tracking the phase transformation which is usually applied to the three-phase AC
angle in case of 3-phase signals [18]. SRF-PLL is widely used circuit analysis. The main reason to apply this method is for
in three-phase grid tied DG system for its simple simplification of analysis. In balanced three-phase systems,
implementation and fast and accurate estimation of the abc/dq-SRF transformation transform three AC quantities to
phase/frequency in ideal grid conditions. But, the three-phase two directive current (DC) quantities into two-phase frame
voltage vector in abc stationary frame need to be transformed such as direct axis (d) and quadrature axis (q) [17]. Simplified
to dq rotating reference frame in park's transformation as calculations can then be carried out on these imaginary DC
shown in eq.(6) and (7). Conventional SRF-PLL allows fast quantities. In this case, the application of dq0 transformation
and accurate estimation of phase angle and grid-voltage not only reduces the complexity of system analysis but also
frequency in ideal condition [15]. The basic structure of SRF- provides an available DC operation condition for PI controller
PLL based park and clarke transformation is illustrated in Fig. [14].
7. Park's transformation-which is given in eq. (6) and (7);
2π 2π
⎡ cos(θ) cos(θ − ) cos(θ + ) ⎤
⎢ 3 3 ⎥
2 2π 2π I
I = ⎢−sin(θ) −sin(θ − ) −sin(θ + )⎥ I (6)
3⎢ 3 3 ⎥
I
⎢ √2 √2 √2 ⎥
⎣ 2 2 2 ⎦
⎡ cos(θ) √2⎤
−sin(θ)
⎢ 2⎥ I
 pll 2⎢ 2π 2π √2⎥ I
I = (7)
3 ⎢cos(θ − 3 ) − sin(θ − 3 ) 2 ⎥
⎢ ⎥ I
⎢ 2π 2π √2⎥
⎣cos(θ + 3 ) − sin(θ + 3 ) 2 ⎦
Fig. 5 Basic structure of SRF-PLL. Modelled and simulated the PI+SRF controller based park
transformation in PSCAD/EMTDC are given in Fig.7.
SRF-PLL is an important technique for grid
synchronization along with control inverter. Fig. 6 shows that
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L
L  pll
 pll
Fig. 7 Synchronous Reference Frame with PI Control Strategy.
c. The Proportional Resonant (PR) Current Controller adequate to eliminate harmonic influence caused by grid
voltage harmonics [7]-[8].
Although its popularity, a PI controller is not able to track a Fig. 8 shows that ω is grid fundamental angular frequency
sinusoidal reference without the steady-state error (magnitude and ki is a constant which is carefully selected to shift the
and phase). PI controller such as lack of tracking a sinusoidal controller’s magnitude response vertically [6].
reference with zero steady-state error and poor disturbance
rejection capability [6]. To overcome the mentioned problems kωs
of conventional PI controllers in SRF, PR current controller is G(s) = k + (8)
s + 2ω s + ω
proposed. The PR controller provides a high gain and zero
steady-state error. Besides its simplicity, the system dynamics And kp and ki are the proportional and integral gains of PR
is almost not affected by the harmonic compensation terms. controller respectively, and ω is cut-off angular frequency.
However, the PR controller is difficult to implement in reality. The transfer function shows a no-ideal PR controller which
It has two problems. Firstly, the infinite gain introduced by a has lower gain and wider bandwidth than ideal PR controller
PR controller leads to an infinite quality factor which cannot at the resonant frequency [6]. The power/current controller of
be achieved in an analog or a digital system processor (DSP). the DG system with PR controller is illustrated in Fig. 9.
Secondly, the gain of the PR controller is much decreased at
other frequencies and it is not
kp
2wc
ki 2wc

2
wo 
Fig. 8 PR Current Controller Block Diagram [10]
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785
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pll
pll pll
Fig. 9 DG system with PR Power Controllers
PR gain is finite, but it is relatively high for enforcing a Case 1:

small steady-state error. The controller’s bandwidth can be
widened by setting ωc suitably, which helps to reduce
sensitivity towards slight frequency variations [9].
IV.SIMULATION RESULTS
To better understand the performances of the controllers

and using main parameters in DG system are given in Table 1
and 2. Their graphics and values are given at the same scale in
Fig. 9 and 10 for easily comparing the controllers.
Table 1. Main parameters DG system
Parameters Values
R filter 0.005 Ω
L filter 0.5 [mH]
C filter 16 [μF]
DC bus voltage 800 V
Grid voltage 380 VL-L rms
In this case 1, reference power step changes from 1 p.u. to

0.8 p.u. at 1.1 s and the output performance of controllers can Fig. 10 Power of system with reference power change
be seen in Fig. 10. The reference value of real power and
reactive power step change simultaneously at both 1.1 sec, the
corresponding output performance of the system with given
reference values are shown in Fig. 10. As one can see from
Fig. 11, the system keeps stable under step-change conditions.
However, the output power of PI+SRF controller is able to
track the reference values well in less than 0.015 s, which
proves a good dynamic performance than PR current
controller (0.125 sec.). In this case 2, when reference power
step changes at 1 s, orthogonal currents with PI+SRF (stable
with 0.1 sec. ) have a good dynamic performance better than
PR current controller (stable with 0.175 sec. ) in Fig 11.
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Case 2: Photovoltaic Systems,” IFAC-PapersOnLine vol. 49-1, pp. 766-771,

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connected fuel cell power plant: An LPV robust control approach,”
REFERENCES Electrical Power and Energy Systems, vol. 67 pp. 306–314, 2015.
[21] Azevedo, G. M. S., Rodriguez, P.,. Cavalcanti, M. C, Vázquez, G.,
[1] Bouzid, A. M., Guerrero, J. M., Cheriti, A., Bouhamida, M., Sicard, P., Neves, F. A. S., “New control strategy to allow the photovoltaic
Benghanem, M., “A survey on control of electric power distributed systems operation under grid faults,” 2009 Brazilian Power Electronics
generation systems for microgrid applications,’’ Renewable and Conference, 2009, pp. 196-201.
Sustainable Energy Reviews, vol. 44, pp.751–766, 2015.
[2] Chen, G., Lewis, F. L., Feng, E. N., Song, Y., “Distributed Optimal
Active Power Control of Multiple Generation Systems,’’ IEEE
Transactions On Industrial Electronics, vol. 62, pp. 7079-7090, Nov.
2015.
[3] Sathiyanarayanan T., S. Mishra, “Synchronous Reference Frame
Theory based Model Predictive Control for Grid Connected
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A study on parameters of Photonic

Crystal Fiber Modes
Seyhan Coşkun1, Yavuz Öztürk2, Gökalp Kahraman2
1
Ege University, Ege Vocational High School, Bornova, İzmir-Türkiye
seyhan.coskun@.ege.edu.tr
2
Ege University, Electric-Electronics division, Faculty of Engineering, Bornova, İzmir-Türkiye
yavuz.oztürk@ege.edu.tr
alpkahraman@ieee.org
Abstract-Optical fibers which have been in human life for 30-40 is guided with principle of photonic band gap. Light with
years, were used in long haul telecommunication links in first some wave length does not propagate in the fiber. Guidance
decade. But today, fiber optic is used every distance of of light in the fiber occures in certain bands[14].
communications. Beside communications, fiber optic
Technologies are spreading out in optical sensor technologies and
networks, industry and medical in today. Classical optical fibers
II. MODES OF PCF
is standardized and has come to limit of refinement. As a new In core and cladding of PCFs, various modes ocur due to
generation of optical fiber, with feature of very flexible design, guidance conditions determined with parameters of geometry
photonic crystal fibers (PCF) are promising new horizones. PCFs and material of PCF and light. A number of modelling
are designed as endlessly single mod fiber in very wide range of methods have been offered to analyse modes, mode
wavelengths. Dispersion, birefringence and nonlinearity can be properties and propagation characteristics of PCFs[15-23].
obtained in desired characters by changing geometrical Considerable modelling methods are effective-index, the
parameters of PCFs. plane-wave expansion, localized basis function, finite-
In this simulation study, fundamental and high order core
element, finite difference, finite difference time domain
modes, cladding modes, fundamental space filling mode (FSM)
and high order space filling modes were found. Effective
(FDTD), beam propagation and multipole method.
refractive indices of the modes were calculated. Modelling and after modelling processes give patterns of
modes, effective refractive indices of modes, mode areas,
Keywords-Fiber optic, Photonic Crystal Fiber, Fiber optic confinement losses, dispersion characteristics. Effective
sensor, Effective refractive index refractive indices of modes are very important parameters for
especially fiber optic sensor systems. Cladding modes are
I. INTRODUCTION very critical for PCF sensor in respect to analyse interaction
Photonic crystal fibers (PCF) are new generation fiber liquid or/and gas materials in holes of the PCFs and guided
optic waveguides which have different structures and features light [24,25].
from classical fiber optics[1,2]. PCFs are produced from a Fundamental Space Filling Mode (FSM), is fundamental
single material. They have air holes around core which are mode which propagates in cladding[3]. FSM is used effective
parallel to core and run along the fiber. Air holes are cladding index and the mode with highest refractive index in
positioned in many rings around core. PCFs whith various cladding[26].
geometric features (hole diameter, distance of holes, number nFSM and βFSM are supposed to effective refractive index
of rings, etc.) of cross section show different guiding features. and propagation constant of FSM, respectively.
PCFs have many advantages over classical fibers. PCFs have nFSM = βFSM/k0
wide range of wavelength of single mod guidance, dispersion, neff is valid for index-guided mode in core. Refraction
non-linearity and birefringence control and endurances to index of silica glass in core of PCF is up to nco This inequality
bending[1-7]. is valid:
PCFs have two dimensions periodicity. At least one nco > neff = β/k0 > nFSM
characteristic dimension is about to magnitude of wavelength
of guided light[8]. PCFs are called as crystal fibers, holey
fibers and microstructure optical fibers (MOF), too. Since air
holes arrayed in two dimensions in periodic structure, PCFs is
a special tip of MOFs[9]. Core of PCF may be solid or air
hole (Fig. 1) [10 -13]. Photonic crystal fibers with air hole
core is also called hollow core fibers.
Guided light propagate with different mechanism in 2
holey fibers which have different basic structures. In fibers
with solid core, light propagate with modified total internal
reflection. Cladding that is the section with air holes shows
lower refraction index than core and provides guiding of light.
Fig. 1 Holey fibers: a) Solid core PCF[28], b) Hollow core fiber [6].
That is also called index guiding. In hollow core fibers, light
1
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Numerical and analytical methods can be used for (b)

calculation and analysis of FSM. Analytical method is two
types as scalar and vectorel methods. In a study, it was seen
that results of vectorel methods was better matched to results
of numarical method[26]. Guided modes in section of silica
glass out of rings of holes are admited as FSM. This section is
called as FSM layer[27].
III. RESULTS OF SIMULATIONS

Simulation study was implemented by using finite element
method (FEM) for PCF of NKT Photonics LMA-20.
Properties of LMA-20: d = 6 (µm), p =12.8 (µm), number of
hexagonal rings = 6, outer cladding diameter = 230 (µm).
(c)
Guided modes and electric field patterns of modes have been
obtained. Effective refractive indices (neff) of the modes have
been calculated in those simulations. It was seen that single
mod (LP01) guided in core of PCF. Furthermore, low order
modes and their effective refractive indices were obtained in
cladding of the PCF.
Some modes have been detected at FSM layer in the
simulation of large mode area PCF (LMA-20). In FSM layer
modes, maximum neff of PCF modes have been observed.
The simulation study have been implemented for 560-
2300nm range of wavelength.
Modes of core, cladding and FSM layer which have found
by means of simulations for wavelength of 600 nm are shown
(d)
in Fig. 2. In this figure, some prominent low order modes are
taken part.
Effective refractive indices of the modes have been also
obtained over simulations. Graphic of effective refractive
indices verse wavelengths have been sketched in matlab. The
graphic is shown in Fig. 3.
(e)
(a)
(f)
2
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Fig. 3 Variations of effective refractive indices verse wavelengths of guided

modes of PCF LMA-20.
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Fibers: A New Class of Optical Waveguides”, Optical Fiber Technology 5,
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single-mode optical fiber with photonic crystal cladding,’’ Opt. Lett., vol. 21,
no. 19, 1996, 1547
[5] J.C. Knight, T.A. Birks, R.F. Cregan, P.St.J. Russell, J.-P. de Sandro,
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Vol. 24, No 12, 2006, 4729
[7] K. Saitoh, M. Koshiba, T. Hasegawa, and E. Sasaoka, “Chromatic
dispersion control in photonic crystal fibres: application to ultra –flattened
dispersion,” Optics Express, Vol. 11, 2003, pp. 843-852.
[8] R. M. De La Rue, S. A. De La Rue, “ Introduction to Photonic Crystals
and Photonic Band-Gaps”, in “ Photonic Crystals: Physics and Technology””,
Editors: C. Sibilia, T.M. Benson, M. Marciniak, T. Szoplik, Springer-Verlag,
Italia, 2008
[9] C. M. B. Cordeiro, M. A. R. Franco, G. Chesini et al., “Microstructured-
core optical fibre for evanescent sensing applications,” Optics Express, vol.
14, no. 26, pp. 13056–13066, 2006.
[10] P. Russell, “Photonic Crystal Fibers”, Science 299, 358. , 2003
[11] R. F. Cregan, B. J. Mangan, J. C. Knight, T. A. Birks, J. Russell, J.
(h) Roberts, D. C. Allan, “Single-Mode Photonic Band Gap Guidance of Light in
Air”, Science, V. 285 3, 1999
Fig. 2 Over simulations for wavelength of 600 nm, obtained electric field [12] C. Sibilia, T.M. Benson, M. Marciniak, T.Szoplik ( Editors), “Photonic
Crystals: Physics and Technology”, Springer, Verlag, Italia, 2008
intensities of various modes: a) LP01 core fundamental mode, b) LP01 at FSM
[13] H. Ademgil, M. Toycan, S. Haxha, “Fotonik Kristal Fiber Yapılarının
layer, c) LP11 at FSM layer, d) LP31 at FSM layer, e) LP11 cladding mode, f) Kıvrılma Kaybı Analizi”, SIU, 2012
LP02 cladding mode, g) LP31 cladding mode, h) LP32 cladding mode. [14] N. M. Litchinitser, S. C. Dunn, P. E. Steinvurzel, B. J. Eggleton, T. P.
White, R. C. McPhedran and C. M. de Sterke, “Application of an ARROW
model for designing tunable photonic devices”, Opt. Express 12, 1540–1550,
IV. CONCLUSION 2004
In this simulation study, Comsol Multiphysics which is [15] R. Buczynski, “Photonic Crystal Fibers”, Acta Physica Polonica A, Vol.
based on FEM, one of the PCF modelling method, is used. 106, No. 2, 2004
[16] K. Saitoh, and M. Koshiba, “Numerical Modeling of Photonic Crystal
The simulation was implemented for PCF of NKT Photonics Fibers”, Journal of Lightwave Tech.,Vol. 23, No. 11, 2005
LMA-20. Lowest wavelength at which core fundamental [17] Y. Li, Y. Yao, M. Hu, L. Chai, and C. Wang, “Improved fully vectorial
guided mode was detected have been ascertained as 560 nm effective index method for photonic crystal fibers: evaluation and
(cut off wavelength). The modes were searched for 560 -2300 enhancement”, Applied Optics Vol. 47, No. 3, 2008
[18] Y. Li, C. Wang, M. Hu, “A fully vectorial effective index method for
nm of wavelength range. Modes and their effective refractive Photonic crystal fibers: application to dispersion calculation”, Optics
indices of core, cladding and FSM were obtained. For this Communications, 238, 29–33, 2004
PCF, it has been seen that maximum effective refractive [19] A. D. Varshney and R. K. Sinha, “Propagation Characteristics of
indices of guided modes are at the modes of FSM layer Photonic Crystal Fiber: Scalar Effective Index Method & Fully Vectorial
Effective Index Method”, Adv. Studies Theor. Phys., Vol.1, no. 2, 75 – 85,
(figure-3). 2007
[20] D. Mogilevtsev, T. A. Birks and P. St. J. Russell, “Localized Function
Refractive indices of PCF modes Method for Modeling Defect Modes in 2-D Photonic Crystals”, Journal of
1.46
n
coreLP01 Lightwave Tech., Vol. 17, No. 11, 1999
fsmLP01
1.455
fsmLP11
cladLP11
[21] B. Kim, H. Kim, K. Naeem, L. Cui and Y, Chung, T. Kim, “Design,
cladLP02
cladLP21
Fabrication, and Sensor Applications of Photonic Crystal Fibers”, Journal of
cladLP31
1.45 cladLP03 the Korean Physical Society, Vol. 57, No. 6, 1937-1941, 2010
[22] Z. Zhu and T. G. Brown, “Full-vectorial finite-difference analysis of
Effective refractive index
1.445
microstructured optical fibers”, Optics Express, Vol. 10, No. 17, 853, 2002
1.44
[23] F. J. Marcou, D. Pagnoux, and P. Roy, “Complete Analysis of the
Characteristics of Propagation into Photonic Crystal Fibers, by the Finite
1.435 Element Method”, Optical Fiber Technology 6, 181191, 2000.
[24] H. C. Park, I. K. Hwang, D. I. Yeom, and B.Y. Kim, “Analyses of
1.43
cladding modes in photonic crystal fiber,” Opt. Express, vol. 15, 15154-
15160, 2007
600 800 1000 1200 1400 1600 1800 2000 2200 2400
Wavelength [nm] [25] N. Khurram, L. V. Nguyen, K. Alameh and Y. Chung, "Cladding Modes
Analysis of Photonics Crystal Fiber for Refractive Index Sensors Using Finite
Element Method", CLEO-QELS, (2010/05)
3
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[26] Y. Li, C. Wang, Y. Chen, M. Hu, B. Liu and L. Chai, “Solution of the
fundamental space-filling mode of photonic crystal fibers: numerical method
versus analytical approaches”, Appl. Phys. B:Lasers and Optics, vol. 85, 597–
601, 2006.
[27] A. G. Prabhakar, B. A. Peer, C. A. Kumar and D. V. Rastogi, “Finite
Element Analysis of Solid-Core Photonic Crystal Fiber”, SCES 2012
[28] F. Tian, J. Kanka, B. Zou, K. S. Chiang, and H. Du, “Long period
gratings inscribed in photonic crystal fiber by symmetric CO2 laser
irradiation”, Opt. Express, Vol. 21, No. 11, 13208, 2013
4
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Offline Vehicle Tracking and Visualizing on Digital

Maps
Halil AYDIN1, Ömer Faruk BAY2
1
Ministry of National Education
Department of Information Technologies, Ankara, Turkey
aydinhalil@meb.gov.tr
2
Department of Electronics and Computer Education, Gazi University
Ankara, Turkey
omerbay@gazi.edu.tr
Abstract— Tracking mobile objects has always attracted people’s In case of GPRS or generally internet connection loss, there
interest and over time it has become a necessity to keep records of might be data loss if the device on the vehicle does not have a
them. Various solutions have been developed to meet this need. In local storage unit.
particular, the development of GPS and digital mapping system There might some cases that real time tracking of the
has contributed greatly to this solutions. The developed methods
vehicles is not essential and having past records might be
can be divided into two main categories as online and offline
systems. Although the online systems provide advanced features, sufficient. For example, for a school bus debates about
production and operating costs are quite high and have regular following route, timing and obeying speed limits can be
expenses. In this study, we propose a microcontroller based offline illuminated by examining previous records. Similarly, a
vehicle tracking system. The proposed system offers a practical, company can use recorded past data to check its vehicles routes,
low cost and high capacity approach for vehicle tracking systems. departure and arrival times and to estimate amount of fuel
The proposed system calculates the vehicle’s position and speed consumption. This data may also be used as evidence in case of
according to the signals gathered from GPS satellites and records accident or a crime. For such cases, there is no need for real
them to an SD card continuously. The stored data, then, can be time or online tracking systems and having just an offline
transferred to a computer easily whenever needed and the routes
tracking record is sufficient.
that the vehicle followed can be tracked on a digital map using
google earth. Besides, some visualization technics like coloring In this study, a practical and low cost solution is proposed as
routes with regards to time or speed intervals can be used for an alternative to real time or online tracking systems. For this
advanced analyses of the data. The proposed system allows the purpose, an offline tracking system which records the data
GPS data to be recorded as long as 3 months on a 4 GB SD card received from GPS satellites to a pluggable SD card is
continuously. developed. Then, the recorded data can be transferred easily to
any computer when needed and can be monitored on a digital
Keywords— GPS; Digital Map; Offline Tracking; Vehicle map using google earth. Since the GPS data is recorded directly
Tracking; GPS Data Visualizing on SD card as standard NMEA format, there is not a
dependency to any special or commercial software to monitor
I. INTRODUCTION the data on a digital map. Any software able to monitor GPS
The free, open, and dependable nature of GPS has led to the data can be used. In this study google earth is used to visualize
development of hundreds of applications in such areas as the users route on digital maps.
marine, aviation, agriculture, environment, space, surveying,
mapping, public safety, disaster relief, recreation, timing, rail, II. GLOBAL POSITIONING SYSTEM
roads and highways. Although tracking systems was first The Global Positioning System (GPS) is a satellite system
developed for fleet management and shipping systems, today it that provides users with positioning, navigation, and timing
is used in many areas of daily life [1], [2]. information. The GPS system was created by US. Department
Vehicle tracking systems used today are generally online of Defense and has been available to civilians since 1980.
systems. That is, the information like location and speed of the Generally, it is used to track and navigate the mobile objects.
vehicle are sent to a management center in real time. Online The GPS system consists of three segments: The space
systems depend on GPRS or SMS technology to communicate segment, the control segment, and the user segment.
with a management center or a central server. Despite the many
advantages of this system, they have some regular expenses  The space segment basically consists of 24 satellites that
beside the initial setup costs. These expenses involves monthly travel around the earth two times a day. The
subscription fee per vehicle for GPRS services, server and arrangements of the satellites on 6 planes allow at least
management center operating and maintenance fees, domain four of them to be visible by receivers from any point on
name fees and server hosting costs. Moreover, if these services the Earth.
are not owned by self, it is needed to subscribe such services
and pay subscription fee monthly for each vehicle to be tracked.
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 The control segment consists of ground stations which GPS module transfers data using NMEA 0183 standard.
track the satellites, monitor their transmissions and send Although there would be device specific communication
command and data to keep them in their orbits. protocols, NMEA is a standard protocol supported by all GPS
 The user segment is composed of military and civilian receivers. There are several NMEA sentences as GGA, GLL,
applications. The military services use L2 frequency and GSA, GSV, RMC and VTG. These sentences include some
have a more precise positioning and timing capability common and some sentence specific information. [4]
than the civilians. [3], [4] In this study, RMC sentence is used because it includes all
the information required for this application. A sample RMC
III. SYSTEM DESIGN AND IMPLEMENTATION sentence and message format is as follows:
The designed system is described in detail in this section. $GPRMC,053740.000,A,2503.6319,N,12136.0099,E,2.69,
Block diagram of the designed offline tracking system is shown 79.65,100106,,,A*53
in Figure 1. The three main parts of the system are GPS module, Description of the sample RMC sentence is seen in Table 1.
microcontroller and data storage. The GPS receiver module’s TABLE I
function is to calculate the vehicle position according to DESCRIPTION OF AN EXAMPLE RMC SENTENCE
information received from GPS satellites. The microcontroller
Name Example Description
processes the data obtained from GPS receiver module and
RMC protocol
selects desired NMEA sentences. This data is stored to a Message ID $GPRMC
header
pluggable SD card. Whenever needed, SD card can be plugged UTC Time 053740.000 hhmmss.sss
in a computer to monitor the data on a digital map. All A=data valid or
components in the circuit require a 3.3V voltage source. The Status A
V=data not valid
device includes a voltage regulator on board and vehicle’s Latitude 2503.6319 ddmm.mmmm
battery or a separate battery can be used as a power supply. N/S Indicator N N=north or S=south
Longitude 12136.0099 dddmm.mmmm
E/W Indicator E E=east or W=west
Speed over ground 2.69 TRUE
GPS MODULE Course over ground 79.65
Date 100106 ddmmyy
Not Available, Null
Magnetic Variation
CONTROL UNIT Field
E=east or
Variation Sense
W=west(Not Shown)
STORAGE UNIT
A=autonomous,
Mode A
IN VEHICLE UNIT
D=DGPS, E=DR
Checksum *53
Fig 1. Block diagram of the designed offline vehicle tracking system End of message
<CR> <LF>
termination
A. GPS Module
The GPS module is used to get the current position and speed
of vehicle. In this study, LINX RXM-GPS-SR receiver module B. Microcontroller
(shown in Figure 2) is used for getting latitude, longitude, In this project, PIC18F4620 microcontroller is used.
altitude, date and time information. Small dimensions PIC18F4620 has built in UART and SPI hardware for serial
(25.2mm-12.4mm-11.9mm) and low cost of this device is the communication and has a wide range of operating voltage (2-
major reasons for selecting the module. It has an integrated 5.5V) [5]. In this study, both GPS receiver and SD card module
antenna and direct serial interface to communicate with host requires 3.3V power supply. A microcontroller capable of
device. The update rate of the module is 1Hz and position operating at 3.3V simplifies the circuit design and reduces the
accuracy is less than 10 meters. The module is based on the number of power supplies required.
SiRFstar III low power chipset. The module’s high- The microcontroller has two main tasks. First one is to get
performance RF architecture allows it to receive GPS signals NMEA sentences from the GPS receiver. The microcontroller
that are as low as -159dBm. [4] communicates with GPS receiver through RS232 serial
communication protocol. The GPS receiver sends 6 different
NMEA sentences every second. Microcontroller receives all
these sentences and selects the desired ones.
The second task of the microcontroller is to store the selected
NMEA sentences to an SD card. The microcontroller uses build
in SPI hardware to communicate with SD card. The data is
written to a text file in a FAT formatted SD card.
Fig. 2 LINX RXM-GPS-SR receiver module
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Flowchart of the microcontroller software is seen in Figure3.

Start
Microcontroller initializes the SPI and UART communication
ports and checks availability of the SD card. If card is not
Initialize SPI and present, led flashes at 2 Hz to warn the user. If the card is
UART available, microcontroller reads the GPS data over UART port
in accordance with the flowchart in Figure 4. Flowchart of
subroutine running in the microcontroller for selecting NMEA
sentence and recording data to SD card is shown in Figure 4.
Is SD card N Flash warning
ready? LED at 2 Hz The software is prepared using MikroC compiler. [6]
Y
C. Storage Unit (SD Card)
Secure Digital (SD) is a non-volatile memory card format
Is GPS data N Flash warning developed by the SD Card Association (SDA) for use in
received? LED at 0.5 Hz portable devices. SD cards are available in a wide range of
Y capacity and speed classes. SD cards are preferred due to their
Record data to high capacity and small size. SD cards used in this project needs
text file on SD to be formatted as FAT or FAT32 file system. While FAT file
Card
system is used in SD cards up to 2 GB capacity, FAT32 file
system is used in SD cards up to 32 GB capacity [7], [8].
Fig 3. Flowchart of main program on microcontroller
D. Digital Maps
Start
Digital maps are becoming increasingly widespread.
Especially, the development of the GPS system has contributed
greatly to the development and widen the usage areas of digital
maps. Most of the information that comprise digital maps is
Receive a satellite images as well as street level information. Digital maps
character from has the advantage of being updated through synchronization
GPS
with updates from company servers [9].
Is the N There are many digital maps used today. But most well-
character $ ? known and widely used maps are google map and google earth.
Y Google maps are mostly used for navigational purposes while
google earth is used exploring the world in a more detailed 3D
maps. Although there are many common features between
Receive a character
Save it in a string array google earth and google maps, the main difference is that
google earth is an desktop application and google maps is an
online web application. Google earth is used in this study, since
Is it end of N
it can examine the GPS data directly.
line?
IV. RESULTS AND DISCUSSION
Y
The prototype device prepared for offline tracking is given
N
Is the string array
in Figure 5. The dimensions of the device are 45mm x 65mm x
a RMC sentence? 25mm.
Y
N
Is the data
valid?
Is the file N
Create a file
exist?
Y
Record data to
text file
Fig 4. Flowchart of NMEA sentence selection subroutine

Fig 5. The prototype of the designed system
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In order to test the designed system, the device is put into a

vehicle and two different routes were followed in Ankara.
Meanwhile, the device collected and recorded the GPS data to
an SD card. The obtained data were transferred to a computer
just by simply copying the GPS data file and the paths followed
are imported to google earth and displayed on a digital map
(Figure 6).
Fig 7. Google Earth screenshot of colored routes according to time intervals
Another way for detailed analysis of the followed route is

visualizing the data in terms of speed of the vehicle. In this
visualizing type, data is highlighted in different colors
according to speed intervals. In Figure 8, the followed routes
are colored according to vehicle’s speed. Five different speed
Fig 6. Google Earth screenshot of followed routes intervals are highlighted in five different colors. The speed
intervals can be set easily by observers. Considering school
Various digital map types can be used to monitor and analyze buses, compliance with speed limits is one of the most
the GPS data. Google earth is a simple and easy to use digital important issues. This visualizing technique enables observers
map monitoring tool and can be used to display tracking data easily determine the routes at which the speed limits are
like followed route, speed of the vehicle, time and date without exceeded by the drivers.
need to any conversion. A digital map image as shown in Figure
6 is generated by simply importing the row data to google earth. Another important issue with the offline vehicle tracking
Displaying row data on google earth is easy and practical, systems is data storage capacity. Data storage capacity of the
but in some cases, it might be necessary to make it more user designed system is depends on the SD card used. It is a
friendly and understandable. For example, it might be removable media and can be replaced with a higher capacity
necessary to examine whether a school bus exceeded speed SD card according to the needs. By using a 4 GB SD card in
limits, followed its route, or arrived to children’s home on time. this study, the system is able to save 6 types of NMEA
In these cases, coloring the routes according to speed or time sentences data for at least 3 months.
intervals might be useful. It is possible to convert row GPS data
to KML format and display it in a better understandable manner.
KML (Keyhole Markup Language) is used for formatting 2-D
and 3-D geodata for display in earth browsers.
In this study, in order to make detailed analyses of GPS data,
GPS Visualizer is used to convert GPS data to KML format and
GPS data is colored according to time and speed intervals.
By organizing KML file using GPS Visualizer, the tracked
route of the vehicle can be highlighted in different colors
according to time or speed intervals [10]. In Figure 7, the
followed routes are drawn according to time intervals. In the
figure, red, yellow, green, blue and purple points represent the
time interval between 12.05-13.30, 13.30-14.45, 14.45-16.21
and 16.21-17.46. For school bus example, highlighting routes
according to time intervals enables observers to easily
determine the location of the school bus in a specific time Fig 8. Google Earth screenshot of colored routes according to speed
interval. Besides, the observer can mark on a data point in order intervals
to check speed and location of the user in terms of latitude and
longitude.
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V. CONCLUSIONS Because of small dimensions, low power requirements, and

Safety is becoming an important requirement in growing and high storage capacity, the designed vehicle tracking system can
crowded cities. Tracking systems are getting essential tools for be adapted to other objects or living things, such as cyclers,
traffic safety. Especialy for safety and deterrence purposes pedestrians or animals in the nature.
continious recording of vehicles movement is a requirement The proposed system can incorporate with the existing
and offline tracking systems are useful and suitable tools for navigation systems as an additional feature. Moreover, the
many application. In this study, an offline vehicle tracking system can be implemented to the vehicles during their
system was designed and implemented that can be used to production. Dimensions of the module can be minimized by
record continuously the movement times, speeds and routes of using micro SD cards and surface mount components.
vehicles. In this context, a circuit was designed to save the GPS
REFERENCES
data to a storage unit and the routes of the tracked vehicle were
[1] (2016) GPS Applications. [Online]. Available:
visualized on Google Earth. http://www.gps.gov/systems/applications
Offline vehicle tracking systems offer low cost and [2] H. Aydın, “Design and implemantation of a sportsman following system
convenient solution for situations where real time monitoring is with GPS,” M. Eng. thesis, Gazi University Institute of Informatics,
not vital. Besides, the proposed system has several advantages Ankara, Turkey, Jun. 2012.
[3] (2016) GPS Overview. [Online]. Available:
such as low hardware costs, high storage capacity. Moreover, http://www.gps.gov/systems/gps/
the system does not need constant periodic fees. [4] Linx Technologies Inc., "SR Series GPS Receiver Module Data Guide",
Presence of such a tracking system on the car will also create http://www.linxtechnologies.com/resources/data-guides/rxm-gps-sr.pdf
a deterrence on the driver. School buses can be thought as good (2011).
[5] Pic18LF4620 datasheet [Online]. Available:
candidate users of this project. In this way, in an unexpected http://ww1.microchip.com/downloads/en/DeviceDoc/39626e.pdf
situation, observers easily check whether or not the drivers [6] (2016) MicroC Compiler [Online]. Available:
changed the predetermined route, or the drivers exceeded the http://www.mikroe.com/mikroc/pic/
speed limits. [7] (2016) SD Association. [Online]. Available: https://www.sdcard.org/
[8] (2016) SD Card Capacity Standards [Online]. Available:
In terms of system cost, the proposed offline tracking system https://www.sdcard.org/developers/overview/capacity/
has superior advantage compared to online tracking systems. [9] (2016) Digital mapping. [Online]. Avaible:
Since map viewing application is free, cost of the system only https://en.wikipedia.org/wiki/Digital_mapping
consists of hardware components. Besides, there is no software [10] (2016) GPS Visualizer website. [Online]. Avaible:
http://www.gpsvisualizer.com/
fee or update fees. Moreover, it does not occur additional
expenses for SMS or internet connection.
____________________________________________________________________________________________________________
796
_____________________________________________________________________________________________________________
A Comparison Study on Performance Investigation

of Speed Estimation Methods for the Sensorless
DTC Based AC Drives
Veli Yenil, Selami Kesler, Mustafa Tumbek, Onur Buyukgumus
Department of Electric and Electronics Engineering,
Pamukkale University,
Kinikli, Denizli, Turkey
veliyenil@hotmail.com, selamikesler@gmail.com, mustafatumbek@pau.edu.tr, onurbykgm@gmail.com
Abstract—This paper presents a practical comparison study on the Speed at dynamic performance and steady-state can be
speed estimation methods for induction motors by using Direct calculated properly if parasitic effects are wiped away [9].
Torque Control in terms of their estimation performances Using only motor parameters is easy way to estimate actual
especially at startup. Simulation and experimental test studies on speed of the motor. However, the method can be applied in a
various operations characteristics are achieved and presented
limited range. In a study, a hybrid mathematical model, which
together with the evaluations. The estimation techniques are
compared in terms of their capabilities of speed tracking and sustains a low-cost proper design for the industrial applications,
sensitivities for each operation condition. It is concluded that at is presented [10-13]. Also, flux, speed and rotor time-constant
startup operation and in steady state behavior, dynamic can be estimated by using a sliding functions. It guaranteed an
performance of Model Reference Adaptive System (MRAS) is accuracy of the parameters when the difference between the
more stable and effective than sliding mode observers and open- actual current and the observed current is zero [14-18].
loop estimators. However, open-loop speed estimation method has Moreover, model reference adaptive system (MRAS) based
better performance than the others. Dynamic performance of the speed sensorless algorithm can be used for controlling an
speed estimators in DTC control algorithm are tested in a induction machine. In this method, a proportional-integral (PI)
laboratory setup. System configuration includes a low cost
controller is employed in the adaption mechanism instead of
STM32F407VG Discovery board used for the implementation of
the control algorithm, there-phase power inverter which is pure integral because of initial problems [19-23].
designed for this purpose and industrial type of 11 kW induction In this study, some of these methods used for control of the
motor. induction motors with direct torque control (DTC) without any
speed sensor, such as open-loop speed estimator, sliding mode
Keywords— Speed Estimation, Sensorless Control, Direct Torque observer based speed estimator and MRAS based speed
Control, AC Drives, Sliding Mode Estimator, MRAS, Open-Loop estimator are compared with each other on various conditions.
Estimator, Performance Investigation, Induction Motors. And, the results obtained by the experiments are presented and
introduced a discussion on the results accompanied with the
I. INTRODUCTION evaluations.
In recent years, importance of the adjustable-speed drives
used in industrial and electric vehicle applications has been II. INDUCTION MACHINE MODEL
increased. Modern AC motor drives produced in last decades Dynamic model equations of the induction motor used in
are composed of microcontrollers, electronic components, many control algorithm are given by the equations 1 to 5. The
digital or analog controllers and sensors. However, many equations include not only steady state characteristics but also
control techniques consisted of more complex algorithms based starting behavior. The model is represented by differential
on the sensorless control system are preferred due to high prices equations referred to d-q reference frame rotating at the
of the sensors, their low safety operations and drawbacks of the synchronous speed with a view to simplify the analysis of three-
noise effects. The enhancement in processor technologies, phase circuits.
advanced microcontrollers have made it possible to carry out The parameters used in the equations are stator winding
more complex control algorithms with high efficiency. resistance and inductance ( , ) , rotor bar resistance and
Due to avoiding of sensor drawbacks and reducing the cost inductance ( , ) and mutual inductance( ).
of the inverters, estimation of the actual speed instead of the
measurements is more available for the researchers and =β λ + βω λ −k i +k V (1)
engineers. In literature, control algorithms designed with
feedback are used generally to estimate the speed of induction
motors with high accuracy [1-8]. Most of the estimation =β λ − βω λ −k i +k V (2)
techniques work on the magnetic flux waves, such as open-loop
estimators and close-loop observers used for this purpose.
____________________________________________________________________________________________________________
797
_____________________________________________________________________________________________________________
=− λ −ω λ + i (3) Switching any voltage vector considering the voltage vector

table (e.g. Table. I) provides keeping the stator flux in the
determined hysteresis error band corresponded with the
=− λ +ω λ + i (4) calculated torque behavior. Each of Vx vectors represents a
switching position of VSI. Voltage space vectors, switching
positions and sectors are shown in Fig. 2.
T = (λ i −λ i ) (5)
where,
σ = 1− k =
T = β=
k =k R + -
Fig. 2 Space Vectors and sectors
III. DIRECT TORQUE CONTROL

The aim of this paper is to show dynamic performance of
Direct Torque Control technique called DTC is defined the speed estimators used in DTC control algorithm. The
briefly as a proper selection of stator voltage vector and direct estimation techniques are compared with each other in terms of
control of stator flux for estimation of the torque by sensing their capabilities of speed tracking performance and
phase currents and DC bus voltage. The main idea of DTC is sensitivities to the operation conditions.
related with control of the stator flux and electromagnetic
torques synchronously. The superiorities of the technique are IV. SPEED ESTIMATION METHODS IN BRIEF
less sensitive to parameter changes with respect to the other Sensorless control of squirrel cage induction motor have
vector control methods, having quite simple algorithm and been widely used in industry during the last decade. In the
faster torque response than others. The control algorithm literature, many methods are introduced and investigated to
includes only calculating of stator parameters. Fig. 1 shows estimate the actual speed of the motors and to produce the best
principle of the DTC algorithm. switching for the voltage vectors.
A. Open Loop Speed Estimator
The model consists of four motor parameters; stator
resistance, transient inductance, magnetizing inductance and
rotor resistance referred to the stator. All other variables used
in calculation are also referred to stator.
The relationship among the speed, currents and fluxes are
given as follows:
Fig. 1 Schema of Direct Torque Control (DTC) System
ω = −ω (6)
TABLE I
DTC SWITCHING TABLE
Region ( )
dλ dTe ω = (7)
1 2 3 4 5 6 ( )
1 V2 V3 V4 V5 V6 V1
1 0 V7 V0 V7 V0 V7 V0 ω =ω −ω (8)
-1 V6 V1 V2 V3 V4 V5
1 V3 V4 V5 V6 V1 V2
-1 0 V0 V7 V0 V7 V0 V7 B. Sliding Mode Observer Based Estimator
-1 V5 V6 V1 V2 V3 V4 In this method, sliding-mode-based flux and speed
estimation method are used without any speed sensor for DTC
Voltage vector selection in the control algorithm is related algorithm. The method includes speed, rotor time and flux
to the stator fluxes behaviors, instant torque value and sector of estimations and current observer. Sliding-mode current
stator flux linkage vector. Torque and flux are estimated by observer is used to estimate the speed and rotor time constant,
using instant value of the phase currents and dc voltage. as shown in the equations 9 and 10.
____________________________________________________________________________________________________________
798
_____________________________________________________________________________________________________________
In order to estimation of the rotor actual speed, rotor fluxes

̂
= βψ − k ı̂ +k V (9) state variables are obtained from the reference model using
stator currents and stator voltages and adaptive model using
stator currents and the speed.
̂
= βψ − k ı̂ +k V (10) The model reference equations are written as follows:
The flux used for calculating observed current, is = (V − R i − σL ) (20)

determined by production of and sign of the error selected
large enough. The sliding equation provide observing the stator
current components in the stationary reference frame. = (V − R i − σL ) (21)
ψ = −u sign(s ) (11) The adaptive reference equations are written as follows:
ψ = −u sign(s ) (12)
=− λ −ω λ + i (22)
where,
=− λ +ω λ + i (23)
s = ı̂ −i (13)
s = ı̂ −i (14) Rotor actual speed is estimated by using the error, which is

the difference between adaptive reference and model reference
system, as shown in equation 24. The zero error occurs when
ψ = ψ (15) the references produce same values.
= −ψ + i (16) ε=λ λ −λ λ (24)
Generally, MRAS can be used if pure integration is

= −ψ + i (17) possible. But it is not possible on the microcontroller certainly.
To overcome this problem, nonzero-flux initial condition and
s s offset in the voltage/current, low pass filter can be used instead
ω =| (−λqr ψeq eq
d + λdr ψq ) (18)
| of an integral. In this paper, adaptation mechanism consist of
2 2
PI as a controller, as given in equation 25.
s s
|λ | = −(λdr ) − (λqr ) (19)
ω = K + ε (25)
C. MRAS Based Speed Estimator
In this method, the estimated speed is calculated by the V. EXPERIMENTAL RESULTS
reference model of the whole system, adaptive model and an
In these experiments, open-loop, sliding-mode and MRAS
adaptation mechanism. Also, measured currents and voltages in
based speed estimation techniques are compered at starting,
a stationary frame of reference are used in the equations.
ramp based acceleration, reverse operation and instant speed
changing with no-load. All algorithms run on STM32F407
discovery kit working at 167 Mhz. Also, the compact design
IGBT module, named as 7MBP50VDA-120-50, is used for
switching components. The calculated data getting from
microcontroller are sent to computer by wireless commutation
after the operations.
A. Starting Characteristics
The operation is started at zero speed and finished at 314.16
rad/s. Firstly, open-loop estimation method has an initial
problem. On the other hand, it has better performance than the
others at steady state. However, MRAS technique is more
stable at all time (e.g. Fig. 4).
Fig. 3 MRAS structure
____________________________________________________________________________________________________________
799
_____________________________________________________________________________________________________________
A. Change in Speed (Speed Tracking)

With sliding-mode technique, rotor speed has some ripples
like in the previous operations modes. The best algorithm on
the operation can be said to be MRAS method (e.g. Fig. 6).
B. Reverse Operating
The experimental operation is carried out at half of the
synchronous speed of the induction motor. At 5.5th second,
speed is the same, but rotation is reversed. It is shown that open-
loop estimators has the best time for reaching to the reference
Fig. 4 Estimated speed from Open-Loop, Sliding-Mode point. For the reverse directed speed and braking mode, all
and MRAS base estimators at nominal speed reference algorithms have nearly almost the same decelerating time. But
MRAS has the most change in speed at positive speed side (e.g.
Fig. 7).
B. Ramp Reference Operation
On ramp operation, speed estimators performance observed
during 2 second are compared at synchronous speed. The ramp
value reaches the synchronous speed at 1 second. Minor
changes are observed on the starting characteristics. First one,
an open-loop initial point is changed. Also, sliding-mode has
more oscillation with respect to the previous operation. Also,
MRAS based estimation has no significant changes (e.g. Fig.
5).
Fig. 7 Estimated speed from Open Loop, Sliding-Mode and MRAS

based estimator at half of nominal speed reference with reversal motion
VI. CONCLUSION
Open-loop estimation method is more stable at the large
part of the operations with the exception of starting point
problem. On the other hand, sliding-mode method has more
Fig. 5 Estimated speed from Open Loop, Sliding-Mode and MRAS
based estimators at nominal speed reference with one second ramp ripples than others. The method, MRAS, is minimized ripples
at steady-state and its initial condition is the best on all working
operations.
VII. APPENDIX
The Motor Parameters:
Rated Power: 11 kW
Rated Voltage: 380 V
Rated Frequency: 50 Hz
Rated Speed: 1470 rpm
Stator Resistance: 1.1 Ω
Rotor Resistance: 1.6 Ω
Magnetizing Inductance: 0.351 H
Stator Leakage Inductance: 0.3615 H
Fig. 6 Estimated speed from Open Loop, Sliding-Mode and Rotor Leakage Inductance: 0.3615 H
MRAS based estimators at different speed reference changing in time Inertia: 0.077 kg m2
____________________________________________________________________________________________________________
800
_____________________________________________________________________________________________________________
REFERENCES [13] T. Kanmachi and I. Takahasahi, “Sensor-less speed control of an

induction motor,” IEEE Industry Applications Magazine, vol. 1, no. 1,
pp. 22-27, Jan/Feb, 1995.
[1] Peter Vas, Vector control of AC machines, Oxford University Press, [14] A. Derdiyok, M. K. Guven, H. U. Rehman, N. Inanc, and L. Xu, “Design
USA, 1990. and implementation of a new sliding-mode observer for speed-
[2] Andrzej M Trzynadlowski, Control of induction motors, Academic sensorless control of induction machine,” IEEE Transactions on
press, USA, 2000. Industrial Electronics, vol. 49, no. 5, pp. 1177-1182, 2002.
[3] Ramu Krishnan, Electric motor drives: modeling, analysis, and control, [15] Peter VAS, Sensorless vector and direct torque control, Oxford
Prentice Hall, New Jersey, USA 2001. University Press, USA, 1998.
[4] R. Marino, P. Tomei, and C. M. Verrelli, Induction motor control design, [16] Vadim Utkin, Jürgen Guldner and Jingxin Shi, Sliding mode control in
Springer Science and Business Media, London, England, 2010. electro-mechanical systems, Taylor & Francis, London, UK, 2009.
[5] Chan, Tze-Fun, and Keli Shi, Applied intelligent control of induction [17] Ahmad Taher Azar and Quanmin Zhu, Advances and applications in
motor drives, John Wiley & Sons (Asia), Singapore, 2011. sliding mode control systems, Studies In Computational Intelligence,
[6] Seung-Ki Sul, Control of electric machine drive systems, John Wiley & vol. 576, Springer, Berlin, Germany, 2015.
Sons, New Jersey, USA, 2011. [18] Xinghuo YU, Recent Advances in Sliding Modes: From Control to
[7] Jean Claude Alacoque, Direct eigen control for induction machines and Intelligent Mechatronics, Studies In Systems, Decision And Control,
synchronous motors, John Wiley & Sons, UK, 2012. vol. 24, Springer, London, UK, 2015.
[8] H. B. Ertan, M. Y. Üçtug, R. Colyer, and A. Consoli, Modern electrical [19] Y. B. Zbede,S. M. Gadoue, and D. J. Atkinson “Model Predictive MRAS
drives, Springer Science & Business Media, 2000. Estimator for Sensorless Induction Motor Drives,” IEEE Transactions
[9] J. Holtz, “Sensorless control of induction motor drives,” Proceedings of on Industrial Electronics, vol. 63, no. 6, pp. 3511-3521,2016.
the IEEE, vol. 90, no. 8, pp. 1359-1394, 2002. [20] R. Crowder, Electric Drives and Electromechanical Systems:
[10] S. Bolognani, L. Peretti, and M. Zigliotto, “A novel open-loop speed Applications and Control, Elsevier, Amsterdam, Holland, 2006.
estimation technique for low-cost IM drives,” IEEE International [21] Fouad GIRI, AC electric motors control: Advanced design techniques
Aegean Conference on Electrical Machines and Power Electronics, pp. and applications, John Wiley & Sons, UK, 2013.
754-759, September, 2007. [22] V. Verma, C. Chakraborty, S. Maiti and Y. Hori, "Speed Sensorless
[11] S. Bolognani, L. Peretti and M. Zigliotto, “Parameter Sensitivity Vector Controlled Induction Motor Drive Using Single Current Sensor,"
Analysis of an Improved Open-Loop Speed Estimate for Induction IEEE Transactions on Energy Conversion, vol. 28, no. 4, pp. 938-950,
Motor Drives,” IEEE Transactions on Power Electronics, vol. 23, no. 4, Dec. 2013.
pp. 2127-2135, July, 2008. [23] R. Kumar, S. Das, P. Syam and A. K. Chattopadhyay, "Review on model
[12] Mengwei Li, J. Chiasson, M. Bodson and L. M. Tolbert, “A differential- reference adaptive system for sensorless vector control of induction
algebraic approach to speed estimation in an induction motor,” IEEE motor drives," IET Electric Power Applications, vol. 9, no. 7, pp. 496-
Transactions on Automatic Control, vol. 51, no. 7, pp. 1172-1177, July, 511, 8 2015.
2006.
____________________________________________________________________________________________________________
801
_____________________________________________________________________________________________________________
Adaptive Controller Design Based On Fractional

Order Memristors
Eyyüp SEVGİN*, Ozkan ATAN+
*
Yuzuncu Yil University, Ercis Technical Vocational School of Higher Education, Electronic and Communication Technologies,
Ercis 65080, VAN, Turkey
+
Yuzuncu Yil University, Electrical-Electronic Engineering, 65080 VAN, Turkey
Abstract— After the memristor, which passive electrical fractional order, the behavior of this element has begun to be
component relating electrical charge and magnetic flux linkage the subject for new researches [20-22].
and it was known as lost element since 1971, has been found by
Modeling of fractional order systems known as the
researchers in Hp Lab, it has been the focus of attention of
researchers. For analysis of the memristor, analog circuit model systems having system degree's any real number except whole
of memristors is generally used. In this paper, using fractional numbers [20-23] has practices in many fields such as control
order a memristor model, fractional order adaptive PI controller systems [24-25], effects on chaos behavior [26-27],
has been designed. For performance analysis of the controller, it communication systems [28]. The studies exercised fractional
has applied to control of nonlinear system, and compared order systems on circuit models have proved that system
classical PI controller. degree could be changed according to circuit topology made
by using passive circuit elements [29]. One of the most
1. Introduction common practicing field of fractional order systems is control
system. Having wider stability domain at control systems and
Memristors are known as the materials representing the performing in a good way at controling nonlinear systems
link between the charge and flux suggested as the missing have increased the interest in this type of controllers [30]. The
element by Chua. It has been known as the missing element behavior of a controller designed with fractional order
since 1971, however it has been found this material's entity at memristors which is a fractional order nonlinear element still
the result of a research in Hp laboratory in 2008 [1-3]. remains uncertain.
Because of memristor's feature to hold the last resistance
In this study, PI type controller has been designed by
value as a passive circuit element (likely to be used as a
passive memory element) has increased interest in these using fractional order memristor from model of memristor in
materials. Studies on the memristors have risen more and literature. The performance of a nonlinear system on control
more after 2008. These studies have generally spread into has been measured with this controller designed by using
many different scientific fields like; memristor emulator analog circuit designation method. To evaluate controller
circuits [4-8], production methods [8-14], applications on performance, it has been compared with performance of PI
communication systems [15], nonlinear circuit design [16-18]. controller occurred with classic memristors. The effect of
In some of these studies, it has been observed that the usage of controller parameters on control system has been investigated.
memristor affects system performance positively. Besides the The study was organized like above. The structure and
model of memristor developed in Hp laboratory, the idea of mathematical model of classic memristors and fractional order
using the emulator circuit in practice is still widespread. One memristors have been investigated in II. section. In III.
of these studies is the model put through by Muthuswamy section, the applications of classic memristors and fractional
[19]. It has been observed that Chua circuit, composed by order memristors on control systems has been investigated. In
using this model, demonstrates chaotic behavior. IV. section, simulation results have been given. In conclusion,
Memristor are defined as the ratio of the change in raids the results have been investigated.
over the last load changes. It has been known that the change 2. Memristors
of flux in terms of current is inductance, the change of current 2.1. Classic Memristors
in terms of voltage is resistance, and the change of voltage in
terms of load is capacitor. According to these definitions, as Memristors have been found at HP laboratory in
the element representing to the change rate between flux and 2008 after Chua suggested this as an idea. According to this
load as the fourth relation had not been found, it was called as model, the relation between voltage and current applied to
missing element. After finding this element, studies has circuit has been given at Equation 1. [1-2].
determined the relation between load and flux as a function of
____________________________________________________________________________________________________________
802
_____________________________________________________________________________________________________________
v(t )  .R  .R 1 d
mt
f ( )
M (q )   Ron v 2 on q(t )  Roff (1  v 2 on q(t )) Dt f (t )     (t   )
1 ( m   )
d
(m   )  dt 
a
i(t ) D D (4)
a
v .Ron For fractional order systems, another solution technique is

 Euler method which was given (5), generalized derivative of
D2 (1) fractional order systems[20].
Here, TiO weight of D memristor is the load mount
(n  1) n 
flowing over q(t) memristor, and Ron is defined as on-position D f n (t )  f (t )
resistor of circuit, Roff is defined as off-position of circuit. As (n    1) (5)
Ron resistor value of memristor model is so bigger than Roff For the solution of main fractional order systems, it is a useful
resistor value, the statement in Equation 1 would be changed method in a lot of studies. Laplace transform method is
as given in Equation 2[4]. another very popular solution method in the literature that we
used the method in the paper.
Laplace transforms of fractional systems are defined as

d following:
M (q)   Roff (1  q(t )) {Ron Roff }
dq (2)  d  f (t )  
L  
 s F (s) (6)
 dt 
The emulator circuits of memristors had been studied
before this circuit element was found in Hp lab. With using R
this mathematical model, the circuit model which was
occurred by Muthuswamy has been demonstrated in Figure There are many approaches to solve sμ Laplace operators.
1[19]. Some of these approaches are the Crone, Carlson and Matsuda
methods[20, 22, 29]. The most widely used approximation of
sμ is Crone.
Crone is a French acronym (non-integer order robust control
R2 — Commande Robuste d’Ordre Non-Entier) [23]. In the
R3 Crone approximation, sμ is calculated as;
s
+
-
1
A N
1
s   C z ,a
C 3

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SELCUK

INTERNATIONAL CONFERENCE ON ADVANCED

September 01-03, 2016

3th International Conference, ICAT’16

International Conference on Advanced Technology & Sciences, ICAT’16

International Conference on Advanced Technology &

Aybil Yayınevi Sertifika No: 31790

Aybil Dijital Baskı Reklam Mühendislik

KONYA - KASIM – 2016

Omer Faruk BAY,

INTERNATIONAL ADVISORY BOARD

A Engin Ozcelik, Turkey Biagio Lenzitti, Hungary

Ilker Ali Ozkan, Turkey Mustafa Alci, Turkey

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= ( )/ ( (3) For all submitted tasks in Meta-task; Ti

Select task tk with maximum

Select task tg with Max

Delete task tgfrom meta-

Select task with max EET

Assign task to previous

Delete task form meta-

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Timing Cars Range, status ∈ Status, parking floor ∈

issuer ∈ Call Issuer, stops limitation ∈ ℤ, (#hall_call rhc) upd_asn