Interactive Evolutionary Computation in

Identification of Dynamical Systems

Janos Abonyi, Janos Madar, Lajos Nagy, and Ferenc Szeifert

University of Veszprem, Department of Process Engineering,

Veszprem, P.O. Box 158, H-8201, Hungary
[email protected]

Summary. In practical system identification it is often desirable to simultane-

ously handle several objectives and constraints. In some cases, these objectives and
constraints are often non-commensurable and the objective functions are explic-
itly/mathematically not available. In this paper, Interactive Evolutionary Compu-
tation (IEC) is used to effectively handle these identification problems. IEC is an
optimization method that adopts evolutionary computation (EC) among system op-
timization based on subjective human evaluation. The proposed approach has been
implemented in MATLAB (EAsy-IEC Toolbox) and applied to the identification
of a pilot batch reactor. The results show that IEC is an efficient and comfortable
method to incorporate a priori knowledge of the user into a user-guided optimization
and identification problems. The developed EASy-IEC Toolbox can be downloaded
from the website of the authors: http://www.fmt.vein.hu/softcomp/EAsy.

Key words: System identification, Interactive Evolutionary Computation

1 Introduction

The main objective of system identification is to identify a model with good

prediction capabilities in the sense that it is able to accurately predict the
system’s response to a given class of excitations. Hence, a common identifi-
cation objective is to minimize the mismatch between model prediction and
observed data. However, it is often desirable to introduce additional objectives
and constraints into the identification problem. There are several reasons for
this [7]: In most practical cases the data sequence used for identification may
be incomplete or uncertain, the model structure is not necessarily known and
can be overparameterized, there may be some properties that we may want
the model to have. Furthermore, there is often additional information avail-
able, and it makes sense to use this information to improve the accuracy
and validity of the model [1]. Multi-objective system identification tools allow
the incorporation of these objectives into the identification procedure. E.g.,
2 J. Abonyi, J. Madar, L. Nagy and F. Szeifert

single constraints or penalties on the parameter space have been suggested,

for example to ensure stability [24, 1], fulfillment of balance equations and
steady-state data [23], and explicit belief about parameter values [14, 10].
These multi-objective identification problems involve the simultaneous con-
sideration of multiple performance criteria. These objectives are often non-
commensurable and are frequently in conflict with one another [7]. Trade-offs
exist between some objectives where advancement in one objective will cause
deterioration in another. In most cases the cost function is defined prior to
the optimization procedure; this requires in-depth information concerning the
various trade-offs and valuation of each individual objective. However, in some
cases, the objective functions are explicitly/mathematically not available and
the identification problem can be decomposed only for large-scale problems.
This paper proposes the application of Interactive Evolutionary Compu-
tation (IEC) [21] to handle these identification problems, and its application
to the identification of tendency models of batch reactors. In the proposed
framework, human users evaluate the performances of the individuals (set of
solutions) by selecting the best individuals. The human user does not (only)
evaluate the mean square fitting error, or time constant of the model but he
or she can simultaneously analyze these numerical values with the plotted dy-
namic and/or steady-state behavior of the model, e.g. step-responses, gains,
etc. The proposed approach has been implemented in MATLAB (EAsy-IEC
Toolbox) and applied to the identification of a pilot batch reactor.
The remaining part of the paper is organized as follow. In Section 2 the
algorithm of Evolutionary Strategy is presented, which is tailored taking into
account the specialities of IEC. Section 3 shows an application example when
the proposed approach is applied to identification of a tendency model of a
heating-cooling jacket. Finally, some conclusions are drawn in Section 4.

2 Description of the Algorithm

2.1 Introduction to Evolutionary Algorithms

Evolutionary Algorithms (EAs) [18] are stochastic optimization algorithms

that mimic the process of natural selection. Evolutionary Algorithms handle
several candidate solutions simultaneously. Thus, unlike conventional algo-
rithms, EAs start form a pool of points (candidate solutions), usually referred
to as individuals. Every individual represents a point in the search space. Ev-
ery individual has a fitness value, which is calculated by the evaluation func-
tion. The fitness value determines the successfulness of the given individual
appropriate to the objectives. The next generation of individuals is generated
from the current population using genetic operators: selection, mutation and
crossover. Likes in the natural world, the more successful individuals, which
have bigger fitness values, have higher probability to transmit their genes into
 Interactive Evolutionary Computation 3

the new generation. Because the genetic operators are stochastic, EAs are
stochastic optimization methods.
In the initialization step, EAs generate individuals randomly. In every
evolutionary-loop, all of the individuals are evaluated and their fitness values
are calculated based on an objective function. After that the selection oper-
ator selects randomly the best individuals to constitute the next generation.
The crossover (recombination) operator generates two new individuals by tak-
ing two selected individuals and recombining them. The mutation operator
changes randomly the individuals. Finally the old individuals are replaced by
the new individuals.
Generally, EAs are automated algorithms using a given objective function
to calculate the fitness values of the individuals and the selection operator
performs automatically the selection based on these calculated fitness values
(for example using roulette wheel selection). But sometimes instead of a given
objective function, a human user can make the valuation of the individuals,
which results in an interactive optimization.
Interactive Evolutionary Computation (IEC) is an optimization method
that adopts evolutionary computation among system optimization based on
subjective human evaluation [21]. In contrast to the automated evolutionary
optimization algorithms, IEC cannot use many individuals and searching gen-
erations because of resulting human fatigue. Hence, there is a need to develop
and tune an algorithm which effectively search with a few individuals within a
few searching generations. For this purpose, this paper presents an algorithm
based on Evolutionary Strategy (ES). In the following the IEC and the ES
will be described and then the structure of the developed IEC-Tune Toolbox
will be shown.

2.2 Interactive Evolutionary Computation

Most optimization techniques which work by improving a single solution step

by step are not suited for interactive optimization approach. For example, in
simple hill-climbing a user suggestion can either be accepted, which means
the loss of results gained so far, or denied, which may lead the algorithm a
wrong way. Evolutionary Algorithms and other population based optimization
procedures are better suited for interactive optimization, because a suggestion
can be put into the population to see whether it is worth further consideration
or not. A good suggestion can be expected to survive and lead the optimization
process towards a good solution, while a bad suggestion will be eliminated
quite soon. This approach become well known as Interactive Evolutionary
Computation (IEC) [20, 19].
Simply stated, IEC is a technique from the class of evolutionary algorithms
(EAs), in which the fitness function is replaced by a human user. As in inter-
active evolution, the user selects one or more individual(s) which survive(s)
and reproduce(s) (with variation) to constitute a new generation. Hence IEC
uses two different spaces for its search: the human user evaluates the output
4 J. Abonyi, J. Madar, L. Nagy and F. Szeifert

of the target system according to the distance between the target goal and the
system output in psychological space [20], on the other hand, the EA searches
in the parameter space.
These techniques were applied already in computer graphics [9], animation,
creating forms, textures, and motion [2]. Potential applications of interactive
evolution include artificial life design, e.g., development of components of bi-
ological nature [17, 6] and engineering construction design [13].
Although, IEC has been applied in knowledge acquisition and data mining,
according to our best knowledge, the applicability of this approach in system
identification has not been studied yet. However, in recent years, the applica-
tion of Evolutionary Computing to black-box and grey-box model identifica-
tion has received considerable interest since the seminal paper by Kristinsson
and Dumont [8]. Subsequent evolutionary system identification applications
are applied to build dominant structural identification with local parametric
tuning without the need of a differentiable performance index in the pres-
ence of noisy data. As the overview of Fleming [5] illustrates evolutionary
techniques provide an excellent fitting performance and is capable of accom-
modating multiple objectives such as to examine the relationships between
model complexity and fitting accuracy during the model building process.
These approaches can be extended to the identification of gray-box models,
to use of a priori knowledge [22].

2.3 Evolution Strategy

In contrast to automated evolutionary optimization algorithms, the IEC can-
not use many individuals and searching generations because the human fa-
tigue. Hence, there is a need to develop an algorithm which can effectively
search with a few individuals within a few searching generations. For this
purpose, this paper presents an algorithm based on Evolutionary Strategy.
Evolution Strategy (ES) was developed by [15], with selection, mutation, and
a population of size one. Schwefel [16] introduced recombination and pop-
ulations with more than one individual, and provided a nice comparison of
ES with more traditional optimization techniques. Evolutionary Strategy are
typically applied to real-valued parameter optimization problems. The char-
acteristic feature of ES lies in the self-adaptation of the standard deviation of
the Gaussian distribution used in the mutation [3]. The basic idea is to add
these adaptation parameters to the genotype and have them undergo evolu-
tion themselves. The main elements of the algorithm used in this paper are
the following:

Representation
An ES-individual aj = (xj , σ j ) consists of two components: the object vari-
ables xj = [xj,1 , . . . , xj,n ] and the strategy variables σ j = [σj,1 , . . . , σj,n ].
The strategy parameters allow the algorithm to adapt to the topology of the
objective function by controlling the mutation step size.
 Interactive Evolutionary Computation 5

Mutation

As small changes occur frequently but large ones only rarely in the nature, the
mutation operator adds normal distributed random numbers zj,i ∼ N (0, σj,i )
to the individuals:
xj,i = xj,i + zj,i . (1)
Before the object variables are changed, the standard deviations are mutated
using a multiplicative normally distributed process:
(t) (t−1)
σj,i = σj,i exp(τ 0 N (0, 1) + τ Ni (0, 1)), (2)

with exp (τ 0 N (0, 1)) as a global factor which allows an overall change of the
mutability and exp (τ Ni (0, 1)) allowing for individual changes of the mean
step sizes σj,i . The τ 0 and τ parameters can be interpreted in the sense of
global learning rates. Schwefel suggests to set them as [16]:
1 1
τ0 = √ , τ = p √ . (3)
2n 2 n

Recombination

Recombination in ESs can be either sexual, where only two parents are in-
volved in the creation of an offspring, or global, where up to the whole popula-
tion contributes to a new offspring. Sexual recombination of just two individu-
als is often called local while the contribution of all individuals is called global
recombination. Traditional recombination operators are discrete recombina-
tion, intermediate recombination, and geometric recombination, all existing
in a sexual and global form. When F and M denote two randomly selected
individuals from the µ parent population, the following operators can be de-
fined: 

 xF,i no recombination

0 xF,i or xM,i discrete
xi = (4)

 (x F,i + xM,i ) /2 intermediate
 Pµ
k=1 xK,i /µ global avarage


 σF,i no recombination

 σ
 F,i or x M,i discrete
σi0 = (σpF,i + σ M,i ) /2 intermediate . (5)



 (σ σ ) geometric
 Pµ F,i M,i
k=1 σK,i /µ global avarage
Throughout this work discrete recombination of the object variables and
global intermediate combination of the strategy parameters were used.
6 J. Abonyi, J. Madar, L. Nagy and F. Szeifert

Selection and Replacement

In the applied (µ + λ) Evolution Strategy, at a given generation (t), there

are µ parents, and λ offspring are generated by recombination and mutation.
Then, the µ+λ members of then next population are sorted according to their
objective function values given by the user, and he or she selects the best µ
to become the parents of the next generation.

2.4 IEC Integration to MATLAB

IEC systems seek to interface EA to human preference in order to create

systems capable of evolving artifacts that require a human expertise that has
not yet succumb to computation. Hence, the interfacing of human ability with
machine computation requires resolving difficult issues [12]. Further, progress
in the design of interactive evolutionary systems allows a glimpse into how very
human abilities such as intuition, projection, and holistic perception interplay
with the mechanics of machine computation. This section reports on one such
interactive evolutionary system that seeks to combine human perception with
the previously presented evolutionary strategy to evolve the parameters of
MATLAB and Simulink models (see Figure 1).
The EAsy-IEC Tune Toolbox is downloadable from the website of the
the author: www.fmt.vein.hu/softcomp/EAsy, is designed to be applicable for
different types of optimization problems (e.g., system identification, controller
tuning, data mining).
The number of displayed individuals, µ + λ is set to 9, which can be
displayed spatially. The number of searching generations is limited to 20 gen-
erations at the most, due to the fatigue of human operators. In the proposed
framework human users evaluate the performances of the individuals (set of
solutions). Not the genotypes and phenotypes are applied directly, but rather
the output of the target system realized by the individuals. For example, the
user does not (only) evaluate the mean square fitting error, or time constant
of the model but he or she can simultaneously analyze these numerical val-
ues with the plotted dynamic and/or steady state behavior of the model, e.g.

Fig. 1. Scheme of the Proposed IEC System Integrated to MATLAB

 Interactive Evolutionary Computation 7

step-responses, gains, etc. An example of such evaluation figure is given in

Figure 4. Due to small number of individuals, the human evaluation was re-
stricted to selecting the individuals which will survive and constitute the next
generation.

3 Application Example

3.1 Process Description

In recent years our department focuses to the development of control strate-

gies of multipurpose production plants. Hence, a prototype of pharmaceutical
process systems was designed and installed in our laboratory. The central el-
ement of this process unit is a 50 liter stirred reactor with heating-cooling
jacket (see fig. 2).

Fig. 2. The stirred tank reactor with heating-cooling jacket

This paper focuses to the identification of the tendency model of the

heating-cooling jacket. Through the jacket the direct heating-cooling system
allows cooling with chilled water or heating with steam in steam or hot wa-
ter mode. In the hot water heating mode the water is circulated by a pump,
the steam is introduced through a mixer, while the excess water is removed
through an overflow.

3.2 Tendency Model of the Heating-Cooling Jacket

The jacket and the circulating liquid can be described using the common
lumped parameter enthalpy or heat balances given in the chemical engineering
literature. In the model, zero-volume distributors and mixers and are applied
and the overflow as well as the feed of the steam and the fresh cooling water
8 J. Abonyi, J. Madar, L. Nagy and F. Szeifert

are taken into account. The obtained simplified first principle model can be
regarded as the tendency model [4] of the most important phenomena and its
scheme is given on Figure 3.

Fig. 3. Tendency model of the jacket of the stirred ractor

V 1 and V 2 are the valve positions (0%-100%), T H is the temperature of

the cooling water coming from the environment, T F is the equivalent steam
temperature calculated from the boiling temperature, the latent heat and
specific heat. The valve characteristics are given in form of second order poly-
nomials (V ALV E1 and V ALV E2). The two first order transfer functions
1 1
( T 1s+1 and T 2s+1 ) are obtained from the lumped parameter model of the
jacket and the model of the thermometer at the jacket inlet. The K1, K2,
and K3 are gains and the DT is the dead-time.
The identification problem is identifying these parameters of the model
(gains, time constants, gains, dead-time and parameters of second order poly-
nomials). For this purpose open-loop experiments were conducted on the
whole operating range of the composite manipulated variable u (because of
the split-range control: V 1 and V 2 are not opened at the same time, u = 100%
means that V 1 is opened fully, u = 0% means that V 2 is opened fully).

3.3 Results

Based on the collected input-output data, the identification problem can be

formulated as an optimization problem and can be solved using common
nonlinear optimization methods (e.g. SQP). To formulate an optimization
problem we need a cost-function which is minimized under the optimization
procedure. Usually for this purpose the mean square model error is used,
Pn
2
M SE = (y(k) − ỹ(k)) /n, where y is the observed output, ỹ is the pre-
k=1
dicted output of the model, n is the number of observation.
Beside the MSE, other objectives should be considered. E.g. the steady-
state prediction error and the characteristics of the valves. But it is difficult
to formulate these objectives and it is difficult to select the weights of the
 Interactive Evolutionary Computation 9

objectives in the cost-function. Hence it is problematical to introduce these

additional objectives into the identification problem. The IEC handles this
problem, because the human user can consider and balance these objectives.
For comparison, beside the proposed IEC optimization scheme, the direct
minimization of the MSE prediction error is considered. For this purpose,
Sequential Quadratic Programming (SQP) was used. The SQP method is a
standard general purpose algorithm for solving NLP optimization problems. It
is a gradient based method which calculates the search direction vector from
the quadratic approximation of the objective function around the actual local
point [11]. The SQP based identification method minimizes automatically the
cost-function subject to the parameters of the model. The cost-function was
evaluated by simulating the model and calculating the MSE.
In contrast to SQP based method, the user evaluates the model in the IEC
based identification method. Firstly, the identified model was simulated and
then the human user selected the best solutions based on the dynamic and
the near steady-state behavior of the system, and the identified characteristic
of the valves. Beside these plots, some numerical values were also given to the
user to glimpse. Such an evaluation display is depicted in Figure 4.

100 100 100 100 100 100 100 100 100

Temp. [C]

50 50 50 50 50 50 50 50 50

0 0 0 0 0 0 0 0 0
0 50 0 50 0 50 0 50 0 50 0 50 0 50 0 50 0 50
Time [sec] Time [sec] Time [sec] Time [sec] Time [sec] Time [sec] Time [sec] Time [sec] Time [sec]
100 100 100 100 100 100 100 100 100
Temp. [C]

50 50 50 50 50 50 50 50 50

0 0 0 0 0 0 0 0 0
100 150 200 100 150 200 100 150 200 100 150 200 100 150 200 100 150 200 100 150 200 100 150 200 100 150 200
Time [sec] Time [sec] Time [sec] Time [sec] Time [sec] Time [sec] Time [sec] Time [sec] Time [sec]
100 100 100 100 100 100 100 100 100
F1%, F2%

50 50 50 50 50 50 50 50 50

0 0 0 0 0 0 0 0 0
0 50 100 0 50 100 0 50 100 0 50 100 0 50 100 0 50 100 0 50 100 0 50 100 0 50 100
V1%, V2% V1%, V2% V1%, V2% V1%, V2% V1%, V2% V1%, V2% V1%, V2% V1%, V2% V1%, V2%

ISE: 15.1 ISE: 9.3 ISE: 38.8 ISE: 101.6 ISE: 339.2 ISE: 42.4 ISE: 213.2 ISE: 409.8 ISE: 3948.8
K1: 0.055 K1: 0.055 K1: 0.052 K1: 0.038 K1: 0.065 K1: 0.043 K1: 0.024 K1: 0.013 K1: 0.071
K2: 0.357 K2: 0.382 K2: 0.382 K2: 0.375 K2: 0.387 K2: 0.378 K2: 0.344 K2: 0.340 K2: 0.390
K3: 0.025 K3: 0.024 K3: 0.024 K3: 0.016 K3: 0.030 K3: 0.019 K3: 0.010 K3: 0.010 K3: 0.033
T0: 0.559 T0: 0.560 T0: 0.536 T0: 0.392 T0: 0.687 T0: 0.438 T0: 0.229 T0: 0.143 T0: 0.719
Th: 0.422 Th: 0.424 Th: 0.424 Th: 0.417 Th: 0.428 Th: 0.420 Th: 0.411 Th: 0.404 Th: 0.433

Fig. 4. MATLAB Evaluation figure in the IEC-Tune toolbox

From an arbitrary initial value, the application of IEC resulted in 5.0 MSE
prediction error after 14 generations. This corresponds to 146 evaluations of
the model. If the same numbers of function calls are applied in SQP, the obtain
model results in 26.0 MSE. The drawback of IEC is that is slower than the
SQP method due to the time-requirement of the human evaluation. Hence
while the IEC procedure consumed about 8.5 minutes, the SQP consumed
only 2.5 minutes. (See the Table 1. and Figures 5, 6.)
10 J. Abonyi, J. Madar, L. Nagy and F. Szeifert

Table 1. Comparative results

Method Evaulation number Time (sec) MSE
IEC 146 508 5.0
SQP 149 150 26.0
SQP 506 501 1.5

100

Temp. [C]
50

0
0 10 20 30 40 50 60
Time [sec]
100
Temp. [C]

50

0
80 100 120 140 160 180 200
Time [sec]
100
F1%, F2%

50

0
0 10 20 30 40 50 60 70 80 90 100
V1%, V2%

Fig. 5. Results using IEC after 146 model evaluations

100
Temp. [C]

50

0
0 10 20 30 40 50 60
Time [sec]
100
Temp. [C]

50

0
80 100 120 140 160 180 200
Time [sec]
100
F1%, F2%

50

0
0 10 20 30 40 50 60 70 80 90 100
V %, V %
1 2

Fig. 6. Results using SQP after 149 model evaluations

 Interactive Evolutionary Computation 11

Our experiences and these results show that the proposed IEC approach
is extremely useful to find good initial conditions to SQP that is sensitive to
stacking in local minima.

4 Conclusions

This paper demonstrated how interactive evolution algorithms can be applied

to solve multi-objective identification problems. A MATLAB toolbox has been
developed to provide a human-machine interface of the IEC. With the use of
this tool, the user can easily select the individuals which then are reproduced
and mutated to constitute the next generation. The proposed approach ap-
plied to the identification of a pilot batch reactor. The results show that IEC
is an efficient and comfortable method to incorporate the priori knowledge
and preferences of the user into the identification problem. Our experiences
show, IEC is extremely useful to find good initial conditions to other nonlinear
optimization algorithms, like SQP.

Acknowledgement

The authors would like to acknowledge the support of the Cooperative

Research Center (VIKKK) (KKK-I-7), the Hungarian Ministry of Educa-
tion (FKFP-0073/2001), and the Hungarian Science Foundation (OTKA
TO37600). Janos Abonyi is grateful for the financial support of the Janos
Bolyai Research Fellowship of the Hungarian Academy of Science.

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