Mathematical Analysis II: Optimisation, Differential Equations and Graph Theory

Springer Proceedings in Mathematics & Statistics
Naokant Deo
Vijay Gupta
Ana Maria Acu
P. N. Agrawal Editors
Mathematical
Analysis II:
Optimisation,
Differential
Equations and Graph
Theory
ICRAPAM 2018, New Delhi, India,
October 23–25
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Volume 307
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Naokant Deo Vijay Gupta Ana Maria Acu
• • •
P. N. Agrawal
Editors
Mathematical Analysis II:

Optimisation, Differential
Equations and Graph Theory
ICRAPAM 2018, New Delhi, India,
October 23–25
123
Editors
Naokant Deo Vijay Gupta
Department of Applied Mathematics Department of Mathematics
Delhi Technological University Netaji Subhas University of Technology
New Delhi, India New Delhi, India
Ana Maria Acu P. N. Agrawal

Department of Mathematics Department of Mathematics
Lucian Blaga University of Sibiu Indian Institute of Technology Roorkee
Sibiu, Romania Roorkee, Uttarakhand, India
ISSN 2194-1009 ISSN 2194-1017 (electronic)

ISBN 978-981-15-1156-1 ISBN 978-981-15-1157-8 (eBook)
https://doi.org/10.1007/978-981-15-1157-8
Mathematics Subject Classification (2010): 34-XX, 49-XX, 68-XX, 85-XX, 90-XX, 97-XX
© Springer Nature Singapore Pte Ltd. 2020

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Singapore
Dedicated to Professor Niranjan Singh
“Not everything that can be counted counts, and not everything that counts can be counted”
—Albert Einstein
Mathematics is a game of logic and there was no one better at deciphering it than
Prof. Niranjan Singh—a pioneer in his field with a heart of an innovator. Always
eager to learn and teach, Prof. Singh taught at Kurukshetra University, Haryana, for
32 years, focusing on areas of analysis and related fields. He was instrumental in the
development of innovative and creative culture in a large number of academic
institutions in and around Kurukshetra, thereby bringing a significant change in the
teaching methodologies of postgraduate courses.
Apart from being an exemplary mathematician, Prof. Singh was a dedicated
social reformist. He was a firm advocate for the use of Hindi language, as a result of
which he taught and wrote in Hindi, inspiring its use. Professor Singh authored
many books on mathematics of which Beej Ganit, written in 1979, was awarded the
gold medal by Sahitya Academi—a national organization dedicated to the pro-
motion of literature in the languages of India. Insisting on the fact that money
shouldn’t define the caliber of any student, he firmly promoted the optimal uti-
lization of resources and cost reduction in higher education. His ideology became
his strength and helped many educationalists understand the relevance of an
v
vi Dedication
unerring education system. His journey let him to be the head of Bhartiya Shikshan
Mandal, through which he travelled around India and influenced society.
Professor Singh is remembered by his peers for his academic excellence,
research, aptitude, dedication to work, human values, and behavior. His will always
be an inspiration to budding professors and mathematicians as he was the
embodiment of everything mathematics.
“Carve your name on hearts, not tombstones. A legacy is etched into the minds of others and
the stories they share about you.”
—Shannon Alder
Preface
We are delighted that the Department of Applied Mathematics, Delhi Technological

University, Delhi, organised the international conference on ‘Recent Advances in
Pure and Applied Mathematics 2018’ (ICRAPAM-2018 during 23–25 October
2018). This international conference was organised in the memory of our beloved
late Dr. Niranjan Singh (1939–2014), who was a Professor at the Department of
Mathematics, Kurukshetra University, India.
The proceedings consist of two volumes, the second volume comprising of papers
mainly on applied areas related to Optimisation, Differential Equations and Graph
Theory. These proceedings consist of research literature on the latest developments
in various branches of mathematics. It is an outcome of the research papers presented
at the conference and some invited talks. In total, 180 research papers were presented
by researchers and academicians in different areas. After peer review, 21 research/
survey papers were selected for inclusion in Volume II of the proceedings. The main
areas covered in this volume are devoted to multi-objective optimisation problems,
control theory, impulsive differential equations, mathematical modelling, fuzzy
mathematics, graph theory, cryptography, coding theory especially on quantum
codes, free vibration analysis, age-structured model and mathematical education.
The authors of these papers have carefully described the problem and discussed
appropriate methods to obtain the solution.
Besides many plenary speakers as indicated in Volume I, some of the invited
speakers who delivered talks on different topics in applied areas were: Prof. Ramesh
Tikekar, IUCAA, Pune, India; Prof. Mani Mehra, IIT Delhi, India;
Prof. A. K. B. Chand, IIT Madras, India; Prof. V. Sree Hari Rao, Foundation for
Scientific Research and Technological Innovation, Hyderabad, India;
Prof. B. Mishra, Birla Institute of Technology and Science-Pilani, Hyderabad
Campus, Hyderabad, India; Prof. D. R. Sahu, Banaras Hindu University, Varanasi,
India and Prof. A. S. Ranadive, G. G. University, Bilaspur, Chhattisgarh, India. We
are thankful to all the speakers who very kindly accepted our invitation to deliver
talks at the conference.
The thanks are due to all the funding agencies: Science and Engineering
Research Board (SERB), Government of India, New Delhi; Third phase of
vii
viii Preface
Technical Education Quality Improvement Programme (TEQIP-III), Government

of India and Government of NCT, New Delhi, for the partial financial support,
without which it was difficult to host such a big event.
Professor Yogesh Singh, Vice-Chancellor, DTU, Delhi, India and Pro-Vice
Chancellors, Prof. S. K. Garg and Prof. Anu Singh Lather helped and supported
a lot at each step to make the conference successful. We are thankful to
Prof. H. C. Taneja, Prof. L. N. Das, Prof. Sangeeta Kansal, Prof. R. Srivastava,
Prof. Anjana Gupta, Dr. C. P. Singh, Dr. Aditya Kaushik and Dr. Vivek Kumar
Aggarwal.
We give special thanks to Ms. Neha for helping in the preparation of the volume.
We are grateful to the members of various committees, who put in a lot of hard
work to make this event a huge success. We express our heartfelt gratitude to the
reviewers for spending their invaluable time for careful review of the papers.
Finally, we are grateful to Springer team for publishing the proceedings of the
conference.
New Delhi, India Naokant Deo

New Delhi, India Vijay Gupta
Sibiu, Romania Ana Maria Acu
Roorkee, India P. N. Agrawal
Contents
Exact Solution for Mixed Integral Equations by Method of Bernoulli

Polynomials . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1
Mithilesh Singh, Nidhi Handa and Shivani Singhal
Turing Patterns in a Cross-Diffusive System . . . . . . . . . . . . . . . . . . . . . 11
Nishith Mohan and Nitu Kumari
On Multi-objective Optimization Problems and Vector
Variational-Like Inequalities . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 29
Vivek Laha and Harsh Narayan Singh
Controllability of Semilinear Control Systems with Fixed Delay
in State . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 41
Abdul Haq and N. Sukavanam
Computational Performance of Server Using the Mx/M/1 Queue
Model . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 51
Jitendra Kumar and Vikas Shinde
Quantum Codes from the Cyclic Codes Over
Fp ½v; w=hv2 1; w2 1; vw wvi . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 67
Habibul Islam, Om Prakash and Ram Krishna Verma
Effect of Sterile Insect Technique on Dynamics of Stage-Structured
Model Under Immigration . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 75
Sumit Kaur Bhatia, Sudipa Chauhan and Priyanka Arora
Strict Practical Stability of Impulsive Differential System in Terms
of Two Measures . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 87
Pallvi Mahajan, Sanjay Kumar Srivastava and Rakesh Dogra
Free Vibration Analysis of Rigidly Fixed Axisymmetric
Viscothermoelastic Cylinder . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 97
Himani Mittal and D. K. Sharma
ix
x Contents
Study on a Free Boundary Problem Arising in Porous Media . . . . . . . . 113

Bhumika G. Choksi and Twinkle R. Singh
Effect of Habitat on Dynamic of Native and Exotic Prey–Predator
Population . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 123
Namita Goel, Sudipa Chauhan and Sumit Kaur Bhatia
On Cliques and Clique Chromatic Numbers in Line, Lict
and Lictact Graphs . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 137
Rashmi Jain and Anuj Kumar Jain
Friendship-Like Graphs and It’s Classiffication . . . . . . . . . . . . . . . . . . . 145
K. Nageswara Rao, P. Shaini and K. A. Germina
Chaotic Maps: Applications to Cryptography and Network
Generation for the Graph Laplacian Quantum States . . . . . . . . . . . . . . 155
Anoopa Joshi and Atul Kumar
Consumer Behaviour Analysis for Purchasing a Passenger Car
in Indian Context . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 165
Tanmay Agarwal, Nivedika Saroha and Girish Kumar
A New Hybrid Model Based on Triple Exponential Smoothing
and Fuzzy Time Series for Forecasting Seasonal Time Series . . . . . . . . 179
A. J. Saleena and C. Jessy John
New Fuzzy Divergence Measure and Its Applications in Multi-criteria
Decision-Making Using New Tool . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 191
Ram Naresh Saraswat and Adeeba Umar
An SIRS Age-Structured Model for Vector-Borne Diseases
with Infective Immigrants . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 207
Nisha Budhwar, Sunita Daniel and Vivek Kumar
Numerical Study of Conformable Space and Time Fractional
Fokker–Planck Equation via CFDT Method . . . . . . . . . . . . . . . . . . . . . 221
Brajesh Kumar Singh and Anil Kumar
Multispectral Bayer Color Image Encryption . . . . . . . . . . . . . . . . . . . . . 235
Binay Kumar Singh and Jagat Singh
Investigation of Prospective Elementary Teachers’ Opinions
About Problem Concept . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 249
Danyal Soybaş and Sevim Sevgi
About the Editors
Naokant Deo is a professor at the Department of Applied Mathematics, Delhi

Technological University, India. He completed his Ph.D. in Mathematics from Guru
Ghasidas University, Bilaspur, India. His areas of research include approximation
theory and real analysis. Professor Rao is a recipient of the CAS-TWAS Fellowship
awarded by the Chinese Academy of Sciences, Beijing, China, and International Centre
for Theoretical Physics, Trieste, Italy. He is an active member of academic bodies such
as Indian Mathematical Society, India, Research Group in Mathematical Inequalities
and Applications, Australia, and World Academy of Young Scientists, Hungary. His
research papers have been published in national and international journals of repute.
Vijay Gupta is a professor in the Department of Mathematics at the Netaji Subhas

University of Technology, New Delhi, India. He holds a Ph.D. from the Indian
Institute of Technology Roorkee (formerly, the University of Roorkee), and his area of
research is approximation theory, with a focus on linear positive operators. The author
of 5 books, 15 book chapters, and over 300 research papers, he is actively involved in
editing over 25 international scientific research journals.
Ana Maria Acu is a professor at the Department of Mathematics and Computer

Science, Lucian Blaga University of Sibiu, Romania. She earned her Ph.D. in
Mathematics from the Technical University of Cluj-Napoca, Romania. Professor Acu is
an active member of various scientific organizations, editorial boards of scientific jour-
nals, and scientific committees, and her main research interest is approximation theory.
P. N. Agrawal is a professor at the Department of Mathematics, Indian Institute of

Technology Roorkee, India. He received his Ph.D. degree from the Indian Institute of
Technology Kanpur, India, in 1980. Having published his research papers in various
journals of repute, Prof. Agarwal has delivered invited lectures and presented papers at
a number of international conferences in India and abroad. His research interests
include approximation theory, numerical methods, and complex analysis.
xi
Exact Solution for Mixed Integral
Equations by Method of Bernoulli
Polynomials
Mithilesh Singh, Nidhi Handa and Shivani Singhal
Abstract In this article, a new method has been developed for solving the mixed
second kind Volterra–Fredholm integral equations numerically. A method is intro-
duced in this paper is known as the Bernoulli matrix method. It is applied for solving
mixed VFIE’s integral equations. The one property of this method is that it reduces
the degree of the problem for solving a structure of algebraic equations. Our pro-
posed method is introduced and it is applied to convert the integral equation into
the algebraic equation using of Bernoulli matrix equation. Finally, there are some
numerical results that have been given for illustrating the efficiency and exactness of
this method.
Keywords Bernoulli polynomial method · Linear Volterra–Fredholm Integral

Equations of second kind
1 Introduction
Integral equations have great significance in the area of Science. The concept of
Integral equations is a well-known mathematical tool in both applied and pure Math-
ematics. There are several mathematicians and physicists, who have used integral
equations in formulating boundary value problems of gravitation, electrostatics, fluid
dynamics and scattering. They have various applications in mass and heat transfer,
approximation theory, electrodynamics, queuing theory, electrical engineering, eco-
nomics, etc. Many problems in the fields of ordinary and partial differential equations
can be solved by integral equations [1–4].
The theory of linear Volterra–Fredholm integral equations come from parabolic
boundary value problems, from the mathematical modelling of the spatio-temporal
M. Singh
Department of Applied Science, Rajkiya Engineering College, Sonbhadra, U.P., India
N. Handa · S. Singhal (B)
Department of Mathematics and Statistics, Gurukula Kangri Vishwavidyalaya, Haridwar, UK,
India
e-mail: shivani.singhal.83@gmail.com
© Springer Nature Singapore Pte Ltd. 2020 1

N. Deo et al. (eds.), Mathematical Analysis II: Optimisation, Differential
Equations and Graph Theory, Springer Proceedings in Mathematics & Statistics 307,
https://doi.org/10.1007/978-981-15-1157-8_1
2 M. Singh et al.
development of an epidemic, different types of physical and biological models. Tay-

lor series and the Adomian decomposition methods [5, 6], the modification of hat
function methods [7] and other methods [8–10] have been used for solving linear
Volterra–Fredholm integral equations. Many researchers such as Majeed and Omran
[11] and Al-A’asam [12] used some numerical methods to solve LVFIE’s of the first
and second kinds, namely the repeated Trapezoidal method, the repeated Simpson’s
1/3 method and Bernstein polynomials for deriving the modified Simpson’s 3/8 and
the composite modified Simpson’s 3/8 rule to solve one-dimensional linear second
kind Volterra integral equations. Al-Jarrah and Lin [13] used the scaling function
interpolation method to solve linear Volterra–Fredholm integral equations (VFIE’s).
Scaling functions and wavelet functions are the foundation of wavelet methods,
which are a useful tool for solving the integral equation. Computational methods for
Volterra–Fredholm integral equations are investigated in H˛acia [14]. Mohammadi
[15] used a Chebyshev wavelet operational method for solving stochastic Volterra–
Fredholm integral equations. Numerical solution of Fredholm–Volterra Linear Inte-
gral Equations using Lagrange Polynomials in Muna and Iman [16] and Bernstein
polynomials [17] are employed.
Bernoulli polynomials are useful in the scientific theory of number and in numeri-
cal and classical analysis. The job of Bernoulli polynomials is significant in different
expansions and approximation formulae. These polynomials can be defined by lots
of methods depending on the applications. Specifically, Bernoulli polynomials hav-
ing six approaches to the theory are known; these are attached with Bernoulli [18],
Euler [19], Appell [20], Lucas [21] and Lehmer [22]. There are some works that
used Bernoulli polynomials as the basis for numerically solving integral, differential
and integro-differential equations such as [23, 24]. Many authors applied the dif-
ferential transform method to obtain the solution of a class of linear and non-linear
two-dimensional Volterra integral equations. There are various specific properties
and uses of Bernoulli polynomials in multiple areas of mathematics apart from the
analytic theory of numbers to the classical and numerical analysis [22, 25, 26]. The
numerical solutions of the linear and non-linear integral solutions are solved by
Bernoulli polynomials [27]. Moreover, use of Bernoulli polynomials yields more
accurate and exact solution of a given problem, which is one of the advantages.
In this report, the numerical method has been used which is known as the Bernoulli
polynomial method to solve mixed second kind Volterra–Fredholm integral equa-
tions. The first matrix representation of Bernoulli polynomials has been made which
is the linear combination of its basis function. Then transform the integral equa-
tion into the structure of the algebraic equation, which gives the numerical result.
Moreover, this method gives the exact result of the problems.
Here the method of Bernoulli polynomial is used to solve Volterra–Fredholm
mixed integral equations of the second kind
x b
y(x) = f (x) + λ1 k1 (x, t)y(t)dt + λ2 k2 (x, t)y(t)dt, (1)
a a
Exact Solution for Mixed Integral Equations by Method … 3
where a ≤ x ≤ b, λ1 and λ2 are real numbers f (x), k1 (x, t), and k2 (x, t) are
continuous and analytic functions, respectively. Also, k1 (x, t) and k2 (x, t) are known
as kernel of the integral equation, y(x) is unknown function which is to be determined.
2 Bernoulli Polynomial Method
Polynomial is used in various problems of integral equations. They can be directly

clarified, computed easily and symbolize huge class of functions. Bernoulli poly-
nomials (see, for instance [22, 25, 26]) have special applications in number theory
and classical analysis. They are seen in the integral form of the differentiable peri-
odic functions since they are applied for approximating such functions in terms of
polynomials.
Some properties of Bernoulli polynomials are given as follows:

Property 1 (Differentiation [25]), Bn (x) = n Bn−1 (x), n = 1, 2 . . .
1
Property 2 (Integral means conditions [25]), Bn (x)dx = 0, n = 1, 2 . . .
0
Property 3 (Differences [25]), Bn (x + 1) − Bn (x) = nx n−1 , n = 1, 2 . . ..

The Bernoulli polynomial of degree n is defined by
B0 (x) = 1,
n
n
Bn (x) = C Bk x n−k , n ≥ 1. (2)
k
k=0
3 Matrix Representation of Bernoulli Polynomial
A matrix formulation of Bernoulli polynomial is to develop at a linear combination

in terms of the dot product. A linear combination of Bernoulli basis function has
been given below.
B(t) = c0 B0 (t) + c1 B1 (t) + c2 B2 (t) + · · · + cn Bn (t). (3)

4 M. Singh et al.
The dot product of two vectors

⎤ ⎡
c0
⎢ c1 ⎥
⎢
⎢ ⎥
⎥
B(t) = B0 (t) B1 (t) B2 (t) · · · Bn (t) ⎢ c2 ⎥, (4)
⎢. ⎥
⎣ .. ⎦
cn
would be converted in the following pattern:

⎡ ⎤⎡ ⎤
b00 b01 b02 ··· b0n c0
⎢0 b11 b12 ··· b1n ⎥ ⎢ c1 ⎥
⎢
⎢
⎥⎢ ⎥
B(t) = 1 t t 2 · · · t n ⎢ 0 0 b22 ··· b2n ⎥ ⎢ ⎥
⎥⎢ c2 ⎥, (5)
⎢. .. .. .. .. ⎦⎢⎥ ⎥
⎣ .. . . . . ⎣ ... ⎦
0 0 0 · · · bnn cn
where bnm are the coefficients of the power basis, which are applied to solve the
respective Bernoulli polynomial. Here above matrix is upper triangular.
4 Method of Solution for Mixed Volterra–Fredholm

Integral Equation of Second Kind
Here, the Bernoulli polynomials method is applied to the scheme of mixed

Volterra–Fredholm integral equations of the second kind for finding the solution
of these equations.
Take the mixed Volterra–Fredholm integral equations of the second kind (1)
x b
y(x) = f (x) + λ1 k1 (x, t)y(t)dt + λ2 k2 (x, t)y(t)dt (6)
0 a
Let us assume y(x) = Bi (t) then

⎤ ⎡
c0
⎢ c1 ⎥
⎢
⎢ ⎥
⎥
y(x) = B0 (x) B1 (x) B2 (x) · · · Bn (x) ⎢ c2 ⎥ (7a)
⎢. ⎥
⎣ .. ⎦
cn
Substituting (7a) in (6) yields

⎡ ⎤
c0
⎢ c1 ⎥
⎢
⎢ ⎥
⎥
B0 (x) B1 (x) B2 (x) · · · Bn (x) ⎢ c2 ⎥ = f (x)
⎢. ⎥
⎣ .. ⎦
cn
⎤ ⎡
c0
x ⎢ c1 ⎥
⎢
⎢ ⎥
⎥
+ λ1 k1 (x, t) B0 (t) B1 (t) B2 (t) · · · Bn (t) ⎢ c2 ⎥dt
⎢. ⎥
a ⎣ .. ⎦
cn
⎤ ⎡
c0
x ⎢ c1 ⎥
⎢
⎢ ⎥
⎥
+ λ2 k2 (x, t) B0 (t) B1 (t) B2 (t) · · · Bn (t) ⎢ c2 ⎥dt. (7b)
⎢. ⎥
a ⎣ .. ⎦
cn
Applying Eq. (5) into Eq. (7b), the matrix representation has
⎡ ⎤
c0
⎢ c1 ⎥
⎢
⎢ ⎥
⎥
B0 (x) B1 (x) B2 (x) · · · Bn (x) ⎢ c2 ⎥ = f (x)
⎢. ⎥
⎣ .. ⎦
cn
⎡ ⎤⎡ ⎤
b00 b01 b02 ··· b0n c0
⎢ 0 b11 b12 ··· b1n ⎥ ⎢ c1 ⎥
⎢ ⎥⎢ ⎥
x
⎢
+ λ1 k1 (x, t) 1 t t 2 · · · t n ⎢ 0 0 b22 ··· b2n ⎥ ⎢ ⎥
⎥⎢ c2 ⎥dt
⎢. .. .. .. .. ⎥ ⎢. ⎥
a ⎣ .. . . . . ⎦⎣ .. ⎦
0 0 0 · · · bnn cn
⎡ ⎤⎡ ⎤
b00 b01 b02 ··· b0n c0
b ⎢0 b11 b12 ··· b1n ⎥ ⎢ ⎥
⎢ ⎥⎢ c1 ⎥
⎢ ··· b2n ⎥⎢
⎥ ⎥
+ λ2 k2 (x, t) 1 t t 2 · · · t n ⎢ 0 0 b22 ⎢ c2 ⎥dt. (7c)
⎢. .. .. .. ⎢
.. ⎦⎣ .. ⎥
⎥
a ⎣ .. . . . . . ⎦
0 0 0 · · · bnn cn
Now to calculate all integration of equation and the value of c0 , c1 , c2 , . . . cn are

to be determined. For this choose xi , i = 1, 2 . . . n in [a, b]. Solve these n equations.
The succeeding algorithm summarizes the stages for getting the output for mixed
Volterra–Fredholm integral equation.
6 M. Singh et al.
5 Algorithm of Bernoulli Polynomial Method
Input: ( f (x), k(x, t), y(x), a, b, x, λ1 , λ2 ).

Stage 1: Choose n the degree of Bernoulli polynomials
n
n
Bi (t) = C Bk t n−k For i = 0, 1, 2 . . . n. (8)
k
k=0
Stage 2: Set the Bernoulli polynomials in second kind Volterra–Fredholm linear

mixed integral equations
⎤ ⎡
c0
x ⎢ c1 ⎥
⎢
⎢ ⎥
⎥
y(x) = f (x) + λ1 k1 (x, t) B0 (t) B1 (t) B2 (t) · · · Bn (t) ⎢ c2 ⎥dt
⎢. ⎥
a ⎣ .. ⎦
cn
⎡ ⎤
c0
b ⎢ c1 ⎥
⎢
⎢ ⎥
⎥
+ λ2 k2 (x, t) B0 (t) B1 (t) B2 (t) · · · Bn (t) ⎢ c2 ⎥dt. (9)
⎢. ⎥
a ⎣ .. ⎦
cn
Stage 3: Compute Volterra integral
⎡ ⎤⎡ ⎤
b00 b01 b02 ··· b0n c0
⎢ 0 b11 b12 ··· b1n ⎥ ⎢ c1 ⎥
⎢ ⎥⎢ ⎥
x
⎢
λ1 k1 (x, t) 1 t t 2 · · · t n ⎢ 0 0 b22 ··· b2n ⎥ ⎢ ⎥
⎥⎢ c2 ⎥dt. (10)
⎢. .. .. .. .. ⎥ ⎢. ⎥
a ⎣ .. . . . . ⎦⎣ .. ⎦
0 0 0 · · · bnn cn
Compute Fredholm integral

⎡ ⎤⎡ ⎤
b00 b01 b02 ··· b0n c0
b ⎢ 0 b11 b12 ··· b1n ⎥⎢ c1 ⎥
⎥ ⎢
⎢
⎢0
⎥
λ2 k2 (x, t) 1 t t · · · t ⎢
2 n 0 b22 ··· b2n ⎥ ⎢ ⎥
⎥⎢ c2 ⎥dt. (11)
⎢. .. .. .. .. ⎥ ⎢. ⎥
a ⎣ .. . . . . ⎦⎣ .. ⎦
0 0 0 · · · bnn cn
Stage 4: Compute c0 , c1 , c2 , . . . cn , xi , i = 1, 2 . . . n, xi ∈ [a, b].

Stage 5: Put the value of c0 , c1 , c2 , . . . cn in Eq. (9), we get the result of the integral
equation.
6 Numerical Examples
In this part, apply the process of Bernoulli polynomial to solve Volterra–Fredholm

integral linear mixed equations of the second kind. Also exemplify the process of
Bernoulli polynomial, both examples were solved by modified adomian decompo-
sition method and series solution method, respectively [5]. Solving the below two
examples in accordance with given algorithm, we get the exact solutions of the
numerical result.
Example 1 Assume the linear mixed Volterra–Fredholm integral equation of the

second kind [5]. For n = 2.
x 1
y(x) = 3x + 4x − x − x − 2 +
2 3 4
t y(t)dt + t y(t)dt (12)
0 −1
And the exact solution is y(x) = 3x + 4x 2

For n = 2, first establish the Bernoulli polynomials in Eq. (12) according to
Eq. (9).
Find the Bernoulli coefficient matrix which has been obtained with the support
of Eq. (5).
Now, Compute Volterra integral
⎡ ⎤⎡ ⎤
x b00 b01 b02 c0

xt 1 t t 2 ⎣ b10 b11 b12 ⎦ ⎣ c1 ⎦dt
0 b20 b21 b22 c2
and Fredholm integral

⎡ ⎤⎡ ⎤
x b00 b01 b02 c0

xt 1 t t 2 ⎣ b10 b11 b12 ⎦⎣ c1 ⎦dt
0 b20 b21 b22 c2
After calculating above integral, we have got the value of c0 , c1 , c2 . After

substituting the value of c0 , c1 , c2 , we have attained the exact solution of Eq. (12).
8 M. Singh et al.
Example 2 Consider the linear Volterra–Fredholm integral equation [5]
x 1
y(x) = 2 − x − x − 6x + x +
2 3 5
t y(t)dt + (x + t)y(t)dt (13)
0 −1
and the exact solution of Eq. (13) is y(x) = 2 + 3x − 5x 3 .

The proposed method is applied in Eq. (13) for n = 2 to get the exact solution.
By processing the algorithm of Bernoulli polynomial method, exact solutions of
above these examples have been obtained.
7 Conclusion and Result
The desired outcome of our task is using the Bernoulli Polynomial method for solving
linear Fredholm–Volterra integral equations. It is clear that solving of integral equa-
tion analytically is usually difficult. The Bernoulli polynomial method converts the
integral equation into an algebraic equation by helping matrix equations of Bernoulli
polynomials. In this paper, two examples have been solved by this method. It can be
easily seen that we get exact solutions after applying this method. Furthermore, it
gives an exact solution for less value of n in comparison with any other method. A
comparison with other procedures reveals that the Bernoulli polynomial method is
too efficient and finer than any other method.
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Turing Patterns in a Cross Diffusive
System
Nishith Mohan and Nitu Kumari
Abstract In this paper we investigate the role of cross diffusion in pattern formation
for a tritrophic food chain model. In the formulated model the prey interacts with the
mid level predator in accordance with Holling Type II functional response and the
mid and top level predator interact via Crowley Martin functional response. We have
proved that the stationary uniform solution of the system is stable in the presence
of diffusion and absence of cross diffusion but unstable in the presence of cross
diffusion. Moreover we carry out numerical simulations to understand the Turing
pattern formation for various self and cross diffusivity coefficients of the top level
predator.
1 Introduction
In spatio temporal food chain model [1–11] predators tend to develop migratory
strategies to take advantage over prey. The migratory movement of a predator is
influenced by movement of its prey on which it predates. Classical, diffusion based
food chain models [12–14] are inadequate to discuss this phenomenon as they take
into account movements motivated by self characteristics of a species i.e. self dif-
fusion. In order to model such a scenario we need to incorporate the role of cross
diffusion along with self diffusion as in [17–20, 23]. Self diffusion represents the
movement of species from a region of its higher concentration to a region of its lower
concentration where as cross diffusion is the expression of population fluxes of one
species due to the influence of other. The self diffusivity which is indicative of self
tendency of a species to move is always positive but cross diffusivity which repre-
sents movement under the influence of other may be positive or negative. Positive
N. Mohan · N. Kumari (B)

School of Basic Sciences, Indian Institute of Technology Mandi, Mandi 175001, Himachal
Pradesh, India
e-mail: nitu@iitmandi.ac.in
N. Mohan
e-mail: nishithmohan888@gmail.com

https://doi.org/10.1007/978-981-15-1157-8_2
12 N. Mohan and N. Kumari
cross diffusivity denotes movement of a particular species in the direction of lower

concentration of another species. Negative cross diffusivity represents the movement
of one species in the direction of higher concentration of another. In this work we
develop a cross diffusive tritrophic model to study the influence of cross diffusion
on the stability of food chain.
The phenomenon of pattern formation is frequently observed in spatiotemporal
prey predator interactive systems. Patterns may be defined as ordered outcome of
random phenomenon. Many authors in literature have investigated the role of self
diffusion on pattern formation as in [15, 16] (and the references there in), but the
role of cross diffusion which constitute a system of strongly coupled parabolic partial
differential equations remains less explored. In literature [23] investigated the role of
cross diffusion but for a model system based on classical Leslie Grower functional
response. In this work we study cross diffusion induced pattern formation on a food
chain in which prey and mid level predator interact via Holling type functional
response and mid and top level predator interact in accordance with Crowley Martin
functional response. In [24] pattern formation for such a model was studied but with
perturbations of trigonometric functions which had linear arguments. In the present
work we take a more complex perturbations and extend the study.
In Sect. 2 we first present the proposed model system. We later extend this model
system and include nonlinear cross diffusion at the third or top trophic level. In
Sect. 3 stability analysis of both temporal and spatiotemporal model is carried out.
After we proved that the positive equilibrium point is local asymptotically stable
we have shown that the system is stable under the effect of diffusion and absence
of cross diffusion but instable in the presence of both diffusion and cross diffusion.
In Sect. 4 we perform a numerical simulation of the cross diffusive system and take
into account Turing pattern formation for various values of self and cross diffusion
coefficients of the top level predator.
2 Model Formulation
In the present work we take into account a tritrophic food chain model with Crowley
Martin functional response. The prey U1 (T ) and mid level predator U2 (T ) interact
via Holling type–II functional response and the mid level predator and top level
predator U3 (T ) interact in accordance with Crowley Martin functional response.
The temporal formulation, defined by a system of ordinary differential equations is
given below:

dU1 U1 wU1 U2
= a1 U 1 1 − −
dT K U1 + D
dU2 w1 U1 U2 w2 U2 U3
= −a2 U2 − EU2 +2
− (1)
dT U 1 + D1 1 + dU2 + bU3 + bdU2 U3
dU3 w3 U2 U3
= −cU3 +
dT 1 + dU2 + bU3 + bdU2 U3
Turing Patterns in a Cross Diffusive System 13
Here, the prey U1 has an intrinsic growth rate of a1 , and carrying capacity K in the
absence of predator U2 , D measures the extent to which environment can protect
U1 from U2 , w describes maximum value, which per capita reduction rate of U1
can attain. As stated earlier U2 predates on U1 in accordance with Holling Type II
functional response. The intermediate predator U2 has a natural death rate of a2 ,
w1 describes maximum rate at which U2 can predate over U1 , D1 measures the
extent to which the environment can provide protection to U2 and E represents the
internal competition coefficient among the members of U2 . The predation of U2 over
U1 is governed by Holling Type II functional response and the top level predator
U3 predates on U2 in accordance with Crowley Martin functional response. The
constants w2 , b and d are the parameters that describe the effects of capture rate,
handling time and magnitude of interference among predators on the feeding rate in
Crowley Martin functional response. The top level predator U3 dies at a natural death
rate of c. w3 is the saturating Crowley Martin type functional response parameter
similar to w2 . All the parameters described above assume only positive values and
the model system is a three species food chain model involving a hybrid type of prey
dependent and predator dependent functional responses.
The model system described by (1) consists of 13 parameters, which makes math-
ematical analysis quite complex, therefore we reduce the number of parameters by
rescaling the model system. The model is rescaled, using the following variables and
parameters:
U1 wU2 ww2 U3 D a2 w1 D1
t = a1 T, u 1 = , u2 = , u3 = 2 , w4 = , w5 = , w6 = , w7 = ,
K a1 K a1 d K K a1 a1 K
(2)
a1 b a 2 bd K w c w3 Ew
w8 = , w9 = 1 , w10 = , w11 = , w12 = , e= 2
w2 ww2 a1 d K a1 a1 d a1 K
The rescaled system is given as follows [24]:

du 1 u2
= u1 1 − u1 −
dt u 1 + w4

du 2 w6 u 1 u3
= u 2 −w5 + − eu 2 − (3)
dt u 1 + w7 u 2 + (w8 + w9 u 2 ) r − u 3 + w10

du 3 w12 u 2
= u 3 −w11 +
dt u 2 + (w8 + w9 u 2 ) r − u 3 + w10
Both (1) and the rescaled form in (3) assumes a homogeneous distribution of
species in space, but in nature species distribution is always inhomogeneous. A
realistic food chain scenario describing the above prey predator interaction can be
modeled by spatially extending the system (3) using reaction diffusion mechanism.
At any location (x, y) and time t, the interaction of three species populations
namely u 1 (x, y, t), u 2 (x, y, t) and u 3 (x, y, t) can be modeled with the reaction
diffusion equation
where Δ denotes two dimensional Laplacian operator
given by (4),
∂2 ∂2
given by Δ ≡ 2 + 2 , where x, y ∈ Ω and t > 0. Ω is a bounded domain
∂x ∂y
in R2 with a smooth boundary ∂Ω.

∂u 1 u2
− d1 Δu 1 = u 1 1 − u 1 −
∂t u 1 + w4

∂u 2 w6 u 1 u3
− d2 Δu 2 = u 2 −w5 + − eu 2 −
∂t u 1 + w7 u 2 + (w8 + w9 u 2 ) u 3 + w10
(4)
∂u 3 w12 u 2
− d3 Δu 3 = u 3 −w11 +
∂t u 2 + (w8 + w9 u 2 ) u 3 + w10
∂u 1 ∂u 2 ∂u 3
= = =0
∂n ∂n ∂n
∂u 1 ∂u 2 ∂u 3
The boundary conditions = = = 0 are the homogeneous Neumann
∂n ∂n ∂n
boundary conditions or zero flux boundary conditions (n is the outward normal to
Ω). The model system discussed in (4), assumes that the motilities or movement
of the species in concern is governed solely by their own characteristics. In system
(4) the movements of the species can be physically affected only by the population
pressures arising out of the mutual interference between the individuals of the same
species. The diffusivities d1 , d2 and d3 involved in (4) are referred to as self diffusion
rates of the species u 1 , u 2 and u 3 respectively. However, in case of a model system
describing spatiotemporal prey predator interactions motility of one species effects
the motility of the other. The system described in (4) do not incorporate this effect and
is inadequate to describe such species interaction. The predators have a tendency of
developing migratory strategies to take an advantage over the prey. We, now include
the effect of cross diffusion to describe such a situation. In addition of the self
tendency to move i.e. self diffusion, the species also migrate or move under the
influence of other. Such behavior considers the concentration of both the predator
species i.e., u 2 , the mid level predator and u 3 , top level predator—constituting a
cross diffusive system. The cross diffusive coefficient may be positive or negative.
The positive cross diffusion coefficient represents that one species tends to move in
the direction of lower concentration of another species. The negative cross diffusion
terms represents that the population flux of one species is in the direction of higher
concentration of the other. Now, we propose the interaction of the above three species
population model with cross diffusion in the following form:

∂u 1 u2
− d1 Δu 1 = u 1 1 − u 1 −
∂t u 1 + w4

∂u 2 w6 u 1 u3
− d2 Δu 2 = u 2 −w5 + − eu 2 −
∂t u 1 + w7 u 2 + (w8 + w9 u 2 ) u 3 + w10
(5)
∂u 3 w12 u 2
− d3 Δ (u 3 + d4 u 2 u 3 ) = u 3 −w11 +
∂t u 2 + (w8 + w9 u 2 ) u 3 + w10
∂u 1 ∂u 2 ∂u 3
= = = 0.
∂n ∂n ∂n

∂2 ∂2
where, Δ denotes two dimensional Laplacian Δ ≡ 2 + 2 , (x, y) ∈ Ω.
∂x ∂y
The nonlinear diffusion terms in the equation governing the dynamics of top level
predator u 3 implies that the direction of dispersion of top predator contains a self
diffusion term by which it moves from a region of its higher concentration to a region
of its lower concentration but also a cross diffusive term. The top predator u 3 diffuses
with the flux
J = −∇(d3 u 3 + d3 d4 u 2 u 3 ) = −d3 d4 u 3 ∇u 2 − (d3 + d3 d4 u 3 )∇u 3 ,
where, −d3 d4 ∇u 3 < 0, the −d3 d4 r ∇u 2 part of the flux J is directed towards the
decreasing population density of the mid level predator u 2 . This behavior can be
justified by the fact that in various prey predator interacting systems, the prey tend
to form groups as a protective measure against predation. As, in the proposed model
system the predation of u 3 is impossible, therefore to extensively study cross diffusion
induced instability in the system, we introduce it at the third or top trophic level.
3 Stability Analysis
3.1 Temporal Model
In this section we assume that model system (3) has the unique positive stationary
uniform solution, we denote it by u∗ = (u ∗1 , u ∗2 , u ∗3 ) and derive the conditions under
which it is locally asymptotically stable.
Theorem 1 The stationary uniform solution u∗ = (u ∗1 , u ∗2 , u ∗2 ) of (3) is locally

asymptotically stable if the parameters satisfy,
u ∗2 u ∗3 (1 + w9 u ∗2 ) u ∗2
∗ < e & < 1.
u 2 + w8 + w9 u ∗2 u ∗3 + w10
2 (u ∗1 + w4 )2
Proof Through out the paper we denote,

⎡ ⎤
∼ u2
u 1 g1 (u) = u1 1 − u1 −
⎡ ⎤ ⎢
⎢ u 1 + w4 ⎥
G 1 (u) ⎢ ⎥
⎥
⎢ ∼ w6 u 1 u2 ⎥
G(u) = ⎣G 2 (u)⎦ = ⎢ u 2 g2 (u) = u 2 −w5 + − eu 2 − ⎥
⎢ u 1 + w7 u 2 + (w8 + w9 u 2 ) u 3 + w10 ⎥
G 3 (u) ⎢ ⎥
⎣ w12 u 2 ⎦
u 3 g3 (u) ∼
= u 3 −w11 +
u 2 + (w8 + w9 u 2 ) u 3 + w10
(6)
Calculating Gu (u∗ ), and putting, Gu (u∗ ) = 0.
⎡ ⎤
u ∗1 u ∗2 ∗ −u ∗1
⎢ (u ∗ + w4 )2 − u 1 ∗
u 1 + w4
0 ⎥
⎢ 1 ⎥
⎢ w6 w7 u ∗2 u ∗3 u ∗2 (1 + w9 u ∗3 ) u ∗2 (u ∗2 + w10 ) ⎥
∗ ⎢ −eu ∗ + − ⎥
Gu (u ) = ⎢ (u ∗ + w )2 2 ∗ ∗ ∗ 2 ∗ ∗ ∗ 2⎥
⎢ 1 7 u 2 + w8 + w9 u 2 u 3 + w10 u 2 + w8 + w9 u 2 u 3 + w10 ⎥
⎢ ∗ ∗
u 3 w12 (w8 u 3 + w10 ) ∗ ∗ ∗
−w12 u 2 u 3 (w8 + w9 u 2 ) ⎥
⎣ ⎦
0 ∗ ∗
∗ 2 ∗ ∗
∗ 2
u 2 + w8 + w9 u 2 u 3 + w10 u 2 + w8 + w9 u 2 u 3 + w10
(7)
The characteristic polynomial of Gu (u∗ ) is
ρ(λ) = λ3 + H1 λ2 + H2 λ + H3
where,

w12 u ∗2 u ∗3 w8 + w9 u ∗2 ∗ u ∗3 u ∗2 (1 + w9 u ∗3 )
H1 = 2 + u 2 e − ∗ 2
u ∗2 + w8 + w9 u ∗2 u ∗3 + w10 u 2 + w8 + w9 u ∗2 u ∗3 + w10

u∗
+ u ∗1 1 − ∗ 2 2
(u 1 + w4 )

u ∗2 w12 u ∗2 u ∗3 (w8 + w9 u ∗2 ) u ∗3 u ∗2 (1 + w9 u ∗3 )
H2 = u ∗1 1 − ∗ 2 + u ∗
2 e − ∗ 2
(u 1 + w4 )2 u 2 + w8 + w9 u ∗2 u ∗3 + w10 u 2 + w8 + w9 u ∗2 u ∗3 + w10
w6 w7 u ∗1 u ∗2 u ∗ u ∗ w12 (u ∗ + w10 )(w8 u ∗3 + w10 ) w12 u ∗2 ∗
2 u 3 (w8 + w9 )
+ + 2 3 2 2 + ∗ 2
(u ∗1 + w4 )(u ∗1 + w7 )2 u ∗2 + w8 + w9 u ∗2 u ∗3 + w10 u 2 + w8 + w9 u ∗2 u ∗3 + w10

u ∗3 u ∗2 (1 + w9 u ∗3 )
× e− 2
u 2 + w8 + w9 u ∗2 u ∗3 + w10
∗
∗ ∗
w6 w7 u ∗1 u ∗2 ∗ ∗
2 u 3 (w8 + w9 u 3 ) u 2 u 3 w12 (u ∗2 + w10 )(w8 u ∗3 + w10 )
H3 = ∗ + ∗ 2
∗
(u 1 + w4 )(u 1 + w7 ) u 2 + w8 + w9 u 2 u 3 + w10
2 ∗ 2
u 2 + w8 + w9 u ∗2 u ∗3 + w10

w12 u ∗2 ∗
2 u 3 (w8 + w9 ) u ∗3 u ∗2 (1 + w9 u ∗3 )
+ 2 e − ∗ 2
u ∗2 + w8 + w9 u ∗2 u ∗3 + w10 u 2 + w8 + w9 u ∗2 u ∗3 + w10

u∗
× u ∗1 1 − ∗ 2 2
(u 1 + w4 )
By, using the criteria stated in Theorem 1 it is easy to verify that H1 , H2 , H3 > 0
and it has been verified that H1 H2 − H3 > 0. Therefore, it follows from the Routh–
Hurwitz criteria that, the three roots λ1 , λ2 , λ3 of ρ(λ) = 0 have negative real parts.
Hence, the stationary uniform solution u∗ of (3) is locally asymptotically stable under
the stated condition.
3.2 Model with Self Diffusion
In order to discuss the local asymptotically stability of the system of parabolic Eqs. 4
and 5 we lay down the following notation as in [19].
Notation 1 Let 0 = μ1 < μ2 < · · · → ∞ be the eigenvalues of −Δ on Ω under no-
flux boundary conditions, and E (μi ) be the space of eigenfunctions corresponding
to μi . We define the following space decomposition

(i) Xij := c . φi j : c ∈ R3 where φi j are orthonormal basis of E (μi ) for j =
1, . . . ,
dimE (μi ).
3 ∞
(ii) Xij := u ∈ C 1 (Ω̄) : ∂n u 1 = ∂n u 2 = ∂n u 3 = 0 on ∂Ω , and so X = i=1
dimE(μi )
Xi , where Xi = j=1 Xij .
Theorem 2 The stationary uniform solution u∗ of (4) is locally asymptotically stable

if,
u ∗3 (1 + w9 u ∗3 ) u ∗2
∗ < e & ∗ <1
u + w8 + w9 u ∗ u ∗ + w10
2 (u 1 + w4 )2
2 2 3
Proof The spatially extended model system without cross diffusion (4) has been
linearized at u∗ and expressed as

ut = DΔ + Gu (u∗ ) u,
where, ⎡ ⎤
d1 0 0
D = ⎣ 0 d2 0 ⎦
0 0 d3
According to Notation 1, Xi is invariant under the operator DΔ + Gu (u∗ ), and λ

is an eigenvalue of this operator on Xi , if and only if it is an eigenvalue of the
matrix μi D + Gu (u∗ ). The characteristic polynomial of the matrix μi D + Gu (u∗ )
is denoted as,
ψλ = λ3 + A1 λ2 + A2 λ + A3
where,

w12 u ∗2 u ∗3 w8 + w9 u ∗2 ∗ u ∗3 u ∗2 (1 + w9 u ∗3 )
A1 = μi (d1 + d2 + d3 ) + + u 2 e −
u ∗2 + w8 + w9 u ∗2 u ∗3 + w10 u ∗2 + w8 + w9 u ∗2 u ∗3 + w10
2 2

u ∗2
+ u ∗1 1 −
(u ∗1 + w4 )2

w12 u ∗2 u ∗3 (w8 + w9 u ∗2 ) ∗ u ∗3 u ∗2 (1 + w9 u ∗3 )
A2 = μi d1 μi (d2 + d3 ) + + u 2 e −
u ∗2 + w8 + w9 u ∗2 u ∗3 + w10 u ∗2 + w8 + w9 u ∗2 u ∗3 + w10
2 2
∗ ∗ ∗ ∗
u w12 u 2 u 3 (w8 + w9 u 2 )
+ u ∗1 1 − ∗ 2 2 μi (d2 + d3 ) + 2
(u 1 + w4 ) u ∗2 + w8 + w9 u ∗2 u ∗3 + w10

u ∗3 u ∗2 (1 + w9 u ∗3 ) w6 w7 u ∗1 u ∗2
+ u ∗2 e − ∗ 2 + ∗ + μi2 d2 d3
∗
u + w8 + w9 u u + w10 ∗ (u 1 + w4 )(u ∗1 + w7 )2
2 2 3
μi d2 w12 u ∗2 u ∗3 (w8 + w9 u ∗2 ) u ∗ u ∗ w12 (u ∗ + w10 )(w8 u ∗3 + w10 )
+ + 2 3 2 2
u ∗2 + w8 + w9 u ∗2 u ∗3 + w10 u ∗2 + w8 + w9 u ∗2 u ∗3 + w10
2

w12 u ∗2 ∗
2 u 3 (w8 + w9 ) u ∗3 u ∗2 (1 + w9 u ∗3 )
+ μi d3 u ∗2 + e −
u ∗2 + w8 + w9 u ∗2 u ∗3 + w10 u ∗2 + w8 + w9 u ∗2 u ∗3 + w10
2 2
w6 w7 u ∗1 u ∗2 w6 w7 u ∗1 u ∗2 ∗
2 u 3 (w8 + w9 u 3 )
∗
A3 = μi d3 ∗ ∗ + ∗ 2
(u 1 + w4 )(u 1 + w7 ) 2
(u 1 + w4 )(u 1 + w7 ) u 2 + w8 + w9 u ∗2 u ∗3 + w10
∗ 2

μi d2 w12 u ∗2 u ∗3 (w8 + w9 u ∗2 ) u ∗2 u ∗3 w12 (u ∗2 + w10 )(w8 u ∗3 + w10 )
+ μi2 d2 d3 + ∗ 2 + ∗ 2
∗ ∗
u 2 + w8 + w9 u 2 u 3 + w10 u 2 + w8 + w9 u ∗2 u ∗3 + w10

w12 u ∗2 ∗
2 u 3 (w8 + w9 ) u ∗3 u ∗2 (1 + w9 u ∗3 )
+ μi d3 u ∗2 + e −
u ∗2 + w8 + w9 u ∗2 u ∗3 + w10 u ∗2 + w8 + w9 u ∗2 u ∗3 + w10
2 2

u∗
× μi d3 + u ∗1 1 − ∗ 2 2
(u 1 + w4 )
By, using the stated criteria in Theorem 2 it seems clear that A1 , A2 , A3 > 0 and
through calculation it has been verified that A1 A2 − A3 > 0. Therefore, it follows
from the Routh–Hurwitz criteria that, for each i ≥ 1, the three roots λi,1 , λi,2 , λi,3
of ψi (λ) = 0 all have negative real parts. Hence, the stationary uniform solution u∗
of (4) is locally asymptotically stable under the stated condition.
From Theorem 2, it is clear that on adding the self diffusion terms to the temporal
model system (3) results in stable positive stationary uniform solution under the stated
condition, therefore diffusion driven instability has not yet occurred. Therefore, we
will now consider the effect of cross diffusion on the model system.
3.3 Model with Self Diffusion and Cross Diffusion
We now consider system (5), in detail.

Theorem 3 Assuming d4 > 0 and the following condition holds,

u ∗3 (1 + w9 u ∗3 ) u ∗2 w6 w7
e− 2 1− +
u ∗2 + w8 + w9 u ∗2 u ∗3 + w10 (u ∗1 + w4 )2 (u ∗1 + w4 )(u ∗1 + w7 )2

d4 u ∗3 (u ∗3 + w10 ) u ∗2
< 2 1− ∗
(1 + d4 u ∗2 ) u ∗2 + w8 + w9 u ∗2 u ∗3 + w10 (u 1 + w4 )2
if μ2 < μ̃, where μ2 is as explained in Notation 1 and μ is given by (9). Then there
exists a positive constant d3∗ . such that when d3 ≥ d3∗ , the stationary uniform solution
u∗ of the cross diffusive system (5) is unstable.
Proof We denote Φ(u) = (d1 u 1 , d2 u 2 , d3 u 3 (1 + d4 u 2 ))T . Linearizing system (5) at

u∗ , we have
ut = Φu Δ + Gu (u∗ ) u,
where, ⎡ ⎤
d1 0 0
Φu = ⎣ 0 d2 0 ⎦
0 d3 d4 u ∗3 d3 + d3 d4 u ∗2
The characteristic polynomial of −μi Φu + Gu (u∗ ) is given by,
ψλ = λ3 + B1 λ2 + B2 λ + B3
where,
w12 u ∗2 u ∗3 (w8 + w9 u ∗2 )
B1 = μi (d1 + d2 + d3 ) + μi d3 d4 u ∗2 + 2
u ∗2 + w8 + w9 u ∗2 u ∗3 + w10

∗ ∗ ∗
∗ u u (1 + w 9 u ) ∗ u ∗2
+ u2 e −
3 2

3
2 + u 1 1 − ∗
u ∗2 + w8 + w9 u ∗2 u ∗3 + w10 (u 1 + w4 )2

w12 u ∗2 u ∗3 (w8 + w9 u ∗2 )
B2 = μi (d2 + d3 ) + μi d3 d4 u ∗2 + 2
u 2 + w8 + w9 u ∗2 u ∗3 + w10
∗

∗ u ∗3 u ∗2 (1 + w9 u ∗3 ) ∗ u ∗2
+ u2 e − × μ i d 1 + u 1 −
u ∗2 + w8 + w9 u ∗2 u ∗3 + w10
2 1
(u ∗1 + w4 )2
w12 eu ∗2 ∗ ∗
2 u 3 (w8 + w9 u 2 )
+ μi2 d2 d3 (1 + d4 u ∗2 ) + μi d3 eu ∗2 (1 + d4 u ∗2 ) + 2
u ∗2 + w8 + w9 u ∗2 u ∗3 + w10
μi d2 w12 u ∗2 u ∗3 (w8 + w9 u ∗2 ) w12 u ∗ u ∗ (u ∗ + w10 )(w8 u ∗3 + w10 )
+ + 2 3 2 4
u ∗2 + w8 + w9 u ∗2 u ∗3 + w10 u ∗2 + w8 + w9 u ∗3 u ∗2 + w10
2
μi d3 u ∗3 u ∗2 (1 + w9 u ∗3 ) ∗
μi d3 d4 u ∗3 u ∗2 (u ∗2 + w10 )
− 1 + d 4 u 2 − 2
u ∗2 + w8 + w9 u ∗2 u ∗3 + w10 u ∗2 + w8 + w9 u ∗2 u ∗3 + w10
2
w12 u ∗2 ∗2 ∗ ∗
2 u 3 (1 + w9 u 3 )(w8 + w9 u 2 )
− ∗ ∗ 4
∗
u 2 + w8 + w9 u 3 u 2 + w10
μi d3 w6 w7 u ∗1 u ∗2 w6 w7 u ∗1 u ∗2 ∗ ∗
2 u 3 (w8 + w9 u 2 )
B3 = (1 + d4 u ∗2 ) + 2
(u ∗1 ∗
+ w4 )(u 1 + w7 ) 2
(u ∗1 + w4 )(u ∗1 + w7 )2 u ∗2 + w8 + w9 u ∗2 u ∗3 + w10

u∗
μi d1 + u ∗1 1 − ∗ 2 2 × μi2 d2 d3 (1 + d4 u ∗2 ) + μi d3 eu ∗2 (1 + d4 u ∗2 )
(u 1 + w4 )
w12 eu ∗2 ∗ ∗
2 u 3 (w8 + w9 u 2 ) μi d2 w12 u ∗2 u ∗3 (w8 + w9 u ∗2 )
+ ∗ 2 + ∗ 2
u ∗2 ∗
+ w8 + w9 u 2 u 3 + w10 u 2 + w8 + w9 u ∗2 u ∗3 + w10
w12 u ∗ u ∗ (u ∗ + w10 )(w8 u ∗3 + w10 ) μi d3 d4 u ∗3 u ∗2 (u ∗2 + w10 )
+ 2 3 2 ∗ 4 − ∗ 2
∗ ∗
u 2 + w8 + w9 u 3 u 2 + w10 u 2 + w8 + w9 u ∗2 u ∗3 + w10

μi d3 u ∗3 u ∗2 (1 + w9 u ∗3 ) w12 u ∗2 u ∗2 (1 + w9 u ∗3 )(w8 + w9 u ∗2 )
− 1 + d4 u ∗2 − 2 3 4
u ∗2 + w8 + w9 u ∗2 u ∗3 + w10 u ∗2 + w8 + w9 u ∗3 u ∗2 + w10
2
Let λ1 (μi ), λ2 (μi ), λ3 (μi ) be the three roots of ψ(λ) = 0, then,
λ1 (μi ).λ2 (μi ).λ3 (μi ) = −B3 .
For at least one Re(λi (μi )) > 0, it is sufficient to show that B3 < 0. Also,
B3 = det(μi φi − Gu (u∗ ))
Hence, we have,
B3 = Q 3 μi3 + Q 2 μi2 + Q 1 μi + Q 0
where,
Q 3 = d1 d2 d3 (1 + d3 u ∗2 )

u ∗3 u ∗2 (1 + w9 u ∗3 ) d1 d2 w12 (w8 + w9 u ∗2 )u ∗2 u ∗3
Q 2 = d1 d3 (1 + d4 u ∗2 )u ∗2 e − ∗ 2 + ∗ 2
∗ ∗
u 2 + w8 + w9 u 2 u 3 + w10 u 2 + w8 + w9 u ∗2 u ∗3 + w10

d1 d3 d4 u ∗3 u ∗2 (u ∗2 + w10 ) ∗ ∗ u ∗1 u ∗2
− ∗ 2 + d2 d3 (1 + d4 u 2 ) u 1 −
∗ ∗
u 2 + w8 + w9 u 2 u 3 + w10 (u 1 + w4 )2

u ∗3 u ∗2 (1 + w9 u ∗3 ) w − 12u ∗2 u ∗3 (w8 + w9 u ∗2 )
Q 1 = d1 u ∗2 e − 2 2
u 2 + w8 + w9 u ∗2 u ∗3 + w10
∗ u ∗2
+ w8 + w9 u ∗2 u ∗3 + w10

d1 w12 u ∗2 u ∗3 (u ∗2 + w10 )(w8 u ∗3 + w10 ) d2 w12 u ∗2 u ∗3 (w8 + w9 u ∗2 ) u ∗1 u ∗2
∗ + u ∗1 −
u 2 + w8 + w9 u ∗3 u ∗2 + w10
4
u ∗2 + w8 + w9 u ∗2 u ∗3 + w10
2 (u 1 + w4 ) 2

∗ ∗ ∗
u 3 u 2 (1 + w9 u 3 ) ∗ ∗
u1 u2
d3 (1 + d4 u ∗2 ) e − ∗ 2 u ∗1 −
∗ ∗
u 2 + w8 + w9 u 2 u 3 + w10 (u 1 + w4 )2

d3 d4 u ∗3 u ∗2 (u ∗2 + w10 ) ∗ u ∗1 u ∗2 w6 w7 u ∗1 u ∗2
− ∗ 2 u 1 − + d3 (1 + d4 u ∗2 )
∗ ∗
u 2 + w8 + w9 u 2 u 3 + w10 (u 1 + w 4 )2 (u 1 + w4 )(u 1 + w7 )2

u ∗1 u ∗2 u ∗3 u ∗2 (1 + w9 u ∗3 ) w12 u ∗2 u ∗3 (w8 + w9 u ∗2 )
Q 0 = u ∗1 − e− ∗ 2
(u ∗1 + w4 )2 ∗ ∗
u 2 + w8 + w9 u 2 u 3 + w10∗ 2
u 2 + w8 + w9 u ∗2 u ∗3 + w10
∗ ∗
u∗u∗ u 2 u 3 w12 (u ∗2 + w10 )(w8 u ∗3 + w10 )
+ u ∗1 − ∗ 1 2 2 ∗ 4
(u 1 + w4 ) u + w8 + w9 u ∗ u ∗ + w10
2 3 2
w6 w7 w12 u ∗1 u ∗2 ∗ ∗
2 u 3 (w8 + w9 u 2 )
+ ∗ 2
(u 1 + w4 )(u 1 + w7 ) u 2 + w8 + w9 u 2 u ∗3 + w10
2 ∗
From above we see that Q 0 = −det(Gu (u∗ )).

Let, Q̃(μ) = Q 3 μ3 + Q 2 μ2 + Q 1 μ − det(Gu (u∗ ) and let μ̃1 , μ̃2 , μ̃3 be the three
˜ = 0, with Re(μ̃1 ) ≤ Re(μ̃2 ) ≤ Re(μ̃3 ). Now, μ̃1 μ̃2 μ̃3 = det(Gu (u∗ )).
roots of Q(μ)
As det(Gu (u∗ )) < 0 because of condition specified in Theorem 2. Therefore, we
have,
μ̃1 μ̃2
μ3 < 0
As, d1 > 0, d2 > 0, d3 > 0 & d4 > 0 therefore, we have Q 3 > 0. From the theory
of equation one of μ1 , μ
2 , μ
3 is real and negative and the product of other two is
positive.
Consider the following limits,
Q3
lim = d1 d2 (1 + d4 u ∗2 ) ∼
= b3
d3 →∞ d3

Q2 u ∗3 u ∗2 (1 + w9 u ∗3 ) d1 d4 u ∗3 u ∗2 (u ∗2 + w10 )
lim = d1 (1 + d4 u ∗2 )u ∗2 e − − 2
d3 →∞ d3 ∗ ∗
u 2 + w8 + w9 u 2 u 3 + w10 ∗ 2
u 2 + w8 + w9 u ∗2 u ∗3 + w10
∗

u ∗1 u ∗2
+ d2 (1 + d4 u ∗2 ) u ∗1 − ∼
= b2
(u 1 + w4 )2

Q1 u ∗3 u ∗2 (1 + w9 u ∗3 ) u ∗1 u ∗2
lim = (1 + d4 u ∗2 )u ∗2 e − u ∗−
1
u ∗2 + w8 + w9 u ∗2 u ∗3 + w10 (u 1 + w4 )2
d3 →∞ d3 2

∗ ∗ ∗
d4 u 3 u 2 (u 2 + w10 ) ∗ ∗
u1 u2 w6 w7 u ∗1 u ∗2
− ∗− + (1 + ∗) ∼
u 1 d4 u 2 = b1
u ∗2 + w8 + w9 u ∗2 u ∗3 + w10 (u 1 + w4 )2 (u 1 + w4 )(u 1 + w7 )2
2
If, b1 < 0, then from above the following holds,

u ∗3 (1 + w9 u ∗3 ) u ∗2 w6 w7
e− 2 1− +
u ∗2 + w8 + w9 u ∗2 u ∗3 + w10 (u ∗1 + w4 )2 (u 1 + w4 )(u ∗1 + w7 )2
∗

d4 u ∗3 (u ∗3 + w10 ) u ∗2
< 2 1−
(1 + d4 u ∗2 ) u ∗2 + w8 + w9 u ∗2 u ∗3 + w10 (u ∗1 + w4 )2
We have, b1 < 0 < b3 .

Also,
Q̃(μ)
lim = b3 μ3 + b2 μ2 + b1 μ = μ(b3 μ2 + b2 μ + b1 )
d3 →∞ d3
As, b1 < 0 < b3 , which means that the equation,
Q̃(μ)
lim =0
d3 →∞ d3
have one positive root and one negative root. From continuity if d3 → ∞,
μ is real
2 μ
and negative. Further μ 3 > 0, μ
2 μ
3 are real and positive.

−b2 − b22 − 4b1 b3
lim μ̃1 = <0 (8)
d2 →∞ 2b3

−b2 − b22 − 4b1 b3
lim μ̃3 = >0=
μ (9)
d2 →∞ 2b3
lim μ̃2 = 0 (10)

d2 →∞
Therefore there exists a positive number d3∗ such that when d3 ≥ d3∗ the following
holds, Q̃(μ) < 0 when μ ∈ (−∞, μ̃1 ) ∪ (μ̃2 , μ̃3 ). Therefore, when 0 < μ2 < μ̃,
then μ2 ∈ (μ̃2 , μ̃3 ), it follows that Q̃(μ2 ) < 0. Therefore B3 < 0, and the proof is
complete.
Therefore, from the above theorems we conclude that cross diffusion destabilizes the
stationary uniform solution, so the spatial patterns for Crowley Martin type functional
response can generate.
4 Numerical Simulations
Our goal in this study is to understand the impact of cross diffusion with different
initial conditions. Hence, we consider an initial condition with trigonometric pertur-
bation with quadratic argument. To understand the spatiotemporal dynamics of top
predator u 3 we carry out numerical experiments with cross diffusion. For this pur-
pose in this section we will do a detailed investigation of the patterns in the top level
predator for different self and cross diffusivity coefficients. The system in (5) of par-
tial differential equations is numerically solved using semi implicit finite difference
technique, forward difference scheme is used for the reaction terms and standard
five point explicit finite difference scheme is used for diffusion term. Turing patterns
were obtained from the effect of nonlinear diffusion term for the top level predator
u 3 as in [22, 23].
Discretization of the cross diffusive term of (5) has been carried out using Taylors
series expansion about the non trivial equilibrium point (u ∗1 , u ∗2 , u ∗3 ). We get a system
of the following form:

∂u 1 u2
− d1 Δu 1 = u 1 1 − u 2 −
∂t u 1 + w4

∂u 2 w6 u 1 u3
− d2 Δu 2 = u 2 −w5 + − eu 2 −
∂t u 1 + w7 u 2 + (w8 + w9 u 2 ) u 3 + w10

(11)
∂u 3 w12 u 2
− d3 d4 u ∗3 Δu 2 − d3 (1 + d4 u ∗2 )Δu 3 = u 3 −w11 +
∂t u 2 + (w8 + w9 u 2 ) u 3 + w10
∂u 1 ∂u 2 ∂u 3
= = =0 (x, y) ∈ ∂Ω.
∂n ∂n ∂n
To ensure convergence the step length Δx = Δy and time step Δt has been chosen
appropriately. Standard five-point approximation has been used for the 2D Laplacian
with the zero-flux boundary conditions. Initially, the entire system is at the stationary
state (u ∗1 , u ∗2 , u ∗3 ), and the perturbation introduced in the initial condition is of the
order 5 × 10−4 as given in (12):

∗ π(x − x0 ) 2 π(y − y0 ) 2
u(x, y) = u + ε1 sin + ε2 sin
0.2 0.2
2
π(x − x0 ) π(y − y0 ) 2
v(x, y) = v ∗ + ε1 sin + ε2 sin (12)
0.2 0.2
2
π(x − x0 ) π(y − y0 ) 2
r (x, y) = r ∗ + ε1 sin + ε2 sin
0.2 0.2
where, ε1 = ε2 = 5 × 10−4 , x0 = y0 = 0.1.

The, set of parameter values at which the system will yield a locally asymptotically
stable solution is:
Table 1 Values of diffusivity coefficients d1 , d2 , d3 and d4 used in the simulations

Figure d1 d2 d3 d4
1 85 75 10 0
2(a) 85 75 1.7 2.3
2(b) 85 75 1.1 3
3(a) 85 75 0.8 6
3(b) 85 75 0.5 10
4(a) 85 75 0.3 8
4(b) 85 75 0.1 15
5(a) 85 75 0.03 85
5(b) 85 75 0.02 200
w4 = 0.25, w5 = 0.25, w6 = 0.8, w7 = 0.25, w8 = 0.01,

w9 = 0.1, w10 = 0.28, w11 = 0.25, w12 = 0.78, e = 2.
In order to analyze the role of cross diffusion on u 3 we consider the following set of
parameters:
w4 = 17.25, w5 = 17.25, w6 = 17.25, w7 = 17.25, w8 = 0.25,

w9 = 0.25, w10 = 0.28, w11 = 18.26, w12 = 3.05, e = 22.
We perform the simulation on a 50 × 50 grid with spatial step size h = 0.5 and time
step size Δt = 0.1. In order to investigate the role of cross diffusion and self diffusion
in the pattern formation of the top predator u 3 , we perform simulations for a wide
range of self diffusive coefficient d3 and cross diffusivity coefficient d4 . The different
values of self and cross diffusive coefficients used in numerical experiments of top
level predator u 3 are given below in Table 1. We have carried out all the simulation
for time level t = 10000 for the model system given in (11).
In the absence of cross diffusion i.e. d4 = 0 no patterns were obtained for top
predator u 3 even for higher values of d3 this is shown in Fig. 1. This experiment is
indicative of the fact that in absence of cross diffusion patterning is not possible, as
there is no destabilization in the system.
For our second numerical experiment, we take into account the role of cross
diffusion. We slowly increase cross diffusivity d4 and decrease self diffusivity d3 .
Our objective is to observe the role of cross diffusion on the dynamics, when there
is very low self diffusion. Therefore in Fig. 2a d4 is increased from 0 to 2.3 and
d3 is decreased from 10 to 1.7. The introduction of cross diffusion destabilizes the
dynamics of u 3 , the top predator and we obtain a mixture of hot spots and labyrinth
patterns as seen in Fig. 2a. On further increasing d4 to 3 we get hot spot Turing
patterns, observed in Fig. 2b.
Fig. 1 No Patterns for top predator of the model system (11) were obtained at time level t = 10000
in the absence of cross diffusion i.e. self diffusion and cross diffusion coefficients being d3 = 10,
d4 = 0 respectively
(a) u3 (b) r
50 50
8.61
8.59
8.6
40 40
8.58
8.59
8.58 8.57
30 30
8.57 8.56
20 8.56 20 8.55
8.55
8.54
10 8.54 10
8.53
8.53
0 0 8.52
0 10 20 30 40 50 0 10 20 30 40 50
Fig. 2 a A mix of Hot Spot and Labyrinth Turing patterns obtained at d3 = 1.7, d4 = 2.3. b Hot
Spot Turing patterns obtained at d3 = 1.1, d4 = 3
Further increment in d4 and decrement in d3 , leads to hexagonal Turing patterns

as observed in Fig. 3a at d4 = 6 and d3 = 0.8 and hot spot Turing pattern at d4 = 10
and d3 = 0.5 as seen in Fig. 3b.
Again, increasing the cross diffusivity, d4 to 8 and decreasing the self diffusivity
d3 to 0.3 we get floral Turing patterns as given in Fig. 4a. At d4 = 15 and d3 = 0.1
a mixture of hot spots and labyrinth patterns is obtained in Fig. 4b.
For very high values of cross diffusivity we see hot spot patterns in Fig. 5a at
d4 = 85 and d3 = 0.05 and for d4 = 200 and d3 = 0.01 we obtain pentagonal shaped
patterns in Fig. 5b.
(a) u3 (b) u3
50 8.61 50
8.6
8.6
40 40 8.59
8.59
8.58
8.58
30 30
8.57
8.57
8.56
8.56
20 20
8.55
8.55
8.54 8.54
10 10
8.53 8.53
0 0
0 10 20 30 40 50 0 10 20 30 40 50
Fig. 3 a Hexagonal Turing patterns obtained at d3 = 0.8, d4 = 6. b Hot spot Turing patterns
obtained at d3 = 0.5, d4 = 10
(a) u3 (b) u3
50 50
8.62
45
8.61 8.65
40 40
8.6
35
8.59
8.6
30 30
8.58
25
8.57
8.55
20 8.56
20
8.55 15
10 8.54 10 8.5
8.53 5
0 8.52 0
0 10 20 30 40 50 0 10 20 30 40 50
Fig. 4 a Floral Turing patterns obtained at d3 = 0.3, d4 = 8. b A mix of Hot Spot and Labyrinth
Turing patterns obtained at d3 = 0.1, d4 = 15
Above experiments help us in concluding that the role of cross diffusion is more
significant in destabilizing the system than self diffusion. Figure 1 shows that no pat-
tern formation can take place even for high values of self diffusivity, if cross diffusion
is absent. Table 1 describes the various self and cross diffusivity coefficients used for
obtaining the spatial patterns of the system (11). Table 1 indicates a negative corre-
lation of −0.636 between self diffusion coefficient and cross diffusion coefficients
which result in pattern formation.
(a) (b)
u3 u3
50 8.64 50 8.62
8.61
8.62
40 40 8.6
8.6 8.59
8.58
30 30
8.58 8.57
8.56
20 8.56 20
8.55
8.54 8.54
10 10
8.53
8.52
8.52
0 0
0 10 20 30 40 50 0 10 20 30 40 50
Fig. 5 a Hot Spot Turing patterns obtained at d3 = 0.05, d4 = 85. b Pentagonal Turing patterns
obtained at d3 = 0.02, d4 = 200
5 Conclusion
A tritrophic food chain model based on Holling Type–II and Crowley Martin func-
tional response is considered in our study. As species interaction takes place in both
space and time we spatially extend the model system in accordance with reaction
diffusion mechanism. In order to understand the tendency of predators to develop
migratory strategies to take advantage over prey we introduce cross diffusion, which
takes into account movement of one species influenced by movement of another
species. We proved that the positive equilibrium state of the model system in pres-
ence of self diffusion and absence of cross diffusion but unstable in presence of
both self and cross diffusion. The patterns induced by cross diffusion for top level
predator has been shown by perturbing the initial state with a trigonometric function
with quadratic arguments. Through our study we conclude that such a model system
is stable under self diffusion but whenever movement is under influence of other
species it tends towards instability.
Acknowledgements This work has further been extended and published in [24].
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On Multi-objective Optimization
Problems and Vector Variational-Like
Inequalities
Vivek Laha and Harsh Narayan Singh
Abstract This paper deals with nonsmooth multi-objective optimization problems

involving locally Lipschitz V − r -invexity using Michel–Penot subdifferential. We
consider vector variational-like inequalities of Stampacchia and Minty type and
establish some results, which give necessary and sufficient conditions for a feasi-
ble point to be Pareto optimal solution of the MOP. We also establish various results
related to weak Pareto optimal solution of the MOP and corresponding weak versions
of the vector variational-like inequalities.
Keywords Multi-objective optimization · Clarke subdifferential · Michel–Penot

subdifferential · V − r -invexity · Efficient solution · Variational inequalities
1 Introduction
In recent years, generalized convexity plays an important role in the study of multi-
objective optimization problems. One of these generalizations of convexity is the
class of invex functions introduced by Hanson [9]. Mohan and Neogy [19] gave
a relation between invex functions and preinvex functions on an invex set. Multi-
objective optimization problems involving invex functions is difficult to deal because
it requires the same kernel function for all the objective functions. In order to over-
come such restrictions, Jeyakumar and Mond [10] introduce the notion of smooth
V -invex functions which reduces to the class of invex functions for scalar case.
Later, Egudo and Hanson [6] extended V -invexity concept for nonsmooth case.
Antczak [3] introduced a new generalization of the idea of smooth r -invex functions
and smooth V -invex functions and defined the class of differentiable V − r -invex
V. Laha · H. Narayan Singh (B)

Department of Mathematics, Institute of Science, Banaras Hindu University,
Varanasi 221005, India
e-mail: harshksingh92@gmail.com
V. Laha
e-mail: laha.vivek333@gmail.com

https://doi.org/10.1007/978-981-15-1157-8_3
30 V. Laha and H. Narayan Singh
functions. Later, Antczak [4] introduced V − r -invexity concept for locally Lipschitz
multi-objective optimization problems using Clarke Subdifferential.
Giannessi [7, 8] extended the classical variational inequalities of Stampacchia
and Minty type to the vectorial case. Later, many authors (see, e.g. [1, 2, 13]) estab-
lished relationships between vector variational inequalities of Stampacchia and Minty
type and multi-objective optimization problems involving various generalizations of
invexity. We refer to the results [11, 12, 15–18] and references therein for more
details.
The outline of this paper is as follows: In Sect. 2, we provide some preliminary
definitions and results. In Sect. 3, we consider multi-objective optimization prob-
lem and obtain necessary and sufficient conditions for Pareto optimality and weak
Pareto optimality using vector variational-like inequalities. In Sect. 4, we conclude
the results of this paper.
2 Preliminaries
In this section, we provide some preliminary definitions and results that we shall use
in the sequel.
Throughout this paper, X is a real Banach space with norm . and X ∗ is dual
∗
space of X with the norm .∗ . We denote by 2 X , ., ., [x, y] and (x, y) the family
of all non-empty subsets of X ∗ , the dual pair between X and X ∗ , the line segment
for x, y ∈ X and the interior of [x, y], respectively.
We consider the following multi-objective optimization problem:
(MOP)
min f (x) := ( f 1 (x), . . . , f m (x))
subject to x ∈ K ⊆ X,
where f : X → Rm is a vector-valued function on a non-empty subset K such that

f i : X → R for all i ∈ M, are locally Lipschitz on K . The concepts of Pareto optimal
solutions and weak Pareto optimal solutions are given an follows:
Definition 1 A vector x̄ ∈ K ⊆ X is said to be a Pareto optimal solution of MOP,
iff for all x ∈ K , one has
f (x) − f (x̄) := ( f 1 (x) − f 1 (x̄), . . . , f m (x) − f m (x̄)) ∈ + \ {0} .

/ −Rm
Definition 2 A vector x̄ ∈ K ⊆ X is said to be a weak Pareto optimal solution of

MOP, iff for all x ∈ K , one has
f (x) − f (x̄) := ( f 1 (x) − f 1 (x̄), . . . , f m (x) − f m (x̄)) ∈

/ −intRm
+.
Remark 1 A Pareto optimal solution is also a weak Pareto optimal solution of MOP,
but the converse is not true in general.
On Multi-objective Optimization Problems … 31
Now we recall the definitions of Clarke and Michel–Penot subdifferentials, which

will be used in the sequel.
Definition 3 [5] Let K be an open subset of X. The function h : K → R is said to
be locally Lipschitz (of rank C) at x ∈ K , iff there exist a positive constant C and a
neighbourhood N of x such that, for any y, z ∈ N , one has
|h(y) − h(z)| ≤ C y − z .
If the inequality above is satisfied for any x ∈ K , then h is said to be locally Lipschitz
(of rank C) on K .
Definition 4 [5] Let φ = K ⊆ X and let g : K → R is locally Lipschitz at x̄ ∈ K ,
then the Clarke’s directional derivative of g at x̄ ∈ K in the direction v ∈ X, denoted
g ◦ (x̄, v), is given by
g(x + tv) − g(x)

g ◦ (x̄, v) = lim sup ,
t↓0,x→x̄ t
and the Clarke’s generalized Subdifferential of g at x̄ ∈ K , denoted ∂ ◦ g(x̄), is defined

as follows:
∂ ◦ g(x̄) := x ∗ ∈ X ∗ : x ∗ , v ≤ g ◦ (x̄, v), ∀v ∈ X .
Definition 5 [14] Let φ = K ⊆ X and let g : K → R is locally Lipschitz at x̄ ∈ K ,

then the M-P directional derivative of g at x̄ ∈ K in the direction v ∈ X, denoted
g (x̄, v), is given by
g(x̄ + tw + tv) − g(x̄ + tw)

g (x̄, v) = sup lim sup ,
w∈X t↓0 t
and the M-P Subdifferential of g at x̄ ∈ K , denoted ∂ g(x̄), is defined as follows:

∂ g(x̄) := x ∗ ∈ X ∗ : x ∗ , v ≤ g (x̄, v), ∀v ∈ X .
Remark 2 It is clear that g (x̄, v) ≤ g ◦ (x̄, v) and

∂ g(x̄) ⊆ ∂ ◦ g(x̄).
Now, we recall the vector variational-like inequalities of Stampacchia and Minty
type in terms of the M-P subdifferentials introduced by Laha et al. [12].
(MP-SVVLI) To find x̄ ∈ K such that, for all x ∈ K , and x̄i∗ ∈ ∂ f i (x̄), i ∈ M :=

{1, . . . , m} , one has

x̄1∗ , η(x, x̄) , . . . , x̄m∗ , η(x, x̄) ∈ + \ {0} .
/ −Rm
(MP-MVVLI) To find x̄ ∈ K such that, for all x ∈ K , and for all xi∗ ∈ ∂ f i (x), i ∈
M := {1, . . . , m}, one has

x1∗ , η(x, x̄) , . . . , xm∗ , η(x, x̄) ∈ + \ {0} .
/ −Rm
Also, we recall the weak version of vector variational-like inequalities of Stampacchia

and Minty type in terms of M-P Subdifferentials.
(MP-SWVVLI) To find x̄ ∈ K such that, for all x ∈ K , and x̄i∗ ∈ ∂ f i (x̄), i ∈ M :=
{1, . . . , m} , one has

x̄1∗ , η(x, x̄) , . . . , x̄m∗ , η(x, x̄) ∈ / −intRm
+.
Remark 3 It is clear that every solution of MP-SVVLI is also a solution of MP-

SWVVLI, but the converse is not true in general.
(MP-MWVVLI) To find x̄ ∈ K such that, for all x ∈ K , and for all xi∗ ∈ ∂ f i (x), i ∈
M := {1, . . . , m}, one has

x1∗ , η(x, x̄) , . . . , xm∗ , η(x, x̄) ∈ / −intRm
+.
Remark 4 It is obvious from above definition that every solution of MP-MVVLI is

also a solution of MP-MWVVLI, but the converse is not true in general.
3 Main Results
In this section, we prove some results which relate solutions of the MOP to the
solutions of vector variational-like inequalities of Stampacchia and Minty type.
We introduce the class of locally Lipschitz V − r -invex functions in terms of M-P
subdifferentials as follows.
Definition 6 (M-P V − r -invex Function) Let φ = K ⊆ X and let f : X → Rm
be a vector-valued function such that f i : X → R is locally Lipschitz near x̄ ∈ K ⊆
X, ∀i ∈ M and let r be an arbitrary real number. If there exist functions η : X × X →
X and αi : X × X → R+ \ {0} such that
1 {r fi (x)} 1
e ≥ (>) e{r fi (x̄)} [1 + r αi (x, x̄) x̄i∗ ; η(x, x̄) ],
r r
when r = 0

f i (x) − f i (x̄) ≥ (>)αi (x, x̄) x̄i∗ ; η(x, x̄) , when r = 0
holds for any x̄i∗ ∈ ∂ f i (x̄), i ∈ M and x ∈ K , then f is said to be M-P V − r - invex
(strictly M-P V − r -invex) function with respect to η and αi , i ∈ M at x̄ ∈ K .
If the inequality is satisfied at any point u ∈ K , then f is said to be M-P V − r -
invex (strictly M-P V − r -invex) w.r.t. η and αi , i ∈ M on K .
The following result states sufficient condition for a point to be a Pareto optimal
solution of the MOP in terms of MP-SVVLI.
Theorem 1 Let φ = K ⊆ X and let f : X → Rm be locally Lipschitz and M-P

V − r -invex at x̄ over K with respect to η and αi for i ∈ M. If x̄ is a solution of
MP-SVVLI for f over K with respect to η, then x̄ is a Pareto optimal solution of the
MOP.
Proof Suppose to the contrary that x̄ ∈ K ⊆ X is not a Pareto optimal solution of
the MOP. Then, ∃x̃ ∈ K such that
∀ i ∈ M, f i (x̃) − f i (x̄) ≤ 0, (1)
and ∃ at least one j ∈ M such that
f j (x̃) − f j (x̄) < 0.
We have the following cases:

Case I: When r = 0. From (1), one has
∀ i ∈ M, r ( f i (x̃) − f i (x̄)) ≤ 0, with r > 0
∀ i ∈ M, r ( f i (x̃) − f i (x̄)) ≥ 0, with r < 0
r ( f j (x̃) − f j (x̄)) < 0, with r > 0.
r ( f j (x̃) − f j (x̄)) > 0, with r < 0.
Since the exponential function is monotonically increasing, it follows that
∀ i ∈ M, e{r ( fi (x̃)− fi (x̄))} ≤ 1, with r > 0
∀ i ∈ M, e{r ( fi (x̃)− fi (x̄))} ≥ 1, with r < 0
e{r ( f j (x̃)− f j (x̄))} < 1, with r > 0.
e{r ( f j (x̃)− f j (x̄))} > 1, with r < 0.
Since f is locally Lipschitz and M-P V − r -invex at x̄ ∈ K w.r.t. η and αi for i ∈ M,

it follows that
∀ i ∈ M, r αi (x̃, x̄)x¯i ∗ ; η(x̃, x̄) ≤ 0, ∀x¯i ∗ ∈ ∂ f i (x̄),

with r > 0
∀ i ∈ M, r αi (x̃, x̄)x¯i ∗ ; η(x̃, x̄) ≥ 0, ∀x¯i ∗ ∈ ∂ f i (x̄),

with r < 0
r α j (x̃, x̄)x¯j ∗ ; η(x̃, x̄) < 0, ∀x¯j ∗ ∈ ∂ f j (x̄), with r > 0.
r α j (x̃, x̄)x¯j ∗ ; η(x̃, x̄) > 0, ∀x¯j ∗ ∈ ∂ f j (x̄), with r < 0.
that is,
∀ i ∈ M, x¯i ∗ ; η(x̃, x̄) ≤ 0, ∀x¯i ∗ ∈ ∂ f i (x̄)
x¯j ∗ ; η(x̃, x̄) < 0, ∀x¯j ∗ ∈ ∂ f j (x̄).
Case II: When r = 0. Since f is locally Lipschitz and M-P V − r -invex at x̄ ∈ K

w.r.t. η and αi for i ∈ M, it follows that
∀ i ∈ M, x¯i ∗ ; η(x̃, x̄) ≤ 0, ∀x¯i ∗ ∈ ∂ f i (x̄),
with strict inequality for at least one i ∈ M.

From above cases I and II, we arrive at a contradiction that x̄ is not a solution of
the MP-SVVLI. Hence, the result.
The following result states the necessary condition for a point to be a Pareto
optimal solution of the MOP in terms of MP-MVVLI.
Theorem 2 Let φ = K ⊆ X and let f : X → Rm be locally Lipschitz and M-P
V − r -invex over K with respect to η and αi for i ∈ M such that η is skew-symmetric
over K . If x̄ is a Pareto optimal solution of the MOP, then x̄ also solves MP-MVVLI
with respect to η.
Proof We suppose to the contrary that x̄ is not a solution of MP-MVVLI with respect
to η. Then, ∃x̃ ∈ K and x˜i ∗ ∈ ∂ f i (x̃), i ∈ M such that
∀i ∈ M, x˜i ∗ ; η(x̃, x̄) ≤ 0,
and ∃ at least one j ∈ M and x˜j ∗ ∈ ∂ f j (x̃) such that
x˜j ∗ ; η(x̃, x̄) < 0.
Since η is skew-symmetric over K , it follows that
∀i ∈ M, x˜i ∗ ; η(x̄, x̃) ≥ 0, (2)

x˜j ∗ ; η(x̄, x̃) > 0.
We have the following two cases:

Case I: When r = 0. From (2), one has
∀i ∈ M, 1 + r αi (x̄, x̃)x˜i ∗ ; η(x̄, x̃) ≥ 1, with r > 0
∀i ∈ M, 1 + r αi (x̄, x̃)x˜i ∗ ; η(x̄, x̃) ≤ 1, with r < 0
1 + r α j (x̄, x̃)x˜j ∗ ; η(x̄, x̃) > 1, with r > 0.
1 + r α j (x̄, x̃)x˜j ∗ ; η(x̄, x̃) < 1, with r < 0.
Since f is locally Lipschitz and M-P V − r -invex over K w.r.t. η and αi for i ∈ M,
it follows that
∀i ∈ M, e{r ( fi (x̄)− fi (x̃))} ≥ 1, with r > 0
∀i ∈ M, e{r ( fi (x̄)− fi (x̃))} ≤ 1, with r < 0
e{r ( f j (x̄)− f j (x̃))} > 1, with r > 0.
e{r ( f j (x̄)− f j (x̃))} < 1, with r < 0.
Taking logarithm on both the sides, one has
∀i ∈ M, r ( f i (x̄) − f i (x̃)) ≥ 0, with r > 0
∀i ∈ M, r ( f i (x̄) − f i (x̃)) ≤ 0, with r < 0
r ( f j (x̄) − f j (x̃)) > 0, with r > 0.
r ( f j (x̄) − f j (x̃)) < 0, with r < 0.
which implies that

∀i ∈ M, f i (x̃) − f i (x̄) ≤ 0,
f j (x̃) − f j (x̄) < 0.
Case II: When r = 0. From (2), it follows that
∀i ∈ M, f i (x̃) − f i (x̄) ≤ 0,
and ∃ at least one j ∈ M, such that
f j (x̃) − f j (x̄) < 0.
By the above cases I and II, we arrive at a contradiction to the fact that x̄ is a Pareto
optimal solution of the MOP. Hence, the result.
The following theorem derives the sufficient condition for a point to be a weak
Pareto optimal solution of the MOP in terms of the MP-SWVVLI.
Theorem 3 Let φ = K ⊆ X, and let f be locally Lipschitz and M-P V − r -invex
at x̄ ∈ K w.r.t. η and αi for i ∈ M. If x̄ is a solution of the MP-SWVVLI w.r.t. η, then
x̄ is also a weak Pareto optimal solution of the MOP.
Proof We suppose to the contrary that x̄ ∈ K is not a weak Pareto optimal solution
of the MOP. Then, ∃x̃ ∈ K such that
∀i ∈ M, f i (x̃) − f i (x̄) < 0,
which implies that
∀i ∈ M, r ( f i (x̃) − f i (x̄)) < 0, when r > 0.
∀i ∈ M, r ( f i (x̃) − f i (x̄)) > 0, when r < 0.
Since the exponential function is monotonically increasing, it follows that
∀i ∈ M, e{r ( fi (x̃)− fi (x̄))} < 1, when r > 0.
∀i ∈ M, e{r ( fi (x̃)− fi (x̄))} > 1, when r < 0.
By M-P V − r -invexity of f at x̄ ∈ K w.r.t. η and αi for i ∈ M, it follows that
∀i ∈ M, x¯i ∗ ; η(x̃, x̄) < 0, ∀x¯i ∗ ∈ ∂ f i (x̄).
which contradicts that x̄ is a solution of MP-SWVVLI. This completes the proof.

The following theorem derives the relation between the solution of the MP-
MWVVLI and weak Pareto optimal solution of the MOP.
Theorem 4 Let φ = K ⊆ X and let f be locally Lipschitz and M-P V − r -invex

function on K w.r.t. η and αi , i ∈ M such that αi , i ∈ M is symmetric and η is skew-
symmetric. Then, x̄ solves the MP-MWVVLI if it is weak Pareto optimal solution of
the MOP.
Proof We assume that x̄ is not a solution of the MP-MWVVLI w.r.t. η. Then, ∃x̃ ∈ K
and x˜i ∗ ∈ ∂ f i (x̃) such that
∀i ∈ M, x˜i ∗ ; η(x̃, x̄) < 0,
Since η is skew-symmetric, αi , i ∈ M is symmetric and αi (x̃, x̄) > 0, i ∈ M, one

has
∀i ∈ M, αi (x̄, x̃)x˜i ∗ ; η(x̄, x̃) > 0. (3)
We have the following cases:

Case I: From (3), for r = 0, one has
∀i ∈ M, 1 + r αi (x̄, x̃)x˜i ∗ ; η(x̄, x̃) > 1, with r > 0.
∀i ∈ M, 1 + r αi (x̄, x̃)x˜i ∗ ; η(x̄, x̃) < 1, with r < 0.
Since f is locally Lipschitz and M-P V − r -invex at x̄ over K w.r.t. η and αi for
i ∈ M, it follows that
∀i ∈ M, e{r ( fi (x̄)− fi (x̃))} > 1, with r > 0.
∀i ∈ M, e{r ( fi (x̄)− fi (x̃))} < 1, with r < 0.
Taking logrithm on both the sides, one has
∀i ∈ M, f i (x̄) − f i (x̃) > 0.
Case II: When r = 0. From (3), it follows that
∀i ∈ M, f i (x̄) − f i (x̃) > 0.
By the cases I and II, we arrive at a contradiction. Hence, the result.
The following result is a direct consequence of the fact that every solution of
MP-MVVLI is also a solution of MP-MWVVLI and Theorems 1 and 2.
Corollary 1 Let φ = K ⊆ X and let f : X → Rm be locally Lipschitz and M-P
V − r -invex at x̄ over K with respect to η and αi for i ∈ M such that η is skew-
symmetric over K . If x̄ is a solution of MP-SVVLI for f over K with respect to η,
then x̄ is also a solution of MP-MWVVLI w.r.t. η.
4 Conclusions
In this paper, we have considered the Stampacchia and Minty vector variational-
like inequalities in terms of Michel–Penot subdifferentials in Banach spaces. Under
the assumptions of locally Lipschitz M-P V − r -invexity, we have obtained neces-
sary and sufficient conditions for a point to be a Pareto optimal solution and weak
Pareto optimal solution of the multi-objective optimization problem in terms of vec-
tor variational-like inequalities. Also, we have obtained the relationship between
solutions of Stampacchia vector variational-like inequalities and Minty weak vector
variational-like inequalities.
Acknowledgements The research of the first author is supported by UGC-BSR start up grant by
University Grant Commission, New Delhi, India (Letter No. F. 30-370/2017(BSR)) (Project No.
M-14-40).
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Controllability of Semilinear Control
Systems with Fixed Delay in State
Abdul Haq and N. Sukavanam
Abstract This work studies the controllability of a class of delay differential

equations. Instead of C0 -semigroup associated with the mild solution of the sys-
tem, we use the concept of fundamental solution. Approximate controllability of the
system is shown using sequence method. Finally, an illustrative example has been
provided.
Keywords Delay system · Fundamental solution · Mild solution · Approximate

controllability
1 Introduction

Let H and H be Hilbert spaces and U = L 2 [0, β]; H , Z t = L 2 ([−t, β]; H) be the
function spaces.
Consider the semilinear system of the form

z (t) = A1 z(t) + A2 z(t − b) + Bυ(t) + F(t, z(t − b), υ(t)), t ∈ (0, β]
(1)
z(t) = ψ(t), t ∈ [−b, 0]
where the state z(·) ∈ Z 0 , the control υ(·) ∈ U ; A1 : D(A1 ) ⊆ H → H is a closed

and densely defined linear operator generating a C0 -semigroup T0 (t), A2 is the
bounded linear operator defined on H, B : U → Z 0 is a bounded linear operator
and F : [0, β] × H × H → H is a nonlinear operator.
Controllability is one of the fundamental properties of dynamical systems, which
was introduced by Kalman in 1960. Roughly speaking, a dynamical system is said
to be state controllable during some finite time interval, over some space X , if we
can steer that system from every initial state to every desired final state in X dur-
ing that time interval, by using a set of control functions. There are various notions
A. Haq (B) · N. Sukavanam

Department of Mathematics, Indian Institute of Technology Roorkee, Roorkee
247667, Uttarakhand, India

https://doi.org/10.1007/978-981-15-1157-8_4
42 A. Haq and N. Sukavanam
of controllability such as complete state controllability, total state controllability,

approximate controllability, trajectory controllability, null controllability, interior
controllability, and exact controllability etc. In finite- dimensional spaces, control-
lability of linear and nonlinear systems of ordinary differential equations has been
extensively studied. In infinite-dimensional spaces, several results for controllability
can be seen in [1]. In deterministic setting, a set of sufficient conditions for approxi-
mate controllability of semilinear control system dominated by linear part is obtained
by Naito [2]. A survey on controllability of nonlinear systems in Banach spaces is
presented by Balachandran and Dauer [3]. Minimum energy control and relative
controllability of finite-dimensional linear system is presented by Klamka [4]. Uti-
lizing Schauder’s fixed point theorem Klamka [5] obtained the controllability result
for finite-dimensional nonlinear systems. Approximate Controllability of semilinear
control systems in Hilbert Spaces is presented by Mahmudov and Semi [6]. In [7],
Wang and Du proved approximate controllability of semilinear degenerate systems
with convection term.
There are many problems in which the present rate of change of some unknown
function depends upon past values of the same function. Such problems are mod-
eled by the time-delay systems. Wang [8] extended the results of [2] and obtained
a set of novel conditions for the controllability of semilinear delay systems. Suka-
vanam [9] presented the controllability of a delayed system with growing nonlinear
term. Klamka [10, 11] studied the controllability of linear systems with fixed delay
in control. In [12], Devies and Jackreece deduced the results for null and exact
controllability of linear delay systems. Shukla et al. [13] proved the approximate
controllability of semilinear systems with state delay in both linear and nonlinear
terms. In this article, the work has been extended for systems with state delay and
involving control function in nonlinear part, with suitable modification.
The plan of the paper is like this: Sect. 1 contains the introduction. In Sect. 2, we
have given the preliminaries. In Sect. 3, approximate controllability of the system
(1) is deduced. Finally, an example is provided to illustrate the theory.
2 Preliminaries
Consider the linear system

z (t) = A1 z(t) + A2 z(t − b), t ∈ (0, β]
(2)
z(t) = ψ(t), t ∈ [−b, 0]
where ψ ∈ L 2 ([−b, 0]; H). Let z ψ (t) be the unique solution of (2). Define the oper-
ator ζ(t) on H by
z ψ (0), t ∈ [0, β]
ζ(t)ψ(0) =
0, t ∈ [−b, 0)
Controllability of Semilinear Control Systems with Fixed Delay in State 43
then, we say that ζ(t) is the fundamental solution of (2) verifying
t
ζ(t) = T0 (t) + T0 (t − s)A2 ζ(t − b)ds, t ∈ [0, β]
0
ζ(t) = 0 for − b ≤ t < 0.
Definition 2.1 A function z(·) ∈ Z b is said to be the mild solution of (1) if it satisfies
⎫
t ⎬
z(t) = ζ(t)ψ(0) + ζ(t − s){Bυ(s) + F (s, z(s − b), υ(s))}ds, t ∈ [0, β]
(3)
0 ⎭
z(t) = ψ(t), t ∈ [−b, 0).
Definition 2.2 The set given by
K β (F) = {z(β) ∈ H : z ∈ Z b },
where z is a mild solution of (1) corresponding to control υ ∈ U is called the reachable

set of (1).
Definition 2.3 The system (1) is said to be approximately controllable on [0, β] if

K β (F) = H.
Define the bounded linear operator L : Z 0 → H by
β
L( p) = ζ(β − s) p(s)ds, p(·) ∈ Z 0 .
0
To prove our results, we need the following assumptions:

[H1 ] There is a positive constant M1 such that T0 (t) ≤ M1 .
[H2 ] There are positive constants L and lF such that

F(t, z 1 (t), υ1 (t)) − F(t, z 2 (t), υ2 (t)) ≤ L z 1 (t) − z 2 (t) + υ1 (t) − υ2 (t) .
and
F(t, 0, 0) ≤ lF .
[H3 ] For each p ∈ Z 0 , there is a q ∈ R(B) such that L( p) = L(q).

Hence it follows that for any given > 0 and p(·) ∈ Z 0 there is a υ ∈ U such that
L( p) − L(Bυ) ≤ .
[H4 ] Bυ(·) Z 0 ≤ λ p(·) Z 0 where λ is a positive constant independent of p(·).

[H5 ] There is a positive constant τ such that υU ≤ τ Bυ Z 0 .
From [14] utilizing Gronwall’s
inequality, one can easily deduce that ζ(t) ≤
M1 exp M1 (β − b)A2 = M2 .
3 Main Results
Lemma 3.1 Under the assumption [H2 ] the solution (υ)(·) satisfies
(υ)(t)H ≤ K exp (M2 Lβ)

√
where K = M2 ψ(0) + β(1 + τ )Bυ L 2 + lF β and the solution map is
given by
t
(υ)(t) = z(t) = ζ(t)ψ(0) + ζ(t − s)[Bυ(s) + F(s, z(s − b), υ(s))ds.
0
Proof
t
z(t) ≤ ζ(t)ψ(0) + ζ(t − s)[Bυ(s) + F(s, z(s − b), υ(s))ds
0
t
≤ M2 ψ(0) + M2 Bυ(s) + F(s, 0, 0)ds
0
t
+M2 F(s, z(s − b), υ(s)) − F(s, 0, 0)ds
0
≤ M2 ψ(0) + M2 βBυ Z 0 + M2 lF β
t

+M2 L z(s − b)H + υ(s)H ds
0
≤ M2 ψ(0) + β(1 + τ )Bυ Z 0 + lF β

t
+M2 L z(s − b)H ds
0
t−b
≤ K + M2 L z(s)H ds
−b
⇒ (υ)(t)H = z(t)H ≤ K exp(M2 Lβ).
Lemma 3.2 Let υ1 and υ2 be in U . Then
z 1 − z 2 Z 0 ≤ M2 β(1 + τ )Bυ1 − Bυ2 Z 0 exp (M2 Lβ),
where z i (t) = (υi )(t), i = 1, 2.
Proof Let us define y(·, ψ) : [−b, β] → H as

ζ(t)ψ(0), t ∈ [0, β]
y(t, ψ) =
ψ(t), t ∈ [−b, 0].
Let z(t) = y(t) + x(t), t ∈ [−b, β]. Then z(·) satisfies (1) iff x(0) = 0 and for all
t ∈ [0, β],
t
x(t) = ζ(t − s)[Bυ(s) + F(s, y(s − b) + x(s − b), υ(s))]ds.
0
Now take z 1 (·), z 2 (·) ∈ Z 0 and υ1 (·), υ2 (·) ∈ U , then
t t
x1 (t) − x2 (t) ≤ M2 Bυ1 (s) − Bυ2 (s)ds + M2 F (s, y(s − b) + x1 (s − b), υ1 (s))
0 0
−F (s, y(s − b) + x2 (s − b), υ2 (s))ds
≤ M2 βBυ1 − Bυ2 Z 0
t

+M2 L x1 (s − b) − x2 (s − b)H + υ1 (s) − υ2 (s)H ds
0

≤ M2 β Bυ1 − Bυ2 Z 0 + υ1 − υ2 U
t
+M2 L x1 (s − b) − x2 (s − b)H ds
0
t−b
≤ M2 β(1 + τ )Bυ1 − Bυ2 Z 0 + M2 L x1 (s) − x2 (s)H ds.
−b
Applying Gronwall’s inequality, we obtain

x1 (t) − x2 (t)H ≤ M2 β(1 + τ )Bυ1 − Bυ2 Z 0 exp(M2 Lβ).
Hence
⎛ β ⎞1/2

z 1 − z 2 Z 0 = ⎝ z 1 (s) − z 2 (s)2H ds ⎠
0
⎛ β ⎞1/2

= ⎝ x1 (s) − x2 (s)2H ds ⎠
0
≤ M2 β(1 + τ )Bυ1 − Bυ2 Z 0 exp(M2 Lβ).
Theorem 3.3 Under the assumptions [H1 ]–[H5 ], the system (1) is approximately
controllable if
λL M2 β(1 + τ ) exp(M2 Lβ) + τ < 1.
Proof Since D(A1 ) is dense in H, it is enough to show that D(A1 ) ⊆ K β (F). For
this, we will prove that for any given > 0 and g ∈ D(A1 ), we can find a control
υ ∈ U satisfying
g − ζ(β)ψ(0) − L[F(s, z (s − b), υ (s))] − L(Bυ ) ≤ ,
where z (t) = (υ )(t).

Since ζ(β)ψ(0) ∈ D(A1 ), therefore we can find a p ∈ Z 0 such that
L( p) = g − ζ(β)ψ(0).
Now we construct a sequence as follows:

Let υ1 ∈ U be arbitrary. Then by assumption [H3 ], we can find a υ2 ∈ U satisfying

g − ζ(β)ψ(0) − L[F(s, z 1 (s − b), υ1 (s))] − L(Bυ2 ) ≤ (4)
32
and for υ2 ∈ U , we can find a ω2 ∈ U satisfying

L{F(s, z 2 (s − b), υ2 (s)) − F(s, z 1 (s − b), υ1 (s))} − L(Bω2 ) ≤ , (5)
33
where z i (t) = (υi )(t), i = 1, 2.
By assumption [H4 ], we have
Bω2 Z 0 ≤ λF (s, z 2 (s − b), υ2 (s)) − F (s, z 1 (s − b), υ1 (s)) L 2 ([0,β];H)

⎛ ⎞1/2
β
⎜ ⎟
= λ ⎝ F (s, z 2 (s − b), υ2 (s)) − F (s, z 1 (s − b), υ1 (s))2H ds ⎠
0
⎛ ⎞1/2
β
⎜ 2 ⎟
≤ λL ⎝ z 1 (s − b) − z 2 (s − b)H + υ1 (s) − υ2 (s)H ds ⎠
0
⎡⎛ ⎞1/2 ⎛ ⎞1/2 ⎤
β β
⎢⎜ ⎟ ⎜ ⎟ ⎥
≤ λL ⎣⎝ z 1 (s − b) − z 2 (s − b)2H ds ⎠ + ⎝ υ1 (s) − υ2 (s)2H ds ⎠ ⎦
0 0
= λL z 1 − z 1 Z 0 + u 1 − u 2 U .
Utilizing assumption [H5 ] and Lemma 3.2, we obtain
Bω2 Z 0 ≤ λL M2 β(1 + τ ) exp(M2 Lβ) + τ Bυ1 − Bυ2 Z 0
Setting υ3 = υ2 − ω2 , we have
g − ζ(β)ψ(0) − L[F(s, z 2 (s − b), υ2 (s))] − L(Bυ3 )

≤ g − ζ(β)ψ(0) − L[F(s, z 1 (s − b), υ1 (s))] − L(Bυ2 )
+L(Bω2 ) − L[F(s, z 2 (s − b), υ2 (s)) − F(s, z 1 (s − b), υ1 (s))].
Using (4) and (5), we get

1 1
g − ζ(β)ψ(0) − L[F(s, z 2 (s − b), υ2 (s))] − L(Bυ3 ) ≤ 2
+ 3 .
3 3
Utilizing mathematical induction, one can obtain a sequence {υn } in U such that

1 1 1
g − ζ(β)ψ(0) − L[F (s, z n (s − b), υn (s))] − L(Bυn+1 ) ≤ + 3 + · · · + n+1 ,
32 3 3
(6)
where z n (t) = (υn )(t), n = 1, 2, . . . and
Bυn+1 − Bυn Z 0 ≤ λL M2 β(1 + τ ) exp(M2 Lβ) + τ Bυn − Bυn−1 Z 0
From above inequality, it is evident that the sequence {Bυn } is Cauchy in Z 0 . There-
fore, it is convergent and for any given > 0, there is a positive integer n 0 such
that

L(Bυn 0 +1 ) − L(Bυn 0 ) ≤ .
3
Now
g − ζ(β)ψ(0) − L[F(s, z n 0 (s − b), υn 0 (s))] − L(Bυn 0 )

≤ g − ζ(β)ψ(0) − L[F(s, z n 0 (s − b), υn 0 (s))] − L(Bυn 0 +1 )
+L(Bυn 0 +1 ) − L(Bυn 0 )

1 1 1
≤ 2
+ 3 + · · · + n +1 +
3 3 3 0 3
< .
Which shows that g ∈ K β (F). This completes the proof.
Theorem 3.4 Under the assumption [H2 ] and [H5 ], the system (1) is approximately
controllable if
R(B) = Z 0 .
Proof Let > 0 be given.

Since R(B) = Z 0 , therefore for any given p ∈ Z 0 and η > 0, we can find a Bυ ∈
R(B) satisfying
Bυ − p Z 0 < η p Z 0 . (7)
Now
β
L( p) − L(Bυ) ≤ M2 p(s) − Bυ(s)ds
0
≤ M2 β p − Bυ Z 0
≤ M2 η β p Z 0
≤ .
It means [H3 ] is satisfied.

Also
Bυ Z 0 ≤ Bυ − p Z 0 + p Z 0
≤ η p Z 0 + p Z 0
≤ (η + 1) p Z 0 .
Hence [H4 ] is satisfied.

If we select η > 0 in such a way that the additional assumption of Equation (4) is
satisfied, then the controllability of the system (1) follows.
4 Application
Consider the delay system governed by the heat equation

⎫
∂z(t,x)
= ∂ ∂x + z(t − b, x) + Bυ(t, x) + F (t, z(t − b, x), υ(t, x)), t ∈ (0, β] ⎪
2 z(t,x)
∂t 2 ⎬
z(t, 0) = z(t, π) = 0, t ∈ [0, β] (8)
⎪
⎭
z(t, x) = ψ(t, x), t ∈ [−b, 0], 0 < x < π
where ψ(t, x) is continuous.

d2z
Take H = L 2 (0, π) and define A1 : D(A1 ) ⊂ H → H by A1 z = dx2
, with domain

dz d2z
D(A1 ) = z ∈ H : z, are absolutely continuous, 2
∈ H and z(0) = 0 = z(π) .
dx dx
Let ξ j (x) = ( π2 )1/2 sin j x, 0 ≤ x ≤ π, j = 1, 2, . . ., then λ j = − j 2 are eigenvalues

of A1 with corresponding eigenfunctions ξ j and the family {ξ j } j∈N form a complete
orthonormal set for H and exp (λ j t) are eigenvalues of the C0 −semigroup T0 (t)
generated by A1 [1]. Define
∞
∞

H = υ|υ = α j ξ j with αj < ∞
2
j=2 j=2
with the norm

∞
υH =! α2 . j
j=2
Define the bounded linear operator B : H → H by

∞
∞

Bυ = 2α2 ξ1 + αjξj, α j ξ j ∈ H .
j=2 j=2
The abstract form of (8) is

z (t) = A1 z(t) + A2 z(t − b) + Bυ(t) + F(t, z(t − b), υ(t)), t ∈ (0, β]
(9)
z(t) = ψ(t), t ∈ [−b, 0]
where A2 = I .
If all the assumptions of Equation (4) are satisfied, then the system (8) is approx-
imately controllable.
References
1. R.F. Curtain, H. Zwart, An Introduction to Infinite Dimensional Linear Systems Theory, Texts
in Applied Mathematics, vol. 21 (Springer, New York, 1995)
2. K. Naito, Controllability of semilinear control systems dominated by the linear part. SIAM J.
Control Optim. 25, 715–722 (1987)
3. K. Balachandran, J.P. Dauer, Controllability of nonlinear systems in Banach spaces: a survey.
J Optim. Theory Appl. 115(1), 7–28 (2002)
4. J. Klamka, Relative controllability of minimum energy control of linear systems with distributed
delays in control. IEEE T. Automat. Contr. 21, 594–595 (1976)
5. J. Klamka, Schauder’s fixed point theorem in nonlinear controllability problems. Control
Cybern. 29, 153–165 (2000)
6. N.I. Mahmudov, N. Semi, Approximate controllability of semilinear control systems in Hilbert
spaces. TWMS J. App. Eng. Math. 2, 67–74 (2012)
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convection term. J. Differ. Equ. 254(9), 3665–3689 (2013)
8. L. Wang, Approximate controllability of integrodifferential equations with multiple delays. J.
Optim Theory Appl. 143, 185–206 (2009)
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linearity, in Mathematical theory of control proceedings of international conference (Marcel
Dekker, New York, 1993), pp. 353–357
10. J. Klamka, Stochastic controllability of systems with variable delay in control. Bull. Pol. Ac.
Tech. 56, 279–284 (2008)
11. J. Klamka, Stochastic controllability and minimum energy control of systems with multiple
delays in control. Appl. Math. Comput. 206, 704–715 (2008)
12. I. Davies, P. Jackreece, Controllability and null controllability of linear systems. J. Appl. Sci.
Environ. Manag. 9, 31–36 (2005)
13. A. Shukla, N. Sukavanam, D.N. Pandey, Approximate controllability of semilinear system with
state delay using sequence method. J. Frankl. Inst. 352, 5380–5392 (2015)
14. N. Sukavanam, S. Tafesse, Approximate controllability of a delayed semilinear control system
with growing nonlinear term. Nonlinear Anal. 74, 6868–6875 (2011)
Computational Performance of Server
Using the Mx /M/1 Queue Model
Jitendra Kumar and Vikas Shinde
Abstract In this paper, we present the algorithms for evaluating the most effective
and efficient transient solution to MX /M/1 queueing model. The analytical results
are expressed in modified Bessel functions and also use generalized Q-function.
Numerical illustration has been obtained and compared with other algorithms by
their own programs and results.
Keywords Bessel and Bessel modified · Q-functions · Transient state probability ·

Queueing model
1 Introduction
Analytical queue theoretical approaches are becoming of great importance in many

real-world situations such as service systems, manufacturing systems, computer and
communication systems. Especially in traffic congestion problems in communica-
tion networks. The packets are transmitted into batches then immediately queue
size becomes reduce which helps to enhance the efficiency of the systems. Several
authors have been focused on these issues in different frameworks for making a more
effective system. Conolly and Langaris [1] and Tarabia [2] recognized methods that
shorten the computational time for state probabilities for emphasizing the calculation
of CPU time. Parthasarthy and Lenin [3] discussed the application of transient prob-
abilities to multi-server queues. Jain et al. [4] designated the computing method with
different expressions for the transient solution of M/M/1 queues using a probabilistic
approach. Abate and Whitt [5] developed some new ways to analyze the transient
behavior of the M/M/1 queue via Laplace transform. Abate and Whitt [6, 7] offered
some new perspectives on the time-dependent behavior of the M/M/1 queue with
J. Kumar (B) · V. Shinde

Department of Applied Mathematics, Madhav Institute of Technology & Science,
Gwalior, M. P., India
e-mail: jkmuthele@gmail.com
V. Shinde
e-mail: v_p_shinde@rediffmail.com

https://doi.org/10.1007/978-981-15-1157-8_5
52 J. Kumar and V. Shinde
performance measures and also described factorial moments of the queue length as
functions of time when queue starting at the origin point. Cantrell [8] suggested a
numerical procedure for calculating time-dependent performance measures for the
M/M/1 queue, such as the mean, the variance and cdf and pdf of the queue length
at time t and also described Q-function and generalized Q-function. Jones et al. [9]
obtained some method for computing transient state occupancy probabilities of the
M/M/1 queue. Jain et al. [10] established a finite queueing model having a single
and batch service model for the telecommunication system and also obtained perfor-
mance measures average queue length, expected idle time and expected busy period.
Bertsimas and Nakazato [11] calculated the transient behavior of mixed generalized
Erlang distribution queueing system and use the method of stages combined with the
separation of variables and root-finding techniques, also obtained the busy period
distribution. Ausin et al. [12] studied the transient behavior and duration of a busy
period in a single queueing system with both simulated and real data. Grftihs et al.
[13] achieved the transient phase probabilities and new generalization of the modified
Bessel’s function and also evaluated the mean waiting time in the queues. Kijma [14]
studied the transient behavior of Markovian queue such as M/M/S queue and bulk-
arrival M/M/1 queue and also expressed the transient probabilities of bulk-arrival
M/M/1 queue and its busy period density. Chaudhary [15] provided an explicitly
transient solution for the multi-server queueing system using generalized Eigenvec-
tor matrices. Hanbali and Boxma [16] considered of the transient behavior of a state
depended on M/M/1/K queues during the busy period. Parthasarathy and Sudhesh
[17] attained transient solutions for M/M/C queueing model with the arrival of N
customer. Sharma [18] investigated the transient behavior of different queue models
and obtained the state probabilities in the closed from.
The present article is arranged as follows: Notations and mathematical description
of model are mentioned in Sect. 2. We carried out numerical results have been carried
out by using different parameter and plot the graphs in Sect. 3. Finally, concluding
remakes and notable features of this investigation are highlighted in Sect. 4.
2 Notations and Mathematical Description
2.1 Notations
N Number of customers.
α Position of customers (batch arrival).
i≥0 Initial number of customers.
t Dependent times.
k Number of states.
λ Arrival service rate.
μ Service rate.
Q(a, b) Circular Coverage Function.
Ik Bessel Function.
Computational Performance of Server Using the Mx /M/1 Queue … 53
2.2 Mathematical Model
Different algorithms have been used for the computation of the transient-state prob-
abilities of the MX /M/1 queueing model. Abate and Whitt [6, 7] have obtained the
results for M/M/1 queue model. The modification of the model to reduce the state
space that needs to be considered, and thus increases the computational efficiency of
the algorithm, as given in Table 1, defines the variables and parameters that are used
in the following section.

Q m (t) = e−(αλ+μ)t ρ (n−i)/2 In−i 2 αλμt − In+i 2 αλμt
kp −k/2
∞

n −(αλ+μ)t
+ρ e Ik 2 αλμt (1)
k=n+i+1
μt
where I k is the modified Bessel’s function of order n, as follows:;

∞
(z/2)2k+n
Ik = k!(n+k)!
, n = 0, 1, 2, . . .
m=0
and using the Bessel function and its property as given below:
2k
√ Ik 2 αλμt = Ik−1 2 αλμt − Ik+1 2 αλμt
2 αλμt
or
√αλμt
Ik 2 αλμt = Ik−1 2 αλμt − Ik+1 2 αλμt
k
The last term of the expression (1) can be rewritten as
kp −k/2
∞

ρ n e−(αλ+μ)t Ik 2 αλμt
k=n+i+1
μt
Table 1 (i = 4, t = 2, and α = 2)
λ = 2, μ = 7, λ = 5, μ = 13, λ = 6, μ = 12, λ = 8, μ = 17,
i = 4 and t = 2 i = 4 and t = 2 i = 4 and t = 2 i = 4 and t = 2
Algorithm 1 0.608662 0.204611 0.286026 0.0647789
Algorithm 2 0.428571 0.230769 0.20000 0.0588235
Algorithm 3 0.260855 0.047218 0.0953417 0.00381052
Algorithm 4 1.23294 0.197132 0.394096 0.03769
√
αλμt
∞

n −(αλ+μ)t kp −k/2
=ρ e Ik−1 2 αλμt − Ik+1 2 αλμt
k=n+i+1
μt k
∞

= ρ n e−(αλ+μ)t p −k/2 p 1/2 Ik−1 2 αλμt − Ik+1 2 αλμt
k=n+i+1
⎡ ⎤
∞
∞

= ρ n e−(αλ+μ)t ⎣ p −(k−1)/2 I k−1 2 αλμt − ρ p −(k+1)/2 Ik+1 2 αλμt ⎦
k=n+i+1 k=n+i+1

∞
∞

n −(αλ+μ)t −k/2 −k/2
=ρ e p Ik 2 αλμt − ρ p Ik 2 αλμt
k=n+i k=n+i+2

= e−(αλ+μ)t p (n−i)/2 In+i 2 αλμt + p (n−i−1)/2 In+i+1 2 αλμt

∞
−k/2
+ρ (1 − ρ)
n
p Ik 2 αλμt
k=n+i+2
⎡ √ √ ⎤
p (n−i)/2 In+i 2 αλμt + p (n−i−1)/2 In+i+1 2 αλμt +
Q m (t) = e−(αλ+μ)t ⎣ ∞ √ ⎦
ρ n (1 − ρ) p −k/2 Ik 2 αλμt
k=n+i+2
(2)
Identity I:
e−(αλ+μ)t
∞

(1 − ρ) = np −n/2 In 2 αλμt (3)
μt n=−∞
Proof Consider the generating function of I n (y), we have

∞
y 1
x n In (y) = exp x+
n=−∞
2 2
Differentiating both sides, we have

∞
y 1 y 1
nx (n−1) In (y) = exp x+ × 1− 2 (4)
n=−∞
2 2 2 x
√
μ
Substitute x = αλ
& y = 2 αλμt in Eq. (4), we get
∞
μ (n−1)
n In 2 αλμt = − exp(αλ + μ) × μt (1 − ρ)
n=−∞
αλ
e−(αλ+μ)t
∞

(1 − ρ) = np −n/2 In 2 αλμt
μt n=−∞
Identity II:

n+i ∞
(αλt)m
m+n+i
(μt)k
kp −k/2 Ik 2 αλμt = (k − m) (5)
k=−∞ m=0
m! k=0
k!
Proof Consider left-hand side, we have

n+i
n+i
αλ
∞
−k/2
(αλμ)(k+2m)/2 t k+2m
kp −k/2 Ik 2 αλμt = k
k=−∞ k=−∞
μ m=0
m!(k + m)!
∞
−k/2
(αλμ)(k+2m)/2 t k+2m
n+i
αλ
= k (Using Identity I)
k=−∞
μ m=0
m!(k + m)!
∞ ∞
(αλt)m (μt)k+m (αλt)m
n+i m+n+i
(μt)l
= k = (l − m) , where l = k + m,
m=0
m! k=−m (k + m)! m=0
m! l=0
(l)!
Hence identity II is proved.

Now Eq. (1) can be rewritten as using Identity II

Q m (t) = (1 − ρ)ρ n + e−(αλ+μ)t ρ (n−i)/2 In−i 2 αλμt − In+i 2 αλμt
ρ n e−(αλ+μ)t
n+i
− kp −k/2 Ik 2 αλμt (6)
μt k=−∞
Above equation can also be rewritten using Identity II

Q m (t) = (1 − ρ)ρ n + e−(αλ+μ)t ρ (n−i)/2 In−i 2 αλμt − In+i 2 αλμt
∞
(αλt) k
k+n+i
e−(αλ+μ)t (μt)m
− ρn (m − k) (7)
μt k=0
k! m=0
(m)!
After a simplification of the above expression given by Sharma (see Ref. [18])
the two-dimensional state model and its solution is provided as
∞
(αλt) k
k+n+i
(μt)m−1
Q m (t) = (1 − ρ)ρ n + e−(αλ+μ)t ρ n (k − m)
k=0
k! m=0
(m)!
∞
1 1
+ e−(αλ+μ)t (αλt)n+k−i (μt)k − (8)
k=0
k!(n + k − i) (n + k)!(k − i)
MATLAB programming is used to evaluate the infinite sum of Modified Bessel

functions as it is a major cause of a large increase in processing time. For getting better
CPU time, we get a finite sum, by introducing a function Q(a, b) with parameters a
and b which is defined as
∞ a 2 +x 2
Q(a, b) = ∫ e 2 I0 (ax)xdx (9)
b
It can also be written as

∞

a 2 +x 2 a k
Q(a, b) = e 2 Ik (ab) (10)
k=0
b
Now, considering the right-hand side of Eq. (9), we have

∞ a 2 +x 2
= ∫e 2 I0 (ax)xdx
b
∞

∞ a 2 +x 2
(ax/2)2m
= ∫e 2 xdx (since k + n = m)
b
m=0
(m!)2
∞
(a/2)2m ∞ a2 +x 2 2m
= ∫ e 2 x xdx
m=0
(m!)2 b
∞
(a/2)2m ∞ −y m a2 + x 2
= ∫ e 2y − a 2 dy where y =
m=0
(m!) a2 +b2
2 2
2
After successive integration, we have
(a/2)2m a2 +b2 2m
∞
= e 2 b + 2mb 2(m−1)
+ 2 2
m(m − 1)b 2(m−2)
+ · · ·
m=0
(m!)2
∞
a 2 +b2
(ab/2)2m a ∞
(ab/2)2m−1 a 2 (ab/2)2m−2
∞
=e 2 + + + ···
m=0
(m!)2 b m=0 (m − 1)! m! b m=0 (m − 2)! m!
a 1 a 2
a 2 +b2 a 0
=e 2 I0 (ab) + I−1 (ab) + I−2 (ab) · · ·
b b b
a 1 a 2
a 2 +b2 a 0
=e 2 I0 (ab) + I1 (ab) + I2 (ab) . . . (since Ik = I−k )
b b b
In general Eq. (4), maybe written as

∞

a 2 +b2 a m
=e 2 Im (ab) (11)
m=0
b
√ √
Now, substitute a = 2αλt and b = 2μt, we get
√ ∞ −k
Q 2αλt, 2μt = e−(αλ+μ)t ρ 2 Ik 2 αλμt (12)
k=0
Now, Eq. (12) is used in Eq. (2), Jones et al. (see Ref. [9]) established the transient
solution of M/M/1 queueing model as
√
Q m (t) = ρ n (1 − ρ)Q 2αλt, 2μt
⎡ ⎤
p (n−i)/2 In−i 2 αλμt + p (n−i−1)/2 In+i+1 2 αλμt
⎢ ⎥
⎢ ⎥
+ e−(αλ+μ)t ⎢
n+i+1 ⎥
⎣ − ρ n (1 − ρ) p −k/2
I 2 αλμt ⎦
k
k=0
(13)
Now, Eq. (13) can rewrite in a more compact way by using it give Eq. (9),
Generalized Q-function, which we define as
1 ∞ a 2 +x 2
Q m (a, b) = ∫e 2 Im−1 (ax)x m dx (14)
a m−1 b
If we choose m = 1 which is equal to
∞ k
a 2 +b2 b
1 − Q m (a, b) = e 2 Ik (ab) (15)
k=m
a
Now taking the R. H. S. of Eq. (8), we have

∞
1 ∞ a 2 +b2 1 ∞ a 2 +x 2
(ax/2)2k+m−1
∫e 2 Im−1 (ax)x d x = m
∫x e m 2 dx
a m−1 b a m−1 b k=0
k!(k + m − 1)!
∞
1 ∞ a 2 +x 2
(ax/2)2k+m−1
= ∫ xme 2 dx
a m−1 b
k=0
k!(k + m − 1)!
∞

1 (ax/2)2k+m−1 ∞ a 2 +x 2
= ∫ x 2k+2(m−1) e 2 dx
a m−1 k=0
k!(k + m − 1)! b
After simplification, we get

∞
e 2 (ax/2)2k+m−1
2
a +b2
=
a m−1 k=0 k!(k + m − 1)!

b2k+2(m−1) + 2(k + m − 1)b2k+2(m−2)
+ 22 (k + m − 1)(k + m − 2)b2k+2(m−3) + · · ·
⎡ ∞ ∞ ⎤
b m−1 (ax/2)2k+m−1 b m−2 (ax/2)2k+m−2
⎢ a +
a 2 +b2 ⎢
k!(k + m − 1)! a k!(k + m − 2)! ⎥
⎥
=e ⎢ k=0 k=0 ⎥
⎢ ⎥
2
m−3 ∞
⎣ b (ax/2) 2k+m−3
⎦
+ + ···
a k=0
k!(k + m − 3)!

a 2 +b2 b m−1 b b m−2 b b m−3 b
=e 2 Im−1 + Im−2 + Im−3 + ···
a a a a a a
⎡ ⎤
b 1−m b b 2−m b
⎢ a I1−m + I2−m
a 2 +b2 ⎢ a a a ⎥
⎥
=e 2 ⎢ ⎥ (∵ Ik = I−k )
⎣ b 3−m b ⎦
+ I3−m + ···
a a
∞

a 2 +b2 a k
=e 2 Ik (ab) (16)
k=1−m
b
Now Eq. (15) can be easily verified by Eq. (16) as
∞ a k
m−1
a 2 +b2 a k a 2 +b2
Q m (a, b) = e 2 Ik (ab) = e 2 Ik (ab)
k=1−m
b k=−∞
b
∞
∞
a k
∵ e 2 (t+t ) =
a 2 +b2 a 2 +b2 z −1
=e 2 e 2 − Ik (ab) (t)k Ik (z)
k=m
b k=−∞
∞ k
a 2 +b2 b
1 − Q m (a, b) = e 2 Ik (ab)
k=m
a
√ √
Now, substitute a = 2αλt and b = 2μt in Eq. (15), we get
√ ∞
−k

1 − Qm 2αλt, 2μt = e−(αλ+μ)t ρ 2 Ik 2 αλμt (17)
k=0
Using equation (17) in equation (2), we get

√ √
−(αλ+μ)t
p (n−i)/2 In−i 2 αλμt
+ p (n−i−1)/2
√ In+i+1 αλμt
2
Q m (t) = e √ (18)
+ρ n (1 − ρ) 1 − Q n+i+2 2αλt, 2μt
Table 2 (i = 4, t = 2, and α = 3)
λ = 0.7, μ = 5, λ = 0.9, μ = 5.5, λ = 1.5, μ = 6, λ = 0.5, μ = 2.2,
Algorithm 1 1.0937 0.331098 0.358925 0.829124
Algorithm 2 0.58 0.509091 0.25 0.318182
Algorithm 3 0.634344 0.168559 0.0897313 0.263818
Algorithm 4 4.78348 0.980446 0.368401 1.07996
Table 3 (i = 2, t = 4, and α = 2)
λ = 2, μ = 7, λ = 5, μ = 13, λ = 6, μ = 12, λ = 8, μ = 17,
Algorithm 1 0.205734 0.0540504 −0.0690807 0.0437681
Algorithm 2 0.428571 0.230769 3.84875e–024 0.0588235
Algorithm 3 0.0881719 0.0168303 4.8122e–046 0.00308253
Algorithm 4 0.238141 0.0540504 0.0345403 0.0286959
Note Above calculation is executed on Celeron 1 G.Hz. and the CPU times are given in seconds
and here, we assume, Algorithm 1: Using Eq. 2, Algorithm 2: Using Eq. 8, Algorithm 3: Using
Eq. 13 and Algorithm 4: Using Eq. 18. Tables 1, 2 and 3 are showing CPU timings for the above
algorithms.
The finite sum of Bessel function and Q-function in Eq. (13) is being replaced by
the Generalized Q-function.
Qm (t) at time (t = 0) is evaluated using Eq.(8)
∞
(αλt) k
k+n+i
(μt)m−1
Q m (t) = (1 − ρ)ρ n + e−(αλ+μ)t ρ n (k − m)
k=0
k! m=0
(m)!
∞
1 1
+ e−(αλ+μ)t (αλt)n+k−i (μt)k − (19)
k=0
k!(n + k − i) (n + k)!(k − i)
3 Numerical Approach
Numerical illustration is carried out using MATLAB programming. We calculate the

probability of observing n customers at time t, given that there were i customers at
time 0, the service rate is μ, the interarrival rate is λ and α is bulk (batch size) using
queueing model with different expressions of equations for computing the proba-
bility distribution for the MX /M/1 queueing system. We compare the computational
performance efficiency of these different expressions given in the previous section
(Figs. 1, 2, 3, 4, 5, 6, 7, 8, 9, 10, 11, and 12).
We plotted 12 figures between transient probability distribution versus the number

of systems with different values of λ and μ, which are described in Tables 1, 2, and
3. We evaluate the performance of four algorithms for fixed values of i = 4, t = 2
and α = 2, i = 4, t = 2, and α = 3 and i = 2, t = 4, and α = 2 as mentioned in
Tables 1, 2, and 3, respectively. All algorithms are implemented for computing the
transient probability distribution using MATLAB (Package 6.2) and executed on the
HP machine (Core i5) and we also evaluated CPU timing. Consequently, it has been
noted that Algorithm 3 provides better outcomes.
0.35
0.3
Probabilty of Algorithm
0.25
0.2
0.15
0.1
0.05
0
0 5 10 15 20 25
Number of Units /Iterations
Fig. 1 Probability versus No. of iterations
0.05
0.045
0.04
0.035
0.03
0.025
0.02
0.015
0.01
0.005
0
0 5 10 15 20 25 30 35 40 45

-3
x 10
9
7
6
0
0 10 20 30 40 50 60
-3
x 10
6
5
0
0 10 20 30 40 50 60 70

0.7
0.6
0.5
0.4
0.3
0.2
0.1
0
0 5 10 15
0.45
0.4
0.35
0.3
0.25
0.2
0.15
0.1
0.05
0
0 2 4 6 8 10 12 14 16 18

0.09
0.08
0.07
0.06
0.05
0.04
0.03
0.02
0.01
0
0 5 10 15 20 25
0.35
0.3
0.25
0.2
0.15
0.1
0.05
0
0 5 10 15 20 25

0.09
0.08
0.07
0.06
0.05
0.04
0.03
0.02
0.01
0
0 5 10 15 20 25
0.025
0.02
0.015
0.01
0.005
0
0 5 10 15 20 25 30 35 40 45

0.5
0.45
0.4
0.35
0.3
0.25
0.2
0.15
0.1
0.05
0
0 20 40 60 80 100 120
-3
x 10
3.5
3
2.5
1.5
0.5
0
0 10 20 30 40 50 60
4 Conclusion
In this investigation, we derived the different expressions for computing the tran-
sient probability solution of the Mx /M/1 queueing model. Various results have been
obtained for transient probability distribution using MATLAB programming. Gener-
alized Q-function is the most efficient expression for all algorithms. We examine the
four algorithms by tuning different parameters. Validation of results has been shown
by using numerical illustrations and graphs. It has been observed that Algorithm
3 is more efficient rather than the other algorithms for the computational perfor-
mance and also, we applied this algorithm in traffic, manufacturing and obtained the
performance of any complicate system.
References
1. B.W. Conolly, C. Langairs, On a new formula for the transient state probabilities for M/M/1
queues and computational implications. J. Appl. Probab. 30, 237–246 (1993)
2. A.M.K. Tarabia, A new formula for the transient behavior of a non-empty M/M/1/∞ queue.
Appl. Math. Comput. 132(1), 1–10 (2002)
3. P.R. Parthasarhy, R.B. Lenin, On the numerical solution of transient probabilities of a state-
dependent multi-server queue. Int. J. Comput. Math. 66(3), 241–255 (1998)
4. J.L. Jain, S.G. Mohanty, A.J. Meitei, Transient Solution of M/M/1 Queues: A Probabilistic
Approach. APORS-2003, vol. 1 (2004), pp 74–81
5. J. Abate, W. Whitt, Transient behavior of M/M/1 queue via Laplace Transform. Adv. Appl.
Probab. 25, 145–178 (1988)
6. J. Abate, W. Whitt, Calculating time dependent performance measure of the M/M/1 queue.
IEEE Trans. Commun. 37, 1102–1104 (1989)
7. J. Abate, W. Whitt, The transient behavior of the M/M/1 queue: starting at the origin. Queueing
Syst. 2, 41–65 (1987)
8. P.E. Cantrell, Computation of the transient M/M/1 queue cdf, pdf and mean with generalized
Q-function. IEEE Trans. Commun. 34(8), 814–817 (1986)
9. S.K. Jones, R.K. Cavin III, D.A. Johnston, An efficient computational procedure for the evalua-
tion of the M/M/1 transient state occupancy probabilities. IEEE Trans. Commun. 28, 2019–2020
(1986)
10. M. Jain, G.C. Sharma, V.K. Saraswat, Rakhee, Transient analysis of a telecommunication
system using state dependent Markovian queue under Bi-level control policy. J. King Saud
Univ. Eng. Sci. 20(1), 77–90 (2009)
11. D.J. Bertsimas, D. Nakazato, Transient and busy period analysis of the GI/G/1 queue: the
method of stages. Queueing Syst. 10, 153–184 (1992)
12. M.C. Ausin, M.P. Wiper, R.E. Lillo, Bayesion prediction of the transient behavior and busy
period in short and long-tallied GI/G/1 queeing system. Comput. Stat. Data Anal. 52, 1615–
1635 (2008)
13. J.D. Grftihs, G.M. Leoneko, J.E. Willians, The transient solution to M/Ek /1 queue. Oper. Res.
Lett. 34(3), 349–354 (2006)
14. M. Kijma, The transient solution to a class of Markovian queues. Comput. Math. Appl. 24(1
& 2), 17–24 (1992)
15. M.L. Chaudhary, Y.Q. Zhao, Transient solution of same multi-server queueing systems with
finite spaces. Int. Trans. Oper. Res. 6(2), 161–182 (1999)
16. A.A. Hanbali, O. Boxma, Busy period analysis of the state dependent M/M/1/K queue. Oper.
Res. Lett. 38(1), 1–6 (2010)
17. P.R. Parthasarathy, R. Sudhesh, Transient solution of multi-server Poison queue with N-policy.
Int. J. Comput. Math. Appl. 55, 550–562 (2008)
18. O.P. Sharma, Markovian Queues (Eillis Hoewood Chichester Ltd, 1990)
Quantum Codes from the Cyclic Codes
Over
F p [v, w]/v 2 − 1, w2 − 1, vw − wv
Habibul Islam, Om Prakash and Ram Krishna Verma
Abstract In this article, for any odd prime p, we study the cyclic codes over the
finite ring R = F p [v, w]/v 2 − 1, w 2 − 1, vw − wv to obtain the quantum codes
over F p . We obtain the necessary and sufficient condition for cyclic codes which
contain their duals and as an application, some new quantum codes are presented at
the end of the article.
Keywords Cyclic code · Quantum code · Self-orthogonal code · Gray map.
2010 MSC 94B15 · 94B05 · 94B60.
1 Introduction
The quantum codes are used in quantum communication and quantum computing
to protect the quantum information from the noise occurred during the transmis-
sion in the channel. The quantum error-correcting codes from the classical error-
correcting codes are rapidly developing after the remarkable work presented by Shor
[17], in 1995. It is well studied over finite fields in [4, 7, 10, 11, 15]. In 2015,
Gao [6] presented some new quantum codes over Fq from the cyclic codes over
Fq + vFq + v 2 Fq + v 3 Fq . Meanwhile, Dertli et al. [5] obtained some binary quan-
tum codes derived from the cyclic codes over F2 + uF2 + vF2 + uvF2 and Ashraf
and Mohammad [1] studied quantum codes which are obtained from cyclic codes
over Fq + uFq + vFq + uvFq . In 2016, Ozen et al. [14] explored several ternary
H. Islam (B) · O. Prakash · R. K. Verma

Department of Mathematics, Indian Institute of Technology Patna,
Patna 801 106, India
e-mail: habibul.pma17@iitp.ac.in
O. Prakash
e-mail: om@iitp.ac.in
R. K. Verma
e-mail: ram.pma15@iitp.ac.in
https://doi.org/10.1007/978-981-15-1157-8_6
68 H. Islam et al.
quantum codes from the cyclic codes over F3 + uF3 + vF3 + uvF3 . Recently, many
researchers have obtained some new quantum codes over F p from the classical cyclic
and constacyclic codes, we refer [2, 9, 12, 13, 16].
In this article, for any odd prime p, we consider the cyclic codes over F p [v, w]/
v 2 − 1, w 2 − 1, vw − wv to obtain some new quantum codes over F p . Also, we
generalize the work of [14] for any odd prime p and present some new quantum
codes over F7 at the end of this article.
2 Preliminary
For the odd prime p, let F p be the field of order p and R = F p [v, w]/v 2 − 1, w 2 −
1, vw − wv. Then R is a finite commutative ring with p 4 elements and character-
istic p. A linear code C of length n is defined as an R-submodule of R n and ele-
ments of C are called codewords. The dual (Euclidean) code of the linear code C is
denoted by C ⊥ and defined as C ⊥ = {a ∈ R n | a · b = 0, ∀ b ∈ C}, where the inner
product of any two codewords a = (a0 , a1 , . . . , an−1 ), b = (b0 , b1 , . . . , bn−1 ) ∈ C
is a · b = i=0n−1
ai bi . The code C is said to be self-orthogonal if C ⊆ C ⊥ and
⊥
self-dual if C = C. Also, the ring R can be expressed as F p + vF p + wF p +
vwF p where v 2 = w 2 = 1, vw = wv and any element r ∈ R is of the form r =
a + vb + wc + vwd where a, b, c, d ∈ F p . Let ξ ∈ F p such that 4ξ ≡ 1 (mod
p) and μ1 = ξ(1 + v + w + vw), μ2 = ξ(1 − v + w − vw), μ3 = ξ(1 + v − w −
vw), μ4 = ξ(1 − v − w + vw). Then 1 = μ1 + μ2 + μ3 + μ4 , and

μi , if i = j.
μi μ j =
0, if i = j.
Hence, by Chinese Remainder Theorem, we have R = μ1 R ⊕ μ2 R ⊕ μ3 R ⊕ μ4 R ∼ =

μ1 F p ⊕ μ2 F p ⊕ μ3 F p ⊕ μ4 F p . Thus, every element of R can be uniquely expressed
as a + vb + wc + vwd = k1 μ1 + k2 μ2 + k3 μ3 + k4 μ4 , for ki ∈ F p , i = 1, 2, 3, 4.
We define a map
φ : R −→ F4p
by
φ(a + vb + wc + vwd) = (a + b + c + d, a − b + c − d, a + b − c − d, a − b − c + d),

(2.1)
for a, b, c, d ∈ F p . The map φ can be extended to R n naturally. Here, the Hamming

weight w H (c) is defined as the number of nonzero components of the codeword
c = (c0 , c1 , . . . , cn−1 ) ∈ C and the distance between two codewords d H (c, c ) =
w H (c − c ). The Hamming distance for the code C is d H (C) = min{d H (c, c ) |
Quantum Codes from the Cyclic Codes Over F p [v, w]/v 2 − 1, w 2 − 1, vw − wv 69
c = c , ∀ c, c ∈ C}. The Gray weight of an element r = a + vb + wc + vwd ∈ R

is define as wG (r ) = w H (φ(r )) = w H (a + b + c + d, a − b + c − d, a + b − c −
d, a − b − c + d) and Gray weight for r = (r0 , r1 , . . . , rn−1 ) ∈ R n is wG (r ) =
n−1
i=0 wG (ri ). The Gray distance between any two codewords c, c is dG (c, c ) =
wG (c − c ) and Gray distance for the code C is dG (C) = min{dG (c, c ) | c = c , c, c ∈
C}.
3 Linear Codes Over R
In this section, we present some useful results on linear codes over R which are taken
from [8]. Therefore, we omit the proofs of these results here.
Theorem 3.1 The map φ defined in Eq. (2.1) is linear and isometric from (R n , Gray
distance) to (F4n
p , Hamming distance).
Theorem 3.2 Let C be a (n, k, dG ) linear code over R. Then φ(C) is a (4n, k, d H )
linear code over F p where d H = dG .
Theorem 3.3 Let C be a linear code of length n over R. Then φ(C ⊥ ) = (φ(C))⊥
and φ(C) is self-orthogonal if C is self-orthogonal. Further, C is self-dual if and only
if φ(C) is self-dual.
Let Ai be the linear code for i = 1, 2, 3, 4. We denote A1 ⊕ A2 ⊕ A3 ⊕ A4 =

{a1 + a2 + a3 + a4 | ai ∈ Ai ∀ i} and A1 ⊗ A2 ⊗ A3 ⊗ A4 = {(a1 , a2 , a3 , a4 ) | ai ∈
Ai ∀ i}. Let C be a linear code of length n over R. Define C1 = {a + b + c + d ∈ Fnp |
a + vb + wc + vwd ∈ C}, C2 = {a − b + c − d ∈ Fnp | a + vb + wc + vwd ∈ C},
C3 = {a + b − c − d ∈ Fnp | a + vb + wc + vwd ∈ C}, C4 = {a − b − c + d ∈ Fnp
| a + vb + wc + vwd ∈ C}. Then Ci s are linear codes of length n over F p for i =
1, 2, 3, 4.
Theorem 3.4 Let C be a linear code of length n over R. Then φ(C) = C1 ⊗ C2 ⊗

C3 ⊗ C4 and | C |=| C1 || C2 || C3 || C4 |.
⎛ linear⎞code Ci for i = 1, 2, 3, 4.
Corollary 3.1 Let Mi be the generator matrix of the
μ1 M1
⎜μ2 M2 ⎟
Then the generator matrix for C is given by M = ⎜ ⎟
⎝μ3 M3 ⎠.
μ4 M4
Corollary 3.2 If φ(C) = C1 ⊗ C2 ⊗ C3 ⊗ C4 , then C = μ1 C1 ⊕ μ2 C2 ⊕ μ3 C3 ⊕

μ4 C4 .
Corollary 3.3 Let C = μ1 C1 ⊕ μ2 C2 ⊕ μ3 C3 ⊕ μ4 C4 be a linear code of length n

over R where Ci s are [n, ki , dG (Ci )] linear codes for i = 1, 2, 3, 4. Then φ(C) is a
4
[4n, i=1 ki , min{dG (Ci ) | i = 1, 2, 3, 4}] linear code over F p .
70 H. Islam et al.
Theorem 3.5 Let C = μ1 C1 ⊕ μ2 C2 ⊕ μ3 C3 ⊕ μ4 C4 be a linear code of length n

over R. Then C ⊥ = μ1 C1⊥ ⊕ μ2 C2⊥ ⊕ μ3 C3⊥ ⊕ μ4 C4⊥ . Moreover, C is self-dual if and
only if Ci is self-dual for i = 1, 2, 3, 4.
4 Cyclic Codes Over R
Definition 4.1 A linear code C of length n over R is said to be cyclic if for any c =
(c0 , c1 , . . . , cn−1 ) ∈ C, we have σ (c) := (cn−1 , c0 , . . . , cn−2 ) ∈ C. Here, the operator
σ is known as cyclic shift.
Let C be a cyclic code of length n over R. We identify each codeword c =
(c0 , c1 , . . . , cn−1 ) ∈ C with a polynomial c(x) ∈ R[x]/x n − 1 under the correspon-
dence c = (c0 , c1 , . . . , cn−1 ) −→ c(x) = (c0 + c1 x + · · · + cn−1 x n−1 ) mod x n −
1. In this polynomial representation of C, one can easily verify the next result.
Theorem 4.1 Let C be a linear code of length n over R. Then C is a cyclic code if
and only if it is an ideal of the ring R[x]/x n − 1.
Theorem 4.2 Let C = μ1 C1 ⊕ μ2 C2 ⊕ μ3 C3 ⊕ μ4 C4 be a linear code of length n

over R. Then C is a cyclic code if and only if Ci is a cyclic code of length n over F p
for i = 1, 2, 3, 4.
Proof Let C be a cyclic code of length n over R. Let a = (a0 , a1 , . . . , an−1 ) ∈

C1 , b = (b0 , b1 , . . . , bn−1 ) ∈ C2 , c = (c0 , c1 , . . . , cn−1 ) ∈ C3 , d = (d0 , d1 , . . . , dn−1 ) ∈
C4 and ri = μ1 (ai + bi + ci + di ) + μ2 (ai − bi + ci − di ) + μ3 (ai + bi − ci − di ) +
μ4 (ai − bi − ci + di ) for i = 0, 1, . . . , n − 1. Then r = (r0 , r1 , . . . , rn−1 ) ∈ C.
Therefore, σ (r ) = (rn−1 , r0 , . . . , rn−2 ) ∈ C where σ (r ) = μ1 σ (a) + μ2 σ (b) +
μ3 σ (c) + μ4 σ (d) ∈ C = μ1 C1 ⊕ μ2 C2 ⊕ μ3 C3 ⊕ μ4 C4 . Hence, σ (a) ∈ C1 , σ (b) ∈
C2 , σ (c) ∈ C3 , σ (d) ∈ C4 . Consequently, Ci is a cyclic code of length n over F p , for
i = 1, 2, 3, 4.
Conversely, let Ci be a cyclic code of length n over F p for i = 1, 2, 3, 4. Let r =
(r0 , r1 , . . . , rn−1 ) ∈ C where ri = μ1 (ai + bi + ci + di ) + μ2 (ai − bi + ci − di ) +
μ3 (ai + bi − ci − di ) + μ4 (ai − bi − ci + di ) for i = 0, 1, . . . , n − 1. Then a =
(a0 , a1 , . . . , an−1 ) ∈ C1 , b = (b0 , b1 , . . . , bn−1 ) ∈ C2 , c = (c0 , c1 , . . . , cn−1 ) ∈ C3 ,
d = (d0 , d1 , . . . , dn−1 ) ∈ C4 . Therefore, σ (a) ∈ C1 , σ (b) ∈ C2 , σ (c) ∈ C3 , σ (d) ∈
C4 . Now, σ (r ) = μ1 σ (a) + μ2 σ (b) + μ3 σ (c) + μ4 σ (d) ∈ μ1 C1 ⊕ μ2 C2 ⊕ μ3 C3 ⊕
μ4 C4 = C. This shows that C is a cyclic code of length n over R.
Theorem 4.3 Let C = μ1 C1 ⊕ μ2 C2 ⊕ μ3 C3 ⊕ μ4 C4 be a cyclic code of length n

over R. Then there exists a polynomial g(x) ∈ R[x] such that C = g(x) and g(x) |
x n − 1.
Proof Since C is a cyclic code, by Theorem 4.2, Ci is a cyclic code of length n over
F p for i = 1, 2, 3, 4. Let Ci = gi (x) and gi (x) | x n − 1 for i = 1, 2, 3, 4. Then
μ1 g1 (x), μ2 g2 (x), μ3 g3 (x), μ4 g4 (x) are the generators of C. Let g(x) = μ1 g1 (x) +
μ2 g2 (x) + μ3 g3 (x) + μ4 g4 (x). Then g(x) ⊆ C. Also, μ1 g(x) = μ1 g1 (x) ∈

g(x), μ2 g(x) = μ2 g2 (x) ∈ g(x), μ3 g(x) = μ3 g3 (x) ∈ g(x), μ4 g(x) = μ4
g4 (x) ∈ g(x). Therefore, C ⊆ g(x) and hence C = g(x).
Further, since gi (x) | x n − 1, we have x n − 1 = gi (x)h i (x) for h i (x) ∈ F p [x],
i = 1, 2, 3, 4. Now, g(x)[μ1 h 1 (x) + μ2 h 2 (x) + μ3 h 3 (x) + μ4 h 4 (x)] = μ1 g1 (x)h 1
(x) + μ2 g2 (x)h 2 (x) + μ3 g3 (x)h 3 (x) + μ4 g4 (x)h 4 (x) = x n − 1. This shows that g(x) |
x n − 1.
Corollary 4.1 Every ideal of R[x]/x n − 1 is principally generated.
Corollary 4.2 Let C = μ1 C1 ⊕ μ2 C2 ⊕ μ3 C3 ⊕ μ4 C4 be a cyclic code of length n

over R and gi (x) be the generator of the code Ci such that x n − 1 = gi (x)h i (x) for
i = 1, 2, 3, 4. Then
1. C ⊥ = μ1 C1⊥ ⊕ μ2 C2⊥ ⊕ μ3 C3⊥ ⊕ μ4 C4⊥ is a cyclic code of length n over R.
2. C ⊥ = μ1 h ∗1 (x) + μ2 h ∗2 (x) + μ3 h ∗3 (x) + μ4 h ∗4 (x) where h i∗ (x) is the reciprocal
polynomial of h i (x), i.e., h i∗ (x) = x deg(h i (x)) h i (1/x) for i = 1, 2, 3, 4.
4
3. | C ⊥ |= p i=1 deg(gi (x)) .
4. C is a self-dual cyclic code if and only if Ci is a self-dual cyclic code over F p for
i = 1, 2, 3, 4.
5 Quantum Codes Over F p
Recall that a p-ary quantum code of length n and size K is a K -dimensional subspace
of p n -dimensional Hilbert space (C p )⊗n , where p is a prime. The standard notation
for a quantum code is [[n, k, d]] p , where n is the length, d is the minimum distance,
and K = p k . Toward the quantum codes, we include two important results of [7] and
[4] as below.
Lemma 5.1 ([7], Theorem 3) Let C1 = [n, k1 , d1 ]q and C2 = [n, k2 , d2 ]q be two
linear codes over G F(q) with C2⊥ ⊆ C1 . Then there exists a quantum error-correcting
code C = [[n, k1 + k2 − n, d]] where d = min{wt (v) : v ∈ (C1 \C2⊥ ) ∪ (C2 \C1⊥ )} ≥
min{d1 , d2 }. Further, if C1⊥ ⊆ C1 , then there exists a quantum error-correcting code
C = [[n, 2k1 − n, d1 ]], where d1 = min{wt (v) : v ∈ C1 \C1⊥ }.
Lemma 5.2 ([4], Theorem 13) The cyclic code C of length n over F p with the
generator polynomial g(x) contains its dual code if and only if
x n − 1 ≡ 0 (mod g(x)g ∗ (x)),
where g ∗ (x) is the reciprocal polynomial of g(x).
Theorem 5.1 Let C = μ1 C1⊕ μ2 C2 ⊕ μ3 C3 ⊕ μ4 C4 be a cyclic code of length n

4
over R and C = g(x) = i=1 μi gi (x), where gi (x) is the generator of Ci , for
⊥
i = 1, 2, 3, 4. Then C ⊆ C if and only if
72 H. Islam et al.
x n − 1 ≡ 0 (mod gi (x)gi∗ (x)),
where gi∗ (x) is the reciprocal polynomial of gi (x), for i = 1, 2, 3, 4.

Proof Let x n − 1 ≡ 0 (mod gi (x)gi∗ (x)), for i = 1, 2, 3, 4. Then, by Lemma 5.2, we
4
have Ci⊥ ⊆ Ci and hence μi Ci⊥ ⊆ μi Ci , for i = 1, 2, 3, 4. Thus, C ⊥ = i=1 μi Ci⊥ ⊆
4
i=1 μi Ci = C. 4 4
Conversely, let C ⊥ ⊆ C. Then i=1 μi Ci⊥ ⊆ i=1 μi Ci . Since Ci is a cyclic
code over F p such that μi Ci ≡ C (mod μi ), for i = 1, 2, 3, 4, then Ci⊥ ⊆ Ci , for
i = 1, 2, 3, 4. Again, by Lemma 5.2, we have
x n − 1 ≡ 0 (mod gi (x)gi∗ (x)),
where gi∗ (x) is the reciprocal polynomial of gi (x), for i = 1, 2, 3, 4.

Corollary 5.1 Let C = μ1 C1 ⊕ μ2 C2 ⊕ μ3 C3 ⊕ μ4 C4 be a cyclic code of length n
over R. Then C ⊥ ⊆ C if and only if Ci⊥ ⊆ Ci , for i = 1, 2, 3, 4.
Now, the Theorem 5.1 and Lemma 5.1 help us to obtain quantum codes as given
below:
Theorem 5.2 Let C = μ1 C1 ⊕ μ2 C2 ⊕ μ3 C3 ⊕ μ4 C4 be a cyclic code of length n
over R and [4n, k, dG ] be the parameter of φ(C), where dG is the minimum Gray
distance of C. If C ⊥ ⊆ C, then there exists a quantum code with parameter [[4n, 2k −
4n, dG ]] over F p .
Now, by using Theorem 5.2, we construct several examples to validate our tech-
nique. All computations are carried out by using the Magma software [3].
Example 5.1 Let p = 3, n = 33, and R = F3 [v, w]/v 2 − 1, w 2 − 1, vw − wv.
Now, in F3 [x]
x 33 − 1 = (x + 2)3 (x 5 + 2x 3 + x 2 + 2x + 2)3 (x 5 + x 4 + 2x 3 + x 2 + 2)3 .

4
Let gi (x) = x 5 + 2x 3 + x 2 + 2x + 2 for i = 1, 2, 3, 4. Then C = i=1 μi gi (x)
is a cyclic code of length 33 over R and [132, 112, 2] is the parameter of φ(C).
Also, gi (x)gi∗ (x) divides x 33 − 1 for i = 1, 2, 3, 4, and hence C ⊥ ⊆ C. Thus, by
Theorem 5.2, we have the quantum code [[132, 92, 2]]3 .
Example 5.2 Let p = 5, n = 31, and R = F5 [v, w]/v 2 − 1, w 2 − 1, vw − wv.
Now, in F5 [x]
x 31 − 1 =(x + 4)(x 3 + x + 4)(x 3 + 2x + 4)(x 3 + x 2 + x + 4)(x 3 + x 2 + 3x + 4)

(x 3 + 2x 2 + x + 4)(x 3 + 2x 2 + 4x + 4)(x 3 + 3x 2 + 4)(x 3 + 4x 2 + 4)
(x 3 + 4x 2 + 3x + 4)(x 3 + 4x 2 + 4x + 4).
4
Let gi (x) = x 3 + 2x 2 + x + 4 for i = 1, 2, 3, 4. Then C = i=1 μi gi (x) is a
cyclic code of length 31 over R and φ(C) is a [124, 112, 3] linear code over F5 . Since
Table 1 Some New Quantum Codes Over F7

n g1 = g2 g3 = g4 φ(C) [[n, k, d]] p
12 x +3 x2 + 4 [48, 42, 2] [[48, 36, 2]]7
21 (x + 3)2 (x + 5) (x + 3)(x + 5)2 [84, 72, 3] [[84, 60, 3]]7
24 (x + 3)(x 2 + 6x + 4) (x + 5)(x 2 + 5x + 2) [96, 84, 3] [[96, 72, 3]]7
27 (x + 3)(x 9 + 3) (x + 5)(x 9 + 5) [108, 68, 3] [[108, 28, 3]]7
48 (x + 4)(x 2 + 2x + 3) (x + 3)(x 2 + 3x + 6) [192, 180, 3] [[192, 168, 3]]7
49 (x + 6)8 (x + 6)8 [196, 164, 3] [[196, 132, 3]]7
49 (x + 6)15 (x + 6)15 [196, 136, 4] [[196, 76, 4]]7
56 (x + 6)(x 2 + 4x + 1)3 (x + 1)(x 2 + 3x + 1)3 [224, 196, 4] [[224, 168, 4]]7
57 (x + 5)(x 3 + 6x 2 + 5x + 6) (x + 3)(x 3 + 5x 2 + 5x + 6) [228, 212, 3] [[228, 196, 3]]7
63 (x + 3)2 (x 3 + 5) (x + 5)2 (x 3 + 3) [252, 232, 3] [[252, 212, 3]]7
for i = 1, 2, 3, 4, gi (x)gi∗ (x) divides x 31 − 1, by Theorem 5.1, we have C ⊥ ⊆ C.

Again, by Theorem 5.2, there exists a quantum code [[124, 100, 3]]5 .
In Table 1, we present some new quantum codes over F7 . First column of Table 1
represents the length of the cyclic codes, fourth and fifth column represents the
parameters of Gray images and associated quantum codes, respectively. Also, in the
second and third columns, gi s represent the generator polynomials for the code C.
6 Conclusion
In this article, we have studied self-orthogonal cyclic codes over R and by using their
properties, we obtained many quantum codes in which some of them are new in the
literature. In Table 1, some new quantum codes over F7 are obtained and similarly
one can also find more new quantum codes over F p
Acknowledgements The authors are thankful to the University Grants Commission (UGC) and
the Council of Scientific & Industrial Research (CSIR), Govt. of India for financial supports and the
Indian Institute of Technology Patna for providing research facilities. Further, the authors would
like to thank the anonymous referee(s) for their valuable comments to improve the presentation of
the article.
74 H. Islam et al.
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(1995)
Effect of Sterile Insect Technique on
Dynamics of Stage-Structured Model
Under Immigration
Sumit Kaur Bhatia, Sudipa Chauhan and Priyanka Arora
Abstract A Stage-Structured Model has been proposed to study the effect of dis-
charge of irradiated male insects and the immigration of wild insects using the Sterile
Insect Technique (SIT). The release of sterile male insects will replace natural insects
from the environment. The Logistic Growth Rate has been considered for the Larvae
population. We have studied the dynamics of the model in three cases. In the first
case, the model has been considered without the discharge of sterile male and immi-
gration has not been taken into account. In the second case, the release of sterile male
insect has been considered but immigration has not been taken into consideration.
Lastly, in the third model, both immigration and discharge of sterile male have been
taken into account. In all three cases, equilibrium points have been evaluated and
stability analysis has been done. Thresholds for the sterile male population have been
obtained which can be helpful in understanding and implementing the SIT.
Keywords Immigration · Sterile insect technique · Prey–predator model ·

Equilibrium points · Stability analysis
1 Introduction
Insect pests contribute to a high prevalence of undernourishment in the world. As

part of environment-control tactics, SIT has proven to be a very effective tool for
pest management. Knipling [1] formulated a model in which natural reproductive
performances of insects are damaged by mutagens and thus rendering insects sterile.
In order to copulate with indigenous insects in the current setting, they are released
S. K. Bhatia · S. Chauhan · P. Arora (B)

Amity Institute of Applied Sciences, Amity University, Noida, India
e-mail: apriyanka697@gmail.com
S. K. Bhatia
e-mail: sumit2212@gmail.com
S. Chauhan
e-mail: sudipachauhan@gmail.com
https://doi.org/10.1007/978-981-15-1157-8_7
76 S. K. Bhatia et al.
in very large numbers in the setting. Although indigenous female mates with sterile
males and will also generate eggs but such eggs will not hatch and if sterile insects are
further expanded in big numbers then mostly crosses will be sterile, as time increases,
the amount of indigenous insects will decrease thus increasing the sterile to fertile
ratio, leading to extinction of indigenous population. This technique is known as
Sterile Insect Technique. SIT has a distinctive biological benefit that suits them
well with the notion of eradication, i.e., their efficacy improves as the population
of pests decreases. In SIT, the amount of sterile males produced and their price
is relative to population amount, and as the cost-to-account ratio declines with a
reduction in the amount of the pest population, it can be a cost-effective method
when integrated with a traditional pesticide control technique. In 1958 in Florida,
SIT was first used efficiently to manage Screwworm fly (Cochliomya omnivorax)
[2]. In the 1980s, Mexico and Belize eliminated their screwworm problems with SIT.
A digit of mathematical models was made to support the efficacy of the SIT [3–7].
In [4, 8], the authors gave the theory of effect on the genetic control of immigration
using SIT. In this paper, we have studied the model under two distinct life divisions
of insects (Viz. larvae and adult) and under external immigration of adolescents. In
Sect. 2, we have formulated our mathematical model and studied its dynamics in
Sect. 3. Lastly, we have concluded our results in Sect. 4.
2 Mathematical Model Formulation
In this paper, we have proposed the flow of life control, the life cycle of an insect
is split into two divisions: youthful (egg, hatchlings) and grown-up one. The size
of population of the infantine phase of insect at time t is denoted by A. For adults,
we inspect the specified divisions: women before merging, I; merging unfertilized
women, F; merging fertilized women, U; and male insects, M. The size of futile insect
population at time t is M S . The death count of infantine forms per capita, unmating
women, merging fertilized women, merging unfertilized women, wild and futile male
insects are marked, respectively, by δ A , δ I , δ F , δU , δ M , and δT . The net oviposition
rate per women insect is relative to its density, and is also controlled through an
impact of carrying ability depending on the activity of accessible handler locations.
We suppose that the rate of oviposition per capita is expressed by ξ(1 − A/C),
where C is carrying quantity recognized with nutrient and space measurement, and ξ
is inherent rate of oviposition. Infantine population is advancing towards becoming
grown-up insects at a per capita rate η; a proportion of r are women and (1-r) are
men. Let i and m be the amount of immigrated males and females, respectively. As
M S is the amount of sterile males released in each species generation so that the (I+i)
number of women take their mates from (M + M S + m). Streams from I to F and
U compartments depend on number of female encounters with native and grown-
M+m
up males and matching rates. Here, we suppose that (M+M S +m)
is the probability of
female meeting with natural insects. At that point, the per capita rate of fertilization
β(M+m)
of female insects is (M+M S +m)
, where β is the natural insects match rate. Since sterile
Effect of Sterile Insect Technique on Dynamics of Stage … 77
organisms are artificially positioned, it is natural to believe a sterile male’s likelihood

encountering a woman confides not only on the ratio of such men (M S /(M + M S +
m)), but also on how distant from the breeding locations they are positioned. We are
going to let that this net probability is expressed by pM S /(M + M S + m), where
parameter p, with 0 ≤ p ≤ 1, is the proportion of sterile insects that are sprinkled in
the sufficient spaces. Efficient fertilization during matching can also be reduced by
sterilization, that causes us to believe that an efficient match rate of sterile insects
is qβ, 0 ≤ q ≤ 1. Combining all of the above, we get that βT M S /(M + M S + m)
which is the per capita rate at which women insects are futile sperm fertilized,
where βT = pqβ. Parameter p is linked to efficiency of futile male preface in regard
with spatial distribution of women insects, where q is assumed as a physiological
modification induced by sterilization technique. Element p defines a significant role
in insects whose reproduction is heavily dependent on non-homogeneous distribution
of breeding locations, such as Aedes aegypti mosquitoes [9, 10]. Like the natural
insect population, we believe that expansion rate of futile male insects is managed by
the capability impact. This element requires into account the restricting limit (of labs,
for example) for the delivery and release of disinfected male insects, which permits us
to depict the recruitment frequency of futile male insects by τ M S (1 − M S /K ), where
K is maximal capacity associated with sterile bug production. Note: τ (1 − M S /K )
is rate of recruitment per capita and τ is the inborn rate of recruitment. With all
considerations and assumptions, the following mathematical system is proposed:

dA A
=ξ 1− F − (η + δ A )A (1)
dT C
dI β(M + m)(I + i) βT M S (I + i)
= (r η A) − − − δI I + i (2)
dT M + MS + m M + MS + m
dF β(M + m)(I + i)
= − δF F (3)
dT M + MS + m
dM
= (1 − r )η A − δ M M + m (4)
dT
d MS MS
= τ M S (1 − ) − δT M S (5)
dT K
dU βT M S (I + i)
= − δU U (6)
dT M + MS + m
Table: Biological Meaning of Parameters
Parameter Biological meaning Parameter Biological meaning

δA Death rate of immature forms δI Death rate of Unmating females
δF Death rate of fertilized females δU Death rate of Unfertilized females
δM Death rate of wild insects δT Death rate of Sterile insects
η Conversion rate from immature to mature insects β Mating rate of natural insects
τ Recruitment rate of Sterile male ξ Intrinsic oviposition rate
3 Dynamical Behaviour
In this section, we will prove that the model is bounded. We will obtain its equilibrium
points. Also, we will study the global stability of the model.
3.1 Boundedness of Model
Here to corroborate that the system described by Model 1 is bounded. We will begin
with following Lemma.
Lemma 1 All solutions of the model will lie in the region P1 (A, I, F, M, M S , U ) ∈
6
R+ :, 0 < A ≤ Amax , 0 < I ≤ Imax , 0 < F ≤ Fmax , 0 < M ≤ Mmax , 0 < M S ≤
M Smax , 0 < U ≤ Umax as t → ∞, for all initial values (A0 , I0 , F0 , M0 , M S0 , U0 ) ∈
6
R+ .
Proof As A ≤ C, where C is Carrying Quantity.
From (4) we get, M(t) ≤ (1 − r )η A + m − δ M M. Thus, M ≤ K = Mmax
From (5) we get, M S (t) ≤ τ M S − Kτ M S2 and thus, M S ≤ K = M Smax
From (2) we get, I (t) ≤ r ηC − δ I I + i. Therefore, I (t) ≤ r ηC+i
δI
= Imax
β(M+m)(I +i)
From (3) we get, F(t) ≤ M+MS +m − δ F F
As M, I, M S are bounded, therefore, F is bounded and F ≤ FMax
From Eq. (6) we get, U (t) ≤ βM+M
T M S (I +i)
S +m
− δU U
As M S , M, I are bounded, hence U is bounded and U ≤ UMax
3.2 Equilibrium Points
3.2.1 When M S = 0 and no immigration(i = m = 0)
The immigration scheme fosNote: τ (1 − M S /K ) is the rate of recruitment per capita

and τ is the inborn rate of recruitments. Note: τ (1 − M S /K ) is the rate of recruitment
per capita and τ is the inborn rate of recruitment futile male insects has M S0 = 0
and M S1 = ((τ − δT )K )/τ as two balance points. If and only if τ > δT , Eq. (4)
is biologically feasible. As population of futile male insects under immigration is
managed without impact of the natural population, Eq. (5)’s stability assessment
demonstrates that the M S0 , the trivial equilibrium, is stable if τ > δT otherwise it will
be volatile and outcomes in the stable non-trivial balance M S1 . This behaviour must
be heavily confirmed by the dynamics of interaction between populations generated
naturally and artificially. The value M S0 = 0 creates two balance points: one is trivial
equilibrium, P0 = (0, 0, 0, 0) and U0 = 0, when sterile and natural insects are not
present and P1 is an equilibrium where only natural insects live. We equate the
following equations to 0.

MS
MS = τ MS 1 − − δT M S = 0 (7)
K
β(M + m)(I + i)
Taking M S = 0 (sterile insects are absent). From Eq. (3) we get, =
M +m
δ F F and hence F = β(Iδ F+i)
From Eq. (2), we get I = r η A−β∗i+i
β+δ I
. On substituting values of I and F in Eq. (1)
we get
ξ(1 − A/C) δβF ∗ r η A+i(δ
β+δ I
I +1)
= (η + δ A )A
⇒ A2 ( Cδ Fξβr η
(β+δ I )
) + A(( δ F ξβr η
(β+δ I )
+ ξβi(δ I +1)
cδ F (β+δ I )
− (η + δ A ))2 ) + ξβi(δ I +1)
δ F (β+δ I )
=0
which further implies,
ξβr η ξβi(δ I +1) ξβr η ξβi(δ I +1)
δ F (β+δ I ) − cδ F (β+δ I ) −(η+δ A )±( δ F (β+δ I ) + cδ F (β+δ I ) −(η+δ A ))
A= ξβr η
2 cδ (β+δ )
F I
Therefore,
(ξβr η − δ F (η + δ A )(β + δ I )) 1
Ā = c =c 1− (8)
ξβr η R
where R = δ F (η+δξβr η
A )(β+δ I )
. Thus, P1 = ( Ā, r η Ā+i(1−β)
β+δ I
, (η+δ A )C Ā
ξ(C− Ā)
, (1−rδ)ηMĀ+m , 0)
From (8), we can clearly see if and only if R > 1 and for R < 1 P1 is biologically
feasible and there will be only trivial equilibrium P0
3.2.2 Stability Analysis
In this section, we will analyse stability conditions of P0 and P1 . From the Jaco-
bian for the trivial equilibrium P0 , the characteristic equation for trivial equilibrium
P0 (0, 0, 0, 0, 0) is given by
ξF
(−δ M − λ)[(−δ F − λ)[(−β − δ I − λ)(− − (η + δ A ) − λ)]] − βr ηξ(1 −
C
A/C) = 0. Linear analysis reveals that one eigen value is −δ M and other eigen
values are the zeroes of the polynomial.
ξF ξF
λ3 + λ2 [δ F + β + δ I + + η + δ A ] + λ[βδ F + δ F δ I + δ F + δ F (η + δ A ) +
C C
ξF ξF ξF
β + η + δ A + δI + δ I (η + δ A )] + βδ F + βδ F (η + δ A ) + δ F δ I (η + δ A )
C C C
ξF A
+ δF δI − βr ηξ(1 − ) = 0
C C
λ + (η + δ A + β + δ I + δ F )λ2 + [(η + δ A )(β + δ I ) + δ F (η + δ A ) + β + δ I ]λ +
3
βr ηξ ∗ (η + δ A )(β + δ I )δ F
δ F (η + δ A )(β + δ I ) − =0
(η + δ A )(β + δ I )δ F
λ3 + (η + δ A + β + δ I + δ F )λ2 + [(η + δ A )(β + δ I ) + δ F (η + δ A ) + β + δ I ]λ +
δ F (η + δ A (β + δ I )(1 − R)) = 0
If R < 1 then product of roots is positive. By Descartes Rule, we can see that condi-
tions for stability of this polynomial are satisfied if and only if R < 1, we can clearly
say that if R < 1, P0 is stable and if R > 1 then it becomes unstable.
For analyzing the stability of model at P1 . On considering Jacobian for the non-
trivial equilibrium P1 , the characteristic equation for non-trivial equilibrium P1 is as
follows:
ξF
(−δ M − λ)[(−δ F − λ)[(β − δ I − λ)( − (η + δ A ) − λ)]] − βr ηξ(1 − A/C) −
C
ξF
(1 − r )η(−δ F − λ)[(β − δ I − λ)( − (η + δ A ) − λ)]
C
It shows that one eigen value is −δ M and the other eigen values are zeroes of the
polynomial.
ξF ξF
λ3 + λ2 [(η + δ A ) + δ F + + δ I + β] + λ[δ F (η + δ A ) + δ F + δ I (η + δ A ) +
C C
ξF ξF ξF
δI + δ I δ F + β(η + δ A ) + β + βδ F ] + δ F (β + δ I )( + (η + δ A ) + βr ηξ
C C C
A
(1 − )) = 0
C
ξF ξF
λ + λ2 [(η + δ A ) + δ F +
3
+ δ I + β] + λ[δ F (η + δ A ) + δ F + δ I (η + δ A ) +
C C
ξF ξF ξF
δI + δ I δ F + β(η + δ A ) + β + βδ F ] + δ F (β + δ I )( + (η + δ A ) −
C C C
βr ηξ
)=0
R
λ3 + [(η + δ A + β + δ I + δ F )]λ2 + [(η + δ A )(β + δ I ) + δ F (η + δ A + β + δ I )
βr ηξ(η + δ A )(β + δ I )δ F
λ + δ F (η + δ A (β + δ I )R − =0
ξr ηβ
λ3 + [(η + δ A + β + δ I + δ F )]λ2 + [(η + δ A )(β + δ I ) + δ F (η + δ A + β + δ I )λ +
δ F (η + δ A (β + δ I )(R − 1) = 0
Here P1 is stable equilibrium iff R > 1. Parameter R is biologically defined. As
1
(η+δ A )
is the mean moment of existence of the immature stage of insects at time t, η1
→ mean time of permanence, r is the proportion of infantile forms that becomes
women then, r η(η + δ A )−1 is a chance that the egg will succeed in becoming a
woman insect. In this case, β(β + δ I )−1 is the probability of fertilizing a woman and
ξ
δF
is average amount of eggs produced by each fertilized woman. Therefore, product
of these amounts denoted by R, is therefore the average amount of secondary woman
insect generated by a single woman insect. We can see that there is no impact on
sterile insects due to immigration and that the condition R > 1 is essential to keep
natural insects in nature.
3.2.3 When (M S = 0 and i = m = 0)
Equilibrium points under the discharge of futile male(without Immigration) when

M S = 0.
In this section, we will find the equilibrium points of the model under the discharge
of futile male and without immigration.
MS
M S = τ M S (1 − ) − δT M S (9)
K
Taking condition (9) with all the four condition taken in first case:
From (3), we get, β M I = δ F F(M + M S ) and from (4), M = (1−r δM
)η A
, also from
(1−r )η A (τ −δT )K
(9), we get, M + M S = δ M + τ
. Putting value of M + M S in (11), we get,
r η A( (1−r )η A
+ δτ )
I = δM T
(τ −δT )K
(δ I +β)M+(δ I +βT ) τ
δ F (η+δ A )C A
From Eq. 10, we get, F = ξ(C−A)
Now, β(1−r δM
)η A
r η A( (1−r )η A
δM
+ (τ −δT )K
τ
) 1
(τ −δ )K = δ F (η+δ A )C A
ξ(C−A)
∗ ( (1−r
δM
)η A
(δ I +β)M+(δ I +βT ) τT
(τ −δT )K
+ τ
)
βr η A2
δ F (η+δ A (δ I +β))
− (1 − δ F (η+δβrAξ)(β+δ
η
I)
)A − (βT(1−r +δ I )(τ −δT )K δ M
)ητβ+δ I )
a A2 + b A + c = 0 (10)
βr η
where a = b = (1 − δ F (η+δβrAξ)(β+δ
δ F (η+δ A (δ I +β))
, η
I)
), c = (βT(1−r
+δT )(τ −δT )K δ M
)ητβ+δ I )
, As R =
ξr ηβ (β T + δ I )δ M (τ − δ T )K
(δ A +η A )(β+δ I )δ F
, and M S = = M S∗
(β + δ I )(1 − r )ηCτ
Therefore, (10) can be written as
R
P(A) = ∗ A2 − (R − 1)A + C M S = 0 (11)
C
and the conditions for biological existence of the non-trivial equilibria becomes
R > 1,
(R − 1)2 − 4R
C
∗ C MS
(R − 1)2
MS ≤ = M S0 (12)
4R
Observations
However, the situation (12) provides the upper limit of M S , the amount of sterile men
to be discharged into the scheme, it is observed from the situation (11) that whenever
the value of M S increases, A decreases and this depends on the wild male population
parameters. Biologically, it implies that using futile males below this limit value
reduces both the larval population and the adult pest population, which improves the
plant biomass. But if we cross this specific value, the fading equilibrium will appear
and stabilize.
3.2.4 Equilibrium Points Under Immigration
In this section, we evaluate the equilibrium points of the model under immigration.
From (5), we get, M S = (τ −δτT )K , from Eq. (2), we get,
I = r η A(M+Mβ(M+m)+β
S +m)+i((M+M S +m)+β(M+m)−βT M S )
T M S +δ I (M+M S +m)
From (3) and (4), we get F = (η+δ A )C∗A
ξ(C−A)
and M = (1−rδ)ηMA+m
Putting this value of I and F in Eq. (3), we get β(M + m)(I + i) = δ F F(M + M S +
m)
β(M + m)(r η A(M + M S + m)) + i((M + M S + m) − β(M + m) − βT M S ) +
i(β(M + m) + βT M S + δ I (M + M S + m)) = δ F ∗ F ∗ (M + M S + m) ∗ (β(M +
m) + βT M S + δ I (M + M S + m))
⇒ β(M + m)ξ(C − A)(r η A + i(δ I + 1)) = δ F (η + δ A )C A((β + δ I )M + (βT +
δ I )M S + (β + δ I )m)
Putting the value of M in left-hand side, we get
β(M + m)ξ(C − A)(r η A + i(δ I + 1)) = β( (1−rδ)ηMA+m + m)ξ(C − A)(r η A + i(δ I
+ 1))
⇒ A3 ( β(1−r )η2 ξr
mδ M
) + A2 ( β(1−r )η2 ξrC
mδ M
− β(1−rmδ)ηξ(δ I +1)
M
) + A( β(1−r )ηξδ MCi(δ I +1) +
βm(δ M +1)ξ Cr η
δM
) + βm(δ M +1)ξ
δM
Ci(δ I +1)
Now, considering right-hand side, we get

δ F (η + δ A )C A((β + δ I )M + (βT + δ I )M S + (β + δ I )m)
β(1 − r )η2 ξr A2 β(1 − r )η2 ξrC
= −A3 (( )+( )(( +
δ M δ F (η + δ A )C Cδ F (η + δ A δM
β(1 − r )ηξ i(δ I + 1) (β + δ I )(1 − r )η (β + δ I )(1 − r )η
)− )−( )) +
δM δM δM
β(1 − r )ηξ Ci(δ I + 1) βm(δ M + 1)ξ Cr η 1 (β + δ I )m
A( + ∗ − +
δM δM Cδ F (η + δ A ) δM
βm (δ M + 1)ξ Ci(δ I + 1) 1
(βT + δ I )M S + (β + δ I )m) + ∗
δM Cδ F (η + δ A )
−η 2 ηR i(δ I + 1)R η Ri(δ I + 1) m(δ M + 1)R
− ∗R+A ( − − ) + A( − −
δM δM rCδ M δM rη (1 − r )η
mδ M 1 βT + δ I βm (δ M + 1)ξ Ci(δ I + 1) 1
( + 1) − ∗ MS ) + ∗
(1 − r )η δ M (1 − r )η δM Cδ F (η + δ A )
Thus, on combining left-hand side and right-hand side, we get −A3 + S1 A2 + S2 A +

S3 = 0
where S1 = ( ηδ MR − i(δrCδ
I +1)R
M
− δηM ),S2 = ( Ri(δr Iη+1) − m(δ M +1)R
(1−r )η
− (1−r
mδ M
( 1 + 1) −
)η δ M
βT +δ I
(1−r )η
∗ MS )
βm (δ M +1)ξ Ci(δ I +1)
S3 = δM
∗ Cδ F (η+δ
1
A)
Using Descartes Rule, we get S2 < 0
β(1 − r )η2 i(δ I + 1)ξ C β(1 − r )ηi(δ I + 1)ξ C (β + δ I ) + m
−( + − −
δM δM δM
(βT + δ I )M S − (β + δ I )m) < 0
⇒ M S > (βT +δ1
I)
( −β(1−r )η i(δ I +1)ξ C+β(1−r )ηi(δ I +1)ξ C−m(mu M +1)r ηξ C+M(δ M +1)i(δ I +1)ξ −(β+δ I )m
2
δM
− (β + δ I )
m) = M S1
M S1 = M S ∗ + (δ M +1)(δ I +1)rηδηξI C(1−r )(β+δ I ) If we take M S > M S1 , then S2 becomes pos-
itive.
3.2.5 Local Stability of P3
Now, to examine the local natue of equilibrium points, we compute the variational
matrix, which leads to the following characteristic equation: λ4 + p1 λ3 + p2 λ2 +
p3 λ + p4
ξF β(M + m) + βT M S
where, p1 = + δI + + δF δM
C M + MS + m
ξF β(M + m) + βT M S ξF
p2 = δ F ( + (η + δ A ) + δ I + )+( + η + δ A) ∗ δI +
C M + MS + m C
β(M + m) + βT M S ξF β(M + m) + βT M S
+ δM ( + η + δ A + δI + ) + δF δM
M + MS + m C M + MS + m
ξF β(M + m) + βT M S ξF
p3 = δ F (( + η + δ A )(δ I + ) + δ F δ M (( + η + δ A) + δI
C M + MS + m C
β(M + m) + βT M S ξF β(M + m) + βT M S
+ ) + δ M (( + η + δ A) ∗ δI + ) − δM
M + MS + m C M + MS + m
β M S (I + i) A β(M + m)r ηξ A
(1 − r )η ξ(1 − ) + ξ(1 − )
(M + M S + m) 2 C M + M S + m) C
ξF β(M + m) + βT M S
p4 = δ M δ F ( + (η + δ A ))(δ I + )+
C M + MS + m
β(M + m)r η ∗ ξ(1 − C ) A
β(M + m) A
δM ( ) − (1 − r )η( (ξ(1 − )
M + MS + m M + MS + m C
βT − β)M S (I + i) β M S (I + i) A
( − (1 − r )η ξ(1 − )(δ I +
M + M S + m)2 (M + M S + m)2 C
β(M + m) + βT M S
)
M + MS + m
By Routh–Hurwitz criterion for local stability, we can say that the model is locally
stable if pi > 0, i = 1, 2, 3, 4, taking one positive and negative coefficients and com-
paring, we get the following:

ξF β(M+m)+βT M S δ (1−r )ηβξ M S (I +i)∗ξ(1− CA )
δM C
+ η + δ A δI + M+M S +m
> M (M+M S +m)2
δ M (1−r )ηβ M S (I +i)∗ξ(1− CA ) β(M+m)r η∗ξ(1− CA )
((M+M S +m)2 )
< M+M S +m
β(M + m)2 r η
(δ M (1 − r )ηβ(I + i) = β(M + m)r η)M S ∗ β(M + m)2 r η, M S <
δ M (1 − r )ηβ(I + i) − β(M + m)r η
Now for P4 ,
On solving,
ξF β(M + m) + βT M S (1 − r )ηβ M S (I + i) A β(M + m) + βT M S

δM δF ( + (η + δ A ))(δ I + )> ξ(1 − (δ I + )
C M + MS + m (M + M S + m)2 C M + MS + m

(1 − r )ηβ(I + i) + 2δ M δ F ( ξCF + η + δ A )(M + m) ± (1 − r )ηβ(I + i) + 2δ M δ F ( ξCF + η + δ A )(M + m) − ηδ M δ F ( ξCF + η + δ A )(C)
MS =
2 ∗ δ M δ F ( ξCF + η + δ A )
and
β(M + m)r ηξ(1 − A/C) β(M + m) (βT − β)M S (I + i)
δM ( ) > (1 − r )η ∗ ξ(1 − A/C)(
M + MS + m M + MS + m (M + M S + m)2

−2Mδ M + mδ M + (1 − r )η(βT − β)(I + i) ± (δ M (−2M + m) + (1 − r )η(βT − β)(I + i))2 − 4(δ M )(M 2 + m 2 )δ M + 2Mmδ M
MS =
2δ M
M S = Max(P, Q), where

(1 − r )ηβ(I + i) + 2δ M δ F ( ξCF + η + δ A )(M + m) ± (1 − r )ηβ(I + i) + 2δ M δ F ( ξCF + η + δ A )(M + m) − ηδ M δ F ( ξCF + η + δ A )(C)
P=
2 ∗ δ M δ F ( ξCF + η + δ A )
and

−2Mδ M + mδ M + (1 − r )η(βT − β)(I + i) ± (−2Mδ M + mδ M + (1 − r )η(βT − β)(I + i))2 − 4(δ M )(M 2 + m 2 )δ M + 2Mmδ M
Q=
2δ M
Observations
The relationship of sterile insect technique with immigration is very important. We
get two threshold values of released sterile males and will find the maximum of both
values, depends on the rate of immigration i and m, so that the internal equilibrium
remains stable and positive. It may be observed that M S1 is higher than M S ∗ which,
in the event of non-immigration, was the limit value for pest control. Therefore,
more sterile males must be published to maintain the density of the pest population
below a desirable level when pest migration occurs. Male migration may dimin-
ish the control measure’s efficiency, but there is little impact on female migration.
It may be observed that when migration is not present, it is not feasible to eradicate
pest through sterile males, but it is feasible to keep the density of pest below some
required level.
4 Conclusion
In this paper, we considered the stage-structured model of pest population comprising

of larvae, female(before mating and mating fertilized females), and male individuals
under immigration. We have proposed three cases of the SIT model, in first case
we have not considered discharge of futile males and immigration, in this case if
R > 1, P1 is stable else unstable and in second case release of sterile male has been
considered but immigration has not been taken into the account, in this case we have
found the thresholds of the system. It implies that whenever the value of M S increases,
A decreases and this is determined by parameters of the wild male population, but
when we reach that specific value, the equilibrium appears to be disappearing and
stable. In the third case, both release of sterile male and immigration has been taken
into the account, in this case M S1 is greater than M S ∗ which was the threshold value for
control of pest population in case of without immigration. So larger amount of sterile
male has to be discharged to have the pest density under some required level, when
migration of pest is active. To make the comparison for sterile population M S , we
have taken the equilibrium without immigration and with immigration which shows
the clear effect of sterile insects under immigration. The function of immigrants in a
population is not only crucial for the SIT, but also to assess whether local attempts
to control larvae with environmental management insecticides could have an effect
on adult population or whether immigration is likely to swamp them.
References
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density regulated population. J. Popul. Biol. 13, 40–71 (1978)
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by the sterile insect technique. Math. Biosc. 198, 132–147 (2005)
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Strict Practical Stability of Impulsive
Differential System in Terms of Two
Measures
Pallvi Mahajan, Sanjay Kumar Srivastava and Rakesh Dogra
Abstract In this paper, an impulsive differential system is investigated to obtain

sufficient conditions for strict practical stability. The investigations are carried out
by perturbing Lyapunov function and by using the comparison principle. The stability
properties are investigated in terms of two measures. Our results demonstrate that
impulses do contribute to the system’s stability behaviour. An example is given to
compliment on results.
Keywords Impulsive differential system · Strict practical stability · Perturbed

Lyapunov functions · Two measures
AMS Subject Classification: 34D20
1 Introduction
Stability is one of the most important feature in the qualitative theory of differen-
tial equations. In dealing with real- world problems, it is, however, possible that the
system may be theoretically stable, but actually it is unstable, because the domain
of attraction is very small. Practical stability is an appropriate way to overcome
this problem by stabilizing the system into certain subsets of phase space. The con-
cept of practical stability is introduced by Lakshmikantham et al. [1]. Since then,
it has been investigated for various types of differential systems and is extensively
studied by many researchers [2–5]. Strict practical stability is the refinement of
practical stability and strict stability [6, 7], as it estimates the behaviour of a sys-
tem within specified bounds, which is first presented by V. Lakshmikantham and Y.
Zhang [8] for a non-impulsive differential system with delay. Shurong Sun et al. [9]
P. Mahajan
Inder Kumar Gujral-Punjab Technical University, Kapurthala 144601, Punjab, India
P. Mahajan (B) · S. K. Srivastava · R. Dogra
Beant College of Engineering and Technology, Gurdaspur 143521, Punjab, India
e-mail: pallavimahajan1@yahoo.com

https://doi.org/10.1007/978-981-15-1157-8_8
88 P. Mahajan et al.
investigated strict practical stability for a discrete hybrid system. Later on, Senlin Li
et al. [10] generalized the same stability for an impulsive differential system. The
approach of obtaining stability relative to two measures of stability h and h 0 , namely,
h-positive definiteness and h-decrescentness; has been proved very powerful which
unify a variety of stability concepts and offers a more general framework for the
investigation of the stability theory rather than using standard norm [11, 12]. In this
paper, we investigated sufficient criteria to obtain the strict practical stability for an
impulsive differential system in terms of two measures.
In order to investigate the stability properties of nonlinear differential systems,
Lyapunov method is the most widely recognized tool to derive these properties.
Instead of employing a single Lyapunov function to obtain the desired proper-
ties of stability, which has to satisfy rigid conditions, it becomes more advanta-
geous to use families of Lyapunov function by perturbing it, which is first given by
V. Lakshmikantham and Leela [13]. Many researchers adopted this technique of per-
turbing the Lyapunov function to investigate the stability of impulsive differential
systems under weaker conditions [14–16].
In this contribution, we consider the (h 0 , h)- strict practical stability of an impul-
sive differential system. We establish sufficient conditions for the desired stability
by using the concept of two measures by employing two Lyapunov-like functions
and also use the comparison method. Our results prove that the system’s stability
behaviour significantly depends upon impulses. We illustrate the derived result with
an example.
2 Preliminaries
Let R n denotes the n-dimensional Euclidean space and let R+ = [0, ∞),
Consider the following impulsive differential system:

x = f (t, x), t = tk
(1)
x = Ik (x), t = tk , k = 1, 2, 3 . . .
Let the following assumptions hold for system (1):

(A1) 0 < t1 < t2 < . . . tk < tk+1 . . . , tk → ∞ as k → ∞;
(A2) f ∈ PC[R+ × R n , R n ] is piecewise continuous in (tk−1 , tk ] × R n for x ∈ R n ,
lim(t,y)→(tk+ ,x) f (t, y) = f (tk+ , x) exists;
(A3) Ik : R n → R n .
Let x(t) = x(t; t0 , x0 ) be any solution of system (1) through (t0 , x0 ).
Denote S(ρ) = {x ∈ R n : x < ρ}.
Let us define the following classes of functions:
K = {ω ∈ C[R+ , R+ ] : ω is strictly increasing and ω(0) = 0}

Strict Practical Stability of Impulsive Differential System … 89

= h ∈ C[R+ × R n , R+ ], inf h(t, x) = 0
Now, we shall define the following class of Lyapunov function, which will be used
to investigate the strict practical stability of impulsive differential system (1):
Definition 1 [17]. Let V : R+ × R n → R+ . Then V belongs to the class V0 , which
satisfies the following conditions:
(a) V is continuous in (tk−1 , tk ] × R n and for all x ∈ R n and k ∈ N ,
lim(t,y)→(tk+ ,x) V (t, y) = V (tk+ , x) exists;
(b) V is locally Lipschitzian with respect to x.
For V ∈ V0 and (t, x) ∈ (tk−1 , tk ] × R n , define the generalized derivatives of system
(1) as follows:
1
D + V (t, x) = lim+ sup {V (t + h, x + h f (t, x) − V (t, x)}
h→0 h
and
1
D− V (t, x) = lim− in f {V (t + h, x + h f (t, x) − V (t, x)} .
h→0 h
Definition 2 [17] Let h 0 , h ∈ , then V (t, x) is said to be

(a) h-positive definite, if there exists a ρ > 0 and a function β ∈ K , such that
h(t, x) < ρ implies β(h(t, x)) ≤ V (t, x);
(b) h 0 -decrescent, if there exists a ρ > 0 and a function α ∈ K , such that
h 0 (t, x) < ρ implies V (t, x)) ≤ α(h 0 (t, x));
(d) S(h, ρ) = {(t, x) ∈ R+ × R n , h(t, x) < ρ} .
Definition 3 [9] Let h, h 0 ∈ , then the solution x(t) = x(t; t0 , x0 ) of the system (1)
is said to be
(S1) (h 0 , h)-practically stable, if for given 0 < λ < A, we have h(t, x(t)) < A
whenever h 0 (t0 , x0 ) < λ for some t0 ∈ R+ ;
(S2) (h 0 , h)-uniformly practically stable, if (S1) holds for all t0 ∈ R+ ;
(S3) (h 0 , h)-strictly practically stable, if (S1) holds and for every μ ≤ λ, there
exists B < μ such that h(t, x(t)) > B whenever h 0 (t0 , x0 ) > μ for t ≥ t0 ;
(S4) (h 0 , h)-strictly uniformly practically stable, if (S3) holds for all t0 ∈ R+ ;
In the following section, we will present two comparison principles which will be
very helpful in our further investigations.
Lemma 1 [10] Let V : PC[R+ × R n → R+ ] and V (t, x) is locally Lipschitzian

in x.
Assume that

D+ V (t, x) ≤ g1 (t, V (t, x)), t = tk
+ (2)
V (tk , x(tk ) + Ik (x(tk ))) ≤ ψk (V (tk , x(tk ))), t = tk , k = 1, 2, 3 . . .
where g1 ∈ R+ × R+ → R which satisfies (A2) and ψk : R+ → R+ is non-

decreasing.
Let r1 (t) = r1 (t; t0 , u 0 ) be the maximal solution of the following comparison
system of (1): ⎧
⎪
⎨ u = g1 (t, u), t = tk ,
+
u(tk ) = ψk (u(tk )), (3)
⎪
⎩
u(t0 ) = u 0 ≥ 0, k = 1, 2, 3 . . .
existing for t ≥ t0 . Then, V (t0 , x0 ) ≤ u 0 implies that V (t, x(t)) ≤ r1 (t, t0 , u 0 ) for
t ≥ t0 ., where x(t) = x(t; t0 , x0 ) is any solution of (1) existing for t ≥ t0 .
Lemma 2 [10] Let V : PC[R+ × R n → R+ ] and V (t, x) is locally Lipschitzian

in x.
Assume that

D− V (t, x) ≥ g2 (t, V (t, x)), t = tk ,
+ (4)
V (tk , x(tk ) + Ik (x(tk ))) ≥ φk (V (tk , x(tk ))), t = tk , k = 1, 2, 3 . . .
where g2 ∈ R+ × R+ → R and φk : R+ → R+ is non-decreasing.

Let r2 (t) = r2 (t; t0 , v0 ) be the minimal solution of the following comparison sys-
tem of (1): ⎧
⎪
⎨ v = g2 (t, v), t = tk ,
v(tk+ ) = φk (v(tk )), (5)
⎪
⎩
v(t0 ) = v0 ≥ 0, k = 1, 2, 3 . . .
existing for t ≥ t0 . Then V (t0 , x0 ) ≥ v0 implies that V (t, x(t)) ≥ r2 (t; t0 , v0 ),

t ≥ t0 ., where x(t) = x(t, t0 , x0 ) is any solution of (1) existing for t ≥ t0 .
3 Main Section
In this section, we will obtain sufficient conditions for the strict practical stability of
impulsive differential system (1) in terms of two measures. We will obtain the desired
results by applying the method of perturbed Lyapunov function and comparison
results.
Theorem 3.1 Assume that the following conditions are fulfilled.

(i) Let 0 < λ < A < ρ and h, h 0 ∈ ;
(ii) Let V1 ∈ PC[R+ × S(h, ρ), R+ ], V1 (t, x) ∈ V0 , such that a1 (λ) ≤ b1 (A) for
some t0 ∈ R+ , where a1 , b1 ∈ K , which satisfies
b1 (h(t, x)) ≤ V1 (t, x) ≤ a1 (h 0 (t, x)) (6)

and

D+ V1 (t, x) ≤ 0, t = tk ,
(7)
V1 (tk+ , x(tk ) + Ik (x(tk ))) ≤ V1 (tk , x(tk ))), t = tk , k = 1, 2, 3 . . .
(iii) Let, there exist a V2 ∈ PC[R+ × S(h, ρ), R+ ], V2 (t, x) ∈ V0 , such that
b2 (h 0 (t, x)) ≤ V2 (t, x) ≤ a2 (h(t, x)) (8)
where a2 , b2 ∈ K , and

D− V2 (t, x) ≥ 0, t = tk ,
(9)
V2 (tk+ , x(tk ) + Ik (x(tk ))) ≥ V2 (tk , x(tk ))), k = 1, 2, 3 . . .
Then the zero solution of system (1) is (h 0 , h)-strictly practically stable.
Proof For given 0 < λ < A < ρ, in order to prove the required stability, firstly we
claim that h(t, x(t)) < A whenever h 0 (t0 , x0 ) < λ for some t0 ∈ R+ . If, it is not true,
then there exists a solution x(t) = x(t, t0 , x0 ) of system (1) satisfying h 0 (t0 , x0 ) <
λ and a t ∗ > t0 , such that tk < t ∗ ≤ tk+1 for some k satisfying h(t, x(t)) < A for
t0 ≤ t ≤ tk and h(t ∗ , x(t ∗ )) ≥ A.
By using (7), V1 (t, x(t)) is a decreasing function.
Hence, we get
b1 (A) ≤ b1 (h(t ∗ , x(t ∗ ))) ≤ V1 (t ∗ , x(t ∗ )) ≤ V1 (t0 , x(t0 )) ≤ a1 (h 0 (t0 , x(t0 )) < a1 (λ)
which contradicts condition (ii) of this Theorem.

Hence, h(t, x(t)) < A whenever h 0 (t0 , x0 ) < λ for some t0 ∈ R+ holds.
On the other hand, for any 0 < μ < λ, choose B < μ, such that a2 (B) ≤ b2 (μ).
Now, we claim that h(t, x(t)) > B whenever h 0 (t0 , x0 ) > μ for some t ≥ t0 holds.
If, it is not true, then there exists a solution x(t) = x(t; t0 , x0 ) of system (1) satisfying
μ < h 0 (t0 , x0 ) < λ and a t ∗∗ > t0 , such that tk < t ∗∗ ≤ tk+1 for some k, satisfying
h(t, x(t)) > B for t0 ≤ t ≤ tk and h(t ∗∗ , x(t ∗∗ )) ≤ B.
Again, by using (9), we have V2 (t, x(t)) is a non- decreasing function.
Consider
a2 (B) = a2 (h(t ∗∗ , x(t ∗∗ ))) ≥ V2 (t ∗∗ , x(t ∗∗ )) ≥ V2 (t0 , x(t0 )) > b2 (h 0 (t0 , x(t0 )) > b2 (μ)
which is a contradiction.
Hence, h(t, x(t)) > B whenever h 0 (t0 , x0 ) > μ for some t ≥ t0 holds.
Therefore, system (1) is (h 0 , h)-strictly practically stable.
In the next Theorem, we shall prove the same result by using the comparison
method.
Theorem 3.2 Assume that the following conditions are fulfilled.

(i) Let 0 < λ < A < ρ and h, h 0 ∈ ;
(ii) Let V1 ∈ PC[R+ × S(ρ), R+ ], V1 (t, x) ∈ V0 , such that
b1 (h(t, x)) ≤ V1 (t, x) ≤ a1 (h 0 (t, x)), a1 , b1 ∈ K , (10)
and

D+ V1 (t, x) ≤ g1 (t, V1 (t, x)), t = tk ,
V1 (tk+ , x(tk )
+ Ik (x(tk ))) ≤ ψk (V1 (tk , x(tk ))), t = tk , k = 1, 2, 3 . . .
(11)
where g1 : R+ × R+ → R, g1 (t, x) satisfies (A2) and ψk ∈ R+ → R+ is non-
decreasing.
(iii) Let there exists a V2 ∈ PC[R+ × S(ρ), R+ ], V2 (t, x) ∈ V0 , such that
b2 (h 0 (t, x)) ≤ V2 (t, x) ≤ a2 (h(t, x)) (12)
where a2 , b2 ∈ K and

D− V2 (t, x) ≥ g2 (t, V2 (t, x)), t = tk ,
(13)
V2 (tk+ , x(tk ) + Ik (x(tk ))) ≥ φk (V2 (tk , x(tk ))), k = 1, 2, 3 . . .
where where g2 : R+ × R+ → R, g2 (t, x) satisfies (A2) and φk ∈ R+ → R+

is non-decreasing.
(iv) The zero solution of comparison system (3) is practically stable with respect to
(λ, A) and for every μ ≤ λ, there exists B < μ, such that for the comparison
system (5), v0 > μ implies v(t) > B, t ≥ t0 , where v(t) = v(t; t0 , v0 ) is any
solution of (5).
Then the zero solution of system (1) is (h 0 , h)-strictly practically stable.
Proof Since the zero solution of (3) is practically stable.
Hence, for 0 < λ < A < ρ, we have
a1 (λ) < b1 (A) and u(t) < b1 (A), t ≥ t0 for u 0 < a1 (λ) (14)
We claim that h(t, x(t)) < A whenever h 0 (t0 , x0 ) < λ for some t0 ∈ R+ . If, it
is not true, then there exists a solution x(t) = x(t, t0 , x0 ) of system (1) satisfy-
ing h 0 (t0 , x0 ) < λ and a t > t0 , such that tk < t ≤ tk+1 for some k, satisfying
h(t, x(t)) < A for t0 ≤ t ≤ tk and h(t , x(t )) ≥ A. Choose u 0 = V1 (t0 , x0 ), then
by using (11) and Lemma 1, we get
V1 (t, x) ≤ r1 (t; t0 , u 0 ), t0 ≤ t ≤ t . (15)
where r1 (t; t0 , u 0 ) is the maximal solution of comparison system (3).

Now, by using Eq. (10), we have V1 (t0 , x0 ) ≤ a1 (h 0 (t0 , x0 )) < a1 (λ).

Also, by using Eqs. (10), (14), and (15), we get
b1 (A) = b1 (h(t , x(t ))) ≤ V1 (t , x(t )) ≤ r1 (t; t0 , u 0 ) < b1 (A)
which is a contradiction, hence h(t, x(t)) < A whenever h 0 (t0 , x0 ) < λ for some
t0 ∈ R+ holds.
On the other hand, for every μ ≤ λ, there exists B < μ, such that
v0 > b2 (μ) implies v(t) > a2 (B), t ≥ t0 . (16)
Now, we claim that h(t, x(t)) > B whenever h 0 (t0 , x0 ) > μ for some t ≥ t0 holds. If,
it is not true, then there exists a solution x(t) = x(t, t0 , x0 ) of system (1), satisfying
μ < h 0 (t0 , x0 ) < λ and a t > t0 , such that tk < t ≤ tk+1 for some k, satisfying
A > h(t, x(t)) > B for t0 ≤ t ≤ tk and h(t , x(t )) ≤ B.
Now, by using Lemma 2 and Eq. (13), we have
V2 (t, x) ≥ τ (t; t0 , v0 ), t0 ≤ t ≤ t . (17)
where τ (t; t0 , v0 ) is the minimal solution of comparison system (5).

By using Eq. (12), we have
V2 (t0 , x0 ) ≥ b2 (h 0 (t0 , x0 )) > b2 (μ) (18)
Consider, a2 (B) > a2 (h(t , x(t )) ≥ V2 (t , x(t )) ≥ τ (t; t0 , v0 ) ≥ a2 (B).

Again, we get a contradiction. Hence, h(t, x(t)) > B whenever h 0 (t0 , x0 ) > μ
for some t ≥ t0 holds. Therefore, the zero solution of system (1) is (h 0 , h)- strictly
practically stable.
In this section, we will present an example to support the proved results.
Example Consider, the following impulsive differential system which represents the
logistic growth model of single-species populations:
⎧
⎪
⎨ y = r y(1 − y), t = tk ;
y= Ik (y), t = tk , k = 1, 2, 3 . . . , (19)
⎪
⎩
y(t0 ) = y0 > 0, t0 ≥ 0.
where r > 0 is an intrinsic birth rate constant.

Set x = y − 1 to consider the strict practical stability of the equilibrium point
y = 1 of system (19) by following system:
⎧
⎪
⎨ x = −r x(x + 1), t = tk ;
x = Ik (x), t = tk , k = 1, 2, 3 . . . , (20)
⎪
⎩
x(t0 ) = x0 > 0, t0 ≥ 0.
Proof Let ρ = 1 and choose 0 < λ < A < min {ρ, 2λ}.
Let h(t, x) = x and h 0 (t, x) = x.
Define V1 (x) = 21 x 2 , a1 (x) = x 2 and b1 (x) = 14 x 2 .
Then, b1 (h(t, x)) ≤ V1 (t, x) ≤ a1 (h 0 (t, x)) is satisfied and D+ V1 (t, x) = −r x 2
(x + 1) ≤ 0.
Next, Define V2 (x) = e−x , a2 (x) = 2e−x and b2 (x) = xe−x .
2 2 2
Clearly, b2 (h 0 (t, x)) ≤ V2 (t, x) ≤ a2 (h(t, x)) is satisfied and D+ V2 (t, x) = 2r x 2

(1 + x)e−x ≥ 0.
2
Also, at t = tk , if Ik (x)(2x + Ik (x)) ≤ 0, then V1 (x + Ik (x)) ≤ V1 (x) and

V2 (x + Ik (x)) ≥ V1 (x).
Hence, all the conditions of Theorem 3.2 are satisfied.
Therefore, the zero solution of (20) and then, y ≡ 1 of (19) is strictly practically
stable.
4 Conclusion
In this paper, we investigated the strict practical stability criteria for an impulsive
differential system in terms of two measures. We obtained the sufficient conditions of
the said stability by means of two measures h and h 0 , namely, h-positive definiteness
and h-decrescentness, which was earlier investigated by Senlin Li et al. [10] by
using usual norms. We have employed the perturbed Lyapunov functions to obtain
the desired results. We, first proved the results analogous to Lyapunov’s original
theorems and then discussed the same employing comparison principle. An example
is also given to support the proved results.
Acknowledgements One of us (PM) would like to thank IKGPTU for providing the online library
facility.
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Free Vibration Analysis of Rigidly Fixed
Axisymmetric Viscothermoelastic
Cylinder
Himani Mittal and D. K. Sharma
Abstract This paper represents the analysis of free vibrations of rigidly fixed, func-
tionally graded generalized viscothermoelastic axisymmetric hollow cylinder which
is considered undeformed at uniform temperature. The material of the cylinder is
considered to be functionally graded according to the simple exponent law. The
governing partial differential equations of motion and heat conduction have been
transformed into ordinary differential equations due to time-harmonic analysis. The
matrix Frobenius method of the series solution has been implemented to ordinary
differential equations analytically to represent the solutions of displacement and
temperature. The regular fixed boundary conditions are further solved by the use of
numerical method of iteration technique with the help of MATLAB software tools.
For numerical computations, we take polymethyl methacrylate material to repre-
sent natural frequencies, thermoelastic damping, frequency shift, temperature change
and displacement. The behavior of frequencies, thermoelastic damping, temperature
change and variation of displacement have been monitored (increase or decrease)
with grading index (i.e. inhomogenous parameter).
Keywords Viscothermoelasticity · Rigidly fixed vibrations · Functionally graded

material · Series solution · Exponent law
1 Introduction
The non-homogenous material consists of two or more different materials with chang-
ing composition across the material referred to as functionally graded materials
(FGM). The theory of viscoelasticity was well established by Bland [1]. Various
problems on viscothermoelastic models was utilized in vibrating solids by Biot [2],
H. Mittal · D. K. Sharma (B)

Department of Mathematics, School of Basic and Applied Sciences,
Maharaja Agrasen University, Atal Shiksha Kunj, Baddi,
Solan 174103, HP, India
e-mail: dksharma200513@gmail.com

https://doi.org/10.1007/978-981-15-1157-8_9
98 H. Mittal and D. K. Sharma
Hunter [3] and Flugge [4] to manage energy dissipation and it was observed that
energy and dispersion reduces due to the produced internal friction. Heat conduction
effect on Rayleigh waves for the semi-infinite elastic solid under thermal boundary
conditions was introduced by Chadwick and Windle [5]. Dhaliwal and Singh [6] have
described some problems in the classical and non-classical theories of thermoelas-
ticity. Sharma [7] represented the three-dimensional transversely isotropic thermoe-
lastic problem based on cylindrical panel in the context of coupled thermoelasticity.
Keles and Tutuncu [8] studied the effect of grading index on free and forced vibra-
tions of transversely isotropic elastic hollow cylinders and disks. Sharma et al. [9]
analyzed the free vibrations in viscothermoelastic hollow sphere in which uncoupled
and coupled equations are taken for first and second class vibrations, respectively.
Sharma et al. [10] studied the free vibrations of the axisymmetric functionally graded
thermoelastic cylinder and investigated the numerical results of thermoelastic damp-
ing and frequency shift. The analysis of stress-free axisymmetric functionally graded
viscothermoelastic hollow sphere in the context of generalized thermoelasticity was
presented by Sharma et al. [11]. Abbas [12] has proposed a model on generalized
thermoelasticity for dual phase lag, in which he studied the effect of reinforcement
on stress, temperature and displacement. Tripathi et al. [13] studied diffusion interac-
tions in thick thermoelastic circular plate having finite thickness and infinite extent.
The spheroidal and toroidal vibrations in viscothermoelastic spherical curved plates
were studied by Sharma [14]. Sherief and Allam [15] had investigated electromag-
netic interactions in the generalized thermoelastic two-dimensional solid cylinder.
Sharma et al. [16] studied a dynamic problem of semi-infinite viscothermoelastic
cylinder based on five theories of generalized thermoelasticity using Laplace and
Hankel transforms. Hien and Lam [17] studied the dynamic response of functionally
graded rectangular plates under moving loads in the context of coupled viscoelastic-
ity. Wang [18] presented the dynamic stability in the Rayleigh beams in axial motion.
The forced vibrations under the action of heat sources in functionally graded vis-
cothermoelastic sphere has been studied by Sharma et al. [19]. Neuringer [20] studied
the indicial equation having complex roots in series solution of Frobenius method.
Propagation of waves in piezoelectric cylindrical shell was studied by Bisheh and Wu
[21]. There is no problem of free vibrations which have been solved completely to
obtain the results in a closed form by using different methods of differential equations
available in the literature. This motivated the authors to investigate free vibrations
of rigidly fixed viscothermoelastic cylinder by applying series solution of Frobenius
method. The main aim of this paper is to study and investigate the free vibration
analysis of rigidly fixed viscothermoelastic hollow cylinder which is subjected to
the rigidly fixed boundary conditions (i.e. thermally insulated and isothermal). This
problem has been modelled with the help of generalized theories of thermoelasticity
i.e. Lord and Shulman (LS) [22] and Green and Lindsay (GL) [23]. The dispersion
relations are derived analytically with the help of series solution and the numerical
computation has been carried out with the help of polymethyl methacrylate material.
Numerical results for natural frequencies, thermoelastic damping, frequency shift,
temperature change and displacement (deformation) are shown graphically.
Free Vibration Analysis of Rigidly Fixed Axisymmetric … 99
1.1 Formulation of Problem
We have considered a thick-walled viscothermoelastic thermally conducting hol-

low cylinder having its inner radius a and outer radius ξa. The cylinder is consid-
ered in undisturbed state with the uniform temperature T0 initially having domain
a r ξa. The solid is considered axisymmetric cylinder made of functionally
graded viscothermoelastic material. Here the components of displacement in cylin-
drical coordinates (r, θ, z) have been expressed as u θ = u z = 0 and u r = u(r, t).
The basic governing equations of motion and heat conduction for the homogenous
isotropic viscothermoelastic cylinder in the absence of body forces and heat sources
given by Dhaliwal and Singh [6] are
∂2u
σi j, j = ρ (1)
∂t 2

1 ∂ ∂T ∂ ∂2 ∗ ∂ ∂2
Kr − ρCe + t0 2 T = T0 β + t0 δ1k 2 e (2)
r ∂r ∂r ∂t ∂t ∂t ∂t
where ⎫
∂ ⎪
∗ ∗ ∗ ∗
σrr = (λ + 2μ )err + λ eθθ − β 1 + t1 δ2k T⎪⎪
∂t ⎪ ⎪
⎪⎪
⎬
∗ ∗ ∗ ∗ ∂
σθθ = λ err + (λ + 2μ )eθθ − β 1 + t1 δ2k T (3)
∂t ⎪ ⎪
⎪
⎪
∂u u⎪⎪
e = eθθ + err , err = , eθθ = ⎪ ⎭
∂r r
here σrr and σθθ are radial and de-hoop stress components; e is dilatation; err and eθθ
are the strain components; ρ is mass density; T (r, t) is temperature; u(r, t) is radial
displacement; β ∗ is the viscothermoelatic coupling constant; λ∗ and μ∗ are viscoelas-
tic parameters; Ce is specific heat; K is thermal conductivity; δi j is Kronecker delta
in which k = 1 is Lord Shulemen theory and k = 2 is Green Lindsay theory. Now
we consider a functionally graded material in the sense that thermal conductivity,
viscothermoelasticity, density and modulus of viscoelasticity vary with radial coor-
dinate as
γ γ γ
r γ r r r γ r
λ∗ = λ0 , μ∗ = μ0 , ρ∗ = ρe , K ∗ = K0 , β ∗ = β0
a a a a a
(4)
here γ indicates the degree of non-homogeneity.
where

∂ ∂ ∗ ∂
λ0 = λe 1 + α0 , μ0 = μe 1 + α1 , β = βe 1 + β0 ,
∂t ∂t ∂t
(3λe α0 + 2μe α1 )αT
βe = (3λ + 2μ)αT , β0 = (5)
βe
Here αT is the coefficient of linear thermal expansion of material, α0 , α1 are vis-

coelastic relaxation times, λe and μe are Lame’s constants
Using Eqs. (3)–(5) in Eqs. (1) and (2), we get
2
∂ ∂ m1 ∂ m ∗2 βe ∂
1 + δ0 + u+ 2u− 1 + β0 (6)
∂t ∂r 2 r ∂r r (λe + μe ) ∂t

∂ ∂ γ ρe ∂ 2 u
1 + t1 δ2k + T =
∂t ∂r r λe + μe ∂t 2
2
K0 ∂ m1 ∂ ρCe ∂ ∂2
+ T − + t0 2 T
T0 βe ∂r 2 r ∂r βe T0 ∂t ∂t
2
∂ ∂ ∂ ∂u u
= 1 + β0 + t0 δ2k 2 + (7)
∂t ∂t ∂t ∂r r
where m 1 = γ + 1, m ∗2 = [λ0 (γ − 1) − 2μ0 ]
2 Boundary Conditions
The analysis of inhomogenous hollow cylinder is subjected to rigidly fixed, thermally

insulated and isothermal boundary conditions at inner radius r = a and outer radius
r = ξa. Mathematically, this gives us
u(r, t) = θ = 0 at x = a , x = ξa (8)
∂θ
u(r, t) = =0 at x = a , x = ξa (9)
∂r
We introduce non-dimensional quantities to remove the complexity of the equations.
⎫
T0 βe T0 βe2 r u C1 t ⎪
⎪
¯= , T = , x= , w= , τ= ⎪
λe + 2μe ρe Ce (λe + 2μe ) a a a ⎪ ⎪
⎪
∗⎪
⎪
T C1 C1 C aω ⎪
⎪
θ= , αˆ0 = α1 , αˆ1 = α1 , β0 =ˆ 1 ∗
β0 , = ⎪
⎪
T0 a a a C1 ⎬
σrr σθθ C2 C1 ⎪ ⎪
τx x = , τθθ = , δ0 = α̂0 + 2δ 2 (α̂1 − α̂0 ) , δ02 = 22 , τ0 = t0 ⎪
⎪
ρe C 12 ρe C 1
2 C1 a ⎪ ⎪
⎪
⎪
⎪
⎪
C C ∗ C (λ + 2μ ) λ + 2μ μ e⎪⎪
τ0 =
1
δ1kt0 , τ1 =
1
t1 , ω =
e e e
, C1 =
2 e e
, C2 =
2 ⎭
a a K0 ρe ρe
(10)
Substituting the above quantities from Eq. (10) in Eqs. (6) and (7), we get

∂ ∂2 m1 ∂ m 2 ∂ ∂ ∂ γ ∂2w
1 + δ0 + w + w − ¯ 1 + β̂0 1 + τ 1 δ2k + θ=
∂t ∂x 2 x ∂x x2 ∂τ ∂τ ∂x x ∂x 2
(11)
∗
∂2θ m 1 ∂θ ∂ ∂2 T ∂ ∂ ∂2 ∂ 1
+ − ∗ + τ0 2 θ = 1 + β̂0 + τ0 2 + w
∂x 2 x ∂x ∂τ ∂τ ¯ ∂τ ∂τ ∂τ ∂x x
(12)
∂ ∂
where m 2 = (1 − 2δ 2 ) 1 + α0 ∂τ γ − 1 + δ̂0 ∂τ
2.1 Solution of Mathematical Problem
We define the cylindrical time-harmonics vibrations by Sharma et al. [11] such that
(w, θ)(x, τ ) = (w̄, θ̄)eiτ (13)
Using Eq. (13) in Eqs. (11) and (12), we get

d 2 w̄ m 1 d w̄ m2 i d γ
+ + + w̄ + im 3 + θ̄ = 0 (14)
dx2 x dx x 2
δ̃0 dx x

d 2 θ̄ m 1 d θ̄ ∗ 2 d 1
2
+ − τ˜0 θ̄ + i m 4
3
+ θ̄ = 0 (15)
dx x dx dx x
where
∗ β̃ τ̃
⎫
γ(α̃0 (1 − 2δ 2 )) ¯ β̃0 τ̃0 T ⎪
, α̃0 = i−1 + α̂0 , β̃0 = i−1 + β̂0 ⎬
0 0
m2 = − 1 , m3 = , m4 =
δ0 δ̃0 ¯
⎪
⎭
τ̃1 = i−1 + τ1 δ2k , τ̃0 = i−1 + τ0 δ1k , α̃1 = i−1 + α̂1 , δ̃0 = i−1 + δ0 , τ̃0 = i−1 + τ0
(16)
Introducing the transformation defined by Sharma et al. [10] as

γ
(w̄, θ̄)(x, τ ) = x − 2 (V, )(x, τ ) (17)
Using transformation defined by Eq. (17) in Eqs. (14) and (15), we get
⎡ ⎤
− ηx 2 γ
2
⎢ 2
+ i
δ̃0
im 3 ddx + 2x ⎥ V
⎢ ⎥ 0
⎣ ⎦ = 0 (18)
m 4 i3 ddx − γ−2 2
1
x
γ2
2 + ∗ 2 τ̃0 − 4x 2
d2 γ2
where 2 = dx2
+ 1 d
x dx
, η2 = m 2 − 4
3 Series Solution
Since x = 0 is a regular singular point in matrix differential equation (18), so we

introduce matrix Frobenius method in Eq. (18) for which there exists atleast one
trivial solution takes the form as
∞
V Lk
= x p+k (19)
Mk
k=0
Here p is an eigen value and L k and Mk are the unknown coefficients. Substituting
the solution assumed from Eq. (19) in the Eq. (18) and on simplifying we get
∞

i
0 Lk
−2 −1
H1 ( p + k)x + H2 ( p + k)x + δ̃0
∗ 2
x p+k = 0 (20)
k=0
0 τ̃0 Mk
where

( p + k)2 − η 2 0
H1 ( p + k) = γ
2 ,
0 ( p + k)2 −
⎡ 4
⎤
γ
⎢ 0 im 3 p + k + 2 ⎥
H2 ( p + k) = ⎢
⎣ ∗ 3
⎥
⎦
i m 4 p + k − γ−2 2
0
Now equating the coefficients of the lowest power of x(i.e, x p−2 ) from Eq. (20) to
zero, we get 2
p − η2 0 L 0( p j )
=0 (21)
p 2 − γ4
2
0 M0 ( p j )
The above Eq. (21) will have a non-trivial solution, so that the roots of indicial
equation are given by
γ γ
p1 = +η, p2 = −η, p3 = + , p4 = − (22)
2 2
Here the roots p1 and p2 may be complex roots and the roots p3 and p4 are real
roots. Due to Neuringer [20], the sufficient use of complex roots of indicial equation
have two independent real solutions of Eq. (20). Further it is impossible with the
development that former case is solved once rather than twice in the later one. For
the choice of indicial Eq. (21), unknowns L 0 ( p j ) and M0 ( p j ) can be chosen as

1, j = 1, 2 0, j = 1, 2
L 0( p j ) = , M0 ( p j ) = (23)
0, j = 3, 4 1, j = 3, 4
Now equating the next lowest power of x(i.e. x p−1 ) to zero, we get

L 1( p j ) L 0( p j )
H1 ( p j + 1) + H2 ( p j ) =0 (24)
M1 ( p j ) M0 ( p j )
On simplifying the above equation, we get

L 1( p j ) 0 1
e12 ( p j ) L 0( p j )
=− 1 (25)
M1 ( p j ) e21 ( p j ) 0 M0 ( p j )
im 3 ( p j + γ+2
2 ) i∗ 3 m 4 ( p j +( 4−γ
2 ))
where 1
e12 (pj) = ( p j +1)2 −η 2
, 1
e21 (pj) = 2
( p j +1)2 − γ4
p+k
Now equating like powers of the coefficient of x equal to zero, we get

L k+2 ( p j ) L k+1 ( p j )
H1 ( p j + k + 2) + H2 ( p j + k + 1) (26)
Mk+2 ( p j ) Mk+1 ( p j )

i
0 Lk( p j )
+ δ̃0 ∗ 2 = 0 ; k = 0, 1, 2....
0 τ̃0 Mk ( p j )
On simplifying Eq. (26), we get following recurrence relation

L k+2 ( p j ) 0 k
H12 ( p j ) L k+1 ( p j )
=− (27)
Mk+2 ( p j ) H21k
(pj) 0 Mk+1 ( p j )
k
H11 ( p j ) 0 Lk( p j )
+ ; k = 0, 1, 2......
0 k
H22 ( p j ) Mk ( p j )
∗ 2 τ̃0 im 3 ( p j +k+( γ+2

2 ))
where k
H11 = i
, H22
k
= 2 , H12
k
= ( p j +k+2)2 −η 2
,
δ̃0 (( p j +k+2)2 −η 2 ) ( p j +k+2)2 − γ4
i m 4 ( p j +k+( 4−γ
3
2 ))
k
H21 = 2
( p j +k+2)2 − γ4
Substituting k = 0 in Eq. (27), we get
2
L 2( p j ) e (p ) 0 L 0( p j )
= 11 j 2 (28)
M2 ( p j ) 0 e22 ( p j ) M0 ( p j )
where 2
e11 ( p j ) = H12
0
( p j )e21
1
( p j ) − H11
0
(pj) , 2
e22 ( p j ) = H21
0
( p j )e12
1
(pj) −
H22 ( p j )
0
Again substituting k = 1 in Eq. (27), we get

L3 0 3
e12 ( p j ) L0
=− 3 (29)
M3 e21 ( p j ) 0 M0
3
e12 ( p j ) = H12
1
( p j )e22
2
( p j ) − H11
2
( p j )e12
1
(pj) , 3
e21 ( p j ) = H21
1
( p j )e11
2
( p j ) − H22
1
( p j )e21
1
(pj)
Now continuing likewise, we can have [L 2k ( p j ), M2k ( p j )] has similar form as
H1 ( p + k) and [L 2k+1 ( p j ), M2k+1 ( p j )] has similar form as H2 ( p + k). Thus we
can write
2k
2k+1
L 2k e (p ) 0 L0 L 2k+1 0 e12 ( p j ) L0
= 11 j 2k , = − 2k+1
M2k 0 e22 ( p j ) M0 M2k+1 e21 ( p j ) 0 M0
(30)
where ⎧ 2k
⎪
⎪ e11 = H122k−2
( p j )e21
2k−1
( p j ) − H11
2k−2
( p j )e11
2k−2
(pj)
⎪
⎨e2k = H 2k−2 ( p )e2k−1 ( p ) − H 2k−1 ( p )e2k−1 ( p )
22 21 j 12 j 22 j 22 j
(31)
⎪
⎪ e 2k+1
= H 2k−1
( p )e 2k
( p ) − H 2k−1
( p )e 2k−1
( p j)
⎪ 12
⎩ 2k+1
12 j 22 j 11 j 12
e21 = H21 ( p j )e11 ( p j ) − H22 ( p j )e21 ( p j )
2k−1 2k 2k−1 2k−1
From above discussion, we can proceed that

2k
e11 ( p j ) 0 −1 im 3 0
≈ O(k ) , (32)
0 2k
e22 (pj) 0 i3 m 4

0 2k+1
e12 (pj) −1 0 im 3
≈ O(k )
2k+1
e21 (pj) 0 i3 m 4 0
2k
e11 ( p j ) 0 0 e122k+1
(pj)
From Eq. (32), it is clear that → 0 and →
0 2k
e22 (pj) 2k+1
e21 (pj) 0
0 as k → ∞. This implies that the assumed sequence in Eq. (19) is uniformly and
absolutely convergent having infinite radius of convergence, so that Eq. (19) can be
written as
2
V 0 1
e12 (pj) e (p ) 0 0 3
e12 (pj) 3
= I− 1 x + 11 j 2 x2 − 3 x
e21 ( p j ) 0 0 e22 ( p j ) e21 ( p j ) 0

L 0( p j ) p j
+ ...........∞ x (33)
M0 ( p j )
General solution for Eq. (13) from Eq. (33) via Eq. (19) we get
∞
2k
H1k e11 ( p1 )x p1 + H2k e11
2k
( p2 )x p2 + γ
w(x, τ ) = x 2k− 2 (eiτ ) (34)
k=0
H3k e12 ( p3 )x p3 +1 + H4k e12 ( p4 )x p4 +1
2k+1 2k+1
∞
H1k e2k+1 ( p1 )x p1 +1 + H2k e2k+1 ( p2 )x p2 +1 + γ
θ(x, τ ) = 21 21
x 2k− 2 (eiτ ) (35)
k=0
2k
H3k e22 ( p3 )x p3 + 2k
H4k e12 ( p4 )x p4
∞
∂θ H1k (R1∗ + p1 )e21
2k+1
( p1 )x p1 + H2k (R1∗ + p2 )e21
2k+1
( p2 )x p2 + 2k− γ iτ
= x 2 (e )
∂x
k=0
H3k (R2∗ + p3 )e22
2k ( p )x p3 −1 + H (R ∗ + p )e2k ( p )x p4 −1
3 4k 2 4 22 4
(36)
where R1∗ = 2k + 2−γ
2
, R2∗ = 2k − γ2 .
4 Dispersion Relations
The non-dimensional boundary conditions of hollow cylinder subjected to rigidly

fixed thermally insulated and isothermal conditions have been applied, we get four
linear algebraic equations. The system of equations lead to non-trivial solution if
the coefficient of determinant equation vanishes and non-trivial solution forms the
following determinant equation:

m 11 m 12 m 13 m 14

m 21 m 22 m 23 m 24
=0 (37)
m 31 m 32 m 33 m 34

m 41 m 42 m 43 m 44
The elements of m i j (i, j = 1, 2, 3, 4) are defined below for thermally insulated and
isothermal boundary conditions for k = 0 and k > 0 in SET-1 and SET-2.
SET-1: Elements for thermally insulated boundaries are
Case-1: For (k = 0)
⎫
γ γ ⎪
0 (η);
m 11 = e11 0 (−η);
m 12 = e11 1
m 13 = e12 1
; m 14 = e12 − ⎪
⎪
2 2 ⎪⎪
⎪
⎪
⎪
0
γ
η− 2 0
γ
−η− 2 1 γ 1 1 γ 1−γ ⎪ ⎪
⎪
m 21 = e11 (η)ξ ; m 22 = e11 (−η)ξ ; m 23 = e12 ξ ; m 24 = e12 − ξ ⎪
⎪
2 2 ⎪
⎪
⎪
⎪
2−γ 1 2−γ 1 0 γ ⎬
m 31 = + η e21 (η); m 32 = − η e21 (−η); m 33 = 0; m 34 = (−γ)e22 −
2 2 2 ⎪⎪
⎪
⎪
⎪
2−γ γ 2 − γ −η− γ2 ⎪
m 41 = 1
+ η e21 (η)ξ η− 2
; m 42 = 1
− η e21 (−η)ξ ;⎪
⎪
⎪
⎪
2 2 ⎪
⎪
⎪
⎪
γ ⎪
⎪
0
m 43 = 0; m 44 = (−γ)e22 − ξ −(1+γ) ⎪
⎭
2
(38)
Case-2: For (k > 0)

⎫
2k (η); m = e2k (−η); m = e2k+1 γ ; m = e2k+1 − γ ⎪
m 11 = e11 ⎪
⎪
2 ⎪
12 13 14
11 12 2 12 ⎪
⎪
⎪
⎪
γ γ γ ⎪
⎪
2k
m 21 = e11 (η)ξ η+2k− 2 2k
; m 22 = e11 (−η)ξ −η+2k− 2 2k+1
; m 23 = e12 ξ 2k+1 ;⎪
⎪
⎪
2 ⎪
⎪
⎪
⎪
γ −γ+2k+1 2−γ ⎪
⎪
⎪
m 24 = e122k+1
− ξ ; m 31 = 2k + + η e21 (η);⎪
2k+1
⎪
⎬
2 2

m 32 = 2k +
2−γ
− η e212k+1
(−η); m 33 = (2k)e22 2k γ ; m = (2k − γ)e2k − γ ⎪ ⎪
⎪
⎪
2 ⎪
34
2 2 22 ⎪
⎪
⎪
⎪
2−γ − γ γ⎪
2k+1 η+2k− 2γ 2 2k+1 −η+2k− 2 ⎪ ⎪
⎪
m 41 = 2k + + η e21 (η)ξ ; m 42 = 2k + − η e21 (−η)ξ ⎪
2 2 ⎪
⎪
⎪
⎪
γ γ ⎪
⎪
2k 2k−1 2k (2k−1−γ) ⎪
⎪
m 43 = (2k)e22 ξ ; m 44 = (2k − γ)e22 − ξ ⎭
2 2
(39)
SET-2: Elements for isothermal boundaries are

Case-1: For (k = 0)
⎫
γ γ ⎪
0 (η); m = e0 (−η); m = e1
m 11 = e11 ; m = e 1 − ⎪
⎪
2 ⎪
12 11 13 12 2 14 12
⎪
⎪
⎪
0 η− γ2 0 −η− γ2 1 γ 1 1 γ 1−γ ⎪ ⎪
⎪
⎪
m 21 = e11 (η)ξ ; m 22 = e11 (−η)ξ ; m 23 = e12 ξ ; m 24 = e12 − ξ ⎪
⎬
2 2

γ γ −γ ⎪ ⎪
m 31 = e211 (η); m = e1 (−η); m = e0 0 ⎪
32 21 33 22 2 ; m 34 = e22 − 2 ξ ⎪ ⎪
⎪
⎪
⎪
⎪
η+1− γ2 −η+1− γ2 γ γ −γ ⎪ ⎪
1
m 41 = e21 (η)ξ 1
; m 42 = e21 (−η)ξ 0
; m 43 = e22 0
; m 44 = e22 − ξ ⎪⎭
2 2
(40)
Case-2: For (k > 0)
⎫
2k (η); m = e2k (−η); m = e2k+1 γ ; m = e2k+1 − γ ⎪
m 11 = e11 ⎪
⎪
2 ⎪
12 11 13 12 14 12
2 ⎪
⎪
⎪
⎪
⎪
η+2k− γ2 −η+2k− γ2 2k+1 γ ⎪
2k
m 21 = e11 (η)ξ 2k
; m 22 = e11 (−η)ξ ; m 23 = e12 ξ 2k+1 ;⎪
⎪
⎪
2 ⎪
⎪
⎪
⎪
γ γ ⎬
2k+1 2k+1−γ 2k+1 2k+1 2k
m 24 = e12 − ξ ; m 31 = e21 (η); m 32 = e21 (−η); m 33 = e22 ;
2 2 ⎪ ⎪
⎪
⎪
γ γ γ ⎪
⎪
(η)ξ η+2k+1− 2 ; m 42 = e21 (−η)ξ −η+2k+1− 2 ;⎪
2k−γ 2k+1 2k+1 ⎪
m 34 = e22 − ; m 41 = e21 ⎪
⎪
2 ⎪
⎪
⎪
⎪
2k γ 2k 2k γ 2k−γ ⎪ ⎪
⎪
m 43 = e22 ξ ; m 44 = e22 − ξ ⎭
2 2
(41)
4.1 Deduction of Results
If the viscous effect (α0 = 0 = α1 ) is ignored in Eqs. (5), then the analysis reduces
to generalized thermoelastic cylinder. In case relaxation time is considered to be
zero (t1 = t0 = 0) in Eqs. (1)–(3), the results are reduced to coupled thermoelastic
cylinder. If thermal equilibrium have been introduced, i.e.( T = T = t0 = t1 = α1 =
α0 = 0) in Eqs. (1)–(7) the present analysis reduces to vibrations of coupled elastic
hollow cylinder and the Eqs. (34) and (35) of viscothermoelastic hollow cylinder
reduces to equations of coupled elastic hollow cylinder that can be written as
∞

γ
w(x, τ ) = x − 2 2k
H1k e11 ( p1 )x p1 + H2k e11
2k
( p2 )x p2 x 2k (eiτ ) (42)
k=0
∞

− γ2
θ(x, τ ) = x 2k+1
H1k e21 ( p1 )x p1 +1 + 2k+1
H2k e21 ( p2 )x p2 +1 x 2k (eiτ ) (43)
k=0
5 Numerical Results and Discussion
To authenticate the analytical results, we propose some numerical techniques which

have been applied with the help of MATLAB software tools for thermally insulated
rigidly fixed viscothermoelastic cylinder.
For numerical computations, polymethyl methacrylate material have been taken
whose physical data is given by Sharma [14]:
T = 0.045, ω ∗ = 1.11 × 1011 s−1 , T0 = 773 K, δ 2 = 0.333
αˆ0 = αˆ1 = 0.005, τ0 = 0.02, τ1 = 0.03, ρ = 1190 kg · m−3
K = 0.19 W · m−1 · k −1 , Ce = 1400 J · kg−1 · K−1 , αT = 77 × 10−6 · K−1
The frequency equations obtained from Eqs. (37) to (39) are complex transcenden-
tal equations due to the presence of dissipation term in heat conduction equation.
Numerical computations are applied upto six decimal places by taking k = 10 to
obtain natural frequency. The complex values of natural frequency () can be writ-
ten as m = mR + mI , the natural frequency and dissipation factor can be written
as f v = mR and D I = mI , where m is the mode number which corresponds to root
of transcendental equation. The thermoelastic damping Q −1 and frequency shift s
are defined below which are taken from Sharma et al. [11].
M∗
DI f − fE
Q −1 = 2 , s = v E v (44)
fV f v
Here M ∗ represents viscothermoelastic (VTE), thermoelastic (TE), viscoelastic (VE)

and E stands for elastic materials. Figures 1, 2, 3 and 4 indicate natural frequency and
thermoelastic damping against mode number (m) for γ = −3.5, −1.5, 0.0, 1.5, 3.5
in case of ξ = 2.0 and ξ = 4.0, respectively. It is revealed from Figs. 1 and 3 that with
increase in mode number m, the natural frequencies go on increasing. As the grading
index decreases, the behaviour of natural frequencies increases. It can be inferred
from Fig. 2 that initially thermoelastic damping is small upto m = 2.0 and maximum
at m = 6.0, then at γ = 0.0, 1.5, 3.5 damping goes on decreasing and shows merged
behaviour for γ = −3.5, −1.5 due to negative values of grading index. It is seen from
Fig. 4 that damping is slow upto m = 2.0, then go on increasing with increasing value
of m.
Figures 5, 6 show the frequency shift against mode number (m) for homogenous
and inhomogenous materials. It is revealed form Fig. 5 that frequency shift s is quite
high in case of viscoelastic (VE) material as compared with viscothermoelastic (VTE)
and elastic (E) case for homogenous materials. Figure 6 depicts that the frequency
shift s has high variation for TE as compared to VTE and VE case for inhomogenous
materials. The behaviour of Fig. 5 follows the inequality s (V E) < s (V T E) <
s (T E) while Fig. 6 follows reverse inequality s (T E) > s (V T E) > s (V E) to
that of Fig. 5 which clearly indicates the effect of inhomogeneity. Figures 7 and 8 have
Fig. 1 Natural frequency

against mode number
Fig. 2 Thermoelastic
damping against mode
number
Fig. 3 Natural frequency

against mode number
Fig. 4 Thermoelastic
damping against mode
number
Fig. 5 Frequency shift

against mode number
been plotted for temperature

(θ)
and displacement (w) against modified thickness
which is defined as π ∗ = x−1 ξ−1
; (ξ = 0) for γ = −3.5, −1.5, 0.0, 1.5, 3.5 in case
of VTE cylinder. The temperature change is large for homogenous case γ = 0 and
small for γ = 3.5 and the behaviour decreases with increase in value of π ∗ . From
Fig. 8, it is noticed that the displacement (w) shows small variation in π ∗ = 0.0 and
large behaviour for π ∗ = 0.1 and with increase in the value of π ∗ the variations go on
decreasing. Figures 7 and 8 show that the behaviour for γ = −3.5 has large variation
as compared to γ = 3.5 has small variation. This is noticed from all the figures that the
Fig. 6 Frequency shift

against mode number
Fig. 7 Variation of
temperature against
thickness
Fig. 8 Variation of
displacement against
thickness
vibrations have maximum variation at γ = −3.5 and least at γ = 3.5. This satisfies
the trends for the values of γ = −3.5 > γ = −1.5 > γ = 0.0 > γ = 1.5 > γ = 3.5
which shows the effect of non-homogeneity of grading index of viscothermoelastic
hollow cylinder.
6 Conclusion
The series solution of matrix Frobenius method is successfully applied for the analysis
of free vibrations in rigidly fixed axisymmetric viscothermoelastic hollow cylinder.
The dispersion relations were derived analytically and their behaviour has been ana-
lyzed numerically. The significant effects of mechanical relaxation times and thermal
relaxation times have been noticed for viscothermoelastic displacement, temperature
and frequencies. The continuity in case of generalized theories of thermoelasticity
are more prominent than coupled theories of thermoelasticity. As the grading index
increases, the variation of field functions go on decreasing. The numerical results
are consistent with Keles and Tutuncu [8] in the absence of viscous and thermal
effects. With the help of grading index, the deformation and change in temperature
may be increased or decreased as per requirement. The inhomogeneity parameter,
i.e. grading index may also be used to handle the frequency shift and thermoelastic
damping to improve the quality of signals having different vibration mode numbers.
Also, this index is used to optimize the energy losses.
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5. P. Chadwick, D. Windle, Propagation of Rayleigh waves along isothermal and insulated bound-
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Study on a Free Boundary Problem
Arising in Porous Media
Bhumika G. Choksi and Twinkle R. Singh
Abstract The present study discusses a free boundary problem arising from the
steady two-dimensional seepage flow through a rectangular dam. The free boundary
location, the potential velocity field, and the pressure field have been found using
successive linearisation method (SLM) by solving a nonlinear partial differential
equation arising as a governing equation for this problem. The SLM is a newly
developed method, which is a very efficient and reliable method to handle nonlinear
problems. The numerical and the graphical representation of the solution has been
discussed using MATLAB under the certain valid assumption.
Keywords Free boundary problems · Two-dimensional potential flows · Porous

media · Seepage face · Successive linearisation method (SLM)
1 Introduction
Here the problem concerned with the steady two-dimensional seepage flow in a
saturated porous medium has been discussed. This problem can be formulated as
a free boundary problem for an elliptic equation mathematically. Such problems
arise in a wide variety of fluid mechanics applications [9]. The free boundary can be
found by using any numerical methods such as finite element models [11], variational
inequalities [1], etc. But here successive linearisation method (SLM) has been used
to find the free boundary of the dam.
For a seepage flow in a rectangular dam, the free boundary is expressed by
Polubarinova–Kochina (PK) equation [17], which has been solved numerically in
[10]. By using an approximate model, which provides an analytical expression for
B. G. Choksi (B) · T. R. Singh

Department Applied Mathematics and Humanities,
S. V. National Institute of Technology, Surat 395007, Gujarat, India
e-mail: bhumikachoksi.30@gmail.com

https://doi.org/10.1007/978-981-15-1157-8_10
114 B. G. Choksi and T. R. Singh
the free boundary profile. The model generalizes for steady axisymmetric potential
flow [6]. Within the range of validity of the model assumptions, the computational
results show good agreement with the Polubarinova–Kochina (PK) equation.
2 Flow Problem
Figure 1 shows the steady two-dimensional seepage flow through a rectangular dam.
The dam is above a horizontal impermeable base and the porous medium is satu-
rated, homogeneous, and isotropic. The x-axis represents horizontally and the z-axis
represents vertically. The free boundary is denoted by h(x), the upstream flow depth
by h 1 , the downstream flow depth by h 2 , the dam length by L, the seepage face by
h s f = h(x = L) − h 2 . Neglecting the capillary fringe, the free boundary becomes
the saturation line [2].
To find the location of the free boundary, consider the velocity field v(x, z) and
the pressure field p(x, z) in the unbounded flow domain [0, L] × [0, h(x)].
The momentum and the continuity equations are expressed by Darcy’s law and
solenoidality condition as [7, 12]
Fig. 1 Schematic diagram of the flow problem

Study on a Free Boundary Problem Arising in Porous Media 115

p
v = −k∇ z + (1)
ρg
∇ ·v =0 (2)
where k is the constant hydraulic conductivity.

Equation (1) is consistent with the irrotationality condition given as
∇ ×v =0 (3)
The boundary conditions are given by
vz (x, 0) = 0 (4)
dh
vz (x, h) = vx (x, h) (5)
dx
p(x, h) = 0 (6)
1
p(0, z) = h 1 − z (7)
ρg
1
p(L , z) = h 2 − z; 0 ≤ z ≤ h 2 (8)
ρg
p(L , z) = 0; z > h 2 (9)
where vx and vz are the horizontal and vertical velocity components respectively.
Equations (4) and (5) are the kinematic boundary conditions at the base and at the
free boundary, respectively; Eq. (6) is the dynamic boundary condition at the free
boundary; Eq. (7) is the inflow boundary condition; Eqs. (8) and (9) are the outflow
boundary conditions.
To find the free boundary location and the flow rate q for the problem, the succes-
sive linearisation method (SLM) [14–16] is used. So the constant flow rate is given
by
h(x)
q= vx d x (10)
0
Here vx is the velocity component in the x-direction.

Now the approximate velocity components can be found by using the following
Picard iteration. To start the iteration, in the first approximation consider
q
vx = (11)
h
vz = 0 (12)
Thus Eqs. (3) and (4) are verified, while to fulfill the conditions (2) and (5) consider
the following first-order term as small to be neglected by
dh
≈0 (13)
dx
which defines the closure hypotheses of the first approximation.
For the second approximation, consider
q
vx = (14)
h
vz = f 2 (x, z) (15)
where f 2 is an unknown function.

By the Eqs. (2) and (4), f 2 can be written as
q dh
f 2 (x, z) = z (16)
h2 d x
To verify Eq. (3) by using Eqs. (14), (15) and (16), consider the following second-
order terms as small to be neglected by
2
dh d2h
≈ 0, ≈0 (17)
dx dx2
which defines the closure hypotheses of the second approximation. For the third
approximation, consider
q
vx = + f 3 (x, z) (18)
h
q dh
vz = 2 z (19)
h dx
By Eqs. (3) and (10), f 3 can be written as

1 q d2h q dh 3 2 1 q dh 2 1 d 2 h
f3 = − z + − q 2 (20)
2 h2 d x 2 h3 d x 3 h dx 6 dx
To verify Eq. (4) by using the Eqs. (18), (19) and (20), consider the following third-
order terms as small to be neglected by
3
dh d 2 h dh d 3h
≈ 0, 2
≈ 0, ≈0 (21)
dx dx dx dx3
which defines the closure hypotheses of the third approximation.

This iterative procedure can be extended to any required degree of accuracy.

The approximate expressions found using this iterative procedure match with those
obtained by using the power series expansion of the harmonic stream function [5, 18]
and the Picard iteration of Cauchy–Riemann equations [13]. The proposed procedure
offers the advantage of providing the closure hypotheses of the approximate velocity
field. Thus, the velocity components can be expressed in an approximate form as

q 1 q d2h q dh 3 2 1 q dh 2 1 d 2 h
vx = + − z + − q 2 (22)
h 2 h2 d x 2 h3 d x 3 h dx 6 dx
q dh
vz = z (23)
h2 d x
With this, the pressure filed and the free boundary differential equations are given
from the vertical and the horizontal momentum equation, respectively, as
p q dh 2
=h−z− (z − h 2 ) (24)
ρg 2kh 2 d x

d2h 1 dh 2 3 3k dh
= − − − (25)
dx2 h dx h q dx
3 Solution of the Problem
The flow rate is expressed as [2, 4]
h12 − h22
q=k (26)
2L
and the boundary conditions associated with Eq. (25) are given by
h(x = 0) = h 1 (27)
d
h(x = L) = 0 (28)
dx
The solution of Eq. (25) subject to the above conditions (27) and (28) is obtained by
using the successive linearisation method (SLM) [14–16].
Consider a solution of Eq. (25) as

i−1
h = hi + h m ; i = 1, 2, 3, ... (29)
m=0
By Eq. (25) and neglecting the nonlinear terms in h i , h i and h i , we get

ai−1 h i + bi−1 h i + ci−1 h i = φi−1 (30)
where

i−1
i−1
i−1
i−1
ai−1 = q h m , bi−1 = 2q h m + 3k h m , ci−1 = h m
m=0 m=0 m=0 m=0
⎡ 2
⎤ (31)

i−1
i−1
i−1
i−1
and φi−1 = − ⎣2x
hm + hm hm
+ hm ⎦
m=0 m=0 m=0 m=0
with h i (0) = 0 = h i (L)
Choose initial approximation which satisfies the boundary condition as
h 0 (x) = h 1 e−x (32)
By solving Eqs. (30) iteratively, we get each solution for h i (i ≥ 1), thus the approx-
imate solution for h(x) is obtained as

K
h (x) ≈ h m (x) (33)
m=0
by assuming
lim h i = 0 (34)
i→∞
Now ai−1 , bi−1 , ci−1 and φi−1 of Eq. (30) are known from the previous iterations
for i = 1, 2, 3, ..., so to solve Eq. (30) the Chebyshev spectral collocation method
[3, 19] is used.
To apply it, transform the physical region [0, L] into the region [−1,1] using
mapping
x ξ +1
= ; −1 ≤ ξ ≤ 1 (35)
L 2
Consider the Gauss–Lobatto collocation points [3] to define the Chebyshev nodes in
[−1, 1], namely
πj
ξ j = cos ; j = 0, 1, 2, ..., N (36)
N
The variable f i is approximated by the truncated Chebyshev series given as

N
h i (ξ ) = h i (ξk )Tk (ξ j ) (37)
k=0
where Tk (ξ ) = cos[kcos−1 (ξ )] is called the kth Chebyshev polynomial. Derivatives

of the variables at the collocation points can be given by
dr hi N
r
= Dkr j h i (ξk ) (38)
dη k=0
where D = 2D, with D is the Chebyshev spectral differentiation matrix, whose

entries are defined as
c j (−1) j+k
D jk = ; j = k; j, k = 0, 1, 2, ..., N ;
ck ξ j − ξk
ξk
Dkk = ; k = 1, 2, ..., N − 1; (39)
2(1 − ξk2 )
2N 2 + 1
D00 = = −D N N
6
Thus the matrix equation form is given as
Ai−1 Hi = i−1 (40)
subject to

N
h i (ξ N ) = 0, D N k h i (ξk ) = 0, h i (ξ0 ) = 0 (41)
k=0
where Ai−1 = ai−1 D 2 + bi−1 D + ci−1 (42)
Hi = [h i (ξ0 ), h i (ξ1 ), ..., h i (ξ N )] T
(43)
i−1 = [φi−1 (ξ0 ), φi−1 (ξ1 ), ..., φi−1 (ξ N )] T
(44)
where Ai−1 is an (N + 1) × (N + 1) matrix; Hi and i−1 are (N + 1) × 1 column

vectors; ai−1 , bi−1 and ci−1 are (N + 1) × (N + 1) diagonal matrices and D = L2 D
with Chebyshev spectral differentiation matrix D [3, 19].
Now applying the boundary conditions h i (ξ0 ) = 0 and h i (ξ N ) = 0, the solutions
for h i (ξ1 ), h i (ξ2 ), ..., h i (ξ N −1 ) are obtained iteratively from solving
−1
Hi = Ai−1 i−1 (45)
4 Concluding Remarks
A free boundary profile arising from the steady two-dimensional seepage flow
through a rectangular dam is found from the solution (45) by the successive lin-
earisation method (SLM) using MATLAB. Table 1 shows the numerical values of
the free boundary for different distance x by the SLM and results are given in [8].
As shown in Fig. 2, within this range, the free boundary profile is deduced, which is
feasible with the physical phenomenon. Also, by the comparison of the values of h
by the SLM and [8], we can say that the results by the SLM are in good agreement
with the results [8]. Thus, the SLM is applicable, efficient, and easy to use to handle
nonlinear problems.
Table 1 The value of free x SLM [8]

boundary h for different
distance x by SLM and [8] 0.1 0.9919 0.9918
0.2 0.9863 0.9862
0.3 0.9860 0.9858
0.4 0.9442 0.9440
0.5 0.8463 0.8462
0.6 0.7210 0.7209
0.7 0.5949 0.5948
0.8 0.4886 0.4887
0.9 0.4096 0.4093
1.0 0.3679 0.3677
Fig. 2 Free boundary h

versus distance x by SLM
Acknowledgements The authors are very much thankful to SVNIT and GUJCOST for support of
the research work.
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75–77 (1975)
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Inst. Civ. Eng. 91(2), 187–201 (1991)
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flow with bifurcation. Adv. Math. Phys. (2014)
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a stretching surface embedded in a porous medium with suction/injection and thermal radiation
effects. Can. J. Chem. Eng. 90(5), 1323–1335 (2012)
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walls. Numer. Algorithms 61(3), 499–514 (2012)
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18. M. Todisco, C. Di Nucci, A. Russo Spena, On the non–linear unsteady water flow in open
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19. L.N. Trefethen, Spectral Methods in MATLAB, vol. 10 (SIAM, 2000)
Effect of Habitat on Dynamic of Native
and Exotic Prey–Predator Population
Namita Goel, Sudipa Chauhan and Sumit Kaur Bhatia
Abstract In this paper, we have formulated a prey–predator interaction model with

native species as predator and exotic species as prey. The population is also effected
by the habitat. It is assumed that the prey population can invade a new environment
due to the unsuccessful exploitation of the exotic prey by the native predators. The
existence of the steady-state solution and boundedness of the system is obtained.
Further, the local and global stability analysis of the steady-state solution is evaluated.
Finally, the sensitivity analysis of the system is done based on two parameters A, i.e.
(loss of habitat due to exotic prey) and r, i.e. (growth rate of Habitat).
Keywords Habitat · Native species · Exotic species · Local stability · Global

stability
1 Introduction
The prey–predator relationship still continues to be one of the main themes in mathe-
matical ecology due to its complex dynamic behaviour. Many prey–predator models
have been studied considering different types of functional responses. It is also seen
that the invasion or introduction of exotic species, in general, disrupts the tropic
dynamics of native species [1–4].
Habitat loss and destruction can occur both naturally and through anthropogenic
causes on interacting species. Species that are able to thrive and reproduce in a
new environment are called alien, non-native or invasive. At present, it is important
to study the impact of change in habitat characteristics due to its destruction on
N. Goel · S. Chauhan (B) · S. K. Bhatia

Department of Applied Mathematics, Amity University, Noida 201303, UP, India
e-mail: sudipachauhan@gmail.com
N. Goel
e-mail: namita.goel1419@gmail.com
S. K. Bhatia
e-mail: sumit2212@gmail.com
https://doi.org/10.1007/978-981-15-1157-8_11
124 N. Goel et al.
the distribution and interaction of species. Many authors have studied in detail the
changing habitat on survival of species and effect of exotic species on native species.
It has been noted that the hydrology of Southwestern United States rivers has led
to a decline in native (Popuius deltoides) species. Areas historically dominated by
native have been replaced by invasive exotic (Saltcedar chinensis)and the effects of
changing habitat on the survival of species [5–7].
A key factor that makes many species invasive is a lack of predators in the new
environment. This is complex and results from thousands of years of evolution in a
different place. Predators and prey often co-evolve in a phenomenon called the co-
evolutionary arms race which means that as prey evolve better defenses, predators,
in turn, evolve better ways of exploiting prey. The classic example of this comes
from the cheetah and antelope. Faster antelope survive better because they can better
escape cheetahs. The fastest cheetahs then survive better because they can better
catch the faster antelope. Neither species ultimately gains an advantage because they
continually evolve in response to one another [8–10].
Some invaders can physically alter the habitat in addition to destruction. 50 beavers
from Canada were relocated to Tierra del Fuego, an archipelago at the southern tip of
South America, in 1946 to be hunted for their pelts. Since then, they have multiplied
and now number in the hundreds of thousands. The trees in the region are not adapted
to beaver activity as they are in North America, and most do not grow back after
being gnawed by beavers [11, 12].
Keeping in mind the above discussion, this paper only deals with an exotic and
native species living in a habitat. We begin by proposing a new model to study the
effects of a habitat on exotic prey and native predator species. We have discussed the
boundedness of the model and conducted local and global stability analysis on the
non-trivial equilibrium point of the model. Finally, we have validated our analytic
results using numerical simulations with different parametric ranges using MATLAB.
2 Biological Background
In ecology, a habitat is the type of natural environment in which a particular species

of organism lives. A species’ habitat is that place where it can find food, shelter,
protection and mate for reproduction. In this biological system, we are explicitly
focusing on exotic prey and native predator and how the habitat is effecting them
very relevant example is of Blue slug which is an exotic prey when enters a new
habitat negatively effect the waterweed (Habitat) or in other words habitat has a pos-
itive impact on the growth rate of Blue slug. Additionally since the native predators
(Turtles) who have not evolved with prey cannot successfully exploit them. Further
any kind of man-made destruction of habitat also effect the population of both Blue
slug and Turtle (Fig. 1).
Effect of Habitat on Dynamic of Native and Exotic Prey–Predator Population 125
Fig. 1 Biological background
3 Mathematical Model
Let H(t) represents the measure of habitat characteristic such as soil, temperature,
biodiversity. N1 (t) represents the exotic prey at time t. N2 (t) represents the native
predator at time t.
With the above notations , the mathematical model of the system under consider-
ation is given by following system of nonlinear ordinary differential equations:
dH H
= r H (1 − ) − AH N1 − B H N2 (1)
dt K
d N1 a2 N 1 N 2
= a1 (H )N1 − a2 N12 − (2)
dt 1 + αN1 + β N2
d N2 a2 N 1 N 2
= b1 (H )N2 − b2 N22 + (3)
dt 1 + αN1 + β N2
with the initial conditions as H (0) > 0, N1 (0) > 0 , N2 (0) > 0 , α = a2 h 1 , β = a2 w
126 N. Goel et al.
Parameters Meaning
K Carrying capacity
r Growth rate of habitat
A Loss due to exotic prey
B Loss due to native predator
a1 (H ) Specific growth rate of exotic prey depending on habitat
a2 Decay due to crowding effect of exotic prey
h1 Handling time to handle exotic prey by native predator
w Waiting time to searching exotic prey by native predator
b1 (H ) Specific growth rate of native predator depending on habitat
b2 Decay due to crowding effect of native predator
Here, all the parameters K, r, A, B, a1 (H ), a2 , h 1 ,w, b1 (H ), b2 are all taken to be

positive constants.
Case—Habitat characteristic is favourable for exotic species
The function a1 (H ) is the specific growth rate coefficient of the native species and
it decreases as habitat characteristics became more conducive. We assume

a1 (0) = a10 , a1 (H ) < 0 f or H ≥ 0 and a1 (H ) ≤ a10 (4)
The function b1 (H ) is the specific growth rate coefficient of the exotic species and
it increases as habitat characteristics became more conducive. We assume

b1 (0) = b10 , b1 (H ) > 0 f or H ≥ 0 and b10 ≤ b1 (H ) (5)
4 Boundedness
In this section, we will be discussing the boundedness of the system.

Lemma 1 All the solutions of system (1)–(3) with the positive initial condition are
uniformly bounded within the region where
A1
V1 = ((H, N1 , N2 ) ∈ R+
5
: 0 < H ≤ K , 0 < H + N1 + N2 ≤ )
θ
is a region of attraction.
Proof From Eq. (1)

H≤K
We assume that the right-hand sides of the system (1)–(3) are smooth function of
(H (t), N1 (t), N2 (t)) of t ∈ R+ .
d(H + N1 + N2 ) r H∗H
≤ r H∗ − − AH ∗ N1 − B H ∗ N2 + a1 (H ∗ )N1 + b1 (H ∗ )N2
dt K
The time derivative along the solution of the system (1)–(3) is

dW
≤ r H ∗ + a1 (H ∗ )N1∗ + b1 (H ∗ )N2∗ − θ(H + N1 + N2 )
dt
Let θ = min(H, N1 , N2 ) Thus, the above expression reduces to
dW
≤ A1 − θW
dt
where
A1 = r H ∗ + a1 (H ∗ )N1∗ + b1 (H ∗ )N2∗ ,
therefore, the solution is

A1
W ≤
θ
This completes the proof of the lemma.
5 Basic Feasible Equilibrium Points
The system has two feasible equilibrium points:

1. Boundary Equilibrium point E 1 (H ∗∗ , N1∗∗ , 0)
where
K
H ∗∗ = [r − AN1 ]
r
provided r > AN1
a1 (H )
N1∗∗ =
a2
2. Interior Equilibrium point E 2 (H ∗ , N1∗ , N2∗ )

where
K
H∗ = [r − AN1∗ − B N2∗ ]
r
To find the values of N1∗ and N2∗ , we get two equations such that
a2 N 1 N 2
F(N1 , N2 ) = a1 (H )N1 − a2 N12 − (6)
1 + αN1 + β N2
128 N. Goel et al.
Fig. 2 Existence of interior equilibrium point
a2 N 1 N 2
G(N1 , N2 ) = b1 (H )N2 − b2 N22 + (7)
1 + αN1 + β N2
From Eqs. (6) and (7) we can find that,

a1 (H )
(1) if N2 = 0 and F(N1 , 0) = 0 ⇒ f 1 (N1 ) = a2
and by theory of equation
there exist N1 = C1∗ such that f 1 (C1∗ ) = 0
a1 (H )
(2) if N1 = 0 and F(0, N2 ) = 0 ⇒ f 2 (N2 ) = a2 −a1 (H )β
there exist N2 = D1∗ such that f 2 (D1∗ ) = 0
b1 (H )
(3) if N2 = 0 and G(N1 , 0) = 0 ⇒ f 3 (N1 ) = a2 −b1 (H )α
there exist N1 = C2∗ such that f 3 (C2∗ ) = 0
b1 (H )
(4) if N1 = 0 and G(0, N2 ) = 0 ⇒ f 4 (N2 ) = b2
there exist N1 = D2∗ such that f 4 (D2∗ ) = 0
The two Eqs. (6) and (7) intersect with each other in the positive phase plane
under either of the following conditions:
C2∗ < C1∗ and D1∗ < D2∗ or C2∗ > C1∗ and D1∗ > D2∗ .
Which shows that E 2∗ exists and is unique if dd NN1∗ < 0 as shown in Fig. 2.
2
6 Local Stability Analysis
In this section, we will study the local stability analysis of boundary and interior
equilibrium points.
The Jacobian corresponding to E(H, N1 , N2 ) is given by
let
a2 N 1 N 2
M=
1 + αN1 + β N2
⎡ ⎤
− rKH −AH −B H
J (H, N1 , N2 ) = ⎣ a1 N1 b1 (H ) − b2 N2 + Mβ ⎦

−a2 N1 + Mα

b1 N2 a1 (H ) − a2 N1 − Mα b2 N2 − Mβ
The characteristic equation corresponding to Jacobian E 1 (H ∗∗ , N1∗∗ , 0) is
λ2 P + λQ + R = 0
where
r H ∗∗ N1∗∗ a2
P= >0
K
r H ∗∗
Q= + a2 N1∗∗ > 0
K
and

R = a1 (H )N1∗∗ > 0
Now, using Routh–Hurwitz Criterion, we can say that all the roots of the polynomial
are either negative or with negative real parts iff, i.e. P Q − R > 0
Then E 1 is locally asymptotically stable with condition

r H ∗∗ a1 (H )N1∗∗ r H ∗∗ a2 N1∗∗
+ a2 a1 (H )N1∗∗2 > .
K K
The characteristic equation corresponding to Jacobian E 2 (H ∗ , N1∗ , N2∗ ) is
λ3 + λ2 X + λY + Z = 0
where
r H∗
X= + N1∗ a2 + b2 N2∗ + Mβ − Mα > 0
K
r H∗ ∗
Y = [N1 a2 + b2 N1∗ + Mβ − Mα] + a1 (H ∗ )b2 N2∗ + a2 b1 (H ∗ )N1∗ + Mαb1 (H ∗ )
K
+a1 (H ∗ )N1∗ AH ∗ + b1 (H ∗ )N2∗ B H ∗ − a1 (H ∗ )b1 (H ∗ ) − a1 (H ∗ )Mβ − b2 N2∗ Mα > 0
r H∗ ∗
Z= [N2 a1 (H ∗ )b2 − a1 (H ∗ )b1 (H ∗ ) − a1 (H ∗ )Mβ + a2 b1 (H ∗ )N1∗ + Mαb1 (H ∗ ) − b2 MαN2∗ − αb2 N2∗ M]
K
∗
+AH ∗ [a1 (H ∗ )b2 N2∗ N1∗ + a1 (H ∗ )Mβ N1∗ + N2∗ b1 (H ∗ )b1 (H ∗ ) + b1 (H ∗ )Mβ N2∗ − b1 (H ∗ )N22 b2 ]

+B H ∗ [a1 (H ∗ )a1 (H ∗ )N1∗ + b1 (H ∗ )a2 N2∗ N1∗ − N12 a1 (H ∗ )a2 − a1 (H ∗ )MαN1∗ − b1 (H ∗ )N2∗ Mα] > 0
130 N. Goel et al.
Now, using Routh–Hurwitz Criterion, we can say that all the roots of the polynomial
are either negative or with negative real parts iff, i.e. X Y − Z > 0.
Then E 2 is locally asymptotically stable .
In the next section, we would discuss the global stability of the interior equilibrium
point.
7 Global Stability
Lemma 2 E ∗ is globally asymptotically stable if

2
a12 < a11 a22
and
2
a13 < a11 a33
where
r
a12 = A − ξ(H )c1 , a11 = , a22 = c1 a2 , a13 = B − η(H )c2 , a33 = c2 b2
2K
Proof We consider the positive-definite function
H N1 N2
V1 (H, N1 , N2 ) = (H − H ∗ − H ∗ ln ) + c1 [N1 − N1∗ − N1∗ ln ∗ ] + c2 [N2 − N2∗ − N2∗ ln ∗ ]
H∗ N1 N2
Then, differentiating V1 with respect to t and solving, we get
−r
V1 = z 1 [ z 1 − Az 2 − Bz 3 ] + c1 z 2 [ξ(H )z 1 − a2 z 2 ] + c2 z 3 [η(H )z 1 − b2 z 3 ]
K
where
a1 (H )−a1 (H ∗ )
H −H ∗
H = H ∗
,
ξ(H ) =
a1 (H ), H = H ∗

b1 (H )−b1 (H ∗ )
H −H ∗
H = H ∗
,
η(H ) =
b1 (H ), H = H ∗
a11 z 12 a11 z 12
V̇ = −[ + a12 z 1 z 2 + a22 z 22 + + a13 z 1 z 3 + a33 z 32 ]
2 2
where
r
a12 = A − ξ(H )c1 , a11 = , a22 = c1 a2 , a13 = B − η(H )c2 , a33 = c2 b2
2K
Now, we see that by Sylvester’s criteria under the following condition V̇ (t) is
negative definite if
2
a12 < a11 a22 (8)
2
a13 < a11 a33 (9)
holds.

Lemma 3 In addition to (4)–(5), let a1 (H ), b1 (H ) satisfy condition 0 ≤ −a1 (H ) ≤

n, b1l ≤ b1 (H ) ≤ b1m for some positive constant b1l , b1m , n . If the above (8) and
(9) inequality hold then positive interior equilibrium point is globally asymptotically
stable.
Proof By mean value theorem |ξ(H )| ≤ n and b1l ≤ |η(H )| ≤ b1m
choosing c1 and c2 such that
ra2 − A2 + 2 Aξ(H )
0 < c1 <
2K ξ(H )2
and
r b2 − B 2 + 2Bη(H )
0 < c2 <
2K η(H )2
then conditions (8) and (9) trivially hold.

Hence ddtV is negative definite.
8 Numerical Example
In this section, we present numerical simulation of some theoretical results which are
discussed in the previous sections. We have studied the behaviour of system for the
following set of parameters. The parameters are taken from the paper in reference [1]:
r = 5, K = 20, a2 = 1.3, a10 = 4, a11 = 1.2, α = 0.2, β = 0.45, b10 = 10, b11 =
0.8035, b2 = 4, A = 0.3, B = 0.4
Considering the above set of parameters which verifies the theoretical results, we
get the interior equilibrium point as (6.5608, 8.5890, 1.9578) Fig. 3.
Example 1 Now we explain the effect of habitat on exotic prey and native preda-
tor. Using distinct values of A (loss of habitat due to exotic prey) and keeping the
remaining parameters same, the stable interior equilibrium point is given below in
the table.
A H N1 N2
0.8 2.1186 4.2169 2.5386
1 1.3512 3.4749 2.5386
1.5 0.3530 2.5683 2.7385
132 N. Goel et al.
Fig. 3 Graph of the system 30

at initial condition [30 30 30] Habitat
Exotic prey
Native predator
25
20
2
H,N ,N
15
1
10
0
0 0.2 0.4 0.6 0.8 1
Time
Remark 1 We conclude from Figs. 4, 5 and 6 and the above table that if habitat
destruction decreases then the equilibrium level of native predator increases whereas
of exotic prey decreases satisfying the assumption taken in the beginning. Therefore,
any further exploitation by man-made projects would have the effect in the same
manner.
Example 2 Now we explain the effect r (growth rate of habitat) on both the species
keeping the remaining parameters the same. The interior equilibrium point is given
by the table below.
r H N1 N2
0.5 1.0964 3.7287 2.6713
2 2.5200 4.9775 2.4882
3 3.3385 6.1328 2.3173
Remark 2 We conclude from Figs. 7, 8 and 9 and the above table that if habitat
destruction due to man-made projects decreases then the equilibrium level of native
predators decreases as the habitat is not conducive for them, however equilibrium
level of exotic prey increases due to the favourable condition of habitat characteristic
for exotic prey.

Habitat
at A = 0.3 Exotic prey
Native predator
25
20
H,N1,N2
15
10
0
0 0.2 0.4 0.6 0.8 1
Time

at A = 1 Habitat
Exotic prey
Native predator
25
20
2
H,N ,N
15
1
10
0
0 0.2 0.4 0.6 0.8 1
Time
134 N. Goel et al.

at A = 1.5 Habitat
Exotic prey
Native predator
25
20
H,N1,N2
15
10
0
0 0.2 0.4 0.6 0.8 1
Time

at r = 0.5 Habitat
Exotic prey
25 Native predator
20
1 2
H,N ,N
15
10
0
0 0.2 0.4 0.6 0.8 1
Time

at r = 2 Habitat
Exotic prey
Native predator
25
20
2
H,N ,N
15
1
10
0
0 0.2 0.4 0.6 0.8 1
Time

Habitat
at r = 3 Exotic prey
Native predator
25
20
2
H,N1,N
15
10
0
0 0.2 0.4 0.6 0.8 1
Time
136 N. Goel et al.
9 Conclusion
In this paper, we have developed a mathematical model on the Effect of Habitat

on Dynamic of Exotic and Native prey–predator population. We have studied the
boundedness of the model and the existence of equilibrium points. We have also
studied the local and global stability analysis. Lastly, we have given a numerical
example in support of our theoretical results. We have studied the dynamics of the
system depending upon two parameters first ‘A’, i.e. (loss of habitat due to exotic prey)
in which if habitat destruction decreases then the equilibrium level of native predator
increases whereas of exotic prey decreases satisfying the assumption taken in the
beginning. Second, ‘r’, i.e. (growth rate of habitat) in which if habitat destruction
due to man-made projects decreases then the equilibrium level of native predators
decreases as the habitat is not conducive for them, however equilibrium level of
exotic prey increases due to the favourable condition of habitat characteristic for
exotic prey.
References
1. O.P. Misra, P. Kushwah, C.S. Sikarwar, Dynamical study of native and exotic competing
populations: effects of habitat destruction. J. Ecol. Complex. 2014, 45–46 (2014). Elsevier
2. O.P. Misra, P. Kushwah, C.S. Sikarwar, Effect of exotic species on a system of native Prey-
Predator populations : a model. Appl. Math. Model. 36, 290–299 (2012)
3. J.B. Shukla, B. Dubey, H.I. Freedman, Effects of changing habitat on survival of species.
Ecol. Model. 87, 205–216 (1996)
4. A. Braza Peter, Predator-prey dynamics with square root functional responses. Nonlinear
Anal. Real World Appl. 13, 1837–1843 (2012)
5. F.B. Rizaner, S.P. Rogovchenko, Dynamics of a single species under periodic habitat fluctu-
ations and Allee effect. Nonlinear Anal. Real World Appl. 13, 141–157 (2012)
6. N.O.L. Carlsson, O. Sarnelle, D.L. Strayer, Native predators and exotic prey an acquired taste?
Front. Ecol. Environ. J. 7, 525–532 (2009)
7. S. Sinha, O.P. Misra, J. Dhar, Modelling a predator prey system with infected prey in polluted
environment. Appl. Math. Model. 34, 1861-1872 (2010)
8. M. Haque, Existence of complex patterns in the Beddington-DeAngelis predatorprey model.
Math. Biosci. 239, 179–190 (2012)
9. C.R. Dickman, Impact of exotic generalist predators on the native fauna of Australia. Wildlife
Biol. 185–195 (1996)
10. P. Salo, E. Korpimäki, P.B Banks, M. Nordström, C.R. Dickman, Alien predators are more
dangerous than native predators to prey populations. Proc. Biol. Sci. J. 274, 1237–1243 (2007)
11. K. Worth, Sustainability on Argentina and Chile decide not to leave it to beavers. Sci. Am.
(2014)
12. R. Naddafi, P. Eklöv, K.P. Oikos, Non-lethal predator effects on the feeding rate and prey
selection of the exotic Zebra mussel dreissena polymorpha. Oikos J 116, 1289–1298 (2007)
On Cliques and Clique Chromatic
Numbers in Line, Lict and Lictact
Graphs
Rashmi Jain and Anuj Kumar Jain
Abstract The line graph of a graph G denoted as L(G) has vertex set E(G) in which
two vertices are adjacent if they correspond to adjacent edges in G. The lict graph
and litact graph of G, denoted as L c (G) and L ct (G), respectively having vertex set
E(G) ∪ C(G) (here C(G) is the set of cut-vertices of G), two of these vertices will
be adjacent in L c (G) if they correspond to adjacent edges of G or one vertex is an
edge e of G and other vertex is a cut-vertex c of G such that e is incident to c; and
two vertices in L ct (G) be adjacent if they are adjacent or incident elements of G. In
this paper, we establish results on cliques and clique chromatic numbers in line, lict
and litact graphs of any graph.
Keywords Line graph · Lict graph · Litact graph · Clique · Clique chromatic
number
MSC(2010): Primary: 05C75 · Secondary: 05C76
1 Introduction
For graph-theoretical terminology, the reader can refer to [2]. In this paper, only finite,
connected and simple graphs are considered. In a graph, a set of pairwise adjacent
vertices is known as a clique. Thus, induced subgraph of a clique is a complete
subgraph. A clique that cannot be extended by including one more adjacent vertex
is called a maximal clique that means a maximal clique is the largest clique. A
clique having maximum number of edges in a graph is called a maximum clique. The
R. Jain (B)
Department of Applied Sciences, KIET Group of Institutions,
13 KM Stone, Ghaziabad-Meerut Road, Ghaziabad 201206, (UP), India
e-mail: rashmi2011f@gmail.com
A. K. Jain
Department of Mechanical Engineering, ABES Engineering College,
19th KM Stone, NH 24, Ghaziabad 201009, (UP), India
e-mail: anujjainkanbay@gmail.com
https://doi.org/10.1007/978-981-15-1157-8_12
138 R. Jain and A. K. Jain
maximum and minimum degrees of vertices in a graph G are called maximum and
minimum degrees of graph G and denoted by (G) and δ(G), respectively.
The line graph of a graph G is denoted as L(G) has vertex set E(G) in which
two vertices are adjacent if they correspond to adjacent edges in G (c.f.: [2], Chap.
8). Following Theorem is the characterization of line graphs.
Theorem 1 [2] A graph is a line graph if and only if its edges can be partitioned into
complete subgraphs such that no vertex lies in more than two complete subgraphs.
Kulli and Muddebihal introduced the concepts of line-cut (or, in short, lict) and litact
graphs [3]. The vertex set of lict L c (G) and litact graph L ct (G) of G is E(G) ∪ C(G).
Two vertices in lict graph are adjacent if either they are adjacent edges in G or one
is an edge e and other is an end point of e that is a cut-vertex; and two vertices in
litact graph are adjacent if they are either adjacent edges or adjacent cut-vertices or
an edge whose one end point is a cut-vertex in G .
For a graph G, its line, lict and litact graphs are given in following Fig. 1.
A graph G is called a line, lict or litact graph if and only if there exists some graph
H such that G is isomorphic to the line graph L(H ), lict graph L c (H ) or litact graph
L ct (H ) respectively.
Following theorem is the structural characterization of lict graphs:
Theorem 2 [1] A graph G is a lict graph if and only if its edges can be partitioned
into maximal cliques such that no vertex lies in more than two of maximal cliques
and for each clique G ,
e3
e4
L(G): e1
e2 e5 e7
e6
e3 c1 e4 c2
e3
G: e1 e5 e4 c2
e7 L c (G): e1 c1
e2
e6
e2 e5 e7
e6
e3
e4 c2
L ct (G): e1 c1
e2 e5 e7
e6
Fig. 1 A graph G and its L(G), L c (G) and L ct (G)

On Cliques and Clique Chromatic Numbers in Line, Lict and Lictact Graphs 139
(i) if each vertex of G lies in two cliques of the partition then G − E(G ) is
connected and
(ii) if atleast one vertex v of G does not lie in another clique of the partition then
G − E(G ) − v is disconnected.
The smallest number of colours required to colouring the vertices of a graph G
such that adjacent vertices of G assigned different colours is known as chromatic
number of G and denoted as χ (G). In this paper, we define line, lict and litact maximal
clique chromatic number as the smallest number of colours required in colouring the
maximal cliques in L(G), L c (G) and in L ct (G) such that adjacent maximal cliques
assigned different colours. Here, adjacent cliques mean two maximal cliques having
one common vertex.
2 Main Results
Theorem 3 For a graph G, the number of maximal cliques in

(1) L(G) and in L c (G) are equal to the number of non-pendant vertices in G
(2) L ct (G) is equal to the sum of number of non-pendant vertices and number of
pairs of adjacent cut-vertices in G
Proof (1) By the definition of line graph, the edges incident on a non-pendant ver-
tex v of degree p in G, induce a maximal clique of order p(≥2) in L(G) and
pendant edge induces clique K 1 that contained in a maximal clique induced
by edges incident on its adjacent non-pendant vertex. Therefore, the number of
maximal cliques in L(G) is equal to the number of non-pendant vertices in G.
Similarly, by the definition of lict graph, the edges incident on a non-pendant

vertex v of degree p in G, induce a maximal clique of order p(≥2) or p + 1 in
L c (G) if v is not (is) a cut-vertex of G, respectively. Similar to case 1, pendant
edge induces clique K 1 that contained in a maximal clique induced by edges
incident on its adjacent non-pendant vertex. Therefore, the number of maximal
cliques in L c (G) is also equal to the number of non-pendant vertices in G
(2) By the definition of litact graph, the edges incident on a non-pendant vertex v
of degree p in G, induce a maximal clique of order p(≥2) or p + 1 in L ct (G) if
v is not (is) a cut-vertex in G, respectively, and pendant edge induces clique K 1
that contained in other maximal clique. Two adjacent cut-vertices of G induce
clique K 2 in L ct (G). Thus, the number of cliques in L ct (G) is equal to the sum
of number of non-pendant vertices and number of pairs of adjacent cut-vertices
in G.
For example, the number of non-pendant vertices in the graph G (Fig. 1) is 4
and the number of pairs of adjacent cut-vertices is 1. Hence the number of maximal
cliques in L(G) and in L c (G) are 4 and number of maximal cliques in L ct (G) is 4
+ 1 = 5 that are denoted by G i in Fig. 2.
G1 e3
e4 G4
L(G): e1
G2 e2 G3
e5 e7
e6
e3 c1 e4 c2
G1 e3 G4
G: e1 e5 e4 c2
e7 L c (G): e1 c1
e2
e6
G2 e2 G3 e5 e7
e6
G5
G1 e3
e4 c2
L ct (G): e1 c1
G2 e2 G3 e5 e7
G4 e6
Fig. 2 A graph G and its L(G), L c (G) and L ct (G)
Theorem 4 For a graph G, the number of maximal cliques of order m(≥2) in

(1) L(G) is equal to the number of vertices of degree m in G.
(2) L c (G) is equal to the sum of number of vertices of degree m that are not cut-
vertices and the number of cut-vertices of degree m − 1 in G.
(3) L ct (G), if m ≥3 then it is equal to the sum of number of vertices of degree m
that are not cut-vertices and number of cut-vertices of degree m − 1 in G and
the number of K 2 ’s is equal to the sum of pairs of adjacent vertices of degree 2
that are not cut-vertices and number of pairs of adjacent cut-vertices in G.
Proof (1) The edges incident on a non-pendant vertex v of degree m in G induce

a maximal clique of order m(≥2) in L(G). Therefore, the number of maximal
cliques of order m(≥2) in L(G) is equal to the number of non-pendant vertices
of degree m in G.
(2) The edges incident on a non-pendant vertex v of degree m in G induce a maximal
clique of order m(≥2) or m + 1 in L c (G) if v is not (is) a cut-vertex, respectively.
Therefore, the number of maximal cliques of order m≥2 in L c (G) is the sum of
number of non-pendant vertices of degree m that are not cut-vertices and number
of cut-vertices of degree m − 1 in G.
(3) Similarly, the edges incident on a non-pendant vertex v of degree m in G induce
a maximal clique of order m(≥2) or m + 1 in L ct (G) if v is not (is) a cut-vertex,
respectively, and two adjacent cut-vertices induced cliques K 2 . Thus, the number
of cliques of order m(≥3) in L ct (G) is the sum of number of non-pendant vertices
of degree m that are not cut-vertices and the number of cut-vertices of degree
m − 1 in G and the number of K 2 ’s is equal to the sum of pairs of adjacent

vertices of degree 2 that are not cut-vertices and number of pairs of adjacent
cut-vertices in G.
For example, in Fig. 2, the number of vertices of degrees 2, 3 and 4 in graph G are
2, 1, and 1, respectively. Hence, the number of maximal cliques of orders 2, 3 and 4
in L(G) are 2 (G 1 and G 2 ), 1 (G 3 ) and 1 (G 4 ), respectively.
Similarly, the number of vertices of degrees 2 that are not cut-vertices of G, is

only 2. Hence, L c (G) has two cliques G 1 and G 2 of order 2. Graph G has no vertex
of degree 3 that is not a cut-vertex, hence L c (G) has no maximal clique of order
3. Graph G has no vertex of order 4 and 5 that are not cut-vertices but G has one
cut-vertex of degree 3 and one cut-vertex of degree 4. Hence L c (G) has one maximal
clique of order 3 + 1 = 4 (G 3 ) and one maximal clique of order 4 + 1 = 5 (G 4 ).
Graph G has no vertex of order 3 and 4 that are not cut-vertices but G has two cut-
vertices of order 3 and 4. Hence L ct (G) has one maximal clique of order 4 (G 3 ) and
one maximal clique of order 5 (G 4 ). Also, the number of pairs of adjacent vertices
that are not cut-vertices is only 1 (end points of edge e1 ) and the number of pairs of
adjacent cut-vertices is only 1 (c1 and c2 ). Hence L ct (G) has two K 2 s.
Theorem 5 For a connected graph G, the maximum clique in

(1) L(G) is K n if (G) = n
(2) L c (G) and in L ct (G) is K n if (G) = n and vertex v having degree n is not a
cut-vertex or K n+1 if v is a cut-vertex.
Proof (1) It is clear from definition of line graph, if (G) = n then the edges
incident on a vertex v of degree n induce a maximum clique in L(G). Therefore,
the maximum clique in L(G) is K n if (G) = n.
(2) Similar to (1), it is very clear from definition of lict graph and litact graph, if
(G) = n and d(v) = n then if v is not a cut-vertex then the edges incident on
v or on a cut-vertex of degree n − 1 (if exists) induce a maximum clique K n in
L c (G) and in L ct (G); and if v is a cut-vertex then maximum clique in L c (G)
and L ct (G) is K n+1 .
For example, in graph G of Fig. 2, (G) = 4. Hence, the maximum clique in

L(G) is K 4 (clique G 4 ). Similarly, since the vertex of degree 4 is a cut-vertex of
graph G, maximum clique in L c (G) and in L ct (G) is K 5 (clique G 4 ).
Theorem 6 For a connected graph G, its line and lict maximal clique chromatic
number is χ (G − P(G)), where P(G) is the set of pendant vertices of G.
Proof Since each edge e of G is incident on exactly two vertices of G that are its
end points, if e is a pendant edge of G then due to its pendant and non-pendant end
points, two maximal cliques K 1 and K p , p ≥ 2, respectively, in L(G) and in L c (G)
having common vertex e are induced. Since K 1 overlaps a vertex of K p , we can say
that a vertex in L(G) and in L c (G) corresponding to a pendant edge of G lies only
in one maximal clique in L(G) and in L c (G). Similarly, if e is a non-pendant edge
of G then due to its end points, two maximal cliques of order at least 2 in L(G)
and in L c (G) having common vertex e are induced. Hence, line and lict maximal
clique chromatic number is equal to the chromatic number of a graph obtained by
deleting all pendant vertices from G that means χ (G − P(G)), where P(G) is the
set of pendant vertices of G.
For example, in graph G of Fig. 2, if we delete all pendant vertices then chromatic
number of obtained graph is 3. Hence its line and lict maximal clique chromatic
number is also 3 as there are four maximal cliques G 1 , G 2 , G 3 and G 4 ; we can
assign red colour to G 1 , green colour to G 2 and G 4 and yellow colour to G 3 .
Theorem 7 For a connected graph G, its litact maximal clique chromatic number
is equal to the smallest number of colours used to colouring the set V (G − P(G)) ∪
E c (G) such that two adjacent or incident members receive different colours, here
P(G) is the set of pendant vertices of G and E c (G) is the set of those edges of G
whose end vertices are cut-vertices.
Proof By the definition of Litact graph, V (L ct (G)) = E(G) ∪ C(G). Edges incident
on non-pendant vertices of G induce different maximum cliques in L ct (G) and
adjacent cut-vertices in G induce cliques K 2 in L ct (G). Hence, we should assign
colours to non-pendant vertices and edges having cut-vertices as their end points in
such a way that no two adjacent or incident members receive same colours. Hence
the theorem is proved.
For example, graph G of Fig. 3, has four non-pendant vertices and one edge e4
whose end points are cut-vertices so we assign minimum number of colours to these
vertices and edge e4 such that adjacent or incident members have different colours
that is three colours as shown in Fig. 3. Thus, litact maximal clique chromatic number
is equal to the smallest number of colours used to colouring the set V (G − P(G)) ∪
E c (G) such that two adjacent or incident members receive different colours.
G5
e3 c1 e4 c2 G1 e3
e4 c2
G: e1 e5 e7 L ct (G): e1 c1
e2
e6 e2
G2 G3 e5 e7
G4 e6
Fig. 3 A graph G with litact maximal clique chromatic number 3

References
1. M. Acharya, R. Jain, S. Kansal, Characterization of line-cut graphs. Graph Theory Notes of New
York, LXV, vol. I (2014), pp. 43–46
2. F. Harary, Graph Theory (Addison-Wesley Publ. Comp, Massachusetts, Reading, 1969)
3. V.R. Kulli, M.H. Muddebihal, The lict graph and litact graph of a graph. J. Anal. Comput. 2(1),
33–43 (2006)
Friendship-Like Graphs and It’s
Classiffication
K. Nageswara Rao, P. Shaini and K. A. Germina
Abstract A distance-compatible set-labeling (dcsl) of a connected graph G is

an injective set assignment f : V (G) → 2 X , X being a nonempty set, such that
the corresponding induced function f ⊕ : V (G) × V (G) → 2 X given by f ⊕ (uv) =
f (u) ⊕ f (v) satisfies | f ⊕ (uv) |= k(u,v) dG (u, v) for every pair of distinct vertices
f
u, v ∈ V (G), where dG (u, v) denotes the usual path distance between u and v and
f
k(u,v) is a constant. A dcsl f of G is k-uniform if all the constant of proportional-
ity with respect to f are equal to k, and if G admits such a dcsl then G is called
a k-uniform dcsl graph. And it has been already proved that, for a finite graph G,
k-uniform dcsl graph G with is a finite set X if and only if k-embedding of G
into a hypercube H(X ). In this paper, we introduce Friendship-like graphs and its
classification and prove that it admits 2-uniform dcsl.
Keywords k-Uniform dcsl graphs · λ-Scale embeddable · Friendship graphs
1 Introduction
Acharya [1] introduced the notion of vertex set-valuation as a set-analogue of number

valuation. For a graph G = (V, E) and a non-empty set X , Acharya defined a set-
valuation of G as an injective set-valued function f : V (G) → 2 X , and he defined
a set-indexer f ⊕ : E(G) → 2 X \ {φ} as a set-valuation such that the function given
K. Nageswara Rao (B)

Department of Mathematics, Mai Nefhi College of Science (EIT),
Himbrti, Eritrea
e-mail: karreynageswararao@gmail.com
P. Shaini · K. A. Germina
Department of Mathematics, School of Physical Sciences,
Central University of Kerala, Kasaragode, India
e-mail: shainipv@gmail.com
K. A. Germina
e-mail: srgerminaka@gmail.com

https://doi.org/10.1007/978-981-15-1157-8_13
146 K. Nageswara Rao et al.
Fig. 1 A DCSL graph on

five vertices
by f ⊕ (uv) = f (u) ⊕ f (v) for every uv ∈ E(G) is also injective, where 2 X is the
set of all the subsets of X and “⊕” is the binary operation of taking the symmetric
difference of subsets of X .
Acharya and Germina [2], introduced the particular kind of set-valuation for
which a metric, especially the cardinality of the symmetric difference, associated
with each pair of vertices is k (where k be a constant) times that of the distance
between them in the graph [2]. In other words, determine those graphs G = (V, E)
that admit an injective set-valued function f : V (G) → 2 X , where 2 X is the power
set of a non-empty set X, such that, for each pair of distinct vertices u and v in G,
the cardinality of the symmetric difference f (u) ⊕ f (v) is k times of the usual path
distance dG (u, v) between u and v in G, where k is a nonnegative constant. They
[2] called such a set-valuation f of G a k-uniform distance-compatible set-labeling
(k-uniform dcsl) of G, and the graph G which admits k-uniform dcsl a k-uniform
distance-compatible set-labeled graph (k-uniform dcsl graph) and the non empty set
X corresponding to f a k-uniform dcsl-set.
References [3–5] Fig. 1 gives a dcsl graph on five vertices.
The following definitions are used in the context of this paper.
Definition 1 [6] A fan f n is a graph which can be constructed from a wheel wn by

removing one rim edge.
Definition 2 [9] Let Fn be the collection of n mutually disjoint triangles. A friend-

ship graph Fn , is a graph obtained by selecting one vertex in each of the n triangles
from Fn and identifying them.
Definition 3 [6] A wheel graph wn is a graph obtained by joining all vertices of

cycle Cn to a further vertex called center. The edges which lie on Cn are called rim
edges.
In this paper, all the graphs we considered are simple, finite, and connected. This paper
establishes some classes of 2-uniform dcsl graphs. Further, we introduce Friendship-
like graphs and its classification, and prove that it admits 2-uniform dcsl.
Friendship-Like Graphs and It’s Classiffication 147
2 Main Results
Theorem 1 The n-Wheel graph wn (n ≥ 3) is 2-uniform dcsl.
Proof Let us suppose wn , n ≥ 3 be a n-Wheel graph with V (wn ) = {u, w1 , . . . , wn },

where u is central vertex which is adjacent to each vertex wi .
Define f : V (wn ) → 2 X , where X = {x1 , x2 , . . . , xn }, defined by
f (u) = ∅,
f (wi ) = {xi , xi+1 }, 1 ≤ i ≤ n − 1, and
f (wk ) = {xn , x1 }.
Then, for 1 ≤ i, j ≤ n,

2 = 2. d(wi , w j ), if wi w j ∈ E(G),
| f (wi ) ⊕ f (w j )| =
4 = 2. d(wi , w j ). otherwise.
Also,
| f (u) ⊕ f (wi ) | =| {xi , xi+1 } |= 2. d(u, wi ), 1 ≤ i ≤ n.
Hence f is a 2-uniform dcsl of wn (see Fig. 2).
Theorem 2 The fan graph f n admits 2-uniform dcsl.
Proof Let us suppose f n ; n ≥ 3 be a fan graph with V ( f n ) = {u, u 1 , . . . , u n }, where

u is center vertex which is adjacent to each vertex u i .
Define f : V ( f n ) → 2 X , where X = {x1 , x2 , . . . , xn+1 }, by
f (u) = ∅ and f (wi ) = {xi , xi+1 }; 1 ≤ i ≤ n.
Then, for 1 ≤ i, j ≤ n, we have
Fig. 2 A 3-Wheel graph w3

admits 2-uniform dcsl

2 = 2.d(u i , u j ), if u i u j ∈ E(G).
| f (u i ) ⊕ f (u j )| =
4 = 2.d(u i , u j ), otherwise.
Also,
| f (u) ⊕ f (u i ) | =| {xi , xi+1 } |= 2.d(u, u i ); 1 ≤ i ≤ n.
Hence f is a 2-uniform dcsl.
2.1 Friendship-Like Graphs
Definition 4 Let Fn be the collection of n triangles which may or may not be disjoint.
A friendship-like graph (or a FLG, in short) FLn , is a simple graph obtained by
selecting one vertex in each of n triangles from Fn and identifying them.
The above definition says that if FLn is a friendship-like graph, then we may
observe that n triangles (in FLn ), say T1 , . . . , Tn and a unique vertex, say v (in FLn )
in which each triangle Ti ; 1 ≤ i ≤ n contains this vertex v such that T1 ∪ · · · ∪ Tn =
FLn . The unique vertex v is called the common vertex of T1 , . . . , Tn and is equal to
Δ(FLn ). Thus, by Definition 4, we mean that a graph which contains n triangles with
exactly one common vertex, is a friendship-like graph FLn . For instance, see Fig. 5
for FL4 . Clearly, friendship-like graph is isomorphic to a friendship graph when all
the triangles in Fn are disjoint.
We classify the friendship-like graph FLn which is based on n, the number of
triangles of FLn . If n is even, we call it as even-friendship-like graph (or EFLG).
Otherwise we call it as odd-friendship-like graph (or OFLG). Also, based on the
number of common edges of triangles of FLn , each EFLG (and OFLG) is further
classified. Let us first classify EFLG. Suppose in EFLG, the number of common
edges between each pair of n triangles is zero, then we call it as First kind of
EFLG, denoted by FL1n . In this case, clearly we have, even-friendship-like graph is
isomorphic to a friendship graph, i.e., FL1n Fn . Now, if for each pair of n triangles
there is one edge in common and each such pair does not have a common edge with
any other pair, then we call it as Second kind of EFLG, denoted by FL2n . For the
Third kind of EFLG, denoted by FL3n , there arise 2 cases. By triple triangle, we
mean that arrangement of 3 triangles in an order so that the first and the second, and
the second and the third are the only pair which share the common edges.
Case 1: When 3 divides n
In this case, each of the triple triangles does not have a common edge with the other
triple triangles as shown in Fig. 3.
Case 2: When 3 does not divide n
Fig. 3 FL36
Fig. 4 FL34 and FL38
In this case, let r be the remainder, where 1 ≤ r ≤ 2. Based on the value of r , we

notice that either a triangle or a pair of triangles with a common edge, does not share
a common edge with any of the other triple triangles (see Fig. 4).
Continuing in this way, we get nth kind of EFLG, denoted by FLnn and is isomor-
phic to a fan graph f n . That is, FLnn f n . We call the wheel graph Wn a complete
EFLG (or complete OFLG) and is denoted by FLcn . That is, FLcn Wn .
In a similar manner, we classify OFLG and we get First kind of OFLG, Second
kind of OFLG, and so on up to nth kind of OFLG.
It is quite interesting to obtain FLG graphs, using the wheel graphs wn . The
following example illustrates it.
Example 1 Consider a FLG FL4 . The preceding steps explain the existence of dif-
ferent kinds of EFLG on four triangles (see Fig. 5).
1. The first kind of EFLG, F41 : is obtained by removing rim edges e2i−1 ; 1 ≤ i ≤ 4
from w8 . Thus, F81 is a friendship graph F8 .
2. The second kind of EFLG, F42 : is obtained by removing rim edges e3i−2 ; 1 ≤ i ≤ 2
from w6 .
3. The third kind of EFLG, F43 : is obtained by removing rim edges e4i−3 ; 1 ≤ i ≤ 2
from w6 .
4. The fourth kind of EFLG, F44 : is obtained by removing one of the rim edges from
w5 . Thus, F44 is a fan graph f 4 .
5. The complete EFLG, F4c : is a wheel graph w4 .
Fig. 5 The five kinds of EFLG on four triangles
Let us begin to find out the admissibility of 2-uniform dcsl of each kind of FLG.
Since by Theorem 2, fan graph f n admits 2-uniform dcsl and we know that FLnn fn .
Thus, we have the following.
Theorem 3 The nth kind of EFLG (and OFLG) FLnn admits 2-uniform dcsl.
We have FLcn = wn and from the Theorem 1, n-wheel graph wn , n ≥ 3 admits 2-

uniform dcsl. Hence we have the following result.
Theorem 4 The complete EFLG (and OFLG) FLcn admits 2-uniform dcsl.
Theorem 5 The first kind of EFLG (and OFLG) FL1n ; n ≥ 2 admits 2-uniform dcsl.
Proof Suppose G = FL1n ; n ≥ 2 is a EFLG of first kind.

Which implies G can be obtained from w2n by removing rim edges e2i−1 ; 1 ≤
i ≤ n. Where the vertex set and edge set of w2n are V (w2n ) = {u 1 , . . . , u 2n , v} and
E(w2n ) = {e1 = u 1 u 2 , e2 = u 2 u 3 , . . . , e2n = u 2n u 1 } ∪ {e2n+i = vu i : 1 ≤ i ≤ 2n}
respectively. Here, v is a center vertex and ei , 1 ≤ i ≤ 2n are rim edges.
Thus V (G) = V (w2n ) and E(G) = E(w2n ) \ {e2i−1 : 1 ≤ i ≤ n}.
We prove that G is a 2-uniform dcsl graph and the same proof is applicable for
OFLG of first kind.
Define f : V (G) → 2 X , where X = {x1 , x2 , . . . , x3n }, by
f (v) = ∅, f (u 1 ) = {x1 , x2n+1 }, f (u 2 ) = {x2 , x2n+2 },

f (u 3 ) = {x3 , x2n+2 }, f (u 4 ) = {x4 , x2n+3 }, f (u 5 ) = {x5 , x2n+3 },
f (u 6 ) = {x6 , x2n+4 }, . . . , f (u 2n−2 ) = {x2n−2 , x3n−1 }, f (u 2n−1 ) = {x2n−1 , x3n },
f (u 2n ) = {x2n , x2n+1 }.
Then, for 1 ≤ i, j ≤ 3n, we have

2 = 2.d(u i , u j ), if u i u j ∈ E(G).
| f (u i ) ⊕ f (u j )| =
4 = 2.d(u i , u j ), otherwise.
Also,
| f (v) ⊕ f (u i ) | = 2 = 2.d(u, u i ); 1 ≤ i ≤ 2n.
Therefore, f is a 2-uniform dcsl.

Using the above result, the following result is analogous.
Theorem 6 Friendship graph Fn admits 2-uniform dcsl.
Theorem 7 FL22n ; n ≥ 2 admits 2-uniform dcsl.
Proof Let G = FL22n ; n ≥ 2 be a EFLG of second kind.
Thus, we can get G from w3n by removing rim edges e3i ; 1 ≤ i ≤ n, where
E(w3n ) = {e1 = u 1 u 2 , e2 = u 2 u 3 , . . . , e3n = u 3n u 1 } ∪ {e3n+i = vu i : 1 ≤ i ≤ 3n}.
Hence V (G) = V (w3n ) = {u 1 , . . . , u 3n , v} and E(G) = E(w3n ) \ {e3i : 1 ≤ i ≤ n}.
Claim: G admits 2-uniform dcsl.
Let X = {x1 , x2 , . . . , x4n } and consider an injective function f : V (G) → 2 X defined
by
f (v) = ∅, f (u 1 ) = {x1 , x2 }, f (u 2 ) = {x2 , x3 }, f (u 3 ) = {x3 , x4 }

f (u 4 ) = {x5 , x6 }, f (u 5 ) = {x6 , x7 }, f (u 6 ) = {x7 , x8 }, f (u 7 ) = {x9 , x10 },
f (u 8 ) = {x10 , x11 }, f (u 9 ) = {x11 , x12 }, . . . , f (u 3n−2 ) = {x4n−3 , x4n−2 },
f (u 3n−1 ) = {x4n−2 , x4n−1 }, f (u 3n ) = {x4n−1 , x4n }.
By this mapping, we can easily show that f is a 2-uniform dcsl.

Theorem 8 FL22n+1 ; n ≥ 2 admits 2-uniform dcsl.
Proof Let G = FL22n+1 ; n ≥ 2 be a OFLG of second kind.
As explained before, we get G from w2n+1+ 2n+1
2 (=m, say) by removing rim edges
e3i−1 ; 1 ≤ i ≤ m, where E(w2n+1+m ) = {e1 = u 1 u 2 , . . . , e2n+1+m = u 2n+1+m u 1 } ∪
{e2n+1+m+i = vu i : 1 ≤ i ≤ 2n + 1 + m}.
Thus
V (G) = V (w2n+1+m ) = {u 1 , . . . , u 2n+1+m , v} and

E(G) = E(w2n+1+m ) \ {e3i−1 : 1 ≤ i ≤ m}.
We show that G is a 2-uniform dcsl graph.

Consider an injective function f : V (G) → 2 X , where X = {x1 , x2 , . . . , x2n+2m+1 },
such that
f (v) = ∅, f (u 1 ) = {x1 , x2 }, f (u 2 ) = {x2 , x3 }, f (u 3 ) = {x4 , x5 }

f (u 8 ) = {x10 , x11 }, . . . , f (u 2n+m−1 ) = {x2n+2m−2 , x2n+2m−1 },
f (u 2n+m ) = {x2n+2m−1 , x2n+2m }, f (u 2n+m+1 ) = {x2n+2m , x2n+2m+1 }.
It is easy to establish that f is a 2-uniform dcsl.
In order to prove FL3n ; n ≥ 3 as a 2-uniform dcsl graph, we consider three cases

FL36n ; n ≥ 1, FL36n+1 ; n ≥ 1 and FL36n+2 ; n ≥ 1, respectively, and in each case we
show that it admits 2-uniform dcsl.
Proof Let G = FL36n ; n ≥ 1 be a EFLG of third kind.

Thus, we get the same graph G from w8n by removing rim edges e4i ; 1 ≤ i ≤
e1
2n, where E(w8n ) = E(C8n ) ∪ {e8n+i = vu i : 1 ≤ i ≤ 8n} and C8n : u 1 − u 2 , . . . ,
e8n
u 8n − u 1 .
Consequently, we have
V (G) = V (w8n ) = {u 1 , . . . , u 8n , v} and

E(G) = E(w8n ) \ {e4i : 1 ≤ i ≤ 2n}.
We prove that G is a 2-uniform dcsl graph.

Let us define a function f : V (G) → 2 X , where X = {x1 , x2 , . . . , x10n }, such that
f (v) = ∅, f (u 1 ) = {x1 , x2 }, f (u 2 ) = {x2 , x3 }, f (u 3 ) = {x3 , x4 }

f (u 8 ) = {x9 , x10 }, . . . , f (u 8n−3 ) = {x10n−4 , x10n−3 }, f (u 8n−2 ) = {x10n−3 , x10n−2 }
f (u 8n−1 ) = {x10n−2 , x10n−1 }, f (u 8n ) = {x10n−1 , x10n }.
Case 1: When u = u i , v = u j ∈ E(C8n ); 1 ≤ i = j ≤ 8n, then

2 = 2.d(u, v), if uv ∈ E(C8n ).
| f (u) ⊕ f (v)| =
2 p = 2.d(u, v), otherwise;
where p = 2.
Case 2: When a, b ∈ {v, u i : e8n+i = vu i , 1 ≤ i ≤ 8n} = B(say), then

2 = 2.d(a, b), if uv ∈ E(B).
| f (a) ⊕ f (b)| =
2q = 2.d(a, b), otherwise;
where q = 2.
Case 3: When a = v and b = u j ; 1 ≤ j ≤ 8n, then
| f (a) ⊕ f (b) | = 2 = 2.d(a, b).
Combining all cases, we have f as a 2-uniform dcsl.


Proof Let G = FL36n+1 ; n ≥ 1 be a OFLG of third kind which can be obtained from
w6n+1+ 6n+1 3 (=m, say) by removing rim edges e4i−2 ; 1 ≤ i ≤ m, where E(w6n+1+m ) =
{e1 = u 1 u 2 , . . . , e6n+1+m = u 6n+1+m u 1 } ∪ {e6n+1+m+i = vu i : 1 ≤ i ≤ 6n + 1 + m}.
Hence, we have
V (G) = V (w6n+1+m ) = {u 1 , . . . , u 6n+1+m , v} and

E(G) = E(w6n+1+m ) \ {e4i−2 : 1 ≤ i ≤ m}.
We claim that G is a 2-uniform dcsl graph.

Define a function f : V (G) → 2 X , where X = {x1 , x2 , . . . , x2n+2m+1 }, as follows:
f (v) = ∅, f (u 1 ) = {x1 , x2 }, f (u 2 ) = {x2 , x3 }, f (u 3 ) = {x4 , x5 }

f (u 8 ) = {x10 , x11 }, f (u 9 ) = {x11 , x12 }, f (u 10 ) = {x12 , x13 }, . . . ,
f (u 6n+m−1 ) = {x6n+2m−2 , x6n+2m−1 }, f (u 6n+m ) = {x6n+2m−1 , x6n+2m },
f (u 6n+m+1 ) = {x6n+2m , x6n+2m+1 }.
As explained in the above theorem, we can formulate three cases and can be easily
shown that f is a 2-uniform dcsl.
Proof Let G = FL36n+2 ; n ≥ 1 be a EFLG of third kind which can be obtained from
w6n+2+ 6n+2 3 (=m, say) by removing rim edges e4i−1 ; 1 ≤ i ≤ m, where E(w6n+2+m ) =
{e1 = u 1 u 2 , . . . , e6n+2+m = u 6n+2+m u 1 } ∪ {e6n+2+m+i = vu i : 1 ≤ i ≤ 6n + 2 + m}.
Define a function f : V (G) → 2 X , where X = {x1 , x2 , . . . , x2n+2m+1 }, such that
f (v) = ∅, f (u 1 ) = {x1 , x2 }, f (u 2 ) = {x2 , x3 }, f (u 3 ) = {x3 , x4 }

. . . , f (u 6n+m ) = {x6n+2m−1 , x6n+2m }, f (u 6n+m+1 ) = {x6n+2m , x6n+2m+1 },
f (u 6n+m+2 ) = {x6n+2m+1 , x6n+2m+2 }.
By this mapping f , it immediately follows that f is a 2-uniform dcsl.

By observing the labeling of the Theorems 9, 10, and 11, it can be clearly shown that
FL33 , FL34 , and FL35 are 2-uniform dcsl graphs. Hence, we have
In view of Theorems 3, 4, 5, 7, 8, and 12, we have the following result.
Theorem 13 FLln (1 ≤ l ≤ n) admits 2-uniform dcsl.
3 Conclusion
References [7, 8] Since for a finite graph G, k-uniform dcsl graph G with a finite set
X if and only if k-embedding of G into a hypercube H(X ), friendship-like graphs
and their classifications, are 2-embeddings of hypercube H(X ) for some X .
Acknowledgements The authors are thankful to the Department of Science and Technology, Gov-
ernment of India, New Delhi, for the financial support concerning the Major Research Project (Ref:
No. SR/S4/MS : 760/12).
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Chaotic Maps: Applications to
Cryptography and Network Generation
for the Graph Laplacian Quantum States
Anoopa Joshi and Atul Kumar
Abstract In this article, we proposed a new chaotic map and is compared with
existing chaotic maps such as Logistic map and Tent map. The value of maximal
Lyapunov exponent of the proposed chaotic map goes beyond 1 and shows more
chaotic behaviour than existing one-dimensional chaotic maps. This shows that pro-
posed chaotic maps are more effective for cryptographic applications. Further, we
are using one-dimensional chaotic maps to generate random time series data and
define a method to create a network. Lyapunov exponent and entropy of the data are
considered to measure the randomness or chaotic behaviour of the time series data.
We study the relationship between concurrence (for the two-qubit quantum states)
and Lyapunov exponent with respect to initial condition and parameter of the logistic
map which is showing how chaos can lead to concurrence based on such Lyapunov
exponents.
Keywords Cryptography · Logistic map · Lyapunov exponent.
Notations
A Adjacency matrix.
C(ρ) Concurrence (measure of entanglement).
CC Average clustering coefficient.
D Edge density.
|E| Number of edges.
L Laplacian matrix.
LM Logistic Map.
M Proposed randomness measure.
A. Joshi (B) · A. Kumar

Indian Institute of Technology Jodhpur, Jodhpur 342037, Rajasthan, India
e-mail: pg201283001@iitj.ac.in
A. Kumar
e-mail: atulk@iitj.ac.in

https://doi.org/10.1007/978-981-15-1157-8_14
156 A. Joshi and A. Kumar
MLE Maximal Lyapunov exponent.

|V | Number of nodes.
λ Lyapunov exponent.
ρ Density operator.
ρ∗ Conjugate transpose of ρ.
σy Pauli matrix.
1 Introduction
Chaos is the most challenging topic in science [1, 2]. In recent past, chaos theory has
been studied in the different fields of physics, biology, economics and engineering
as well [3] and has been able to apply a series of chaotic map such as Tent map
[4–6] and Logistic map [7, 8] in these fields. The discovery of chaotic maps may
be one of the most outstanding achievements in nonlinear systems. Since 1980, the
researcher noticed that the chaos theory has been intersecting and mingling with many
subjects, therefore it is sensible to say that the chaos has been playing an important
role to develop the relationship between these subjects. Non-periodicity, topological
transitivity and sensitivity towards initial condition and control parameters are some
of the important properties of chaotic systems. These properties finds applications
in secure communication and cryptography [9, 10]. Chaos and cryptography are
inter-related. Secret Key Cryptography (SKC), Public Key Cryptography (PKC) and
Hash Functions are some of the commonly used algorithms in cryptography for
encrypting and decrypting. It is interesting to note that quantum cryptography lies at
the junction of information theory and quantum mechanics. In 1970, it was Stephen
Wiesner who proposed the idea of quantum cryptography [11]. In 1984, Charles
H. Bennett and Gilles Brassard proposed a technique of Quantum Key Distribution
(QKD) using a protocol commonly known as BB84 [12, 13]. QKD is the most famous
developed application of quantum cryptography and is used to establish a secret
key for encrypting and decrypting of messages. In 1991, Artur Ekert proposed an
approach to QKD using quantum entanglement, this approach provides similar results
to BB84 protocol [14]. In modern quantum cryptography, quantum entanglement
approach to QKD is more relevant, because of fewer security concerns which arise
in other QKD schemes.
The chaos theory is widely applied in secure communication and chaotic maps
are used to study the chaos-based cryptography. These maps are considered for the
generation of pseudo-random numbers and their initial condition and parameters as
secret keys. Chaotic maps are very sensitive to the initial point, it means a very little
variation in the initial value would result in a considerable change in the sequence
created by these maps. Also, their properties are limited to some extent and may no
longer meet our requirements.
The article is organized as follows: In Sect. 2, we discuss the one-dimensional
chaotic maps such as Logistic map and Tent map. We proposed new logistic maps
and calculated maximal Lyapunov exponent of these chaotic maps and discuss how
Chaotic Maps: Applications to Cryptography and Network Generation … 157
encryption quality is improved. In Sect. 3, we are using the one-dimensional map to

generate random time series data and then define a method to create a network for
n-qubit states. Lyapunov exponent and entropy of the data are considered to measure
the randomness or chaotic behaviour of the time series data. In Sect. 4, we define
density operator for simple network and study the relationship between concurrence
(for the two-qubit quantum state) and Lyapunov exponent with respect to initial
condition and parameter of the logistic map. Finally, in Sect. 5, we conclude the
article.
2 Analysis of Chaotic Maps
In this section, first we discuss the Lyapunov exponent of one-dimensional existing

chaotic maps such as Logistic map and Tent map. Further, we proposed a new chaotic
map and compared with these chaotic maps.
Lyapunov Exponent (LE)
Lyapunov exponent generally represents the characteristic of a chaotic system, given
by the great mathematician Aleksandr Mikhailovich Lyapunov. It is used to calculate
for certain value of μ to make the chaotic map develop chaoticity and calculated using
the following expression: [15, 16],
1
k−1
λ = lim ln| f (xn )|. (1)
k→∞ k
n=0
Lyapunov exponent (LE) reaches the maximum value called maximal Lyapunov
exponent (MLE).
⎧
⎪
⎨> 0 implies system is chaotic.
The value of λ is < 0 implies system is periodic.
⎪
⎩
= 0 implies bifurcation.
The larger MLE means that the map is more chaotic. Now we proceed with calculating
the MLE of different chaotic maps.
Tent Map
The Tent map is a well-known discrete map and it is real- valued function with
parameter μ, given by [4]

μxn , xn < 1
xn+1 = 2 , (2)
μ(1 − xn ), xn ≥ 1
2
where μ ∈ [0, 2]. For the initial condition values X 0 = 0.001, the MLE for Tent map
is 0.6926.
Logistic Map (LM)

The logistic map is a polynomial mapping of degree two.
Mathematically the logistic map is written as [8],
xn+1 = μxn (1 − xn ), (3)
where 0 ≤ xn ≤ 1 and 0 ≤ μ ≤ 4. For the initial condition values X 0 = 0.001, the

MLE of logistic map is 0.6958.
Proposed new chaotic map
2
We can get the proposed map by replacing the term xn in Eq. (3) with ( 10+m
10
) |xxnn | ,

10 + m xn 2 10 + m xn 2
xn+1 = μ 1− , (4)
10 |xn | 10 |xn |
where −1 ≤ xn ≤ 1 and 0 ≤ m ≤ 10. For the initial condition x0 = −0.001, the

MLE of the proposed map is given in Table 1 and Lyapunov exponent spectrum for
different m is shown in Fig. 1.
Table 1 MLE of proposed chaotic map

m 0 2 4 6 8 10
μ 4.0 3.996 3.447 3.015 2.682 2.414
MLE 0.6958 1.0222 1.0651 1.0681 1.0834 1.0912
1.5
0
Lyapunov exponent ( )
-2
-4
m=0
-6
m=2
m=4
m=6
-8 m=8
m=10
-10
0 0.5 1 1.5 2 2.5 3 3.5 4
Fig. 1 Lyapunov exponent spectrum of proposed chaotic map for different m

From the above discussion, we can conclude that the proposed chaotic maps are
more chaotic in nature then traditional one. More chaoticity implies more effective
for cryptographic applications [9, 10, 17–19].
3 Modelling of One-Dimensional Chaotic Map into

Networks
In this section, first we create a network from one-dimensional chaotic map. Further
we proposed a randomness measure and study the randomness of network con-
currence of chaotic map through network. So first we define modelling of one-
dimensional chaotic map in to network.
For some seed value of the function iterate for some finite times for the function
to stabilize or move to chaotic region. Once it is in chaotic region or stabilized, we
would generate n consecutive values. These values are normalized in the interval
[0,1]. We then split the interval [0,1] into k (from k = 4, we generate two- qubit
states) equal sub-intervals of length α such that kα = 1. Each such partition serves
as a node in the graph to be considered.
Let y0 be the initial value considered and f(y) be the function considered. Let
g(y) be the normalized value of f(y) obtained by Eq. (5) where f min (y) is the global
minimum of f(y) and f max (y) is the global maximum of f(y).
f (y) − f min (y)

g( f (y)) = (5)
f max (y) − f min (y)
Let xi represent the time series data generated by g(f(y)).

The procedure for graph construction is outlined as follows.
1 Let i = 1;
2 Let jα < xi−1 < ( j + 1)α and kα < xi < (k + 1)α;
3 If there exists a directed edge (j,k), increment weight of edge (j,k) by 1.
Otherwise create a directed edge (j,k) with weight 1;
4 i = i+1;
5 Repeat steps (2) to (4) till i < n;
The resultant graph so formed is undirected as well as with weight 1. Thus the
function under consideration would be transformed into a network representation. A
part of time series data is shown in Fig. 2a and the network generated following the
procedure discussed above is shown in Fig. 2b.
Proposed Randomness Measure
The new measure of randomness proposed is based on the observation that the
increase in the randomness of the system is directly proportional to the edge density.
As the edge density increases, there are more possibilities for the system to move
(a) (b)
1
0.9
0.8
0.7
0.6
x(t)
0.5
0.4
0.3
0.2
0.1
0
0 10 20 30 40 50 60 70 80 90 100
No. of iterations
Fig. 2 a Time series data of LM, b Network generated from LM
out to different nodes. Also with increasing clustering coefficient, the system would
remain confined to the set of nodes forming clusters and hence the system becomes
more predictable. The positive correlation between edge density and entropy as well
as the negative correlation between the average clustering coefficient observed fur-
ther strengthens our hypothesis. Thus the degree of randomness M can be defined
as
M = β × D + γ × CC (6)
where D is the edge density [20] of the system defined as the ratio of the total number
of edges in the system to the total number of edges possible in the system and CC
is the average clustering coefficient [21] of the system. β and γ are scalar constants
which need to be estimated by regression models.
Edge Density
For undirected simple graph the edge density is defined as [20],
2|E|
D= ,
|V |(|V | − 1)
where |E| denotes the total number of edges exist and |V | denotes the total number
of nodes. The value of |V |(|V2 |−1) is equal to number of all possible edges also.
Clustering Coefficient
The clustering coefficient of the nodes is defined as [21],
2|Ei|
CC(i) = ,
ei (ei − 1)
where ei denotes the degree of a node.

0.8
Lyapunov exponent( )
Proposed randomness measure(M)
0.6
0.4
0.2
-0.2
-0.4
3.6 3.65 3.7 3.75 3.8 3.85 3.9 3.95
Fig. 3 Comparison of Lyapunov exponent spectrum and proposed randomness measure of LM
For a network having n nodes, the clustering coefficient is defined as
1
CC(n) = CC(i),
|V | i
where |E i | denotes the number of edges adjacent to a node i of the network

(E i = {v j : ei j ∈ E}) and 0 ≤ CC(n) ≤ 1. Figure 3, shows that the graph of pro-
posed randomness measure (M for β = 1 and γ = −0.31) and the Lyapunov expo-
nent spectrum of logistic map are following the same pattern at parameter μ ∈ [0, 4]
and initial condition value x0 = 0.001, respectively. It proves that the given random-
ness measure (M) is suitable for measuring the randomness of a network.
4 Quantum States
In this section, we discuss how quantum states are associated with logistic maps, using
simple network obtained by LM. For n-qubit state, the interval [0,1] is partitioned into
2n sub-intervals and network having 2n nodes is generated using the method discussed
above. For example, for the two-qubit state, a 4-node network is generated. So now
we define density operator of quantum state associated with the simple network. Let
N be the simple network having n nodes. The adjacency matrix A = [ai j ] is defined
as

0, i = j
A = [ai j ] = ,
1, i = j
and Laplacian matrix L = [li j ] is defined as

j ai j , i = j
L = [li j ] = .
−1, i = j
Therefore, density operator (ρ) is defined as
1
ρ = [ρi j ] = L,
ai j

= 1, Pure state
where T race(ρ) = 1 and T race(ρ 2 ) −→ .
< 1, mixed state
Entanglement and Separability
The quantum state is entangled if we are unable to write the quantum state as a
product states, otherwise separable [22]. We study the entanglement and separability
of two-qubit state. The concurrence which is measure of entanglement for two-qubit
system is given as [23]
3
C(ρ) = max{0, ξ4 − ξn }. (7)
n=1
√
Here ξi = Λi and Λi are eigenvalues of ρ(σ y ⊗ σ y )ρ ∗ (σ y ⊗ σ y ), arranged in
ascending order. If 0 < C(ρ) ≤ 1 then state is entangled otherwise separable.
Figure 4 shows that the some states are entangled in particular interval of μ and
some are separable.
5 Conclusion
In this article, a new one-dimensional chaotic map is proposed and compared with
traditional maps like logistic and tent map. A parameter called Lyapunov exponent
(λ) is used for the comparison. The proposed map gives a higher value of MLE, which
proves that the proposed map will give better results in cryptographic applications. In
addition, we define a method to create a network and proposed a randomness measure
which can be utilized to compare the dynamics of different networks. Further, we
defined quantum states of the logistic map through the network generated.
0.8
Concurrence(C)
Lyapunov exponent( )
0.6
0.4
0.2
-0.2
-0.4
3.6 3.65 3.7 3.75 3.8 3.85 3.9 3.95
Fig. 4 Comparision of Lyapunov exponent spectrum and concurrence of LM
Acknowledgements The authors are grateful to Satish Sangwan for valuable comments and
suggestions.
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Consumer Behaviour Analysis
for Purchasing a Passenger Car in Indian
Context
Tanmay Agarwal, Nivedika Saroha and Girish Kumar
Abstract The automobile industry has faced a metamorphosis over the last three
decades. There has been a shift from the scenario of a manufacturer’s market to a
consumer’s market. The voice of the customer is put at priority even while deciding
any specific model of a car. The bias created by the consumer towards one brand and
the Indian mentality towards vehicular safety is a matter to investigate. This paper
proposes a strategy for analyzing choices of consumers. Multi criteria decision-
making tools, viz., TOPSIS, AHP and CROSSTAB ANALYSIS have been applied.
Data of gender, age, profession and segment of the car collected in the survey is used
as input parameters while making the purchase behaviour model. This analysis helps
car manufacturers to incorporate the features that have been preferred by consumers
and thus value would be created among them. Thereby the manufacturing firm would
be able to improve its profit margins and strengthen its market shares. Simultaneously
the consumer would be able to choose from a wide range of options.
Keywords TOPSIS · Crosstab analysis · Automobile industry · Consumer

behaviour · Indian market
1 Introduction
In 1991, the Indian government embarked on a journey to liberalize the country based
on the pillars of De-licensing, Decontrol, Deregulation and Devaluation. Liberaliza-
tion completely changed the face of the Indian automobile industry, taking it from
CLP (control, licenses and protectionism) to LPG (liberalization, privatization and
globalization). In the post liberalization era the Indian government reduced excise
duties to 40%, import duties of CKD (completely knocked down) units to 50% and
CBU (completely built-up) units to 110% and approved foreign holding of 51% in
Indian companies [1]. Globalization and liberalization opened getaways for open
trade in India as a result of which various international firms wanted to explore this
T. Agarwal (B) · N. Saroha · G. Kumar

Delhi Technological University, New Delhi, India
e-mail: tanmayagarwal_bt2k16@dtu.ac.in

https://doi.org/10.1007/978-981-15-1157-8_15
166 T. Agarwal et al.
opportunity. Therefore, the auto sector started viewing their marketing strategies with
respect to the needs of a customer. These companies invested heavily in the Indian
Automobile market which resulted in the growth of the sector. Better technology
was started being used in India and the consumer had a wider range of options to
choose from. This also increased the producer competition and the pressure on Indian
manufacturers to perform better. This resulted in a win–win scenario for both the
consumer and manufacturer since they both profited from this paradigm shift.
The Indian automobile market has seen a major change from having import only
to one of the largest exporters of automobiles in the world in 1990s. Now, the Indian
automobile market itself is the fourth largest market in the world. It has a blend of
all sorts of automobiles, from lightweight scooters to heavy-duty trucks. Increased
demand of Sport Utility Vehicles (SUV) in the Utility Vehicle (UV) space attracted
the highest growth in the passenger vehicle segment. In 2017, over 21.68 lakh cars
were sold at a growth of 5.13% and sales of UVs registered sales over 8.70 lakh
units at a growth of 20.09% in 2017. Car manufacturers in India had sold over 20.62
lakh cars and 7.24 lakh UVs in 2016. Compound Annual Growth Rate (CAGR) in
passenger vehicles’ sales grew by 3% in 2017 when compared to 2016 [2].
In this work, the study of consumer behaviour towards passenger cars is focused.
The word passenger car is described as a four-wheeler road motor vehicle, intended
for the carriage of no more than nine passengers. Further, in this study, potential
customer is an individual having enough economic resources to buy and has a need
for some particular goods and services, who can be targeted by the manufacturers and
can be converted into his consumer. The behaviour of today’s consumer is analyzed
and studied in this research paper. This analysis has been conducted in Delhi and
NCR. The study aims to find the important factors in an automobile that are desired
by the customers and are responsible in the sale of a car. The main objective was to
build up a Consumer Purchase behaviour Model, with major parameters influencing
the behavioural patterns of the passenger car owners. More specifically, the objectives
were to study the influence in terms of
a. Personal preferences of car features—based on personal needs, convenience and
comfort needs.
b. Information gathering and consumer purchase Initiation—from Newspa-
pers/Radio/Banners, Auto portals, manufacturing websites, YouTube and online
Reviews, Magazines/Auto blogs, Peers, Visit to dealer.
c. External influence—Friends, Spouse, Kids, Parents.
d. Safety features—Front airbags, Curtain airbags, Traction control, Electronic sta-
bility program, Anti-lock braking system, Tyre pressure monitor, app for your
car.
Various techniques such as Crosstab, AHP (Analytic Hierarchy Process) and TOP-
SIS (Technique for Order Preference by Similarity to Ideal Solution) to target the
potential customers so that the profit margin of the company can be maximized.
Consumer Behaviour Analysis for Purchasing a Passenger … 167
2 Problem Statement and Data Collection
With the proliferation of the many passenger car makes and models in India, which
are mostly offering similar value propositions in the passenger car segment, the
car segment has largely been differentiated. The aim of this study is intended to
explore and unearth the differentiating parameters in such a homogenous and syn-
chronized passenger car market, thus influencing the consumer behaviour analysis
for purchasing a passenger car in Indian context in Delhi [3]. For this study, the data
was collected through a survey conducted in Delhi and NCR. The sample included
various classes, viz., businessmen, salaried, professional, homemaker, retired and
college students. This survey included questions regarding personal preference of
car segment (hatchback, SUV, Sedan), information gathering sources, factors based
on car model, internal and external influence factors and safety factors. Moreover,
this survey had age bands of, less than 21, 21–40, 41–60 and more than 61.
The final survey was administered among 100 respondents who belonged to Delhi
and NCR, owning any of the above-mentioned automobile segments both new and
used.
3 Methodology
In this section multiple criteria decision-making (MCDMs) tools, namely, analytical

hierarchical process, crosstab analysis and TOPSIS used for the analysis are described
briefly.
3.1 Crosstab Analysis
Cross tabulation also known as crosstab or contingency table is an MCDM tool that is
used for categorical data. Categorical data involves values that are mutually exclusive
to each other [4]. Cross tabulation is a mainframe statistical model that helps, it helps
take informed decision regarding the research by identifying patterns, trends and
correlation between parameters within the study. When conducting a study, the raw
data can usually be discouraging and will always point to several chaotic possible
outcomes, in such situations crosstab does not help on a single theory beyond doubt
by drawing trends, comparisons and correlations between factors that are mutually
inclusive within the study. In this survey crosstab analysis is used on
a. Age versus personal preference
With the help of a graph, it tells us the most preferred car feature among personal
needs, convenience factors and comfort factors for every age band.
b. Profession versus source of information

This reveals graphically the most visited source of information by different classes
of people and therefore tells us which of the latter should be used for marketing.
c. Gender versus external influence factors
Explains visually the effect of external influence factors, viz., spouse, friends, kids
and parents for the decision-making process between males and females.
3.2 AHP
AHP is one of Multi Criteria decision-making method, it is a method to derive ratio

scales from paired comparisons. The input can be obtained from actual measurement
such as price and weight or from subjective opinion such as satisfaction feelings
and preference. This method works best when analytical method poses unambigu-
ous questions and bases its suggested solutions on testable axioms and accurate
translation of the decision maker’s judgments [5, 6].
In this model, AHP is used to calculate relative weights for selecting the best
alternative for the following:
a. Personal preference
i. Personal need
ii. Comfort
iii. Convenience
b. Car segment
i. Sedan
ii. SUV
iii. Hatchback
c. Safety features
i. Front airbags
ii. Curtain airbags
iii. Traction control
iv. Electronic stability program
v. Anti-lock braking system
vi. Tyre pressure monitor
vii. App for your car.
3.3 TOPSIS
In the TOPSIS algorithm the quantitative criteria are scaled using their own real
numbers. For representation of the imprecision of spatial data, human cognition
over the criteria of the theory of linguistic variables is used. It ranks the alternatives
according to their distances from the ideal and the negative ideal solution, i.e. the
best alternative has simultaneously the shortest distance from the ideal solution and
the farthest distance from the negative ideal solution. The ideal solution is identified
with a hypothetical alternative that has the best values for all considered criteria
whereas the negative ideal solution is identified with a hypothetical alternative that
has the worst criteria values [7]. Here we have taken various classes of people as
‘decision makers’, personal preference (personal need, comfort and convenience)
as our alternatives and source of information (newspaper, car portals, etc.) as our
criteria. Further, best alternative is chosen which ideally should be targeted.
4 Illustration
Problem described in Sect. 2 is illustrated here using methodology given in Sect. 3.
4.1 Crosstab Analysis
First, priority-based result of different personal preferences of comfort, convenience

and personal need was collected from the sample survey. Second, a priority-based
question answered the sequence of preference of sources of information used by
consumer for gathering information to initiate a purchase of a car. Third, another
priority-based question drew light on different external influential factors whose
decision the customer valued the most while purchasing a car [8].
a. Personal preference of car factors
Percent preference of need factors was plotted against the age band. Refer Fig. 1, it
is concluded that all the age groups prefer cars for their personal need. Refer Fig. 2,
it is concluded that comfort needs are least desired between age groups of 21–40 and
41–60.
b. Information source
Percent preference of various professions, viz., student, salaried, retired, professional,
homemaker and business were plotted against their preferred information sources.
Results for most and least preferred information sources are shown below in Figs. 3
and 4, respectively. Refer Fig. 3, it is concluded that students, retired, homemakers
and salaried prefer peers as an information source. Professional and businessmen
Fig. 1 Bar graph for percent 80

preference of need factors
versus age band—most 70
preferred
60
Percent Preference
50
40
30
20
10
0
Less than 21 21-40 40-60 More than
60
Age Band(in years)
Comfort Personal Need Convenience
Fig. 2 Bar graph for percent 60

preference of need factors
versus age band—least
50
preferred
Percent Preference
40
30
20
10
0
Less than 21 21-40 40-60 More than 60
Age Band(in years)
Comfort Personal Need Convenience
prefer visits to dealership. Also, students prefer YouTube and online reviews to gather
information about the car. Professional also prefer newspapers, radio and banners.
Refer Fig. 4, it is concluded that professionals do not prefer the opinion of their
peers and retired people do not like newspaper advertisements and dealer visits.
Homemakers follow the same trend.
60
50
Percent Preference
40
30
20
10
InformaƟon Sources
Student Salaried ReƟred
Professional Homemaker Businessman
Fig. 3 Bar graph representing percent preference of various classes of each class plotted against
various information sources—most preferred
c. External influence factors

The influence of various external decision makers, viz., friends, kids, parents and
spouse among males and females are plotted. The results are illustrated in Figs. 5
and 6 are shown below.
Refer Fig. 5, it is concluded that male population prefer their friend’s opinion and
females prefer the opinion of their parent.
Refer Fig. 6, it is concluded that males do not prefer the opinion of their kids.
Females do not like their friend’s opinion.
4.2 AHP
Data collected in survey provided a relative importance matrix for personal preference
(Table 1), segment of a car (Table 2) and safety features (Table 3). These factors were
ranked according to the priority matrix which resulted from the AHP algorithm.
Thereby the most valued alternative was chosen. First priorities chosen among these
alternatives were counted to create the relative importance matrix.
Table 1 is expressed in decimal form in the following matrix A.
60
50
Percent Preference
40
30
20
10
InformaƟon Sources
Student Salaried ReƟred
Professional Homemaker Businessman
Fig. 4 Bar graph representing percent preference of various classes of each class plotted against
various information sources—least preferred
45
40
35
Percent Preference
30
25
20
15
10
5
0
Friends Kids Parents Spouse
External Influence Factors
Female Male
Fig. 5 Bar graph representing percent preference of gender versus external influential factors
45
40
Percent Preference 35
30
25
20
15
10
5
0
Friends Kids Parents Spouse
External Influence Factors
Female Male
Fig. 6 Bar graph representing percent preference of gender versus external influential factors—least
preferred
Table 1 Relative importance

Personal Convenience Comfort
matrix for personal
preferences Personal 1 52/22 52/26
Convenience 22/52 1 22/26
Comfort 26/52 26/22 1
Table 2 Relative importance

Hatchback Sedan SUV
matrix for segment of a car
Hatchback 1 23/48 23/29
Sedan 48/23 1 48/29
SUV 29/23 29/48 1
⎡ ⎤
1 2.36 2
A = ⎣ 0.42 1 0.85 ⎦
0.5 1.18 1
Various steps were performed as per the AHP algorithm to evaluate the priority
matrix and resultant matrix.
⎡ ⎤
0.52
The priority vector is ⎣ 0.22 ⎦
0.26
Table 3 Relative importance matrix for safety features

FA CA TC ESP ABS TPM APP
FA 1 55/2 55/3 55/7 55/24 55/5 55/4
CA 2/55 1 2/3 2/7 2/24 2/5 2/4
TC 3/55 3/2 1 3/7 3/24 3/5 3/4
ESP 7/55 7/2 7/3 1 7/24 7/5 7/4
ABS 24/55 24/2 24/3 24/7 1 24/5 24/4
TPM 5/55 5/2 5/3 5/7 5/24 1 5/4
APP 4/55 4/2 4/3 4/7 4/24 4/5 1
FA front airbags; CA curtain airbags; TC traction control; ESP electronic stability program; ABS
anti-lock braking system; TPM tyre pressure monitor; APP app for your car
From the priority matrix, it is concluded that personal need got the highest weight
followed by comfort and convenience which differ marginally. This means that if the
company has 100 rupees it should invest 53 rupees in cars for personal need and 26
rupees for comfort and the remaining amount for convenience.
Table 2 is expressed in decimal form in the following matrix B
⎡ ⎤
1 0.48 0.79
B = ⎣ 2.08 1 1.65 ⎦
1.26 0.60 1
matrix.
⎡ ⎤
0.23
The priority vector is ⎣ 0.48 ⎦
0.29
From the priority matrix, it is concluded that highest weight comes out to be for
Sedan followed by SUV and Hatchback, respectively. This also means that if the
company has 100 rupees then 48 should be spent on Sedan, 29 on SUV and 23 on
Hatchback.
matrix. Table 3 is expressed in decimal form in the following matrix shown below.
⎡ ⎤
1 27.5 18.34 7.85 2.29 11 13.75
⎢ 0.04 0.5 ⎥
⎢ 1 0.67 0.28 0.08 0.4 ⎥
⎢ 0.05 0.75 ⎥
⎢ 1.5 1 0.43 0.125 0.6 ⎥
⎢ ⎥
⎢ 0.127 3.5 7 1 0.29 1.4 1.75 ⎥
⎢ ⎥
⎢ 0.43 12 8 3.42 1 4.8 6 ⎥
⎢ ⎥
⎣ 0.09 2.5 1.67 0.71 0.20 1 1.25 ⎦
0.07 2 1.34 0.57 0.167 0.8 1
matrix.
⎡ ⎤
0.540
⎢ 0.019 ⎥
⎢ ⎥
⎢ 0.294 ⎥
⎢ ⎥
⎢ ⎥
The priority vector is ⎢ 0.086 ⎥
⎢ ⎥
⎢ 0.235 ⎥
⎢ ⎥
⎣ 0.049 ⎦
0.039
From the priority matrix, it is concluded that the company should invest more on
the safety features which are having a greater value for weights, highest being for
front airbags and least for curtain airbags.
4.3 TOPSIS
In this analysis various classes of people are taken as ‘decision makers’, personal pref-
erence (personal need, comfort and convenience) as ‘alternatives’ and SOI (Sources
of information, i.e. newspaper, car portals, etc.) as criteria. A Decision table was
made between the criteria and decision makers. This is shown in Table 4. A Deci-
sion matrix between the criteria and alternatives was established. Finally, a relative
closeness to ideal solution was evaluated. Refer Tables 5 and 6, respectively.
Table 4 Decision table

Profession
SOI St Sa Re Pro Home Bus
Auto 14.06 0 0 15.38 0 0
Mag 4.68 12.5 0 15.38 0 0
Manu 10.93 0 0 23.07 0 0
News 20.31 25 50 15.38 33.34 42.85
Peer 14.06 37.5 50 7.69 50 0
Visit 15.62 12.5 0 23.07 0 57.14
YouTube 20.31 12.5 0 0 16.67 0
Auto auto portals like car wale and cardekho; Mag magazine/auto blogs, Manu manufacturing
websites; News Newspapers/Radio/Banners; Peer peers; Visit visit to dealer; YouTube YouTube
and online reviews; St student; Sa salaried; Re retired; Pro professional; Home homemaker, Bus
businessman
Table 5 Decision matrix

SOI ALT1 ALT2 ALT3
Auto 0.02 0.01 0.13
Mag 0.09 0.01 0.009
Manu 0.07 0.009 0.01
News 0.3 0.18 0.15
Peer 0.31 0.27 0.23
Visit 0.11 0.21 0.24
YouTube 0.06 0.1 0.04
ALT1 personal needs; ALT2 convenience, ALT3 comfort needs
Table 6 Separation from

Criteria ALT1 ALT2 ALT3
ideal solution
Si* 8.49 13.04 15.26
Si 14.81 7.47 8.26
Si* + Si 23.31 20.51 23.52
Si /Si* + Si 0.63 0.36 0.35
ALT1, i.e. alternative 1 is closest to the ideal solution, according
to TOPSIS analysis. Hence car manufacturers should focus more
on vehicles satisfying personal needs more than convenience and
comfort
5 Conclusion
In this paper consumer behaviour is studied and analyzed using various MCDM
tools. The tools used are effective in prioritizing the important factors responsible
for the purchase of a car. Moreover, they are also able to highlight factors which are
superfluous with respect to consumer considerations while purchasing an automobile.
All MCDMs mentioned above gave consistent results ranking personal need as the
most important personal preference. Different preferences of information source
among various classes are analyzed and inferences are drawn. Crosstab analysis
also showed that males were influenced more by their peers and females tend to
listen to their parents while making a car purchase. AHP realized the most important
segment of the car was sedan followed by SUV and Hatchback. It also showed that
the company should invest most on front airbags followed by ABS and least on
Curtain airbags. The constraints in this study are limited sample size and lack of
diversity among various choices. Further, car manufacturers should selectively aim
at the results of the above analysis in order to increase their profit margins by focusing
on important factors and de-focusing themselves from ineffective factors.
References
1. “Indian Automobile Industry: Post Liberalization Scenario.”

2. SIAM, Society of Indian Automobile Manufactures. [Online]. Available: http://www.siamindia.
com/statistics.aspx?mpgid=8&pgidtrail=9. Accessed 15 Sept 2018
3. B. Menon, J.V. Raj, Logistic regression modeling for consumer purchase behaviour of passenger
cars (2012)
4. What is Crosstab? [Online]. Available: https://www.researchoptimus.com/article/cross-tab.php.
Accessed 20 Sept 2018
5. Z. Abu-Sarhan, Application of analytic hierarchy process (AHP) in the evaluation and selection
of an information system reengineering projects (2011)
6. T.L. Saaty, Approximation method of analytic hierarchy process (AHP) as developed by Dr.
T.L. Saaty and others
7. R. Ewa, Multi-criteria decision making models by applying the TOPSIS method to crisp and
interval data. Multi. Criteria Dec. Make Model. (2011)
8. Cross tabulation with Example | Cross tab and; Chi square analysis | QuestionPro. [Online].
Available: https://www.questionpro.com/cross-tabulation.html. Accessed 18 Sept 2018
A New Hybrid Model Based on Triple
Exponential Smoothing and Fuzzy Time
Series for Forecasting Seasonal Time
Series
A. J. Saleena and C. Jessy John
Abstract Triple exponential smoothing is one of the prominent linear models for
seasonal time series forecasting. Fuzzy time series forecasting is originated as a
new advent for forecasting the data which is imprecise and vague. In this work, we
proposed a methodology using both triple exponential smoothing and fuzzy time
series. It has the advantage of modelling aspects in linear and non-linear setup.
Empirical results with real-world data sets show that the hybrid model is an efficient
one based on forecasting accuracy than the component models used individually.
Keywords Fuzzy time series · Hybrid · Triple exponential smoothing
1 Introduction
A time series is a single realization of a stochastic process. In general, a time series can
have four main components, namely, trend component, cyclical component, seasonal
component and irregular component. In analysing a time series, it is important to con-
sider these four components. Here we deal with the time series in which seasonality
is present. Seasonality is a characteristic of a time series in which data experiences
regular and predictable changes that recur every unit of time, for example, within a
year.
In general, seasonality is of two kinds: additive seasonality and multiplicative
seasonality. Additive seasonality is one in which seasonal swings (amplitudes) do
not change with a change in the level, but are constant for all levels. In multiplicative
seasonality, seasonal swings (amplitudes) increase with an increase in the level. Here
we consider the seasonal time series with additive structure.
Time series modelling and forecasting is a dynamic research area in which the
observed time series is analysed to establish a suitable model which depicts the
intrinsic structure of the series. Then the forecasting is done using this model.
A. J. Saleena (B) · C. Jessy John

Department of Mathematics, National Institute of Technology Calicut,
NIT Campus, Kozhikode 673601, India

https://doi.org/10.1007/978-981-15-1157-8_16
180 A. J. Saleena and C. Jessy John
Exponential smoothing [1, 2] is a very popular forecasting method for a wide range
of time series. Weighted averages of previous observations are the forecasts in the
exponential smoothing methods. The weights decline exponentially when the obser-
vations become older. Triple exponential smoothing [3] is one of such methods
especially used for analyzing seasonal time series.
The notion of fuzzy set was proposed by Zadeh [4] to cope with unclear bound-
aries, representing vague concepts and working with linguistic variables. In this
regard, fuzzy set theory evolved to deal with uncertainties. The more reasonable
solutions are obtained in fuzzy-logic based systems for real-world problems such
as time series forecasting. The concept of Fuzzy logic to analyze time series with
vagueness is termed as fuzzy time series.
In view of works by Zadeh [5, 6], Song and Chissom [7, 8] proposed the concept
of fuzzy time series. It is an exceptional powerful process with semantic qualities as
its perceptions. To describe this, fuzzy relational equations are used as the models.
Song and Chissom [7, 8] propounded first-order time-invariant fuzzy time series
forecasting model. In this work, max-min composition operation is used for mod-
elling fuzzy time series. Chen [9] utilized simple arithmetic mean operations and
fuzzy logical relationship groups to lessen the computational complexity.
Length of intervals has an impact upon forecasting accuracy in fuzzy time series.
Huarng [10] extended Chen’s [9] model with distribution and average-based length.
Yu [11] rectified two problems in fuzzy modelling, namely repeating and weighting
of fuzzy logical relationships. Cheng et al. [12] included adaptive expectation model
in fuzzy modelling for stock price forecasting. Yolcu et al. [13] broadened Huarng’s
[14] by employing constrained optimization to evaluate the length of intervals. Tsaur
[15] incorporated the concept of Markov chain and transition probability matrix to
the fuzzy relations. Guney et al. [16] extended Tsaur, R. C. to a seasonal time series.
Seasonal time series are frequently observed in a variety of real-world problems.
In the literature, seldom work is done based on seasonal time series under fuzzy
forecasting. Song [17] first introduced a fuzzy model for time series with seasonal-
ity. Egrioglu et al. [18] proposed SARIMA models with partial high-order bivariate
fuzzy model and the concept of neural network. Suhartono and Lee [19] incorpo-
rated Winter’s model with weighted fuzzy time series model. Tseng and Tzeng [20]
combined the potentialities of SARIMA model and the fuzzy regression model.
In this paper, a hybrid model composed of triple exponential smoothing and fuzzy
model for forecasting seasonal time series is proposed. This model is an effective one
to get more accurate forecast compared to component models for time series which
has additive seasonality. The remaining of this paper is categorized as follows: Sect. 2
elaborates triple exponential smoothing and Sect. 3 for basic notions of fuzzy time
series. The proposed hybrid model is given in Sect. 4 and numerical results for two
real-world data sets in Sect. 5. The conclusion is given in Sect. 6.
A New Hybrid Model Based on Triple Exponential Smoothing … 181
2 Triple Exponential Smoothing
Winter [3] introduced triple exponential smoothing model for forecasting time series
with seasonality. The forecast for triple exponential smoothing (TES) with additive
seasonality is given by four equations:
The level estimate:
Lt = α(Yt − St−s ) + (1 − α)(Lt−1 + bt−1 ) (1)
The trend estimate:
bt = β(Lt − Lt−1 ) + (1 − β)bt−1 (2)
The seasonality estimate:
St = γ(Yt − Lt ) + (1 − γ)St−s (3)
Forecast m periods into the future:
Ft+m = Lt + mbt + St−s+m (4)
where ‘s’ is the period of seasonality.

The parameters α, β and γ are smoothing constants and lying between 0 and 1
including both. They are determined according to searching algorithm with smallest
forecasting error.
3 Basic Notions of Fuzzy Time Series
Definition 3.1 [4] Let U be a universal set. A fuzzy set A in U is characterized by

its membership function μA : U → [0, 1] and μA (x) is interpreted as the degree of
membership of element x in fuzzy set A for each x ∈ U .
Let U be discrete and finite, then
A = {μA (x1 )/x1 + μA (x2 )/x2 + · · · + μA (xn )/xn }
Definition 3.2 [7, 8] Let Y (t), t = 0, 1, . . . , a subset of R, be the universe of dis-

course on which fuzzy sets fi (t), i = 1, 2, . . . are defined and F(t) is the collection
of fi (t), i = 1, 2, . . .. Then F(t) is called a fuzzy time series on Y (t), t = 0, 1, . . .
Here F(t) can be considered as a linguistic variable and fi (t), i = 1, 2, . . . as the
possible linguistic values of F(t). The observations of fuzzy time series are fuzzy
sets.
Definition 3.3 [7, 8] Suppose I and J are indices sets for F(t − 1) and F(t), respec-
tively. If for any fj (t) ∈ F(t) where j ∈ J , there exists an fi (t − 1) ∈ F(t − 1) where
i ∈ I such that there exists a fuzzy relation Rij (t, t − 1) and fj (t) = fi (t − 1)oRij (t, t −
1) where ‘o’ is the max-min composition, then F(t) is said to be caused by F(t − 1)
only and it is denoted by fi (t − 1) → fj (t) or equivalently F(t − 1) → F(t).
Definition 3.4 [7, 8] Let R(t, t − 1) = Ui,j Rij (t, t − 1), where ‘U’ is the union oper-
ator. Then R(t, t − 1) is called the fuzzy relation between F(t) and F(t − 1) and
define this as the following fuzzy relational equation:
F(t) = F(t − 1)oR(t, t − 1)
Definition 3.5 [7, 8] Suppose F(t) is caused by F(t − 1) only, i.e. F(t − 1) → F(t).
Then this relation can be expressed as F(t) = F(t − 1)oR(t, t − 1), where R(t, t − 1)
is the fuzzy relationship between F(t − 1) and F(t), and F(t) = F(t − 1)oR(t, t − 1)
is called the first-order model of F(t).
Definition 3.6 [7, 8] Suppose R(t, t − 1) is a first-order model of F(t). If for any
t, R(t, t − 1) is independent of t, i.e. for any t, R(t, t − 1) = R(t − 1, t − 2), then
F(t) is called a time-invariant fuzzy time series. Otherwise it is called a time-variant
fuzzy time series.
Definition 3.7 [17] Let F(t) be a fuzzy time series. Assume there exists seasonality
in {F(t)}, first-order seasonal fuzzy time series forecasting model: F(t − s) → F(t)
where s denotes the seasonal period.
4 The Proposed Hybrid Model
Both triple exponential smoothing and fuzzy time series models have procured their
own advances in linear and non-linear modelling, respectively. Moreover, there is
no prevalent model that is reasonable for all circumstances. Zhang [21] suggested a
hybrid methodology that has modelling abilities both in linear and non-linear context.
Zhang [21] observe a time series to be constituted of a linear component and a
non-linear structure.
In this proposed model, linear component is modelled using TES with additive
seasonality. Then the residuals, non-linear component of a time series obtained from
TES with additive seasonality is modelled by fuzzy time series. Thus, we observe
the forecast of a time series to be constituted of two individual forecasts, F1t and F2t ,
as follows:
Ŷt = F1t + F2t (5)
where F1t denotes the forecasted value from triple exponential smoothing model with
additive seasonality at time t and F2t denotes the forecasted value from the fuzzy
time series model applied to residuals obtained from triple exponential smoothing
model with additive seasonality.
Let et represent the residual at time t from the triple exponential model with
additive seasonality, then
et = Yt − F1t (6)
Residual analysis is an important tool for the sufficiency of linear models. The
presence of linear correlation in residuals indicates the insufficiency of a linear model
such as triple exponential smoothing. However, non-linear structures in the data
cannot be detected by residual analysis. The linear model may still inadequate for
modelling non-linear relationships, even if a model has crossed diagnostic checking.
Any notable non-linear structure in the residuals will reveal the drawback of the
triple exponential smoothing model. By modelling residuals using fuzzy time series
model, non-linear relationships can be discovered.
In this hybrid methodology, residual analysis is carried out by fuzzy time series
model due to Tsaur [15] to the obtained residuals. For comparison purpose, Chen
[9] is used. The modelling algorithm of Chen [9] and Tsaur [15] are given below:
Chen [9]
Step 1: Define the universe of discourse U within which the historical data are and
upon which the fuzzy sets will be defined.
U = [Dmin − D1 , Dmax + D2 ], Dmin = minimum value of data and Dmax = maxi-
mum value of data. D1 , D2 are two proper positive numbers.
Step 2: Partition the universe of discourse U into several even lengthy intervals
U = {u1 , u2 , . . . , um }.
Step 3: Define fuzzy sets A1 , A2 , . . . , Ak on the universe of discourse U as follows:
A1 = a11 /u1 + a12 /u2 + · · · + a1m /um ,
A2 = a21 /u1 + a22 /u2 + · · · + a2m /um ,
…
Am = am1 /u1 + am2 /u2 + · · · + amm /um ,
where aij ∈ [0, 1], l ≤ i ≤ k, and 1 ≤ j ≤ m. The value of aij indicates the grade of
membership of uj in the fuzzy set A.
Step 4: Fuzzify the historical data.
If the maximum membership of a given data point is under Ak , then the fuzzified
value for this data point is treated as Ak .
Step 5: Divide the derived fuzzy logical relationships into groups based on the current
states of the data points of fuzzy logical relationships.
Step 6: Calculate forecasted outputs:
• If the fuzzified data point of year i is Aj and there is only one fuzzy logical rela-
tionship in the fuzzy logical relationship groups derived in which the current state
of the data point is Aj , which is Aj → Ak and the maximum membership value
of Ak occurs at interval uk , and the midpoint of uk is mk , then the forecasted data
point of year i + 1 is mk .
• If the fuzzified data point of year i is Aj , and there are the following fuzzy logical
relationships in fuzzy logical relationship groups in which the current state of the
data point is Aj which are Aj → Ak1 , Aj → Ak2 , . . . , Aj → Akp and the maximum
membership values of Ak1 , Ak2 , . . . , Akp occur at intervals u1 , u2 , . . . , up and the
midpoints of u1 , u2 , . . . , up are m1 , m2 , . . . , mp , then the forecasted data point of
year i + 1 is (m1 + m2 + · · · + mp )/p.
• There do not exist any fuzzy logical relationship groups whose current state of the
data point is Aj and the maximum membership value of Aj occurs at interval uj
and the midpoint of uj is mj , then the forecasted data point of year i + 1 is mj .
Tsaur [15]
Step 1–Step 5 is similar to Chen [9].
Step 6: Calculate the forecasted outputs:
Using the fuzzy logical relationship group, make the Markov state transition
probability matrix (tpm). With the help of tpm, forecasts are calculated. The details
are as follows: n states are defined for each time step for the n fuzzy sets. Thus the
dimension of the transition matrix is n × n. The transition probability of state Ai to
M
Aj is written as Pij = Miji . Where Pij is the probability of transition from state Ai to
Aj by one step, Mij is the transition times from state Ai to Aj by one step, and Mi is
the amount of data belonging to the Ai state. Then, the transition probability matrix
R of the state can be written as
⎡ ⎤
P11 P12 . . . P1n
⎢P21 P22 . . . P2n ⎥
⎢ ⎥
⎣. . . ⎦
Pn1 Pn2 . . . Pnn
If F(t − 1) = Ai , the process is defined to be in state Ai at time t − 1; then fore-

casting of F(t) is conducted using the row vector [Pi1 , Pi2 , . . . , Pin ]. The forecast-
ing of F(t) is equal to the weighted average of m1 , m2 , . . . , mn , the midpoint of
u1 , u2 , . . . , un . The expected forecasting values are obtained by the following rules:
• Rule 1: If the fuzzy logical relationship group of Ai is one-to-one , i.e.Ai →
Ak ,with Pik = 1 and Pij = 0, j = k
then the forecasting of F(t) is mk , the midpoint of uk , according to the equation
F(t) = mk Pik = mk .
• Rule 2: If the fuzzy logical relationship group of Aj is one-to-many , i.e.Aj →
A1 , A2 , . . . , An , j = 1, 2, . . . , n
then the forecasting of F(t) is
F(t) = m1 Pj1 + m2 Pj2 + · · · + mj−1 Pj(j−1) + Y (t − 1)Pjj + mj+1 Pj(j+1)
+ · · · + mn Pjn ,
where m1 , m2 , . . . , mj1 , mj+1 , . . . , mn are the midpoint of u1 , u2 , . . . , uj1 ,
uj+1 , . . . , un ,and Y (t − 1) is substituted for mj in order to take more information
from the state Aj at time t − 1.
Proposed Algorithm
Step 1: Apply triple exponential smoothing model with additive structure using
Eqs. (1)–(4) to the time series which has additive seasonality. Then we get first fore-
cast component F1t and residuals et .
Step 2: Apply fuzzy model to the residuals acquired from triple exponential smooth-
ing with additive structure and obtained the second forecast component F2t . In this
step, Tsaur [15] is applied.
Step 3: Calculate the total forecast using Eq. (6).
Forecasting Accuracy Measures
Two measures of forecasting, the root mean squared error (RMSE) and mean absolute
percentage error(MAPE) are used for measuring the forecasting accuracy of the
proposed method and compared with triple exponential smoothing and Chen [9] and
seasonal time series model due to Guney et al. [16].
Let Yt is the observation for time period t and Ft is its forecast for the same period.
Then the error is defined by
et = Yt − Ft (7)
If there n observations, then

et2
RMSE = (8)
n
| Yett ∗ 100|
MAPE = (9)
n
5 Numerical Results
The proposed model is applied to two real-world time series, namely (1) time series
of milk production and (2) time series of carbon dioxide emission and analysis are
given below.
Analysis of milk production data
The time series of milk production from January 1962 until December 1975 is avail-
able in [22]. From Fig. 1, it is observed that the time series has an increasing trend
with additive seasonality. To evaluate the forecasting accuracy of various models,
the data is partitioned into two sets of training and testing. The training set has 144
records (January 1962 until December 1974) and then the last 12 records (January
1975 until December 1975) as test set to assess the proposed model.
The TES with additive seasonality is applied to the time series of milk production
and smoothing parameters are obtained as
α = 0.546, β = 0, γ = 0.751.
Fig. 1 Monthly milk production data
Table 1 Error comparison for the time series of milk production

Model RMSE MAPE
Training Testing Training Testing
TES 8.237 14.837 0.852 1.562
TES+Chen [9] 8.056 16.211 0.8649 1.6619
Guney et al. [16] 13.630 17.037 1.2927 1.548
Proposed 7.635 13.965 0.7757 1.4789
The residuals obtained from TES with additive seasonality is given in Fig. 2. Then
Tsaur [15] is applied to the residuals. The error comparison of the proposed model
with TES, a hybrid method based on TES and Chen [9] and seasonal time series
model by Guney et al. [16] for milk production data is given in Table 1.
Fig. 2 Errors from TES Model of milk production data
Analysis of carbon dioxide data

Atmospheric Infrared Sounder (AIRS) provides carbon dioxide data globally of space
resolution 1◦ . For illustration, we choose a study region in India with latitude range
as 0–40 and longitude range as 60–100. The time series of CO2 from January 2003
until December 2011 is available in [23]. From Fig. 3, it is observed that the time
series has an increasing trend with additive seasonality. We choose the training data
as January 2003 until December 2010 (96 records) and testing data as January 2011
until December 2011 (12 records).
The TES with additive seasonality is applied to the time series of CO2 emission
and smoothing parameters are obtained as follows:
α = 0.370, β = 0.0728, γ = 0.707.
The residuals obtained from TES with additive seasonality is given in Fig. 4. Then
Tsaur [15] is applied to the residuals. The error comparison of the proposed model
for CO2 data is given in Table 2.
The modelling of the proposed method is done using R package and MATLAB
package.
Table 2 Error comparison for time series of CO2 emission

Model RMSE MAPE
Training Testing Training Testing
TES 0.2956 0.3375 0.0575 0.071
TES+Chen [9] 0.2799 0.4004 0.0560 0.0873
Guney et al. [16] 0.8507 1.9194 0.1725 0.4875
Proposed 0.2680 0.3203 0.0519 0.0661
6 Conclusion
Time series modelling and forecasting is essential for the management and planning-
related activities of many real-world systems. The triple exponential smoothing
model due to Winter [3] is one of the most popular methods for forecasting sea-
sonal time series. Fuzzy modelling is a recently emerging research approach for
forecasting time series.
In this paper, a hybrid method composed of TES and fuzzy model is proposed
for the forecasting seasonal time series. This hybrid model exploits a remarkable
quality of TES and fuzzy time series model in linear and non-linear modelling. The
case study analysis of two real-world data as illustrative examples are presented here
and compared with triple exponential smoothing, a hybrid method based on triple
exponential smoothing and Chen [9] and seasonal time series model by Guney et al.
[16]. The error comparison of the proposed model with triple exponential smoothing,
a hybrid method based on triple exponential smoothing and Chen [9] and seasonal
time series model by Guney et al. [16] shows that the proposed model is more
accurate.
Fig. 3 Monthly CO2 data

Fig. 4 Errors from TES model of CO2 data
Simulation study of the proposed model and more case studies are in progress.
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New Fuzzy Divergence Measure and Its
Applications in Multi-criteria
Decision-Making Using New Tool
Ram Naresh Saraswat and Adeeba Umar
Abstract Fuzzy set theory is well suited for dealing with uncertainty and vague-
ness. In this research paper, we introduced new convex function, new fuzzy diver-
gence measure and its generalization with the proof of its validity. Further, we
established relations between new and well-known fuzzy divergence measures.
Also, we discussed applications of new fuzzy divergence measure in multi-criteria
decision-making using a new tool and its comparison with the TOPSIS method.
Keywords Divergence measures · Fuzzy sets · Multi-criteria decision-making ·

TOPSIS · Fuzzy divergence measure
1 Introduction
In information theory, the entropy measure was first introduced by Shannon [19].
Kullback and Leibler [13] were first to define the divergence measure which mea-
sures the discrimination of a probability distribution relative to the other probability
distribution. In 1965, Zadeh [22] introduced a fuzzy set theory, which was simi-
lar to the concept of probability theory. Bhandari and Pal [2] introduced the fuzzy
divergence measure for a fuzzy set relative to the other. Kapur [12] explained that
uncertainty measured by probabilistic entropy is because of the information in terms
of probability distribution while uncertainty measured by fuzzy entropy is due to
information fuzziness.
After that, the fuzzy divergence measures were studied by many researchers in dif-
ferent ways and in different areas they gave their applications. Montes et al. [15] used
the relation between probabilistic and fuzzy uncertainty. Ghosh et al. [6] introduced
its application in automated leukocyte recognition. Tomar and Ohlan gave a new
R. N. Saraswat · A. Umar (B)

Department of Mathematics and Statistics, Manipal University Jaipur, Jaipur 303007,
Rajasthan, India
e-mail: adeeba1506@gmail.com
R. N. Saraswat
e-mail: saraswatramn@gmail.com

https://doi.org/10.1007/978-981-15-1157-8_17
192 R. N. Saraswat and A. Umar
parametric generalized exponential fuzzy divergence measure. Hooda and Jain [7]
introduced the generalized fuzzy measures of directed divergence total ambiguity and
information improvement. Ferrari [5] gave hyper entropy and related heterogeneity
divergence and information measures.
Recently, a lot of work has been done in the area of information and divergence
measures and their applications but still, there is a need to develop better divergence
measures and their applications in different fields.
Here in this paper, we have proposed a new fuzzy divergence measure with its
proof of validity. The robustness of the proposed new fuzzy divergence measure can
be seen by its application in multi-criteria decision-making. The paper is organized
as follows. Section 2 introduces some well-known notions of information measures
and fuzzy set theory. Section 3 proposed a new fuzzy divergence measure. Section 4
introduces a series of fuzzy divergence measure. Section 5 gives the application of
a new fuzzy measure in multi-criteria decision-making with an illustration. At last,
the conclusion is drawn in Sect. 6.
2 Preliminaries
This section introduces some well-known notions of information measures, diver-

gence measures, and fuzzy set theory. Here, we will focus on probabilistic infor-
mation measures, information divergence measures, fuzzy set theory, and fuzzy
divergence measures.
2.1 Information Measures
Shannon [19] gave the word entropy, which measures uncertainty in a probabilistic
distribution which is given by

n
H (X ) = − pi log pi (2.1)
i=1
where X is a discrete random variable and P = ( p1 , p2 , p3 , . . .) is a probability

distribution.
2.2 Divergence Measures

n
Let = P = ( p1 , p2 , . . . , pn ), pi ≥ 0, pi = 1 , n ≥ 2
i=1
New Fuzzy Divergence Measure and Its Applications … 193
be the set of all complete finite discrete probability distributions. We have many
information and divergence measures in the literature of information theory and
statistics. Kullback and Leibler [13] gave the measure of divergence which is given
by

n
pi
D(P|Q) = pi log (2.2)
i=1
qi
Csiszar gave a generalized measure of information using f-divergence measure,

which is given by

n
pi
I f (P, Q) = qi f (2.3)
i=1
qi
where f : R+ → R+ is a convex function and P, Q ∈ n .

The Csiszar’s f-divergence measure that includes several divergence measures,
which measure the distance or affinity between two probability distributions, using
a convex function f defined on (0, ∞).
New f-divergence measure is given by

n
pi + qi
S f (P, Q) = qi f (2.4)
i=1
2qi
2.3 Fuzzy Set Theory
A fuzzy set A is defined on a universe of discourse X, given by Zadeh [22]:
A = {x, μ A (x)/x ∈ X }
where μ A : X → [0, 1] is the membership function of A. Here, μ A (x) demonstrates

the degree of belongingness of x ∈ X in A.
2.4 Fuzzy Divergence Measures
De Luca and Termini [14] gave the fuzzy entropy measure

n

H (A) = − μ A (xi ) log μ A (xi ) + (1 − μ A (xi )) log(1 − μ A (xi ))
i=1
After that, Bhandari and Pal [2] introduced exponential fuzzy entropy as
1 n
E(A) = √ μ A (xi )e(0−μ A (xi )) + (1 − μ A (xi ))eμ A (xi ) − 1 (2.5)
n( e − 1) i=1
3 Proposed Generalized Fuzzy Divergence Measure
In this section, we find generalized fuzzy divergence measure with the help of a new
convex function.
Let a convex function be f : R+ → R+
f k (t) = (2t − 1)k log(2t − 1)
f (1) = 0
f (t) ≥ 0
n k
pi pi
M f (P, Q) = qi log (3.1)
i=1
qi qi
Fuzzy Divergence Measure is given by

⎡ ⎤
{μ A (xi )}k μ A (xi )
n ⎢ log ⎥
⎢ {μ B (xi )}k−1 μ B (xi ) ⎥
M f (A, B) = ⎢ ⎥ (3.2)
⎣ {1 − μ (x
A i )} k
(1 − μ (x
A i )) ⎦
i=1 + log
{1 − μ B (xi )} k−1 (1 − μ B (xi ))
Theorem 3.1 M f (A, B) is a valid Fuzzy Divergence Measure.
Proof To prove that, we satisfy the following conditions:

⎡ ⎤
{μ A (xi )}k μ A (xi )
⎢ log ⎥
n ⎢ {μ B (x i )}
k−1 μ B (xi ) ⎥
⎢ ⎥
M f (A, B) = ⎣ {1 − μ A (xi )}k (1 − μ A (xi )) ⎦
+ log
i=1 {1 − μ B (xi )}k−1 (1 − μ B (xi ))
(i) M(A, B) ≥ 0
(ii) M(A, B) = 0 i f A = B
(iii) M(A, B) is a convex function of A and B.
Proof
(i) From the above, we see that M(A, B) ≥ 0.
(ii) If A = B, M⎡f (A, B)= 0.
μ (x )
⎤
k{μ B (xi )}1−k {μ A (xi )}k−1 log μ BA (xii ) + {μ B (xi )}1−k {μ A (xi )}k−1
∂Mf n
⎢ ⎥
(iii) = ⎢ −k{1 − μ (x )}1−k {1 − μ (x )}k−1 log 1−μ A (xi ) ⎥
∂μ A (xi ) ⎣ B i A i 1−μ A (xi ) ⎦
i=1 1−k {1
−{1 − μ B (xi )} − μ A (xi )} k−1
(3.3)
∂2 M f
∂μ2A (xi )
⎡ ⎤
μ A (xi )
k(k − 1){μ B (xi )}1−k {μ A (xi )}k−2 log μ B (xi )
n ⎢ ⎥
⎢ +k{μ B (xi )}1−k {μ A (xi )}k−2 + (k − 1){μ B (xi )}1−k {μ A (xi )}k−2 ⎥
= ⎢ ⎥
⎢ A (xi ) ⎥
i=1 ⎣ +k(k − 1){1 − μ B (x i )}
1−k {1
− μ A (xi )}k−2 log 1−μ
1−μ A (xi ) ⎦
+k{1 − μ B (xi )}1−k {1 − μ A (xi )}k−2 + (k − 1){1 − μ B (xi )}1−k {1 − μ A (xi )}k−2
(3.4)
∂2 M
Hence, ∂μ2 (xf ) ≥ 0
A i
⇒ M(A, B) is a convex function.
∂2 M
Also, we can see that ∂μ2 (xf ) ≥ 0.
B i
Therefore, (Sect. 3) is a Fuzzy Divergence Measure (Fig. 1).
Fig. 1 a Graph of the (a) 8 Series1

convex function f k (t) for
6
k = 1, b graph of the convex
function f k (t) for k = 3, 4
c graph of the convex 2
function f k (t) for k = 5
0
0 2 4 6
(b) 400 Series1

Series2
300
200
100
0
0 2 4 6
(c) 20000 Series1

Series2
15000
10000
5000
0
0 2 4 6
4 Series of Fuzzy Divergence Measure
Here, we find a series of fuzzy divergence measure for k = 1, 2, 3, ….

n
n
F= f k (t) = log(2t − 1) (2t − 1)k
k=1 k=1

= log(2t − 1) (2t − 1) + (2t − 1)2 + (2t − 1)3 + (2t − 1)4 + · · ·

= (2t − 1) log(2t − 1) 1 + (2t − 1) + (2t − 1)2 + (2t − 1)3 + (2t − 1)4 + · · · (4.1)
(i) When t ≥ 1
Now we have the following series of convex functions if k = 1, 2, 3, 4 ….
(2t − 1), (2t − 1)2 , (2t − 1)3 , (2t − 1)4 , . . .
Further, we know if f 1 (t), f 2 (t), f 3 (t), . . . are convex functions then the function.
c1 f 1 (t) + c2 f 2 (t) + c3 f 3 (t) . . . is also a convex function where c1 , c2 , c3 , . . . . are
positive constants such that c1 = 0. Now taking
1 1
c1 = 1, c2 = 1, c3 = , c4 = . . .
2! 3!
f 1 (t) = (2t − 1) log(2t − 1), f 2 (t) = (2t − 1)2 log(2t − 1),
f 3 (t) = (2t − 1)3 log(2t − 1) . . .
We have the following series of convex functions:
(2t − 1)2
f (t) = (2t − 1) log(2t − 1) + (2t − 1)2 log(2t − 1) + log(2t − 1)
2!
(2t − 1)2 (2t − 1)2
+ log(2t − 1) + log(2t − 1) + · · ·
3! 4!

(2t − 1)2 (2t − 1)3 (2t − 1)4
= (2t − 1) log(2t − 1) 1 + (2t − 1) + + + + ···
2! 3! 4!
g(t) = (2t − 1) log(2t − 1)e(2t−1) f k (t) = (2t − 1)k log(2t − 1)e(2t−1)
n p
pi i
M(P, Q) = pi log e qi (4.2)
qi
i=1
n
1−μ (x ))
μ A (xi ) μμ A ((xxi )) 1 − μ A (xi ) ((1−μ A i
M(A, B) = μ A (xi ) log e B i + (1 − μ A (xi )) log e B (xi ))
μ B (xi ) 1 − μ B (xi )
i=1
(4.3)
n
( pi )k pi pi
M ∗ (P, Q) = log e qi (4.4)
i=1
(qi )k−1 qi
M ∗ (A, B)
1−μ (x ))
n
{μ A (xi )}k μ A (xi ) μμ A ((xxi )) {1 − μ A (xi )}k 1 − μ A (xi ) ((1−μ A i
= log e B i + log e B (xi ))
{μ B (xi )}k−1 μ B (xi ) {1 − μ B (xi )}k−1 1 − μ B (xi )
i=1
(4.5)
(ii) When t < 1
f (t) = (2t − 1) log(2t − 1)[1 − (2t − 1)]−1

f k (t) = (2t − 1)k log(2t − 1)[1 − (2t − 1)]−1
n
pi qi pi
M(P, Q) = log (4.6)
i=1
(qi − pi ) qi

n
∗ ( pi )k pi
M (P, Q) = log (4.7)
i=1
(qi ) (qi − pi )
k−2 qi
M(A, B)
n
{μ A (xi )}{μ B (xi )} μ A (xi ) {1 − μ A (xi )}{1 − μ B (xi )} 1 − μ A (xi )
= log + log
{μ B (xi ) − μ A (xi )} μ B (xi ) {μ A (xi ) − μ B (xi )} 1 − μ B (xi )
i=1
(4.8)
∗
M (A, B)

n
{μ A (xi )}k μ A (xi ) {1 − μ A (xi )}k 1 − μ A (xi )
= log + log
{μ B (xi )}k−2 {μ B (xi ) − μ A (xi )} μ B (xi ) {1 − μ B (xi )}k−2 {μ A (xi ) − μ B (xi )} 1 − μ B (xi )
i=1
(4.9)
From (2)
n k
pi pi
N (P, Q) = qi log
i=1
qi qi
n
pi
N1 (P, Q) = pi log
i=1
q i
( pi )
n 2
pi
N2 (P, Q) = log
i=1
qi qi
( pi )3
n
pi
N3 (P, Q) = log
i=1
(qi )2 qi
..
.
..
.
and so on. (4.10)

⎡ ⎤
μ A (xi )
μd (xi ) log
n
⎢ μ B (xi ) ⎥
N1 (A, B) = ⎢ ⎥
⎣ (1 − μ (x
A i )) ⎦
i=1 + {1 − μ A (xi )} log
(1 − μ B (xi ))
⎡ ⎤
{μ A (xi )} 2
μ A (xi )
n ⎢ log ⎥
⎢ {μ B (xi )} μ B (xi ) ⎥
N2 (A, B) = ⎢ ⎥
⎣ {1 − μ A (x i )}2
(1 − μ A (x i )) ⎦
i=1 + log
{1 − μ B (xi )} (1 − μ B (xi ))
⎡ ⎤
{μ A (xi )}3 μ A (xi )
n ⎢ log ⎥
⎢ {μ B (xi )}2 μ B (xi ) ⎥
N3 (A, B) = ⎢ ⎥
⎣ {1 − μ A (xi )} 3
(1 − μ A (xi )) ⎦
i=1 + log
{1 − μ B (xi )}2 (1 − μ B (xi ))
..
.
..
.
and so on. (4.11)
4.1 Some New Other Fuzzy Divergence Measures
Since the sum of two convex functions is again a convex function, therefore we have
the following convex functions:
(2t − 1) log(2t − 1) + (2t − 1)2 log(2t − 1) = 2t (2t − 1) log(2t − 1)

(2t − 1)2 log(2t − 1) + (2t − 1)3 log(2t − 1) = 2t (2t − 1)2 log(2t − 1)
(2t − 1)3 log(2t − 1) + (2t − 1)4 log(2t − 1) = 2t (2t − 1)3 log(2t − 1)
..
.
..
.
and so on.
Their divergence measures are given by

n
N1 (P, Q) = ( pi + qi ) pi
qi
log pi
qi
i=1
n 2
N2 (P, Q) = ( pi + qi ) qpii log qpii
i=1
n 3
N3 (P, Q) = ( pi + qi ) qpii log qpii (4.12)
i=1
..
.
..
.
and so on.
Fuzzy Divergence Measures are given by

⎡ ⎤
μ A (xi ) μ A (xi )
{μ (x ) + μ (x )} log
n
⎢ A i B i
μ B (xi ) μ B (xi ) ⎥
N1 (A, B) = ⎢ ⎥
⎣ 1 − μ A (xi ) 1 − μ A (xi ) ⎦
i=1 +{2 − μ A (xi ) − μ B (xi )} log
1 − μ B (xi ) 1 − μ B (xi )
⎡ 2 ⎤
n ⎢ {μ A (x i ) + μ B (x i )} log ⎥
⎢ μ B (xi ) μ B (xi ) ⎥
N2 (A, B) = ⎢ 2 ⎥
⎣ 1 − μ A (xi ) 1 − μ A (xi ) ⎦
i=1
+ {2 − μ A (xi ) − μ B (xi )} log
1 − μ B (xi ) 1 − μ B (xi )
⎡ 3 ⎤
n ⎢ {μ A (x i ) + μ B (x i )} log ⎥
⎢ μ B (xi ) μ B (xi ) ⎥
N3 (A, B) = ⎢ 3 ⎥
⎣ 1 − μ (x
A i ) 1 − μ (x
A i ) ⎦
i=1
+ {2 − μ A (xi ) − μ B (xi )} log
1 − μ B (xi ) 1 − μ B (xi )
..
.
..
.
and so on. (4.13)
5 Application of New Fuzzy Divergence Measure

in Multi-criteria Decision-Making
In general, decision makers do not have precise information about the alternatives
with associated criteria. Decision-making is to deal with choosing the best alternative
among feasible alternatives, i.e., the alternative with the highest degree of satisfaction
among the other alternatives. Multi-criteria decision-making technique is a branch
of decision-making that deals with the problem of decision-making, i.e., to make
an order of preference and select alternatives corresponding to different criteria.
Therefore, MCDM in one of the best methods which are widely used in different
human activities. Here, we introduce an application of the proposed fuzzy divergence
measure in multi-criteria decision-making.
Consider a set M = {M 1 , M 2 , M 3 , …, M n } of alternatives and C = {C 1 , C 2 , C 3 ,
…, C n } be set of criteria. Then M i is given by

Mi = C j , μi j , C j ∈ C , i = 1, 2, 3, . . . , m j = 1, 2, 3, . . . , n
where μi j is the degree of satisfaction corresponding to Mi and C j . Here we introduce

an application of a new fuzzy divergence measure in MCDM. The procedure is as
follows:
(1) Find a positive ideal solution A+ and negative ideal solution A− :
+ +
A+ = μ+
1 , μ2 . . . μ n− and
A− = μ− 1 , μ−
2 , . . . μn

μ+ = max μi j
ij for j = 1, 2, 3, . . . , n
μi−j = min μi j
! !
(2) Find M f A+ , Mi and M f A− , Mi using Eq. (3).
M f ( A+ ,Mi )
(3) Find M (M ) =
k i i = 1, 2, 3, . . . , m
M f ( A+ ,Mi )+M f (A− ,Mi )
(4) Rank according to the order of preference.
(5) Choose the best alternative Mk with minimum Mk (Mi ).
5.1 Numerical Illustration
Let a company wants to select a project out of 5 available projects,

M = {M1 , M2 , M3 , M4 , M5 }. Let the company takes five criteria, C =
{C1 , C2 , C3 , C4 , C5 } to decide which project to select. The possible five options
are in the following form:
M1 = {C1 , 0.5, C2 , 0.8, C3 , 0.4, C4 , 0.7, C5 , 0.5}
M2 = {C1 , 0.8, C2 , 0.7, C3 , 0.6, C4 , 0.5, C5 , 0.3}
M3 = {C1 , 0.7, C2 , 0.5, C3 , 0.8, C4 , 0.9, C5 , 0.6}
M4 = {C1 , 0.6, C2 , 0.3, C3 , 0.9, C4 , 0.2, C5 , 0.4}
M5 = {C1 , 0.3, C2 , 0.4, C3 , 0.5, C4 , 0.8, C5 , 0.6}
The procedure for solving the MCDM problem using fuzzy divergence measure
is as follows:
(1) The positive ideal solution A+ and negative ideal solution A− are
A+ = {C1 , 0.8, C2 , 0.8, C3 , 0.9, C4 , 0.9, C5 , 0.6}
A− = {C1 , 0.3, C2 , 0.3, C3 , 0.4, C4 , 0.2, C5 , 0.3}
! !
(2) Calculated values of M f A+ , Mi and M f A− , Mi are shown in the table by
using Eq. (3), for k ≥ 0 (Tables 1 and 2).
(3) Table 3 shows calculated values of M K (Mi ) for k ≥ 0 with i = 1, 2, 3, 4, 5.
(4) Order of preference of alternatives, according to calculated values in Table 3,
for k ≥ 0, is as follows:
For k = 1, M3 > M2 > M1 > M5 > M4

For k = 3, M3 > M2 > M1 > M5 > M4
For k = 5, M3 > M2 > M1 > M5 > M4 .
Here, when k varies, there is no change in ranking and the best choice also remains
unchanged. Therefore, the most preferable alternative is M 3 .
Table 1 Numerical
! values of
k =1 k =3 k =5
M f A + , Mi !
Mf A+ , M1 0.8798 5.0851 21.9712
!
M f A + , M2 0.8121 4.2138 14.1969
!
M f A + , M3 0.2551 1.1535 2.7911
!
Mf A+ , M4 1.8524 29.0030 568.6678
!
M f A + , M5 1.2736 9.5774 54.2652
Table 2 Calculated
k =1 k =3 k =5
numerical values
! of !
M f A − , Mi M f A − , M1 1.2813 17.0733 173.0361
!
Mf A− , M2 1.1954 15.2920 152.8204
!
M f A − , M3 2.3496 117.0523 6889.4068
!
M f A − , M4 0.9560 39.8839 1397.0931
!
Mf A− , M5 1.0572 19.0736 287.9358
Table 3 Calculated values of

k =1 k =3 k =5
M K (Mi ) for k ≥ 0
M K (M1 ) 0.5928 0.7705 0.8873
M K (M2 ) 0.5954 0.7839 0.9149
M K (M3 ) 0.9020 0.9902 0.9995
M K (M4 ) 0.3404 0.5789 0.7107
M K (M5 ) 0.4535 0.6657 0.8414
5.2 Comparison with the TOPSIS Method
Here, we show an application of the TOPSIS Method, which was introduced by

Hwang and Yoon [15] for multi-criteria decision-making. Let us consider a set
P = {P1 , P2 , P3 , . . . , Pm } of m alternatives and a set T = {T1 , T2 , T3 , . . . , Tn }
of n criteria. The best alternative from the set P corresponding to the set T is to be
found by the decision maker. The method for solving the MCDM problem using
TOPSIS method is as follows:
(1) Construct a decision matrix.
T1 T2 . . . Tn
P1 z 11 z 12 . . . z 1n
P2 z 21 z 22 · · · z 2n
.. .. .. .. ..
. . . . .
Pn z m1 z m2 · · · z mn
W = [w1 , w2 , . . . . . . wn ]
(2) Construct the normalized decision matrix, using normalized value n i j :

"
# m
#
n i j = z i j /$ z i2j , i = 1, 2, . . . , m, j = 1, 2, . . . , n.
i=1
(3) Construct the weighted normalized decision matrix using the weighted normal-
ized value:
u i j = wi n i j i = 1, 2, . . . , m, j = 1, 2, . . . , n.
wi is the weight of ith attribute.

(4) Find positive ideal and negative ideal solution I+ and I−, respectively, using:

I + = u+
1 , u +
2 , . . . , u +
n = max u ij
i

I − = u−
1 , u −
2 , . . . , u −
n = min u ij
i
(5) Find separation of measures using a positive ideal solution and negative ideal
solution.
(6) Find relative closeness to positive ideal solution of each alternative using
S−
Ci = , i = 1, 2, . . . , m.
S∗ + S−
(7) Rank the preference order according to the coefficient of the closeness of all
alternatives.
5.3 Numerical Illustration
(1) Decision matrix is given in Table 4.

(2) Weighted normalized decision matrix is given in Table 5.
(3) Positive and Negative Ideal Solutions are given in Table 6.
(4) Separation Measures are given in Table 7.
(5) Relative closeness to positive ideal solution is given in Table 8.
Table 4 Decision matrix

T1 T2 T3 T4 T5
P1 0.5 0.8 0.4 0.7 0.5
P2 0.8 0.7 0.6 0.5 0.3
P3 0.7 0.5 0.8 0.9 0.6
P4 0.6 0.3 0.9 0.2 0.4
P5 0.3 0.4 0.5 0.8 0.6
Table 5 Normalized/Weighted decision matrix

T1 T2 T3 T4 T5
P1 0.3696 0.6266 0.2685 0.4383 0.4527
P2 0.5914 0.5483 0.4027 0.3131 0.2716
P3 0.5174 0.3916 0.5369 0.5636 0.5432
P4 0.4435 0.2350 0.1252 0.1252 0.3622
P5 0.2218 0.3133 0.5010 0.5010 0.5432
Table 6 Positive and negative ideal solutions

I+ 0.5914 0.6266 0.6040 0.5636 0.5432
I− 0.2218 0.2350 0.2685 0.1252 0.2716
Table 7 Separation measures

S1∗ = 0.4308 S1− = 0.5531
S2∗ = 0.4279 S2− = 0.5366
S3∗ = 0.2553 S3− = 0.6707
S4∗ = 0.6325 S4− = 0.4121
S5∗ = 0.5574 S5− = 0.4749
Table 8 Closeness to
C1 0.5621
positive ideal solution
C2 0.5563
C3 0.7242
C4 0.3945
C5 0.4600
(6) Now ranking the preference order according to the coefficient of closeness.
Here, P3 > P1 > P2 > P5 > P4 . Here P3 is the most preferable alternative.
6 Conclusion
In this paper, we have introduced a new convex function and fuzzy divergence mea-
sure and its generalization with proof of its validity. Application of new fuzzy diver-
gence measure in multi-criteria decision-making with an illustration is also given.
We applied this method to many real-world problems and found better results. A
comparative study has also been provided between the proposed method and the
existing method. Existing methods for solving MCDM problems are time consum-
ing as compared to the proposed method, hence the proposed method is better than
the existing methods.
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An SIRS Age-Structured Model
for Vector-Borne Diseases with Infective
Immigrants
Nisha Budhwar, Sunita Daniel and Vivek Kumar
Abstract In this paper, we develop a SIRS age-structured model with infective

immigrants. We consider a fraction of the juvenile immigrants and a fraction of the
adult immigrants to be infective. We calculate the equilibrium points and then check
the stability of these points. The reproduction number is calculated using the Next-
Generation Method. Mathematical simulation for the model is also conducted using
MATLAB. It is observed that an increase in the infective immigrants does not affect
the total infective persons in the population. However, there is an increase in the infec-
tive population if the rate of immigration is increased. Also, the recovered population
increases as the recovery rate increases. It is seen that as the mosquito population
increases due to an increase in their birth rate, the infective human population also
increases.
Keywords SIRS model · Infective immigrants · Equilibrium points · Stability ·

Numerical simulation
N. Budhwar (B)
Amity School of Applied Sciences, Amity University Haryana, Gurgaon, India
e-mail: nshkatariabudhwar@gmail.com
S. Daniel
FORE School of Management, Qutub Institutional Area, New Delhi, India
e-mail: sunita@fsm.ac.in
V. Kumar
Department of Applied Mathematics, Delhi Technological University,
New Delhi, India
e-mail: vivekaggarwal@dtu.ac.in

https://doi.org/10.1007/978-981-15-1157-8_18
208 N. Budhwar et al.
1 Introduction
Vector-borne diseases are illnesses that are transmitted by vectors which include
mosquitoes, ticks and fleas. These vectors can carry infective pathogens such as
viruses, bacteria and protozoa, which can be transferred from one host to the other.
Diseases like dengue, malaria and chikungunya are vector-borne diseases transmitted
through mosquitoes. Many models for vector-borne diseases are available in the
literature [1–5] and the transmission dynamics of certain of these diseases like malaria
and dengue have been extensively studied [6–13]. Since these diseases spread through
a carrier, we can assume that the spread of the disease from one geographical area
to another is the migration of people who are carrying this disease. Hence, it can be
seen that the infective immigrants are also a major cause for the spread of the disease
[6, 8, 10, 11, 14, 16]. It is also observed that some of these diseases are common and
prevalent among children [17, 18] and hence it is necessary to study the transmission
dynamics for an age-structured population. Many age-structured population models
have been studied for dengue and malaria [7, 9, 13, 15]. However, the age-structured
model with infective immigrants in vector-borne diseases has not yet been studied.
In this paper, we develop a SIRS age-structured model with infective immigrants
among the children and the adults.
In this paper, we formulate the SIRS age-structured model in the following section.
The region of feasibility is found in Sect. 3. The equilibrium points and the repro-
duction number R0 are computed in Sects. 4 and 5 respectively. The stability of the
equilibrium points is analysed in Sect. 6. We then carry out the numerical simulations
in Sect. 7 and Sect. 8 is the conclusion.
2 The SIRS Model Formulation
Let the population of the susceptible juveniles, infected juveniles and the recovered
juveniles be denoted by X J , Y J and Z J , respectively. Similarly, let the population
of the susceptible adults, infected adults and the recovered adults be denoted by X A ,
Y A and Z A respectively. Then N T = X J + Y J + Z J + X A + Y A + Z A is the total
human population.
Similarly, let X v be the susceptible mosquito population and Yv the infected
mosquito population. Then Nv = X v + Yv is the total mosquito population. We now
define the various parameters needed to formulate the model. Let us assume that
the newly born individuals are not infected with any vector-borne diseases. Let
Λ J and Λ A be the constant immigration rate of juveniles and adults respectively.
We further assume that a fraction φ J of juveniles are infective and the remaining
fraction (1 − φ J ) of juveniles are susceptibles. Similarly, a fraction φ A of adults
are infective and the fraction (1 − φ A ) of adults are susceptible. Let B J = bβ NT
J
and
B A = NT , where b is the average biting rate of the vector (carrier of the disease), β J
bβ A
is the probability of infection of susceptible juveniles per bite of the vector, β A is the
An SIRS Age-Structured Model for Vector-Borne … 209
probability of infection of susceptible adults per bite of the vector. Similarly Bv = bβ

NT
v
where βv is the probability of infection of susceptible vectors per bite of the vector
of the infected human.
Let μ H be the natural death rate of the humans, μv , the natural death rate of the
vector, δ the rate at which the juveniles pass into adulthood, η J (A) the rate at which
recovered juveniles (adults) join the susceptible class after losing their immunity and
γ J (A) the recovery rate of juveniles (adults) and λv Nv the birth rate of mosquitoes.
Then the SIRS age-structured model is given by the following system of non-linear
differential equations.
dXJ
= (1 − φ J )Λ J − B J X J Yv − (μ H + δ)X J + η J Z J
dt
dY J
= φ J Λ J + B J X J Yv − (μ H + γ J )Y J
dt
dZJ
= γ J Y J − (μ H + δ)Z J − η J Z J (1)
dt
dXA
= (1 − φ A )Λ A + δ X J − B A X A Yv − μ H X A + η A Z A
dt
dY A
= φ A Λ A + B A X A Yv − (μ H + γ A )Y A
dt
dZA
= γ AY A − μH Z A + δ Z J − η A Z A
dt
d Xv
= λv Nv − Bv X v (Y J + Y A ) − μv X v
dt
dYv
= Bv X v (Y J + Y A ) − μv Yv
dt
We find the region of feasibility of the solution of the above model.
3 Feasibility of Solution
Theorem 1 The feasible solution set for model (1) given by

Ω = {(X J , Y J , Z J , X A , Y A , Z A , X v , Yv ) ∈ R 8 : (X J , Y J , Z J , X A , Y A , Z A , X v ,
Yv ) ≥ 0;0 ≤ N T ≤ Λ Jμ+Λ H
A
; 0 ≤ Nv ≤ μλvv }.
is positively invariant and mathematically well-posed in the domain Ω
Proof Adding the first six equations, and the last two equations of the model (1), we
have d dt
NH
= Λ J + Λ A − μ H N T and ddtNv = λv Nv − μv Nv .
Since ddtNT ≤ Λ J + Λ A − μ H N H and ddtNv ≤ λv Nv − μv Nv , it follows that ddtNT

≤ 0 and ddtNv ≤ 0 if N T (t) ≥ Λ Jμ+Λ H
A
and Nv (t) ≥ λμv Nv v , respectively.
Hence, it follows that N T (t) ≤ N T (0)e−μ H (t) + Λ Jμ+Λ H
A
[1 − e−μ H (t) ] and Nv (t) ≤
Nv (0)e−μv (t) + λμv Nv v [1 − e−μv (t) ].
In particular, N T (t) ≤ Λ Jμ+ΛH
A
if N T (0) ≤ Λ Jμ+Λ
H
A
and Nv (t) ≤ λμv Nv v if Nv (0) ≤
λv N v
μv
, respectively. So, we see that the region Ω for the model (1) is positively invari-
ant. Further, if N T (0) > Λ Jμ+ΛH
A
and Nv (0) > λμv Nv v , then either the solution enters Ω
is finite time or N T (t) → Λ Jμ+Λ H
A
and Nv (t) → λμv Nv v as t → ∞. Hence the theorem.
The equilibrium points are calculated in the following section.
4 Existence of Equilibrium Points
In this section, we calculate the two equilibrium points.
4.1 Disease-Free Equilibrium Point
The disease-free equilibrium state is one in which the population has no infected
persons. It is assumed that all the persons in the population are disease free and are
susceptible persons. Hence, we have φ J = φ A = 0 and also Y J = Z J = Y A = Z A =
YV = 0. Using these conditions, and equating the system of equations given by (1)
to zero, we have X J = μΛ J
H +δ
δΛ J
, X A = μΛHA + μ H (μ H +δ)
, and X v = λμv Nv v .
Thus the disease-free equilibrium point of model (1) is given by
ΛJ Λ A (μ H + δ) + δΛ J λv Nv
E 1 = (X ∗J , 0, 0, X ∗A , 0, 0, X v∗ , 0) = ( , 0, 0, , 0, 0, , 0)
μH + δ μ H (μ H + δ) μv
4.2 Endemic Equilibrium Point
To calculate the endemic equilibrium point, we assume that the humans and vec-
tors exist in all classes. For simplicity, we assume an SIR framework and hence
η J = η A = 0. In this case, the model becomes
(1 − φ J )Λ J + η J Z J
XJ = (2)
(μ H + δ) + B J Yv
φ J Λ J (μ H + δ) + B J Λ J Yv + B J Yv η J Z J
YJ = (3)
(μ H + γ J )(B J Yv + μ H )
γ J φ J Λ J (μ H + δ) + γ J B J Λ J Yv + γ J B J Yv η J Z J
ZJ = (4)
(μ H + γ J )(μ H + δ + γ J )(B J Yv + μ H )
(1 − φ A )Λ A (B J Yv + μ H + δ) + δ(1 − φ J )Λ J
XA = (5)
(B A Yv + μ H )(B J Yv + μ H + δ)
φ A Λ A + B A X A Yv
YA = (6)
μH + γ A
γAYA + δ Z J
ZA = (7)
μH
λv N v
Xv = (8)
Bv (Y J + Y A ) + μv
and Yv is the solution of
c1 Yv3 + c2 Yv2 + c3 Yv + c4 = 0 (9)
where c1 = B A B J Bv μv ((μ H + γ A )Λ J + (μ H + γ J )Λ A ) + Bv B J μv μ H φ A Λ A +
B A B J μ2v (μ H + γ J )(μ H + γ A ),
c2 = B A Bv μv φ J Λ J (μ H + δ)(μ H + γ A ) + B A Bv φ A Λ A (μ H + δ) + B J Bv φ A Λ A
(μ H + γ J ) + 1 − φ J )Λ J μv B A Bv δ(μ H + γ J ) − B A Bv Nv Λ A B J (μ H + γ J ) −
Bv B J λv Nv Λ J (μ H + γ A ),
c3 = Bv μ H μv φ J Λ J (μ H + δ)(μ H + γ A ) + Bv μv φ A Λ A (μ H + δ)(μ H + γ J ) +
Bv μv δmu H φ A Λ A (μ H + δ) + (μ H + γ J )(μ H + γ A )μ2v μ H (μ H + δ) − B A Bv Nv λv
φ J Λ J (μ H + δ)(μ H + γ A ) − B J Bv μ H λv Nv Λ J (μ H + γ A ) − φ A Λ A Bv λv Nv B J (μ H
+ γ J )μ H − (μ H + δ)(μ H + γ J )Bv λV Nv B A (1 − φ A )Λ A − Bv λv Nv B A δ(1 − φ J )
Λ J (μ H + γ J ) − Bv B A δλv Nv φ J Λ J (μ H + δ) and
c4 = (μ H + δ)(μ H + γ J )(1 − φ A )Λ A B A μv Bv − Bv λv Nv φ J Λ J (μ H + δ)(μ H +
γ A ) f − λv Nv Bv (μ H + δ)(μ H + γ J )φ A Λ A μ H .
The endemic equilibrium point is the positive root of (9).
5 Basic Reproduction Number R0
In this section, we compute the reproduction number R0 which is the average number
of new infections caused by one infected individual in an entirely susceptible popula-
tion. We can calculate R0 using Next-Generation Method as given in [19]. We find the
reproduction number R0 by considering two matrices F and V −1 where F = [ ∂ F∂i x(xj 0 ) ]
and V = [ ∂ V∂i x(xj 0 ) ]. Here Fi are the new infections, Vi transfers of infections from one
compartment to another and x0 is the disease-free equilibrium state.
Then R0 is the dominant eigenvalue of the matrix F V −1 . According to model (1),

the matrices F and V are given as
⎛ ⎞ ⎛ ⎞
0 0 BJ X J μh + γ J 0 0
F =⎝ 0 0 BA X A ⎠ and V = ⎝ 0 μH + γ A 0 ⎠
Bv X v Bv X v 0 0 0 μv
The inverse of V is ⎛ 1
⎞
μh +γ J
0 0
⎜ 0 ⎟
V −1 = ⎝ 0 1
γ A +μ H ⎠
1
0 0 μv
⎛ BJ X J
⎞
0 0 μv
⎜ ⎟
F V −1 = ⎝ 0 0 BA X A
μv ⎠ (10)
Bv X v Bv X v
μ H +γ J μ H +γ A
0
Thus ⎛ ⎞
00a
F V −1 = ⎝0 0 b⎠
cd0
where a = BμJ Xv J , b = B AμXv A , c = μBHv+γ

Xv
and d = μBHv+γ
Xv
.
J
−1
A √
The dominant eigenvalue √ of the matrix F V is λ = + (bd + ac).
Hence we have R0 = (bd + ac).
Thus,
Bv X v BJ X J BA X A
R0 = [ + ].
μv (μ H + γ J ) (μ H + γ A )
6 Local Stability Analysis of the Equilibrium Points
The stability of the disease-free equilibrium point and the endemic equilibrium point
are given by the following two theorems in this section.
Bv X v (B J X J +B A X A )
Theorem 2 Let R0 < 1 and μv (2μ H +γ J +γ A )+(μ H +γ J )(μ H +γ A )
< 1. Then the disease-
ΛJ Λ A (μ H +δ)+δΛ J
free equilibrium point E 1 = ( μ H +δ , 0, 0, μ H (μ H +δ) , 0, 0, λvμNvv , , 0) of (1) is locally
asymptotically stable.
Proof Let us consider the Jacobian matrix corresponding to (1). We have,

⎡
−(μ H + δ) 0 ηJ 0
⎢ 0 −(μ H + γ J ) 0 0
⎢
⎢ 0 γJ −(η J + μ H + δ) 0
⎢
⎢ δ 0 0 −μ H
⎢
⎢ 0 δ 0 0
⎢
⎢ 0 0 δ 0
⎢
⎣ 0 −Bv X v 0 0
0 Bv X v 0 0
Q1 = ⎤
0 0 0 −B J X J
0 0 0 BJ X J ⎥ ⎥
0 0 0 0 ⎥ ⎥
0 ηA 0 −B A X A ⎥
⎥
−(γ A + μ H ) 0 0 BA X A ⎥ ⎥
γA −(μ H + η A ) 0 0 ⎥ ⎥
−Bv X v 0 −μv 0 ⎦
Bv X v 0 0 −μv
The eigenvalues of the above matrix are −(μ H + δ), −(μ H + η J ),

−(μ H + η A ), −μ H , −μv and roots of the polynomial λ3 + p1 λ2 + p2 λ + p3 . Where
p1 = 2μ H + μv + γ J + γ A ,
p2 = (μ H + η A )(μ H + γ J + μv ) + (μ H + γ J )μv − Bv X v B J X J −
Bv X v B A X A ,
p3 = μv (μ H + γ A )(μ H + γ J )(1 − R02 ).
For the equilibrium point to be locally stable, the zeroes of the polynomial
λ3 + p1 λ2 + p2 λ + p3 = 0 have to be negative.
All the roots of cubic polynomial have negative real parts if and only if all the coef-
ficients are positive and p1 p2 > p3 . This is known as the Routh–Hurwitz criterion.
It is obvious that p1 > 0 and by our assumption p2 > 0. Moreover since R0 < 1,
p3 > 0.
Further p1 p2 − p3 = μv (μ H + η A )(μ H + η J )(1 − R02 ) + [μv (μ H + γ J )(μ H +
γ A ) + (μ H + γ J )μv − Bv X v (B J X J + B A X A ) + μv (μ H + γ A )] + (μ H + γ J )2 (μv
+ μ H + γ A ) + (μ H + γ A )2 (μ H + γ J + μv ) > 0.
Hence, the roots of the cubic polynomial are all negative, and therefore the equi-
librium point is locally stable.
The following theorem examines the stability the endemic equilibrium point,
which is derived as the positive root of the system of equations given by (2)–(9).
Theorem 3 If the endemic equilibrium point E 2 = (X J , Y J , Z J , X A , Y A , Z A ,
X v , Yv ) exists, then it is conditionally stable for R0 > 1.
Proof The Jacobian matrix for the system of differential equations given for the SIR
model is
⎡
−(B J Yv + μ H + δ) 0 0 0
⎢ B J Yv −(μ H + γ J ) 0 0
⎢
⎢0 γJ −(μ H + δ)0
⎢
⎢δ 0 0 −(B J Yv + μ H )
⎢
⎢0 0 0 0
⎢
⎢0 0 δ 0
⎢
⎣0 −Bv X v 0 0
0 Bv X v 0 0
Q2 = ⎤ (11)
0 0 0 −B J X J
0 0 0 BJ X J ⎥ ⎥
0 0 0 0 ⎥
⎥
0 0 0 −B A X A ⎥
⎥
−(γ A + μ H ) 0 0 BA X A ⎥ ⎥
γA −μ H 0 0 ⎥
⎥
−Bv X v 0 −(Bv (Y J + Y A ) + μv ) 0 ⎦
Bv X v 0 Bv (Y J + Y A ) −μv
Let a = B J Yv + μ H + δ, b = B J Yv , c = μ H + γ J , f = μ H + δ, g = B J YV +
μ H , h = B A X A , i = γ A + μ H , r = μ H , j = Bv X v , k = (Bv (Y J + Y A ) + μv ),
s = Bv (Y J + Y A ), m = B J X J + Yv and p = μv . The above matrix becomes
⎡ ⎤
−a 0 0 0 0 0 0 −m
⎢ b −c 0 0 0 0 0 m ⎥
⎢ ⎥
⎢ 0 γJ −f 0 0 0 0 0 ⎥
⎢ ⎥
⎢ δ 0 0 −g 0 0 0 −h ⎥
Q2 = ⎢
⎢ 0
⎥
⎢ δ 0 0 −i 0 0 h ⎥
⎥
⎢ 0 0 δ 0 γA −r 0 0 ⎥
⎢ ⎥
⎣ 0 −j 0 0 −j 0 −k 0 ⎦
0 j 0 0 j 0 s −p
Using the MAPLE software the eigenvalues are − f , −r , g and the roots of the fift-
order polynomial λ5 + s1 λ4 + s2 λ3 + s3 λ2 + s4 λ + s5 = 0 where s1 , s2 , s3 , s4 and s5
are constants. Since the calculation of the remaining eigenvalues are complicated,
the stability of the endemic equilibrium point is shown using numerical simulation
in the following section.
7 Numerical Simulation
We carry out the simulations on the behaviour of the system (1) using the parameters
given in [7]. We consider φ J = 0.4, φ A = 0.3, b = 0.5 day−1 , μ H = 0.00004 day−1 ,
β J = β A = 0.181, δ = 0.00000986 day−1 , γ J = 0.0014 day−1 , γ A = 0.0035 day−1 ,
Λ J = 1520, Λ A = 506, λv Nv = 500 day−1 , βv = 0.8333, μv = 0.05 day−1 ,
η J = η A = 0.0027 and X J (0) = 3500, Y J (0) = Z J (0) = Y A (0) = Z A (0) = 0,
X A (0) = 6500, X v (0) = 1000, Yv (0) = 550, Nv (0) = 1550 and N T (0) = 10,000.
The value of R0 for these values is 5.52.
The numerical simulations were conducted using MATLAB. We calculate the
endemic equilibrium point for model given by (1) for the above set of parameters.
We solve the eight equations by equating them to zero. The solution thus obtained
gives negative values for Y A , Z A and Yv . Hence the endemic equilibrium point does
not exist for model (1).
However, it is interesting to note that the solution of the set of equations given by
(2)–(9) are positive and hence the endemic equilibrium point exists for the reduced
model and is stable for R0 > 1. Substituting the values of the parameters in the
Jacobian matrix given by (11), we get negative eigenvalues. This means that the
endemic equilibrium point is locally stable for the SIR model given by the set of
Eqs. (2)–(9).
We analyse the SIR model given by Eqs. (2)–(9) and get the results illustrated
below:
Figure 1a and b are the solutions of system (1) for the juvenile population and
adults population, respectively. It can be seen that both the juvenile as well as
adults population (Susceptible, Infected, Recovered) are stable thus proving that
the endemic equilibrium point given by (X J , Y J , Z J , X A , Y A , Z A , X v , Yv ) is stable
for R0 > 1.
In Fig. 2a, b, we increase the fraction of infected immigrants of juveniles as well
as adults. It can be seen that there is a very slight increase in the number of infected
population when the fraction of infected immigrants increases.
In Fig. 3a and b, we increase the constant rate of immigration of the juvenile and
adult population Λ J and Λ A , respectively. It can be seen that when we increase the
recruitment rate, there is an increase in the number of infected population.
In Fig. 4a, b, we increase the biting rate of the vector. It can be seen that as the
biting rate increases, there is an increase in the number of infected population. It is
also seen that the number of infected juveniles increase faster than the number of
infected adults.
Fig. 1 Variation with respect to time in the a juvenile population as well as b adults population
Fig. 2 Change in infective human population with time by varying the value of infective immigrants
in a juvenile population and b adults population
Fig. 3 Variation in infected a juvenile population and b adults population with various values of
recruitment rate
Fig. 4 Variation in a juvenile population and b adults population with increase in the biting rate
of the vector (carrier)
In Fig. 5a, b, we increase the birth rate of the vector. It can be seen that as the birth
rate increases, there is an increase in the number of infected population. In these
cases too, it is observed that the number of infected adults increases faster in time
compared to the infected juveniles.
In Figs. 6 and 7, we increase the recovery rate of the humans (juvenile and adults)
population. It can be seen that as the recovery rate increases, there is an increase in
the recovered population (Fig. 6a, b) and in Fig. 7a, b it is observed that there is a
decrease in the infected population.
Fig. 5 Change in infective human population by varying the value of birth rate of the vector in a
juvenile population and b adults population
Fig. 6 Change in recovered human population for different values of recovery rate of a juvenile
population b adults population
Fig. 7 Change in infected human population for different values of recovery rate of a juvenile
population b adults population
8 Conclusion
In this paper, we formulated a SIRS age-structured model for vector- borne diseases.
The disease-free equilibrium point exists for the SIRS model whereas the endemic
equilibrium point does not exist for the SIRS model but exists for the SIR model
and is stable for R0 > 1. The reproduction number is calculated. From the numerical
simulation, it is observed that the solution is stable for a SIR framework. Also an
increase in the fraction of infective immigrants, be it a juvenile or an adult has very
little impact on the infected juveniles (adults) population. However, if the rate of
immigration of the juveniles (adults) increases, there is an increase in the infected
human population. An increase in the recovery rate of the juvenile (adult) population
shows an increase in the recovered juvenile (adult) population and decrease in the
infected juvenile (adult) population. It was observed that an increase in the biting rate
of the vector showed an increase in the infected human population. Hence, efforts
must be made to reduce the vectors (carriers) in order to reduce the transmission of
these diseases.
Acknowledgements The infrastructure support provided by FORE School of Management, New

Delhi in completing this paper is gratefully acknowledged.
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Numerical Study of Conformable Space
and Time Fractional Fokker–Planck
Equation via CFDT Method
Brajesh Kumar Singh and Anil Kumar
Abstract In this article, conformable fractional differential transform (CFDT)

method has been successfully implemented to compute the numerical solution of
space–time fractional Fokker–Planck equation with conformable fractional deriva-
tive. The computed results are compared with the existing results in the literature, and
also depicted graphically for α = β = 1. The accuracy of the computed results for
different values of α and β = 1 is measured in terms of L 2 error norms. The findings
show that the present results agreed well with the results by various well-known meth-
ods such as Adomian decomposition method (ADM), variational iteration method
(VIM), fractional variational iteration method (FVIM) and fractional reduced differ-
ential transform method (FRDTM), and so forth. The proposed results converge to
the exact solutions.
Keywords Conformable fractional derivative · Conformable fractional differential

transform · Space–time fractional Fokker–Planck equations
1 Introduction
Fractional differential equations, the generalizations of the classical differential equa-

tions, have been studied by many researchers in various fields, among them, such
as fluid mechanics, plasma physics, image processing, mechanics of materials, and
the other fields of science and engineering, see [1–3] and the references therein.
Various types of definitions of the fractional- order derivatives, for different kinds of
applications, have been defined in the literature.
B. K. Singh (B) · A. Kumar

Department of Mathematics, School for Physical Sciences,
Babasaheb Bhimrao Ambedkar University, Lucknow 226 025, UP, India
e-mail: bksingh0584@gmail.com
A. Kumar
e-mail: anil.mansha2017@gmail.com

https://doi.org/10.1007/978-981-15-1157-8_19
222 B. K. Singh and A. Kumar
In the past years, many analytical techniques have been developed for the study
of fractional differential equations, Algorithm of homotopy asymptotic method [11],
Fractional homotopy analysis transforms method [12]. Biswas et al. [4] secures dark
and singular resonant optical solitons that are studied with dual-power law nonlin-
earity and fractional temporal evolution, considering conformable-type fractional
derivatives. Reduced differential transform method [5], modified simple equation
method, and the extended simplest equation method [6], several new exact solutions
of the conformable space–time fractional Fokas equation in (4+1)dimensions are
obtained via various developed techniques [7]. Al-Sawoor and Al-Amr used modi-
fied VIM [8] and Adomian’s decomposition method [9] to solve reaction–diffusion
system with fast reversible reaction. The exact solutions of family of higher dimen-
sional space–time fractional KdV-type equations has been reported in [10]. Kumar
adopted homotopy perturbation method nonlinear waves in hyperelastic rods [13]
and time fractional Ito-coupled equations [14]. A homotopy technique with Laplace
transform has been adopted for the study of fractional-order multi-dimensional tele-
graph equation by Prakash et al. [15]. Fractional variational method has been used to
solve time fractional model of coupled Burgers equation [16], fractional Bloch model
arising in magnetic resonance imaging [17], and time-fractional multi-dimensional
diffusion equations [18]. New iterative Sumudu transform has been implemented for
solving fractional model of nonlinear Zakharov–Kuznetsov equations [19].
In recent years, the researchers started to see the weakness in most of the def-
initions of the fractional derivatives. In most of the definitions of the fractional
derivatives, it is found that they either do not have Taylor power series expansion or
unable to compute their Laplace transform. A simple and challenging definition of
fractional derivative, conformable fractional derivative, was proposed by Khalil et
al. [20]. This definition of fractional derivative depends on the basic limit definition
of the classical derivative. Since exact solutions to conformable fractional partial
differential equations are rarely available, and so, the computation of an analytical
or numerical solution of conformable fractional PDE is a very challenging problem
and under investigation. Based upon the conformable fractional derivative, most of
the works have been done in [21–27] and the references therein. Various (analyti-
cal/numerical) methods have been proposed in many articles for computing the better
approximations of conformable fractional partial differential equations (CFPDEs).
For instance, the traveling wave solutions of CFPDEs using first integral method [28].
Modified Kudryashov method [24] was used to solve conformable time fractional
Klein–Gordon equations with quadratic and cubic nonlinearities. Tanh method [29]
is used to find analytic solutions of the conformable space–time fractional Kawahara
equations. In [30], Kaplan used two reliable methods for computing the solutions
of nonlinear conformable time-fractional equations. Analytical solutions of linear
Navier–Stokes equation and nonlinear homogeneous, nonhomogeneous gas dynamic
equations in sense of conformable space–time fractional derivatives are obtained via
fractional differential transform in [46].
Now, the main goal is to compute analytical solutions of initial value system of
conformable space–time fractional Fokker–Planck equation (1) below using CFDT
method
Numerical Study of Conformable Space and Time Fractional Fokker–Planck … 223

t Tα [θ ] = −x Tβ A(x, t, θ ) +x T2β B(x, t, θ ) θ, x, t > 0,
(1)
θ (x, 0) = g(x), 0 < α, β ≤ 1.
where A(x, t, θ ) and B(x, t, θ ) are drift and diffusion coefficients, g is a smooth
function. In case α = β = 1, Eq. (1) reduces to classical Fokker–Planck equation.
Being a broad applications of the Fokker–Planck equations, it is studied very vigor-
ously in many research papers [34–45]. The probabilistic solution of the fractional
Fokker–Planck equation has important applications in the modeling of anomalous
diffusion processes. Stochastic representation and computer simulation of fractional
Fokker–Planck equation describing anomalous diffusion is given in [34]. For more
details on Fokker–Planck equation, the interested readers are referred to [44, 45] and
the reference therein.
2 Preliminaries
This section presents some definitions and theorems on the fractional calculus theory
[31–33].
Definition 1 Let α ∈ R, m − 1 < α ≤ m ∈ N , then for t > 0
(a) Riemann–Liouville derivative of order α of g(x, t) is defined as follows:

1 ∂m t
RL
Dtα g(x, t) = (t − τ ) m−α−1
g(x, τ )dτ
Γ (m − α) ∂t m 0
(b) Caputo fractional derivative of g(x, t) of order α (m − 1 < α < m) is defined

as follows:
t
α 1
Dt g(x, t) = (t − τ )m−α−1 g m (τ )dτ, (2)
Γ (m − α) 0
and Dtα [g(x, t)] = dm

dt m
[g(x, t)] whenever α = m.
Theorem 1 [46] Let α, β ∈ R with n − 1 < α < n, m − 1 < β < m where m,

n ∈ N and m = n, then

β β α+β
Dtα Dt u(x, t) = Dt Dtα u(x, t) = Dt u(x, t)
Dtα Dtm u(x, t) = Dtm Dtα u(x, t)
Due to noncommutative property of the Caputo derivative, a new kind of definition

of fractional derivative, the so-called conformable fractional derivative is defined as
follows:
Definition 2 (Conformable fractional derivative) The conformable fractional

derivative of order α of a function f (x, t) : R × (0, ∞) → R is defined by
f (x, t + ht 1−α ) − f (x, t)

t Tα f (x, t) = lim , α ∈ (0, 1].
h→0 h
Moreover, the conformable (left) time fractional derivative of order α of a function

f (x, t) : R × (a, ∞) → R, a ≥ 0 is defined as follows:
f (x, t + h(t − a)1−α ) − f (x, t)

t Tα f (x, t) = lim , α ∈ (0, 1].
a
h→0 h
The basic properties of conformable derivatives are as follows:

Theorem 2 let α ∈ (0, 1], C, D any constant, the functions f (x, t), g(x, t) are α
differentiable at any point (x, t) ∈ R × (0, ∞) and h(x, t) be any α— differentiable
function at a point (x, t) ∈ R × (a, ∞), a ≥ 0. Then
(a) t Tα (C f + D g) = C t Tα f + D t Tα g,
(b) t Tα (C) = 0,
(c) t Tα ( f g) = f t Tα g + g t Tα f ,
g t Tα f −gt Tα f
(d) t Tα ( f /g) = g2
,
(e) For each p ∈ R, i) t Tα (t p ) = p t p−α , ii) t Tαa (t − a) p = p(t − a) p−α .
In particular, t Tαa (t − a)α = α.
(f) If f, h are differentiable with respect to t, then
(i) t Tα f = t 1−α ∂∂tf , (ii) t Tαa h = (t − a)(1−α) ∂h ,
∂t
(t−a)α (t−a)α
λ +x λ +x
(g) t Tα
a
e α
= λe α
.
∂m h ∂m h
(h) Let m < α ≤ m + 1 and β = α − m and if ∂t m
exits, then t Tαa h =t Tβa ∂t m
.
Theorem 3 Let α ∈ (0, 1] , f (x, t) be k-times differentiable at (x, t0 ) ∈ R × (0, ∞)

such that ∂∂t jf |(x,t0 ) = 0, for each j ∈ {1, 2 . . . k − 1}. Then the k-times conformable
j
fractional derivative of f (x, t) at (x, t0 ) is defined as follows:

t0 ∂k f
t Tkα f = (t − t0 )
k−kα
∂t k t=t0
where t Tkαt0 ≡ t Tαt0 . . .t Tαt0 .

k-times
2.1 Description of CFDTM
The CFDT and its properties as given in [46] are as follows:

Lemma 1 Let α, β ∈ R such that 0 < α, β ≤ 1 and let the function θ (x, t) is
infinitely α- differentiable at (x, t0 ) whereas ψ(x, t) is infinitely β-differentiable
at (x0 , t). Then
(i) The conformable fractional power series expansion of θ (x, t) about
1
t = t0 (0 ≤ t0 ≤ t0 + α , > 0) is given as
∞

θ (x, t) = Θαr (x)(t − t0 )r α , (3)
r =0
where Θαr (x) = r !α1 r t Trtα0 θ t=t0 is the time CFDT of θ (x, t). The expression
(3) is also referred to as inversre of Θαr (x).
(ii) The conformable fractional power series expansion of ψ(x, t) about
1
x = x0 (0 ≤ x0 ≤ x0 + β , > 0) is given as
∞

ψ(x, t) = Ψβk (t)(x − x0 )kα , (4)
k=0
x0
where Ψβk (t) = 1
k!β k x Tkβ ψ is the CFDT of ψ(x, t). The expression (4)
x=x0
is also referred to as inversre of Ψβk (t).
Lemma 2 Let α ∈ R, 0 < α ≤ 1. If Θαr (x) and Ψαr (x) are time CFDT of infinitely
α-differentiable functions θ (x, t) and ψ(x, t), respectively. Then
(a) The time CFDT of initial conditions in the form of integer-order derivatives of
nth order partial differential equation is defined as
∂rα θ
1
(αr )! ∂t r α t=t0
, r ∈ {0, 1, . . . , αn − 1};
Θαr (x) =
0, otherwise.
r
(b) If ω(x, t) = θ (x, t)ψ(x, t), then Ωαr (x) = i=0 Θαi (x)Ψαr −i (x)
(c) If ω(x, t) =t Tαt0 θ (x, t), then
Ωαr (x) = α(r + 1)Θαr +1 (x).
(d) If ω(x, t) =x Tβx0 θ (x, t), then Ωαr (x) =x Tβx0 Θαr (x). Moreover, when

β = 1, Ωαr (x) = ∂∂x Θαr (x) .
(e) If ω(x, t) =t Tβt0 θ (x, t) and m − 1 < β ≤ m ∈ N , then
Γ (r α + β + 1) r +β/α
Ωαr (x) = Θ (x).
Γ (r α + β − m) α
(f) If ω(x, t) = h(x)(t − t0 ) p , then
Ωαr (x) = h(x)δ(r − p/α)
where δ(r ) = 1 if r = 0 otherwise δ(r ) = 0.
3 Analytical Study of Conformable Fractional

Fokker–Planck Equation
In this section, analytical solutions of conformable fractional Fokker–Planck equa-

tion are computed by using conformable fractional differential transform method.
The accuracy of the computed results is measured in terms of L 2 error norms for
different values of α.
For this, we compute the exact square residual error in mth-order approximate
analytical solution as follows:
2
1 1
m
εm (θ ) = S θi (x, t) dx dt
0 0 i=0

where S [θ ] =t Tα [θ ] − −x Tβ A(x, t, θ ) +x T2β B(x, t, θ ) θ.
Example 1 Consider the linear conformable space–time fractional Fokker–Planck

equation
⎧ 2
⎪
⎨ T [θ (x, t)] = T x θ (x, t) xθ (x, t)
t α x 2β − T
x β , x, t > 0,
12 6 (5)
⎪
⎩ θ (x, 0) = x 2 , 0 < α, β ≤ 1.
The time CFDT of initial value system of conformable fractional Fokker–Planck

equation (5) yields the following recurrence relation:
⎧
⎪
⎨ Θα (x) = x ,
0 2

⎪ r +1 1 x 2 Θαr (x) xΘαr (x) (6)
⎩ Θα (x) = x T2β −x Tβ , r ≥ 0.
α(r + 1) 12 6
On solving the the recurrence relation (6), we get
Θα0 (x) = x 2 ,
x 4−2β (4 − β) x 3−β
Θα1 (x) = − ,
3α 2α
x 4−2β (4 − β) x 5−3β (155 − 97β + 14β 2 ) x 6−4β (−24 + 26β − 9β 2 + β 3 )
Θα2 (x) = − −
24α 2 144α 2 12α 2
x 5−3β (20 − 13β + 2β 2 ) x 8−6β (−2 + β)2 (−96 + 116β − 43β 2 + 5β 3 )

Θα3 (x) = − −
432α 3 108α 3
x 6−4β (−454 + 505β − 179β 2 + 20β 3 )
−
864α 3
x 7−5β (11627 − 19020β + 11307β 2 − 2882β 3 + 264β 4 )
− ,
5184α 3
.. ..
. .
On using the inverse time CFDT, the mth-order solution of (5) is
θ (x, t) = Θα0 (x) + Θα1 (x)t α + Θα2 (x)t 2α + . . . + Θαm (x)t mα . (7)
In particular, for α = β = 1, the above solution reduces to

2
t 1 t t
θ (x, t) = x 2 1+ + + . . . = x 2e 2
2 2! 2
t
which is the closed form of the exact solution θ (x, t) = x 2 e 2 of classical linear
Fokker–Planck equation.
The behavior of the solutions of the problem (5) is depicted graphically in Fig. 1a
and Fig. 1b for α = β = 0.8, 1 and the two plots of the behavior for different α, β
and absolute errors in different order solutions for α = β = 1 is depicted in Fig. 2a
and Fig. 2b, respectively. The L 2 error in fifth- and seventh-order approximations
are reported in Table 1 for α = 0.8, 0.9, 1 and β = 1. Moreover, computed absolute
errors for α = β = 1 are compared with ADM, VIM, HWM, ILTM, FVIM, FRDTM
solutions in Table 2. The findings show that for different values of α = 0.8, 0.9, 1,
and β = 1 we get accurate results which approaches toward exact solutions.
Example 2 Consider the nonlinear conformable space–time fractional Fokker–

Planck equation
⎧ 2
⎨ T [θ (x, t)] = T θ 2 (x, t) − T 4θ (x, t) − xθ (x, t) , x, t > 0,
⎪
t α x 2β x β
x 3 (8)
⎪
⎩ u(x, 0) = x ,
2
0 < α, β ≤ 1.
Fig. 1 Behavior of fifth-order solutions of the conformable space–time fractional Fokker–Planck

equation (5) for a α = β = 1, b α = β = 0.8 at different time levels t ≤ 1
Fig. 2 (a) Two-dimensional plots of the fifth-order solution of conformable fractional Fokker–
Planck (5) equation for different α, β and x = 0.25; (b) the absolute errors in the mth order solutions
(m ∈ {3, 4, 5}) and for x = 0.5
Table 1 L 2 error norm in fifth-order approximations of Fokker–Planck equation (5) in x ∈ [0, 1]

for α = 0.8, 0.9, 1 and β = 1 at different time levels t ≤ 1
x Fifth order approximation Seventh order approximation
α = 0.8 α = 0.9 α = 1.0 α = 0.8 α = 0.9 α = 1.0
0.10 1.3245500E-06 6.9731100E-07 3.9259300E-07 1.2713500E-07 5.9437600E-08 3.0094400E-08
0.20 5.2981900E-06 2.7892400E-06 1.5703700E-06 5.0853900E-07 2.3775100E-07 1.2037800E-07
0.30 1.1920900E-05 6.2757900E-06 3.5333400E-06 1.1442100E-06 5.3493900E-07 2.7085000E-07
0.40 2.1192800E-05 1.1157000E-05 6.2814900E-06 2.0341600E-06 9.5100200E-07 4.8151100E-07
0.50 3.3113700E-05 1.7432800E-05 9.8148200E-06 3.1783700E-06 1.4859400E-06 7.5236000E-07
Table 2 Comparison of the absolute errors in the solution of (5) with α = β = 1 for different
values of x ∈ [0, 1] at different time levels t ≤ 1
t x ADM VIM HWM ILTM FVIM FRDTM CFDTM
0.2 0.25 3.800E-05 3.800E-05 1.532E-04 2.000E-04 0.000E+0 0.000E+0 1.06824E-05
0.50 4.100E-05 5.000E-05 1.689E-03 8.000E-04 0.000E+0 0.000E+0 4.27295E-05
0.75 1.370E-04 1.370E-04 2.363E-03 1.700E-03 1.000E-04 1.000E-04 9.61414E-05
0.4 0.25 5.000E-05 5.000E-05 9.063E-04 8.000E-04 1.000E-04 1.000E-04 8.76724E-05
0.50 4.000E-04 4.000E-04 6.178E-03 2.900E-03 4.000E-04 4.000E-04 3.50690E-04
0.75 7.500E-04 7.500E-04 1.083E-02 6.800E-03 7.000E-04 7.000E-04 7.89051E-04
0.6 0.25 3.380E-04 3.370E-04 2.560E-03 1.500E-03 3.000E-04 3.000E-04 3.03675E-04
0.50 1.250E-03 1.250E-03 1.367E-02 6.300E-03 1.300E-03 1.300E-03 1.21470E-03
0.75 2.738E-03 2.738E-03 2.629E-02 1.410E-02 2.700E-03 2.700E-03 2.73308E-03
The time CFDT of initial value system of conformable fractional Fokker–Planck

equation (8) yields the following recurrence relation:
⎧ 0
⎪ Θ (x) = x 2 ,
⎪ α
⎪ r
⎪
⎪
⎪
⎪ 1
⎨ Θαr +1 (x) = x T2β Θαi (x)Θαr −i (x)
α(r + 1) (9)
⎪
⎪ r
i=0

⎪
⎪
⎪
⎪ 4 −i x r
⎪
⎩ −x Tβ x Θα (x)Θα (x) − Θα (x) , r ≥ 0.
i r
i=0
3
On solving the recurrence relation (9), we get
Θα0 (x) = x 2 ,
x 3−2β 11x β + 4(β − 4)x
Θα1 (x) = −
α
x 4−4β 316β 2 − 2186β + 3490 x β+1 + 253(β − 4)x 2β + 144 β 3 − 9β 2 + 26β − 24 x 2
Θα (x) = −
2
6α 2
11 1058β 2 − 8461β + 14540 x 5−3β

Θα3 (x) = −
54α 3
5152β − 51415β 2 + 159779β − 155114 x 6−4β
3
−
9α 3
2x 7−5β
3000β − 34694β 3 + 144879β 2 − 259650β + 168497
4
−
9α 3
x 8−6β
1152 15β − 194β + 982β 3 − 2436β 2 + 2960β − 1408
5 4
−
54α 3
.. ..
. .
On using the inverse time CFDT, the mth order solution of (8) is
θ (x, t) = Θα0 (x) + Θα1 (x)t α + Θα2 (x)t 2α + . . . + Θαm (x)t mα . (10)
In particular, for α = β = 1, the above solution reduces to

t2 t3 t4
θ (x, t) = x 1 + t + + + + . . . = x 2 et
2
2! 3! 4!
which is the closed form of the exact solution θ (x, t) = x 2 et of classical linear
Fokker–Planck equation.
The behavior of the solutions of the problem is depicted graphically for α = β =
0.8, 1 and absolute errors in different order solutions for α = β = 1 are depicted in
Fig. 3. The L 2 error in fifth- and seventh-order approximations are reported in Table 3
for α = 0.8, 0.9, 1 and β = 1. Moreover, computed absolute errors for α = β = 1
are compared with the errors obtained via ADM, VIM, HWM, ILTM, FVIM, FRDTM
solutions in Table 4. The findings show that for different values of α = 0.8, 0.9, 1,
and β = 1 we get accurate results which approaches towards exact solutions.
Fig. 3 Behavior of fifth-order solutions of conformable space–time fractional Fokker–Planck equa-

tion (8) for a α = β = 1, b α = β = 0.8 at different time levels t ≤ 1, and the two dimensional
plots of absolute errors in mth different order solutions m ∈ {3, 4, 5} and x = 0.5
Table 3 L 2 error norm in fifth-order approximations of Fokker–Planck equation (5) in x ∈ [0, 1]

for α = 0.8, 0.9, 1 and β = 1 at different time levels t ≤ 1
x Fifth order approximation Seventh order approximation
α = 0.8 α = 0.9 α = 1.0 α = 0.8 α = 0.9 α = 1.0
0.10 3.73949E-04 2.21775E-04 1.38889E-04 1.62733E-05 7.60802E-06 3.85208E-06
0.20 1.49580E-03 8.87098E-04 5.55556E-04 6.50931E-05 3.04321E-05 1.54083E-05
0.30 3.36555E-03 1.99597E-03 1.25000E-03 1.46459E-04 6.84721E-05 3.46688E-05
0.40 5.98319E-03 3.54839E-03 2.22222E-03 2.60370E-04 1.21728E-04 6.16334E-05
0.50 9.34874E-03 5.54436E-03 3.47222E-03 4.06832E-04 1.90200E-04 9.63021E-05
Table 4 Comparison of the present results of Fokker–Planck equation (8) with α = β = 1 for
different values of x ∈ [0, 1] at different time levels t ≤ 1
t x ADM VIM HWM ILTM FVIM FRDTM CFDTM EXACT
0.2 0.25 0.0764 0.0764 0.0763 0.0763 0.0761 0.0762 0.0763 0.0763
0.50 0.3057 0.3057 0.3050 0.3048 0.3050 0.3050 0.3053 0.3054
0.75 0.6878 0.6878 0.6863 0.6862 0.6860 0.6863 0.6870 0.6870
1.00 1.2227 1.2227 1.2200 1.2190 1.2190 1.2200 1.2213 1.2200
0.4 0.25 0.0938 0.0938 0.0925 0.0923 0.0924 0.0925 0.0932 0.0932
0.50 0.3753 0.3750 0.3700 0.3680 0.3670 0.3700 0.3727 0.3730
0.75 0.8445 0.8450 0.8450 0.8321 0.8319 0.8325 0.8385 0.8392
1.00 1.5013 1.5013 1.4800 1.4780 1.4770 1.4800 1.4907 1.4918
0.06 0.25 0.0664 0.0664 0.0664 0.0663 0.0662 0.0664 0.0664 0.0664
0.50 0.2655 0.2655 0.2655 0.2654 0.2653 0.2655 0.2655 0.2655
0.75 0.5973 0.5973 0.5973 0.5972 0.5971 0.5973 0.5973 0.5973
1.00 1.0620 1.0620 1.0618 1.0617 1.0617 1.0618 1.0618 1.0618
4 Conclusion
In this article, CFDT method has been adopted to compute the solution of con-
formable space–time fractional Fokker–Planck equation. The findings show that
the present results for α = β = 1 agreed well with the results by various well-
known methods such as Adomian decomposition method (ADM), variational iter-
ation method (VIM), fractional variational iteration method (FVIM) and fractional
reduced differential transform method (FRDTM), and so forth. Also, the proposed
results converge to the exact solutions for fractional values of α as well.
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(2018)
Multispectral Bayer Color Image
Encryption
Binay Kumar Singh and Jagat Singh
Abstract A first approach for Bayer color image encryption and decryption is pro-
posed. The original image is downsampled into three basic color components using
multispectral property, then each color component is encrypted by elliptic curve
cryptography followed by generalized Arnold transformation. In the first stage of
encryption, on each color component separate keys of ECC are employed, and the
next stage of encryption considers keys from independent parameters of the coef-
ficient matrix of Arnold transform. The two steps of encoding apply disjoint keys
for each color component in both stages, which gives a higher level of security and
robustness. Simulation analysis and experimental results are performed on several
test images to show the strength of the proposed technique, and a comparison is
established with other proposed models.
Keywords Bayer image · Elliptic curve cryptography · Elliptic curve discrete

logarithmic problem · Arnold transformation
1 Introduction
In today’s world with rapid development in technologies, especially telecommunica-

tion, and Internet; it is difficult to secure the transmission of valuable information and
considered a big challenge among scientists and researchers. For secure transmission
of data, there are several encryption and decryption techniques that exist. Further-
more, for secure image transmission, some good methods presented in [1–10]. In
the past few decades, image scrambling by Arnold transformation which considers
only the coefficient matrix as keys for encryption and decryption is widely been used
for image encryption [1–4]. In a different perspective from the conventional method
B. K. Singh (B)
Department of Computer Science, Mettu University, Po Box- 318, Mettu, Ethiopia
e-mail: binaykmrsingh@gmail.com
J. Singh
Department of Mathematics, Indian Institute of Technology, Delhi, New Delhi 110016, India
e-mail: jagat26kd@gmail.com

https://doi.org/10.1007/978-981-15-1157-8_20
236 B. K. Singh and J. Singh
of considering the original image of square size, [1] divided the original image into
multiple square regions of any sizes, then each square region is scrambled from
Arnold transformation before transmission.
Tang and Zhang [4] proposed solution for some of the weaknesses persist in
Arnold transformation, i.e., applying the idea of randomness, and dividing the origi-
nal image into multiple overlapping square size images, yielding encryption iterative
times, and its order. One approach [5] designed a novel quantum circuit for Arnold
transformation, and encrypted image using generalized Arnold transformation in
confusion stage afterward double random phase encoding in the diffusion stage.
An image encryption technique which divides the original image into multiple
grids before encryption is proposed by [7]. Data encryption can also be performed
based on the probability of their frequency of appearance in any standard case. For
example, B. K. Singh, et al. proposed a technique for data encryption which considers
the probability of data before encryption.
A great deal of effort has been made toward the development of quantum com-
puters due to its richness in computational speed. The extensive research advancing
in this regard is especially for image encryption and decryption. For instance, [8] the
proposed image encryption and decryption on quantum computers.
For image representation, one broadly accepted method is proposed by Bryce
Bayer and known as the Bayer image [11]. Based on Bayer image representation,
[12] presented image authentication using double random phase encoding and photon
counting. References [13, 14] introduced optical transformation in the frequency
domain for demosaicking of Bayer image. J. Hardeberg [15] proposed the idea of
multispectral color imaging. It was believed from a long time that three color channels
are insufficient to represent high-quality imaging systems such as a museum, due to
the effect of metamerism. A two-dimensional model for calculating spatial frequency
response (SFR) of a Bayer color capture system, which scores for both sampling and
interpolation, is presented in [16].
In this paper, a new model is designed in which the RGB color image is downsam-
pled into Bayer image for further processing. The proposed model is based on two
stages: Confusion and Diffusion. In the confusion stage, Elliptic curve cryptography
will shuffle color information of each pixel in each color plane, which increases
keyspace, and different keys are used on each color channel generates another dif-
ficulty of the correct arrangement of keys on each channel. While, in the diffusion
stage, generalized Arnold transformation will scramble coordinates of each pixel of
a partially encrypted image using key matrix or efficient matrix parameters which
differs in each color plane, and also its arrangement is considered as the strength of
the proposed technique.
The remainder of the paper is organized as follows. In Sect. 2, a survey on the
literature review is discussed. Section 3 formulated the idea of encryption and decryp-
tion in detail such that the original image is encrypted from ECC then the partially
encrypted image is finally encrypted using generalized Arnold transformation. For
the decryption process, the reverse procedure is applied. In Sect. 4, security analysis
and experimental results are demonstrated to show the effectiveness and robustness
of the proposed model. In the same section, a comparison is performed between the
Multispectral Bayer Color Image Encryption 237
proposed model and an existing model, and a table is presented for its effectiveness.
The proposed technique is concluded in Sect. 5.
2 Review of Literature Survey
2.1 Multispectral Color Image and Bayer Image
Image of an object can be represented in many ways. Multispectral images are a

combination of monochrome images of the same object identified through different
sensors. Each of these images is referred to as a band. A well-known example is RGB
(Red, Green, and Blue) color image, which contains three spectral imaging planes
having a different optical wavelength, and to capture these primary colors, a separate
image sensor is required.
Multispectral images are highly useful in areas like medical science (MRI, X-
RAY, CT-SCAN), weather forecasting, remote sensing, astronomy, etc. Although,
multispectral images require more space and time to process, with a constant increase
in hardware, one can predict no future constraint.
Bayer image was introduced by Bryce Bayer in 1976 at Kodak. Bayer filter uses
color filter array (CFA) or color filter mosaic (CFM) to produce RGB images on
the square grid of photosensors. For a multispectral image, by considering k as
3 (where k represents the number of monochrome images), it means three primary
color components (RGB). It has been found that downsampling these components and
employing Bayer image CFA, or CFM, when splitting all color channels separately,
the grid filter pattern for R = 25%, G = 50%, and B = 25%.
2.2 Elliptic Curve Cryptography for Images
Elliptic curve cryptography [17–22] is popular among cryptologist due to smaller

key size and larger keyspace, compared to its other counterparts. It is defined as
follows. An elliptic curve E is defined by Eq. (1) over finite field F p .
y 2 = x 3 + ax + b (1)
where a, b, x, y ε F p , and a, b are satisfying Eq. (2).
4a 3 + 27b2 = 0 (mod p) (2)
A pair (x, y) is a point on the curve satisfying Eq. (1). The set of all points on
elliptic curve E is denoted by E(F p ), including a point at infinity denoted as ‘∞’,
and bounded by Eq. (3).
√ √
p+1−2 p ≤ N ≤ p+1+2 p (3)
where N is the number of points on the elliptic curve.

To encrypt a message by ECC, the message must be first represented as a point
on the curve. The encryption process in ECC is expressed as follows.
Cm = {C1 , C2 }; such that C1 = k × P; C2 = M + k × Q.
where C m is ciphertext (composed of two different points C 1 and C 2 on the same
curve), M is the original message or plaintext, P is a point on E(F p ) whose order is
n, the public key Q = d × P, where d is the private key chosen uniformly at random
from [1, n − 1], and k is an arbitrarily selected integer.
When encrypted message point C m = {C 1 , C 2 } is received, the decryption process
of ECC will begin as follows to recover the original message.
M = C2 − d × C1 → M + (k × d × P)−(d × k × P) → M
One big factor for the widespread use of ECC in secure transmission lies in the
elliptic curve discrete logarithmic problem (ECDLP). The ECDLP is given an elliptic
curve E over a finite field F p , a point P ε E(F p ) of order n, and a point Q ε <P>,
find an integer ε [0, n − 1] such that Q = × P. The integer is called discrete
logarithm of Q to the base P, denoted as = logP Q.
The domain parameters in ECC must be chosen carefully, in order to resist several
attacks. Some well-known attacks on ECC (for finding the solution of the discrete
logarithmic problem) are exhaustive search, Pohlig-Hellman, Index-calculus, Iso-
morphism, and Pollard-rho. However, all of these attacks will take an infeasible
amount of time to extract the correct keys when the length of the keys is reasonably
large.
Nonetheless, an investigation done on ECDLP states that once quantum computer
is far-flung; ECDLP can be solved in a feasible time. In 1994, [23] has given a
polynomial time method for finding a discrete logarithm. Further, [24] proposed a
k-bit instance of ECDLP on quantum computer, where k ≈ 5 k + 8 + 5log2 k. On
the other hand, a k-qubit quantum computer can expeditiously factor a k-bit integer,
where k ≈ 2 k, [25].
2.3 Generalized Arnold Transformation for Images
Arnold transformation [26] also known as cat map was introduced by V. Arnold
in the research of ergodic theory. Arnold transformation is more useful in the scram-
bling of image pixels. An original image, say I(i, j), where, i, j are coordinates of an
original image pixel, encryption using generalized Arnold transformation will result
in I’(i’, j’), where i’, j’ are new coordinates of the encrypted image.

i 1 p i
= mod n (4)
j q pq + 1 j
where, p, q are parameters of coefficient matrix multiplied with each pixel of each
color component of an image, and n is the size of the image.
To return back original image I(i, j), inverse generalized Arnold transformation
is applied and expressed as
−1
i 1 p i
= mod n (5)
j q pq + 1 j
where encrypted points are multiplied by the inverse of coefficient matrix parameters.
3 Proposed Model for Image Encryption and Decryption
The encryption and decryption process of the proposed technique is demonstrated

in Figs. 1, and 2, respectively, and the underlying discussion is elaborated in the
following sections.
Fig. 1 Diagrammatic representation of the encryption process
Fig. 2 Mapping of the decryption process

3.1 Image Encryption Procedure
The original multispectral color image I(x, y) is downsampled to generate a Bayer

image I BC (x, y), having three color planes (Red, Green, Blue), shown in Eq. (6) and
Eq. (7), respectively.
I (x, y) → I BC (x, y) (6)

⎧ R
⎨ I B (x, y)
I BC (x, y) = I BG (x, y) (7)
⎩ B
I B (x, y)
Such that on each of these color channels an interpolation method is applied.

Afterward, the first stage of encryption begins by ECC on each pixel of each color
channel, which is obtained as below. For each color channel, a different key value is
considered and which particular channel is encoded by which key generates another
difficulty of the arrangement of keys.
ECC cp (x, y) = P E[ϕ1 , ϕ2 ] (8)
where p represents pixels, c denotes each color channel, ϕ 1 = (x 1 , y1 ), ϕ 2 = (x 2 , y2 ),

and PE is partially encrypted image. Here, (x, y) is a coordinate of the original image
and, {(x 1 , y1 ), (x 2 , y2 )} are corresponding coordinates of the first stage encrypted
image. In other words, after the first stage of encryption, generated cipher points are
denoted as C m = {ϕ 1 , ϕ 2 }. Encryption by ECC yields two cipher points ϕ 1 = k × P,
and, ϕ 2 = M + k × Q, where k and d are random numbers, P and Q are two different
points on the same elliptic curve.
After partial encryption, generalized Arnold transformation is applied one time
on both partially encrypted points, separately, where the first-point second-stage
encryption can be expressed as

0
AT (P E[ϕ1 ]) = , (9)
1
where
0 = (x1 + η0 y1 ) mod n;
1 = (η1 x1 + (η0 η1 + 1)y1 ) mod n; (10)
For generalized Arnold transformation η0 , η1 are keys of the coefficient matrix,

and n is pixel size of the image.
Similarly, for second partially encrypted point ϕ 2 , on the same stage again
generalized Arnold transformation is applied given as

2
AT (P E[ϕ2 ]) = , (11)
3
where
2 = (x2 + η2 y2 ) mod n;
3 = (η3 x2 + (η2 η3 + 1)y2 ) mod n; (12)
Here, for this partially encrypted point, another set of coefficient matrix parameters
η2 , η3 are keys for final encryption in generalized Arnold transform. Henceforth, final
encrypted pixel points are denoted as FE = {(0 , 1 ), (2 , 3 )}.
3.2 Image Decryption Procedure
When the final encrypted image is received, the reverse operation will begin. That is,
in the first stage of decryption operation, inverse generalized Arnold transformation
is applied on both points separately for each color component, expressed as

0
AT −1 (P E[ϕ1 ]) = , (13)
1
where
x1 = (((η0 η1 + 1)0 − η0 1 ) mod n;

y1 = (−η1 0 + 1 ) mod n; (14)
This will generate first partially decrypted point, and then second partially
decrypted point in a similar manner.

2
AT −1 (P E[ϕ2 ]) = , (15)
3
where
x2 = ((η2 η3 + 1)2 − η2 3 ) mod n;

y2 = (−η3 2 + 3 ) mod n; (16)
It will yield two different partially decrypted points {(x 1 , y1 ), (x 2 , y2 )}. After that,
the next stage of decryption is applied. In the next level of ECC encryption first point
is multiplied by the receiver’s private key then subtracted by the second point. That
means, ϕ 2 is multiplied by ‘d’ a randomly selected integer then subtracted by ϕ 1 .
Now, to return back original image pixels I BC (x, y), in each color component the last
stage of decryption using ECC will be applied over these two points. Henceforth,
the final encrypted pixel points are
M = ϕ2 − d × ϕ1
= M + (k × d × p) − (d × k × p)
=M
Therefore, M = I BC (x, y). Subsequently, each of the color components is derived.
4 Security Analysis and Experimental Results
The experimental results are carried out on MATLAB 2016a software over Intel(R)
Core(TM) i5-2430 M CPU. Several test images of size 512 × 512 have been taken
to perform analysis. Figure 3a displays the original color Lena image, Fig. 3b shows
an encrypted Lena image, while Fig. 3c presents decrypted Lena image.
Here, one can see that when all parameters in both stages of decryption are applied
correctly in the correct order on all channels, receiver receives the original image.
In Fig. 4a, the original Lena image is obtained, while Fig. 4b shows incorrectly
decrypted image. Because, ECC is applied with different keys on all color compo-
nents, if in any color component keys are changed, one cannot identify the origi-
nal image. Similarly, with changes in coefficient matrix parameters of generalized
Arnold transform, Fig. 4c, on color channels, will reflect a different image. While
Fig. 4d represents a different decoded image when keys in both stages of decryption
are wrongly chosen. As all keys are correct, the original Lena image is successfully
recovered, which is presented in Fig. 4e. The arrangement of color channel keys
parameters in both stages of encryption is also one key. For instance, in the first
stage of encryption three different color channels are encrypted with three different
keys which can be arranged in 3! ways, following this, the next level of encryption
Fig. 3 a Original image; b encrypted image with all correct keys in both stages; c correctly
decrypted image
Fig. 4 a Original image; b decrypted image with different key values in ECC; c decrypted image
with different coefficient matrix parameters in Arnold transformation; d decrypted image with
different key values in both stages; e decrypted image with all correct parameters
using generalized Arnold transform coefficient matrix parameters on all three levels
are keys, which can be separately arranged in 3! ways that itself can be arranged
in 2! ways. Combining the entire proposed technique encryption keys, one can get
{3! × (total number of keys in ECC) × (2! × total number of keys in coefficient
matrix parameters)}. Therefore, keyspace is large and gives more effectiveness and
robustness for encryption.
4.1 Statistical Analysis
Statistical analysis measures the strength of the proposed technique in various man-
ners. The following are some of the statistical analysis performed on the proposed
scheme.
4.1.1 Histogram Analysis
The histogram of an image illustrates the intensity value of pixels of all color channels
in a graphical format. Figure 5a shows the histogram of the original Lena of Fig. 3a,
Fig. 5 a Histogram of Fig. 3a; b histogram of Fig. 3b; c histogram of Fig. 3c
while Fig. 5b represents the encrypted Lena of Fig. 3b. As one can see that both
histograms are totally different, so it is almost impossible to extract the original
image information. On the other hand, Fig. 5c represents the histogram of Fig. 3c
and resembles Fig. 5a which concludes that the original image is recovered correctly.
4.1.2 Entropy Analysis
In information theory, entropy is a measure of randomness feature of information in

the form of signals or images. In general, image entropy analysis H (X) of base 2 is
measured by Eq. (17).
2
N
−1
H (X ) = − p(X i ) log2 p(X i ) (17)
i=0
where X represents the source of the message, p(X i ) denotes the probability of the
message source X i . Table 1 demonstrates entropy analysis between original images
and its corresponding encrypted images, where standard entropy value for an image
is 8 bits, [9].
Table 1 Entropy analysis on

Images Entropy analysis
some test images
Original images Encrypted images
Lena 7.1125 7.8314
Barbara 7.357 7.6787
Baboon 7.2149 7.7142
Boat 7.1286 7.8451
Airplane 7.2012 7.9014
4.2 Numerical Analysis
Several numerical analyses have been performed to realize the quality of the original
image to encrypted image.
4.2.1 Mean Square Error Analysis
Mean square error is calculated by Eq. (18), which is used to obtain commutative
error between the original image (g) and decrypted image (g’) of size M × N.

M−1 N −1
1
g(m∇x, n∇ y) − g (m∇x, n∇ y)
2
MSE = (18)
M × N i=0 j=0
where ∇x and ∇ y are image pixel size.

In Table 2, MSE between the original image (g) and correctly decrypted image
(g’) on all color channels is calculated, separately. Besides this, the proposed model
is compared with [27]. From Table 2, it is clearly evident that the proposed scheme
MSE is lower than [27].
4.2.2 Structural Similarity Index (SSIM)
Structural similarity index is a method for quality assessment in terms of structural

information of an object in the range of −1 to +1 to determine similarities between
the reference image and encoded image. When the value is close to +1 it means
both images are very similar or exact to each other, whereas when the value tends to
−1 images are very distinct, [28]. SSIM is expressed in Eq. (19), where it measures
three attributes of an image luminance, contrast, and structure.
2μxμx + C1 2σ x x + C2
SS I M(x, x ) = (19)
μx 2 + μx 2 + C1 σ x 2 + σ x 2 + C2
where x, x are original and correctly encoded images, respectively. Other parameters
used in the calculation of SSIM of two images are: μx , μx represents mean of x, x ;
σ2x , σx 2 are variances between x, x ; and finally, C 1 , C 2 are prespecified invariant.
In Table 3, SSIM between original and decoded images on all color components on
various test images is demonstrated.
Table 2 Mean square errors

Images Mean square error
on some test images
Split channel Ref. [26] Proposed model
Lena Red 4.5817 × 3.0112 × 10−30
10−30
Green 7.5088 × 7.1462 × 10−30
10−30
Blue 9.7892 × 8.8901 × 10−30
10−30
Barbara Red 1.2020 × 1.1025 × 10−30
10−29
Green 1.2046 × 1.8945 × 10−30
10−29
Blue 8.4432 × 8.7981 × 10−30
10−30
Baboon Red 2.4168 × 2.5891 × 10−30
10−29
Green 1.8396 × 3.9783 × 10−30
10−29
Blue 7.3902 × 8.0197 × 10−30
10−30
Boat Red 2.6061 × 3.7306 × 10−29
10−29
Green 3.2023 × 4.6018 × 10−29
10−29
Blue 1.5403 × 2.0197 × 10−29
10−29
Airplane Red 2.4385 × 5.2541 × 10−30
10−29
Green 2.3530 × 4.9871 × 10−30
10−29
Blue 5.8079 × 9.3154 × 10−30
10−29
5 Conclusions
In this paper, a new technique for encryption of a multispectral Bayer image in all
three primary color components is presented. All components of the image are sep-
arately encrypted using elliptic curve cryptography followed by generalized Arnold
transformation. Different public and private keys in the first level of encryption on
each color component, so as, different values of coefficient matrix parameters in gen-
eralized Arnold transformation creates larger keyspace, and provides the proposed
model higher level of security. Security analysis and experimental results showed
Table 3 SSIM of proposed

Images SSIM of the proposed scheme
scheme on some test images
Split channel Proposed model
Lena Red 4.1401 × 10−3
Green 3.0128 × 10−3
Blue 2.5122 × 10−3
Barbara Red 2.7841 × 10−3
Green 1.2125 × 10−4
Blue 2.1532 × 10−3
Baboon Red −3.2145 × 10−4
Green 1.7819 × 10−4
Blue −1.2315 × 10−3
Boat Red 2.3384 × 10−3
Green −3.5144 × 10−3
Blue 1.2351 × 10−3
Airplane Red 3.6587 × 10−3
Green 4.2864 × 10−4
Blue 2.3651 × 10−4
on some standard examples state that the proposed model is effective and robust for
encryption and decryption of images as well as minimizes several possible attacks.
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Investigation of Prospective Elementary
Teachers’ Opinions About Problem
Concept
Danyal Soybaş and Sevim Sevgi
Abstract This study aims to not only determine the views of prospective elemen-
tary teacher about Polya’s four-step problem-solving process used in mathematics
teaching, the problem concept and characteristics of nonroutine problems and their
solutions, but also to investigate the level of knowledge about some important points
concerning these concepts that prospective elementary teacher need to sufficiently
know. The research sample consists of 43 prospective elementary teachers from an
education faculty of a state university in Turkey. The data were obtained from the
answers the prospective elementary teachers wrote on the working papers that include
various styles (multiple choice, true–false judgments selection, and open-ended) of
questions. Both quantitative and qualitative assessment tools were employed in the
analysis of the data.
Keywords Problem concept · Polya’s problem-solving processes · Nonroutine

problems · The prospective elementary teacher
1 Introduction
1.1 What Is a Problem?
Human beings have been faced with various situations from the moment they first
came into the world and attempted to get rid of these situations which could carry
negative qualities. As a result of this endeavor, human beings developed various
methods with the impulse to get rid of these situations, applied to various ways and
had to perform firmly against these negative situations. In this context, we can say
that these problems are negative, and problem-solving strategies for various ways and
D. Soybaş (B) · S. Sevgi

Math Education Department, Faculty of Education, Erciyes University, 38039 Kayseri, Turkey
e-mail: danyal@erciyes.edu.tr
S. Sevgi
e-mail: sevimsevgi@erciyes.edu.tr

https://doi.org/10.1007/978-981-15-1157-8_21
250 D. Soybaş and S. Sevgi
methods that we use to overcome this situation, and the problem-solving process that
includes all this process [16, 19]. John Dewey describes the problem as everything
that confuses the human mind, challenges it and makes it unclear [8]. “The making
challenging to him” term has brought a strong stance against the problems. The
biggest factor in exhibiting this stance is the desire to overcome the problem that
appears among the people who face problems. The problem that arouses the desire
to solve the person and that does not have a solution procedure but can be solved by
using his/her knowledge and experience can be called a problem [16]. In a crucial
point of the concept of the problem, the fact that a person calls a problem as a problem
depends on the fact that the subject is an obstacle to that person reaching a certain
purpose or goal. Because for people who have different lives and who have different
experiences and information, every situation may not be called the same problem.
A problem is confusing some people’s minds, while others may not. If a person has
encountered a problem before and solved it before, that problem can no longer be a
problem for the person. Then, the problem must be new and original for the person
[10]. Another important point regarding the concept of the problem is the condition
that people should have encountered this situation for the first time. In other words,
in order for a situation or subject to be called a problem by a person, it is the first
time that he encountered this situation and he should not have a solution for this
situation. Three main characteristics of the problem can be revealed. These are: (1)
the problem is a difficulty for the person who encountered, (2) the person needs
to solve it, and (3) the person has not encountered this problem before, there is no
preparation for the solution [2]. Our assessments so far have some limitations on
the concept of the problem. These are, once encountered and solved, that the same
situation is not a problem, a situation that is problematic for some people is not for
some others, the solution does not appear suddenly and requires an effort [16]. In
the most general context of a case can be counted as the problem can be counted; it
can be stated that people who are uncomfortable to people and who want to solve
this problem as a result of this feeling and that people should have encountered
this situation for the first time [4, 5, 7]. The problems are only incomplete as a
result of mental disturbance. If we explain this with an example, this is a physical
problem for a person who has a disease, but this person shows us the existence of
a mentally based disorder with questions and worries about his/her future life. The
question you ask your friend can confuse us; on a hot day, a gum sticking to our
feet as we walk down the road is a problem that we don’t want and want to get rid
of it, and it is tried to be resolved by the authorities; war is a separate problem, and
because people cannot find a solution to this problem (as a solution to their own
right). The assignment of the teacher is a problem which stimulates the student’s
mind and needs to be answered. As seen in the examples, the problem can be both
mental and physical [10]. The issue of the difference between the abovementioned
person and the person regarding the concept of the problem points to the fact that
there is also such a definitive and semantic difference between the disciplines. In
terms of the problem, mathematical problems based on four processes given at the
end of the subject are thought with an understanding obtained mostly from primary
school mathematics textbooks. However, the concept of the problem has a wider
Investigation of Prospective Elementary Teachers’ Opinions … 251
meaning than that mentioned here, and the problem does not have to be related to
mathematics [2]. As with the related definition, the problem has different meanings
and definitions according to the interests of the disciplines. This shows us how to
generalize the problem concept. The classification of the problems in the general
dimension of teaching is emerging at this point. Classifications of problems can be
made with different approaches. Based on the objectives of teaching, problems can
be divided into two classes as routine and nonroutine problems [2]. Researchers
analyzed routine and nonroutine problems separately under another heading. The
next one will be to examine the problem-solving and process of problem-solving.
1.2 Problem-Solving and Process of Problem-Solving
The problem is to solve the problem situation in the problem, the discomfort of
the person, the problem-solving process brings together the problem-solving pro-
cess. The elimination of the difficulties encountered and the efforts to eliminate the
uncertainties can be called the solution to the problem. The solution of all prob-
lems, whether mental or physical, requires a mental process and this can be called a
problem-solving process [10]. Problem-solving is an action that involves a broader
mental process and skills, though it is perceived as a just result [3]. This process
brings with it various mental activities. In particular, there is an accepted problem-
solving systematic in the solution of nonroutine problems related to daily life. There
is no specific way or method used to solve all problems. If such a method would be
taken away from the source of the problem [2]. This means that there is no com-
mon method or strategy used to solve all problems. However, there is an accepted
problem-solving step for the completion of this process, and these steps belong to
George Polya. When students encounter a problem, they often try to remember a rule
to be used. This is not a good attempt. Because problem-solving does not have a rule,
but it has a systematic [11]. Each problem requires a separate solution. However, it
has been concluded that there are some steps in solving the mathematical problems
in general [17]. Problem-solving steps: (1) understanding problem, (2) choose the
appropriate strategy for problem-solving, (3) implementation of the chosen strategy,
(4) evaluation of the solution. These steps, which are currently accepted, provide
great convenience to individuals on the path of problem-solving and to achieve the
desired goals, but they do not lead to definite success because individual factors are
effective in the realization of these steps. George Polya (1887–1985) is the most
widely accepted problem-solving steps of routine and nonroutine problems. Know-
ing these steps does not provide problem-solving, but when solving the problem, the
way of working in accordance with these four steps facilitates the solution [2]. The
realization of these stages is the problem-solving process itself. The most important
step of this process is to understand the problem and determine the appropriate strat-
egy for problem-solving. Especially understanding the problem is the biggest and
basic step toward a solution. It is very important to understand when a problem is
encountered. For a problem that the individual cannot understand, he cannot propose
a solution, and he cannot identify any strategy and implement it. The problem-solving
process according to these explanations can be explained as “To do research with
controlled activities in order to reach a target that is clearly designed but not reached
immediately.” [3]. Problem-solving and another important point in this process is that
problem-solving will not only be realized by knowledge, but also past experiences
and experiences are of great importance in this process. Problem-solving is related
to past experiences of the individual (Kennedy 1980, p. 28; cited in [20]). The people
who are active in this process have carried out many mental activities and will have
made great progress towards gaining skills such as various classification, analysis,
and interpretation. This means the development of the problem-solving abilities of
these individuals.
1.3 Nonroutine Problems
The problems in the teaching base are divided into two as routine and nonrou-
tine problems. Routine problems are problems that are commonly found in text-
books such as mathematics and physics, and are known as problems (exercise).
Solutions of nonroutine problems require a high level of skills such as organizing
data, organizing, classifying, seeing relationships, and doing a series of activities one
after the other. Various problem-solving strategies can be followed to solve routine
and nonroutine problems as (making a systematic list, estimating and controlling,
drawing a diagram, finding a relationship, using a variable, working backwards,
making a table, etc.) (cited in [3, 11]). Nonroutine problems are very important
and effective problems that can be used in the process of gaining and developing
high-level skills such as interpretation, classification, and analysis. The use of these
problems in educational processes is extremely beneficial. George Polya stated this
as: “Failure to use nonroutine problems in educational processes is an unforgivable
mistake [9].” The aim of nonroutine problems and solutions is to develop the ability
to understand the logic and nature of problem-solving, to choose the appropriate
strategy when a problem is encountered, to use and to interpret the results. The main
purpose of instruction is problem-solving [2]. This type of mental health process
and some of the skills and abilities related to everyday life and also the necessary
mathematical skills to gain the ability to provide some features related to this type
of problem. One of these features is the need to use more than one method and strat-
egy to solve such problems. The truth is that there is not a single and clear way. It
is necessary to determine various classifications and relationships in solving such
problems. Solutions of nonroutine problems require a high level of skills such as
organizing data, organizing, classifying, seeing relationships, and doing a series of
activities one after the other problems (Souviney and Randall 1989; cited in [2]), the
accepted problem-solving steps belong to George Polya [9]. Such problems are the
bridge between real life and school. These problems are the expression of a situation
encountered or encountered in real life. Therefore, these are called real-life problems
[2].
1.4 Importance of the Study
The study was carried out by taking into account the fact that the learning–teaching
process carried out in the first stage of primary education is a period in which students
are settled in the future periods, as well as daily life and the foundation parts of
education and training life. In this period, the opinions and evaluations of the students,
especially the elementary teachers, on the research subjects in question and the level
of the information that should be at some point is very important in order to carry
out this process as desired. In this context, it is important to know how the thoughts
and opinions of the elementary teachers about these concepts will be given in the
first stage of this teaching–learning process. For this aim, it is necessary for the
prospective elementary teachers who have an important position in this learning–
teaching process to get their opinions, evaluations, and information on some points
before they start into the profession, taking into account the idea that it will be useful.
2 Method
2.1 Sample
The sample of the study is 43 prospective elementary teachers of a department of

elementary education of Faculty of Education of a state university which is located
in Turkey, there are 34 females and 9 male prospective elementary teachers in our
research sample.
2.2 Instruments
Prospective elementary teachers who participated in the research were administered a

test with multiple-choice questions (the choices to be chosen have been prepared in a
way to give information about certain levels of knowledge and opinions), right–wrong
statements items and open-ended questions. In all types of questions used, questions
related to the mentioned research subjects were prepared. The prepared multiple-
choice questions, the statements about the right–wrong and the open-ended questions
that are required to be filled, have been prepared and arranged for the purpose of
obtaining the knowledge levels and opinions about the whole subjects. The test
applied to the sample consisted of 4 open-ended questions, 6 right–false statements,
and 3 multiple-choice questions with 4 options, which were prepared to enable the
control of information and the reliability of other items. The purpose of all the
questions in this test is to determine the problem concept, problem-solving concept,
problem-solving processes and the properties of the problems of the nonroutine
problems and their solutions, and to determine the extent to which some points are
thought to be known.
2.3 Reliability and Validity
In order to maintain the reliability of the findings, the prospective elementary teach-
ers were randomly selected, and the questions in the instrument provided for the
administration of the prospective elementary teachers were prepared according to
the condition of serving the stated objectives and ensuring that the desired data
could be obtained. In order to ensure the reliable implementation of the instrument,
the instrument and what to do are explained to the prospective elementary teachers
by pilot applications. The data obtained have been evaluated objectively and it has
been tried to avoid bias which will direct the data for a certain purpose. The above-
mentioned processes have been meticulously carried out in order to ensure that the
reliability and validity of this research are carried out in a reliable manner, and that
the data can be obtained reliably and that the data that are intended to be obtained in
relation to the objectives can be obtained.
3 Results
After the application of the instrument to the prospective elementary teachers, an

analysis of the data was obtained. For this purpose, open-ended questions in the
instrument are categorized into various headings. What these headings are and which
open-ended question is stated below.
3.1 What Is a Problem?
The first research question of the study is “Based on my end-of-class evaluations,

problem is …………………………………” The categories formed in line with the
answers to the first open-ended question and the frequencies and percentages of the
responses given under each category are given in Table 1.
40 of these prospective teachers have filled the right answers in this question
and 3 prospective elementary teachers left this question blank. In other words, the
frequencies stated in the findings are based on the answers given by 40 prospec-
tive elementary teachers. The frequencies obtained for these categories are given in
Table 1. The remaining 20% ratio is 8 answers which are given in different qualities
that do not match with the categories given in Table 1. These answers:
Table 1 Descriptive of first open-ended item “Based on my end-of-class evaluations, the problem
is …………………………………”
Categories f Percentage %
“It is a situation that is expected and to be solved due to the problem.” 17 42.5
“It is the situation that needs to be solved by certain methods and 7 17.5
strategies.”
“There are situations that are related to daily life and constitute an 4 10
obstacle in life.”
“The person is disturbed.” 4 10
Other responses 8 20
Total 32 80
‘In life, the way to be noticed, the way to be solved.’, ‘They can be solved by knowledge and
experience.’, ‘The result is unknown and the solution is process requiring.’, ‘They create
confusion in the mind and have obstacles in front of the solution.’, ‘The desire of research
in individuals is the effects.’, ‘There will be no solution at same situations’, ‘Situations that
limit human behaviors and situations that are problematic when not solved.’.
3.2 Types of Problem
“Problem in the mathematics can be divided into two categories as …………………..

and……………………..” appropriate filling of the places left blank in the item was
expected from the prospective elementary teachers. 43 prospective elementary teach-
ers responded fully to this question by taking into consideration the previous mathe-
matics learning processes. Prospective elementary teachers gave “routine problems”
and “nonroutine problems” answers to the blanks related to the question. All of the
participants gave the answers, and the level of knowledge to be measured came with
a 100% proportional result.
3.3 Conditions of Being Problem
The third research question of the study is “In order for a subject or a situation to be
considered as a problem; it must be:
• ……………………………………………………………….
• ……………………………………………………………….
• ……………………………………………………………….”
The abovementioned question was asked to write three items, at least one accord-
ing to the personal evaluations of prospective elementary teachers. Responses to
these items are classified into categories based on prospective elementary teachers’
Table 2 Answers to third item (being a problem)

Categories f Percentage %
1. To be an obstacle in front of a goal or target 12 15
2. Should create a trouble 19 23.8
3. Feeling of uncomfortable and creates uneasiness 15 18.7
4. The desire to transcend and curiosity 10 12.5
5. Can be solved by specific methods and techniques 8 10
6. Other responses 16 20
responses. Since three prospective elementary teachers did not write any items to
the second question, analysis was run based on the responses of 40 prospective ele-
mentary teachers which were counted as valid answers. The total number of items
obtained from prospective elementary teachers’ responses to this question is 80. The
categories in this classification are given in Table 2 based on 80 answers.
The answers grouped under these categories account for 80% of the total answers.
The remaining 20% consists of 16 items that cannot be placed in the categories
mentioned in Table 2. Examples to these answers are: ‘Make life difficult (2)’, ‘It
should cause mental confusion in people (4)’, ‘It must be individual and concern
only the individual (2)’, ‘Must be noticeable (1)’, ‘Must have the necessary data for
the solution (1)’, ‘It should be relevant to overall. (2)’, ‘Solution requires process
(1)’, ‘A final answer should be reached at the end of the solution process (3)’.
3.4 Problem-Solving Steps of Polya
‘Problem-solving steps of George Polya’s problem-solving

1-…………………………….., 2-…………………………. 3-
………………………..4-……………………….’. the item was asked to be filled
by the prospective elementary teachers. Prospective elementary teachers’ previous
math learning process considering the answer to this question posed to 7 invalid and
36 valid desired answers were obtained. Within these answers, valid and correct
answers regarding the steps have been examined and indicated separately. The steps
written in this question are analyzed separately and the classification of the answers
is given in Table 3.
The percentages of the above categorized and validated answers were determined
according to the responses from the 36 prospective elementary teachers. The valid
answers given to the overall problem are 83.7%.
Table 3 Categories of problem-solving steps

Steps Categories f Percentage %
1. Understanding the problem, Realizing the problem, 36 100
Determining the problem, Identifying the problem
2. Determining the appropriate strategy for the solution, Choosing 34 94
a solution, Finding a method
3. Applying the specified strategy, Reaching the result, Performing 33 92
the solution, Application of solution
4. Performing the solution, Evaluation of solution, Solution and 30 83
outcome evaluation
3.5 Right/Wrong Items
There are six right–false statements in this section of the instrument. Categories
based on the answers to right–false statements and frequencies of them were given
in Table 4. Prospective elementary teachers choose one of the options and there is
no empty statement.
All of the prospective elementary teachers made mistake at selecting the
statement which is ‘The problem is a concept belonging merely to mathematics.’ No
one of them choose the wrong option for that statement. Seven prospective elemen-
tary teachers (16.3%) marked that statement which is “There is no common method
or strategy to solve all problems.” is wrong and then the remaining 36 (83.7%) of
prospective elementary teachers stated that the statement is right. Four prospective
elementary teachers (9.4%) marked that statement which is “The use of nonroutine
problems in the teaching and learning process is a correct approach.” is wrong and
then the remaining 39 (90.6%) of prospective elementary teachers stated that the
statement is right. 14 (32.6%) of prospective elementary teachers marked that state-
ment which is ‘The most important step in the solution of the problem is the phase
in which the strategy is implemented.’ is wrong and then the remaining 29 (67.4%)
Table 4 Descriptive of right/wrong statements

Statements Right f (%) Wrong f (%)
1. The problem is a concept belonging merely to mathematics 0 43
(100)
2. There is no common method or strategy to solve all problems 36 (83.7%) 7 (16.3%)
3. The use of nonroutine problems in the teaching and learning 39 (90.6%) 4 (9.4%)
process is a correct approach
4. The most important step in the solution of the problem is the 29 (67.4%) 14 (32.6%)
phase in which the strategy is implemented
5. The definition of the problem concept does not differ between 7 (16.3%) 36 (83.7%)
disciplines and between individuals
6. In nonroutine problems, the answer is clear and unique 7 (16.3%) 36 (83.7%)
of prospective elementary teachers stated that the statement is right. 7 (16.3%) of

prospective elementary teachers marked that statement which is “The definition of
the problem concept does not differ between disciplines and between individuals.” is
wrong and then the remaining 36 (83.7%) of prospective elementary teachers stated
that the statement is right. 36 (83.7%) of prospective elementary teachers marked
that statement which is ‘In nonroutine problems, the answer is clear and unique.’ is
wrong and then the remaining 7 (16.3%) of prospective elementary teachers stated
that the statement is right.
3.6 Multiple-Choice Items
Three multiple-choice questions were directed to the prospective elementary

teachers. The prospective elementary teachers answered all the questions. First
multiple-choice item is:
“1. Which of the following is a right statement for problems?
(a) All problems have a mathematical content.

(b) There are certain methods or strategies used to solve each problem.
(c) Mathematical problems are the only type and solution strategies.
(d) There is no specific method or strategy for all of the mathematical problems,
but there is a certain solution systematic.”
As it will be used to determine the information to be used in the unmarked,

uncontrolled, and unassigned parts of this question, prospective elementary teach-
ers’ frequencies and the percentages of options are given in Table 5. Prospective
elementary teachers did not make a choice regarding A and C option. 12 (27.9%) of
the class teachers nominated option B and 31 (72.1%) marked option D.
Second multiple-choice item is: “Which two of the following stages constitute the
two most important stages of the problem-solving process?
(a) Determining the appropriate strategy for the solution—Evaluating the result
and solution.
(b) Applying the appropriate strategy for the solution—Evaluation of the result and
solution.
(c) Understanding problem—Identifying the appropriate strategy for the solution.
Table 5 Distribution of
Options 1. Item f (%) 2. Item f (%) 3. Item f (%)
multiple choice items
A 0 1 (2.3%) 3 (7%)
B 12 (27.9%) 4 (9.3%) 33 (76.7%)
C 0 27 (62.8%) 0
D 31 (72.1%) 11 (25.6%) 7 (16.3%)
(d) Understanding problem—Applying the appropriate strategy for the solution.”

Table 5 shows the distribution of the answers to the question. One of the prospec-
tive elementary teachers (2.3%) had the option of A, four of them (9.3%) had the
option of B, 27 (62.8%) had C, and 11 (25.6%) were selected as D.
Third multiple-choice item is: “Which of the following is a false statement
regarding the solution of nonroutine problems?
(a) The nonroutine problems have a positive effect on students’ interpretation,
analysis, solution production and gaining some skills.
(b) Nonroutine problems can be solved by the usual algebraic operations.
(c) The most recognized system for solving nonroutine problems belongs to George
Polya.
(d) Solving nonroutine problems may require several different strategies and
methods to be implemented.”
Prospective elementary teachers’ answer to this particular item were given in
Table 5. Three (7%) of prospective elementary teachers were selected option A, 33
(% 76.7) of them were selected option B, and seven (% 16.3) of them chose to mark
option D.
4 Discussion and Conclusion
In this study, the opinions, evaluations, and knowledge levels of the prospective ele-
mentary teachers about the problem concepts were analyzed. The first finding of the
study stated that prospective elementary teachers defined the problem as a situation
which has handicaps at its solving process. Problems have different components but
the majority of them defined the problem in a situation and unwanted or unexpected
situations. Chapman [9] revealed this finding in his research. Moreover, Özyıldırım
Gümüş and Şahiner’s [18] study stated that prospective teachers’ expressions used
for the definition of the problem were similar to this study.
Prospective elementary teachers defined types of problems as routine and non-
routine problems in this study. They knew the distinction between these problem
types. As stated in the literature, prospective elementary teachers chose the routine
problems in their classrooms [13]. The reason for using routine problems sourced
from education systems and textbooks [1, 13, 15]. Prospective elementary teachers
view nonroutine problems as time-consuming, and increased teaching load at their
classes so they skip these problems in their classes [12, 13].
Polya [19] defines four steps of problem-solving as understanding problems,
devise a plan, carry out a plan and look back (evaluation). Prospective teachers’
percentage at each step of Polya’s problem-solving is decreasing from the first step
to the last step. The prospective teachers’ attitude to check the solution is lower than
the understanding of the problem. Xia and Masingila [23] stated the difficulties of
prospective elementary teachers at problem-solving processes at fraction subjects.
Their result can be overgeneralized to the other subjects since teachers have problems
with the evaluation step of problem-solving. Prospective teacher confidence and suf-
ficient experience in problem-solving are vital to model problem-solving processes
in their classrooms in more convincing ways [14, 22].
Implication of this study is that prospective elementary teachers should take
courses related to problem-solving steps in context and one further step should cover
professional development courses related to problem-posing activities [12].
This study is restricted to only third-year prospective elementary school teachers
and twelve questions about problems. The study could be improved by extending the
sample to the other prospective teachers and sample size could be increased.
References
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Springer Proceedings in Mathematics & Statistics

This book series features volumes composed of selected contributions from

More information about this series at http://www.springer.com/series/10533

Mathematical Analysis II:

Ana Maria Acu P. N. Agrawal

ISSN 2194-1009 ISSN 2194-1017 (electronic)

© Springer Nature Singapore Pte Ltd. 2020

We are delighted that the Department of Applied Mathematics, Delhi Technological

Technical Education Quality Improvement Programme (TEQIP-III), Government

New Delhi, India Naokant Deo

Exact Solution for Mixed Integral Equations by Method of Bernoulli

Study on a Free Boundary Problem Arising in Porous Media . . . . . . . . 113

Naokant Deo is a professor at the Department of Applied Mathematics, Delhi

Vijay Gupta is a professor in the Department of Mathematics at the Netaji Subhas

Ana Maria Acu is a professor at the Department of Mathematics and Computer

P. N. Agrawal is a professor at the Department of Mathematics, Indian Institute of

Mithilesh Singh, Nidhi Handa and Shivani Singhal

Keywords Bernoulli polynomial method · Linear Volterra–Fredholm Integral

© Springer Nature Singapore Pte Ltd. 2020 1

development of an epidemic, different types of physical and biological models. Tay-

2 Bernoulli Polynomial Method

Polynomial is used in various problems of integral equations. They can be directly

Property 3 (Differences [25]), Bn (x + 1) − Bn (x) = nx n−1 , n = 1, 2 . . ..

3 Matrix Representation of Bernoulli Polynomial

A matrix formulation of Bernoulli polynomial is to develop at a linear combination

B(t) = c0 B0 (t) + c1 B1 (t) + c2 B2 (t) + · · · + cn Bn (t). (3)

The dot product of two vectors

would be converted in the following pattern:

4 Method of Solution for Mixed Volterra–Fredholm

Here, the Bernoulli polynomials method is applied to the scheme of mixed

Let us assume y(x) = Bi (t) then

Substituting (7a) in (6) yields

Now to calculate all integration of equation and the value of c0 , c1 , c2 , . . . cn are

5 Algorithm of Bernoulli Polynomial Method

Input: ( f (x), k(x, t), y(x), a, b, x, λ1 , λ2 ).

Stage 2: Set the Bernoulli polynomials in second kind Volterra–Fredholm linear

Stage 3: Compute Volterra integral

Compute Fredholm integral

Stage 4: Compute c0 , c1 , c2 , . . . cn , xi , i = 1, 2 . . . n, xi ∈ [a, b].

In this part, apply the process of Bernoulli polynomial to solve Volterra–Fredholm

Example 1 Assume the linear mixed Volterra–Fredholm integral equation of the

And the exact solution is y(x) = 3x + 4x 2

and Fredholm integral

After calculating above integral, we have got the value of c0 , c1 , c2 . After

Example 2 Consider the linear Volterra–Fredholm integral equation [5]

and the exact solution of Eq. (13) is y(x) = 2 + 3x − 5x 3 .

7 Conclusion and Result

Nishith Mohan and Nitu Kumari

N. Mohan · N. Kumari (B)

© Springer Nature Singapore Pte Ltd. 2020 11

cross diffusivity denotes movement of a particular species in the direction of lower

The rescaled system is given as follows [24]:

J = −∇(d3 u 3 + d3 d4 u 2 u 3 ) = −d3 d4 u 3 ∇u 2 − (d3 + d3 d4 u 3 )∇u 3 ,

3.1 Temporal Model

Theorem 1 The stationary uniform solution u∗ = (u ∗1 , u ∗2 , u ∗2 ) of (3) is locally

Proof Through out the paper we denote,

3.2 Model with Self Diffusion

and the M-P Subdifferential of g at x̄ ∈ K , denoted ∂ g(x̄), is defined as follows:

Remark 2 It is clear that g (x̄, v) ≤ g ◦ (x̄, v) and

(MP-SVVLI) To find x̄ ∈ K such that, for all x ∈ K , and x̄i∗ ∈ ∂ f i (x̄), i ∈ M :=

∀ i ∈ M, r αi (x̃, x̄)x¯i ∗ ; η(x̃, x̄) ≤ 0, ∀x¯i ∗ ∈ ∂ f i (x̄),

∀ i ∈ M, r αi (x̃, x̄)x¯i ∗ ; η(x̃, x̄) ≥ 0, ∀x¯i ∗ ∈ ∂ f i (x̄),

r α j (x̃, x̄)x¯j ∗ ; η(x̃, x̄) < 0, ∀x¯j ∗ ∈ ∂ f j (x̄), with r > 0.

r α j (x̃, x̄)x¯j ∗ ; η(x̃, x̄) > 0, ∀x¯j ∗ ∈ ∂ f j (x̄), with r < 0.

x¯j ∗ ; η(x̃, x̄) < 0, ∀x¯j ∗ ∈ ∂ f j (x̄).

∀ i ∈ M, x¯i ∗ ; η(x̃, x̄) ≤ 0, ∀x¯i ∗ ∈ ∂ f i (x̄),

∀i ∈ M, x˜i ∗ ; η(x̃, x̄) ≤ 0,

and ∃ at least one j ∈ M and x˜j ∗ ∈ ∂ f j (x̃) such that

x˜j ∗ ; η(x̃, x̄) < 0.