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A Study of Penalty Function Methods for Constraint Handling with Genetic Algorithm
COMETBOARDS (Comparative Evaluation Testbed of Optimization and Analysis Routines for Design of Structures) is a design optimization test bed that can evaluate the performance of several different optimization algorithms. A few of these optimization algorithms are the sequence of unconstrained minimization techniques (SUMT), sequential linear programming (SLP) and the sequential quadratic programming techniques (SQP). A genetic algorithm (GA) is a search technique that is based on the principles of natural selection or "survival of the fittest". Instead of using gradient information, the GA uses the objective function directly in the search. The GA searches the solution space by maintaining a population of potential solutions. Then, using evolving operations such as recombination, mutation and selection, the GA creates successive generations of solutions that will evolve and take on the positive characteristics of their parents and thus gradually approach optimal or near-optimal solutions. By using the objective function directly in the search, genetic algorithms can be effectively applied in non-convex, highly nonlinear, complex problems. The genetic algorithm is not guaranteed to find the global optimum, but it is less likely to get trapped at a local optimum than traditional gradient-based search methods when the objective function is not smooth and generally well behaved. The purpose of this research is to assist in the integration of genetic algorithm (GA) into COMETBOARDS. COMETBOARDS cast the design of structures as a constrained nonlinear optimization problem. One method used to solve constrained optimization problem with a GA to convert the constrained optimization problem into an unconstrained optimization problem by developing a penalty function that penalizes infeasible solutions. There have been several suggested penalty function in the literature each with there own strengths and weaknesses. A statistical analysis of some suggested penalty functions is performed in this study. Also, a response surface approach to robust design is used to develop a new penalty function approach. This new penalty function approach is then compared with the other existing penalty functions.
Direct handling of equality constraints in multilevel optimization
In recent years there have been several hierarchic multilevel optimization algorithms proposed and implemented in design studies. Equality constraints are often imposed between levels in these multilevel optimizations to maintain system and subsystem variable continuity. Equality constraints of this nature will be referred to as coupling equality constraints. In many implementation studies these coupling equality constraints have been handled indirectly. This indirect handling has been accomplished using the coupling equality constraints' explicit functional relations to eliminate design variables (generally at the subsystem level), with the resulting optimization taking place in a reduced design space. In one multilevel optimization study where the coupling equality constraints were handled directly, the researchers encountered numerical difficulties which prevented their multilevel optimization from reaching the same minimum found in conventional single level solutions. The researchers did not explain the exact nature of the numerical difficulties other than to associate them with the direct handling of the coupling equality constraints. The coupling equality constraints are handled directly, by employing the Generalized Reduced Gradient (GRG) method as the optimizer within a multilevel linear decomposition scheme based on the Sobieski hierarchic algorithm. Two engineering design examples are solved using this approach. The results show that the direct handling of coupling equality constraints in a multilevel optimization does not introduce any problems when the GRG method is employed as the internal optimizer. The optimums achieved are comparable to those achieved in single level solutions and in multilevel studies where the equality constraints have been handled indirectly.
Evolutionary Multiobjective Design Targeting a Field Programmable Transistor Array
This paper introduces the ISPAES algorithm for circuit design targeting a Field Programmable Transistor Array (FPTA). The use of evolutionary algorithms is common in circuit design problems, where a single fitness function drives the evolution process. Frequently, the design problem is subject to several goals or operating constraints, thus, designing a suitable fitness function catching all requirements becomes an issue. Such a problem is amenable for multi-objective optimization, however, evolutionary algorithms lack an inherent mechanism for constraint handling. This paper introduces ISPAES, an evolutionary optimization algorithm enhanced with a constraint handling technique. Several design problems targeting a FPTA show the potential of our approach.
A Comparative Study of Model Predictive Control and Optimal Causal Control for Heaving Point Absorbers
Efforts by various researchers in recent years to design simple causal control laws that can be applied to WEC devices suggest that these controllers can yield similar levels of energy output as those of more complex non-causal controllers. However, most studies were established without adequately considering device and power conversion system constraints which are relevant design drivers from a cost and economic point of view. It is therefore imperative to understand the benefits of MPC compared to causal control from a performance and constraint handling perspective. In this paper, we compare linear MPC to a casual controller that incorporates constraint handling to benchmark its performance on a one DoF heaving point absorber in a range of wave conditions. Our analysis demonstrates that MPC provides significant performance advantages compared to an optimized causal controller, particularly if significant constraints on device motion and/or forces are imposed. We further demonstrate that distinct control performance regions can be established that correlate well with classical point absorber and volumetric limits of the wave energy conversion device.
Staggered solution procedures for multibody dynamics simulation
The numerical solution procedure for multibody dynamics (MBD) systems is termed a staggered MBD solution procedure that solves the generalized coordinates in a separate module from that for the constraint force. This requires a reformulation of the constraint conditions so that the constraint forces can also be integrated in time. A major advantage of such a partitioned solution procedure is that additional analysis capabilities such as active controller and design optimization modules can be easily interfaced without embedding them into a monolithic program. After introducing the basic equations of motion for MBD system in the second section, Section 3 briefly reviews some constraint handling techniques and introduces the staggered stabilized technique for the solution of the constraint forces as independent variables. The numerical direct time integration of the equations of motion is described in Section 4. As accurate damping treatment is important for the dynamics of space structures, we have employed the central difference method and the mid-point form of the trapezoidal rule since they engender no numerical damping. This is in contrast to the current practice in dynamic simulations of ground vehicles by employing a set of backward difference formulas. First, the equations of motion are partitioned according to the translational and the rotational coordinates. This sets the stage for an efficient treatment of the rotational motions via the singularity-free Euler parameters. The resulting partitioned equations of motion are then integrated via a two-stage explicit stabilized algorithm for updating both the translational coordinates and angular velocities. Once the angular velocities are obtained, the angular orientations are updated via the mid-point implicit formula employing the Euler parameters. When the two algorithms, namely, the two-stage explicit algorithm for the generalized coordinates and the implicit staggered procedure for the constraint Lagrange multipliers, are brought together in a staggered manner, they constitute a staggered explicit-implicit procedure which is summarized in Section 5. Section 6 presents some example problems and discussions concerning several salient features of the staggered MBD solution procedure are offered in Section 7.
Optimization-based approaches to control of connected and automated vehicles: Principles, complexities, applications, challenges, and outlook
Safe and optimal motion control for connected and automated vehicles (CAVs) poses a fundamental optimization challenge at the intersection of system complexity, environmental uncertainty, and stringent real-time constraints. Existing surveys address this challenge in isolation – focusing either on specific control techniques or individual uncertainty sources – without providing a unified framework that characterizes the trade-offs among computational tractability, performance verifiability, and adaptive generalization across paradigms. This review addresses that gap by presenting a cohesive analytical framework concentrated on the decision-making and trajectory optimization layers of the CAV autonomy stack. We systematically analyze three major optimization paradigms – first-principles model-based optimization, data-driven methods, and hybrid synergistic architectures – evaluating each against four core complexity axes: problem formulation, constraint handling, optimality guarantees, and robustness. Key applications including platooning, trajectory planning, collision avoidance, and cooperative control are examined to reveal recurring methodological patterns and critical operational constraints that limit real-world performance. Our synthesis identifies verifiable hybrid architectures, incentive-aligned multi-agent cooperation, and hardware-algorithm co-design as the defining research frontiers, and distills a targeted agenda for developing CAV control systems that are simultaneously safe, computationally efficient, and deployable in the full complexity of real-world traffic environments.
Deep Learning Explicit Differentiable Predictive Control Laws for Buildings
We present a differentiable predictive control (DPC) methodology for learning constrained control laws for unknown nonlinear systems. DPC poses an approximate solution to multiparametric programming problems emerging from explicit nonlinear model predictive control (MPC). Contrary to approximate MPC, DPC does not require supervision by an expert controller. Instead, a system dynamics model is learned from a small dataset of recorded observations of the perturbed system's dynamics and the control law is optimized offline by interaction with the learned system model. The DPC method is based on two sequential steps, i) system identification using a constrained neural state-space model, and ii) optimization of an explicit control law parametrized by another neural network in closed-loop simulation with the identified neural state-space model. The combination of a differentiable closed-loop system and penalty methods for constraint handling of system outputs and inputs allows us to optimize the control law's parameters directly by backpropagating economic MPC loss through the learned system model. By incorporating domain knowledge and leveraging established techniques from optimal control, our method leverages deep neural networks as nonlinear function approximators for system identification and control while avoiding concomitant costs of intractably large datasets, and computationally expensive over-parametrized models. The scalability, data efficiency, and constrained optimal control capability of the proposed DPC method are demonstrated in simulation using a multi-zone building emulator.
Improving Resilience of Bus Bunching Holding Strategy through a Rolling Horizon Approach
Providing public transportation with quality service is critical to attracting more passengers to the system. However, high-demand routes are prone to the so-called bus bunching -- a tendency of buses to group as a consequence of variations in travel times and demands. Bus holding is applied to overcome this effect. In this study, we present a novel method for bus holding in which the control law is based only on the buses' position using a computationally efficient rolling horizon approach. The method uses similar inputs as linear control approaches while not increasing significantly the computational time. However, the method overcomes key a weakness of the linear control approach thanks to the explicit constraint handling that always ensures the control action effectiveness. Simulation experiments in a validation case and a model-specific for a bus rapid transit line in Curitiba, Brazil showed a reduced holding time and improved resilience, delivering more than 20% reduction in delay time accounting for the on-board and station delays.
An investigation of vehicle dependent aspects of terminal area ATC operation.
Description of a terminal area simulation which permits analysis and synthesis of current and advanced air traffic management system configurations including ground and airborne instrumentation and new and modified aircraft characteristics. Ground elements in the simulation include navigation aids, surveillance radars, communication links, air-route structuring, ATC procedures, airport geometries, and runway handling constraints. Airborne elements include traffic samples with individual aircraft performance and operating characteristics and aircraft navigation equipment. The simulation also contains algorithms for conflict detection, conflict resolution, sequencing and pilot-controller data links.
Development of simulation techniques suitable for the analysis of air traffic control situations and instrumentation
A terminal area simulation is described which permits analysis and synthesis of current and advanced air traffic management system configurations including ground and airborne instrumentation and new and modified aircraft characteristics. Ground elements in the simulation include navigation aids, surveillance radars, communication links, air-route structuring, ATC procedures, airport geometries and runway handling constraints. Airborne elements include traffic samples with individual aircraft performance and operating characteristics and aircraft navigation equipment. The simulation also contains algorithms for conflict detection, conflict resolution, sequencing and pilot-controller data links. The simulation model is used to determine the sensitivities of terminal area traffic flow, safety and congestion to aircraft performance characteristics, avionics systems, and other ATC elements.
Time-variant analysis of rotorcraft systems dynamics - An exploitation of vector processors
In this paper a generalized algorithmic procedure is presented for handling constraints in mechanical transmissions. The latter are treated as multibody systems of interconnected rigid/flexible bodies. The constraint Jacobian matrices are generated automatically and suitably updated in time, depending on the geometrical and kinematical constraint conditions describing the interconnection between shafts or gears. The type of constraints are classified based on the interconnection of the bodies by assuming that one or more points of contact exist between them. The effects due to elastic deformation of the flexible bodies are included by allowing each body element to undergo small deformations. The procedure is based on recursively formulated Kane's dynamical equations of motion and the finite element method, including the concept of geometrical stiffening effects. The method is implemented on an IBM-3090-600j vector processor with pipe-lining capabilities. A significant increase in the speed of execution is achieved by vectorizing the developed code in computationally intensive areas. An example consisting of two meshing disks rotating at high angular velocity is presented. Applications are intended for the study of the dynamic behavior of helicopter transmissions.
A review of mission planning systems
A general definition of Mission Planning is given. The definition covers the full scope of an end-to-end mission planning system. Noting the mission-specific nature of most mission planning systems, a classification of autonomous spacecraft missions is made into Observatory, Survey, multi-instrument science, and Telecommunications missions. The mission planning approach for one mission in each category is examined critically. The following missions were chosen: ISO (Infrared Space Observatory); ERS-1 (European Remote Sensing Satellite); and Eureca (European Retrievable Carrier). The paper gives a summary of lessons learned from these missions suggesting improvements in areas such as requirements analysis, testing, user interfacing, rules, and constraints handling. The paper will also examine commonalities in functions, which could constitute a basis for identification of generic mission planning support tools.
New approaches to optimization in aerospace conceptual design
Aerospace design can be viewed as an optimization process, but conceptual studies are rarely performed using formal search algorithms. Three issues that restrict the success of automatic search are identified in this work. New approaches are introduced to address the integration of analyses and optimizers, to avoid the need for accurate gradient information and a smooth search space (required for calculus-based optimization), and to remove the restrictions imposed by fixed complexity problem formulations. (1) Optimization should be performed in a flexible environment. A quasi-procedural architecture is used to conveniently link analysis modules and automatically coordinate their execution. It efficiently controls a large-scale design tasks. (2) Genetic algorithms provide a search method for discontinuous or noisy domains. The utility of genetic optimization is demonstrated here, but parameter encodings and constraint-handling schemes must be carefully chosen to avoid premature convergence to suboptimal designs. The relationship between genetic and calculus-based methods is explored. (3) A variable-complexity genetic algorithm is created to permit flexible parameterization, so that the level of description can change during optimization. This new optimizer automatically discovers novel designs in structural and aerodynamic tasks.
Incorporating CCSDS telemetry standards and philosophy on Cassini
The Cassini project at the Jet Propulsion Laboratory (JPL) is implementing a spacecraft telemetry system based on the Consultative Committee for Space Data Systems (CCSDS) packet telemetry standards. Resolving the CCSDS concepts with a Ground Data System designed to handle time-division-multiplexed telemetry and also handling constraints unique to a deep-space planetary spacecraft (such as fixed downlink opportunities, small downlink rates and requirements for on-board data storage) have resulted in spacecraft and ground system design challenges. Solving these design challenges involved adapting and extending the CCSDS telemetry standards as well as changes to the spacecraft and ground system designs. The resulting spacecraft/ground system design is an example of how new ideas and philosophies can be incorporated into existing systems and design approaches without requiring significant rework. In addition, it shows that the CCSDS telemetry standards can be successfully applied to deep-space planetary spacecraft.
Turbomachinery Airfoil Design Optimization Using Differential Evolution
An aerodynamic design optimization procedure that is based on a evolutionary algorithm known at Differential Evolution is described. Differential Evolution is a simple, fast, and robust evolutionary strategy that has been proven effective in determining the global optimum for several difficult optimization problems, including highly nonlinear systems with discontinuities and multiple local optima. The method is combined with a Navier-Stokes solver that evaluates the various intermediate designs and provides inputs to the optimization procedure. An efficient constraint handling mechanism is also incorporated. Results are presented for the inverse design of a turbine airfoil from a modern jet engine and compared to earlier methods. The capability of the method to search large design spaces and obtain the optimal airfoils in an automatic fashion is demonstrated. Substantial reductions in the overall computing time requirements are achieved by using the algorithm in conjunction with neural networks.
Turbomachinery Airfoil Design Optimization Using Differential Evolution
An aerodynamic design optimization procedure that is based on a evolutionary algorithm known at Differential Evolution is described. Differential Evolution is a simple, fast, and robust evolutionary strategy that has been proven effective in determining the global optimum for several difficult optimization problems, including highly nonlinear systems with discontinuities and multiple local optima. The method is combined with a Navier-Stokes solver that evaluates the various intermediate designs and provides inputs to the optimization procedure. An efficient constraint handling mechanism is also incorporated. Results are presented for the inverse design of a turbine airfoil from a modern jet engine. The capability of the method to search large design spaces and obtain the optimal airfoils in an automatic fashion is demonstrated. Substantial reductions in the overall computing time requirements are achieved by using the algorithm in conjunction with neural networks.
Robust Design Optimization via Failure Domain Bounding
This paper extends and applies the strategies recently developed by the authors for handling constraints under uncertainty to robust design optimization. For the scope of this paper, robust optimization is a methodology aimed at problems for which some parameters are uncertain and are only known to belong to some uncertainty set. This set can be described by either a deterministic or a probabilistic model. In the methodology developed herein, optimization-based strategies are used to bound the constraint violation region using hyper-spheres and hyper-rectangles. By comparing the resulting bounding sets with any given uncertainty model, it can be determined whether the constraints are satisfied for all members of the uncertainty model (i.e., constraints are feasible) or not (i.e., constraints are infeasible). If constraints are infeasible and a probabilistic uncertainty model is available, upper bounds to the probability of constraint violation can be efficiently calculated. The tools developed enable approximating not only the set of designs that make the constraints feasible but also, when required, the set of designs for which the probability of constraint violation is below a prescribed admissible value. When constraint feasibility is possible, several design criteria can be used to shape the uncertainty model of performance metrics of interest. Worst-case, least-second-moment, and reliability-based design criteria are considered herein. Since the problem formulation is generic and the tools derived only require standard optimization algorithms for their implementation, these strategies are easily applicable to a broad range of engineering problems.