Fuzzy and

Neural
Approaches in
Engineering
MATLAB Supplement
J. Wesley Hines

Wiley Series on Adaptive

and Learning Systems
for Signal Processing
Communications and Control
Simon Haykin, Series Editor

Copyright 1997
John Wiley and Sons
New York, NY

i
To SaDonya

v
vi
CONTENTS
CONTENTS...................................................................................................................
PREFACE.........................................................................................................................
ACKNOWLEDGMENTS......................................................................................................
ABOUT THE AUTHOR......................................................................................................
SOFTWARE DESCRIPTION................................................................................................
INTRODUCTION TO THE MATLAB SUPPLEMENT...............................................

INTRODUCTION TO MATLAB....................................................................................
MATLAB TOOLBOXES...................................................................................................
SIMULINK....................................................................................................................
USER CONTRIBUTED TOOLBOXES...................................................................................
MATLAB PUBLICATIONS...............................................................................................
MATLAB APPLICATIONS............................................................................................
CHAPTER 1 INTRODUCTION TO HYBRID ARTIFICIAL INTELLIGENCE SYSTEMS................
CHAPTER 2 FOUNDATIONS OF FUZZY APPROACHES.......................................................
2.1 Union, Intersection and Complement of a Fuzzy Set......................................................
2.2 Concentration and Dilation............................................................................................
2.3 Contrast Intensification..................................................................................................
2.4 Extension Principle.......................................................................................................
2.5 Alpha Cuts....................................................................................................................
CHAPTER 3 FUZZY RELATIONSHIPS................................................................................
3.1 A Similarity Relation....................................................................................................
3.2 Union and Intersection of Fuzzy Relations.....................................................................
3.3 Max-Min Composition..................................................................................................
CHAPTER 4 FUZZY NUMBERS.........................................................................................
4.1 Addition and Subtraction of Discrete Fuzzy Numbers....................................................
4.2 Multiplication of Discrete Fuzzy Numbers.....................................................................
4.3 Division of Discrete Fuzzy Numbers.............................................................................
CHAPTER 5 LINGUISTIC DESCRIPTIONS AND THEIR ANALYTICAL FORM........................
5.1 Generalized Modus Ponens............................................................................................
5.2 Membership Functions..................................................................................................
5.2.1 Triangular Membership Function.............................................................................
5.2.2 Trapezoidal Membership Function..........................................................................
5.2.3 S-shaped Membership Function..............................................................................
5.2.4 -shaped Membership Function.............................................................................
5.2.5 Defuzzification of a Fuzzy Set................................................................................
5.2.6 Compound Values..................................................................................................
5.3 Implication Relations....................................................................................................
5.4 Fuzzy Algorithms..........................................................................................................
CHAPTER 6 FUZZY CONTROL.........................................................................................
6.1 Tank Level Fuzzy Control.............................................................................................
CHAPTER 7 FUNDAMENTALS OF NEURAL NETWORKS....................................................
7.1 Artificial Neuron...........................................................................................................

vii
 7.2 Single Layer Neural Network........................................................................................
7.3 Rosenblatt's Perceptron..................................................................................................
7.4 Separation of Linearly Separable Variables....................................................................
7.5 Multilayer Neural Network............................................................................................
CHAPTER 8 BACKPROPAGATION AND RELATED TRAINING PARADIGMS.........................
8.1 Derivative of the Activation Functions...........................................................................
8.2 Backpropagation for a Multilayer Neural Network.........................................................
8.2.1 Weight Updates......................................................................................................
8.2.2 Hidden Layer Weight Updates................................................................................
8.2.3 Batch Training.......................................................................................................
8.2.4 Adaptive Learning Rate..........................................................................................
8.2.5 The Backpropagation Training Cycle......................................................................
8.3 Scaling Input Vectors....................................................................................................
8.4 Initializing Weights.......................................................................................................
8.5 Creating a MATLAB Function for Backpropagation......................................................
8.6 Backpropagation Example.............................................................................................
CHAPTER 9 COMPETITIVE, ASSOCIATIVE AND OTHER SPECIAL NEURAL NETWORKS.....
9.1 Hebbian Learning..........................................................................................................
9.2 Instar Learning..............................................................................................................
9.3 Outstar Learning............................................................................................................
9.4 Crossbar Structure.........................................................................................................
9.5 Competitive Networks...................................................................................................
9.5.1 Competitive Network Implementation....................................................................
9.5 2 Self Organizing Feature Maps................................................................................
9.6 Probabilistic Neural Networks.......................................................................................
9.7 Radial Basis Function Networks....................................................................................
9.7.1 Radial Basis Function Example..............................................................................
9.7.2 Small Neuron Width Example................................................................................
9.7.3 Large Neuron Width Example................................................................................
9.8 Generalized Regression Neural Network........................................................................
CHAPTER 10 DYNAMIC NEURAL NETWORKS AND CONTROL SYSTEMS..........................
10.1 Introduction.................................................................................................................
10.2 Linear System Theory.................................................................................................
10.3 Adaptive Signal Processing.........................................................................................
10.4 Adaptive Processors and Neural Networks...................................................................
10.5 Neural Networks Control.............................................................................................
10.5.1 Supervised Control...............................................................................................
10.5.2 Direct Inverse Control..........................................................................................
10.5.3 Model Referenced Adaptive Control.....................................................................
10.5.4 Back Propagation Through Time..........................................................................
10.5.5 Adaptive Critic.....................................................................................................
10.6 System Identification...................................................................................................
10.6.1 ARX System Identification Model........................................................................
10.6.2 Basic Steps of System Identification.....................................................................
10.6.3 Neural Network Model Structure..........................................................................
10.6.4 Tank System Identification Example.....................................................................
10.7. Implementation of Neural Control Systems.................................................................
CHAPTER 11 PRACTICAL ASPECTS OF NEURAL NETWORKS...........................................
11.1 Neural Network Implementation Issues........................................................................
11.2 Overview of Neural Network Training Methodology...................................................

viii
 11.3 Training and Test Data Selection.................................................................................
11.4 Overfitting...................................................................................................................
11.4.1 Neural Network Size............................................................................................
11.4.2 Neural Network Noise..........................................................................................
11.4.3 Stopping Criteria and Cross Validation Training...................................................
CHAPTER 12 NEURAL METHODS IN FUZZY SYSTEMS......................................................
12.1 Introduction.................................................................................................................
12.2 From Crisp to Fuzzy Neurons......................................................................................
12.3 Generalized Fuzzy Neuron and Networks.....................................................................
12.4 Aggregation and Transfer Functions in Fuzzy Neurons................................................
12.5 AND and OR Fuzzy Neurons......................................................................................
12.6 Multilayer Fuzzy Neural Networks..............................................................................
12.7 Learning and Adaptation in Fuzzy Neural Networks....................................................
CHAPTER 13 NEURAL METHODS IN FUZZY SYSTEMS.....................................................
13.1 Introduction.................................................................................................................
13.2 Fuzzy-Neural Hybrids.................................................................................................
13.3 Neural Networks for Determining Membership Functions............................................
13.4 Neural Network Driven Fuzzy Reasoning....................................................................
13.5 Learning and Adaptation in Fuzzy Systems via Neural Networks.................................
13.5.1 Zero Order Sugeno Fan Speed Control..................................................................
13.5.2 Consequent Membership Function Training..........................................................
13.5.3 Antecedent Membership Function Training..........................................................
13.5.4 Membership Function Derivative Functions..........................................................
13.5.5 Membership Function Training Example..............................................................
13.6 Adaptive Network-Based Fuzzy Inference Systems......................................................
13.6.1 ANFIS Hybrid Training Rule...............................................................................
13.6.2 Least Squares Regression Techniques...................................................................
13.6.3 ANFIS Hybrid Training Example.........................................................................
CHAPTER 14 GENERAL HYBRID NEUROFUZZY APPLICATIONS........................................
CHAPTER 15 DYNAMIC HYBRID NEUROFUZZY SYSTEMS...............................................
CHAPTER 16 ROLE OF EXPERT SYSTEMS IN NEUROFUZZY SYSTEMS..............................
CHAPTER 17 GENETIC ALGORITHMS..............................................................................
REFERENCES...................................................................................................................

ix
Preface
Over the past decade, the application of artificial neural networks and fuzzy systems to
solving engineering problems has grown enormously. And recently, the synergism realized
by combining the two techniques has become increasingly apparent. Although many texts
are available for presenting artificial neural networks and fuzzy systems to potential users,
few exist that deal with the combinations of the two subjects and fewer still exist that take
the reader through the practical implementation aspects.

This supplement introduces the fundamentals necessary to implement and apply these Soft
Computing approaches to engineering problems using MATLAB. It takes the reader from
the underlying theory to actual coding and implementation. Presenting the theory's
implementation in code provides a more in depth understanding of the subject matter. The
code is built from a bottom up framework; first introducing the pieces and then putting
them together to perform more complex functions, and finally implementation examples.
The MATLAB Notebook allows the embedding and evaluation of MATLAB code
fragments in the Word document; thus providing a compact and comprehensive
presentation of the Soft Computing techniques.

The first part of this supplement gives a very brief introduction to MATLAB including
resources available on the World Wide Web. The second section of this supplement
contains 17 chapters that mirror the chapters of the text. Chapters 2-13 have MATLAB
implementations of the theory and discuss practical implementation issues. Although
Chapters 14-17 do not give MATLAB implementations of the examples presented in the
text, some references are given to support a more in depth study.

Acknowledgments
I would like to thank Distinguished Professor Robert E. Uhrig from The University of
Tennessee and Professor Lefteri H. Tsoukalas from Purdue University for offering me the
opportunity and encouraging me to write this supplement to their book entitled Fuzzy and
Neural Approaches in Engineering. Also thanks for their review, comments, and
suggestions.

My sincere thanks goes to Darryl Wrest of Honeywell for his time and effort during the
review of this supplement. Thanks also go to Mark Buckner of Oak Ridge National
Laboratory for his contributions to Sections 15.5 and 15.6.

This supplement would not have been possible without the foresight of the founders of The
MathWorks in developing what I think is the most useful and productive engineering
software package available. I have been a faithful user for the past seven years and look
forward to the continued improvement and expansion of their base software package and
application toolboxes. I have found few companies that provide such a high level of
commitment to both quality and support.

x
About the Author
Dr. J. Wesley Hines is currently a Research Assistant Professor in the Nuclear Engineering
Department at the University of Tennessee. He received the BS degree (Summa Cum
Laude) in Electrical Engineering from Ohio University in 1985, both an MBA (with
distinction) and a MS in Nuclear Engineering from The Ohio State University in 1992, and
a Ph.D. in Nuclear Engineering from The Ohio State University in 1994. He graduated
from the officers course of the Naval Nuclear Power School (with distinction) in 1986.

Dr. Hines teaches classes in Applied Artificial Intelligence to students from all departments
in the engineering college. He is involved in several research projects in which he uses his
experience in modeling and simulation, instrumentation and control, applied artificial
intelligence, and surveillance & diagnostics in applying artificial intelligence
methodologies to solve practical engineering problems. He is a member of the American
Nuclear Society and IEEE professional societies and a member of Sigma Xi, Tau Beta Pi,
Eta Kappa Nu, Alpha Nu Sigma, and Phi Kappa Phi honor societies.

For the five years prior to coming to the University of Tennessee, Dr. Hines was a member
of The Ohio State University's Nuclear Engineering Artificial Intelligence Group. While
there, he worked on several DOE and EPRI funded projects applying AI techniques to
engineering problems. From 1985 to 1990 Dr. Hines served in the United States Navy as a
nuclear qualified Naval Officer. He was the Assistant Nuclear Controls and Chemistry
Officer for the Atlantic Submarine Force (1988 to 1990), and served as the Electrical
Officer of a nuclear powered Ballistic Missile Submarine (1987 to 1988).

Software Description
This supplement comes with an IBM compatible disk containing an install program. The
program includes an MS Word 7.0 notebook file (PC) and several MATLAB functions,
scripts and data files. The MS Word file, master.doc, is a copy of this supplement and can
be opened into MS Word so that the code fragments in this document can be run and
modified. Its size is over 4 megabytes, so I recommend a Pentium computer platform with
at least 16 MB of RAM. It and the other files should not be duplicated or distributed
without the written consent of the author.

The installation program’s default directory is C:\MATLAB\TOOLBOX\NN_FUZZY,

which you can change if you wish. This should result in the extraction of 100 files that
require about 5 megabytes of disk space. The contents.m file gives a brief description of
the MATLAB files that were extracted into the directory. The following is a description of
the files:

master.doc This supplement in MS Word 7.0 (PC)

readme.txt A test version of this software description section.
*.m MATLAB script and function files (67)
*.mat MATLAB data files (31)

xi
 INTRODUCTION TO THE MATLAB SUPPLEMENT
This supplement uses the mathematical tools of the educational version of MATLAB to
demonstrate some of the important concepts presented in Fuzzy and Neural Approaches in
Engineering, by Lefteri H. Tsoukalas and Robert E. Uhrig and being published by John
Wiley & Sons. This book integrates the two technologies of fuzzy logic systems and neural
networks. These two advanced information processing technologies have undergone
explosive growth in the past few years. However, each field has developed independently of
the other with its own nomenclature and symbology. Although there appears to be little that
is common between the two fields, they are actually closely related and are being integrated
in many applications. Indeed, these two technologies form the core of the discipline called
SOFT COMPUTING, a name directly attributed to Lofti Zadeh. Fuzzy and Neural
Approaches in Engineering integrates the two technologies and presents them in a clear and
concise framework.

This supplement was written using the MATLAB notebook and Microsoft WORD ver. 7.0.
The notebook allows MATLAB commands to be entered and evaluated while in the Word
environment. This allows the document to both briefly explain the theoretical details and
also show the MATLAB implementation. It allows the user to experiment with changing
the MATLAB code fragments in order to gain a better understanding of the application.

This supplement contains numerous examples that demonstrate the practical implementation
of neural, fuzzy, and hybrid processing techniques using MATLAB. Although MATLAB
toolboxes for Fuzzy Logic [Jang and Gulley, 1995] and Neural Networks [Demuth and
Beale, 1994] exist, they are not required to run the examples given in this supplement. This
supplement should be considered to be a brief introduction to the MATLAB implementation
of neural and fuzzy systems and the author strongly recommends the use of the Neural
Networks Toolbox and the Fuzzy Logic Toobox for a more in depth study of these
information processing technologies. Some of the examples in this supplement are not
written in a general format and will have to be altered significantly for use to solve specific
problems, other examples and m-files are extremely general and portable.

INTRODUCTION TO MATLAB
MATLAB is a technical computing environment that is published by The MathWorks. It
can run on many platforms including windows based personal computers (windows, DOS,
Liunix), Macintosh, Sun, DEC, VAX and Cray. Applications are transportable between the
platforms.

MATLAB is the base package and was originally written as an easy interface to
LINPACK, which is a state of the art package for matrix computations. MATLAB has
functionality to perform or use:
· Matrix Arithmetic - add, divide, inverse, transpose, etc.
· Relational Operators - less than, not equal, etc.

1
· Logical operators - AND, OR, NOT, XOR
· Data Analysis - minimum, mean, covariance, etc.
· Elementary Functions - sin, acos, log, imaginary part, etc.
· Special Functions -- Bessel, Hankel, error function, etc.
· Numerical Linear Algebra - LU decomposition, etc.
· Signal Processing - FFT, inverse FFT, etc.
· Polynomials - roots, fit polynomial, divide, etc.
· Non-linear Numerical Methods - solve DE, minimize functions, etc.

MATLAB is also used for graphics and visualization in both 2-D and 3-D.

MATLAB is a language in itself and can be used at the command line or in m-files. There
are two types of MATLAB M files: scripts and functions. A good reference for MATLAB
programming is Mastering MATLAB by Duane Hanselman and Bruce Littlefield and
published by Prentice Hall (http://www.prenhall.com/). These authors also wrote the user
guide for the student edition of MATLAB.

1. Scripts are standard MATLAB programs that run as if they were typed into the
command window.

2. Functions are compiled m-files that are stored in memory. Most MATLAB commands
are functions and are accessible to the user. This allows the user to modify the functions to
perform the desired functionality necessary for a specific application. MATLAB m-files
may contain

· Standard programming constructs such as IF, else, break, while, etc.

· C style file I/O such as open, read, write formatted, etc.
· String manipulation commands: number to string, test for string, etc.
· Debugging commands: set breakpoint, resume, show status, etc.
· Graphical User Interfaces such as pull down menus, radio buttons, sliders, dialog
boxes, mouse-button events, etc.
· On-Line help routines for all functions.

MATLAB also contains methods for external interfacing capabilities:

· For data import/export from ASCII files, binary, etc.
· To files and directories: chdir, dir, time, etc.
· To external interface libraries: C and FORTRAN callable external interface libraries.
· To dynamic linking libraries: (MEX files) allows C or FORTRAN routines to be
linked directly into MATLAB at run time. This also allows access to A/D cards.
· Computational engine service library: Allows C and FORTRAN programs to call and
access MATLAB routines.
· Dynamic Data Exchange: Allows MATLAB to communicate with other Windows
applications.

MATLAB Toolboxes

2
Toolboxes are add-on packages that perform application-specific functions. MATLAB
toolboxes are collections of functions that can be used from the command line, from
scripts, or called from other functions. They are written in MATLAB and stored as m-
files; this allows the user to modify them to meet his or her needs.

A partial listing of these toolboxes include:

· Signal Processing
· Image Processing
· Symbolic Math
· Neural Networks
· Statistics
· Spline
· Control System
· Robust Control
· Model Predictive Control
· Non-Linear Control
· System Identification
· Mu Analysis
· Optimization
· Fuzzy Logic
· Hi-Spec
· Chemometrics

SIMULINK
SIMULINK is a MATLAB toolbox which provides an environment for modeling,
analyzing, and simulating linear and non-linear dynamic systems. SIMULINK provides a
graphical user interface that supports click and drag of blocks that can be connected to
form complex systems. SIMULINK functionality includes:

· Live displays that let you observe variables as the simulation runs.
· Linear approximations of non-linear systems can be made.
· MATLAB functions or MEX (C and FORTRAN) functions can be called.
· C code can be generated from your models.
· Output can be saved to file for later analysis.
· Systems of blocks can be combined into larger blocks to aid in program structuring.
· New blocks can be created to perform special functions such as simulating neural or
fuzzy systems.
· Discrete or continuous simulations can be run.
· Seven different integration algorithms can be used depending on the system type:
linear, stiff, etc.

SIMULINK’s Real Time Workshop can be used for rapid prototyping, embedded real time
control, real-time simulation, and stand-alone simulation. This toolbox automatically
generates stand-alone C code.

User Contributed Toolboxes

3
Several user contributed toolboxes are available for download at the MATLAB FTP site:
ftp.mathworks.com. by means of anonymous user access. Some that may be of interest
are:

Genetic Algorithm Toolbox:

A freeware toolbox developed by a MathWorks employee that will probably become a
full toolbox in the future.

FISMAT Toolbox:
A fuzzy inference system toolbox developed in Australia that incorporates several
extensions to the fuzzy logic toolbox.

IFR-Fuzzy Toolbox:
User contributed fuzzy-control toolbox.

There are also thousands of user contributed m-files on hundreds of topics ranging from the
Microorbit mission analysis to sound spectrogram printing, to Lagrange interpolation. In
addition to these, there are also several other MATLAB tools that are published by other
companies. The most relevant of these is the Fuzzy Systems Toolbox developed by Mark
H. Beale and Howard B. Demuth of the University of Idaho which is published by PWS
(http://www.thomson.com/pws/default.html). This toolbox goes into greater detail than the
MATLAB toolbox and better explains the lower level programming used in the functions.
These authors also wrote the MATLAB Neural Network Toolbox.

MATLAB Publications
The following publications are available at The MathWorks WWW site.
WWW Address: http://www.mathworks.com
FTP Address: ftp.mathworks.com
Login: anonymous
Password: "your user address"

List of MATLAB based books.

MATLAB Digest: electronic newsletter.
MATLAB Quarterly Newsletter: News and Notes.
MATLAB Technical Notes
MATLAB Frequently Asked Questions
MATLAB Conference Archive; this conference is held every other year.
MATLAB USENET Newsgroup archive.
FTP Server also provides technical references such as papers and article reprints.

MATLAB APPLICATIONS
The following chapters implement the theory and techniques discussed in the text. These
MATLAB implementations can be executed by placing the cursor in the code fragment and
selecting "evaluate cell" located in the Notebook menu. The executable code fragments are

4
green when viewed in the Word notebook and the answers are blue. Since this supplement
is printed in black and white, the code fragments will be represented by 10 point Courier
New gray scale. The regular text is in 12 point Times New Roman black.

Some of these implementations use m-file functions or data files. These are included on
the disk that comes with this supplement. Also included is a MS Word file of this
document. The file :contents.m lists and gives a brief description of all the m-files
included with this supplement.

The following code segment is an autoinit cell and is executed each time the notebook is
opened. If it does not execute when the document is opened, execute it manually. It
performs three functions:

1. whitebg([1 1 1]) gives the figures a white background.

2. set(0, 'DefaultAxesColorOrder', [0 0 0]); close(gcf) sets the line colors in all figures to
black. This produces black and white pages for printing but can be deleted for color.
3. d:/nn_fuzzy changes the current MATLAB directory to the directory where the m-files
associated with this supplement are located. If you installed the files in another
directory, you need to change the code to point to the directory where they are
installed.

whitebg([1 1 1]);
set(0, 'DefaultAxesColorOrder', [0 0 0]); close(gcf)
cd d:/nn_fuzzy

Chapter 1 Introduction to Hybrid Artificial Intelligence Systems

Chapter 1 of Fuzzy and Neural Approaches in Engineering, gives a brief description of the
benefits of integrating Fuzzy Logic, Neural Networks, Genetic Algorithms, and Expert
Systems. Several applications are described but no specific algorithms or architectures are
presented in enough detail to warrant their implementation in MATLAB.

In the following chapters, the algorithms and applications described in Fuzzy and Neural
Approaches in Engineering will be implemented in MATLAB code. This code can be run
from the WORD Notebook when in the directory containing the m-files associated with
this supplement is the active directory in MATLAB's command window. In many of the
chapters, the code must be executed sequentially since earlier code fragments may create
data or variables used in later fragments.

Chapters 1 through 6 implement Fuzzy Logic, Chapters 7 through 11 implement Artificial

Neural Networks, Chapters 12 and 13 implement fuzzy-neural hybrid systems, Chapters 14
through 17 do not contain MATLAB implementations but do point the reader towards
references or user contributed toolboxes. This supplement will be updated and expanded as
suggestions are received and as time permits. Updates are expected to be posted at John
Wiley & Sons WWW page but may be posted at University of Tennessee web site. Further
information should be available from the author at hines@utkux.utk.edu.

5
Chapter 2 Foundations of Fuzzy Approaches
This chapter will present the building blocks that lay the foundation for constructing fuzzy
systems. These building blocks include membership functions, linguistic modifiers, and
alpha cuts.

2.1 Union, Intersection and Complement of a Fuzzy Set

A graph depicting the membership of a number to a fuzzy set is called a Zadeh diagram. A
Zadeh diagram is a graphical representation that shows the membership of crisp input
values to fuzzy sets. The Zadeh diagrams for two membership functions A (small
numbers) and B (about 8) are constructed below.

x=[0:0.1:20];
muA=1./(1+(x./5).^3);
muB=1./(1+.3.*(x-8).^2);
plot(x,muA,x,muB);
title('Zadeh diagram for the Fuzzy Sets A and B');
text(1,.8,'Set A');text(7,.8,'Set B')
xlabel('Number');ylabel('Membership');

Zadeh diagram for the Fuzzy Sets A and B

1

0.9

0.8 Set A Set B

0.7

0.6
Membership

0.5

0.4

0.3

0.2

0.1

0
0 5 10 15 20
Number

The horizontal axis of a Zadeh diagram is called the universe of discourse. The universe of
discourse is the range of values where the fuzzy set is defined. The vertical axis is the
membership of a value, in the universe of discourse, to the fuzzy set. The membership of a
number (x) to a fuzzy set A is represented by:  A  x  .

The union of the two fuzzy sets is calculated using the max function. We can see that this
results in the membership of a number to the union being the maximum of its membership
to either of the two initial fuzzy sets. The union of the fuzzy sets A and B is calculated
below.

6
union=max(muA,muB);plot(x,union);
title('Union of the Fuzzy Sets A and B');
xlabel('Number');
ylabel('Membership');

Union of the Fuzzy Sets A and B

1

0.9

0.8

0.7

0.6
Membership

0.5

0.4

0.3

0.2

0.1

0
0 5 10 15 20
Number

The intersection of the two fuzzy sets is calculated using the min function. We can see that
this results in the membership of a number to the intersection being the minimum of its
membership to either of the two initial fuzzy sets. The intersection of the fuzzy sets A and
B is calculated below.

intersection=min(muA,muB);
plot(x,intersection);
title('Intersection of the Fuzzy Sets A and B');
xlabel('Number');
ylabel('Membership');

7
 Intersection of the Fuzzy Sets A and B
0.4

0.35

0.3

0.25
Membership

0.2

0.15

0.1

0.05

0
0 5 10 15 20
Number

The complement of about 8 is calculated below.

complement=1-muB;
plot(x,complement);
title('Complement of the Fuzzy Set B');
xlabel('Number');
ylabel('Membership');

Complement of the Fuzzy Set B

1

0.9

0.8

0.7

0.6
Membership

0.5

0.4

0.3

0.2

0.1

0
0 5 10 15 20
Number

8
2.2 Concentration and Dilation
The concentration of a fuzzy set is equivalent to linguistically modifying it by the term
VERY. The concentration of small numbers is therefore VERY small numbers and can be
quantitatively represented by squaring the membership value. This is computed in the
function very(mf).

x=[0:0.1:20];
muA=1./(1+(x./5).^3);
muvsb=very(muA);
plot(x,muA,x,muvsb);
title('Zadeh diagram for the Fuzzy Sets A and VERY A');
xlabel('Number');
ylabel('Membership');
text(1,.5,'Very A');
text(7,.5,'Set A')

Zadeh diagram for the Fuzzy Sets A and VERY A

1

0.9

0.8

0.7

0.6
Membership

0.5 VeryA Set A

0.4

0.3

0.2

0.1

0
0 5 10 15 20
Number

The dilation of a fuzzy set is equivalent to linguistically modifying it by the term MORE
OR LESS. The dilation of small numbers is therefore MORE OR LESS small numbers and
can be quantitatively represented by taking the square root of the membership value. This
is compute in the function moreless(mf).

x=[0:0.1:20];
muA=1./(1+(x./5).^3);
muvsb=moreless(muA);
plot(x,muA,x,muvsb);
title('Zadeh diagram for the Fuzzy Sets A and MORE or LESS A');
xlabel('Number');
ylabel('Membership');
text(2,.5,'Set A');
text(9,.5,'More or Less A')

9
 Zadeh diagram for the Fuzzy Sets A and MORE or LESS A
1

0.9

0.8

0.7

0.6
Membership

0.5 Set A More or Less A

0.4

0.3

0.2

0.1

0
0 5 10 15 20
Number

2.3 Contrast Intensification

A fuzzy set can have its fuzziness intensified, this is called contrast intensification. A
membership function can be represented by an exponential fuzzifier F1 and a denominator
fuzzifier F2. The following equation describes a fuzzy set large numbers.

1
 ( x) 
 x   F1
1  
 F2

Letting F1 vary {1 2 4 10 100} with F2 =50 results in a family of curves with slopes
increasing as F1 increases.

F1=[1 2 4 10 100];
F2=50;
x=[0:1:100];
muA=zeros(length(F1),length(x));
for i=1:length(F1);
muA(i,:)=1./(1+(x./F2).^(-F1(i)));
end
plot(x,muA);
title('Contrast Intensification');
xlabel('Number')
ylabel('Membership')
text(5,.3,'F1 = 1');text(55,.2,'F1 = 100');

10
 Contrast Intensification
1

0.9

0.8

0.7

0.6
Membership

0.5

0.4

0.3 F1 = 1

0.2 F1 = 100

0.1

0
0 20 40 60 80 100
Number

Letting F2 vary {40 50 60 70} with F1 =4 results in the following family of curves.

F1=4;F2=[30 40 50 60 70];
for i=1:length(F2);
muA(i,:)=1./(1+(x./F2(i)).^(-F1));
end
plot(x,muA);title('Contrast Intensification');
xlabel('Number');ylabel('Membership')
text(10,.5,'F2 = 30');text(75,.5,'F2 = 70');

Contrast Intensification
1

0.9

0.8

0.7

0.6

0.5 F2 = 30 F2 = 70

0.4

0.3

0.2

0.1

0
0 20 40 60 80 100
Number

11
2.4 Extension Principle
The extension principle is a mathematical tool for extending crisp mathematical notions
and operations to the milieu of fuzziness. Consider a function that maps points from the X-
axis to the Y-axis in the Cartesian plane:
x2
y  f ( x)  1
4
This is graphed as the upper half of an ellipse centered at the origin.

x=[-2:.1:2];
y=(1-x.^2/4).^.5;
plot(x,y,x,-y);
title('Functional Mapping')
xlabel('x');ylabel('y');

Functional Mapping
1

0.8

0.6

0.4

0.2

0
y

-0.2

-0.4

-0.6

-0.8

-1
-2 -1.5 -1 -0.5 0 0.5 1 1.5 2
x

1
x

2
Suppose fuzzy set A is defined as A 
2 x 2
x
mua=0.5.*abs(x);
plot(x,mua)
title('Fuzzy Set A');
xlabel('x');
ylabel('Membership of x to A');

12
 Fuzzy Set A
1

0.9

0.8

0.7
Membership of xto A

0.6

0.5

0.4

0.3

0.2

0.1

0
-2 -1.5 -1 -0.5 0 0.5 1 1.5 2
x

Solving for x in terms of y we get: x  2 1  y 2 .

And the membership function of y to B is  B ( y )  1  y 2 .
y=[-1:.05:1];
mub=(1-y.^2).^.5;
plot(y,mub)
title('Fuzzy Set B');
xlabel('y');ylabel('Membership of y to B');

Fuzzy Set B
1

0.9

0.8

0.7
Membership of y to B

0.6

0.5

0.4

0.3

0.2

0.1

0
-1 -0.5 0 0.5 1
y

13
The geometric interpretation is shown below.

set(gcf,'color',[1 1 1]);
x=[-2:.2:2];
mua=0.5.*abs(x);
y=[-1:.1:1];
mub=(1-y.^2).^.5;
[X,Y] = meshgrid(x,y);
Z=.5*abs(X).*(1-Y.^2).^.5;
mesh(X,Y,Z);
axis([-2 2 -1 1 -1 1])
colormap(1-gray)
view([0 90]);
shading interp
xlabel('x')
ylabel('y')
title('Fuzzy Region Inside and Outside the Eclipse')

Fuzzy Region Inside and Outside the Eclipse

1

0.8

0.6

0.4

0.2

0
y

-0.2

-0.4

-0.6

-0.8

-1
-2 -1.5 -1 -0.5 0 0.5 1 1.5 2
x

2.5 Alpha Cuts

An alpha cut is a crisp set that contains the elements that have a support (also called
membership or grade) greater than a certain value. Consider a fuzzy set whose
1
membership function is  A ( x )  . Suppose we are interested in the
1  0. 01 *( x  50).^ 2
portion of the membership function where the support is greater than 0.2. The 0.2 alpha
cut is given by:

x=[0:1:100];
mua=1./(1+0.01.*(x-50).^2);
alpha_cut = mua>=.2;

14
plot(x,alpha_cut)
title('0.2 Level Fuzzy Set of A');
xlabel('x');
ylabel('Membership of x');

0.2 Level Fuzzy Set of A

1

0.9

0.8

0.7
Membership of x

0.6

0.5

0.4

0.3

0.2

0.1

0
0 20 40 60 80 100
x

The function alpha is written to return the minimum and maximum values where an alpha
cut is one. This function will be used in subsequent exercises.

function [a,b] = alpha(FS,x,level);

% [a,b] = alpha(FS,x,level)
%
% Returns the alpha cut for the fuzzy set at a given level.
% FS : the grades of a fuzzy set.
%x : the universe of discourse
% level : the level of the alpha cut
% [a,b] : the vector indices of the alpha cut
%
ind=find(FS>=level);
a=x(min(ind));
b=x(max(ind));

[a,b]=alpha(mua,x,.2)

a =
30
b =
70

15
Chapter 3 Fuzzy Relationships
Fuzzy if/then rules and their aggregations are fuzzy relations in linguistic disguise and can
be thought of as fuzzy sets defined over high dimensional universes of discourse.

3.1 A Similarity Relation

Suppose a relation R is defined as "x is near the origin AND near y". This can be
2 2
expressed as  R ( x )  e  ( x  y ) . The universe of discourse is graphed below.

[x,y]=meshgrid(-2:.2:2,-2:.2:2);
mur=exp(-1*(x.^2+y.^2));
surf(x,y,mur)
xlabel('x')
ylabel('y')
zlabel('Membership to the Fuzzy Set R')

1
Membership to the Fuzzy Set R

0.8

0.6

0.4

0.2

0
2
1 2
0 1
0
-1 -1
y -2 -2
x

3.2 Union and Intersection of Fuzzy Relations

Suppose a relation R1 is defined as "x is near y AND near the origin", and a relation R2 is
defined as "x is NOT near the origin". The union R1 OR R2 is defined as:

mur1=exp(-1*(x.^2+y.^2));
mur2=1-exp(-1*(x.^2+y.^2));
surf(x,y,max(mur1,mur2))
xlabel('x')
ylabel('y')
zlabel('Union of R1 and R2')

16
 1

0.9
Union of R1 and R2

0.8

0.7

0.6

0.5
2
1 2
0 1
0
-1 -1
y -2 -2
x

The intersection R1 AND R2 is defined as:

mur1=exp(-1*(x.^2+y.^2));
mur2=1-exp(-1*(x.^2+y.^2));
surf(x,y,min(mur1,mur2))
xlabel('x')
ylabel('y')
zlabel('Intersection of R1 and R2')

0.5

0.4
Intersection of R1 and R2

0.3

0.2

0.1

0
2
1 2
0 1
0
-1 -1
y -2 -2
x

17
3.3 Max-Min Composition
The max-min composition uses the max and min operators described in section 3.2.
Suppose two relations are defined as follows:

  R 1 ( x 1 , y1 )  R1 ( x1 , y 2 )  R1 ( x1 , y 3 )  R1 ( x1 , y 4 )  1.0 0.3 0.9 0.0

 ( x , y )  R1 ( x 2 , y 2 )  R1 ( x 2 , y 3 )  R1 ( x 2 , y 4 )   0.3 . 
1.0 0.8 10
R1   
R1 2 1

  R 1 ( x 3 , y1 ) R1 ( x 3 , y 2 )  R1 ( x 3 , y 3 )  R1 ( x 3 , y 4 )  0.9 0.8 10
. 0.8
   
  R 1 ( x 4 , y1 )  R1 ( x 4 , y 2 )  R1 ( x 4 , y 3 )  R1 ( x 4 , y 4 )  0.0 1.0 0.8 10
. 

  R 2 ( x1 , y 1 )  R 2 ( x1 , y 2 )  R 2 ( x1 , y 3 )  10 . . 0.9 
10
 ( x , y ) R 2 ( x2 , y2 )  R 2 ( x 2 , y 3 )  10
. 0.0 0.5
R2   
R2 2 1

  R 2 ( x 3 , y1 ) R 2 ( x3 , y2 )  R 2 ( x 3 , y 3 )   0.3 01. 0.0
   
  R 2 ( x 4 , y1 ) R 2 ( x4 , y2 )  R 2 ( x 4 , y 3 )  0.2 0.3 01
. 

Their max-min composition is defined in its matrix form as:

1.0 0.3 0.9 0.0 1.0 1.0 0.9 

 0.3 1.0 0.8 1.0  1.0 0.0 0.5
R1  R2    
0.9 0.8 1.0 0.8  0.3 0.1 0.0
   
0.0 1.0 0.8 1.0  0.2 0.3 0.1

Using MATLAB to compute the max-min composition:

R1=[1.0 0.3 0.9 0.0;0.3 1.0 0.8 1.0;0.9 0.8 1.0 0.8;0.0 1.0 0.8 1.0];
R2=[1.0 1.0 0.9;1.0 0.0 0.5; 0.3 0.1 0.0;0.2 0.3 0.1];
[r1,c1]=size(R1); [r2,c2]=size(R2);
R0=zeros(r1,c2);
for i=1:r1;
for j=1:c2;
R0(i,j)=max(min(R1(i,:),R2(:,j)'));
end
end
R0

R0 =
1.0000 1.0000 0.9000
1.0000 0.3000 0.5000
0.9000 0.9000 0.9000

18
 1.0000 0.3000 0.5000

Chapter 4 Fuzzy Numbers

Fuzzy numbers are fuzzy sets used in connection with applications where an explicit
representation of the ambiguity and uncertainty found in numerical data is desirable.

4.1 Addition and Subtraction of Discrete Fuzzy Numbers

Addition of two fuzzy numbers can be performed using the extension principle.

Suppose you have two fuzzy numbers that are represented tabularly. They are the fuzzy
number 3 (FN3) and the fuzzy number 7 (FN7).

FN3=0/0 + 0.3/1 + 0.7/2 + 1.0/3 + 0.7/4 + 0.3/5 + 0/6

FN7=0/4 + 0.2/5 + 0.6/6 + 1.0/7 + 0.6/8 + 0.2/9 + 0/10

To define these fuzzy numbers using MATLAB:

x = [1 2 3 4 5 6 7 8 9 10];
FN3 = [0.3 0.7 1.0 0.7 0.3 0 0 0 0 0];
FN7 = [0 0 0 0 0.2 0.6 1.0 0.6 0.2 0];
bar(x',[FN3' FN7']); axis([0 11 0 1.1])
title('Fuzzy Numbers 3 and 7');
xlabel('x');
ylabel('membership')
text(2,1.05,'Fuzzy Number 3')
text(6,1.05,'Fuzzy Number 7');;

Fuzzy Numbers 3 and 7

Fuzzy Number 3 Fuzzy Number 7

1

0.8
membership

0.6

0.4

0.2

0
0 2 4 6 8 10
x

19
Adding fuzzy number 3 to fuzzy number 7 results in a fuzzy number 10 using the alpha cut
procedure described in the book.

By hand we have: FN3 FN7 FN10 = FN3+FN7

0.2 alpha cut: [1 5] [5 9] [6 14]
0.3 alpha cut: [1 5] [6 8] [7 13]
0.6 alpha cut: [2 4] [6 8] [8 12]
0.7 alpha cut: [2 4] [7 7] [9 11]
1.0 alpha cut: [3 3] [7 7] [10 10]

FN10 = .2/6 + .3/7 + .6/8 + .7/9 + 1/10 + .7/11 + .6/12 + .3/13 + .2/14

x=[1:1:20];
FNSUM=zeros(size(x));
for i=.1:.1:1
[a1,b1]=alpha(FN3,x,i-eps); % Use eps due to buggy MATLAB increments
[a2,b2]=alpha(FN7,x,i-eps);
a=a1+a2;
b=b1+b2;
FNSUM(a:b)=i*ones(size(FNSUM(a:b)));
end
bar(x,FNSUM); axis([0 20 0 1.1])
title('Fuzzy Number 3+7=10')
xlabel('x')
ylabel('membership')

Fuzzy Number 3+7=10

0.8
membership

0.6

0.4

0.2

0
0 5 10 15 20
x

The following program subtracts the fuzzy number 3 from the fuzzy number 8 to get a fuzzy
number 8-3=5.

By hand we have: FN3 FN8 FN5 = FN8-FN3

20
0.2 alpha cut: [1 5] [6 10] [1 9]
0.3 alpha cut: [1 5] [7 9] [2 8]
0.6 alpha cut: [2 4] [7 9] [3 7]
0.7 alpha cut: [2 4] [8 8] [4 6]
1.0 alpha cut: [3 3] [8 8] [5 5]

FN5 = .2/1 + .3/2 + .6/3 + .7/4 + 1/5+ .7/6 + .6/7 + .3/8 + .2/9

x=[1:1:11];
FN3 = [0.3 0.7 1.0 0.7 0.3 0 0 0 0 0];
FN8 = [0 0 0 0 0 0.2 0.6 1.0 0.6 0.2];
FNDIFF=zeros(size(x));
for i=.1:.1:1
[a1,a2]=alpha(FN8,x,i-eps);
[b1,b2]=alpha(FN3,x,i-eps);
a=a1-b2;
b=a2-b1;
FNDIFF(a:b)=i*ones(size(FNDIFF(a:b)));
end
bar(x,FNDIFF);axis([0 11 0 1.1])
title('Fuzzy Number 8-3=5')
xlabel('x')
ylabel('Membership')

Fuzzy Number 8-3=5

0.8
Membership

0.6

0.4

0.2

0
0 2 4 6 8 10
x

4.2 Multiplication of Discrete Fuzzy Numbers

This program multiplies the fuzzy number 3 by the fuzzy number 7 to get a fuzzy number
3*7=21. Where the fuzzy numbers 3 and 7 are defined as in Section 4.1. The
multiplication of continuous fuzzy numbers is somewhat messy and will not be
implemented in MATLAB.

21
By hand we have: FN3 FN7 FN21 = FN3*FN7
0.2 alpha cut: [1 5] [5 9] [5 45]
0.3 alpha cut: [1 5] [6 8] [6 40]
0.6 alpha cut: [2 4] [6 8] [12 32]
0.7 alpha cut: [2 4] [7 7] [14 28]
1.0 alpha cut: [3 3] [7 7] [21 21]

FN21 = .2/5 + .3/6 + .6/12 + .7/14 + 1/21 + .7/28 + .6/32 + .3/40 + .2/45

x=[1:1:60]; % Universe of Discourse

FN3 = [0.3 0.7 1.0 0.7 0.3 0 0 0 0 0 0];
FN7 = [0 0 0 0 0.2 0.6 1.0 0.6 0.2 0 0];
FNPROD=zeros(size(x));
for i=.1:.1:1
[a1,a2]=alpha(FN3,x,i-eps);
[b1,b2]=alpha(FN7,x,i-eps);
a=a1*b1;
b=a2*b2;
FNPROD(a:b)=i*ones(size(FNPROD(a:b)));
end
bar(x,FNPROD);axis([0 60 0 1.1])
title('Fuzzy Number 3*7=21')
xlabel('Fuzzy Number 21')
ylabel('Membership')

Fuzzy Number 3*7=21

0.8
Membership

0.6

0.4

0.2

0
0 10 20 30 40 50 60
Fuzzy Number 21

22
4.3 Division of Discrete Fuzzy Numbers
This program divides the fuzzy number 6 by the fuzzy number 3 to get a fuzzy number 2.
The division of continuous fuzzy numbers is somewhat messy and will not be implemented
in MATLAB.

By hand we have: FN3 FN6 FN2 = FN6/FN3

0.2 alpha cut: [1 5] [4 8] [4/5 8/1]
0.3 alpha cut: [1 5] [5 7] [5/5 7/1]
0.6 alpha cut: [2 4] [5 7] [5/4 7/2]
0.7 alpha cut: [2 4] [6 6] [6/4 6/2]
1.0 alpha cut: [3 3] [6 6] [6/3 6/3]

FN21 = .2/.8 + .3/1 + .6/1.25 + .7/1.5 + 1/2 + .7/3 + .6/3.5 + .3/7 + .2/8

x=[1:1:12]; % Universe of Discourse

FN3 = [0.3 0.7 1.0 0.7 0.3 0 0 0 0 0];
FN6 = [0 0 0 0.2 0.6 1.0 0.6 0.2 0 0];
FNDIV=zeros(size(x));
for i=.1:.1:1
[a1,a2]=alpha(FN6,x,i-eps);
[b1,b2]=alpha(FN3,x,i-eps);
a=round(a1/b2);
b=round(a2/b1);
FNDIV(a:b)=i*ones(size(FNDIV(a:b)));
end
bar(x,FNDIV);axis([0 10 0 1.1])
title('Fuzzy Number 6/3=2')
xlabel('Fuzzy Number 2')
ylabel('Membership')

Fuzzy Number 6/3=2

0.8
Membership

0.6

0.4

0.2

0
0 2 4 6 8 10
Fuzzy Number 2

23
Chapter 5 Linguistic Descriptions and Their Analytical Form

5.1 Generalized Modus Ponens

Fuzzy linguistic descriptions are formal representations of systems made through fuzzy
if/then rules. Generalized Modus Ponens (GMP) states that when a rule's antecedent is met
to some degree, its consequence is inferred by the same degree.

IF x is A THEN y is B
x is A'
so y is B'

This can be written using the implication relation (R(x,y)) as in the max-min composition
of section 3.3.

B'=A'R(x,y)

Implication relations are explained in greater detail in section 5.3.

5.2 Membership Functions

This supplement contains functions that define triangular, trapezoidal, S-Shaped and -
shaped membership functions.

5.2.1 Triangular Membership Function

A triangular membership function is defined by the parameters [a b c], where a is the
membership function's left intercept with grade equal to 0, b is the center peak where the
grade equals 1 and c is the right intercept at grade equal to 0. The function y=triangle(x,[a
b c]); is written to return the membership values corresponding to the defined universe of
discourse x. The parameters that define the triangular membership function: [a b c] must
be in the discretely defined universe of discourse.

For example: A triangular membership function for "x is close to 33" defined over
x=[0:1:50] with [a b c]=[23 33 43] would be created with:

x=[0:1:50];
y=triangle(x,[23 33 43]);
plot(x,y);
title('Close to 33')
xlabel('X')
ylabel('Membership')

24
 Close to 33
1

0.9

0.8

0.7

0.6
Membership

0.5

0.4

0.3

0.2

0.1

0
0 10 20 30 40 50
X

A fuzzy variable temperature may have three fuzzy values: cool, medium and hot.
Membership functions defining these values can be constructed to overlap in the universe
of discourse [0:100]. A matrix with each row corresponding to the three fuzzy values can
be constructed. Suppose the following fuzzy value definitions are used:

x=[0:100];
cool=[0 25 50];
medium=[25 50 75];
hot=[50 75 100];
mf_cool=triangle(x,cool);
mf_medium =triangle(x,medium);
mf_hot=triangle(x,hot);
plot(x,[mf_cool;mf_medium;mf_hot])
title('Temperature: cool, medium and hot');
ylabel('Membership');
xlabel('Degrees')
text(20,.58,'Cool')
text(42,.58,'Medium')
text(70,.58,'Hot')

25
 Temperature: cool, medium and hot
1

0.9

0.8

0.7

0.6 Cool Medium Hot

Membership

0.5

0.4

0.3

0.2

0.1

0
0 20 40 60 80 100
Degrees

5.2.2 Trapezoidal Membership Function

As can be seen, a temperature value of 0 would have a 0 membership to all fuzzy sets.
Therefore, we should use trapezoidal membership functions to define the cool and hot
fuzzy sets.

x=[0:100];
cool=[0 0 25 50];
medium=[15 50 75];
hot=[50 75 100 100];
mf_cool=trapzoid(x,cool);
mf_medium =triangle(x,medium);
mf_hot=trapzoid(x,hot);
plot(x,[mf_cool;mf_medium;mf_hot]);
title('Temperature: cool, medium and hot');
ylabel('Membership');
xlabel('Degrees');
text(20,.65,'Cool')
text(42,.65,'Medium')
text(70,.65,'Hot')

26
 Temperature: cool, medium and hot
1

0.9

0.8

0.7
Cool Medium Hot
0.6
Membership

0.5

0.4

0.3

0.2

0.1

0
0 20 40 60 80 100
Degrees

The use of trapezoidal membership functions results in a 0 value of temperature being

properly represented by a membership value of 1 to the fuzzy set cool. Likewise, high
temperatures are properly represented with high membership values to the fuzzy set hot.

5.2.3 S-shaped Membership Function

An S-shaped membership function is defined by three parameters [  ] using the
following equations:

S_ shape( ,  ,  ) = 0 for x

2
 x - 
S_ shape( ,  ,  ) = 2  for  x
  - 
2
 x - 
S_ shape( ,  ,  ) = 1- 2  for   x
  - 
S_ shape( ,  ,  ) = 1 for  x

where:
 = the point where (x)=0
 = the point where (x)=0.5
 = the point where (x)=1.0
note: - must equal - for continuity of slope

x=[0:100];
cool=[50 25 0];
hot=[50 75 100];
mf_cool=s_shape(x,cool);
mf_hot=s_shape(x,hot);
plot(x,[mf_cool;mf_hot]);

27
title('Temperature: cool and hot');
ylabel('Membership');
xlabel('Degrees');
text(8,.45,'Cool')
text(82,.45,'Hot')

Temperature: cool and hot

1

0.9

0.8

0.7

0.6
Membership

0.5
Cool Hot
0.4

0.3

0.2

0.1

0
0 20 40 60 80 100
Degrees

5.2.4 -shaped Membership Function

A -shaped membership functions is defined by two parameters [,] using the following
equations:

   
P_ shape( ,  ) = S_ shape x;    , ,  for x
 2 
where:
   
P_ shape( ,  ) = 1- S_ shape x;  , ,    for x 
 2 
 = center of the membership function
 = width of the membership function at grade = 0.5.

x=[0:100];
cool=[25 20];
medium=[50 20];
hot=[75 20];
mf_cool=p_shape(x,cool);
mf_medium =p_shape(x,medium);
mf_hot=p_shape(x,hot);
plot(x,[mf_cool;mf_medium;mf_hot]);
title('Temperature: cool, medium and hot');
ylabel('Membership');
xlabel('Degrees');

28
text(20,.55,'Cool')
text(42,.55,'Medium')
text(70,.55,'Hot')

Temperature: cool, medium and hot

1

0.9

0.8

0.7

0.6
Membership

Cool Medium Hot

0.5

0.4

0.3

0.2

0.1

0
0 20 40 60 80 100
Degrees

5.2.5 Defuzzification of a Fuzzy Set

Defuzzification is the process of representing a fuzzy set with a crisp number and is
discussed in Section 6.3 of the text. Internal representations of data in a fuzzy system are
usually fuzzy sets but the output frequently needs to be a crisp number that can be used to
perform a function, such as commanding a valve to a desired position.

The most commonly used defuzzification method is the center of area method also
commonly referred to as the centroid method. This method determines the center of area
of the fuzzy set and returns the corresponding crisp value. The function centroid (universe,
grades) performs this function by using a method similar to that of finding a balance point
on a loaded beam.

function [center] = centroid(x,y);

%CENTER Calculates Centroid
% [center] = centroid(universe,grades)
%
% universe: row vector defining the universe of discourse.
% grades: row vector of corresponding membership.
% centroid: crisp number defining the centroid.
%
center=(x*y')/sum(y);

29
To illustrate this method, we will defuzzify the following triangular fuzzy set and plot the
result using c_plot:

x=[10:150];
y=triangle(x,[32 67 130]);
center=centroid(x,y);
c_plot(x,y,center,'Centroid')

Centroid is at 76.33
1

0.9

0.8

0.7

0.6

0.5

0.4

0.3

0.2

0.1

0
0 50 100 150

There are several other defuzzification methods including mean of max, max of max and
min of max. The following function implements mean of max defuzzification:
mom(universe,grades).

x=[10:150];
y=trapzoid(x,[32 67 74 130]);
center=mom(x,y);
c_plot(x,y,center,'Mean of Max');

30
 Mean of Maxis at 70.5
1

0.9

0.8

0.7

0.6

0.5

0.4

0.3

0.2

0.1

0
0 50 100 150

5.2.6 Compound Values

Connectives such as AND and OR, and modifiers such as NOT, VERY, and MORE or LESS
can be used to generate compound values from primary values:

OR corresponds to max or union

AND corresponds to min or intersection
NOT corresponds to the complement and is calculated by the function not(MF).
VERY, MORE or LESS, etc. correspond to various degrees of contrast intensification.

Temperature is NOT cool AND NOT hot is a fuzzy set represented by:

x=[0:100];
cool=[0 0 25 50];
hot=[50 75 100 100];
mf_cool=trapzoid(x,cool);
mf_hot=trapzoid(x,hot);
not_cool=not(mf_cool);
not_hot=not(mf_hot);
answer=min([not_hot;not_cool]);
plot(x,answer);
title('Temperature is NOT hot AND NOT cool');
ylabel('Membership');
xlabel('Degrees');

31
 Temperature is NOT hotAND NOT cool
1

0.9

0.8

0.7

0.6
Membership

0.5

0.4

0.3

0.2

0.1

0
0 20 40 60 80 100
Degrees

VERY and MORE or LESS are called linguistic modifiers. These can be implemented by
taking the square (VERY) or square root (MORE or LESS) of the membership values.
These modifiers are implemented with the very(MF) and moreless(MF) functions. For
example, NOT VERY hot would be represented as:

not_very_hot=not(very(trapzoid(x,hot)));
plot(x,not_very_hot);
title('NOT VERY hot');ylabel('Membership');xlabel('Degrees');

NOT VERY hot

1

0.9

0.8

0.7

0.6
Membership

0.5

0.4

0.3

0.2

0.1

0
0 20 40 60 80 100
Degrees

32
and, MORE or LESS hot would be represented as:

ml_hot=moreless(trapzoid(x,hot));
plot(x,ml_hot);
title('Temperature is More or Less hot');
ylabel('Membership');xlabel('Degrees');

Temperature is More or Less hot

1

0.9

0.8

0.7

0.6
Membership

0.5

0.4

0.3

0.2

0.1

0
0 20 40 60 80 100
Degrees

Note that some membership functions are affected by linguistic modifiers more than others.
For example, a membership function that only has crisp values, such as a hardlimit
membership function, would not be affected at all.

5.3 Implication Relations

The underlying analytical form of an if/then rule is a fuzzy relation called an implication
relation: R(x,y). There are several implication relation operators ( ) including:

Zadeh Max-Min Implication Operator   A ( x ), B ( y )   A ( x )  B ( y )   1   A ( x )

Mamdami Min Implication Operator   A ( x ),  B ( y )   A ( x )   B ( y )

Larson Product Implication Operator   A ( x ),  B ( y )   A ( x )   B ( y )

To illustrate the Mamdami Min implementation operator, suppose there is a rule that states:

if x is "Fuzzy Number 3"

then y is "Fuzzy Number 7"

33
For the Fuzzy Number 3 of section 4.1, if the input x is a 2, it matches the set "Fuzzy
Number 3" with a value of 0.7. This value is called the "Degree of Fulfillment" (DOF) of
the antecedent. Therefore, the consequence should be met with a degree of 0.7 and results
in the output fuzzy number being clipped to a maximum of 0.7. To perform this operation
we construct a function called clip(FS,level).

mua=1./(1+0.01.*(x-50).^2);
clip_mua=clip(mua,0.2);
plot(x,clip_mua);
title('Fuzzy Set A Clipped to a 0.2 Level');
xlabel('x');
ylabel('Membership of x');

Fuzzy Set A Clipped to a 0.2 Level

0.22

0.2

0.18

0.16
Membership of x

0.14

0.12

0.1

0.08

0.06

0.04

0.02
0 20 40 60 80 100
x

Referring back to the discrete example:

if x is "Fuzzy Number 3"
then y is "Fuzzy number 7"
and x is equal to 2, then the output y is equal to the fuzzy set clipped at 2's degree of
fulfillment of Fuzzy Number 7.

x= [0 1 2 3 4 5 6 7 8 9 10];
FN3 = [0 0.3 0.7 1.0 0.7 0.3 0 0 0 0 0];
FN7 = [0 0 0 0 0 0.2 0.6 1.0 0.6 0.2 0];
degree=FN3(find(x==2));
y=clip(FN7,degree);
plot(x,y);
axis([0 10 0 1])
title('Mamdani Min Output of Fuzzy Rule');
xlabel('x');
ylabel('Output Fuzzy Set');

34
 Mamdani Min Output of Fuzzy Rule
1

0.9

0.8

0.7
Output Fuzzy Set

0.6

0.5

0.4

0.3

0.2

0.1

0
0 2 4 6 8 10
x

This example shows the basic foundation of a rule based fuzzy logic system. We can see
that using discrete membership functions of very rough granularity may not provide the
precision that one may desire. Membership functions with less granularity should be used.

To illustrate the use of the Larson Product implication relation, suppose there is a rule that
states:

if x is "Fuzzy Number 3"

then y is "Fuzzy number 7"

For the Fuzzy Number 3 of section 4.1, if the input x is a 2, it matches the antecedent fuzzy
set "Fuzzy Number 3" with a degree of fulfillment of 0.7. The Larson Product implication
operator scales the consequence with the degree of fulfillment which is 0.7 and results in
the output fuzzy number being scaled to a maximum of 0.7. The function
product(FS,level) performs the Larson Product operation.

x=[0:1:100];
mua=1./(1+0.01.*(x-50).^2);
prod_mua=product(mua,.7);
plot(x,prod_mua)
axis([min(x) max(x) 0 1]);
title('Fuzzy Set A Scaled to a 0.7 Level');
xlabel('x');
ylabel('Membership of x');

35
 Fuzzy Set A Scaled to a 0.7 Level
1

0.9

0.8

0.7
Membership of x

0.6

0.5

0.4

0.3

0.2

0.1

0
0 20 40 60 80 100
x

Referring back to the highly granular discrete example:

if x is "Fuzzy Number 3"

then y is "Fuzzy Number 7"

and x is equal to 2, then the output y is equal to the fuzzy set squashed to the antecedent's
degree of fulfillment to "Fuzzy Number 7".

x= [0 1 2 3 4 5 6 7 8 9 10];
FN3 = [0 0.3 0.7 1.0 0.7 0.3 0 0 0 0 0];
FN7 = [0 0 0 0 0 0.2 0.6 1.0 0.6 0.2 0];
degree=FN3(find(x==2));
y=product(FN7,degree);
plot(x,y);
axis([0 10 0 1.0])
title('Larson Product Output of Fuzzy Rule');
xlabel('x');
ylabel('Output Fuzzy Set');

36
 Larson Product Output of Fuzzy Rule
1

0.9

0.8

0.7
Output Fuzzy Set

0.6

0.5

0.4

0.3

0.2

0.1

0
0 2 4 6 8 10
x

5.4 Fuzzy Algorithms

Now that we can manipulate Fuzzy Rules we can combine them into Fuzzy Algorithms. A
Fuzzy Algorithm is a procedure for performing a task formulated by a collection of fuzzy
if/then rules. These rules are usually connected by ELSE statements.

if x is A1 then y is B1 ELSE
if x is A2 then y is B2 ELSE
...
if x is An then y is Bn

ELSE is interpreted differently for different implication operators:

Zadeh Max-Min Implication Operator AND

Mamdami Min Implication Operator OR
Larson Product Implication Operator OR

As a first example, consider a fuzzy algorithm that controls a fan's speed. The input is the
crisp value of temperature and the output is a crisp value for the fan speed. Suppose the
fuzzy system is defined as:

if Temperature is Cool then Fan_speed is Low ELSE

if Temperature is Moderate then Fan_speed is Medium ELSE
if Temperature is Hot then Fan_speed is High

37
This system has three fuzzy rules where the antecedent membership functions Cool,
Moderate, Hot and consequent membership functions Low, Medium, High are defined by
the following fuzzy sets over the given universes of discourse:

% Universe of Discourse
x = [0:1:120]; % Temperature
y = [0:1:10]; % Fan Speed

% Temperature
cool_mf = trapzoid(x,[0 0 30 50]);
moderate_mf = triangle(x,[30 55 80]);
hot_mf = trapzoid(x,[60 80 120 120]);
antecedent_mf = [cool_mf;moderate_mf;hot_mf];
plot(x,antecedent_mf)
title('Cool, Moderate and Hot Temperatures')
xlabel('Temperature')
ylabel('Membership')

Cool, Moderate and HotTemperatures

1

0.9

0.8

0.7

0.6
Membership

0.5

0.4

0.3

0.2

0.1

0
0 20 40 60 80 100 120
Temperature

% Fan Speed
low_mf = trapzoid(y,[0 0 2 5]);
medium_mf = trapzoid(y,[2 4 6 8]);
high_mf = trapzoid(y,[5 8 10 10]);
consequent_mf = [low_mf;medium_mf;high_mf];
plot(y,consequent_mf)
title('Low, Medium and High Fan Speeds')
xlabel('Fan Speed')
ylabel('Membership')

38
 Low, Medium and High Fan Speeds
1

0.9

0.8

0.7

0.6
Membership

0.5

0.4

0.3

0.2

0.1

0
0 2 4 6 8 10
Fan Speed

Now that we have the membership functions defined we can perform the five steps of
evaluating fuzzy algorithms:

1. Fuzzify the input.

2. Apply a fuzzy operator.
3. Apply an implication operation.
4. Aggregate the outputs.
5. Defuzzify the output.

First we fuzzify the input. The output of the first step is the degree of fulfillment of each
rule. Suppose the input is Temperature = 72.

temp = 72;
dof1 = cool_mf(find(x==temp));
dof2 = moderate_mf(find(x == temp));
dof3 = hot_mf(find(x == temp));
DOF = [dof1;dof2;dof3]

DOF =
0
0.3200
0.6000

Doing this in matrix notation:

temp=72;
DOF=antecedent_mf(:,find(x==temp))

DOF =
0

39
 0.3200
0.6000

There is no fuzzy operator (AND, OR) since each rule has only one input. Next we apply a
fuzzy implication operation. Suppose we choose the Larson Product implication operation.

consequent1 = product(low_mf,dof1);
consequent3 = product(medium_mf,dof2);
consequent2 = product(high_mf,dof3);
plot(y,[consequent1;consequent2;consequent3])
axis([0 10 0 1.0])
title('Consequent Fuzzy Set')
xlabel('Fan Speed')
ylabel('Membership')

Consequent Fuzzy Set

1

0.9

0.8

0.7

0.6
Membership

0.5

0.4

0.3

0.2

0.1

0
0 2 4 6 8 10
Fan Speed

Or again, in matrix notation:

consequent = product(consequent_mf,DOF);
plot(y,consequent)
axis([0 10 0 1.0])
title('Consequent Fuzzy Set')
xlabel('Fan Speed')
ylabel('Membership')

40
 Consequent Fuzzy Set
1

0.9

0.8

0.7

0.6
Membership

0.5

0.4

0.3

0.2

0.1

0
0 2 4 6 8 10
Fan Speed

Next we need to aggregate the consequent fuzzy sets. We will use the max operator.

Output_mf=max([consequent1;consequent2;consequent3]);
plot(y,Output_mf)
axis([0 10 0 1])
title('Output Fuzzy Set')
xlabel('Fan Speed')
ylabel('Membership')

Output Fuzzy Set

1

0.9

0.8

0.7

0.6
Membership

0.5

0.4

0.3

0.2

0.1

0
0 2 4 6 8 10
Fan Speed

41
Output_mf = max(consequent);
plot(y,Output_mf)
axis([0 10 0 1]);title('Output Fuzzy Set')
xlabel('Fan Speed');ylabel('Membership')

Output Fuzzy Set

1

0.9

0.8

0.7

0.6
Membership

0.5

0.4

0.3

0.2

0.1

0
0 2 4 6 8 10
Fan Speed

Lastly we defuzzify the output set to obtain a crisp value.

output=centroid(y,Output_mf);
c_plot(y,Output_mf,output,'Crisp Output');

Crisp Output is at 7.313

1

0.9

0.8

0.7

0.6

0.5

0.4

0.3

0.2

0.1

0
0 2 4 6 8 10

42
The crisp output of the fuzzy rules states that the fan speed should be set to a value of 7.3
for a temperature of 72 degrees. To see the output for different input temperatures, we
write a loop that covers the input universe of discourse and computes the output for each
input temperature. Note: you must have already run the code fragments that set up the
membership functions and define the universe of discourse to run this example.

outputs=zeros(size([1:1:100]));
for temp=1:1:100
DOF=antecedent_mf(:,find(x==temp)); %Fuzzification
consequent = product(consequent_mf,DOF); %Implication
Output_mf = max(consequent); %Aggregation
output=centroid(y,Output_mf); %Defuzzification
outputs(temp)=output;
end
plot([1:1:100],outputs)
title('Fuzzy System Input Output Relationship')
xlabel('Temperature')
ylabel('Fan Speed')

Fuzzy System Input Output Relationship

9

6
Fan Speed

1
0 20 40 60 80 100
Temperature

We see that the input/output relationship is non-linear. The next chapter will demonstrate
fuzzy tank level control when Fuzzy Operators are included.

43
Chapter 6 Fuzzy Control
Fuzzy control refers to the control of processes through the use of fuzzy linguistic
descriptions. For additional reading on fuzzy control see DeSilva, 1995; Jamshidi, Vadiee
and Ross, 1993; or Kandel and Langholz, 1994.

6.1 Tank Level Fuzzy Control

A tank is filled by means of a valve and continuously drains. The level is measured and
compared to a level setpoint forming a level error. This error is used by a controller to
position the valve to make the measured level equal to the desired level. The setup is
shown below and is used in a laboratory at The University of Tennessee for fuzzy and
neural control experiments.

35"

pre s s ure tra ns duce r

s e rvo va lve
11"

wa te r out wa te r in

This is a nonlinear control problem since the dynamics of the plant are dependent on the
height of level of the water through the square root of the level. There also may be some
non-linearities due to the valve flow characteristics. The following equations model the
process.

44
 Vin  Vout
h  Area  pi * R 2  Ak
Area
Vout  K h K is the resistance in the outlet piping
Vin  f ( u) u is the valve position
f (u)  K h f (u) K h
h   
Ak Ak Ak
  K h  f (u)
hA k

These equations can be used to model the plant in SIMULINK.

WATER TANK MODEL REPRESENTATION

H2O in
(in^3/sec) 1
1 + h'
flow rate Level
Input % open fill rate + (in/sec)
control +
voltage converts fill rate at Tank Level
Sum1 Valve voltage
100% open -K- 1/s +
3.3 to % open
voltage Limited 11 +
H2O out - 1/tank
offset Area Integrator
level off-setSum Drain dynamics
(in^3/sec) (0-36")
(includes sqrt)
Sum

The non-linearities are apparent when linearizing the plant around different operating
levels. This can be done using LINMOD.

[a,b,c,d]=linmod('tank',3,.1732051)
resulting in:
a = -0.0289 b = 1.0 c= 1.0

For different operating levels we have:

for h=1 pole at -0.05
for h=2 pole at -0.0354
for h=3 pole at -0.0289
for h=4 pole at -0.025

This nonlinearity makes control with a PID controller difficult unless gain scheduling is
used. A controller designed to meet certain performance specifications at a low level such
as h=1 may not meet those specifications at a higher level such as h=4. Therefore, a fuzzy
controller may be a viable alternative.

The fuzzy controller described in the book uses two input variables [error, change in error]
to control valve position. The membership functions were chosen to be:

45
Error: nb, nm, z, pm, pb
Change in Error: ps, pm, pb
Valve Position: vh, high, med, low, vl

Where:
nb, nm, z, pm, pb = negative big, negative medium, zero, positive big, positive medium
ps, pm, pb = positive small, positive medium, positive big
vh, high, med, low, vl = very high, high, medium, low, very low

Fifteen fuzzy rules are used to account for each combination of input variables:
1. if (error is nb) AND (del_error is n) then (control is high) (1) ELSE
2. if (error is nb) AND (del_error is ze) then (control is vh) (1) ELSE
3. if (error is nb) AND (del_error is p) then (control is vh) (1) ELSE
4. if (error is ns) AND (del_error is n) then (control is high) (1) ELSE
5. if (error is ns) AND (del_error is ze) then (control is high) (1) ELSE
6. if (error is ns) AND (del_error is p) then (control is med) (1) ELSE
7. if (error is z) AND (del_error is n) then (control is med) (1) ELSE
8. if (error is z) AND (del_error is ze) then (control is med) (1) ELSE
9. if (error is z) AND (del_error is p) then (control is med) (1) ELSE
10. if (error is ps) AND (del_error is n) then (control is med) (1) ELSE
11. if (error is ps) AND (del_error is ze) then (control is low) (1) ELSE
12. if (error is ps) AND (del_error is p) then (control is low) (1) ELSE
13. if (error is pb) AND (del_error is n) then (control is low) (1) ELSE
14. if (error is pb) AND (del_error is ze) then (control is vl) (1) ELSE
15. if (error is pb) AND (del_error is p) then (control is vl) (1)

The membership functions were manually tuned by trial and error to give good controller
performance. Automatic adaptation of membership functions will be discussed in Chapter
13. The resulting membership functions are:

Level_error = [-36:0.1:36];
nb = trapzoid(Level_error,[-36 -36 -10 -5]);
ns = triangle(Level_error,[-10 -2 0]);
z = triangle(Level_error,[-1 0 1]);
ps = triangle(Level_error,[0 2 10]);
pb = trapzoid(Level_error,[5 10 36 36]);
l_error = [nb;ns;z;ps;pb];
plot(Level_error,l_error);
title('Level Error Membership Functions')
xlabel('Level Error')
ylabel('Membership')

46
 Level Error Membership Functions
1

0.9

0.8

0.7

0.6
Membership

0.5

0.4

0.3

0.2

0.1

0
-40 -30 -20 -10 0 10 20 30 40
Level Error

Del_error = [-40:.1:40];
p = trapzoid(Del_error,[-40 -40 -2 0]);
ze = triangle(Del_error,[-1 0 1]);
n = trapzoid(Del_error,[0 2 40 40]);
d_error = [p;ze;n];
plot(Del_error,d_error);
title('Level Rate Membership Functions')
xlabel('Level Rate')
ylabel('Membership')

Level Rate Membership Functions

1

0.9

0.8

0.7

0.6
Membership

0.5

0.4

0.3

0.2

0.1

0
-40 -30 -20 -10 0 10 20 30 40
Level Rate

47
Control = [-4.5:0.05:1];
vh = triangle(Control,[0 1 1]);
high = triangle(Control,[-1 0 1]);
med = triangle(Control,[-3 -2 -1]);
low = triangle(Control,[-4.5 -3.95 -3]);
vl = triangle(Control,[-4.5 -4.5 -3.95]);
control=[vh;high;med;low;vl];
plot(Control,control);
title('Output Voltage Membership Functions')
xlabel('Control Voltage')
ylabel('Membership')

OutputVoltage Membership Functions

1

0.9

0.8

0.7

0.6
Membership

0.5

0.4

0.3

0.2

0.1

0
-5 -4 -3 -2 -1 0 1
Control Voltage

A Mamdami fuzzy system that uses centroid defuzzification will now be created. Test
results show that the fuzzy system performs superior to that of a PID controller. There was
practically no overshoot., and the speed of response was only limited by the inlet supply
pressure and output piping resistance. Suppose the following error and change in error are
input to the fuzzy controller. First, the degree of fulfillments of the antecedent
membership functions are calculated.

error=-8.1;
derror=0.3;
DOF1=interp1(Level_error',l_error',error')';
DOF2=interp1(Del_error',d_error',derror')';

Next, the fuzzy relation operations inherent in the 15 rules are performed.

antecedent_DOF = [min(DOF1(1), DOF2(1))

min(DOF1(1), DOF2(2))
min(DOF1(1), DOF2(3))
min(DOF1(2), DOF2(1))
min(DOF1(2), DOF2(2))

48
min(DOF1(2), DOF2(3))
min(DOF1(3), DOF2(1))
min(DOF1(3), DOF2(2))
min(DOF1(3), DOF2(3))
min(DOF1(4), DOF2(1))
min(DOF1(4), DOF2(2))
min(DOF1(4), DOF2(3))
min(DOF1(5), DOF2(1))
min(DOF1(5), DOF2(2))
min(DOF1(5), DOF2(3))]

antecedent_DOF =
0
0.6200
0.1500
0
0.2375
0.1500
0
0
0
0
0
0
0
0
0

consequent = [control(5,:)
control(5,:)
control(4,:)
control(4,:)
control(4,:)
control(3,:)
control(3,:)
control(3,:)
control(3,:)
control(3,:)
control(2,:)
control(2,:)
control(2,:)
control(1,:)
control(1,:)];

Consequent = product(consequent,antecedent_DOF);
plot(Control,Consequent)
axis([min(Control) max(Control) 0 1.0])
title('Consequent of Fuzzy Rules')
xlabel('Control Voltage')
ylabel('Membership')

49
 Consequent of Fuzzy Rules
1

0.9

0.8

0.7

0.6
Membership

0.5

0.4

0.3

0.2

0.1

0
-4 -3 -2 -1 0 1
Control Voltage

The fuzzy output sets are aggregated to form a single fuzzy output set.

aggregation = max(Consequent);
plot(Control,aggregation)
axis([min(Control) max(Control) 0 1.0])
title('Aggregation of Fuzzy Rule Outputs')
xlabel('Control Voltage')
ylabel('Membership')

Aggregation of Fuzzy Rule Outputs

1

0.9

0.8

0.7

0.6
Membership

0.5

0.4

0.3

0.2

0.1

0
-4 -3 -2 -1 0 1
Control Voltage

50
The output fuzzy set is defuzzified to find the crisp output voltage.

output=centroid(Control,aggregation);
c_plot(Control,aggregation,output,'Crisp Output Value for Voltage')
axis([min(Control) max(Control) 0 1.0])
xlabel('Control Voltage');

Crisp OutputValue for Voltage is at -3.402

1

0.9

0.8

0.7

0.6

0.5

0.4

0.3

0.2

0.1

0
-4 -3 -2 -1 0 1
Control Voltage

For these inputs, a voltage of -3.4 would be sent to the control valve.

Now that we have the five steps of evaluating fuzzy algorithms defined (fuzzification,
apply fuzzy operator, apply implication operation, aggregation and defuzzification), we can
combine them into a function that is called at each controller voltage update. The level
error and change in level error will be passed to the fuzzy controller function and the
command valve actuator voltage will be passed back. This function, named tankctrl(), is
included as an m-file. The universes of discourse and membership functions are initialized
by a MATLAB script named tankinit. These variables are made to be global MATLAB
variables because they need to be used by the fuzzy controller function.

The differential equations that model the tank are contained in a function called
tank_mod.m. It operates by passing to it the current state of the tank (tank level) and the
control valve voltage. It passes back the next state of the tank. A demonstration of the
operation of the tank with its controller is given in the function
tankdemo(initial_level,desired_level). You may try running tankdemo with different initial
and target levels. This function plots out the result of a 40 second simulation, this may take
from 10 seconds to a minute or two depending on the speed of the computer used for the
simulation.

tankdemo(24.3,11.2)

51
The tank and controller are simulated for 40 seconds, please be patient.
Tank Level Response
25

20
Level (in)

15

10
0 5 10 15 20 25 30 35 40
Time (sec)

As you can see, the controller has very good response characteristics. There is very low
steady state error and no overshoot. The speed of response is mostly controlled by the
piping and valve resistances. The first second of the simulation is before feedback occurs,
so disregard that data point.

By changing the membership functions and rules, you can get different response
characteristics. The steady state error is controlled by the width of the zero level error
membership function. Keeping this membership function thin, keeps the steady state error
small.

Chapter 7 Fundamentals of Neural Networks

The MathWorks markets a Neural Networks Toolbox. A description of it can be found at
http://www.mathworks.com/neural.html. Other MATLAB based Neural Network tools are
the NNSYSID Toolbox at http://kalman.iau.dtu.dk/Projects/proj/nnsysid.html and the
NNCTRL toolkit at http://www.iau.dtu.dk/Projects/proj/nnctrl.html. These are freeware
toolkits for system identification and control.

7.1 Artificial Neuron

The standard artificial neuron is a processing element whose output is calculated by
multiplying its inputs by a weight vector, summing the results, and applying an activation
function to the sum.

n 
y  f  xk wk  bk 
 k 1 

52
The following figure depicts an artificial neuron with n inputs.

x1
w1
x2
Inputs
x3 Sum f() Output
wn
xn bias
Artificial Neuron

The activation function could be one of many types. A linear activation function's output is
simply equal to its input:

f ( x)  x

x=[-5:0.1:5];
y=linear(x);
plot(x,y)
title('Linear Activation Function')
xlabel('x')
ylabel('Linear(x)')

Linear Activation Function

5

1
Linear(x)

-1

-2

-3

-4

-5
-5 0 5
x

There are several types on non-linear activation functions. Differentiable, non-linear

activation functions can be used in networks trained with backpropagation. The most
common are the logistic function and the hyperbolic tangent function.

53
 e x  e x
f ( x )  tanh( x )  x  x
e e

Note that the output range of the logistic function is between -1 and 1.

x=[-3:0.1:3];
y=tanh(x);
plot(x,y)
title('Hyperbolic Tangent Activation Function')
xlabel('x')
ylabel('tanh(x)')

Hyperbolic TangentActivation Function

1

0.8

0.6

0.4

0.2
tanh(x)

-0.2

-0.4

-0.6

-0.8

-1
-3 -2 -1 0 1 2 3
x

1
f ( x )  log istic( x ) 
1  exp(   x )

where  is the slope constant. We will always consider  to be one but it can be changed.
Note that the output range of the logistic function is between 0 and 1.

x=[-5:0.1:5];
y=logistic(x);
plot(x,y)
title('Logistic Activation Function')
xlabel('x');ylabel('logistic(x)')

54
 Logistic Activation Function
1

0.9

0.8

0.7

0.6
logistic(x)

0.5

0.4

0.3

0.2

0.1

0
-5 0 5
x

Non-differentiable non-linear activation functions are usually used as outputs of

perceptrons and competitive networks. There are two type: the threshold function's output
is either a 0 or 1 and the signum's output is a -1 or 1.

x=[-5:0.1:5];y=thresh(x);
plot(x,y);title('Thresh Activation Function')
xlabel('x');ylabel('thresh(x)')

Thresh Activation Function

1

0.9

0.8

0.7

0.6
thresh(x)

0.5

0.4

0.3

0.2

0.1

0
-5 0 5
x

x=[-5:0.1:5];

55
y=signum(x);
plot(x,y)
title('Signum Activation Function')
xlabel('x')
ylabel('signum(x)')

Signum Activation Function

1

0.8

0.6

0.4

0.2
signum(x)

-0.2

-0.4

-0.6

-0.8

-1
-5 0 5
x

Note that the activation functions defined above can take a vector as input, and output a
vector by performing the operation on each element of the input vector.

x=[-1 0 1];
linear(x)
logistic(x)
tanh(x)
thresh(x)
signum(x)

ans =
-1 0 1
ans =
0.2689 0.5000 0.7311
ans =
-0.7616 0 0.7616
ans =
0 1 1
ans =
-1 -1 1

The output of a neuron is easily computed by using vector multiplication of the input and
weights, and adding the bias. Suppose you have an input vector x=[2 4 6], and a weight
matrix [.5 .25 .33] with a bias of -0.8. If the activation function is a hyperbolic tangent
function, the output of the artificial neuron defined above is

56
x=[2 4 6]';
w=[0.5 -0.25 0.33];
b=-0.8;
y=tanh(w*x+b)

y =
0.8275

7.2 Single Layer Neural Network

Neurons are grouped into layers and layers are grouped into networks to form highly
interconnected processing structures. An input layer does no processing, it simply sends
the inputs, modified by a weight, to each of the neurons in the next layer. This next layer
can be a hidden layer or the output layer in a single layer design.

A bias is included in the neurons to allow the activation functions to be offset from zero.
One method of implementing a bias is to use a dummy input node with a magnitude of 1.
The weights connecting this dummy node to the next layer are the actual bias values.

Input Output
Layer Layer
W
x0=1

x1
y1
x2
y2
x3
Single Layer Network

Suppose we have a single layer network with three input neurons and two output neurons
as shown above. The outputs would be computed using matrix algebra in either of the two
forms. The second form augments the input matrix with a dummy node and embeds the
bias values into the weight matrix..

Form 1:
 2  
  0.5  0.25 0.33     0.4 
y  tanh w * x  b   tanh   4     1.2 
 0.2  0.75  0.5  
 
6 
 

x=[2 4 6]';
w=[0.5 -0.25 0.33; 0.2 -0.75 -0.5];
b=[0.4 -1.2]';
y=tanh(w*x+b)

y =
0.9830
-1.0000

57
Form 2:
  1 
 
  0.4 0.5  0.25 0.33  2 
y  tanh w * x  tanh   
 1.2 0.2  0.75  0.5 4 
  
  6 

x=[1 2 4 6]';
w=[0.4 0.5 -0.25 0.33; -1.2 0.2 -0.75 -0.5];
y=tanh(w*x)

y =
0.9830
-1.0000

7.3 Rosenblatt's Perceptron

The most simple single layer neuron is the perceptron and was developed by Frank
Rosenblatt [1958]. A perceptron is a neural network composed of a single layer feed-
forward network using threshold activation functions. Feed-forward means that all the
interconnections between the layers propagate forward to the next layer. The figure below
shows a single layer perceptron with two inputs and one output.

Input Neuron Output

x1 w1
Sum y
x2 w2

bias
The simple perceptron uses the threshold activation function with a bias and thus has a
binary output. The binary output perceptron has two possible outputs: 0 and 1. It is trained
by supervised learning and can only classify input patterns that are linearly separable
[Minsky 1969]. The next section gives an example of linearly separable data that the
perceptron can properly classify.

Training is accomplished by initializing the weights and bias to small random values and
then presenting input data to the network. The output (y) is compared to the target output
(t=0 or t=1) and the weights are adapted according to Hebb's training rule [Hebb, 1949]:

"When the synaptic input and the neuron output are both active, the strength of the
connection between the input and the output is enhanced."

This rule can be implemented as:

if y = target w = w; % Correct output, no change.

elseif y = 0 w = w+x; % Target = 1, enhance strengths.
else w = w-x; % Target = 0, reduce strengths.

58
end

The bias is updated as a weight of a dummy node with an input of 1. The function
trainpt1() implements this learning algorithm. It is called with:

[w,b] = trainpt1(x,t,w,b);

Assume the weight and bias values are randomly initialized and the following input and
target output are given.

w = [.3 0.7];
b = [-0.8];
x = [1;-3];
t = [1];

the output is incorrect as shown:

y = thresh([w b]*[x ;1])

y =
0

One learning cycle of the perceptron learning rule results in:

[w,b] = trainpt1(x,t,w,b)
y = thresh([w b]*[x ;1])

w =
1.3000 -2.3000
b =
0.2000
y =
1

As can be seen, the weights are updated and the output now equals the target. Since the
target was equal to 1, the weights corresponding to inputs with positive values were made
stronger. For example, x1=1 and w1 changed from .3 to 1.3. Conversely, x2=-3, and w2
changed from 0.7 to -2.3; it was made more negative since the input was negative. Look at
trainpt1 to see its implementation.

A single perceptron can be used to classify two inputs. For example, if x 1 = [0,1] is to be
classified as a 0 and x2 = [1 -1] is to be classified as a 1, the initial weights and bias are
chosen and the following training routine can be used.

x1=[0 1]';
x2=[1 -1]';
t=[0 1];
w=[-0.1 .8]; b=[-.5];
y1 = thresh([w b]*[x1 ;1])
y2 = thresh([w b]*[x2 ;1])

59
y1 =
1
y2 =
0

Neither output matches the target so we will train the network with first x 1 and then x2.:

[w,b] = trainpt1(x1,t,w,b);
y1 = thresh([w b]*[x1 ;1])
y2 = thresh([w b]*[x2 ;1])
[w,b] = trainpt1(x2,t,w,b);
y1 = thresh([w b]*[x1 ;1])
y2 = thresh([w b]*[x2 ;1])

y1 =
0
y2 =
0
y1 =
0
y2 =
1

The network now correctly classifies the inputs. A better way of performing this training
would be to modify trainpt1 so that it can take a matrix of input patterns such as x =[x 1 x2].
We will call this function trainpt(). Also, a function to simulate a perceptron with the
inputs being a matrix of input patterns will be called percept().

w=[-0.1 .8]; b=[-.5];

y=percept(x,w,b)

y =
0

[w,b] = trainpt(x,t,w,b)
y=percept(x,w,b)

w =
-0.1000 0.8000
b =
-0.5000
y =
0

One training cycle results in the correct classification. This will not always be the case. It
may take several training cycles, which are called epochs, to alter the weights enough to
give the correct outputs. As long as the inputs are linearly separable, the perceptron will
find a decision boundary which correctly divides the inputs. This proof is derived in many
neural network texts and is called the perceptron convergence theorem [Hagan, Demuth
and Beale, 1996]. The decision boundary is formed by the x,y pairs that solve the
following equation:

60
 w*x+b = 0

Let us now look at the decision boundaries before and after training for initial weights that
correctly classify only one pattern.

x1=[0 0]';
x2=[1 -1]';
x=[x1 x2];
t=[0 1];
w=[-0.1 0.8]; b=[-0.5];
plot(x(1,:),x(2,:),'*')
axis([-1.5 1.5 -1.5 1.5]);hold on
X=[-1.5:.5:1.5];
Y=(-b-w(1)*X)./w(2);
plot(X,Y);hold;
title('Original Perceptron Decision Boundary')

Current plot released

Original Perceptron Decision Boundary
1.5

0.5

-0.5

-1

-1.5
-1.5 -1 -0.5 0 0.5 1 1.5

[w,b] = trainpt(x,t,w,b);
y=percept(x,w,b)
plot(x(1,:),x(2,:),'*')
axis([-1.5 1.5 -1.5 1.5]);
hold on
X=[-1.5:.5:1.5]; Y=(-b-w(1)*X)./w(2);
plot(X,Y);
hold
title('Perceptron Decision Boundary After One Epoch')

y =
1 1

61
Current plot released
Perceptron Decision BoundaryAfter One Epoch
1.5

0.5

-0.5

-1

-1.5
-1.5 -1 -0.5 0 0.5 1 1.5

Note that after one epoch, still only one pattern is correctly classified.

[w,b] = trainpt(x,t,w,b);
y=percept(x,w,b)
plot(x(1,:),x(2,:),'*')
axis([-1.5 1.5 -1.5 1.5])
hold on
X=[-1.5:.5:1.5]; Y=(-b-w(1)*X)./w(2);
plot(X,Y)
hold
title('Perceptron Decision Boundary After Two Epochs')

y =
0 1
Current plot released

62
 Perceptron Decision BoundaryAfter Two Epochs
1.5

0.5

-0.5

-1

-1.5
-1.5 -1 -0.5 0 0.5 1 1.5

Note that after two epochs, both patterns are correctly classified.

The perceptron can also be used to classify several linearly separable patterns. The
function percept() will now be modified to train until the patterns are correctly classified or
until 20 epochs.

x=[0 -.3 .5 1;-.4 -.2 1.3 -1.3];

t=[0 0 1 1]
w=[-0.1 0.8]; b=[-0.5];
y=percept(x,w,b)
plot(x(1,1:2),x(2,1:2),'*')
hold on
plot(x(1,3:4),x(2,3:4),'+')
axis([-1.5 1.5 -1.5 1.5])
X=[-1.5:.5:1.5]; Y=(-b-w(1)*X)./w(2);
plot(X,Y)
hold
title('Original Perceptron Decision Boundary')

t =
0 0 1 1
y =
0 0 1 0
Current plot released

63
 Original Perceptron Decision Boundary
1.5

0.5

-0.5

-1

-1.5
-1.5 -1 -0.5 0 0.5 1 1.5

The original weight and bias values misclassifies pattern number 4.

[w,b] = trainpti(x,t,w,b)
t
y=percept(x,w,b)
plot(x(1,1:2),x(2,1:2),'*')
hold on
plot(x(1,3:4),x(2,3:4),'+')
axis([-1.5 1.5 -1.5 1.5])
X=[-1.5:.5:1.5]; Y=(-b-w(1)*X)./w(2);
plot(X,Y)
hold
title('Final Perceptron Decision Boundary')

Solution found in 5 epochs.

w =
2.7000 0.5000
b =
-0.5000
t =
0 0 1 1
y =
0 0 1 1
Current plot released

64
 Final Perceptron Decision Boundary
1.5

0.5

-0.5

-1

-1.5
-1.5 -1 -0.5 0 0.5 1 1.5

After 5 epochs ,all 5 inputs are correctly classified.

7.4 Separation of Linearly Separable Variables

A two input perceptron can separate a plane into two sections because its transfer equation
can be rearranged to form the equation for a line. In a three dimensional problem, the
equation would define a plane and in higher dimensions it would define a hyperplane.

+
+
+

+ o

+ x
o o
o
o

Linear Separability

Note that the decision boundary is always orthogonal to the weight matrix. Suppose we
have a two input perceptron with weights = [1 2] and a bias equal to 1. The decision
boundary is defined as:

65
 wx b 1 1
y x   x   0.5x  0.5
wy wy 2 2

which is orthogonal to the weight vector [1 2]. In the figure below, the more vertical line
is the decision boundary and the more horizontal line is the weight vector extended to meet
the decision boundary.

w=[1 2]; b=[1];

x=[-2.5:.5:2.5]; y=(-b-w(1)*x)./w(2);
plot(x,y)
text(.5,-.65,'Decision Boundary');
grid
title('Perceptron Decision Boundary')
xlabel('x');ylabel('y');
hold on
plot([w(1) -w(1)],[w(2) -w(2)])
text(.5,.7,'Weight Vector');
axis([-2 2 -2 2]);
hold

Current plot released

Perceptron Decision Boundary
2

1.5

1
WeightVector
0.5

0
y

-0.5
Decision Boundary
-1

-1.5

-2
-2 -1.5 -1 -0.5 0 0.5 1 1.5 2
x

If the inputs need to be classified into three or four classes, a two neuron perceptron can be
used. The outputs can be coded to one of the pattern classifications, and two lines can
separate the classification regions. In the following example, each of the inputs will be
classified into one of the three binary classes: [0 1], [1 0], and [0 0]. . The weights can be
defined as a matrix, the bias is a vector, and two lines are formed.

x=[0 -.3 .5 1;-.4 -.2 1.3 -1.3]; % Input vectors

t=[0 0 1 1; 0 1 0 0] % Target vectors

66
w=[-0.1 0.8; 0.2 -0.9]; b=[-0.5;0.3]; % Weights and biases
y=percept(x,w,b) % Initial classifications

t =
0 0 1 1
0 1 0 0
y =
0 0 1 0
1 1 0 1

Two of the patterns (t1 and t4) are incorrectly classified.

[w,b] = trainpti(x,t,w,b)
t
y=percept(x,w,b)

Solution found in 6 epochs.

w =
2.7000 0.5000
-2.2000 -0.7000
b =
-0.5000
-0.7000
t =
0 0 1 1
0 1 0 0
y =
0 0 1 1
0 1 0 0

The perceptron learning algorithm was able to define lines that separated the input patterns
into their target classifications. This is shown in the following figure.

plot(x(1,1),x(2,1),'*')
hold on
plot(x(1,2),x(2,2),'+')
plot(x(1,3:4),x(2,3:4),'o')
axis([-1.5 1.5 -1.5 1.5])
X1=[-1.5:.5:1.5]; Y1=(-b(1)-w(1,1)*X1)./w(1,2);
plot(X1,Y1)
X2=[-1.5:.5:1.5]; Y2=(-b(2)-w(2,1)*X2)./w(2,2);
plot(X2,Y2)
hold
title('Perceptron Decision Boundaries')
text(-1,.5,'A'); text(-.3,.5,'B'); text(.5,.5,'C');

Current plot released

67
 Perceptron Decision Boundaries
1.5

0.5 A B C

-0.5

-1

-1.5
-1.5 -1 -0.5 0 0.5 1 1.5

The simple single layer perceptron can separate linearly separable inputs but will fail if the
inputs are not linearly separable. One such example of linearly non-separable inputs is the
exclusive-or (XOR) problem. Linearly non-separable patterns, such as those of the XOR
problem, can be separated with multilayer networks. A two input, one hidden layer of two
neurons, one output network defines two lines in the two dimensional space. These two
lines can classify points into groups that are not linearly separable with one line.

Perceptrons are limited in that they can only separate linearly separable patterns and that
they have a binary output. Many of the limitations of the simple perceptron can be solved
with multi-layer architectures, non-binary activation functions, and more complex training
algorithms. Multilayer perceptrons with threshold activation functions are not that useful
because they can't be trained with the perceptron learning rule and since the functions are
not differentiable, they can't be trained with gradient descent algorithms. Although if the
first layer is randomly initialized, the second layer may be trained to classify linearly non-
separable classes (MATLAB Neural Networks Toolbox).

The Adaline (adaptive linear) network, also called a Widrow Hoff network, developed by
Bernard Widrow and Marcian Hoff [1960], is composed of one layer of linear transfer
functions, as opposed to threshold transfer functions, and thus has a continuous valued
output. It is trained with supervised training by the Delta Rule which will be discussed in
Chapter 8.

7.5 Multilayer Neural Network

Neural networks with one or more hidden layers are called multilayer neural networks or
multilayer perceptrons (MLP). Normally, each hidden layer of a network uses the same
type of activation function. The output activation function is either sigmoidal or linear.
The output of a sigmoidal neuron is constrained [-1 1] for a hyperbolic tangent neuron and

68
[0 1] for a logarithmic sigmoidal neuron. A linear output neuron is not constrained and can
output a value of any magnitude.

It has been proven that the standard feedforward multilayer perceptron (MLP) with a single
non-linear hidden layer (sigmoidal neurons) can approximate any continuous function to
any desired degree of accuracy over a compact set [Cybenko 1989, Hornick 1989,
Funahashi 1989, and others], thus the MLP has been termed a universal approximator.
Haykin [1994] gives a very concise overview of the research leading to this conclusion.

What this proof does not say is how many hidden layer neurons would be needed, and if
the weight matrix that corresponds to that error goal can be found. It may be
computationally limiting to train such a network since the size of the network is dependent
on the complexity of the function and the range of interest.

For example, a simple non-linear function:

f ( x)  x 1  x 2

requires many nodes if the ranges of x1 and x2 are very large.

In order to be a universal approximation, the hidden layer of a multilayer perceptron is

usually a sigmoidal neuron. A linear hidden layer is rarely used because any two linear
transformations
h  W1 x
y  W2 h
where W1 and W2 are transformation matrices that transform the mx1 vector x to h and h
to y, can be represented as one linear transformation
W  W1 W2
y  W1 W2 x  W x
where W is a matrix that performs the transformation from x to y. The following figure
shows the general multilayer neural network architecture.

Input Hidden Output

Layer Layer Layer
W1 h0=1 W2
x0=1

h1 y1
x1 .
h2 .
x2 .
. hn yr
xm
Multilayer Network

The output for a single hidden layer MLP with three inputs, three hidden hyperbolic
tangent neurons and two linear output neurons can be calculated using matrix algebra.

69
y  w 2 * tanhw 1 * x  b 1   b 2
  02.  07. 09.  2  05. 
 05.  025 .  
. 033       04. 
  tanh   2.3 14.  21.  4   02.    
02.  075
.  05.     12. 
 102.  102. 03.  6  08. 
By using dummy nodes and embedding the biases into the weight matrix we can use a
more compact notation:

y  w 2 *[1 ; tanhw 1 *[1 ; x]]

 1 
   1  
 0.4 0.5  0.25 0.33  
   0.5 0.2  0.7 0.9    
 tanh  0.2  2 
 1.2 0.2 
 0.75  0.5   2.3 1.4  2.1   
4  
   0.8 10.2  10.2 0.3    

   6  


x=[2 4 6]';
w1=[0.2 -0.7 0.9; 2.3 1.4 -2.1; 10.2 -10.2 0.3];
w2=[0.5 -0.25 0.33; 0.2 -0.75 -0.5];
b1=[0.5 0.2 -0.8]';
b2=[0.4 -1.2]';
y=w2*tanh(w1*x+b1)+b2

y =
0.8130
0.2314

or

x=[2 4 6]';
w1=[0.5 0.2 -0.7 0.9; 0.2 2.3 1.4 -2.1; -0.8 10.2 -10.2 0.3];
w2=[0.4 0.5 -0.25 0.33; -1.2 0.2 -0.75 -0.5];
y=w2*[1;tanh(w1*[1;x])]

y =
0.8130
0.2314

70
Chapter 8 Backpropagation and Related Training Paradigms
Backpropagation (BP) is a general method for iteratively solving for a multilayer
perceptrons' weights and biases. It uses a steepest descent technique which is very stable
when a small learning rate is used, but has slow convergence properties. Several methods
for speeding up BP have been used including momentum and a variable learning rate.

Other methods of solving for the weights and biases involve more complex algorithms.
Many of these techniques are based on Newton's method, but practical implementations
usually use a combination of Newton's method and steepest descent. The most popular
second order method is the Levenberg [1944] and Marquardt [1963] technique. The scaled
conjugate gradient technique [Moller 1993] is also very popular because it less memory
intensive than Levenberg Marquardt and more powerful than gradient descent techniques.
These methods will not be implemented in this supplement although Levenberg Marquardt
is implemented in The MathWork's Neural Network Toolbox..

8.1 Derivative of the Activation Functions

The chain rule that is used in deriving the BP algorithm necessitates the computation of the
derivative of the activation functions. For logistic, hyperbolic tangent, and linear
functions; the derivatives are as follows:

Linear ( I )  I  ( I )  1
1
Logistic ( I )   ( I )  ( I )1  ( I )
1  e I
eI  e I
Tanh ( I )  I I  ( I )   1  ( I ) 2 
e e

Alpha is called the slope parameter. Usually alpha is chosen to be 1 but other slopes may
be used. This formulation for the derivative makes the computation of the gradient more
efficient since the output (I) has already been calculated in the forward pass. A plot of
the logistic function and its derivative follows.

x=[-5:.1:5];
y=1./(1+exp(-x));
dy=y.*(1-y);
subplot(2,1,1)
plot(x,y)
title('Logistic Function')
subplot(2,1,2)
plot(x,dy)
title('Derivative of Logistic Function')

71
 Logistic Function
1

0.5

0
-5 0 5
Derivative of Logistic Function
0.3

0.2

0.1

0
-5 0 5

As can be seen, the highest gradient is at I=0. Since the speed of learning is partially
dependent on the size of the gradient, the internal activation of all neurons should be kept
small to expedite training. This is why we scale the inputs and initialize weights to small
random values.

Since there is no logistic function in MATLAB, we will write a m-file function to perform
the computation.

function [y] = logistic(x);

% [y] = logistic(x)
% Returns the result of applying the logistic operator to the input x.
% x : the input
% y : the result
y=1./(1+exp(-x));

8.2 Backpropagation for a Multilayer Neural Network

The backpropagation algorithm is an optimization technique designed to minimize an
objective function [Werbos 1974]. The most commonly used objective function is the
squared error which is defined as:
2
 2  Tq   qk .

The network syntax is defined as in the following figure:

72
 wp1.k I1.k 1.k Comp T1

xh whp.j Ip.j p.j wp2.k I2.k 2.k Comp T2

wpr.k Ir.k r.k Comp Tr

Input Layer (i) Hidden Layer (j) Output Layer (k) 

Index h Index p Index q
m Nodes n Nodes r Nodes

In this notation, the layers are labeled i, j, and k; with m, n, and r neurons respectively; and
the neurons in each layer are indexed h, p, and q respectively.

x = input value
T = target output value
w = weight value
I = internal activation
 = neuron output
 = error term

The outputs for a two layer network with both layers using a logistic activation function are
calculated by the equation:


  logistic w2 * logistic( w1 * x  b1)  b2 
where: w1 = first layer weight matrix
w2 = second layer weight matrix
b1 = first layer bias vector
b2 = second layer bias vector

The input vector can be augmented with a dummy node representing the bias input. This
dummy input of 1 is multiplied by a weight corresponding to the bias value. This results in
a more compact representation of the above equation:

  1 
  logistic  W2 *  
 logistic( W1 * X )  

where X = [1 x]' % Augmented input vector.

W1 = [b1 w1]
W2 = [b2 w2]

Note that a dummy hidden node (=1) also needs to be inserted into the equation.

73
For a two input network with two hidden nodes and one output node we have:

1
  b11 w11 w21 
x   x1  W1    
W 2  b2 w11 w12 
 x2  b12 w12 w22 

As an example, consider a network that has 2 inputs, one hidden layer of 2 logistic neurons,
and 1 logistic output neuron (same as in the text). After we define the initial weight and
bias matrices we combine them to be used in the MATLAB code and calculate the output
value for the initial weights.

x = [0.4;0.7]; % rows = # of inputs = 2

% columns = # of patterns = 1
w1 = [0.1 -0.2; 0.4 0.2]; % rows = # of hidden nodes = 2
% columns = # of inputs = 2
w2 = [0.2 -0.5]; % rows = # of outputs = 1
% columns = # of hidden nodes = 2
b1=[-0.5;-0.2]; % rows = number of hidden nodes = 2
b2=[-0.6]; % rows = number of output nodes = 1

X = [1;x] % Augmented input vector.

W1 = [b1 w1]
W2 = [b2 w2]
output=logistic(W2*[1;logistic(W1*X)])

X =
1.0000
0.4000
0.7000
W1 =
-0.5000 0.1000 -0.2000
-0.2000 0.4000 0.2000
W2 =
-0.6000 0.2000 -0.5000
output =
0.3118

8.2.1 Weight Updates

The output layer weights are changed in proportion to the negative gradient of the squared
error with respect to the weights. These weight changes can be calculated using the chain
rule. The following is the derivation for a two layer network with each layer having
logistic activation functions. Note that the target outputs can only have a range of [0 1] for
a network with a logistic output layer.

74
  2
w pq .k   p.q
 w pq .k
 2   q .k  I q .k
  p.q   
  q .k  I q .k  w pq .k

  
  p.q    2 Tq   q .k   q .k 1   q .k   p. j 
  p.q   pq .k   p. j
and
 pq .k   
 2 Tq   q .k  q .k 1   q .k 
The weight update equation for the output neurons is:

w pq .k ( N  1)  w pq .k ( N )   p.q   pq .k   p. j

The output of the hidden layer of the above network is pj=h=[0.48 0.57]. The target
output is T = [0.7]. The update for the output layer weights is calculated by first
propagating forward through the network to calculate the error terms:

h = logistic(W1*X); % Hidden node output.

H = [1;h]; % Augmented hidden node output.
t = [0.1]; % Target output.
Out_err = t-logistic(W2*[1;logistic(W1*X)])

Out_err =
-0.2118

Next, the gradient vector for the output weight matrix is calculated.

output=logistic(W2*[1;logistic(W1*X)])
delta2=output.*(1-output).*Out_err % Derivative of logistic function.

output =
0.3118
delta2 =
-0.0455

And lastly, the weights are updated with the learning rate  =0.5.

lr = 0.5;
del_W2 = 2*lr*H'*delta2 % Change in weight.
new_W2 = W2+del_W2 % Weight update.

del_W2 =
-0.0455 -0.0161 -0.0239
new_W2 =
-0.6455 0.1839 -0.5239

Out_err = t-logistic(new_W2*[1;logistic(W1*X)]) % New output error)

75
Out_err =
-0.1983

We see that by updating the output weight matrix for one iteration of training, the error is
reduced from 0.2118 to 0.1983.

8.2.2 Hidden Layer Weight Updates

The hidden layer outputs have no target values. Therefore, a procedure is used to
backpropagate the output layer errors to the hidden layer neurons in order to modify their
weights to minimize the error. To accomplish this, we start with the equation for the
gradient with respect to the weights and use the chain rule.
 2
whp. j   h . p
 whp. j
r
 2
  h . p w q 1 hp. j

r
  q 2   q .k  I q .k   p. j  I p. j
  h . p  q 1

  q . k

 I q . k

  p . j

 I p . j

 whp. j

 q 2
  q .k 
   2 Tq   q .k 
  q .k
 I q .k 
  q .k 1   q .k 
 I q .k
 w pq .k
  p. j
  p. j
 I p. j 
  p. j 1   p. j 
 I p. j
 xh
 whp. j

resulting in:
 2
     
r
   2 Tq   q .k    q .k 1   q .k  w pq .k    p. j 1   p. j xh
 whp. j q 1

 
r
   pq .k  w pq .k    p. j 1   p. j xh
q 1

 p . j
hp. j   pq .k w pq .k
 I p. j
whp . j ( N  1)  whp . j ( N )  hp xhhp . j

First we must backpropagate the gradient terms back to the hidden layer:

76
[numout,numhid]=size(W2);
delta1=delta2.*h.*(1-h).*W2(:,2:numhid)'

delta1 =
-0.0021
0.0057

Now we calculate the hidden layer weight change. Note that we don't propagate back
through the dummy node.

del_W1 = 2*lr*delta1*X'
new_W1 = W1+del_W1

del_W1 =
-0.0021 -0.0008 -0.0015
0.0057 0.0023 0.0040
new_W1 =
-0.5021 0.0992 -0.2015
-0.1943 0.4023 0.2040

Now we calculate the new output value.

output = logistic(new_W2*[1;logistic(new_W1*X)])

output =
0.2980

The new output is 0.298 which is closer to the target of 0.1 than was the original output of
0.3118. The magnitude of the learning rate affects the convergence and stability of the
training. This will be discussed in greater detail in the adaptive learning rate section.

8.2.3 Batch Training

The type of training used in the previous section is called sequential training. During
sequential training, the weights are updated after each presentation of a pattern. This
method may be more stochastic when the patterns are chosen randomly and may reduce the
chance of getting stuck in a local minima. During batch training all of the training patterns
are processed before a weight update is made. Suppose the training set consists of four
patterns (z=4). Now we have four output patterns from the hidden layer of the network and
four target outputs.

x = [0.4 0.8 1.3 -1.3;0.7 0.9 1.8 -0.9];

t = [0.1 0.3 0.6 0.2];
[inputs,patterns] = size(x);
[outputs,patterns] = size(t);
W1 = [0.1 -0.2 0.1; 0.4 0.2 0.9]; % rows = # of hidden nodes = 2
% columns = # of inputs +1 = 3
W2 = [0.2 -0.5 0.1]; % rows = # of outputs = 1
% columns = # of hidden nodes+1 = 3
X = [ones(1,patterns); x]; % Augment with bias dummy node.
h = logistic(W1*X);

77
H = [ones(1,patterns);h];
e = t-logistic(W2*H)

e =
-0.4035 -0.2065 0.0904 -0.2876

The sum of squared error is:

SSE = sum(sum(e.^2))

SSE =
0.2963

Next, the gradient vector is calculated:

output = logistic(W2*H)
delta2 = output.*(1-output).*e

output =
0.5035 0.5065 0.5096 0.4876
delta2 =
-0.1009 -0.0516 0.0226 -0.0719

And lastly, the weights are updated with a learning rate  =0.5:

lr = 0.5;
del_W2 = 2*lr* delta2*H'
new_W2 = W2+ del_W2

del_W2 =
-0.2017 -0.1082 -0.1208
new_W2 =
-0.0017 -0.6082 -0.0208

The new sum of squared error is calculated as:

e = t- logistic(new_W2*H);
SSE = sum(sum(e.^2))

SSE =
0.1926

The SSE has been reduced from 0.2963 to 0.1926 by just changing the output layer weights
and biases.

To change the hidden layer weight matrix we must backpropagate the gradient terms back
to the hidden layer. Note that we can't backpropagate through a dummy node, so only the
weight portion of W2 is used.
[numout,numhidb] = size(W2);
delta1 = h.*(1-h).*(W2(:,2:numhidb)'*delta2)

78
delta1 =
0.0126 0.0065 -0.0028 0.0088
-0.0019 -0.0008 0.0002 -0.0016

Now we calculate the hidden layer weight change.

del_W1 = 2*lr*delta1*X'
new_W1 = W1+del_W1

del_W1 =
0.0250 -0.0049 0.0016
-0.0041 0.0009 -0.0003
new_W1 =
0.1250 -0.2049 0.1016
0.3959 0.2009 0.8997

h = logistic(new_W1*X);
H = [ones(1,patterns);h];
e = t-logistic(new_W2*H);
SSE = sum(sum(e.^2))

SSE =
0.1917

The new SSE is 0.1917 which is less than the SSE of 0.1926 so the change in hidden layer
weights reduced the SSE slightly more.

8.2.4 Adaptive Learning Rate

In the previous examples a fixed learning rate was used. When training a neural network
iteratively, it is more efficient to use an adaptive learning rate. The learning rate can be
thought of as the size of a step down the error gradient. If very small steps are taken, you
are guaranteed to fine an error minimum, but this may take a very long time. Larger steps
may result in unstable learning since you may step over a minima. To speed training and
still have stability, a heuristic method is used to determine the step size.

The heuristic rule states:

If training is "went well" (error decreased) then increase the step size.
lr=lr*1.1
If training is "poor" (error increased) then decrease the step size.
lr=lr*0.5
Only update the weights if the error decreased.

Using an adaptive learning rate allows the training procedure to quickly move across large
error plateaus and slowly descend through tortuous error paths. This results in training that
is somewhat optimized to increase learning speed while remaining stable.

79
8.2.5 The Backpropagation Training Cycle
The training procedure discussed above is applied iteratively for a certain number of cycles
or until a specified error goal is met. Before starting training, weights are initialized to
small random values and inputs are scaled to small values of similar magnitude to reduce
the chance of prematurely saturating the sigmoidal neurons and thus slowing training.
Input scaling and weight initialization will be covered in subsequent sections.

x = [0.4 0.8 1.3 -1.3;0.7 0.9 1.8 -0.9];

t = [0.1 0.3 0.6 0.2];
[inputs,patterns] = size(x);
[outputs,patterns] = size(t);
hidden=6;
W1=0.1*ones(hidden,inputs+1); % Initialize to matrix of 0.1's.
W2=0.1*ones(outputs,hidden+1); % Initialize to matrix of 0.1's.
maxcycles=200;SSE_Goal=0.1;
lr=0.5;SSE=zeros(1,maxcycles);
X=[ones(1,patterns); x]; % Augment inputs with bias dummy node.
for i=1:maxcycles
h = logistic(W1*X);
H=[ones(1,patterns);h];
e=t-logistic(W2*H);
SSE(i)= sum(sum(e.^2));
if SSE(i)<SSE_Goal; break;end
output = logistic(W2*H);
delta2= output.*(1-output).*e;
del_W2= 2*lr* delta2*H';
W2 = W2+ del_W2;
delta1 = h.*(1-h).*(W2(:,2:hidden+1)'*delta2);
del_W1 = 2*lr*delta1*X';
W1 = W1+del_W1;
end;clf
semilogy(nonzeros(SSE));
title('Backpropagation Training');
xlabel('Cycles');ylabel('Sum of Squared Error')
if i<200;fprintf('Error goal reached in %i cycles.',i);end

Error goal reached in 116 cycles.

80
 0
Backpropagation Training
10
Sum of Squared Error

-1
10
0 20 40 60 80 100 120
Cycles

You can try different numbers of hidden nodes in the above example. The relationship
between the number of hidden nodes and the cycles to reach the error goal is shown below.
Note that the weights are usually initialized to random numbers as discussed in section 8.3.
When the weights are randomly chosen, the number of training cycles varies. This is due
to the different initial position on the error surface. In fact, sometimes a network will not
train to a desired error goal with one set of initial weights, due to getting trapped in a local
minima, but will train with a different set of initial weights.

Number of Hidden Nodes Training Cycles to Error Goal

1 106
2 95
3 97
4 102
5 109
6 116

Each training set will have its own relationship between training cycles and the number of
hidden nodes. The results shown above are fairly typical. After a point where enough free
parameters are given to the network to model the function, the addition of hidden nodes
complicates the error surface and the number of training cycles may increase.

8.3 Scaling Input Vectors

Training data is scaled for two major reasons. First, input data is usually scaled to give
each input equal importance and to prevent premature saturation of sigmoidal activation
functions. Secondly, output or target data is scaled if the output activation functions have a
limited range and the unscaled targets do not match that range.

81
There are two popular types of input scaling: linear scaling and z-score scaling. Linearly
scaling transforms the data into a new range which is usually 0.1 to 0.9. If the training
patterns are in a form such that the columns are inputs and the rows are patterns, a
MATLAB function to perform linear scaling is:

function [y,slope,int]=scale(x,slope,int)
% [x,m,b]=scale(x,m,b)
%
% Linear scale the data between .1 and .9
%
% y = m*x + b
%
% x = data
% m = slope
% b = y intercept
%
[nrows,ncols]=size(x);

if nargin == 1
del = max(x)-min(x); % calculate slope and intercept
slope = .8./del;
int = .1 - slope.*min(x);
end

y = (ones(nrows,1)*slope).*x + ones(nrows,1)*int;

The function returns the scaled inputs y and the scale parameters: slope and int. Each
column of inputs has a maximum and minimum value of 0.9 and 0.1 respectively. The
scaling parameters are returned so that other input data may be transformed using the same
terms. A network that is trained with scaled inputs must always have its inputs scaled
using the same scaling parameters.

This scaling function can also be used for scaling target values. Outputs are usually scaled
to 0.9 to 0.1 when logistic output activation functions are used. This keeps the training
algorithm from trying to force outputs beyond the range of the function.

Another method of scaling, called z-score or mean center unit variance scaling is also
frequently used. This method subtracts the mean of each input from each column and then
divides by the variance. This centers all the patterns of each data type around 0 and gives
them a unit variance. The MATLAB function to perform z-score scaling is:

function [y,meanval,stdval] = zscore(x, meanaval,stdval)

%
% [y,mean,std] = zscore(x, mean_in,std_in)
%
% Mean center the data and scale to unit variance.

82
% If number of inputs is one, calculate the mean and standard deviation.
% If the number if inputs is three, use the calculated mean and SD.
%
[nrows,ncols]=size(x);

if nargin == 1
meanval = mean(x); % calculate mean values
end

y = x - ones(nrows,1)*meanval; % subtract off mean

if nargin == 1
stdval = std(y); % calculate the SD
end

y = y ./ (ones(nrows,1)*stdval); % normalize to unit variance

An example of the z-score scaling function is:

x=[1 2;30 21;-1 -10;8 34]

[y,slope, int]=scale(x)
[y,meanval,stdval]=zscore(x)

x =
1 2
30 21
-1 -10
8 34
y =
0.1516 0.3182
0.9000 0.6636
0.1000 0.1000
0.3323 0.9000
slope =
0.0258 0.0182
int =
0.1258 0.2818
y =
-0.5986 -0.4983
1.4436 0.4727
-0.7394 -1.1115
-0.1056 1.1370
meanval =
9.5000 11.7500
stdval =
14.2009 19.5683

If a network is trained with scaled data and new data is presented to the network, it must
first be scaled using the same scaling factors. In this case, the scaling functions are called
with three variables and only the scaled data is passed back.

83
x_new=[-2 4;-.3 12; 9 -10]
[y]=scale(x_new, slope, int)
[y]=zscore(x_new,meanval,stdval)

x_new =
-2.0000 4.0000
-0.3000 12.0000
9.0000 -10.0000
y =
0.0742 0.3545
0.1181 0.5000
0.3581 0.1000
y =
-0.8098 -0.3960
-0.6901 0.0128
-0.0352 -1.1115

8.4 Initializing Weights

As mentioned above, the initial weights should be selected to be small random values in
order to prevent premature saturation of the sigmoidal activation functions. The most
common method is to use the random number generator and pass it the number of inputs
plus 1 and the number of hidden nodes for the first hidden layer weight matrix W1 and
pass it the number of outputs and hidden nodes plus 1 for the output weight matrix W2.
One is added to the number of inputs in W1 and to hidden in W2 to account for the bias.
To make the weights somewhat smaller, the resulting random weight matrix is multiplied
by 0.5.

W1=0.5*randn(2,3)

W1 =
0.5825 0.0375 -0.3483
0.3134 0.1758 0.8481

We are trying to limit the internal activation of the neurons during training to a high
gradient region. This region is between -2.5 and 2.5 for a hyperbolic tangent neuron and -5
to +5 for a logistic function.

plot([-8:.1:8], logistic([-8:.1:8]))
title('Logistic Activation Function')

84
 Logistic Activation Function
1

0.9

0.8

0.7

0.6

0.5

0.4

0.3

0.2

0.1

0
-8 -6 -4 -2 0 2 4 6 8

The sum of the inputs times their weights should be in this high gradient region for
efficient training. Scaling the inputs to small values helps, but the weights should also be
made small, random, and centered around 0.

8.5 Creating a MATLAB Function for Backpropagation

In this section, a MATLAB script will be discussed that performs the necessary operations
to define and train a multilayer perceptron with a backpropagation algorithm. Up to this
point, the two layer networks used logistic activation functions in each layer. This limits
the network output to the interval [0 1]. Since most problems have targets outside of this
range, the training function backprop() will use a linear output layer that allows targets of
any magnitude to be reached.

The backpropagation MATLAB script that sets up the network architecture and training
parameters is called bptrain. To use this script you must first have training data (x,t) saved
in a file (data.mat). The following defines the format for these data:

Variable Description Rows Columns

x Input data Number of inputs Number of patterns
t Target data Number of outputs Number of patterns

An example of creating and saving a training set is:

x=[0:1:10];
t=2*x - 0.21*x.^2;
save data8 x t

This will create training data to train a network to approximate the function

85
 y  2 x1  0.21x12

over the interval [0 10] and store in binary format in a file named data8.mat. The
MATLAB script, bptrain, asks for the name of the file containing the training data, the
number of hidden neurons, and the type of scaling to use. It also asks if the default error
tolerance, maximum number of cycles, and initial learning rate is acceptable. If they are,
the function backprop() is called and the network is trained. After training the weights,
biases, and scaling parameters are saved in a file called weights.mat. The following is a
diary of running the script bptrain on the training data defined above.

EDU» bptrain

Enter filename of input/output data vectors: data8

How many neurons in the hidden layer? 20

Input scaling method zscore=z, linear=l, none=n ?[z,l,n]:n

The default variables are:

Output error tolerence (RMS per output term) = .1

Maximum number of training cycles = 5000.
The initial learning rate is = 0.1.

Are you satisfied with these selections? [y,n]:y

This network has:

1 input neurons
20 neurons in the hidden layer
1 output neurons

There are 11 input/output pairs in this training set.

*** BP Training complete, error goal not met!

*** RMS = 1.780286e-001

86
 2 Root Mean Squared Error
10

1
10

0
10

-1
10
0 1000 2000 3000 4000 5000
Learning Rate
0.08

0.06

0.04
0.02

0
0 1000 2000 3000 4000 5000
Cycles

In this example, the error goal of 0.1 was not met in 8000 cycles; the final network error
was 0.17. Note that this error is a root mean squared error rather than a sum of squared
error. The RMS error is not dependent on the number of outputs and the number of
training patterns. It is therefore more intuitive. It can be thought of as an average error per
output rather than the total error over all outputs and training patterns.

After we train a network we usually want to test it. To test the network, we define a test
set of input/output patterns of the function that was used to train the network. Since some
of these patterns were not used to train the network, this checks for generalization.
Generalization is the ability of a network to give the correct output for an input that was
not in the training set. Networks are not expected to generalize outside of the training
space and no confidence should be given to outputs generated from data outside of the
training data.

load weights8
x=[0:.1:10];
t=2*x - 0.21*x.^2;
output = W2*[ones(size(x));logistic(W1*[ones(size(x));x])];
plot(x,t,x,output)
title('Function Approximation Verification')
xlabel('Input')
ylabel('Output')

87
 Function Approximation Verification
5

3
Output

-1
0 2 4 6 8 10
Input

The network does a good job of learning the functional relationship between the inputs and
outputs. It also generalizes well. Training longer to a lower error goal would improve the
network performance.

8.6 Backpropagation Example

In this example a neural network is trained to recognize the letters of the alphabet. The
first 16 letters (A through P) are defined on a 5x7 template and are each stored as a vector
of length 35 in the data file letters.mat. The data file contains an input matrix x (size = 35
by 16) and a target matrix t (size = 4 by 16). The entries in a column of the t matrix are a
binary coding of the letter of the alphabet in the corresponding column of x. The columns
in the x matrix are the indices of the filled in boxes of the 5x7 template. A function
letgph() displays the letter on the template. For example, to plot the letter A which is the
first letter of the alphabet and identified by t=[0 0 0 0], we load the data file and plot the
first column of x.

load('letters')
t(:,1)'
letgph(x(:,1));

ans =
0 0 0 0

88
 7

1 2 3 4 5

We will now train a neural network to identify a letter. The network has 35 inputs
corresponding to the boxes in the template and has 4 outputs corresponding to the binary
code of the letter. Since the outputs are binary, we can use a logistic output layer. The
function bprop2 has a logistic/logistic architecture. We will use a beginning learning rate
of 0.5, train to a maximum of 5000 cycles and a root mean squared error goal of 0.05. This
may take a few minutes.

load letters
W1=0.5*randn(10,36); % Initialize output layer weight matrix.
W2=0.5*randn(4,11); % Initialize hidden layer weight matrix.
[W1 W2 RMS]=bprop2(x,t,W1,W2,.05,.1,5000);
semilogy(RMS);
title('Backpropagation Training');
xlabel('Cycles');
ylabel('Root Mean Squared Error')

89
 0
Backpropagation Training
10
Root Mean Squared Error

-1
10

-2
10
0 20 40 60 80 100 120 140 160
Cycles

The trained network is saved in a file weights_l. We can now use the trained network to
identify an input letter. For example, presenting the network with several letters resulted
in:

load weight_l;
output0 = logistic(W2*[1;logistic(W1*[1;x(:,1)])])'
output1 = logistic(W2*[1;logistic(W1*[1;x(:,2)])])'
output7 = logistic(W2*[1;logistic(W1*[1;x(:,8)])])'
output12 = logistic(W2*[1;logistic(W1*[1;x(:,13)])])'

output0 =
0.0188 0.0595 0.0054 0.0443
output1 =
0.0239 0.0433 0.0607 0.9812
output7 =
0.0590 0.9872 0.9620 0.9536
output12 =
0.9775 0.9619 0.0531 0.0555

The network correctly identifies each of the test cases. You can verify this by comparing
each output with its binary equivalent. For example, output7 should be [0 1 1 1], which is
very close to its actual output. One may want to make the target outputs be in the range of
[.1 .9] because outputs of 0 and 1.0 are not obtainable and may force the weights to very
large values.

A neural network's ability to generalize is found in its ability to give a correct response to
an input that was not in the training set. For example, a noisy input of an A may look like:

a=[0 0 1 0 0 0 0 0 1 0 1 0 0 0 1 1 1 1 1 1 1 0 0 0 1 1 0 0 0 1 1 0 0 1
1]';

90
letgph(a);

1 2 3 4 5

Presenting the network with this input results in:

OutputA = logistic(W2*[1;logistic(W1*[1;a])])'

OutputA =
0.0165 0.1135 0.0297 0.0161

This output is very close to the binary pattern [0 0 0 0] which designates an 'A'. This show
the networks ability to generalize, and more specifically, its tolerance to noise.

Chapter 9 Competitive, Associative and Other Special Neural Networks

9.1 Hebbian Learning

Recall from Section 7.3 that Hebb's training rule states:

"When the synaptic input and the neuron output are both active, the strength of the
connection between the input and the output is enhanced."

There are several methods of implementing a Hebbian learning rule, a supervised form is
used in the perceptron learning rule of Chapter 7. This chapter explores the
implementation of unsupervised learning rules and begins with an implementation of
Hebb's rule. An unsupervised learning rule is one in which no target outputs are given.

If the output of the single layer network is active when the input is active, the weight
connecting the two active nodes is enhanced. This allows the network to associate

91
relationships between inputs and outputs, hence the name associative networks. The most
simple unsupervised Hebb rule is:

w new  w old   xy

Where: wAB is the weight connecting input A to output B.

 is the learning constant
x is the input
y is the output

The constant  controls the rate at which the network learns. If  is made large, few
presentations are needed to learn an association and if  is made small, many presentations
are needed.

If the weights between active neurons are only allowed to be enhanced, as in the equation
above, there is no limit to their magnitude. Therefore, a rule that allows both learning and
forgetting should be implemented. Stephen Grossberg [1982] states the weight change law
as:

w new  w old (1   )  xy

In this equation,  is the forgetting constant and controls the rate at which the memory of
old information is allowed to decay away or be forgotten. Using this Hebbian update rule,
the network constantly forgets old information and continually learns new information.
The values of  and  control the speed of learning and forgetting and are usually set in the
interval [0 1]. The update rule can be rewritten as:

W  W   xy T

This rule limits the magnitude of the weights to a value determined by  and . Solving
the above equation for W=0, we find the maximum weight to be / when x and y are
active. For example: if the learning rate  is set to 0.9 and there is a small forgetting rate
=0.1, then the maximum weight is (/)*xyT=9xyT.

Suppose a four input network, that has its weights initialized to the identity matrix, is
presented with an input vector x.

Inputs Neuron Output

x1
x2
Sum y
x3
x4 weights

92
w=[1 0 0 0]; % Weight vector.
x=[1 0 0 1]'; % Input vector.

The inputs will be presented to the network and the weights will be updated with the
unsupervised Hebbian learning rule with  = 0.1 and  =0.1.

a=0.1; % Forgetting factor.

b=0.1; % Learning factor.
yout=thresh(w*x-eps) % Output.
del_w=-a*w+b*x'*yout; % Weight update.
w=w+del_w % New weight.

yout =
1
w =
1.0000 0 0 0.1000

This rule is implemented in a function called hebbian(x,w,a,b,cycles). This function is

called with cycles equal to the number of training iterations.

w=hebbian(x,w,a,b,100); % Train the network with a Hebbian learning

% rule for 100 cycles.
w % Trained weight vector.

w =
1.0000 0 0 1.0000

We can see that the weights are bounded by (/)*xyT=1. The network has learned to
associate an input of [1 0 0 1] with an active output. Now if a degraded version of the
input vector is input to the network, the network's output will still be active. For example,
if the input is [0 0 0 1], the output will still be high. The network has learned to associate
an x1 or x2 input with an active output.

9.2 Instar Learning

The Hebbian learning rule described above will continuously forget previous information
due to the weight decay structure. A more useful structure would allow the network to
forget only when it is learning. Since the network only learns when the output is active (y
= 1), the network should only forget when the output is active. If we make the learning
and forgetting rates equal, this Hebbian learning rule is called the Instar learning rule.

AB  w AB (1  y )  xy  w AB   ( x  w AB ) y
w ne old T T old old T

Rearranging:

AB  w AB (1  y )  x A y
w ne old T T

The first term allows the network to forget when the output is active and the second term
allows the network to learn. This implementation causes the weight matrix to move

93
towards new inputs. If the weight vector and input vector are normalized, this weight
update rule is graphically represented as:

w(k) w(k+1)
x(k)

Instar Learning

The value of  determines the rate at which the weight vector is drawn towards new input
vectors. The output of an Instar is the dot product of the weight vector and the input
vector. Therefore, the Instar has the ability to learn an input vector and the output is a
value corresponding to the degree that the input matches the weight vector. The Instar
learns patterns and classifies patterns.

The following is an example of how the Instar network can learn to remember and
recognize an input vector. Note that the weight vector and input vector are normalized and
that the dot product must be >0.9 for the identification of the input vector to be positive.

w=rand(1,4) % Initialize weight vector randomly.

x=[1 0 0 1]'; % Input vector to be learned.
x=x/norm(x); % Normalize input vector.
w=w/norm(w); % Normalize weight vector.
yout1=thresh(w*x-.9) % Initial output.
a=0.8; % Learning and forgetting factor.
w=instar(x,w,a,10); % Train for 10 cycles.
w % Final weight vector.
yout2=thresh(w*x-.9) % Final output.

w =
0.2190 0.0470 0.6789 0.6793
yout1 =
0
w =
0.7071 0.0000 0.0000 0.7071
yout2 =
1

The network was able to learn a weight vector that would identify the desired input vector.
A 0.9 criteria was used for identification.

9.3 Outstar Learning

The Instar network learns to identify input vectors and its dual network, called an Outstar
network, can store and recall a vector. Putting these two network architectures together
results in an associative memory.

94
The Outstar network also uses a Hebbian learning rule. Again, when the input and output
are both active, the weight connecting the two is increased. The Outstar network is trained
by applying an active signal at the input while applying the vector to be stored at the
output. This is a type of supervised network since the desired output is applied to the
output. After training, when the input is made active, the output will be the stored vector.

Input Outputs
y1
weights
y2
x
y3
y4
Outstar Network

For example, a network can be trained to store a vector v = [0 1 1 0]. After training, when
the input is a 1, the output will be the learned vector; if the input is a 0, the output will be a
0. The Outstar uses a Hebbian learning rule similar to that of the Instar. If the learning
and forgetting terms are equal, the Outstar learning rule for this simple recall network is:

w  wx  vx   ( w  v ) x

The Outstar function, outstar(v,x,w,a), is used where:

v is the vector to be learned
x is the input vector
w is the weight matrix of size(outputs,inputs)
a is the learning rate.

v = [0 1 1 0]; % Vector to be learned.

x=1; % Input.
w=rand(1,4) % Initialize weights randomly.
a=0.9; % Learning rate.
w=outstar(v,x,w,a,10); % Train the network for 10 cycles.
yout=w*x % The trained network output.

w =
0.9347 0.3835 0.5194 0.8310
yout =
0.0000 1.0000 1.0000 0.0000

This algorithm can generalize to higher dimensional inputs. The general Outstar
architecture is now:

95
 Inputs Outputs
weights
x1 Sum y1
x2 Sum y2
x3 Sum y3
Sum y4
Outstar Network

If we want a network to output a certain vector depending on the active input node we will
have a weight matrix versus a weight vector. Suppose we want to learn three vectors of
four terms.

v1=[0 -1 0 0]'; % First vector.

v2=[1 0 -1 0]'; % Second vector.
v3=[0 1 0 0]'; % Third vector.
v=[v1 v2 v3];
w=rand(4,3); % Random initial weight matrix.
w=outstar(v,x,w,a,10); % Train the network for 10 cycles.
x=[1 0 0
0 1 0
0 0 1]; % Three input vectors.
yout=w*x % Three output vectors.

yout =
0.0000 1.0000 0.0000
-1.0000 0.0000 1.0000
0.0000 -1.0000 0.0000
0.0000 0.0000 0.0000

The network learned to recall the correct vector for each of the three inputs. Although this
implementation uses a supervised paradigm, the implementation could be presented in an
unsupervised form. The unsupervised form uses an initial identity weight matrix, a
learning rate equal to one, and only one pass of training. This method embeds the input
matrix into the weight matrix in one pass but may not be useful when there are several
patterns in the data set that are noisy. The one pass method may not generalize well from
noisy or incomplete data.

9.4 Crossbar Structure

An associative network architecture with a crossbar structure is termed a bi-directional
associative memory (BAM) by its developer, Bart Kosko [1988]. This methodology is
really a matrix solution to an associative memory problem. The BAM does not undergo
training as do most neural network architectures.

As an example of its implementation, consider three vector pairs (a,b).

a1=[1 -1 -1 -1 -1 1]';
a2=[-1 1 -1 -1 1 -1]';
a3=[-1 -1 1 -1 -1 1]';

96
b1=[-1 1 -1]';
b2=[1 -1 -1]';
b3=[-1 -1 1]';

Each vector a is associated with a vector b, and either vector can be the input or the output.
Note that the terms of the vectors in a BAM must be  1. Three correlation matrices are
formed by multiplying the vectors using the equation:

M 1  A 1 B 1T

m1=a1*b1';
m2=a2*b2';
m3=a3*b3'; % Three correlation matrices.

The three correlation matrices are then added to get a master weight matrix:

M  M1  M 2  M 3

m=m1+m2+m3 % Master weight matrix.

m =
-1 3 -1
3 -1 -1
-1 -1 3
1 1 1
3 -1 -1
-3 1 1

The master weight matrix can now be used to get the vector associated with any input
vector. This matrix can perform transformations in either direction. The resulting vector
must be limited to the [1 -1] range. This is done using the signum() function.

A i  MB i or Bi  MTAi

For example:

A1=signum(m*b1) % Recall a1 from b1.

B2=signum(m'*a2) % Recall b2 from a2.

A1 =
1
-1
-1
-1
-1
1
B2 =
1
-1
-1

97
We can see that the BAM was able to recall the associations stored in the master matrix
memory. A discussion of the capacity and efficiency of the BAM network is given in the
text.

9.5 Competitive Networks

Artificial neural networks that use competitive learning have only one output node
activated at a time. The output nodes compete to be the one that is active, this is
sometimes called a winner-take-all algorithm.

y   wil x l  w i x
l

where: i = output node index

l = input node index

The weights between the input and output nodes (wil) are initially chosen as small random
values and are continuously normalized. When training commences, the input vectors (x)
search out which weight vector (wi*) is closest to it.

w *i  x  w i  x

The closest weight vector is then updated to make it closer to the input vector. The amount
that the weight vector is changed is determined by the learning rate h.

xj
wij*   (  wij )
x j
j

Training involves the repetitive application of input vectors to the network in a random
order or in turn. The weights are continually updated with each application. This process
could continue changing the weight vectors forever; therefore, the learning rate h is
reduced as training progresses until it eventually is negligible and the weight changes
cease. This results in weight vectors (+) centered in clusters of input vectors (*) as shown
in the following figure.

* * * +*
* +* * * +* *
** **
+
* + * *+ *+*
** + * * ** *
* * * *
Before Training After Training

98
 Competitive Network

Generally, competitive learning networks are single-layered but there are several variants
that are multi-layered. Some are briefly described by Hertz, Krogh, and Palmer [1991] but
none will be discussed here. As is intuitively obvious, competitive networks perform
clustering. They extract similarities from the input vectors and group or categorize them
into specific clusters. These similar input vectors fire the same output node. They find
uses in vector quantization problems such as data compression.

9.5.1 Competitive Network Implementation

A competitive network is a single layer network which only has one output activate at a
time. This output corresponds to the neuron whose weight vector is closest to the input
vector.

Inputs Outputs
weights
x1 Sum y1
x2 Sum y2
C
x3 Sum y3
Sum y4
Competitive Network
Suppose we have three weight vectors already stored in a competitive network. The output
of the network to an input vector is found with the following.

w=[1 1; 1 -1; -1 1]; % Cluster centers.

x=[1;3]; % Input to be classified.
y=compete(x,w); % Classify.
clg
plot(w(:,1),w(:,2),'*')
hold on
plot(x(1),x(2),'+')
hold on
plot(w(find(y==1),1),w(find(y==1),2),'o')
title('Competitive Network Clustering')
xlabel('Input 1');ylabel('Input2')
axis([-1.5 1.5 -1.5 3.5])

99
 Competitive Network Clustering
3.5

2.5

1.5
Input2

0.5

-0.5

-1

-1.5
-1.5 -1 -0.5 0 0.5 1 1.5
Input 1

The above figure displays the cluster centers (*), shows the input vector (+), and shows that
cluster 1 won the competition (o). Cluster center 1 is circled and is closest to the input
vector labeled +. The next example shows how a competitive network is trained. It uses
the instar learning rule to learn the cluster centers and since only one output is active at a
time, only the winning weight vector is updated during each presentation.

Suppose there are a 11 input vectors (dimension=2) that we want to group into 3 clusters.
The weight matrix is randomly initialized and the network is trained for 20 presentation of
the 11 inputs.

x=[-1 5;-1.2 6;-1 5.5;3 1;4 2;9.5 3.3;-1.1 5;9 2.7;8 3.7;5 1.1;5 1.2]';
clg
plot(x(1,:),x(2,:),'*');title('Training Data'),xlabel('Input 1'),
ylabel('Input 2');

100
 Training Data
6

5.5

4.5

4
Input 2

3.5

2.5

1.5

1
-2 0 2 4 6 8 10
Input 1

This data is sent to a competitive network for training. It is specified a priori that the
network will have 3 clusters.

w=rand(3,2);
a=0.8; % Learning and forgetting factor.
w=trn_cmpt(x,w,a,20); % Train for 20 cycles.
plot(x(1,:),x(2,:),'k*');title('Training Data'),xlabel('Input 1'),
ylabel('Input 2');hold on
plot(w(:,1),w(:,2),'o');hold off

Training Data
6

4
Input 2

0
-2 0 2 4 6 8 10
Input 1

101
Note that the first weight vector never moves towards the group of data centered around
(10,3). This neuron is called a "dead neuron" since its output is never activated. One
method of dealing with dead neurons is to somehow give them an extra chance of winning
a competition (to give them increased bias towards winning). To implement this increased
bias, we will add a bias to all of the competitive neurons. The bias will be increased when
the neurons doesn't win and decreased when the neuron does win. The function competb()
will evaluate a competitive network with a bias.

dimension=2; % Input space dimension.

clusters=3; % Number of clusters to identify.
w=rand(clusters,dimension); % Initialize weights.
b=.1*ones(clusters,1); % Initialize biases.
a=0.8; % Learning and forgetting factor.
cycles=5; % Iteratively train for 5 cycles.
w=trn_cptb(x,w,b,a,cycles); % Train network.
clg
plot(x(1,:),x(2,:),'*');title('Training Data'),xlabel('Input 1'),
ylabel('Input 2');hold on
plot(w(:,1),w(:,2),'o');hold off

Training Data
6

5.5

4.5

4
Input 2

3.5

2.5

1.5

1
-2 0 2 4 6 8 10
Input 1

We can see that the dead neuron has come alive. It has centered itself in third cluster.

One detail that has not been discussed in detail is the selection of the learning rate. A large
learning rate allows the network to learn fast but reduces its stability and leads to
oscillatory behavior. An adaptive learning rate can be used that allows the network to
initially learn fast and then slower as training progresses.

102
9.5 2 Self Organizing Feature Maps
The self-organizing feature map, or Kohonen network [1984], maps a high dimension input
vector into a smaller dimensional pattern; usually this pattern is of dimension one or two.
The conventional two dimensional feature map architecture is shown below.

X
x1
x2
xn

Self Organizing Feature Map

In a feature map, the geometrical arrangement or location of the outputs contains

information about the input vectors. If the input vectors X1 and X2 are fairly similar, their
outputs should be located close together; and if X1 and X2 are quite similar, then their
outputs should be equal. This relationship can be realized by one of several different
learning algorithms. It can be realized by using ordinary competitive learning with lateral
connections weights in the output layer that excite nearby nodes and inhibit nodes that are
farther away. It can also be realized by ordinary competitive learning where the weights of
nearby neighbors are allowed to update along with the weights of the winning node. This
realization is termed Kohonen's algorithm. Kohonen's algorithm clusters data in a way that
preserves the topology of the inputs, thus geometrically revealing the similarities of the
inputs. This similarity is defined as it was in competitive learning as the Euclidean
distance from each other.

The Kohonen learning algorithm is:

w   ( x  wi ) for wi near x.

The weight updates are only performed for the winning neuron and its neighbors (wi near
xi). For a 4x4, 2-dimensional feature map, the neurons nearest to the winning neuron are
also updated. These neurons are the gray shaded neurons in the above figure. There may
be a reduced update for neurons as a function of their distance from the winning neuron.
This type of function is commonly referred as a "Mexican hat" function.

mexhat;

103
 Mexican Hat Function

0.5

30
20 30
20
10
10
0 0

Suppose we have a two input network that is to organize the data into a one dimensional
feature map of length 5.

1
2
x1 3
x2
4
5
One Dimensional Feature Map

In the following example, we will organize 18 input pairs (this may take a long time).

x=[1 2;8 9;7 8;6 6;2 3;7 7;2 2;5 4;3 3;8 7;4 4; 7 6;1 3;4 5;8 8;5 5;6 7;9
9]';
plot(x(1,:),x(2,:),'*');title('Training Data'),xlabel('Input 1'),
ylabel('Input 2');
b=.1*ones(5,1); % Small initial biases.
w=rand(5,2); % Initial random weights.
tp=[0.7 20]; % Learning rate and maximum training iterations.
[w,b]=kohonen(x,w,b,tp);% Train the self-organizing map.
ind=zeros(1,18);
for j=1:18
y=compete(x(:,j),w);
ind(j)=find(y==1);
end
[x;ind]

104
ans =
Columns 1 through 12
1 8 7 6 2 7 2 5 3 8 4 7
2 9 8 6 3 7 2 4 3 7 4 6
1 5 4 3 1 4 1 2 1 4 2 4
Columns 13 through 18
1 4 8 5 6 9
3 5 8 5 7 9
1 2 5 3 4 5
Training Data
9

6
Input 2

2
1 2 3 4 5 6 7 8 9
Input 1

To observe the order of the classifications, we will use different symbols to plot the
classifications.

clg
plot(w(:,1),w(:,2),'+')
hold on
plot(w(:,1),w(:,2),'-')
hold on
index=find(ind==1);
plot(x(1,index),x(2,index),'*')
hold on
index=find(ind==2);
plot(x(1,index),x(2,index),'o')
hold on
index=find(ind==3);
plot(x(1,index),x(2,index),'*')
hold on
index=find(ind==4);
plot(x(1,index),x(2,index),'o')
hold on
index=find(ind==5);
plot(x(1,index),x(2,index),'*')

105
hold on
axis([0 10 0 10]);
xlabel('Input 1'), ylabel('Input 2');
title('Self Organizing Map Output');
hold off

Self Organizing Map Output

10

6
Input 2

0
0 2 4 6 8 10
Input 1

It is apparent that the network not only clustered the data, but it also organized the data so
that the data near each other were put in clusters next to each other. The use of self
organizing maps preserves the topography of the input vectors.

9.6 Probabilistic Neural Networks

The Probabilistic Neural Network (PNN) is a Bayesian Classifier put into a neural network
architecture. This network is well described in Fuzzy and Neural Approaches in
Engineering, by Lefteri H. Tsoukalas and Robert E. Uhrig. Timothy Masters has written
two books that give good discussions of PNNs: Practical Neural Network Recipes in C++
[1993a] and Advanced Algorithms for Neural Networks [1993b]. Both of these books
contain disks with C++ version of a PNN code.

A PNN is a classifier. Although it can be used as a function approximator, this task is

better performed by other iteratively trained neural network architectures or by the
Generalized Regression Neural Network of Section 9.8.

One of the most common classifiers is the Nearest Neighbor classifier. This classifier
classifies a pattern to be in the same class as its nearest neighbor, or more generally, its k
nearest neighbors. A drawback of the Nearest Neighbor classifier is that sometimes the
nearest neighbor may be an outlier from another class. In the figure below, the input
marked as a ? would be classified as a o, even though it is in the middle of many x's. This
is a weakness of the nearest neighbor classifier.

106
 Classification Problem

The principal advantage of PNNs over other NN architectures is its speed of learning. Its
weights are not trained through an iterative process, they are stored during what is
commonly called the learning process. A second advantage is that the PNN has a solid
theoretical foundation for making confidence estimates.

There are several major disadvantages to the PNN. First, the PNN must store all training
patterns. This requires large amounts of memory. Secondly, during recall, all the training
patterns must be processed. This requires a lengthy recall period. Also, the PNN requires
a large representative training set for proper operation. Lastly, the PNN requires the proper
choice of a width parameter called sigma. There are routines to choose this parameter in an
optimal manner, but this is an iterative and sometimes lengthy procedure (see Masters
1993a). The width parameter may be different for each population (class), but the
implementation presented here will use a single width parameter.

In summary, the Probabilistic Neural Network should be used only for classification
problems where there is a representative training set. It can be trained quickly but has slow
recall and is memory intensive. It has solid underlying theory and can produce confidence
intervals. This network is simply a Bayesian Classifier put into a neural network
architecture. The estimator of the probability density function uses the gaussian weighting
function:
2
x  xi
1 n 
g( x)   e
2
2
n i 1

Where:
n is the number of cases in a class
xi is a specific case in a class
x is the input
 is the width parameter

This formula simply estimates the probability density function (PDF) as an average of
separate multivariate normal distributions. This function is used to calculate the
probability density function for each class. For example, if the training data consisted of
three classes with populations of 23, 12, and 18. The above formula would be used to
estimate the PDF for each of the three classes with n=23, 12 and 18.

107
A simple PNN will now be implemented that classifies an input as one of two classes. The
training data consists of two classes of data with four vectors in each class. A test data
point will be used to verify correct operation.

x=[-3 -2;-3 -3;-2 -2;-2 -3;3 2;3 3;2 2;2 3]; % Training data
y=[1 1 1 1 2 2 2 2]'; % Classifications of training data
xtest=[-.5 1.5]; % Vector to be classified.
plot(x(:,1),x(:,2),'*');hold;plot(xtest(1),xtest(2),'o');
title('Probabilistic Neural Network Data')
axis([-4 4 -4 4]); xlabel('Input1');ylabel('Input2');hold off;

Current plot held

Probabilistic Neural Network Data
4

1
Input2

-1

-2

-3

-4
-4 -3 -2 -1 0 1 2 3 4
Input1

The test data point can be classified by a PNN.

a=3; % a is the width parameter: sigma.

classes=2; % x has two classifications.
[class,prob]=pnn(x,y,classes,xtest,a) % Classify the test input: testx.

class =
2
prob =
0.1025 0.3114

This function properly classified the input vector as class 2 and output a measure of
membership (0.3114). As a final example, we will use an input vector x=[-2.5 -2.5].

x=[-3 -2;-3 -3;-2 -2;-2 -3;3 2;3 3;2 2;2 3]; % Training data
y=[1 1 1 1 2 2 2 2]'; % Classifications of training data
xtest=[-2.5 -2.5]; % Vector to be classified.

108
plot(x(:,1),x(:,2),'*');hold;plot(xtest(1),xtest(2),'o');
title('Probabilistic Neural Network Data')
axis([-4 4 -4 4]); xlabel('Input1');ylabel('Input2');hold off
a=3; % a is the width parameter: sigma.
classes=2; % x has two classifications.
[class,prob]=pnn(x,y,classes,xtest,a) % Classify the test input.

Current plot held

class =
1
prob =
0.9460 0.0037
Probabilistic Neural Network Data
4

1
Input2

-1

-2

-3

-4
-4 -3 -2 -1 0 1 2 3 4
Input1

The PNN properly classified the input vector to class 1. The PNN also outputs a number
related to the membership of the input to each class (0.946 0.004). These numbers can be
used as confidence values for the classification.

9.7 Radial Basis Function Networks

A Radial Basis Function Network (RBF) has been proven to be a universal function
approximator [Park and Sandberg 1991]. Therefore, it can perform similar function
mappings as a MLP but its architecture and functionality are very different. We will first
examine the RBF architecture and then examine the differences between it and the MLP
that arise from this architecture.

109
 Radial Basis Function Network

A RBF network is a two layer network that has different types of neurons in the hidden
layer and the output layer. The hidden layer, which corresponds to a MLP hidden layer, is
a non-linear, local mapping. This layer contains radial basis function neurons which most
commonly use a gaussian activation function (g(x)). These functions are centered over
receptive fields. Receptive fields are areas in the input space which activate the local radial
basis neurons.


g j ( x )  exp  ( x   j ) 2 /  j2 
Where:
x is the input vector.
mj is the center of a region called a receptive field.
sj is the width of the receptive field.
gj(x) is the output of the jth neuron.

The output layer is a layer of standard linear neurons and performs a linear transformation
of the hidden node outputs. This layer is equivalent to a linear output layer in a MLP, but
the weights are usually solved for using a least square algorithm rather trained for using
backpropagation. The output layer may, or may not, contain biases; the examples in this
supplement do not use biases.

Receptive fields center on areas of the input space where input vectors lie, and serve to
cluster similar input vectors. If an input vector (x) lies near the center of a receptive field
(m), then that hidden node will be activated. If an input vector lies between two receptive
field centers, but inside the receptive field width (s) then the hidden nodes will both be
partially activated. When input vectors that lie far from all receptive fields there is no
hidden layer activation and the RBF output is equal to the output layer bias values.

A RBF is a local network that is trained in a supervised manner. This contrasts with a
MLP network that is a global network. The distinction between local and global is the
made though the extent of input surface covered by the function approximation. An MLP

110
performs a global mapping, meaning all inputs cause an output, while an RBF performs a
local mapping, meaning only inputs near a receptive field produce an activation.

The ability to recognize whether an input is near the training set or if it is in an untrained
region of the input space gives the RBF a significant benefit over the standard MLP. It can
give a "don't know" output. Since networks generalize improperly and arbitrarily when
operating in regions outside the training area, no confidence should be given to their
outputs in those regions. When using an MLP, one cannot judge whether or not the input
vector comes from these untrained regions; and therefore, one cannot judge whether the
output contains significant information. On the other hand, an RBF can tell the user if the
network is operating outside its training region and the user will know when to disregard
the output. This ability makes the RBF the network of choice for safety critical
applications or for applications that have a high financial impact.

The radial basis function y=gaussian(x,w,a) is given above and is implemented in an m-file
where
x is the input vector
w is center of the receptive field
a is the width of the receptive field
y is the output value

x=[-3:.1:3]'; % Input space.

y=gaussian(x,0,1); % Radial basis function centered at 0
plot(x,y); % with a width of 1.
grid;
xlabel('input');ylabel('output')
title('Radial Basis Neuron')

111
 Radial Basis Neuron
1

0.9

0.8

0.7

0.6
output

0.5

0.4

0.3

0.2

0.1

0
-3 -2 -1 0 1 2 3
input

From the above figure, we can see that the output of the Gaussian function, evaluated at the
width parameter, equals about one half. We also note that the function has an approximate
zero output at distances of 2.5 times the width parameter. This figure shows the range of
coverage of the gaussian activation function.

Designing an RBF neural network requires the selection of the radial basis function width
parameter. This decision is not required for an MLP. The width should be chosen so that
the receptive fields overlap but so that one function does not cover the entire input space.
This means that several radial basis neurons have some activation to each input but all
radial basis neurons are not highly active for a single input.

Another choice to be made is the number of radial basis neurons. Depending on the
training algorithm used to implement the RBF, this may, or may not, be a decision made by
the designer. For example, the MATLAB Neural Network Toolbox has two training
algorithms. The first algorithm centers a radial basis neuron on each input vector. This
leads to an extremely large network for input data composed of many patterns. The second
algorithm incrementally adds radial basis neurons to reduce the training error to the preset
goal.

There are several network architectures that will meet a specified error criteria. These
architectures consist of different combinations of the radial basis function widths and the
number of radial basis functions in the network. The following figure roughly shows the
allowable combinations that may solve an example problem.

112
 max

Possible
Number Combinations
of Neurons
min

min

Neuron Width

The maximum number of neurons is the number of input patterns, the minimum is related
to the error tolerance and the complexity of the mapping. This minimum must be
experimentally determined. A more complex map and a smaller tolerance requires more
neurons. The minimum width constant should overlap the input patterns and the maximum
should not cover the entire input space. Excessively large widths can sometimes give good
results for data with no noise, but these systems usually fail under real world conditions in
which noise exists. The reason that the system can train well with noise free cases is that a
linear method is used to solve for the second layer weights. The use of a regression
method will minimize the error, but usually at the expense of large weights and significant
overfitting. This overfitting is apparent when there is noise in the system. A smaller width
will do a better job of alerting that an input vector is outside the training space, while a
larger width may result in a network of smaller size and faster execution.

9.7.1 Radial Basis Function Example

As an example of the implementation of a RBF network, a function approximation over an
interval will be used.

x=[-10:1:10]'; % Inputs.
y=.05*x.^3-.2*x.^2-3*x+20; % Target outputs.
plot(x,y);
xlabel('Input');
ylabel('Output');
title('Function to be Approximated')

113
 Function to be Approximated
30

25

20

15

10
Output

-5

-10

-15

-20
-10 -5 0 5 10
Input

A radial basis function width of 4 will be used and the centers will be placed at [-8 -5 -2 0
2 5 8]. Most training routines will have an algorithm for determining the placement of the
radial basis neurons, but for this example, they will simply be placed to cover the input
space.

width=6; % Radial basis function width.

w1=[-8 -5 -2 0 2 5 8]; % Center of the receptive fields.
num_w1=length(w1); % The number of receptive fields.
a1=gaussian(x,w1,width); % Hidden layer outputs.
w2=inv(a1'*a1)*a1'*y; % Pseudo inverse to solve for output weights.

The network can now be tested both outside the training region and inside the training
region.

test_x=[-15:.2:15]'; % Test inputs.

y_target=.05*test_x.^3-.2*test_x.^2-3*test_x+20; % Test outputs.
test_a1=gaussian(test_x,w1,width); % Hidden layer outputs.
yout=test_a1*w2; % Network outputs.
plot(test_x,[y_target yout]);
title('Testing the RBF Network'); xlabel('Input'); ylabel('Output')

114
 Testing the RBF Network
100

50

0
Output

-50

-100

-150
-15 -10 -5 0 5 10 15
Input

The network generalizes very well in the training region but poorly outside the training
region. As the inputs get far from the training region, the radial basis neurons are not
active. This would alert the operator that the network is trying to operate outside the
training space and that no confidence should be given to the output value.

To show the tradeoffs between the size of the neuron width and the number of neurons in
the network, we will investigate two other cases. In the first case, the width will be made
so small that there is no overlap and the number of neurons will be equal to the number of
inputs. In the second case, the spread constant will be made very large and some noise will
be added to the data.

9.7.2 Small Neuron Width Example

The radial basis function width will be set to 0.2 so that there is no overlap between the
neurons.

x=[-10:1:10]'; % Inputs.
y=.05*x.^3-.2*x.^2-3*x+20; % Target outputs.
width=.2; % Radial basis function width.
w1=x'; % Center of the receptive fields.
a1=gaussian(x,w1,width); % Hidden layer outputs.
w2=inv(a1'*a1)*a1'*y; % Solve for output weights.
test_x=[-15:.2:15]'; % Test inputs.
y_target=.05*test_x.^3-.2*test_x.^2-3*test_x+20; % Test outputs.
test_a1=gaussian(test_x,w1,width); % Hidden layer outputs.
yout=test_a1*w2; % Network outputs.
plot(test_x,[y_target yout]);
title('Testing the RBF Network');xlabel('Input');ylabel('Output')

115
 Testing the RBF Network
100

50

0
Output

-50

-100

-150
-15 -10 -5 0 5 10 15
Input

The above figure shows that the width parameter is too small and that there is poor
generalization inside the training space. For proper overlap, the width parameter needs to
be at least equal to the distance between input patterns.

9.7.3 Large Neuron Width Example

A very large radial basis function width equal to 200 will be used. Such a large width
parameter causes each radial basis function to cover the entire input space. When this
occurs, the radial basis functions are all highly activated for each input value. Therefore,
the network may have problems learning the desired mapping.

width=200; % Radial basis function width.

w1=[-8 -3 3 8]; % Center of the receptive fields.
a1=gaussian(x,w1,width); % Hidden layer outputs.
w2=inv(a1'*a1)*a1'*y; % Solve for output weights.
test_x=[-15:.2:15]'; % Test inputs.
y_target=.05*test_x.^3-.2*test_x.^2-3*test_x+20; % Test outputs.
test_a1=gaussian(test_x,w1,width); % Hidden layer outputs.
yout=test_a1*w2; % Network outputs.
plot(test_x,[y_target yout]);
title('Testing the RBF Network');
xlabel('Input');
ylabel('Output')

Warning: Matrix is close to singular or badly scaled.

Results may be inaccurate. RCOND = 3.273238e-017

116
 Testing the RBF Network
100

50

0
Output

-50

-100

-150
-15 -10 -5 0 5 10 15
Input

The hidden layer activations ranged from 0.9919 to 1.0. This made the regression solution
of the output weight matrix very difficult and ill-conditioned. The use of such a large
width parameter causes numerical problems and also makes it difficult to know when an
input vector is outside the training space.

9.8 Generalized Regression Neural Network

The Generalized Regression Neural Network [Specht 1991] is a feedforward neural
network best suited to function approximation tasks such as system modeling and
prediction. Although it can be used for pattern classification, the Probabilistic Neural
Network discussed in Section 9.6 is better suited to those applications.

The GRNN is composed of four layers. The first layer is the input layer and is fully
connected to the pattern layer. The second layer is the pattern layer and has one neuron for
each input pattern. This layer performs the same function as the first layer RFB neurons:
its output is a measure of the distance the input is from the stored patterns. The third layer
is the summation layer and is composed of two types of neurons: S-summation neurons and
a single D-summation neuron (division). The S-summation neuron computes the sum of
the weighted outputs of the pattern layer while the D-summation neuron computes the sum
of the unweighted outputs of the pattern neurons. There is one S-summation neuron for
each output neuron and a single D-summation neuron. The last layer is the output layer
and divides the output of each S-summation neuron by the output of the D-summation
neuron. A general diagram of a GRNN is shown below.

117
 Input Pattern Summation Output
Layer Layer Layer Layer

X1 S
Y1
X2 :
S : :
: : Yn
Xn D

Generalized Regression Neural Network

The output of a GRNN is the conditional mean given by:

T
 Dt2 
 W exp  2 
T

 2 
Y 
j 1
T
 Dt2 

j 1
exp  2 
 2 

Where the exponential function is a Gaussian function with a width constant sigma. Note
that the calculation of the Gaussian is performed in the pattern layer, the multiplication of
the weight vector and summations are performed in the summation layer, and the division
is performed in the output layer.

The GRNN learning phase is similar to that of a PNN. It does not learn iteratively as do
most ANNs; but instead, it learns by storing each input pattern in the pattern layer and
calculating the weights in the summation layer. The equations for the weight calculations
are given below.

The pattern layer weights are set to the input patterns.

Wp  X T

The summation layer weights matrix is set using the training target outputs. Specifically,
the matrix is the target output values appended with a vector of ones that connect the
pattern layer to the D-summation neuron.

Ws  [ Y ones]

118
To demonstrate the operation of the GRNN we will use the same example used in the RBF
section. The training patterns will be limited to five vectors distributed throughout the
input space. A width parameter of 4 will also be used. The training parameters must cover
the training space and the set should also contain the values at any minima or maxima. The
input training vector is chosen to be [-10 -6.7 -3.3 0 3.3 6.7 10]. First we calculate the
weight matrices.

x=[-10 -6.7 -3.3 0 3.3 6.7 10]'; % Training inputs.

y_target=.05*x.^3-.2*x.^2-3*x+20; % Generate the target outputs.
[Wp,Ws]=grnn_trn(x,y_target) % Calculate the weight matrices.
plot(x,y_target)
title('Training Data for a GRNN');
xlabel('Input');
ylabel('Output')

Wp =
-10.0000 -6.7000 -3.3000 0 3.3000 6.7000 10.0000
Ws =
-20.0000 1.0000
16.0838 1.0000
25.9252 1.0000
20.0000 1.0000
9.7189 1.0000
5.9602 1.0000
20.0000 1.0000
Training Data for a GRNN
30

25

20

15

10
Output

-5

-10

-15

-20
-10 -5 0 5 10
Input

The GRNN will now be simulated for the training data.

x=[-10 -6.7 -3.3 0 3.3 6.7 10]';

a=2;
y=grnn_sim(x,Wp,Ws,a);
y_actual=.05*x.^3-.2*x.^2-3*x+20;

119
plot(x,y_actual,x,y,'*')
title('Generalization of a GRNN');
xlabel('Input');
ylabel('Output')

Generalization of a GRNN
30

25

20

15

10
Output

-5

-10

-15

-20
-10 -5 0 5 10
Input

The recall performance for the network is very dependent on the width parameter. A small
width parameter gives good recall of the training patterns but poor generalization. A larger
width parameter would give better generalization but poorer recall. The choice of a good
width parameter is necessary to having good performance. Usually, the largest width
parameter that gives good recall is optimal. In the example above, a width parameter of
2.5 was found to be the maximum width that has good recall.

Next we check for correct generalization by simulating the GRNN over the trained region.
To show the effects of the width parameter, the GRNN is simulated with a width parameter
being too small (a = .5), too large (a = 5), and optimal (a = 2).

x=[-10:.5:10]';
a=.5;
y=grnn_sim(x,Wp,Ws,a);
y_actual=.05*x.^3-.2*x.^2-3*x+20;
plot(x,y_actual,x,y,'*')
title('Generalization of GRNN: a = 0.5')
xlabel('Input');
ylabel('Output' )

120
 Generalization of GRNN: a = 0.5
30

25

20

15

10
Output

-5

-10

-15

-20
-10 -5 0 5 10
Input

x=[-10:.5:10]';a=5;
y=grnn_sim(x,Wp,Ws,a);
y_actual=.05*x.^3-.2*x.^2-3*x+20;
plot(x,y_actual,x,y,'*')
title('Generalization of GRNN, a = 5')
xlabel('Input');ylabel('Output')

Generalization of GRNN, a = 5
30

25

20

15

10
Output

-5

-10

-15

-20
-10 -5 0 5 10
Input

x=[-10:.5:10]';a=2;
y=grnn_sim(x,Wp,Ws,a);
y_actual=.05*x.^3-.2*x.^2-3*x+20;

121
plot(x,y_actual,x,y,'*')
title('Generalization of GRNN: a = 2.5')
xlabel('Input');ylabel('Output')

Generalization of GRNN: a = 2.5

30

25

20

15

10
Output

-5

-10

-15

-20
-10 -5 0 5 10
Input

Note that with the proper choice of training data and width parameter, the network was
able to generalize with very few training parameters. If there is nothing known about the
function, a large training set must be chosen to guarantee it is representative. This would
make the network very large (many pattern nodes) and would require much memory and
long recall times. Clustering techniques can be used to select a representative training set,
thus reducing the number of pattern nodes.

Chapter 10 Dynamic Neural Networks and Control Systems

10.1 Introduction
Dynamic neural networks require some sort of memory. This memory allows the network
to exhibit temporal behavior; behavior that is not only dependent on present inputs, but also
on prior inputs. There are two major classes of dynamic networks: Recurrent Neural
Networks (RNN) and Time Delayed Neural Networks (TDNN). Recurrent Neural
Networks are networks with internal time delayed feedback connections. The two most
common RNN designs are the Elman network [Elman 1990] and the Jordan network
[Jordan 1986]. In an Elman network, the hidden layer outputs are fed back through a one
step delay to dummy input nodes. The Elman network can learn temporal patterns as well
as spatial patterns because it can store information. The Jordan network is a recurrent
architecture similar to the Elman network but it feeds back the output layer rather than the
hidden layer. Recurrent Neural Networks are difficult to train due to the feedback
connections. Usual methods are Real Time Recurrent Learning (RTRL) [Williams and
Zipser, 1989], and Back Propagation Through Time (BPTT) [Werbos 1990].

122
 Elman Recurrent Neural Network

Time Delay Neural Networks (TDNNs) can learn temporal behavior by using not only the
present inputs, but also past inputs. TDNNs accomplish this by simply delaying the input
signal. The neural network architecture is usually a standard MLP but it can also be a
RBF, PNN, GRNN, or other feedforward network architecture. Since the TDNN has no
feedback terms, it is easily trained with standard algorithms.

Specific applications using these dynamic network architectures will be discussed in later
sections of this chapter.

10.2 Linear System Theory

The educational version of MATLAB provides many functions for linear system analysis.
This section will provide simple examples of the usage of some of these functions.
Theoretical issues and derivation will not be discussed in this supplement. We will
examine the Fast Fourier Transform (fft) and the Power Spectral Density (psd) functions.

Suppose you have a periodic signal that is 256 time steps long and is a combination of sine
waves of 3 different frequencies. Taking the fft of that signal results in

t=[1:1:512]; % Time
f1=.06*(2*pi); f2=.1*(2*pi); f3=.4*(2*pi); % Three frequencies
sig=2*sin(f1*t)+sin(f2*t)+1.5*sin(f3*t); % Periodic signal
plot(t,sig);title('Periodic Signal');
ylabel('Amplitude');xlabel('Time');axis([0 512 -5 5]);

123
 Periodic Signal
5

1
Amplitude

-1

-2

-3

-4

-5
0 100 200 300 400 500
Time

Y=fft(sig,256); % Take Fast Fourier Transform

Pyy=Y.*conj(Y)/256; % Find the normalized amplitude of the FFT.
f=[1:128]/256; % Calculate a scale for the y axis.
plot(f,Pyy(1:128)) % Points 129:256 are symmetric.
xlabel('Frequency');ylabel('Power'); title('Power Spectral Density');

Power Spectral Density

180

160

140

120

100
Power

80

60

40

20

0
0 0.1 0.2 0.3 0.4 0.5
Frequency

The plot of the power in each frequency band shows the three frequency components of the
signal and the magnitudes of the signals. A noise component is usually inherent to most
signals.

124
noisy_sig=sig+randn(size(sig));; % Add normally distributed noise.
plot(t,noisy_sig);title('Noisy Periodic Signal');
ylabel('Amplitude');
xlabel('Time');
axis([0 512 -5 5]);

Noisy Periodic Signal

5

1
Amplitude

-1

-2

-3

-4

-5
0 100 200 300 400 500
Time

Y=fft(noisy_sig,256); % Take Fast Fourier Transform

Pyy=Y.*conj(Y)/256; % Find the normalized amplitude of the FFT.
f=[1:128]/256; % Calculate a scale for the y axis.
plot(f,Pyy(1:128)) % Points 129:256 are symmetric.
xlabel('Frequency');
ylabel('Power');
title('Power Spectral Density');

125
 Power Spectral Density
200

180

160

140

120
Power

100

80

60

40

20

0
0 0.1 0.2 0.3 0.4 0.5
Frequency

The figure shows the noise level rising across the entire spectrum. The PSD function can
also be used to plot the Power Spectral Density with a dB scale.

psd(noisy_sig,256,1); % Plots a Power Spectral Density [dB].

25

20

15
Power Spectrum Magnitude (dB)

10

-5

-10

-15

-20
0 0.1 0.2 0.3 0.4 0.5
Frequency

The use of these signal processing functions may be necessary when designing a neural or
fuzzy system that uses inputs from the frequency domain.

126
10.3 Adaptive Signal Processing
Neural Networks can learn off-line or on-line. On-line learning neural networks are
usually called adaptive networks because they can adapt to changes in the input or target
signals. One example of an adaptive neural network is the single input adaptive transverse
filter. This is a specific case of the TDNN with one layer of linear neurons.

Input Signal
w1
D w2
D w3  Output
D w4
:
D wn
Single Input Adaptive Transverse Filter

Suppose that we have a Finite Duration Input Response (FIR) filter implemented by a
TDNN (Shamma). FIR filters are sometimes used over Infinite Duration Input Response
(IIR) filters such as Chebyshev, Elliptic, and Bessel due to their simplicity, stability,
linearity , and finite response duration. The following example will show how a TDNN
can be used as a FIR filter.

Suppose that a fairly noisy signal needs to be filtered so that it can be used as an input to a
PID controller or other analog device. A FIR implemented as a neural network can be used
for this application. Consider the following filtering example.

t=[250:1:400];
sig=sin(.01*t)+sin(.03*t)+.2*randn(1,151);
plot(t,sig);
title('Noisy Periodic Signal');
ylabel('Amplitude');
xlabel('Time');

127
 Noisy Periodic Signal
2

1.5

0.5
Amplitude

-0.5

-1

-1.5

-2
250 300 350 400
Time

To simulate a TDNN we must construct an input matrix containing the delayed values of
the input. For example, if we have an input vector of ten values that is being input to a
TDNN with 3 delays, we call the function delay_in(x,d) with the number of delays d=3.
This function returns an input vector with 4 rows since there are four inputs to the network.
This function does not pad zeros into the inputs, so the input vector shrinks by 3 patterns.
For example:

x=[0 1 2 3 4 5 6 7 8 9]';
xd=delay_in(x,3)

xd =
0 1 2 3
1 2 3 4
2 3 4 5
3 4 5 6
4 5 6 7
5 6 7 8
6 7 8 9

Suppose we have a linear neural network FIR filter implemented with a TDNN with 5
delays. This filter can be used to process noisy data.

d=5; % Number of delays.

x=delay_in(sig',d); % Construct delayed input matrix.
w=[.2 .2 .2 .2 .1 .1]'; % Weight matrix.
y=x*w; % Calculate outputs.
td=t(d:length(sig)-1);
plot(td,sig(d:length(sig)-1),td,y');
title('Noisy Periodic Signal and Filtered Signal');
ylabel('Amplitude');
xlabel('Time');

128
 Noisy Periodic Signal and Filtered Signal
2

1.5

0.5
Amplitude

-0.5

-1

-1.5

-2
250 300 350 400
Time

We can see that the neural network filter removed a large portion of the noise. It actually
performs this operation by calculating a linear weighted average over a window. In this
example, the window is six time steps long. This filter can be trained on line to give
specific response characteristics.

10.4 Adaptive Processors and Neural Networks

The FIR example of the previous section is a dynamic network in the sense that is can
model temporal behavior. This section demonstrates how a neural network can be dynamic
in the sense that its parameters change with time. The example given trains a linear
network on-line. This allows a network to adaptively learn non-stationary (time-varying)
trends. The figure below shows a block diagram of an adaptive neural network used for
system identification. The neural network can be a TDNN if temporal behavior is
necessary or can be a static mapping without time delays. Systems whose characteristics
(mathematical models) do not change with time can be modeled with a neural network that
is trained off-line. The example of the section will only require a static mapping since the
system output only depends on the current inputs but will be trained adaptively since one
parameter is non-stationary.

129
 u(k) Plant yout(k)
ei +

-

D ANN

Parallel Identification Model

Let us consider a simple linear network used for adaptive system identification. In this
example, the weights are the linear system coefficients of a non-stationary system. A linear
neural network can be adaptively trained on-line to follow the non-stationary coefficient.
Suppose the system is modeled by:

y=2x1-3x2-1+.01t

Initially, the offset term is -1 and this term changes to +1 as time reaches 200 seconds. A
simple linear network with two inputs can be trained on-line to estimate this system. The
two weighting coefficients will converge to 2 and -3 while the bias will start at -1 and
move towards +1. The choice of the learning rate will affect the speed of learning and the
stability of the network. A larger learning rate will allow the network to track faster but
will reduce its stability while a lower learning rate will produce a stable system with slower
tracking abilities.

W=[0 0 0]; % Initialize weights and bias to zero.

Weights=[]; % Store weight and bias values over time.
lr=.4; % Learning rate.
for i=1:200 % Run for 200 seconds.
x=rand(2,1); % System has random inputs.
y=2*x(1)-3*x(2)-1+.01*i; % Simulate system.
[W]=adapt(x,y,W,lr); % Train network.
Weights=[Weights W']; % Save weights and bias to plot.
end
plot(Weights') % Plot parameters.
title('Weights and Bias Approximation Over Time')
xlabel('Time');
ylabel('Weight and Bias Values')
text(50,2.5,'W1');
text(50,-2.5,'W2');
text(50,0,'B1');

130
 Weights and Bias Approximation Over Time
3
W1
2

1
Weight and Bias Values

0 B1

-1

-2
W2
-3

-4
0 50 100 150 200
Time

The figure shows that the network properly identified the system by about 30 seconds and
the bias correctly tracked the non-stationary parameter over time. This type of learning
paradigm could be used to train the FIR filter used in the previous section.

10.5 Neural Networks Control

There are user supplied MATLAB toolkits that implement neural network based system
identification and control paradigms:

The NNSYSID Toolbox is located at: http://kalman.iau.dtu.dk/Projects/proj/nnsysid.html

and the NNCTRL Toolkit is at: http://www.iau.dtu.dk/Projects/proj/nnctrl.html.

These toolboxes were developed by Magnus Morgaard of the Institute of Automation ,

Technical University of Denmark. The toolboxes and user guides: Technical Report 95-E-
773 and Technical Report 95-E-830 can be downloaded free of charge.

For a more in depth discussion of the use of neural networks for system identification and
control refer to Advanced Control with MATLAB & SIMULINK by Moscinski and
Ogonowski. For further reading on the use of neural network for control see Irwin,
Warwock and Hunt, 1995; Miller, Sutton and Werbos, 1990; Mills, Zomaya and
Tade,1996; Narendra and Parthasarathy, 1990; Omatu, Khalid and Yusof, 1996; Pham and
Liu, 1995; White and Sofga,1992;or Zbikowski and Hunt, 1996.

There are five general methods for implementing neural network controllers (Werbos pp.
59-65, in Miller Sutton and Werbos 1990):
1. Supervised Control
2. Direct Inverse Control
3. Neural Adaptive Control

131
4. Back-Propagation Through Time
5. Adaptive Critic Methods

10.5.1 Supervised Control

In supervised control, a neural network is trained to perform the same actions as another
controller (mechanical or human) for given inputs and plant conditions. After the neural
controller is trained, it replaces the controller.

r(k) Controller Plant y(k)

e(k) +

-
Neural
Controller

Neural Controller Training

10.5.2 Direct Inverse Control

In Direct Inverse Control, a Neural Network is trained to model the inverse of a plant. This
modeling is similar to the system identification problem discussed in Section 10.6.

u(k) Plant y(k)

+ e(k)

-
Inverse Model

Inverse System Identification

After the neural network learns the inverse model, it is used as a forward controller. This
methodology only works for a plant that can be modeled or approximated by an inverse
function (F-1). Since the output (y(k)) approximates the input (u(k)).

132
10.5.3 Model Referenced Adaptive Control
When the plant model changes with time due to wear, temperature affects, etc., neural
adaptive control may be the best technique to use. Model Referenced Adaptive Control
(MRAC) adapts the controller characteristics so that the controller/plant combination
performs like a reference plant.

Since the plant lies between the neural network and the error term, there is no method to
directly adjust the controllers weights to reduce the error. Therefore, indirect control must
be used.

In indirect adaptive control, an ANN identification model is used to model the non-linear
plant. If necessary, this model may be updated to track the plant. The error signals can
now be backpropagated through the identification model to train the neural controller so
that the plant response is equal to that of the reference model. This method uses two neural
networks, one for system identification and one for MRAC.

10.5.4 Back Propagation Through Time

Back Propagation Through Time (BPTT) [Werbos 1990] can be used to move a system
from one state to another state in a finite number of steps (if the system is controllable).
First a system identification neural network model must be trained so that the error signals
can be propagated through it to the controller, then the controller can be trained with a
BPTT paradigm.

133
BPTT training takes place in two steps:
1. The plant motion stage, where the plant takes k time steps.
2. The weight adjustment stage, where the controller's weights are adjusted to make the
final state approach the target state.

It is important to note that there is only one set of weights to adjust because there is only
one controller. Many iterations are run until performance is as desired.

10.5.5 Adaptive Critic

Often a decision has to be made without an exact conclusion as to its effectiveness (e.g.
chess), but an approximation of its effectiveness can be obtained. This approximation can
be used to change the control system. This type of learning is called reinforcement
learning.

A critic evaluates the results of the control action: if it is good, the action is reinforced, if
it is poor, the action is weakened. This is a trial and error method and uses active
exploration when the gradient of the evaluation system in terms of the control action is not
available. Note that this is an approximate method, and should only be used when a more
exact method is unavailable.

A neural network based adaptive critic system uses one ANN to estimate the utility J(k) of
the state x(k). This utility is a measure of the goodness of the state. It also uses a second
ANN that trains with reinforcement learning to produce an input to the system (u(k)) that
produces a good state, x(k).

134
10.6 System Identification
The task of both conventional and neural network based system identification is to build a
mathematical model of a dynamic system based on empirical data. In neural network
based system identification, the internal weights and biases of the neural network are
adjusted to make the model outputs similar to the measured outputs. Conventional
methods use empirical data and regression techniques to estimate the coefficients of
difference equations (ARX, ARMAX) or state space representations (see [Ljung 1987]).

10.6.1 ARX System Identification Model

A dynamic model is one whose output is dependent on past states of the system which may
be dependent on past inputs and outputs. A static model's output at a specific time is only
dependent on the input at that time. The basic conventional dynamic model is the
difference equation and the most common difference equation form is the ARX model:
Autoregressive with Exogenous Input Model which is sometimes called the Equation Error
Model. This model uses past inputs and outputs to predict current outputs. For example,
examine the following ARX model.

y(t) + a1y(t-1) + ... + anay(t-na) = b1u(t-1) + ... + bnbu(t-nb) + e(t)

The coefficients are represented by the set:  = [a1 a2 ... ana b1 b2 ... bnb ]'. The designer
sets the structure and a regression technique is used to solve for the coefficients. This form
can be visualized as
e(t)

1/A(q)

u(t) B(q)/A(q) + y(t)

where:

A(q)=1 + a1q-1 ... anaq-na

B(q) = b1q-1 ... bnbq-nb

and:

y(t) = [B(q)/A(q)]u(t) + [1/A(q)]e(t).

This model assumes that the poles (roots of A(q)) are common between the dynamic model
and the noise model. This model is a linear model, one of the major advantages of using
neural networks is their non-linear approximating capabilities.

135
10.6.2 Basic Steps of System Identification
There are three phases of system identification:
A. Collect experimental input/output data.
B. Select and estimate candidate model structures.
C. Validate the models and select best model.

These phases can be accomplished by using the following general procedure:

1. Design an experiment and collect data. This data must be Persistently Exciting;
meaning that the training set has to be representative of the entire class of inputs that
may excite the system.
2. Process the data to filter and remove outliers, etc.
3. Select a model structure.
4. Compute the best parameters for that structure.
5. Examine the model's properties.
6. If the properties are acceptable quit, else goto 3.

10.6.3 Neural Network Model Structure

There are two basic neural network model structures: the parallel identification structure
and the series parallel structure. The Parallel Identification Structure has direct feedback
from the networks output to its input. It uses its estimate of the output to estimate future
outputs. Because of this feedback, it has no guarantee of stability and requires dynamic
backpropagation training. This structure should only be used if the actual plant outputs are
not available.

u(k) Plant yout(k)

ei +

-
D

D
ANN y’out(k)
D

Parallel Identification Model

The Series-Parallel Identification Structure does not use feedback. Instead, it uses the
actual plant output to estimate future system outputs. Therefore, static backpropagation
training can be used and there are proofs to guarantee stability and convergence.

136
 u(k) Plant yout(k)
ei +

-
D

D
ANN
D y’out(k)

Series-Parallel Identification Model

Once the general model structure is chosen, the model order must be selected. The model
order is the number of past signals to use as regressors. This can be estimated through
knowledge of the system or through experimentation.

The network system identification model is then trained and tested. The error terms, also
called residuals, should be white and independent of the input. Therefore, they are tested
with an autocorrelation function and a crosscorrelation function with the inputs. Excessive
correlation between the residuals and delayed inputs of outputs is evidence that the delayed
inputs or outputs have information that can be used to reduce the estimation error.

If the output residuals have a high correlation with lagged input signals, there is reason to
believe that the lagged input signal should be included as an input. This is one method that
can be used to experimentally determine the number of lagged inputs to use for input to the
model. For example, if a second order system is being identified with a neural network
that only uses inputs delayed by one time step, the crosscorrelation between the two time
step lagged input and the output will be large. This means that there is information in the
two time step lagged input that can be used to reduce the estimation error.

As an example of an ARX model, consider:

y(t) -1.5y(t-T) + 0.7y(t-2T) = 0.9u(t-2T) + 0.5u(t-3T) + e(t)

Here, the output at time t is dependent on the two past outputs, delayed inputs of 2 and 3
time steps and the disturbance. The basic steps in setting up a system identification
problem are the same for a conventional model and a neural network based model. The
ARX structure is defined by:

1. The number of delayed outputs to include (y(t-T) y(t-2T)).

2. The time delay of the system. In this case the input does not effect the output for 2T.
3. The number of delayed inputs to use (u(t-2T) u(t-3T)).

137
A neural network model structure is defined by the same inputs but is also defined by the
network architecture with includes the number and type of network hidden layers and
hidden nodes.

10.6.4 Tank System Identification Example

This section presents an example that deals with the construction of a neural network
system identification model for the tank system of Section 6.1. The function
dy=tank_mod(t,y), is a non-linear model of the tank system where t is the simulation time,
y(1) is the current state of tank (level), y(2) is the input signal (voltage to valve), and the
output dy is the change in the tank state (change in level). To design a system
identification model, input/output data must be collected for the operating range and input
conditions of the tank. The operating state is the tank level and the input is the voltage
supplied to the inlet valve. The state and input defined in the function tank_mod(t,y) cover
the following ranges:

Y(1): Tank level (0-36 inches).

Y(2): Voltage being applied to the control valve (-4.5 to 1 volt).

To cover all possible operating conditions, we simulate the tank model over all
combinations of the input and state.

x1=[0:3:36]'; % Level range.

x2=[-4.5 :.5:1]'; % Input voltage range.
x=combine(x1,x2); % Input combinations.
dx=zeros(length(x1)*length(x2),1); % Level changes vector.
for i=1:size(dx); % Simulate the system for all combinations.
dx(i)=tank_mod(1,x(i,:));
end
save tank_dat x dx % Save the simulation training data.

Now that we have training data, we can train a neural network to model the system. The
inputs to the neural network model are the state: x(k) and the voltage going to the valve
actuator: u(k). The output will be the change in the tank level: dx. By using a tank model
with output dx and training an ANN with an input x(k) and u(k) we are able to avoid using
a recurrent or time delay neural network.

x(k) sum x(k+1)

u(k) Tank dx
+
e(k) 
-
ANN Model dx

System Identification

138
The backpropagation training script is used to train a single layer neural network with 5
hidden neurons. The training data file has inputs x(k) and u(k) and the change in state dx is
the target.

load tank_dat % Tank inverse model simulation data.

t=dx'; % Change in state.
x=x'; % State and input voltage.
save tank_sys x t; % Tank data in neural network training format.

The bptrian script trained the tank system identification model and the weights were saved
in sys_wgt.mat.

load tank_sys % Tank training data.

load sys_wgt % Neural Network weights for system ID model.
[inputs,pats]=size(x);
output = linear(W2*[ones(1,pats);logistic(W1*[ones(1,pats);x])]);
subplot(2,1,1);
plot([t;output]');
title('System Identification Results')
ylabel('Actual and Estimated Output')
subplot(2,1,2);
plot(output-t); % Calculate the error.
ylabel('Error');xlabel('Pattern Number');

System Identification Results

1
Actual and Estimated Output

0.5

-0.5

-1
0 20 40 60 80 100 120 140 160

0.02

0
Error

-0.02

-0.04
0 20 40 60 80 100 120 140 160
Pattern Number

The top plot in the above figure shows that the neural network gives the correct output for
the training set. The lower plot shows that the error levels are very small. The following is
a comparison of outputs for a sinusoidal input. The time step must be the same as the
integration time step of the analytical model. This checks for proper generalization.

t=[0:1:40]; % Simulation time.

139
x(1)=15; % Initial tank level.
X(1)=15; % Initial tank estimator level.
u=sin(.2*t)-1.5; % Input voltage to control valve.
load sys_wgt % Neural Network weights for system ID model.
[inputs,pats]=size(x);
for i=1:length(u); % Simulate the system.
dx(i)=tank_mod(1,[x(i) u(i)]); % Calculate change in state.
estimate=linear(W2*[1;logistic(W1*[1;x(i);u(i)])]);
x(i+1)=x(i)+dx(i); % Update the actual state.
X(i+1)=X(i)+estimate; % Update state extimate.
end
plot(t,[x(1:length(u));X(1:length(u))]);
title('Simulation Testing of Tank Model')
xlabel('Time');ylabel('Tank Level');

Simulation Testing of Tank Model

18.5

18

17.5

17
Tank Level

16.5

16

15.5

15
0 5 10 15 20 25 30 35 40
Time

This simulation is being run in an open loop parallel-identification mode. That is, the
value used for the current state input into the neural network is the neural network's
estimate. This structure allows the errors to build up over time. When a closed loop
structure is chosen, the estimate is much better.

t=[0:1:40]; % Simulation time.

x(1)=15; % Initial tank level.
X(1)=15; % Initial tank estimator level.
u=sin(.2*t)-1.5; % Input voltage to control valve.
load sys_wgt % Neural Network weights for system ID model.
[inputs,pats]=size(x);
for i=1:length(u); % Simulate the system.
dx(i)=tank_mod(1,[x(i) u(i)]); % Calculate change in state.
estimate=linear(W2*[1;logistic(W1*[1;x(i);u(i)])]);
x(i+1)=x(i)+dx(i); % Update the actual state.
X(i+1)=x(i)+estimate; % Update state estimate.
end

140
plot(t,[x(1:length(u));X(1:length(u))]);
title('Simulation Testing of Tank Model')
xlabel('Time');ylabel('Tank Level');

Simulation Testing of Tank Model

18

17.5

17
Tank Level

16.5

16

15.5

15
0 5 10 15 20 25 30 35 40
Time

Since the actual state is used at each simulation time step, the errors are not allowed to
build up and the neural network more closely tracks the actual system.

10.7. Implementation of Neural Control Systems

The example of this section deals with the use of an inverse neural network system
identification model for direct inverse control of the tank problem of Section 6.1. The data
constructed in Section 10.6.4 will be used to train an inverse system model. Again, the
operating state is the tank level and the input is the voltage to the valve. The state and
input are defined in the function tank_mod(t,y) cover the range:

Y(1): Tank level (0-36 inches).

Y(2): Voltage being applied to the control valve (-4.5 to 1 volt)

To construct a direct inverse neural network controller we need to train a neural network to
model the inverse of the tank. The inputs to the neural network inverse model will be the
state: x(k) and the desired change in state: dx. The output will be the input voltage going
to the valve actuator: u(k). By using a tank model with output dx and training an ANN
with an input dx we are able to avoid using a recurrent or time delay neural network.

141
 x(k) dx sum x(k+1)
u(k) Tank
+ e(k)

- dx
Inverse Model x(k)
Inverse System Identification

The backpropagation training script was used to train a single layer neural network with 5
hidden neurons. We must set up the training data file correctly. The inputs x are the state
x and the change in state dx. The target is the input u.

load tank_dat % Tank inverse model simulation data.

t=x(:,2)'; % Valve actuator voltage.
x=[x(:,1) dx]'; % State and desired change in state.
save tank_trn x t; % Tank data in neural network training format.

The bptrian script trained the inverse model and the weights were saved in tank_wgt.mat.

load tank_trn % Tank training data.

load tank_wgt % Neural Network weights for inverse system ID model.
[inputs,pats]=size(x);clg;
output = linear(W2*[ones(1,pats);logistic(W1*[ones(1,pats);x])]);
plot(output-t); % Compare NN model results with tank analytical model.
title('Training Results');xlabel('Pattern Number');ylabel('Error')

Training Results
0.02

0.015

0.01

0.005

0
Error

-0.005

-0.01

-0.015

-0.02

-0.025
0 20 40 60 80 100 120 140 160
Pattern Number

142
After the neural network is trained, it is put into the direct inverse control framework. The
input to the inverse tank model controller is the current state and the desired state. The
output of the controller is the voltage input to the valve actuator.

x(k) D

Inverse Tank sum

Tank
xd(k+1) Model x(k+1)
u(k) dx
Direct Inverse Control of Tank

A simulation of the inverse controller can be run using tanksim(xinitial,x_desired). The

output of this simulation is the level response of the neural network controlled tank. The
desired level has been changed from 10 inches to 20 inches in this simulation.

tank_sim(10,20);

The tank and controller are simulated for 40 seconds, please be patient.
Tank Level Response
20

18

16
Level (in)

14

12

10

8
0 5 10 15 20 25 30 35 40
Time (sec)

This controller has a faster speed of response and less steady state error than the fuzzy logic
controller. This is shown in the next plot where both outputs are plotted together.

hold on
tankdemo(10,20);
text(2,18,'Neural Net');
text(18,18,'Fuzzy System');
hold off

143
The tank and controller are simulated for 40 seconds, please be patient.
Tank Level Response
20

18 Neural Net Fuzzy System

16
Level (in)

14

12

10

8
0 5 10 15 20 25 30 35 40
Time (sec)

Chapter 11 Practical Aspects of Neural Networks

11.1 Neural Network Implementation Issues

There are several choices to be made when implementing neural networks to solve a
problem. These choices involve the selection of the training and testing data, the network
architecture, the training method, the data scaling method, and the error goal. Since over
90% of all neural network implementations use backpropagation trained multi-layer
perceptrons, we will only discuss their implementation in this section. Sections 8.3 and 8.4
discussed scaling methods and weight initialization so those topics will not be revisited.
The rest of these choices will be discussed in this chapter.

11.2 Overview of Neural Network Training Methodology

The figure below shows the methodology to follow when training a neural network. First
you must collect or generate the data to be used for training and testing the neural network.
Once this data is collected, it must be divided into a training set and a test set. The training
set should cover the input space or should at least cover the space in which the network
will be expected to operate. If there is not training data for certain conditions, the output of
the network should not be trusted for those inputs. The division of the data into the
training and test sets is somewhat of an art and somewhat of a trial and error procedure.
You want to keep the training set small so that training is fast, but you also want to exercise
the input space well which may require a large training set.

144
 Collect Data

Select Training
and Test Sets

Select Neural
Network Architecture

Initialize Weights

Change Weights N
or SSE Goal
Reselect Training
Increase NN Size Met?
Set or Collect
Y More Data
Run Test Set

SSE Goal N
Met?
Y
Done
Neural Network Training Flow Chart

Once the training set is selected, you must choose the neural network architecture. There
are two lines of thought here. Some designers choose to start with a fairly large network
that is sure to have enough degrees of freedom (neurons in the hidden layer) to train to the
desired error goal; then, once the network is trained, they try to shrink the network until the
smallest network that trains remains. Other designers choose to start with a small network
and grow it until the network trains and its error goal is met. We will use the second
method which involves initially selecting a fairly small network architecture.

After the network architecture is chosen, the weights and biases are initialized and the
network is trained. The network may not reach the error goal due to one or more of the
following reasons.

1. The training gets stuck in a local minima.

2. The network does not have enough degrees of freedom to fit the desired input/output
model.
3. There is not enough information in the training data to perform the desired mapping.

In case one, the weights and biases are reinitialized and training is restarted. In case two,
additional hidden nodes or layers are added, and network training is restarted. Case three is
usually not apparent unless all else fails. When attempting to train a neural network, you
want to end up with the smallest network architecture that trains correctly (meets the error
goal); if not, you may have overfitting. Overfitting is described in greater detail in Section
11.4.

145
Once the smallest network that trains to the desired error goal is found, it must be tested
with the test data set. The test data set should also cover the operating region well. Testing
the network involves presenting the test set to the network and calculating the error. If the
error goal is met, training is complete. If the error goal is not met, there could be two
causes:

1. Poor generalization due to an incomplete training set.

2. Overfitting due to an incomplete training set or too many degrees of freedom in the
network architecture.

The cause of the poor test performance is rarely apparent without using crossvalidation
checking which will be discussed in Section 11.4.3. If an incomplete test set is causing the
poor performance, the test patterns that have high error levels should be added to the
training set, a new test set should be chosen, and the network should be retrained. If there
is not enough data left for training and testing, data may need to be collected again or be
regenerated. These training decisions will now be covered in more detail and augmented
with examples.

11.3 Training and Test Data Selection

Neural network training data should be selected to cover the entire region where the
network is expected to operate. Usually a large amount of data is collected and a subset of
that data is used to train the network. Another subset of that data is then used as test data to
verify the correct generalization of the network. If the network does not generalize well on
several data points, that data is added to the training data and the network is retrained. This
process continues until the performance of the network is acceptable.

The training data should bound the operating region because a neural network's
performance cannot be relied upon outside the operating region. This ability is called a
network's extrapolation ability. The following is an example of a network that is being
used outside of the region where it was trained.

x=[0:1:10];
t=2+3*x-.4*x.^2;
save data11 x t

The above code segment creates the training data used to train a network to approximate
the following function:

f(x)=2+3*x-0.4*x.^2
load data11
plot(x,t)
title('Function Approximation Training Data')
xlabel('Input');ylabel('Output')

146
 Function Approximation Training Data
8

2
Output

-2

-4

-6

-8
0 2 4 6 8 10
Input

We will choose a single hidden layer network architecture with 2 logistic hidden neurons
and train to either an average error level of 0.2 or 5000 epochs. The network was trained
using bptrain and zscore scaling resulting in:

*** BP Training complete, error goal not met!

*** RMS = 2.239272e-001

After several tries, the network never reached the error goal in 5000 epochs. For this
example, we will continue with the exercise and plot the training performance. Continued
training may result in a network that meets the initial error criteria.

load weight11
subplot(2,1,1);
semilogy(RMS);
title('Backpropagation Training Results');
ylabel('Root Mean Squared Error')
subplot(2,1,2);
plot(LR)
ylabel('Learning Rate')
xlabel('Cycles');

147
 1
Backpropagation Training Results
10
Root Mean Squared Error

0
10

-1
10
0 1000 2000 3000 4000 5000

0.2

0.15
Learning Rate

0.1

0.05

0
0 1000 2000 3000 4000 5000
Cycles

Now that the network is trained, we can check for generalization performance inside the
training region. Remember that when scaling is used for training, those same scaling
parameters must be used for any data input to the network.

x=[0:.01:10];y=2+3*x-0.4*x.^2;
load weight11;clg;X=zscore(x,xm,xs);
output = linear(W2*[ones(size(x));logistic(W1*[ones(size(x));X])]);
plot(x,y,x,output);title('Function Approximation Verification')
xlabel('Input');ylabel('Output')

Function Approximation Verification

8

2
Output

-2

-4

-6

-8
0 2 4 6 8 10
Input

148
We can see that the network generalizes very well within the training region. Now we look
at how the network extrapolates outside of the training region.

x=[-5:.1:15];
y=2+3*x-0.4*x.^2;
load weight11
X=zscore(x,xm,xs);
output = W2*[ones(size(x));logistic(W1*[ones(size(x));X])];
plot(x,y,x,output)
title('Function Approximation Extrapollation')
xlabel('Input')
ylabel('Output')

Function Approximation Extrapollation

10

-10
Output

-20

-30

-40

-50
-5 0 5 10 15
Input

We see that the network generalizes very well within the training region (0-10) but poorly
outside of the training region. This shows that a neural network should never be expected
to operate correctly outside of the region where it was trained.

11.4 Overfitting
Several parameters affect the ability of a neural network to overfit the data. Overfitting is
apparent when a networks error level for the training data is significantly better than the
error level of the test data. When this happens, the data learned the peculiarities of the
training data, such as noise, rather than the underlying functional relationship of the model
to be learned. Overfitting can be reduced by:

1. Limiting the number of free parameters (neurons) to the minimum necessary.

2. Increasing the training set size so that the noise averages itself out.
3. Stopping training before overfitting occurs.

149
Three examples will now be used to illustrate these three methods. A robust training
routine would use all of the above methods to reduce the chance of overfitting.

11.4.1 Neural Network Size.

In the example of Section 11.3, we see that the function can be approximated well with a
network having 2 hidden neurons. Let us now train a network with data from a more
realistic model. This model will have 20% noise added to simulate noisy data that would
be measured from a process.

x=[0:1:10];
y=2+3*x-.4*x.^2;
randn('seed',3); % Set seed to original seed.
t=2+3*x-.4*x.^2+0.2*randn(1,11).*(2+3*x-.4*x.^2);
save data12 x t
plot(x,y,x,t)
title('Training Data With Noise')
xlabel('Input');ylabel('Output')

Training Data With Noise

15

10

5
Output

-5

-10
0 2 4 6 8 10
Input

We trained a neural network with the same architecture as above (2 neurons) using the
noisy data.

*** BP Training complete, error goal not met!

*** RMS = 1.276182e+000

The error only trained down to 1.27, but this is to be expected since we did not want the
network to learn the noise.

x=[0:1:10];
y=2+3*x-0.4*x.^2;

150
load data12
load weight12
X=zscore(x,xm,xs);
output = linear(W2*[ones(size(x));logistic(W1*[ones(size(x));X])]);
clg
plot(x,y,x,output,x,t)
title('Function Approximation Verification')
xlabel('Input')
ylabel('Output')

Function Approximation Verification

15

10

5
Output

-5

-10
0 2 4 6 8 10
Input

In the above figure, the smoothest line is the actual function, the choppy line is the noisy
data and the line closest to the smooth line is the network approximation. We can see that
the neural network approximation is smooth and follows the function very well. Next we
increase the degrees of freedom to more than is necessary for approximating the function.
This case will use a network with 4 hidden neurons.

*** BP Training complete, error goal not met!

*** RMS = 4.709244e-001

x=[0:1:10];
y=2+3*x-0.4*x.^2;
load data12
load weight13
X=zscore(x,xm,xs);
output = linear(W2*[ones(size(x));logistic(W1*[ones(size(x));X])]);
clg
plot(x,y,x,output,x,t)
title('Function Approximation Verification')
xlabel('Input')
ylabel('Output')

151
 Function Approximation Verification
15

10

5
Output

-5

-10
0 2 4 6 8 10
Input

The above figure is the output of a network with 4 neurons trained with the noisy data. We
can see that when extra free parameters are used in the network, the approximation is
severely overfitted. Therefore, a network with the fewest number of free parameters that
can be trained to the error goal should be used. This statement requires that a realistic error
goal be set.

A function with 11 training points containing 20% random noise for outputs that average
around 6, will have a RMS error goal of .2*6=1.2. This is about the value that we got in
the properly trained example above. If we stop training of an overparameterized network
when that error goal is met, we reduce the chances of overfitting the model. A neural
network with 4 hidden neurons is now trained with an error goal of 1.2.

*** BP Training complete after 151 epochs! ***

*** RMS = 1.194469e+000

The network learned much faster (151 epochs versus 5000 epochs) than the network with
only two neurons. Lets look at the generalization.

x=[0:1:10];
y=2+3*x-0.4*x.^2;
load data12
load weight14
X=zscore(x,xm,xs);
output = linear(W2*[ones(size(x));logistic(W1*[ones(size(x));X])]);
clg
plot(x,y,x,output,x,t)
title('Function Approximation Verification')
xlabel('Input')
ylabel('Output')

152
 Function Approximation Verification
15

10

5
Output

-5

-10
0 2 4 6 8 10
Input

The network generalized much better than the overparameterized network with an
unrealistically low error goal. This illustrates two methods that can be used to reduce the
chance of overfitting.

When the actual signal is not known, a realistic error goal can be found by filtering the
signal to smooth out the noise, then calculating the difference between the smoothed signal
and the noisy signal. This difference is a rough approximation of the amount of noise in
the signal.

11.4.2 Neural Network Noise

As discussed above, when there is noise in the training data, a method to calculate the RMS
error goal needs to be used. If there is significant noise in the data, increasing the number
of patterns in the training set can reduce the amount of overfitting. The following example
will illustrate this point. In this example the test set size is increased to 51 patterns.

x=[0:.2:10];
randn('seed',100)
y=2+3*x-.4*x.^2;
t=2+3*x-.4*x.^2+0.2*randn(1,size(x,2)).*(2+3*x-.4*x.^2);
save data13 x t
plot(x,y,x,t)
title('Training Data With Noise')

153
 Training Data With Noise
12

10

-2

-4

-6

-8
0 2 4 6 8 10

Using this data we will now train a network with 5 hidden neurons. The results are as
follows.

*** BP Training complete, error goal not met!

*** RMS = 1.062932e+000

Seeing that the RMS error is less than 1.2, we can expect some overfitting.

x=[0:.2:10];
y=2+3*x-0.4*x.^2;
load data13
load weight15
X=zscore(x,xm,xs);
output = linear(W2*[ones(size(x));logistic(W1*[ones(size(x));X])]);
clg
plot(x,y,x,output,x,t)
title('Function Approximation Verification With 5 Neurons')
xlabel('Input')
ylabel('Output')

154
 Function Approximation Verification With 5 Neurons
12

10

4
Output

-2

-4

-6

-8
0 2 4 6 8 10
Input

The above figure shows that the network generalized very well even though there were too
many free parameters in the model. This shows that using a more representative training
set tends to average out the noise in the signals without having to stop training at an
appropriate error goal or having to estimate the number of hidden neurons. The network
does sag at the input=2 region, to avoid this, use more samples or reduce the number of
hidden neurons.

11.4.3 Stopping Criteria and Cross Validation Training

The last method of reducing the chance of overfitting is cross validation training. Cross
validation training uses the principle of checking for overfitting during training. This
methodology uses two sets of data during training. One set is used for training and the
other is used to check for overfitting. Since overfitting occurs when the neural network
models the training data better than it would other data, checking data is used during
training to test for this overlearning behavior.

At each training epoch, the RMS error is calculated for both the test set and the checking
set. If the network has more than enough neurons to model the data, there will be a point
during training when the training error continues to decrease but the checking error levels
off and begins to increase. The script cvtrain is used to check for this behavior. An
additional 11 pattern noisy data set will be used as the checking data.

x=[0:1:10];
y=2+3*x-.4*x.^2;
randn('seed',5); % Change seed.
tc=2+3*x-.4*x.^2+0.2*randn(1,11).*(2+3*x-.4*x.^2); % Checking data set.
load data12 % Training data set.
save data14 x t tc
plot(x,y,x,t,x,tc);

155
title('Training Data and Checking Data')

Training Data and Checking Data

15

10

-5

-10
0 2 4 6 8 10

A 5 hidden neuron network will now be trained using cvtrain for 1000 epochs.

*** BP Training complete, error goal not met!

*** Minimum RMS = 6.909391e-001
*** Minimum checking RMS = 1.249887e+000
*** Best Weight Matrix at 240 epochs!

load weight16;
clg
semilogy(RMS);
hold on
semilogy(RMSc);
hold off
title('Cross Validation Training Results');
ylabel('Root Mean Squared Error')
text(600,2, 'Checking Error');
text(600,.5,'Training Error');

156
 1
Cross Validation Training Results
10
Root Mean Squared Error

Checking Error

0
10

Training Error

-1
10
0 200 400 600 800 1000

The figure shows that both errors initially are reduced, then the checking error starts to
increase. The best weight matrices occur at the checking error minimum. Subsequent to
the checking error minimum, the network is overfitting. This training method can also be
used to identify a realistic training RMS error goal. In this example, the error goal is the
minimum of the checking error.

min(RMSc)

ans =
1.2499

Again we find that a realistic error goal is near 1.2. This agrees with our two previous
calculations.

In summary, there are four methods to reduce the chance of overfitting:

1. Limiting the number of free parameters.

2. Training to a realistic error goal.
3. Increase the training set size.
4. Use cross validation training to identify when overfitting occurs.

These methods can be used independently or used together to reduce the chance of
overfitting.

157
Chapter 12 Neural Methods in Fuzzy Systems

12.1 Introduction
In this chapter we explore the use of fuzzy neurons in neural systems while the next chapter
we will explore the use of neural methodologies to train fuzzy systems. There is a
tremendous advantage to training fuzzy networks when experiential data is available but
the advantages of using fuzzy neurons in neural networks is less well defined.

Embedding fuzzy notions into neural networks is an area of active research, and there are
few well known or proven results. This chapter will present the fundamentals of
constructing neural networks with fuzzy neurons but will not describe the advantages or
practical considerations in detail.

12.2 From Crisp to Fuzzy Neurons

The artificial neuron was first presented in Section 7.1. This neuron processed information
using the following equation,

n 
y  f  x k wk  b 
 k 1 

where x is the input vector, w are the weights connecting the inputs to the neuron and b is a
bias. The function is usually continuous and monatonically increasing. The result of the
product,

d k  x k wk

is referred to as the dendritic input to the neuron. In the case of fuzzy neurons, this
dendritic input is usually a function of the input and the weight. This function can be an S-
norm, such as the probabilistic sum, or a T-norm, such as the product. The choice of the
function is dependent on the type of fuzzy neuron being used. Fuzzy neuron types will be
discussed in subsequent sections.

S-norms: 1. probabilistic sum: d k  xk S wk  xk  wk  xk wk

2. OR: d k  xk S wk  xk  wk  max( xk  wk )

T-norms: 1. product: d k  xk T wk  xk  wk
2. AND: d k  xk T wk  xk  wk  min( xk , wk )

The dendritic inputs are then aggregated by some chosen operator. In the most simple
case, this operator is a summation operator, but other operators such as min and max are
commonly used.

158
 n
Summation aggregation operator: I j   dk
k 1
n
Min aggregation operator: I j   d k  min(d k )
k 1
n
Max aggregation operator: I j   d k  max(d k )
k 1

The fuzzy neuron output yj is a function of the of the internal activation I j and the threshold
level of the neuron. This function can be a numerical function or a T-norm or S-norm.


y j   I j , Tj 
The use of different operators in fuzzy neurons gives the designer the flexibility to make
the neuron perform various functions. For example, the output of a fuzzy neuron may be a
linguistic representation of the input vector such as Small or Rapid. These linguistic
representation can be further processed by subsequent layers of fuzzy neurons to model a
specified relationship.

12.3 Generalized Fuzzy Neuron and Networks

This section will further discuss the fuzzy neural network architecture. The generalized
fuzzy neuron is shown in the figure below.

w1j
x1 d1j
x2 d2j j

x3 d3j j
j Ij j yj
nj
: dnj
xn

Generalized Fuzzy Neuron

The synaptic inputs (x) generally represent the degree of membership to a fuzzy set and
have a value in the range [0 1]. The dendritic inputs (d) are also normally bounded, in the
range [0 1], and represent the membership to a fuzzy set.

In this figure, the dendritic inputs have been modified to produce excitatory and inhibitory
signals. This is done with a function that performs the compliment and is represented
graphically by the not sign: . Numerically, the behavior of these operators is represented
by:

excitatory ij  d ij
inhibitory ij  1  d ij

159
The generalized fuzzy neuron has internal signals that represent membership to fuzzy sets.
Therefore, these signals have meaning. Most signals in artificial neural networks do not
have a discernible meaning. This is one advantage of a fuzzy neural system.

12.4 Aggregation and Transfer Functions in Fuzzy Neurons

As stated in section 12.2, the aggregation operator is implimentable by several different
mathematical expressions. The most common aggregation operator is a T-norm
represented by:

n
I j  T  ij
i 1

but other operators can also be implemented. The internal activation is simply the
aggregation of the modified input membership values (dendritic inputs). A T-norm
(product or min) tends to reduce the activation while an S-norm tends to enhance the
activation (probabilistic sum or max). These aggregation operators provide the fuzzy
neuron with a means of implementing intersection (T-norm) and union (S-norm) concepts.

The MATLAB implementation of a T-norm aggregation is:

x=[0.7 0.3]; % Two inputs.

w=[0.2 0.5]; % Hidden weight matrix.
I=product(x',w') % Calculate product T-norm output.

I =
0.1400
0.1500

The MATLAB implementation of a probabilistic sum S-norm is:

x=[0.7 0.3]; % Two inputs.

w=[0.2 0.5]; % Hidden weight matrix.
I=probor(x',w') % Calculate probabilistic sum S-norm output.

I =
0.7600
0.6500

Biases can be implemented in T-norm and S-norm operations by setting a weight value to
either 1 or 0. In normal artificial neurons, the bias is the weight corresponding to a dummy
node of input equal to 1. Similarly, in fuzzy neurons, the bias is the weight corresponding
to a dummy input value (x0). For example, a bias in a T-norm would have its dummy input
set to a 1 while a bias in an S-norm would have its dummy input set to a 0.

The MATLAB implementation of a T-norm bias is:

x=[1 0.3]; % The dummy input is a 1

w=[0.7 0.5]; % The corresponding bias weight is a .7.
I=x'.*w' % Calculate product T-norm output.

160
I =
0.7000
0.1500

The MATLAB implementation of an S-norm bias is:

x=[0 0.3]; % The dummy input is a 0.

w=[0.7 0.5]; % The corresponding bias weight is a .7.
I=probor(x',w') % Calculate probabilistic sum S-norm output.

I =
0.7000
0.6500

In both of the above cases, the bias propagates to the internal activation and may affect the
neuron output depending on the activation function operator.

The activation function or transfer function is a mapping operator from the internal
activation to the neuron's output. This mapping may correspond to a linguistic modifier.
For example if the inputs are weighted grades of accomplishments, the linguistic modifier
“more-or-less” could give the aggregated value a stronger value. S-norms and T-norms are
commonly used. The MATLAB implementation of an S-norm aggregation and a T-norm
activation function would be:

x=[0 0.3]; % The dummy input is a 0.

w=[0.7 0.5]; % The corresponding bias weight is a .7.
I=probor(x',w') % Calculate probabilistic sum S-norm output.
z=prod(I) % Calculate product T-norm.

I =
0.7000
0.6500
z =
0.4550

12.5 AND and OR Fuzzy Neurons

The most commonly used fuzzy neurons are AND and OR neurons. The AND neuron
performs an S-norm operation on the dendritic inputs and weights and then performs a T-
norm operation on the results of the S-norm operation. Although any S-norm or T-norm
operations can be implemented, usually max and min operators are used. The exception is
when training routines are implemented; in this case, differentiable functions are used. The
AND neuron representation is:

zh  Ti 1
n
 xi S whi 
The MATLAB AND fuzzy neuron implementation is:

x=[0.7 0.3]; % Two inputs.

161
w=[0.2 0.5]; % Hidden weight matrix.
I=max(x,w) % Calculate max S-norm operation.
z=min(I) % Calculate min T-norm operation.

I =
0.7000 0.5000
z =
0.5000

The OR neuron performs a T-norm operation on the dendritic inputs and weights and then
performs an S-norm operation on the results of the S-norm operation.

zh  Sin1  xi T whi 

The MATLAB OR fuzzy neuron implementation is:

x=[0.7 0.3]; % Two inputs.

w=[0.2 0.5]; % Hidden weight matrix.
I=min(x,w) % Calculate min T-norm operation.
z=max(I) % Calculate max S-norm operation.

I =
0.2000 0.3000
z =
0.3000

AND and OR neurons can be arranged in layers and these layers can be arranged in
networks to form multilayer fuzzy neural networks.

12.6 Multilayer Fuzzy Neural Networks

The fuzzy neurons discussed in earlier sections of this chapter can be connected to form
multiple layers. The multilayer networks discussed here have three layers with each layer
performing a different function. The input layer simply sends the inputs to each of the
hidden nodes. The hidden layer is composed of either AND or OR neurons. These hidden
layer neurons perform a norm operation on the inputs and weight matrix. The outputs of
the hidden layer neurons perform a norm operation on the hidden layer outputs (z) and the
output weight vector (v). The norm operations can be any type of S-norms or T-norms.
The following figure presents a diagram of a multilayer fuzzy network.

162
 whi vjh
x1 AND1 OR1 y1
x2
.
: .
.
AND2 OR2
y2
xn
xn+1 . . .
xn+2 . .
.
.
.
:
.
. .
.

x2n ANDp ORm ym

index=i index=h index=j
Input Layer Hidden Layer Output Layer

Multilayer Fuzzy Neural Network

In the above figure, the hidden layer uses AND neurons to perform the T-norm aggregation.
The output of the hidden layer is denoted zh where h is the index of the hidden node.

   
zh  Ti n1  xi S whi  T Ti n1 xi S wh ( n i )  h = 1,2,..., p

This is implemented in MATLAB with product T-norms and probabilistic sum S-norms. As
a very simple example, suppose we have a network with two inputs, two hidden nodes and
one output. The hidden layer outputs are given by:

x=[0.1 0.3]; % Two inputs.

xc=[0.9 0.7]; % Two complements.
w= [0.2 0.5; -0.2 0.8]; % Hidden weight matrix.
wc=[0.9 -0.3; 0.6 0.2]; % Complementary portion weight matrix.
for i=1:2 % Calculate hidden node outputs.
z(i)=prod([prod(probor(x',w(:,i))) prod(probor(xc',wc(:,i)))]);
end
z

z =
0.0390 0.3127

In the above figure, the output layer uses OR neurons to perform an S-norm aggregation.
The output of the network is denoted yj where j is the index of the output neuron. In the
examples of the text and this supplement, the networks are limited to one output neuron
although the MATLAB code provides for multiple outputs.

 
y j  Shp1 zh T vhj  j = 1,2,..., m

This is implemented in MATLAB with product T-norms and probabilistic sum S-norms:

163
v=[0.3 0.7]'; % One output node.
for j=1:2 % Calculate output node internal activations.
I(j)=prod([z(j) v(j)]');
end
y=probor(I) % Perform a probor on the internal activations.

y =
0.2281

The evaluation of all the fuzzy neurons in a multilayer fuzzy network can be combined into
one function. The following code simulates the fuzzy neural network where:

x is the input vector. size(x) = (patterns, inputs)

w is the hidden weight vector. size(w) = (inputs, hidden neurons)
v is the output weight vector. size(v) = (hidden neurons, output neurons)
y is the output vector. size(y) = (patterns, output neurons)

As a very simple example, suppose we have a network with two inputs, one hidden node
and one output. The forward pass of two patterns gives:

x=[.1 .3 .9 .7;.7 .4 .3 .6 ]; % Two patterns of 2 inputs and their

% complements.
w=[.2 .5;-.2 .8;.9 -.3;.6 .2;]; % Two hidden nodes.
v=[0.3 0.7]'; % One output node.
y=fuzzy_nn(x,w,v) % Simulate the network.

y =
0.2281
0.0803

12.7 Learning and Adaptation in Fuzzy Neural Networks

If there is experiential input/output data from the relationship to be modeled, the fuzzy
neural network's weights and biases can be trained to better model the relationship. This
training can be performed with a gradient descent algorithm similar to the one used for the
standard neural network.

Complications with fuzzy neural network training arise because the activation or transfer
functions must be continuous, monotonically increasing, differentiable operators. Several
S-norm and T-norm operators such as the max and min operators do not fit this
requirement, although the probabilistic sum S-norm and product T-norm that were used in
the previous section do meet his requirement.

As a simple example, let us study the weight changes involved in training a single OR
fuzzy neuron with two inputs. We will assume the OR fuzzy neuron is an output neuron
and is therefore represented by:

 
y j  Shp1 zh T vhj  j=1

164
where: yj is the jth output neuron.
zh is the output of the hth hidden layer neuron.
vjh is the weight connecting the hth hidden layer neuron to the jth output.
T-norm is product.
S-norm is probabilistic OR

The training data consists of three patterns.

z=[1 0.2 0.7;1 0.3 0.9;1 0.1 0.2]; % Training input data with bias.
t=[0.7 ;0.8 ;0.4 ]; % Training output target data.

And the output is represented by:

v=[.32 .76 .11] % Random initial weights.

y=zeros(3,1); % Output vector
for k=1:3 % For each input pattern
I=product(z(k,:)',v'); % Calculate product T-norm operation.
y(k)=probor(I); % Calculate probabilistic sum S-norm.
end
y

v =
0.3200 0.7600 0.1100
y =
0.4678
0.5270
0.3855

To train this network to minimize a squared error between the target vector (t) and the
output vector (y), we will use a gradient descent procedure. The squared error (as opposed
to the sum of squared errors) is used because the training will occur sequentially rather in
batch mode. The error and squared error are defined as:

 ty
 2  (t  y) 2

 2
v jh  .
 v jh
 2  yj
 . 
 y j  v jh

where:

165
 2
 yj

  2 t j  y j 
 yj  S hp1 ( z h T jh )

 v jh  Ij

and T is the T-norm operator (product).

S is the S-norm operator (probabilistic sum).

If we substitute the symbol A for the norms of the terms not involving a weight h=q, then
we can solve for the partial derivative of y with respect to that weight vq.

A = S hp q zh Tv jh
 y j   A  v jq zq  Av jq zq 
  zq (1  A)
 v jq  v jq

If the T-norm is a product and the S-norm is a probabilistic sum, this equation can be
written as:

 yj p

 v jq hq
 
 zq (1  A)  zq (1  probor v jh zh )

Combining the factor of 2 into the learning rate results in:

   
p
v jq   t j  y j z q (1  probor v jh zh )
hq

The error terms and squared error are:

error=(t-y)
SSE=sum((t-y).^2)

error =
0.2322
0.2730
0.0145
SSE =
0.1287

Now lets train the network with a learning rate of 1.

lr=1; % Learning rate.

patterns=length(error); % Number of input patterns.
cycles=30; % Number of training iterations.

% Train the network.

166
inds=[1:length(v)];
for k=1:cycles
for j=1:patterns % Loop through each pattern.
for i=1:length(v); % Loop through each weight.
ind=find(inds~=i); % Specify weights other than i.
A=probor(product(z(j,ind)',v(ind)')); % Calculate T and S norms.
delv(i)=lr*error(j)*z(j,i)*(1-A); % Calculate weight update.
end
v=v+delv; % Update weights.
end

% Now check the new SSE.

for k=1:length(error); % For each input pattern
I=product(z(k,:)',v'); % Calculate product T-norm operation.
y(k)=probor(I); % Calculate probabilitsic sum S-norm.
end
error=(t-y); % Calculate the eror terms.
SSE=sum((t-y).^2); % Find the sum of squared errors.
end
SSE
y

SSE =
1.3123e-004
y =
0.6909
0.8063
0.4030

This closely matches the target vector: t=[.7 .8 .4]. This gradient descent training
algorithm can be expanded to train multilayer fuzzy neural networks. The previous section
derived the weight update for an fuzzy OR output neuron. We will now derive the weight
update for a fuzzy multilayer neural network with AND hidden units and OR output units.

We use the chain rule to find the gradient vector.

 2  2 p
 y j  zh

 w jk  y j
 z
h 1 h  whi

and

 2
 yj

  2 t j  y j 
Since the inputs and weights in a AND and OR are treated the same, the partial derivative
with respect to the inputs (zh) is of the same form of the partial derivative with respect to
the weights (vh) that was derived above. Therefore, substituting A for the norms not
containing zq, we get a solution of the same form.

167
 A = S hp q zh Tv jh
 y j   A  v jq zq  Av jq zq 
  v jq (1  A)
 zq  zq

For a product T-norm and a probabilistic sum S-norm, this results in:

 yj p

 zq
 v jq (1  A)  v jq (1  probor v jh zh )
hq
 
For the second term in the chain rule:

n
  ( xi  whi  xi whi )
 zh i 1

 whi  whi

For a specific input weight: whr,

 zh  n 
 
 whr  whr  i  r
( xi  whi  xi whi ) ( x r  whr  x r whr ) 

  n n n

 
 whi  i  r
( x i  w hi  x w
i hi ) x r   ( x i  w hi  x w
i hi ) whr   ( xi  whi  xi whi ) x r whr 
i r i r 
n
  ( xi  whi  xi whi )(1  x r )
i r
Combining the above chain rule terms results in:

  2   2  y j  zh

 w jk  y j  zh  whi

 n 
    ( xi  whi  xi whi )(1  x r )  v jq (1  proborh  q (v jh zh ))
 i r 

As an example of training a multilayer fuzzy neural network, we will consider a network

with two hidden AND neurons and one output OR neuron.

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 x0 whi z0
AND1
vh
x1 OR y
AND2
x2
index=i index=h

Input Layer Hidden Layer Output Layer

Example Fuzzy Neural Network

In this case we will implement biases in the hidden layer. Since these are AND fuzzy
neurons, the dummy input must equal 0. A bias will also be implemented in the output
node with a dummy input equal to 1. The forward pass results in:

clear all;rand('seed',10)
x=[0 0.2 0.7;0 0.3 0.9;0 0.7 0.2]; % Training input data with bias.
t=[0.7 ;0.8 ;0.4 ]; % Training output target data.
w=rand(2,3); % Random initial hidden layer weights.
v=rand(1,3); % Random initial output layer weights.
z=zeros(3,2); % Hidden vector (three patterns, 2 outputs).
y=zeros(3,1); % Output vector.(three patterns)
for k=1:3 % For each pattern.
for h=1:2 % For each hidden neuron.
z(k,h)=prod(probor(x(k,:)',w(h,:)'));% Output of each hidden node.
end
I=product([1 z(k,:)]',v'); % Calculate product T-norm operation.
y(k)=probor(I); % Calculate probabilitsic sum S-norm.
end
error=(t-y)
SSE=sum((t-y).^2)

error =
0.2654
0.2987
0.1153
SSE =
0.1730

Now lets train the network with a learning rate of 0.5.

lr=0.5; % Learning rate.

patterns=size(error,1); % Number of input patterns.
cycles=20; % Number of training iterations.
[h_nodes,inputs]=size(w); % Define number of inputs and hidden nodes.
indv=[1:size(v,2)];indw=[1:size(w,2)]; % weight matrix indices.

% Update the network output layer.

for m=1:cycles

169
 for j=1:patterns % Loop through patterns.
for i=1:size(v,2); % Loop through weights.
ind=find(indv~=i); % Specify weights not = i.
Z=[ones(patterns,1) z]; % Output biases.
A=probor(product(Z(j,ind)',v(ind)')); % Calculate T and S norms.
delv(i)=lr*error(j)*Z(j,i)*(1-A); % Calculate weight update.
end
v=v+delv; % Update weights.
end

% Update the network hidden layer.

for j=1:patterns % Loop through patterns.
for l=1:h_nodes
for i=1:inputs; % Loop through weights.
ind=find(indw~=i); % Specify weights not = i.
A=probor(product(Z(j,l)',v(l)')); % Calculate OR norms.
B=prod(probor(x(j,ind)',w(l,ind)')); % Calculate AND norms.
delw(l,i)=lr*error(j)*B*(1-x(j,i))*v(l)*A; % Compute update.
end
end
w=w+delw; % Update weights.
end

% Now check the new error terms.

for k=1:patterns % For each pattern.
for h=1:h_nodes % For each input neuron.
z(k,h)=prod(probor(x(k,:)',w(h,:)'));%Output of hidden nodes.
end
I=product([1 z(k,:)]',v'); % Calculate product T-norm operation.
y(k)=probor(I); % Calculate probabilitsic sum S-norm.
end
error=(t-y);
end
SSE=sum((t-y).^2)
y

SSE =
0.0049
y =
0.6704
0.7615
0.4502

The error has been drastically reduced and the output vector has moved towards the target
vector: t=[.7 .8 .4]. By varying the learning rate and training for more iterations, this error
can be reduced even further.

Chapter 13 Neural Methods in Fuzzy Systems

13.1 Introduction
The use of neural network training techniques allows us the ability to embed empirical
information into a fuzzy system. This greatly expands the range of applications in which

170
fuzzy systems can be used. The ability to make use of both expert and empirical
information greatly enhances the utility of fuzzy systems.

One of the limitations of fuzzy systems comes from the curse of dimensionality. Expert
information about the relationship to be modeled may make it possible to reduce the rule
set from all combinations to the few that are important. In this way, expert knowledge may
make a problem tractable.

A limitation of using only expert knowledge is the inability to efficiently tune a fuzzy
system to give precise outputs for several, possibly contradictory, input combinations. The
use of error based training techniques allows fuzzy systems to learn the intricacies inherent
in empirical data.

13.2 Fuzzy-Neural Hybrids

Neural methods can be used in constructing fuzzy systems in ways other than training.
They can also be used for rule selection, membership function determination and in what
we can refer to as hybrid systems. Hybrid systems are systems that employ both neural
networks and fuzzy systems. These hybrid systems may make use of a supervisory fuzzy
system to select the best output from several neural networks or may use a neural network
to intelligently combine the outputs from several fuzzy systems. The combinations and
applications are endless.

13.3 Neural Networks for Determining Membership Functions

Membership function determination can be viewed as a data clustering and classification
problem. First the data is classified into clusters and then membership values are given to
the individual patterns in the clusters. Neural network architectures such as Kohonen Self
Organizing Maps are well suited to finding clusters in input data. After cluster centers are
identified, the width parameters of the SOM functions, which are usually Gaussian, can be
set so that the SOM outputs are the membership values.

One methodology of implementing this type of two stage process is called the Adeli-Hung
Algorithm. The first stage is called classification while the second stage is called
fuzzification. Suppose you have N input patterns with M components or inputs. The
Adeli-Hung Algorithm constructs a two layer neural network with M inputs and C clusters.
Clusters are added as new inputs, which do not closely resemble old clusters, are presented
to the network. This ability to add clusters and allow the network to grow resembles the
plasticity inherent in ART networks. The algorithm is implemented in the following steps:

1. Calculate the degree of difference between the input vector Xi and each cluster center Ci.
A Euclidean distance can be used:

M
dist ( X , Ci )   (x
j 1
j  cij ) 2

where: xj is the jth input.

171
 cij is the jth component of the ith cluster.
M is the number of clusters.

2. Find the closest cluster to the input pattern and call it Cp.

3. Compare the distance to this closest cluster: dist(X,Cp) with some predetermined
distance. If it is closer than the predetermined distance, add it to that cluster, if it is further
than the predefined cluster, then add a new cluster and center it on the input vector. When
an input is added to a cluster, the cluster center (prototype vector) is recalculated as the
mean of all patterns in the cluster.

np


C p  c p1 c p 2 ... c pM  
1
np
X
i 1
i
p

4. The membership of an input vector Xi to a cluster Cp is defined as

0 if D w ( X ip , C p )  

p   D w ( X ip , C p )
1  if D w ( X ip , C p )  
 

where:
 is the width of the triangular membership function.
M

   x 
2
D w X ip , C p  p
ij  c pj , the weighted norm, is the Euclidean distance:
j 1

This results in triangular membership functions with unity membership at the center and
linearly decreasing to 0 at the tolerance distance. An example of a MATLAB
implementation of the Adeli-Hung algorithm is given below.

X=[1 0 .9;0 1 0;1 1 1;0 0 0;0 1 1;.9 1 0;1 .9 1;0 0 .1];% Inputs
C=[1 0 1]; % Matrix of prototype clusters.
data=[1 0 1 1]; % Matrix of data; 4th column specifies class.
tolerance=1; % Tolerance value used to create new clusters.
for k=1:length(X);
% Step 1: Find the Euclidean distance to each cluster center.
[p,inputs]=size(C);
for i=1:p
distance(i)=dist(X(k,:),C(i,:)).^.5;
end
% Step 2: Find the closest cluster.
ind=find(min(distance)==distance);
% Step 3: Compare with a predefined tolerance.
if min(distance)>tolerance
C=[C;X(k,:)]; % Make X a new cluster center.
data=[data;[X(k,:) p+1]];
else % Calculate old cluster center.
data=[data;[X(k,:) ind]]; % Add new data pattern.
cluster_inds=find(data(:,4)==ind); % Other clusters in class.
for j=1:inputs
C(ind,j)=sum(data(cluster_inds,j))/length(cluster_inds);

172
 end
end
% Step 4: Calculate memberships to all p classes.
mu=zeros(p,1);
for i=1:p
D=dist(X(k,:),C(i,:)).^.5;
if D<=tolerance;
mu(i)=1-D/tolerance;
end
end
end
C % Display the cluster prototypes.
data % Display all input vectors and their classification.
mu % Display membership of last input to each prototype.
save AHAdata data C % Save results for the next section.

C =
1.0000 0 0.9500
0 0.3333 0.0333
0.6667 0.9667 1.0000
0.9000 1.0000 0
data =
1.0000 0 1.0000 1.0000
1.0000 0 0.9000 1.0000
0 1.0000 0 2.0000
1.0000 1.0000 1.0000 3.0000
0 0 0 2.0000
0 1.0000 1.0000 3.0000
0.9000 1.0000 0 4.0000
1.0000 0.9000 1.0000 3.0000
0 0 0.1000 2.0000
mu =
0
0.6601
0
0

There were four clusters created from the X data matrix and their prototypes vectors were
stored in the matrix C. The first three elements in each row of the data matrix is the
original data and the last column contains the identifier for the cluster closest to it. The
vector mu contains the membership of the last data vector to each of the clusters. It can be
seen that it is closest to vector prototype number 2.

The Adeli-Hung Algorithm does a good job of clustering the data and finding their
membership to the clusters. This can be used to preprocess data to be input to a fuzzy
system.

13.4 Neural Network Driven Fuzzy Reasoning

Fuzzy systems that have several inputs suffer from the curse of dimensionality. This
section will investigate and implement the Takagi-Hayashi (T-H) method for the
construction and tuning of fuzzy rules, this is commonly referred to as neural network
driven fuzzy reasoning. The T-H method is an automatic procedure for extracting rules

173
and can greatly reduce the number of rules in a high dimensional problem, thus making the
problem tractable.

The T-H method performs three major functions:

1. Partitions the decision hyperspace into a number of rules. It performs this with a
clustering algorithm.
2. Identifies a rule's antecedent values (left hand side membership function). It performs
this with a neural network.
3. Identifies a rule's consequent values (right hand side membership function) by using a
neural network with supervised training. This part necessitates the existence of target
outputs.

y

wr
w2 x
w1 x
... x
u1 u2 un
NNmem
NN1 NN2 ... NNr

x1 x2 ... xn
Takagi-Hayashi Method

The above block diagram represents the T-H Method of fuzzy rule extraction. This method
uses a variation of the Sugeno fuzzy rule:

if xi is Ai AND x2 is A2 AND ....xn is An then y=f(x1, ...xn)

where f() is a neural network model rather than a mathematical function. This results in a
rule of the form:

if xi is Ai AND x2 is A2 AND ....xn is An then y=NN(x1, ...xn).

The NNmem calculates the membership of the input to the LHS membership functions and
outputs the membership values. The other neural networks form the RHS of the rules. The
LHS membership values weigh the RHS neural network outputs through a product function.
The altered RHS membership values are aggregated to calculate the T-H system output.
The neural networks are standard feedforward multilayer perceptron designs.

The following 5 steps implement the T-H Method. The T-H method also implements
methods for reducing the neural network inputs to a small set of significant inputs and
checking them for overfitting during training.

Step 1: The training data x is clustered into r groups: R1, R2,..., Rs {s=1,2,...,r} with nts
terms in each group. Note that the number of inferencing rules will be equal to r.

174
Step 2: The NNmem neural network is trained with the targets values selected as:
1, xi  R s
wis   i  1,..., nts ; s  1,..., r
0, xi  R
s

The outputs of NNmem for an input xi are labeled wis, and are the membership
values of xi to each antecedent set Rs.

Step 3: The NNs networks are trained to identify the consequent part of the rules. The
inputs are {xi1s,...xims}, and the outputs are ys i=1,2,...,nt.

Step 4: The final output value y is calculated with a weighted sum of the NN s outputs.:

 As
( xi )  u s ( xi )inf
s 1
yi  r i  1,2,... n
 s 1
As
( xi )

where us(xi) is the calculated output of NNs.

An example of implementing the T-H method is given below.

Suppose the data and clustering results from the prior example are used. In this example
there are 9 input data vectors that have been clustered into four groups:

R1 has 2 inputs assigned to it (nt1 = 2).

R2 has 3 inputs assigned to it (nt2 = 2).
R3 has 3 inputs assigned to it (nt3 = 3).
R4 has 1 input assigned to it (nt4 = 1).

Therefore, there are four rules to implement in the system. First we will train the network
NNmem.
load AHAdata
x=data(:,1:3); % The first three columns of data are the input patterns.
class=data(:,4); % The last column of data is the classification.
t=zeros(9,4);
for i=1:9 % Create the target vector so that the
t(i,class(i))=1; % classification column in each target pattern
end % is equal to a 1; all other are zero.
t
save TH_data x t

t =
1 0 0 0
1 0 0 0
0 1 0 0
0 0 1 0

175
 0 1 0 0
0 0 1 0
0 0 0 1
0 0 1 0
0 1 0 0

We used the bptrain algorithm to train NNmem and save the weights in th_m_wgt. The
network's architecture consists of three logistic hidden neurons and a logistic output
neuron. Now each of the consequent neural networks (NNs) must be trained. To train
those networks, we must first define the target vectors y and then create the 4 training data
sets.

% In this example we will define single outputs for each input.

y=[10 12 5 2 4 1 7 1.5 4.5]';
r=4; % Number of classifications.
for s=1:r
ind=find(data(:,4)==s); % Identify the rows in each class.
x=data(ind,1:3); % Make the input training matrix.
t=y(ind,:); % make the target training matrix.
eval(['save th_',num2str(s),'_dat x t']);
end

The four neural networks with 1 logistic hidden neuron and a linear output neuron were
trained off line with bptrain. The weights were saved in th_1_wgt, th_2_wgt, th_3_wgt,
and th_4_wgt.

The following code implements the T-H network structure and evaluates the output for a
test vector.

xt=[-.1 .1 .05]'; % Define the test vector.

% Load the neural network weight matrices.
load th_1_wgt; W11=W1;W21=W2;
load th_2_wgt; W12=W1;W22=W2;
load th_3_wgt; W13=W1;W23=W2;
load th_4_wgt; W14=W1;W24=W2;
load th_m_wgt; W1n=W1;W2n=W2;
mu = logistic(W2n*[1;logistic(W1n*[1;xt])]); % NNmem outputs.
% Find the outputs of all four consequent networks.
u1 = W21*[1;logistic(W11*[1;xt])];
u2 = W22*[1;logistic(W12*[1;xt])];
u3 = W23*[1;logistic(W13*[1;xt])];
u4 = W24*[1;logistic(W14*[1;xt])];
u=[u1 u2 u3 u4]; % Vector of NNs outputs.
Ys=u*mu; % NNs outputs times the membership values (NNmem).
Y=sum(Ys)/sum(mu) % T-H Fuzzy System ouptut

Y =
4.4096

The closest input to the test vector [-0.1 0.1 0.05] are the vectors [0 1 0], [0 0 0] and [0
0 .1]. These three vectors have target values of 5, 4, and 4.5 respectively, so the output of
4.41 is appropriate. The training vectors were all input to the system and the network

176
performed well for all 9 cases. The T-H method of using neural networks to generate the
antecedent and consequent membership functions has been found to be useful and easily
implementable with MATLAB.

13.5 Learning and Adaptation in Fuzzy Systems via Neural Networks

When experiential data exists, fuzzy systems can be trained to represent an input-output
relationship. By using gradient descent techniques, fuzzy system parameters, such as
membership functions (LHS or RHS), and the connectives between layers in an adaptive
network, can be optimized. Adaptation of fuzzy systems using neural network training
methods have been proposed by various researchers. Some of the methods described in the
literature are: 1) fuzzy system adaptation using gradient-descent error minimization
[Hayashi et al. 1992]; 2) optimization of a parameterized fuzzy system with symmetric
triangular-shaped input membership functions and crisp outputs using gradient-descent
error minimization [Nomura, 1994; Wang, 1994; Jang, 1995]; 3) gradient-descent with
exponential MFs [Ichihashi, 1993]; and 4) gradient-descent with symmetric and non-
symmetric LHS MFs varying connectives and RHS forms [Guély, Siarry, 1993].

Regardless of the method or the parameter of the fuzzy system chosen for adaptation, an
objective error function, E, must be chosen. Commonly, the squared error is chosen:

1
E ( y  yt )2 ;
2

where y t is the target output and y is the fuzzy system output. Consider the i th rule of a
zero-order Sugeno fuzzy system consisting of n rules (i = 1, …, n). The figure below
presents a zero-order Sugeno system with m inputs and n rules.

A11 A(x) f1=r1

A12 w1 w1
 N  y1
x1
A1m
x2  y
An1 fn= rn
xm An2 yn
 wn N wn 
Anm
Zero-Order Sugeno System

where: x is the input vector.

A is an antecedent membership function (LHS).
A(x) is the membership of x to set A.
wi is the degree of fulfillment of the ith rule.
w i is the normalized degree of fulfillment of the ith rule.

177
 ri is a constant singleton membership function of the i th rule (RHS).
yi is the output of the ith rule.

Mathematically, a zero-order Sugeno system is represented by the following equations:

m
wi    A ji ( x j )
j 1

where A(xj) is the membership of xj to the fuzzy set A, and wi is the degree of fulfillment
of the ith rule. The normalized degree of fulfillment is given by:

wi
wi 

n
i 1
wi

The output (y) of a fuzzy system with n rules can be calculated as:

y  i 1 wi f i  i 1 yi
n n

In this case, the system is a zero-order Sugeno system and fi is defined as:

f i  ri

An example of a 1st order Sugeno system is given in section 13.6.

This notation is slightly different than that in the text, but it is consistent with Jang (1996).
When target outputs (yrp) are given, the network can be adapted to reduce an error
measure. The adaptable parameters are the input membership functions and the output
singleton membership functions, ri. Now we will look at an example of using gradient
descent to optimize the ri values of this zero-order Sugeno system.

13.5.1 Zero Order Sugeno Fan Speed Control

Consider a zero-order Sugeno fuzzy system used to control the speed of a fan. The
objective is to maintain a comfortable temperature in the room based on two input
variables: temperature and activity. Three linguistic variables: "cool", "moderate", and
"hot" will be used to describe temperature, and two linguistic variables: "low" and "high"
will be used to describe the level of activity in the room. The fan speed will be a crisp
output value based on the following set of fuzzy rules:

if Temp is Cool AND Activity is Low then Speed is very_low (w1)

if Temp is Cool AND Activity is High then Speed is low (w2)
if Temp is Moderate AND Activity is Low then Speed is low_medium (w3)
if Temp is Moderate AND Activity is High then Speed is medium (w4)
if Temp is Hot AND Activity is Low then Speed is medium_high (w5)
if Temp is Hot AND Activity is High then Speed is high (w6)

178
The fuzzy antecedent and consequent membership functions are defined over the universe
of discourse with the following MATLAB code.

% Universe of Discourse
x = [0:5:100]; % Temperature
y = [0:1:10]; % Activity
z = [0:1:10]; % Fan Speed

% Temperature
cool_mf = mf_trap(x,[0 0 30 50],'n');
moderate_mf = mf_tri(x,[30 55 80],'n');
hot_mf = mf_trap(x,[60 80 100 100],'n');
antecedent_t = [cool_mf;moderate_mf;hot_mf];
plot(x,antecedent_t)
axis([-inf inf 0 1.2]);
title('Antecedent MFs for Temperature')
text(10, 1.1, 'Cool');
text(50, 1.1, 'Moderate');
text(80, 1.1, 'Hot');
xlabel('Temperature')
ylabel('Membership')

Antecedent MFs for Temperature

Cool Moderate Hot

1

0.8
Membership

0.6

0.4

0.2

0
0 20 40 60 80 100
Temperature

low_act = mf_trap(y,[0 0 2 8],'n');

high_act = mf_trap(y,[2 8 10 10],'n');
antecedent_a = [low_act;high_act];
plot(y, antecedent_a);
axis([-inf inf 0 1.2]);
title('Antecedent MFs for Activity')
text(1, 1.1, 'Low');text(8, 1.1, 'High');
xlabel('Activity Level');ylabel('Membership')

179
 Antecedent MFs for Activity

Low High
1

0.8
Membership

0.6

0.4

0.2

0
0 2 4 6 8 10
Activity Level

The consequent values of a Sugeno system are crisp singletons. The singletons for the fan
speed are defined as:

% Fan Speed Consequent Values.

very_low_mf = 1;
low_mf = 2;
low_medium_mf = 4;
medium_mf = 6;
medium_high_mf = 8;
high_mf = 10;
consequent_mf =
[very_low_mf;low_mf;low_medium_mf;medium_mf;medium_high_mf;high_mf];
stem(consequent_mf,ones(size(consequent_mf)))
axis([0 11 0 1.2]);
title('Consequent Values for Fan Speed');
xlabel('Fan Speed')
ylabel('Membership')
text(.5, 1.1, 'Very_Low');
text(2.1, .6, 'Low');
text(3.5, 1.1, 'Low_Medium');
text(6.1, .6, 'Medium');
text(7.5, 1.1, 'Medium_High');
text(10.1, .6, 'High');

180
 ConsequentValues for Fan Speed

Very_Low Low_Medium Medium_High

1

0.8
Membership

0.6 Low Medium High

0.4

0.2

0
0 2 4 6 8 10
Fan Speed

Now that we have defined the membership functions and consequent values, we will
evaluate the fuzzy system for an input pattern with temperature = 72.5 and activity = 6.1.
First we fuzzify the inputs by finding their membership to each antecedent membership
function.

temp = 72.5; % Temperature

mut1=mf_trap(temp, [0 0 30 50],'n');
mut2=mf_tri(temp, [30 55 80],'n');
mut3=mf_trap(temp, [60 80 100 100],'n');
MU_t = [mut1;mut2;mut3]

MU_t =
0
0.3000
0.6250

act = 6.1; % Activity

mua1 = mf_trap(act,[0 0 2 8],'n');
mua2 = mf_trap(act,[2 8 10 10],'n');
MU_a = [mua1;mua2]

MU_a =
0.3167
0.6833

Next, we apply the Sugeno fuzzy AND implication operation to find the degree of
fulfillment of each rule.

antecedent_DOF = [MU_t(1)*MU_a(1)
MU_t(1)*MU_a(2)
MU_t(2)*MU_a(1)

181
MU_t(2)*MU_a(2)
MU_t(3)*MU_a(1)
MU_t(3)*MU_a(2)]

antecedent_DOF =
0
0
0.0950
0.2050
0.1979
0.4271

A plot of the firing strengths of each of the rules is:

stem(consequent_mf,antecedent_DOF)
axis([0 11 0 .5]);
title('Consequent Firing Strengths')
xlabel('Fan Speed')
ylabel('Firing Strength')
text(0.2, antecedent_DOF(1)+.02, ' Very_Low');
text(1.5, antecedent_DOF(2)+.04, ' Low');
text(3.0, antecedent_DOF(3)+.02, ' Low_Medium');
text(5.1, antecedent_DOF(4)+.02, ' Medium');
text(7.0, antecedent_DOF(5)+.02, ' Medium_High');
text(9.5, antecedent_DOF(6)+.02, ' High');

Consequent Firing Strengths

0.5

0.45 High
0.4

0.35

0.3
Firing Strength

0.25
Medium Medium_High
0.2

0.15
Low_Medium
0.1

0.05 Low
Very_Low
0
0 2 4 6 8 10
Fan Speed

The output is the weighted average of the rule fulfillments.

output_y=sum(antecedent_DOF.*consequent_mf)/ sum(antecedent_DOF)

output_y =
8.0694

182
The fan speed would be set to a value of 8.07 for a temperature of 72.5 degrees and an
activity level of 6.1.

13.5.2 Consequent Membership Function Training

If you desire a specific input-output model and example data are available, the membership
functions may be trained to produce the desired model. This is accomplished by using a
gradient-descent algorithm to minimize an objective error function such as the one defined
earlier.

The learning rule for the output crisp membership functions (ri) is defined by
 E
ri ( t '1)  ri ( t ' )  lr 
 ri
where t' is the learning epoch. The update equation can be rewritten as [Nomura et al.
1994]
 pi
ri (t '1)  ri (t ' )  lr  ( y p  y rp ) .

n
i 1
i p

The m-file sugfuz.m demonstrates this use of gradient descent to optimize the output
membership functions (ri).

13.5.3 Antecedent Membership Function Training

The gradient descent algorithm can also be used to optimize the antecedent membership
functions. The examples in this supplement use the triangular and trapezoidal membership
functions which have non-zero derivatives where the outputs are non-zero. Other
adaptable fuzzy systems may use gaussian or generalized bell antecedent membership
functions. These functions have non-zero derivatives throughout the universe of discourse
and may be easier to implement. Because their derivatives are continuous and smooth,
their training performance may also be better. Consider the parameters of a symmetric
triangular membership function (aij = peak; bij = support):
 x  aij bij
1  j , if x j  aij 
ij ( x j )   bij / 2 2

 0 , otherwise
A symmetric or non-symmetric triangular membership function can be created using the
mf_tri() function, this function will be better described in Section 13.5.4. The membership
function can be plotted using the plot function or by using the plot flag. In this example,
the plot flag is set to no.

x= [0:1:10]; % universe of discourse

a=5;b=4; % [peak support]
mu_i= mf_tri(x,[a-b/2 a a+b/2],'n'); % calculate memberships
plot(x,mu_i); % plot memberships
title('Symmetric Triangular Membership Function');
axis([-inf inf 0 1.2]);xlabel('Input')
ylabel('Membership');text(4.5,1.1,'(a = Peak)');
text(2.5,.1,'(a-0.5b)');text(6.5,.1,'(a+0.5b)');

183
 Symmetric Triangular Membership Function

(a = Peak)
1

0.8
Membership

0.6

0.4

0.2
(a-0.5b) (a+0.5b)
0
0 2 4 6 8 10
Input

The peak parameter update rule is:

a  E
aij (t '1)  aij (t ' )  
p  aij
a  E p'
p
 aij (t ' )  
2 p p '1  aij

where a is the learning rate for aij and p is the number of input patterns. Similar update
rules exist for the other MF parameters. The chain rule can be used to calculate the
derivatives used to update the MF parameters:

 E  E  y  yi  wi  ij
    , for the peak parameter;
 aij  y  yi  wi  ij  aij

Using the symmetric triangular MF equations and the product interpretation for AND, the
partial derivatives are derived below.

1 E
E ( y  yt )2 so  y
 y  yt  e
2
 y
y  i 1 yi
n
so 1
 yi

wi  wi (ri  y )
yi  ri 
so  wi n

i 1 wi w
n
i
i 1

184
 m  wi wi
wi    A ji ( x j ) so 
j 1  ij ( x j ) ij ( x j )

x j  a ij  i 2 * sign( x j  aij ) bij

ij ( x j )  1  so  if x j  aij 
bij / 2  aij bij 2

 i bij
and 0 if x j  aij 
 aij 2

similarly:

 ij 1  ij ( xij )

 .
 bij bij

Substituting these into the update equation we get

E (ri  y ) wi 2 * sign( x j  aij )

 (y  yt )   
 aij n
ij ( x j ) bij
w
i 1
i

E (ri  y ) wi 1  ij ( x j )
 (y  yt )   
 bij n
ij ( x j ) bij
w
i 1
i

For the RHS membership functions we have:

E  E  y  yi
 
 ri  y yi ri

 yi
yi  wi ri so  wi
 ri

resulting in the following gradient.

E
 ( y  y t )  1  wi .
 wi

13.5.4 Membership Function Derivative Functions

Four functions were created to calculate the MF values and derivatives of the MF with
respect to their parameters for non-symmetric triangular and trapezoidal MFs. They are
mf_tri.m, mf_trap.m, dmf_tri.m and dmf_trap.m.

185
The MATLAB code used in the earlier Fuzzy Logic Chapters required the input to be a
defined point on the universe of discourse. These functions do not have limitations on the
input and are therefore more general in nature. For example, if the universe of discourse is
defined as x=[0:1:10], earlier functions could only be evaluated at those points and an error
would occur for an input such as input=2.3. The functions described in this section can
handle all ranges of inputs.

Let's look at the triangular membership function outputs and derivatives first.

The function mf_tri can construct symmetrical or non-symmetric triangular membership

functions.

x=[-10:.2:10];
[mf1]=mf_tri(x,[-4 0 3],'y');

Triangular Membership Function

Peak (b)
1

0.8
Membership

0.6

0.4

0.2
LeftFoot(a) Right Foot (c)
0
-10 -5 0 5 10
Input

Derivative of non-symmetric triangular MF with respect to its parameters

[mf1]=dmf_tri(x,[-4 0 3],'y');

186
 Triangular Membership Function Derivatives

0.3

0.2
dMF wrt parameters

0.1

-0.1

-0.2

-10 -5 0 5 10
Input

Trapezoidal membership functions:

[mf1]=mf_trap(x,[-5 -3 3 5],'y');

Trapezoidal Membership Function

(b) (c)
1

0.8
Membership

0.6

0.4

0.2
(a) (d)
0
-10 -5 0 5 10
Input

Derivative of trapezoidal MF with respect to it parameters:

[mf1]=dmf_trap(x,[-5 -3 3 5],'y');

187
 Trapezoidal Membership Function Derivatives
0.5

0.4

0.3

0.2
dmf wrt parameter

0.1

-0.1

-0.2

-0.3

-0.4

-0.5
-10 -5 0 5 10
Input

The m-file adaptri.m demonstrates the use of gradient descent to optimize parameters of 3
non-symmetric triangular MFs and consequent singletons to approximate the function

f(x) = 0.05* x 3 - 0.02 * x 2 - 0.3* x + 20.

The m-file adpttrap.m demonstrates the use of gradient descent to optimize parameters of 3
trapezoid MFs and consequent singletons to approximate the same function.

13.5.5 Membership Function Training Example

As a simple example of using gradient descent to adjust the parameters of the antecedent
and singleton consequent membership functions, consider the following problem. Assume
that a large naval gun is properly sighted when it is pointing at 5 degrees. The universe of
discourse will be defined from 1 to 10 degrees, and the membership to "Sighted Properly"
will be defined as:

clear all;x= [0:.5:10]; % input

num_pts=size(x,2); % # of points
a=5; % peak
b=4; % support
mu_i=mf_tri(x,[a-b/2 a a+b/2],'y');
title('MF representing "Sighted Properly"');
xlabel('Direction in Degrees')
ylabel('Membership')

188
 MF representing "Sighted Properly"

Peak (b)
1

0.8
Membership

0.6

0.4

0.2
LeftFoot(a) Right Foot (c)
0
0 2 4 6 8 10
Direction in Degrees

To decide if an artillery shell will hit the target (on a scale of 1-10), consider the following
zero-order Sugeno fuzzy system with one rule and r = 10.

if Gun is Sighted Properly then "Chance of Hit" is 10 (r=10).

Suppose we have experimentally calculated the input-output surface to be:

r=10; % r value of zero-order Sugeno rule

y_t=mu_i*r; % Chance of Hit
plot(x,y_t);
title('Input-Output Surface for Gun');
axis([-inf inf 0 10.5]);
xlabel('Direction (Input)')
ylabel('Chance of Hit (Output)')

189
 Input-Output Surface for Gun

10

7
Chance of Hit (Output)

0
0 2 4 6 8 10
Direction (Input)

We will now demonstrate how the antecedent MF parameters of a symmetric triangular MF

and the consequent r value can be optimized using gradient descent. We will use the input-
output data above as training data and initialize the MFs to a=3, b=4, and r=8. The general
procedure will involve these steps:

1. A forward pass of all inputs to calculate the output;

2. The calculation of the error and SSE for all inputs;
3. The calculation of the gradient vectors;
4. The updating of the parameters based on the update rule; and
5. Repeating steps 1 through until the training error goal is reached or the maximum
number of training epochs is exceeded.

Step 1: Forward pass of all inputs to calculate the output

% Initial MF parameters
r=8; % initial r value
a=3; % initial peak value
b=6; % initial support value
mu_i=mf_tri(x,[a-b/2 a a+b/2],'n'); % initial MFs
y=mu_i*r; % initial output
plot(x,y_t,x,y);
title('Input-Output Surface');
axis([-inf inf 0 10.5]);
text(2.5, 4.5, 'Initial')
text(4.5,6, 'Target')
xlabel('Direction (Input)')
ylabel('Chance of Hit (Output)')

190
 Input-Output Surface

10

7
Chance of Hit (Output)

6 Target

5
Initial
4

0
0 2 4 6 8 10
Direction (Input)

Step 2: Calculate the error and SSE for all inputs

e=y-y_t;
SSE=sum(sum(e.^2))

SSE =
314.5556

Step: 3 Calculate the gradient vectors (note: one input, one rule)
ind=find(abs(x-a)<=(b/2)); % Locate indices under MF.
delta_a=r*e(ind).*((2*sign(x(ind)-a))/b);% Deltas for ind points.
delta_b=r*e(ind).*((1-mu_i(ind))/b);
delta_r=e(ind).*mu_i(ind);

Step 4: Update the parameters with the update rule

lr_a=.1;
lr_b=5;
lr_r=10;
del_a=-((lr_a/(2*num_pts))*sum(delta_a));
del_b=-((lr_b/(2*num_pts))*sum(delta_b));
del_r=-((lr_r/(2*num_pts))*sum(delta_r));
a=a+del_a;
b=b+del_b;
r=r+del_r;

a =
3.7955
b =
4.3239
r =
5.8409

191
Let's see if the SSE is any better:

mu_i=mf_tri(x,[a-b/2 a a+b/2],'n');
y_new=mu_i*r; % Ready To Eat
e=y_t-y_new; % error
SSE(2)=sum(sum(e.^2)) % Sum Squared error

SSE =
314.5556 189.1447

The SSE was reduced from 314 to 190 in one pass. Lets now iteratively train the fuzzy
system.

Step 5: Repeat steps 1 through 5

maxcycles=30;
SSE_goal=.5;
for i=2:maxcycles
mu_i=mf_tri(x,[a-b/2 a a+b/2],'n');
y_new=mu_i*r; % Output
e=y_new-y_t; % Output Error
SSE(i)=sum(sum(e.^2)); % SSE
if SSE(i) < SSE_goal; break;end
ind=find(abs(x-a)<=(b/2));
delta_a=r*e(ind).*((2*sign(x(ind)-a))/b);
delta_b=r*e(ind).*((1-mu_i(ind))/b);
delta_r=e(ind).*mu_i(ind);
del_a=-((lr_a/(2*num_pts))*sum(delta_a));
del_b=-((lr_b/(2*num_pts))*sum(delta_b));
del_r=-((lr_r/(2*num_pts))*sum(delta_r));
a=a+del_a;
b=b+del_b;
r=r+del_r;
end

Now lets plot the results:

plot(x,y_t,x,y_new,x,y);
title('Input-Output Surface');
axis([0 10 0 10.5]);
text(2.5,5, 'Initial');
text(4.5,7.5, 'Target');
text(4,6.5, 'Final');
xlabel('Input');ylabel('Output');

192
 Input-Output Surface

10

8
Target
7
Final
6
Output

5 Initial

0
0 2 4 6 8 10
Input

Plot SSE training performance:

semilogy(SSE);title('Training Record SSE')

xlabel('Epochs');ylabel('SSE');grid;

3
Training Record SSE
10

2
10

1
SSE

10

0
10

-1
10
0 5 10 15 20 25
Epochs

The m-file adaptfuz.m demonstrates the use of gradient descent to optimize the MF
parameters and shows how the membership functions and input-output relationship changes
during the training process.

193
13.6 Adaptive Network-Based Fuzzy Inference Systems
Jang and Sun [Jang, 1992, Jang and Gulley, 1995] introduced the adaptive network-based
fuzzy inference system (ANFIS). This system makes use of a hybrid learning rule to
optimize the fuzzy system parameters of a first order Sugeno system. A first order Sugeno
system can be graphically represented by:
x1 x2
A1
w1 w1
x1  N y1=w1f1
A2
 y
B1
x2  N y2=w2f2
w2 w2
B2
x1 x2

Layer 1 Layer 2 Layer 3 Layer 4 Layer 5

ANFIS architecture for a two-input, two-rule first-order Sugeno model with [Jang 1995a].

where the consequence parameters (p, q, and r) of the nth rule contribute through a first
order polynomial of the form:

f n  pn x1  q n x 2  rn

13.6.1 ANFIS Hybrid Training Rule

The ANFIS architecture consists of two trainable parameter sets:

1). The antecedent membership function parameters [a,b,c,d].

2). The polynomial parameters [p,q,r], also called the consequent parameters.

The ANFIS training paradigm uses a gradient descent algorithm to optimize the antecedent
parameters and a least squares algorithm to solve for the consequent parameters. Because
it uses two very different algorithms to reduce the error, the training rule is called a hybrid.
The consequent parameters are updated first using a least squares algorithm and the
antecedent parameters are then updated by backpropagating the errors that still exist.

The ANFIS architecture consists of five layers with the output of the nodes in each
respective layer represented by Oil , where i is the ith node of layer l. The following is a
layer by layer description of a two input two rule first-order Sugeno system.

Layer 1. Generate the membership grades:

Oi1   Ai ( x )

194
Layer 2. Generate the firing strengths.

Oi2  wi   j 1  Ai ( x )
m

Layer 3. Normalize the firing strengths.

wi
Oi3  wi 
w1  w2

Layer 4. Calculate rule outputs based on the consequent parameters.

Oi4  yi  wi f i  wi ( pi x1  qi x 2  ri )

Layer 5. Sum all the inputs from layer 4.

O15   yi   wi f i  ( w1 x1 ) p1  ( w1 x 2 ) q1  w1r1  ( w2 x 2 ) p2  ( w2 x 2 )q2  w2 r2

i i

It is in this last layer that the consequent parameters can be solved for using a least square
algorithm. Let us rearrange this last equation into a more usable form:

O15  y  ( w1 x1 ) p1  ( w1 x 2 )q1  w1r1  ( w2 x1 ) p2  ( w2 x 2 ) q2  w2 r2

 p1 
q 
 1
 r1 
y  w1 x1 w1 x 2 w3 w 2 x1 w2 x 2 w2    XW
 p2 
 q2 
 
 r2 

When input-output training patterns exist, the weight vector (W), which consist of the
consequent parameters, can be solved for using a regression technique.

13.6.2 Least Squares Regression Techniques

Since a least squares technique can be used to solve for the consequent parameters, we will
investigate three different techniques used to solve this type of problem. When the output
layer of a network or system performs a linear combination of the previous layer's output,
the weights can be solved for using a least squares method rather than iteratively trained
with a backpropagation algorithm.

The rule outputs are represented by the p by 3n dimensional matrix X, with p rows equal to
the number of input patterns and n columns equal to the number of rules. The desired or
target outputs are represented by the p by m dimensional matrix Y with p rows and m

195
columns equal to the number of outputs. Setting the problem up in this format allows us to
use a lease squares solution for the weight vector W of n by m dimension..

Y=X*W

If the X matrix were invertable, it would be easy to solve for W:

W=X-1*Y

but this is not usually the case. Therefore, a pseudoinverse can be used to solve for W:

W=(XT*X)-1*XT*Y (where XT is the transpose of X)

This will minimize the error between the predicted Y and the target Y. However, this
method involves inverting (X'*X), which can cause numerical problems when the columns
of x are dependent. Consider the following regression example.

% Pseudoinverse Solution

x=[2 1
4 2
6 3
8 4];

y=[3 6 9 12]';

w=inv(x'*x)*x'*y;
sse=sum(sum((x*w-y).^2))

Warning: Matrix is singular to working precision.

sse =
Inf

Although dependent rows can be removed, data is rarely dependent. Consider data that has
a small amount of noise that may result in a marginally independent case. We will use the
marginally independent data for training and the noise free data to check for generalization.

X=[2.000000001 1
3.999999998 2
5.999999998 3
8.000000001 4];

w=inv(X'*X)*X'*y
SSE=sum(sum((X*w-y).^2))
sse=sum(sum((x*w-y).^2))

Warning: Matrix is close to singular or badly scaled.

Results may be inaccurate. RCOND = 7.894919e-018

w =

196
 -0.3742
0.7496
SSE =
269.7693
sse =
269.7693

The warning tells us that numerical instabilities may result from the nearly singular case
and the SSE shows that instabilities did occur. A case with independent patterns results in
no errors or warnings.

X1=[2.001 1
4.00 2
6.00 3
8.00 4.001];

% Pseudoinverse Solution
w=inv(X1'*X1)*X1'*y
SSE=sum(sum((X1*w-y).^2))
sse=sum(sum((x*w-y).^2))

w =
0.9504
1.0990
SSE =
1.1583e-006
sse =
9.5293e-007

Better regression methods use the LU (Lower Triangular, Upper Triangular) or more
robust QR (Orthogonal, Right Triangular) decompositions rather than a simple inversion of
the matrix, and the best method uses the singular value decomposition (SVD) [Masters
1993]. The MATLAB command / uses a QR decomposition with pivoting. It provides a
least squares solution to an under or over-determined system.

% QR Decomposition

w=(y'/X')'
sse=sum(sum((X*w-y).^2))
SSE=sum(sum((x*w-y).^2))

w =
0.0000
3.0000
sse =
7.2970e-030
SSE =
7.2970e-030

The SVD method of solving for the output weights also has the advantage of giving the
user control to remove unimportant information that may be related to noise. By removing
this unimportant information, one lessens the chance of overfitting the function to be

197
approximated. The SVD method decomposes the x matrix into a diagonal matrix S of the
same dimension as X that contains the singular values, and unitary matrix U of principle
components, and an orthonormal matrix of right singular values V.

X=U S VT

The singular values in S are positive and arranged in decreasing order. Their magnitude is
related to the information content of the columns of U (principle components) that span X.
Therefore, to remove the noise effects on the solution of the weight matrix, we simply
remove the columns of U that correspond to small diagonal values in S. The weight matrix
is then solved for using:

W = V S-1 UT Y

The SVD methodology uses the most relevant information to compute the weight matrix
and discards unimportant information that may be due to noise. Application of this
methodology has sped up the training of neural networks 40 fold [Uhrig et. al. 1996] and
resulted in networks with superior generalization capabilities.

% Singular Value Decomposition (SVD)

[u,s,v]=svd(X,0);;
inv_s=inv(s)

inv_s =
1.0e+008 *
0.0000 0
0 7.3855

We can see that the first singular value has very little information in it. Therefore, we
discard its corresponding column in U. This discards the information related to the noise
and keeps the solution from attempting to fit the noise.

for i=1:2
if s(i,i)<.1
inv_s(i,i)=0;
end
end
w=v*inv_s*u'*y
sse=sum(sum((x*w-y).^2))
SSE=sum(sum((X*w-y).^2))

w =
1.2000
0.6000
sse =
1.2000e-018
SSE =
1.3200e-017

198
The SVD method did not reduce the error as much as did the QR decomposition method,
but this is because the QR method tried to fit the noise. Remember that this is overfitting
and is not desired. MATLAB has a pinv() function that automatically calculates a pseudo-
inverse the SVD.

w=pinv(X,1e-5)*y
sse=sum(sum((x*w-y).^2))
SSE=sum(sum((X*w-y).^2))

w =
1.2000
0.6000
sse =
1.2000e-018
SSE =
1.3200e-017

We see that the results of the two SVD methods are close to identical. The pinv function
will be used in the following example.

13.6.3 ANFIS Hybrid Training Example

To better understand the ANFIS architecture and training paradigm consider the following
example of a first order Sugeno system with three rules:

if x is A1 then f1 =p1x + r1
if x is A2 then f2 =p2x + r2
if x is A3 then f3 =p3x + r3

This ANFIS has three trapezoidal membership functions (A1, A2, A3) and can be represented
by the following diagram:
x
f1
w1 w1 y1
A1 N 
x
f2
w2 w2 y2
x A2 N   y
x
f3
w3 w3
A3 N  y3

ANFIS architecture for a one-input first-order Sugeno fuzzy model with three rules

First we will create training data for the function to be approximated:

f(x) = 0.05* x 3 - 0.02 * x 2 - 0.3* x + 20.

199
x=[-10:1:10];clg;
y_rp=.05*x'.^3-.02*x'.^2-.3*x'+20;
num_pts=size(x,2); % number of input patterns
plot(x,y_rp);
xlabel('Input');
ylabel('Output');
title('Function to be Approximated');

Function to be Approximated
70

60

50

40

30
Output

20

10

-10

-20

-30
-10 -5 0 5 10
Input

Now we will step through the ANFIS training paradigm.

Layer 1. Generate the membership grades:

Oi1   A ( x )

% LAYER 1 MF values
% Initialize Antecedent Parameters
a1=-17; b1=-13; c1=-7; d1=-3;
a2=-9; b2=-4; c2=3; d2=8;
a3=3; b3=7; c3=13; d3=8;
[mf1]=mf_trap(x,[a1 b1 c1 d1],'n');
[mf2]=mf_trap(x,[a2 b2 c2 d2], 'n');
[mf3]=mf_trap(x,[a3 b3 c3 d3], 'n');

% Plot MFs
plot(x,mf1,x,mf2,x,mf3);
axis([-inf inf 0 1.2]);
title('Initial Input MFs')
xlabel('Input');
ylabel('Membership');
text(-9, .7, 'mf1');

200
text(-1, .7, 'mf2');
text(8, .7, 'mf3');

Initial Input MFs

0.8
mf1 mf2 mf3
Membership

0.6

0.4

0.2

0
-10 -5 0 5 10
Input

Layer 2. Generate the firing strengths.

Oi2  wi   Ai ( x )

% LAYER 2 calculates the firing strength of the

% 1st order Sugeno rules. Since each rule only has one antecedent
% membership function, no product operation is necessary.
w1=mf1; % rule 1
w2=mf2; % rule 2
w3=mf3; % rule 3

Layer 3. Normalizes the firing strengths.

wi
Oi3  wi 
w1  w2  w3

% LAYER 3
% Determines the normalized firing strengths for the rules (nw) and
% sets to zero if all rules are zero (prevent divide by 0 errors)
for j=1:num_pts
if (w1(:,j)==0 & w2(:,j)==0 & w3(:,j)==0)
nw1(:,j)=0;
nw2(:,j)=0;
nw3(:,j)=0;
else
nw1(:,j)=w1(:,j)/(w1(:,j)+w2(:,j)+w3(:,j));
nw2(:,j)=w2(:,j)/(w1(:,j)+w2(:,j)+w3(:,j));

201
 nw3(:,j)=w3(:,j)/(w1(:,j)+w2(:,j)+w3(:,j));
end
end

Calculate the consequent parameters.

X_inner=[nw1.*x;nw2.*x;nw3.*x;nw1;nw2;nw3];
C_parms=pinv(X_inner')*y_rp % [p1 p2 p3 r1 r2 r3]

C_parms =
8.3762
0.7055
8.2927
57.4508
20.0514
-21.1564

Layers 4 and 5. Calculate the outputs using the consequent parameters.

Oi4  wi f i  wi ( pi x  ri )
O15   wi f i  ( w1 x ) p1  w1r1  ( w2 x ) p2  w2 r2  ( w3 x ) p3  w3 r3
i

% LAYERS 4 and 5
% Calculate the outputs using the inner layer outputs and the
% consequent parameters.
y=X_inner'*C_parms;

Plot the Results.

plot(x,y_rp,'+',x,y);
xlabel('Input','fontsize',10);
ylabel('Output','fontsize',10);
title('Function Approximation');
legend('Reference','Output')

202
 Function Approximation
70

60

50

40

30
Output

20

10
Reference
Output
0

-10

-20

-30
-10 -5 0 5 10
Input

We can see that by just solving for the consequent parameters we have a very good
approximation of the function. We can also train the antecedent parameters using gradient
descent.

Each ANFIS training epoch, using the hybrid learning rule, consists of two passes. The
consequent parameters are obtained during the forward pass using a least-squares
optimization algorithm and the premise parameters are updated using a gradient descent
algorithm. During the forward pass all node outputs are calculated up to layer 4. At layer
4 the consequent parameters are calculated using a least-squares regression method. Next,
the outputs are calculated using the new consequent parameters and the error signals are
propagated back through the layers to determine the premise parameter updates.

The consequent parameters are usually solved for at each epoch during the training phase,
because as the output of the last hidden layer changes due the backpropagation phase, the
consequent parameters are no longer optimal. Since the SVD is computationally intensive,
it may be most efficient to perform it every few epochs versus every epoch.

The m-file anfistrn.m demonstrates use of the hybrid learning rule to train an ANFIS
architecture to approximate the function mentioned above. The consequent parameters
([p1 p2 p3 r1 r2 r3]) after the first SVD solution were:

C_parms = [8.8650 4.5311 8.6415 64.2963 23.7368 -26.0706]

and the final consequent parameters were:

C_parms =[11.0308 7.3120 10.5315 82.7411 25.4364 -41.2865]

203
Below is a graph of the initial antecedent membership functions and the function
approximation after one iteration.

Epoch 1 Function SSE 194.7

100
Reference
Output
Output

50

-50
-10 -5 0 5 10
Input
Membership

MF1 MF2 MF3

0.5

0
-10 -5 0 5 10
Input

Below is a graph of the final antecedent membership functions and the function
approximation after training is completed. The sum of squared error was reduced from 200
to 13 in 40 epochs.
Epoch 40 Function SSE 12.91
100
Reference
Output
Output

50

-50
-10 -5 0 5 10
Input
Membership

MF1 MF2 MF3

0.5

0
-10 -5 0 5 10
Input

A graph or the training record shows that the ANFIS was able to learn the input output
patters with a high degree of accuracy. The anfistrn.m code only updates the consequent
parameters every 10 epochs in order to reduce the SVD computation time. This results in a
training record with dips every 10 epochs. Updating the consequent parameters every

204
epoch did not provide significant error reductions improvements and slowed down the
training process.

3
Training Record SSE
10
SSE

2
10

1
10
0 5 10 15 20 25 30 35 40
Epochs

Chapter 14 General Hybrid Neurofuzzy Applications

No specific hybrid neurofuzzy applications will be examined in this supplement, although
Chapters 12 and 13 present the methodologies and tools necessary to implement them. The
application of the tools and techniques described in Chapter 14 of Fuzzy and Neural
Approaches in Engineering, is left to the reader.

Chapter 15 Dynamic Hybrid Neurofuzzy Systems

Chapter 15 of Fuzzy and Neural Approaches in Engineering, presents several hybrid
Neurofuzzy Systems that were developed at The University of Tennessee. These
applications are complex and can not be easily implemented with the introductory tools
developed in this Supplement. Therefore, for further information on these subjects, the
reader should consult the references given in the text.

Chapter 16 Role of Expert Systems in Neurofuzzy Systems

MATLAB does not have an expert system toolbox, nor is a user contributed toolbox
available. Since Fuzzy Systems may be viewed as a special type of expert systems that
handle uncertainty well, expert systems could be generated by using the fuzzy systems
tools with crisp membership functions.

MATLAB does have if->then programming constructs, so expert rules containing heuristic
knowledge can be embedded in the neural and fuzzy systems described in earlier chapters;
although no examples will be given in this supplement.

Chapter 17 Genetic Algorithms

205
MATLAB code will not be used to implement Genetic Algorithms in this supplement.
Commercial and user Genetic Algorithm toolboxes are available for use with MATLAB.
The following is information on a user contributed toolbox and a commercially available
toolbox.

GENETIC is a user contributed set of genetic algorithm m-files written by Andrew F.

Potvin of The MathWorks, Inc. His email is potvin@mathwork.com. This set of m-files
tries to maximize a function using a simple genetic algorithm. It is located at:
http://www.mathworks.com/optims.html

FlexTool(GA) is a commercially available package, the following is an excerpt from their

email advertising:
FlexTool(GA) M 1.1 Features:
- Modular, User Friendly, Hardware and operating system transparent
- Expert, Intermediate, and Novice help settings
- Hands-on tutorial with step by step application guidelines
- Designed to draw on MATLAB power
- Cold Start (start using previously selected GA parameters)
- Warm Start (start from the previous generation) features
- GA options : generational GA, steady state GA, micro GA
- Coding schemes include binary, logarithmic, and real
- Selection strategies : tournament, roulette wheel, ranking
- Crossover techniques include 1, 2, multiple point crossover
- Niching module to identify multiple solutions
- Clustering module : Use separately or with Niching module
- Can optimize multiple objectives
- Default parameter settings for the novice
- Statistics, figures, and data collection
For more information, contact:
Flexible Intelligence Group, L.L.C., Box 1477
Tuscaloosa, AL 35486-1477, USA
Voice: (205) 345-5166
Fax : (205) 345-5095
email: FIGLLC@AOL.COM

206
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